section "Independent Set" theory Approx_MIS_Hoare imports "HOL-Hoare.Hoare_Logic" "HOL-Library.Disjoint_Sets" begin text \The algorithm is classical, the proofs are inspired by the ones by Berghammer and M\"uller-Olm \cite{BerghammerM03}. In particular the approximation ratio is improved from \\+1\ to \\\.\ subsection "Graph" text \A set set is simply a set of edges, where an edge is a 2-element set.\ definition independent_vertices :: "'a set set \ 'a set \ bool" where "independent_vertices E S \ S \ \E \ (\v1 v2. v1 \ S \ v2 \ S \ {v1, v2} \ E)" locale Graph_E = fixes E :: "'a set set" assumes finite_E: "finite E" assumes edges2: "e \ E \ card e = 2" begin fun vertices :: "'a set set \ 'a set" where "vertices G = \G" abbreviation V :: "'a set" where "V \ vertices E" definition approximation_miv :: "nat \ 'a set \ bool" where "approximation_miv n S \ independent_vertices E S \ (\S'. independent_vertices E S' \ card S' \ card S * n)" fun neighbors :: "'a \ 'a set" where "neighbors v = {u. {u,v} \ E}" fun degree_vertex :: "'a \ nat" where "degree_vertex v = card (neighbors v)" abbreviation \ :: nat where "\ \ Max{degree_vertex u|u. u \ V}" lemma finite_edges: "e \ E \ finite e" using card_ge_0_finite and edges2 by force lemma finite_V: "finite V" using finite_edges and finite_E by auto lemma finite_neighbors: "finite (neighbors u)" using finite_V and rev_finite_subset [of V "neighbors u"] by auto lemma independent_vertices_finite: "independent_vertices E S \ finite S" by (metis rev_finite_subset independent_vertices_def vertices.simps finite_V) lemma edge_ex_vertices: "e \ E \ \u v. u \ v \ e = {u, v}" proof - assume "e \ E" then have "card e = Suc (Suc 0)" using edges2 by auto then show "\u v. u \ v \ e = {u, v}" by (metis card_eq_SucD insertI1) qed lemma \_pos [simp]: "E = {} \ 0 < \" proof cases assume "E = {}" then show "E = {} \ 0 < \" by auto next assume 1: "E \ {}" then have "V \ {}" using edges2 by fastforce moreover have "finite {degree_vertex u |u. u \ V}" by (metis finite_V finite_imageI Setcompr_eq_image) ultimately have 2: "\ \ {degree_vertex u |u. u \ V}" using Max_in by auto have "\ \ 0" proof assume "\ = 0" with 2 obtain u where 3: "u \ V" and 4: "degree_vertex u = 0" by auto from 3 obtain e where 5: "e \ E" and "u \ e" by auto moreover with 4 have "\v. {u, v} \ e" using finite_neighbors insert_absorb by fastforce ultimately show False using edge_ex_vertices by auto qed then show "E = {} \ 0 < \" by auto qed lemma \_max_degree: "u \ V \ degree_vertex u \ \" proof - assume H: "u \ V" have "finite {degree_vertex u |u. u \ V}" by (metis finite_V finite_imageI Setcompr_eq_image) with H show "degree_vertex u \ \" using Max_ge by auto qed subsection \Wei's algorithm: \(\+1)\-approximation\ text \The 'functional' part of the invariant, used to prove that the algorithm produces an independent set of vertices.\ definition inv_iv :: "'a set \ 'a set \ bool" where "inv_iv S X \ independent_vertices E S \ X \ V \ (\v1 \ (V - X). \v2 \ S. {v1, v2} \ E) \ S \ X" text \Strenghten the invariant with an approximation ratio \r\:\ definition inv_approx :: "'a set \ 'a set \ nat \ bool" where "inv_approx S X r \ inv_iv S X \ card X \ card S * r" text \Preservation of the functional invariant:\ lemma inv_preserv: fixes S :: "'a set" and X :: "'a set" and x :: "'a" assumes inv: "inv_iv S X" and x_def: "x \ V - X" shows "inv_iv (insert x S) (X \ neighbors x \ {x})" proof - have inv1: "independent_vertices E S" and inv2: "X \ V" and inv3: "S \ X" and inv4: "\v1 v2. v1 \ (V - X) \ v2 \ S \ {v1, v2} \ E" using inv unfolding inv_iv_def by auto have finite_S: "finite S" using inv1 and independent_vertices_finite by auto have S1: "\y \ S. {x, y} \ E" using inv4 and x_def by blast have S2: "\x \ S. \y \ S. {x, y} \ E" using inv1 unfolding independent_vertices_def by metis have S3: "v1 \ insert x S \ v2 \ insert x S \ {v1, v2} \ E" for v1 v2 proof - assume "v1 \ insert x S" and "v2 \ insert x S" then consider (a) "v1 = x" and "v2 = x" | (b) "v1 = x" and "v2 \ S" | (c) "v1 \ S" and "v2 = x" | (d) "v1 \ S" and "v2 \ S" by auto then show "{v1, v2} \ E" proof cases case a then show ?thesis using edges2 by force next case b then show ?thesis using S1 by auto next case c then show ?thesis using S1 by (metis doubleton_eq_iff) next case d then show ?thesis using S2 by auto qed qed (* invariant conjunct 1 *) have "independent_vertices E (insert x S)" using S3 and inv1 and x_def unfolding independent_vertices_def by auto (* invariant conjunct 2 *) moreover have "X \ neighbors x \ {x} \ V" proof fix xa assume "xa \ X \ neighbors x \ {x}" then consider (a) "xa \ X" | (b) "xa \ neighbors x" | (c) "xa = x" by auto then show "xa \ V" proof cases case a then show ?thesis using inv2 by blast next case b then show ?thesis by auto next case c then show ?thesis using x_def by blast qed qed (* invariant conjunct 3 *) moreover have "insert x S \ X \ neighbors x \ {x}" using inv3 by auto (* invariant conjunct 4 *) moreover have "v1 \ V - (X \ neighbors x \ {x}) \ v2 \ insert x S \ {v1, v2} \ E" for v1 v2 proof - assume H: "v1 \ V - (X \ neighbors x \ {x})" and "v2 \ insert x S" then consider (a) "v2 = x" | (b) "v2 \ S" by auto then show "{v1, v2} \ E" proof cases case a with H have "v1 \ neighbors v2" by blast then show ?thesis by auto next case b from H have "v1 \ V - X" by blast with b and inv4 show ?thesis by blast qed qed (* conclusion *) ultimately show "inv_iv (insert x S) (X \ neighbors x \ {x})" unfolding inv_iv_def by blast qed lemma inv_approx_preserv: assumes inv: "inv_approx S X (\ + 1)" and x_def: "x \ V - X" shows "inv_approx (insert x S) (X \ neighbors x \ {x}) (\ + 1)" proof - have finite_S: "finite S" using inv and independent_vertices_finite unfolding inv_approx_def inv_iv_def by auto have Sx: "x \ S" using inv and x_def unfolding inv_approx_def inv_iv_def by blast (* main invariant is preserved *) from inv have "inv_iv S X" unfolding inv_approx_def by auto with x_def have "inv_iv (insert x S) (X \ neighbors x \ {x})" proof (intro inv_preserv, auto) qed (* the approximation ratio is preserved (at most \+1 vertices are removed in any iteration) *) moreover have "card (X \ neighbors x \ {x}) \ card (insert x S) * (\ + 1)" proof - have "degree_vertex x \ \" using \_max_degree and x_def by auto then have "card (neighbors x \ {x}) \ \ + 1" using card_Un_le [of "neighbors x" "{x}"] by auto then have "card (X \ neighbors x \ {x}) \ card X + \ + 1" using card_Un_le [of X "neighbors x \ {x}"] by auto also have "... \ card S * (\ + 1) + \ + 1" using inv unfolding inv_approx_def by auto also have "... = card (insert x S) * (\ + 1)" using finite_S and Sx by auto finally show ?thesis . qed (* conclusion *) ultimately show "inv_approx (insert x S) (X \ neighbors x \ {x}) (\ + 1)" unfolding inv_approx_def by auto qed (* the antecedent combines inv_approx (for an arbitrary ratio r) and the negated post-condition *) lemma inv_approx: "independent_vertices E S \ card V \ card S * r \ approximation_miv r S" proof - assume 1: "independent_vertices E S" and 2: "card V \ card S * r" have "independent_vertices E S' \ card S' \ card S * r" for S' proof - assume "independent_vertices E S'" then have "S' \ V" unfolding independent_vertices_def by auto then have "card S' \ card V" using finite_V and card_mono by auto also have "... \ card S * r" using 2 by auto finally show "card S' \ card S * r" . qed with 1 show "approximation_miv r S" unfolding approximation_miv_def by auto qed theorem wei_approx_\_plus_1: "VARS (S :: 'a set) (X :: 'a set) (x :: 'a) { True } S := {}; X := {}; WHILE X \ V INV { inv_approx S X (\ + 1) } DO x := (SOME x. x \ V - X); S := insert x S; X := X \ neighbors x \ {x} OD { approximation_miv (\ + 1) S }" proof (vcg, goal_cases) case (1 S X x) (* invariant initially true *) then show ?case unfolding inv_approx_def inv_iv_def independent_vertices_def by auto next case (2 S X x) (* invariant preserved by loop *) (* definedness of assignment *) let ?x = "(SOME x. x \ V - X)" have "V - X \ {}" using 2 unfolding inv_approx_def inv_iv_def by blast then have "?x \ V - X" using some_in_eq by metis with 2 show ?case using inv_approx_preserv by auto next case (3 S X x) (* invariant implies post-condition *) then show ?case using inv_approx unfolding inv_approx_def inv_iv_def by auto qed subsection \Wei's algorithm: \\\-approximation\ text \The previous approximation uses very little information about the optimal solution (it has at most as many vertices as the set itself). With some extra effort we can improve the ratio to \\\ instead of \\+1\. In order to do that we must show that among the vertices removed in each iteration, at most \\\ could belong to an optimal solution. This requires carrying around a set \P\ (via a ghost variable) which records the vertices deleted in each iteration.\ definition inv_partition :: "'a set \ 'a set \ 'a set set \ bool" where "inv_partition S X P \ inv_iv S X \ \P = X \ (\p \ P. \s \ V. p = {s} \ neighbors s) \ card P = card S \ finite P" lemma inv_partition_preserv: assumes inv: "inv_partition S X P" and x_def: "x \ V - X" shows "inv_partition (insert x S) (X \ neighbors x \ {x}) (insert ({x} \ neighbors x) P)" proof - have finite_S: "finite S" using inv and independent_vertices_finite unfolding inv_partition_def inv_iv_def by auto have Sx: "x \ S" using inv and x_def unfolding inv_partition_def inv_iv_def by blast (* main invariant is preserved *) from inv have "inv_iv S X" unfolding inv_partition_def by auto with x_def have "inv_iv (insert x S) (X \ neighbors x \ {x})" proof (intro inv_preserv, auto) qed (* conjunct 1 *) moreover have "\(insert ({x} \ neighbors x) P) = X \ neighbors x \ {x}" using inv unfolding inv_partition_def by auto (* conjunct 2 *) moreover have "(\p\insert ({x} \ neighbors x) P. \s \ V. p = {s} \ neighbors s)" using inv and x_def unfolding inv_partition_def by auto (* conjunct 3 *) moreover have "card (insert ({x} \ neighbors x) P) = card (insert x S)" proof - from x_def and inv have "x \ \P" unfolding inv_partition_def by auto then have "{x} \ neighbors x \ P" by auto then have "card (insert ({x} \ neighbors x) P) = card P + 1" using inv unfolding inv_partition_def by auto moreover have "card (insert x S) = card S + 1" using Sx and finite_S by auto ultimately show ?thesis using inv unfolding inv_partition_def by auto qed (* conjunct 4 *) moreover have "finite (insert ({x} \ neighbors x) P)" using inv unfolding inv_partition_def by auto (* conclusion *) ultimately show "inv_partition (insert x S) (X \ neighbors x \ {x}) (insert ({x} \ neighbors x) P)" unfolding inv_partition_def by auto qed lemma card_Union_le_sum_card: fixes U :: "'a set set" assumes "\u \ U. finite u" shows "card (\U) \ sum card U" proof (cases "finite U") case False then show "card (\U) \ sum card U" using card_eq_0_iff finite_UnionD by auto next case True then show "card (\U) \ sum card U" proof (induct U rule: finite_induct) case empty then show ?case by auto next case (insert x F) then have "card(\(insert x F)) \ card(x) + card (\F)" using card_Un_le by auto also have "... \ card(x) + sum card F" using insert.hyps by auto also have "... = sum card (insert x F)" using sum.insert_if and insert.hyps by auto finally show ?case . qed qed (* this lemma could be more generally about U :: "nat set", but this makes its application more difficult later *) lemma sum_card: fixes U :: "'a set set" and n :: nat assumes "\S \ U. card S \ n" shows "sum card U \ card U * n" proof cases assume "infinite U \ U = {}" then have "sum card U = 0" using sum.infinite by auto then show "sum card U \ card U * n" by auto next assume "\(infinite U \ U = {})" with assms have "finite U" and "U \ {}"and "\S \ U. card S \ n" by auto then show "sum card U \ card U * n" proof (induct U rule: finite_ne_induct) case (singleton x) then show ?case by auto next case (insert x F) assume "\S\insert x F. card S \ n" then have 1:"card x \ n" and 2:"sum card F \ card F * n" using insert.hyps by auto then have "sum card (insert x F) = card x + sum card F" using sum.insert_if and insert.hyps by auto also have "... \ n + card F * n" using 1 and 2 by auto also have "... = card (insert x F) * n" using card_insert_if and insert.hyps by auto finally show ?case . qed qed (* among the vertices deleted in each iteration, at most \ can belong to an independent set of vertices: the chosen vertex or (some of) its neighbors *) lemma x_or_neighbors: fixes P :: "'a set set" and S :: "'a set" assumes inv: "\p\P. \s \ V. p = {s} \ neighbors s" and ivS: "independent_vertices E S" shows "\p \ P. card (S \ p) \ \" proof fix p assume "p \ P" then obtain s where 1: "s \ V \ p = {s} \ neighbors s" using inv by blast then show "card (S \ p) \ \" proof cases assume "s \ S" then have "S \ neighbors s = {}" using ivS unfolding independent_vertices_def by auto then have "S \ p \ {s}" using 1 by auto then have 2: "card (S \ p) \ 1" using subset_singletonD by fastforce consider (a) "E = {}" | (b) "0 < \" using \_pos by auto then show "card (S \ p) \ \" proof cases case a then have "S = {}" using ivS unfolding independent_vertices_def by auto then show ?thesis by auto next case b then show ?thesis using 2 by auto qed next assume "s \ S" with 1 have "S \ p \ neighbors s" by auto then have "card (S \ p) \ degree_vertex s" using card_mono and finite_neighbors by auto then show "card (S \ p) \ \" using 1 and \_max_degree [of s] by auto qed qed (* the premise combines the invariant and the negated post-condition *) lemma inv_partition_approx: "inv_partition S V P \ approximation_miv \ S" proof - assume H1: "inv_partition S V P" then have "independent_vertices E S" unfolding inv_partition_def inv_iv_def by auto moreover have "independent_vertices E S' \ card S' \ card S * \" for S' proof - let ?I = "{S' \ p | p. p \ P}" (* split the optimal solution among the sets of P, which cover V so no element is lost. We obtain a cover of S' and show the required bound on its cardinality *) assume H2: "independent_vertices E S'" then have "S' \ V" unfolding independent_vertices_def using vertices.simps by blast with H1 have "S' = S' \ \P" unfolding inv_partition_def by auto then have "S' = (\p \ P. S' \ p)" using Int_Union by auto then have "S' = \?I" by blast moreover have "finite S'" using H2 and independent_vertices_finite by auto then have "p \ P \ finite (S' \ p)" for p by auto ultimately have "card S' \ sum card ?I" using card_Union_le_sum_card [of ?I] by auto also have "... \ card ?I * \" using x_or_neighbors [of P S'] and sum_card [of ?I \] and H1 and H2 unfolding inv_partition_def by auto also have "... \ card P * \" proof - have "finite P" using H1 unfolding inv_partition_def by auto then have "card ?I \ card P" using Setcompr_eq_image [of "\p. S' \ p" P] and card_image_le unfolding inv_partition_def by auto then show ?thesis by auto qed also have "... = card S * \" using H1 unfolding inv_partition_def by auto ultimately show "card S' \ card S * \" by auto qed ultimately show "approximation_miv \ S" unfolding approximation_miv_def by auto qed theorem wei_approx_\: "VARS (S :: 'a set) (X :: 'a set) (x :: 'a) { True } S := {}; X := {}; WHILE X \ V INV { \P. inv_partition S X P } DO x := (SOME x. x \ V - X); S := insert x S; X := X \ neighbors x \ {x} OD { approximation_miv \ S }" proof (vcg, goal_cases) case (1 S X x) (* invariant initially true *) (* the invariant is initially true with the ghost variable P := {} *) have "inv_partition {} {} {}" unfolding inv_partition_def inv_iv_def independent_vertices_def by auto then show ?case by auto next case (2 S X x) (* invariant preserved by loop *) (* definedness of assignment *) let ?x = "(SOME x. x \ V - X)" from 2 obtain P where I: "inv_partition S X P" by auto then have "V - X \ {}" using 2 unfolding inv_partition_def by auto then have "?x \ V - X" using some_in_eq by metis (* show that the invariant is true with the ghost variable P := insert ({?x} \ neighbors ?x) P *) with I have "inv_partition (insert ?x S) (X \ neighbors ?x \ {?x}) (insert ({?x} \ neighbors ?x) P)" using inv_partition_preserv by blast then show ?case by auto next case (3 S X x) (* invariant implies post-condition *) then show ?case using inv_partition_approx unfolding inv_approx_def by auto qed subsection "Wei's algorithm with dynamically computed approximation ratio" text \In this subsection, we augment the algorithm with a variable used to compute the effective approximation ratio of the solution. In addition, the vertex of smallest degree is picked. With this heuristic, the algorithm achieves an approximation ratio of \(\+2)/3\, but this is not proved here.\ definition vertex_heuristic :: "'a set \ 'a \ bool" where "vertex_heuristic X v = (\u \ V - X. card (neighbors v - X) \ card (neighbors u - X))" (* this lemma is needed to show that there exist a vertex to be picked by the heuristic *) lemma ex_min_finite_set: fixes S :: "'a set" and f :: "'a \ nat" shows "finite S \ S \ {} \ \x. x \ S \ (\y \ S. f x \ f y)" (is "?P1 \ ?P2 \ \x. ?minf S x") proof (induct S rule: finite_ne_induct) case (singleton x) have "?minf {x} x" by auto then show ?case by auto next case (insert x F) from insert(4) obtain y where Py: "?minf F y" by auto show "\z. ?minf (insert x F) z" proof cases assume "f x < f y" then have "?minf (insert x F) x" using Py by auto then show ?case by auto next assume "\f x < f y" then have "?minf (insert x F) y" using Py by auto then show ?case by auto qed qed lemma inv_approx_preserv2: fixes S :: "'a set" and X :: "'a set" and s :: nat and x :: "'a" assumes inv: "inv_approx S X s" and x_def: "x \ V - X" shows "inv_approx (insert x S) (X \ neighbors x \ {x}) (max (card (neighbors x \ {x} - X)) s)" proof - have finite_S: "finite S" using inv and independent_vertices_finite unfolding inv_approx_def inv_iv_def by auto have Sx: "x \ S" using inv and x_def unfolding inv_approx_def inv_iv_def by blast (* main invariant is preserved *) from inv have "inv_iv S X" unfolding inv_approx_def by auto with x_def have "inv_iv (insert x S) (X \ neighbors x \ {x})" proof (intro inv_preserv, auto) qed (* the approximation ratio is preserved *) moreover have "card (X \ neighbors x \ {x}) \ card (insert x S) * max (card (neighbors x \ {x} - X)) s" proof - let ?N = "neighbors x \ {x} - X" have "card (X \ ?N) \ card X + card ?N" using card_Un_le [of X ?N] by auto also have "... \ card S * s + card ?N" using inv unfolding inv_approx_def by auto also have "... \ card S * max (card ?N) s + card ?N" by auto also have "... \ card S * max (card ?N) s + max (card ?N) s" by auto also have "... = card (insert x S) * max (card ?N) s" using Sx and finite_S by auto finally show ?thesis by auto qed (* conclusion *) ultimately show "inv_approx (insert x S) (X \ neighbors x \ {x}) (max (card (neighbors x \ {x} - X)) s)" unfolding inv_approx_def by auto qed theorem wei_approx_min_degree_heuristic: "VARS (S :: 'a set) (X :: 'a set) (x :: 'a) (r :: nat) { True } S := {}; X := {}; r := 0; WHILE X \ V INV { inv_approx S X r } DO x := (SOME x. x \ V - X \ vertex_heuristic X x); S := insert x S; r := max (card (neighbors x \ {x} - X)) r; X := X \ neighbors x \ {x} OD { approximation_miv r S }" proof (vcg, goal_cases) case (1 S X x r) (* invariant initially true *) then show ?case unfolding inv_approx_def inv_iv_def independent_vertices_def by auto next case (2 S X x r) (* invariant preserved by loop *) (* definedness of assignment *) let ?x = "(SOME x. x \ V - X \ vertex_heuristic X x)" have "V - X \ {}" using 2 unfolding inv_approx_def inv_iv_def by blast moreover have "finite (V - X)" using 2 and finite_V by auto ultimately have "\x. x \ V - X \ vertex_heuristic X x" using ex_min_finite_set [where ?f = "\x. card (neighbors x - X)"] unfolding vertex_heuristic_def by auto then have x_def: "?x \ V - X \ vertex_heuristic X ?x" using someI_ex [where ?P = "\x. x \ V - X \ vertex_heuristic X x"] by auto with 2 show ?case using inv_approx_preserv2 by auto next case (3 S X x r) then show ?case using inv_approx unfolding inv_approx_def inv_iv_def by auto qed end end