COMPLEXITY THEORY ON REAL NUMBERS AND FUNCTIONS by C h r i s t o p h Kreitz and Klaus W e i h r a u c h F E R N U N I V E R S I T ~ T Hagen F a c h b e r e i c h M a t h e m a t i k und I n f o r m a t i k P o s t f a c h 940, D - 5 8 O O Hagen I I. I n t r o d u c t i o n Since Turing [17] i n t r o d u c e d the concept of computable real numbers in 1937, m a n y authors have s t u d i e d c o m p u t a b i l i t y of real numbers and functions (see for example, [1,2,6,10,11,12,13,14,16]). The next subject to be s t u d i e d is now c o m p u t a t i o n a l complexity. The goal of our paper is to present a natural concept for c o m p u t a t i o n a l c o m p l e x i t y of real numbers and functions. F i r s t we d e v e l o p a c o m p l e x i t y theory on IR c o r r e s p o n d i n g to Blum's c o m p l e x i t y theory on the r e c u r s i v e functions. [3] (A g e n e r a l i z a t i o n of his theory to cpo's has already b e e n f o r m u l a t e d by W e i h r a u c h [18]). In order to abtain a s u c c e s s f u l d e f i n i t i o n of c o m p l e x i t y we r e p r e s e n t real numbers by C a u c h y - s e q u e n c e s of dyadic numbers h a v i n g a normed convergence• define the set of c o m p u t a b l e real numbers (IR) We and an e f f e c t i v e number- C ing q of IR is shown, C o m p l e x i t y classes of real numbers are i n t r o d u c e d and it c that the m o s t i n t e r e s t i n g statements of a b s t r a c t c o m p l e x i t y theory h o l d a n a l o g u o u s l y in IR C Our i n v e s t i g a t i o n of c o m p u t a t i o n a l c o m p l e x i t y of real functions is b a s e d on the c o m p u t a b i l i t y concept of G r z e g o r c z y k ing c o m p u t a t i o n m o d e l of Ko & F r i e d m a n [5]. Improving a correspond- [7], that uses a rather r e s t r i c t - ive requirement, we i n t r o d u c e a c o m p u t a t i o n m e c h a n i s m for real functions, w h i c h enables us to define complexity. computable S t u d y i n g t o p o l o g i c a l p r o p e r t i e s of functions we observe an important r e l a t i o n b e t w e e n continuity and c o m p l e x i t y of a function. E x p l o r i n g p r o b l e m s c o n c e r n i n g a r e c u r s i o n - t h e o r e t i c c o m p l e x i t y theory on real functions we show, that some c o m p u t a b l e functions cannot have a c o m p l e x i t y bound b e c a u s e of their c o m p l i c a t e d domains. a c o m p l e x i t y b o u n d of a function f does exist, e f f e c t i v e K -set. We prove, On the other hand if the domain of f is an that a h i e r a r c h y - t h e o r e m and a speedup- theorem h o l d for c o m p u t a b l e functions too. F i n a l l y it is shown, computable that a function may have a high c o m p l e x i t y even if its domain is simple and it has simple values at simple arguments. We shall denote the set of all total by R (k) (partial) r e c u r s i v e k-ary functions (p(k)). Let ~ be a s t a n d a r d n u m b e r i n g of p(1) and let W i := dom(~ i) for all i. Let <,> be the s t a n d a r d p a i r i n g function on 166 and D i denote the 2. C o m p l e x i t y theory L e t ~D where i-th finite on r e a l :----U {~n I n E IN } be ~n := subset by VD<k,l,n> partial normed := the set (k-l) Cauchy-sequences and denote the s e t of all 6 dora(6) := NC Sometimes we call a A sequence (i) f 6 P ~ E PNC Definition A real ---> and An effective There (partial) is s o m e x Then define i,n E ~ ~i <i(n) For total recursive the c o m p l e x i t y The following Every some be t for 6(~). there for some is a c o m p u t a b l e real numbers. can d e f i n e d c and all as follows. (Vn< k) I~D~i(n)-al <2 -n i E ~ and (time, following IR(t) := {DiI<i(n and := 6(~i)" ' For any for c o m p u t i n g hold: is r e c u r s i v e . ) ~ t(n) for a l m o s t numbers determined all n} be by t . immediately: of c o m p u t a b l e complexity qi tape) axioms real can be p r o v e d class real class ~ numbers (t) is c o n t a i n e d is w e a k l y in q-r.e., large. [4] G a p - t h e o r e m : (Vg,hC R (I), g increasing) Some iff {(i,n,t) I Ki(n) = t} is s u f f i c i e n t l y Borodin's is e a s y q of IR the r e s o u r c e the let class, be of all b y NC. = ~Df(n) computable of c o m p u t a b l e q-r.e, complexity for and t set PNC With properties weakly whenever Also class ~(n) is c o m p u t a b l e numbering that (Vi) dom(< i) = dom(~i) an o r a c l e iff of all := ~D~p(i) assume : ]lq ~ ~D the Cauchy-sequences @ E NC , if a := VD~i(k) E ~k div , otherwise . let ~p(i) (n). W e normed la VD~p(i) (k) := We d e f i n e numbers, ¢ E 6-1{x} set p E R (I) n E IN , and v D " 2 -n° is c o m p u t a b l e , is the c fixed (rational) ~(~) := lira ~(n) . Cauchy-sequence IR of all d y a d i c IR can be d e f i n e d b y sequence number [15]). (~(k) E ~ k A (Vn<k) I ~(n)- ~(k) I <2-n)} total : PNC (see R o g e r s in QD by P N C := {~ : I~ ---> ~D I (VkEDef(~)) A representation ~ numbers {m - 2 -n I m E ~ } for defined of (3fE R (I)) [(Vn) (h(n) <_ f(n)) A ~ (g-f) = R(f)] to prove. of the m o s t important results of the r e c u r s i o n - t h e o r e t i c complexity- 167 theory can be p r o v e d i z a t i o n on ]R o n l y by e f f e c t i v e w e s h a l l use p a t t e r n s c These patterns diameter. diagonalization. For a d i a g o n a l - of i n t e r v a l l s w i t h d e c r e a s i n g are i n s p i r e d by the g e o m e t r i c a l approach to the Cantor-discontinuoum. Example ' Define and T(wO) if w6 Note 3 l+r := [i,--~---] {0,I] ~ t h a t for w C 2 -(n+2) Using and T(w) or a weakly- = r.e. set Let w 0 Step n+1 F i n d a w o r d diameter {x] := N n£ T(Wn) Y W n + 1 E {WnO,Wnl ] ~f(n) (2n+3) 2 -(2n+2) theorem: ~h(m) 6 I R c (2) (Vi) Especially x ~ Yo theorem The proofs the t h e o r e m s report as w e l l as are v a r i a t i o n s here. Details can [8]. is a f u n c t i o n [qi = nh(m) => (Ki(n) > ~m (n) ~h(m) E IR(<h(m)) theorem: (Vie ~-l{x}) 3. C o m p u t a b l e Computable I of h E R (I) such t h a t for all w i t h ~ m E R (I)- (I) Speedup the c o m p r e s s i o n We only formulate There an i n t e r v a l l real number [3]) c a n be p r o v e d . technical ~f(n) ~ ~ ( W n + l ) " nf(n ) E I.] w e get a c o m p u t a b l e be f o u n d in the a u t h o r ' s m E IN such that determines with (Blum C0mpression effect- f 6 R (I) diagonalization ones. less or e q u a l of real n u m b e r s : the s p e e d u p of the o r i g i n a l I with diameter holds. w e are able to d i a g o n a l i z e By use of e f f e c t i v e theorem = [O,1] := s o [Note t h a t By T for some Step T(e) = [l,r] like {~f(n)I n E IN} by := [i, l___~r ] T(wl) n I = ~ an i n t e r v a l l - p a t t e r n Y T(wl) {0,I} n and any i n t e r v a l l T(wO) ~ I = ~ ively over Let T : {0,1} ~ ~ {[r,s] I r , s E ~ } r E R (2) all n) ] holds. there (3j~ q-l{x}) [r(n,Kj(n)) ~ K(n)l real real One approach For e v e r y \]R(~m) for a l m o s t is some xE ~ for almost all c with n]. functions functions is to d e f i n e are d e f i n e d a computable in two d i f f e r e n t ways. function as e f f e c t i v e operator 188 on the set IR (Mazur []3], Aberth []]) using an effective n u m b e r i n g of c ]R (like N). The other approach considers all real continuous functions C on all real numbers (Grzegorczyk [6], Lacombe [10]) and defines a comput- able function by a r e c u r s i v e functional on all p o s s i b l e names Cauchy-sequences) these concepts for real numbers. (see Ceitin (e.g. There is a strong r e l a t i o n between [5]), but it isn't fully u n d e r s t o o d till now. In this paper we shall follow the second approach, since the first one p r o v i d e s some results in formal c o n t r a d i c t i o n to c l a s s i c a l analysis and d o e s n ' t seem to allow a s u c c e s s f u l d e f i n i t i o n of complexity. (function-) (partial) Oracle-Turing-machines (OTM's) c o m p u t a b l e real functions. m e a s u r e of T u r i n g - m a c h i n e s real functions. We use as computing m o d e l for Thus we can apply a c o m p l e x i t y for d e f i n i n g the c o m p u t a t i o n a l complexity of Our m o d e l is inspired by one of Ko & F r i e d m a n [7], b u t our d e f i n i t i o n of c o m p u t a b i l i t y is m o r e general and more natural. A function-Oracle-Turing-machine M nE computes (if it exists) the n-th term M~(n) w i t h oracle ~ E NC and input of a sequence asking the oracle for a finite number of values M g C PNC ~ ( n l ) , . . . , ~ ( n k) during the computation. Definition A function f : IR - - ~ ~ Oracle-Turing-machine (VCeNC) f(6(¢)) M is computable, iff there is an such that = 6(M }) (~) Let OTM(f) be the set of all OTM's s a t i s f y i n g Condition (i) (e) is e q u i v a l e n t to the following ones: (Vx£ dora(f)) (V~£ 6-I~]) (ii) (Vx% dora(f)) (V~£ 6-I~]) Condition (~). (ii) makes requires M~(n) ( S ~ NC and lira M~(n) = f(x)), (M~(n) diverges for almost all our d e f i n i t i o n differ from Ko's to diverge for all [7], because be if lim ~(n) ~ dom(f). T h e r e f o r e his m a c h i n e s have to decide w e t h e r lim ~(n) E dom(f) b e f o r e c o m p u t i n g any value. Many c o n t i n u o u s n6 ~ n). This r e q u i r e m e n t is too restrictive. total functions are c o m p u t a b l e e.g. p o l y n o m i a l s with r e c u r s i v e coefficients, e l e m e n t a r y functions, A l s o p a r t i a l functions may be computable. f : ~ or not ---> ~ defined by the function E x a m p l e s are dom(f) := ~ \ {o} and f(x) := I/x x~ JxT e t c . . 169 and for y~ : gy ~ c --->~ B u t gy h a s no extension {x I x ~ y} For is n o t any O T M M ~. The Lemma defined by M 3.1 For recursive topological Theorem [i.e. The proof oracles of p a r t i a l cannot Theorem set of Lemma). , x C dom(f) x, TMX : ~ - - - > ~ , n@ is a of x that and This on m e t r i c f f at bound x. and There the is c o n t i n u o u s is b o u n d e d Ix-yl < 2 -k first y k in the are so t h a t steps. (Weihrauch of the d o m a i n s has b e e n [19]) extended an h o l d s functions. of some computable real function G -set. is a c o m p u t a b l e 13 there k values, characterization spaces real if a characterization is an e f f e c t i v e 0 and by ff(x)-f(y)I ~ 2-n) ] at the is a d o m a i n where then x E dom(f) we k n o w computable S = N U 0 .. 13 13 bound complexity M E OTM(f) functions. S this coincide [9]) S ~ ~ if function (K6nigs exists. (Ix-yI < 2 - T M X ( n + l ) => distinguish for p a r t i a l A M E OTM(f) is c o m p u t a b l e , which functions if and o n l y (i.e. ~ the a r g u m e n t , y continuous 3.3 --~, at any p o i n t (Kuratowsky to c o m p u t a b l e Therefore, counting fan t h e o r e m as c o m p l e x i t y between (Vn) from and topology function. the s t e p by the computable for any m a c h i n e x computable f. f : IR--~ follows for analogous of ( V y 6 dom(f)) the m a c h i n e From for any of c o n t i n u i t y ln. T M X ( n + 1 ) x= y function. relationship If x> y , if I ~ E 6-i {x}} TM x can be v i e w e d 3.2 , if be f : IR {TM~(n) properties modulus O div can be p r o v e d computable Forthermore function a total TM~ : IN - - ~ ~ lemma any is an i m p o r t a n t x<y gy(x) := into TMX(n) : = m a x The , if 'decidable'. let following 1 double-sequence of open basisintervalls.) The p r o o f is t e c h n i c a l in the author's We get as c o r o l l a r y f : IR--~IR only set. technical whose the n u m b e r and will from domain xK:= report theorem be omitted. Further details can be found [8]. 3.4 t h a t contains only ~ 2 -i , w h e r e i ~ K there is a c o m p u t a b l e noncomputable K c ~ real function numbers, is a n o n r e c u r s i v e but e.g. r.e. 170 4. C o m p l e x i t y In s e c t i o n M E OTM(f) 3 we h a v e at interested is a of p a r t i a l c a s e we But not every Example Let say that R\ ~ v~ of for e v e r y is an n statement an i n c r e a s i n g the infinitely in many t(n k) k Using the r e l a t i o n has f such of M that there (respectively a complexity such that dom(f) = ~ G~-set) . T h e n f \ ~ (Note, has no c o m p l e x i t y M E OTM(f) and xE IR\~ such TMX(n) > t(n) that of f). bound. machine an a r b i t r a r y M E OTM(f) any f k E ~N. So and (increasing) and is u n d e f i n e d (cf. section function for the m a c h i n e on ~ ,we can a point such cannot T M X ( n k ) _< t(nk) function a standardnumbering 2) of n a t u r a l n u m b e r s nk V~ (k) and TM (nk) > t(n k) steps many construct x E IR\~ and that distinguish doesn't hold x and for i n f i n i t e l y . topological guarantee function choose machine function sequence function We are n o w ] diagonalization Ix- 9 (k) I -< 2 -t(nk) its we an a r b i t r a r y of a m a c h i n e n be c o m p u t a b l e there this complexity is c o m p u t a b l e . bound function many ~. S i n c e vg(k) real t : iN ~ ~ an e f f e c t i v e for for almost all infinitely t : iN ~ iN a real is an e f f e c t i v e [i.e. , the t : IN ~ iN w i t h f : IR---> IR bound. ~ : t is a c o m p l e x i t y computable functions f : IR--->IR computing function TMX(n) -< t(n) In t h a t by M real TM x : ~ - - - > , where in m a c h i n e s (VxE dom(f)) To p r o v e defined x 6 dom(f) (computable) computable the properties existence defined "effective between complexity we'll now of a c o m p u t a b l e characterize of a c o m p l e x i t y on it. For compactness" this (cf. bound purpose Bishop [2], we real domains, function and which for any computable real formulate the n o t i o n of Martin-L~f [12]) and "effective K -set" . Definition: A set U(S) S ~IR := {j E ~ (the set of A set is e f f e c t i v e I S ~<i~k>~n all T ~]R effective finite that (di -2-k" union of e f f e c t i v e sets Wh(j) = U(Sj) iff of K -set compact S is c o m p a c t and is an r.e. set. di +2-k)} coverings is an e f f e c t i v e effective-compact such 3 open -compact S) if sets T (i.e. is an there S. and a r e c u r s i v e f u n c t i o n 3 for all j and T = j ~ m Sj). are h 171 Lemma 4.1 a) Let If such b) If that S a) that in a f i n i t e iveness of S = max S Let ~. By the construct . Then there n can a r r a n g e with M~(n) fan theorem a recursive all needs t 6 R (I) n. the o r a c l e s degree. only Given a finite prefix the set and hence function for e v e r y , all a finite of t E R (I) is a f u n c t i o n for a l m o s t for all n E IN I ~ E 6-I(S)} S = ~ t(n) we , M C OTM(f) is a f u n c t i o n for e v e r y then of t r e e s is f i n i t e can [TM~(n) b) sets number S &dom(f) there ~ t(n) TMX(n) the c o m p u t a t i o n of the o r a c l e then K -set, is b o u n d e d , [OM$(n) i ~ E 6-I(s)} t(n) TMX(n) (Vx e S) S ~ E 6-I(s) OM~(n) ( Y x C S) is an e f f e c t i v e Since E 6-I(S) nE ~, be c o m p u t a b l e , is e f f e c t i v e - c o m p a c t , such Proof f : IR--->IR S t using such the e f f e c t - that (Vn) n. U S. be an e f f e c t i v e u n i o n of e f f e c t i v e - c o m p a c t j E ~ 4.1 a) the f u n c t i o n t E R (I) with using 3 (Yn) has the We g e t t(n) required as a c o r o l l a r y computable function continuous on Since S f f'(as of a u n i f o r m Here we f(x) too, Definition Let is b a s e d be A function t @ R (I) ("f 6 Cs(t)") ( V ~ E 6 -I (S)) Speedup-theorem For every (%q~£ OTM(f)) (3M6OTM(f)) theorems and using in bound that set S is u n i f o r m l y is r e c u r s i v e . for a c o m p u t a b l e of r e a l [7] - 4.1 every the u n i f o r m seems applicable on L e m m a a) continuity requires real continuity functions by to us to be too to f u n c t i o n s like b). K -set, f : IR--~ IR be comput- f. is a c o m p l e x i t y there t E R (I) which r E R (2) bound is a m a c h i n e (TM ~(n)) ~ t(n) function, such These iff For every f : R ~ IR 4.1 complexity an e f f e c t i v e S ~ dom real a)) a definition able w h e r e computable 4.1 - as K o u s e d give S G ]R and L e m m a of u n i f o r m of c o m p u t a t i o n a l which Hierarchy-theorem 3.2 complexity in L e m m a bounds restrictive. := I/x ~-i (Sj )} on an e f f e c t i v e - c o m p a c t the m o d u l u s defined complexity theorem defined , a definition uniform from and the e x i s t e n c e function of max {TM~(n) I (3jS n) ~ = properties. for a l m o s t one doesn't there of f M E OTM(f) all to S that n) can e f f e c t i v e l y belong on such construct a C~(t) is a c o m p u t a b l e function that (V~,~'e NC) Jr(n, TM~(n)) c a n be p r o v e d compression- and by considering speedup-theorem ~ TM~'(n) for almost all constant of s e c t i o n constant 2. n] functions 172 So far we h a v e domains seen, functions which complicated simple. simple values" Theorem 4.2 (¥yeX) that a notion in p o l y n o m i a l Let X -c [0,1] We s h a l l E ~D enumerate sequence of p o l y g o n s 'first' i elements p,q (Vi) but q(i) A 2i+3 like f their domain maps be an u n f i n i t e , function weakly t E R (I) such that X injective and c o n s t r u c t a converging are c o n s t a n t functions, q on n e i g h b o u r h o o d s strictly increasing of the such t h a t and (Vi_>2) (Vj< i) I 9p(i) (q(i)) -~p(j) (q(i)) I > 2 " 2 -q(i) ~ji instead to s h o r t e n ~p(j ) (q(i)) and (~ji-2-q(i)) ' if j _> 2 of : [O,1] ~ IR , otherwise. (i_> I) s h a l l be d e f i n e d by t h e i r v a l u e s z E {~+ij I j-< i] U {~ij t j < i} . Let fl (O) := O , fl (I) := I i ~ 2 fi_i(~i±)+ (-i)g(~)-2 -q(~),if fl (z) g E R (I) specified Estimating z~ {~[~,~} := fi_l(z) where set, f : [O,I]~IR ~ji and if ~-r.e. (3) l into of c o m p l e x i t y . (Vn) (~p(O)(n) = O ^ ~p(1)(n) = I) f is e a s y arguments (2) The p o l y g o n s is f ~ C[o,l](t) ~ j i + 2 - q(i) points f : R ~ IR simple {np(i) I i~ IN} = {O,i] U X ~+ji (~'i) is n o t if the a r g u m e n t (i) We shall write if t h e i r t h e r e are c o m p u t a b l e "A f u n c t i o n if for a d e f i n i t i o n f., w h i c h l of X . be r e c u r s i v e although time) is a c o m p u t a b l e f(y) are h a r d to c o m p u t e However are e a s y to c o m p u t e isn't suitable Then there Let complexity, and t h e i r v a l u e s (e.g. functions are c o m p l i c a t e d . have high We c o n c l u d e computable Proof that real or t h e i r v a l u e s is a O/l-valued , otherwise, function, whose properties afterwards. the g r a d i e n t s ( V x E [0,1]) of the fi's (Vi) ~ f i ( x ) - fi_l(X) (~ 2 i- I) i ~ 2 -i we can p r o v e w i l l be at 173 Hence the f u n c t i o n (cf. K o lim f : [0,1] ~ ]R i~ ~ i W e n o w show, complexity machine (3i) (y = qp(i) of the f u n c t i o n complexity of f is v i r t u a l l y g E R (I) . T h e r e f o r e w e c o m p u t e g the using a M E OTM(f) . i > 2 Find k,j E {0, .... i-I} and (~ki - less ) if F F' is less or e q u a l To see t h a t the a l g o r i t h m w o r k s , N o w let q). to c o m p u t e Then [3]), for any complexity theorem t E R (I) is h i g h e r h a v i n g the d e s i r e d k the f u n c t i o n t'(i) := 3 • t(q(i) + 3) + T ( i ) compression of with error f i i ( ¢ i i ) = f(~p(i)) I ]+ ]_ bound and for j f O/l-valued t' properties. , and h e n c e and |_ ~ki T E R (I) for g i v e n t' E R (I) one can c o n s t r u c t than ¢'ki-1 i describe (only d e p e n d i n g defined by is an u p p e r b o u n d for s u c h that 21q(~) ~ ~ii ~ii ~ii be a c o m p l e x i t y Using fi-i (~ii) I. I_ ~ji-I the n u m b e r of s t e p s and of look at the f o l l o w i n g d r a w i n g . |% t E R (I) f(~p(k)) = fi_l (<~k i_l) to 2 - [ q ( i ) + l ] ." " I÷ and 2 -[q(i)+l] F-F'> 0 , otherwise ~ji + + _ ~ji < ~'~i~ < ~ii < ~ii < ~kj that is m i n i m a l . an i n t e r p o l a t i o n the e r r o r O + ~ji an i n t e r p o l a t i o n than Compute OUTPUT - such f(~p(j)) = fi_l (~3i_I) construct p and is c o m p u t a b l e ^ f(Y) = fi(¢ii ) E ~D ) that the c o m p u t a t i o n a l Using on exists [7]). M o r e o v e r (VyEX) INPUT f := for the c o m p l e x i t y of recursive functions (Blum a function g 6 R (I) whose a computable real f u n c t i o n g. f 174 In this paper we have i n t r o d u c e d a concept for a theory of c o m p u t a t i o n and c o m p l e x i t y on IR. As a next step the r e c u r s i o n - t h e o r e t i c complexity theory for functions should be put forewards and e x t e n d e d to sequences of functions and functionals. References [ I] O. 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