The

Complexity of
Boolean
Functions
Ingo Wegener

Johann Wolfgang Goethe-Universitat

WARNING:
This version of the book is for your personal use only. The material
is copyrighted and may not be redistributed.

Copyright c 1987 by John Wiley & Sons Ltd, and B. G. Teubner, Stuttgart.
All rights reserved.
No part of this book may be reproduced by any means, or transmitted, or translated
into a machine language without the written permission of the publisher.
Library of Congress Cataloguing in Publication Data:
Wegener, Ingo
The complexity of boolean functions.
(Wiley-Teubner series in computer science)
Bibliography: p.
Includes index.
1. Algebra, Boolean. 2. Computational complexity.
I. Title. II. Series.
AQ10.3.W44 1987 511.324 87-10388
ISBN 0 471 91555 6 (Wiley)
British Library Cataloguing in Publication Data:
Wegener, Ingo
The complexity of Boolean functions.(Wiley-Teubner series in computer science).
1. Electronic data processingMathematics 2. Algebra, Boolean
I. Title. II. Teubner, B. G.
004.01511324
QA76.9.M3
ISBN 0 471 91555 6
CIP-Kurztitelaufnahme der Deutschen Bibliothek
Wegener, Ingo
The complexity of Boolean functions/Ingo Wegener.Stuttgart: Teubner; Chichester; New York; Brisbane; Toronto; Singapore: Wiley, 1987
(Wiley-Teubner series in computer science)
ISBN 3 519 02107 2 (Teubner)
ISBN 0 471 91555 6 (Wiley)
Printed and bound in Great Britain

On this version of the Blue Book

This version of The Complexity of Boolean Functions, for some

people simply the Blue Book due to the color of the cover of the original from 1987, is not a print-out of the original sources. It is rather a
facsimile of the original monograph typeset in LATEX.
The source les of the Blue Book which still exist (in 1999) have been
written for an old version of troff and virtually cannot be printed out
anymore. This is because the (strange) standard font used for the text
as well as the special fonts for math symbols seem to be nowhere to
nd today. Even if one could nd a solution for the special symbols, the
available text fonts yield a considerably dierent page layout which seems
to be undesirable. Things are further complicated by the fact that the
source les for the gures have been lost and would have to be redone
with pic.
Hence, it has been decided to translate the whole sources to LATEX
in order to be able to x the above problems more easily. Of course,
the result can still only be an approximation to the original. The fonts
are those of the CM series of LATEX and have dierent parameters than
the original ones. For the spacing of equations, the standard mechanisms
of LATEX have been used, which are quite dierent from those of troff.
Hence, it is nearly unavoidable that page breaks occur at dierent places
than in the original book. Nevertheless, it has been made sure that all
numbered items (theorems, equations) can be found on the same pages
as in the original.
You are encouraged to report typos and other errors to Ingo Wegener
by e-mail: [email protected]

Preface

When Goethe had fundamentally rewritten his IPHIGENIE AUF

TAURIS eight years after its rst publication, he stated (with resignation, or perhaps as an excuse or just an explanation) that, Such a
work is never actually nished: one has to declare it nished when one
has done all that time and circumstances will allow. This is also my
feeling after working on a book in a eld of science which is so much
in ux as the complexity of Boolean functions. On the one hand it is
time to set down in a monograph the multiplicity of important new
results; on the other hand new results are constantly being added.
I have tried to describe the latest state of research concerning results and methods. Apart from the classical circuit model and the
parameters of complexity, circuit size and depth, providing the basis
for sequential and for parallel computations, numerous other models
have been analysed, among them monotone circuits, Boolean formulas, synchronous circuits, probabilistic circuits, programmable (universal) circuits, bounded depth circuits, parallel random access machines
and branching programs. Relationships between various parameters of
complexity and various models are studied, and also the relationships
to the theory of complexity and uniform computation models.
The book may be used as the basis for lectures and, due to the
inclusion of a multitude of new ndings, also for seminar purposes.
Numerous exercises provide the opportunity of practising the acquired
methods. The book is essentially complete in itself, requiring only
basic knowledge of computer science and mathematics.
This book I feel should not just be read with interest but should
encourage the reader to do further research. I do hope, therefore, to
have written a book in accordance with Voltaires statement, The
most useful books are those that make the reader want to add to
v

vi

them.
I should like to express my thanks to Annemarie Fellmann, who
set up the manuscript, to Linda Stapleton for the careful reading of
the text, and to Christa, whose complexity (in its extended denition,
as the sum of all features and qualities) far exceeds the complexity of
all Boolean functions.

Frankfurt a.M./Bielefeld, November 1986

Ingo Wegener

Contents

1.
1.1
1.2
1.3
1.4
1.5

2.
2.1
2.2
2.3
2.4
2.5
2.6

3.
3.1
3.2
3.3
3.4
3.5
3.6
3.7

Introduction to the theory of Boolean functions and

circuits
Introduction
Boolean functions, laws of computation, normal forms
Circuits and complexity measures
Circuits with bounded fan-out
Discussion
Exercises

1
1
3
6
10
15
19

The minimization of Boolean functions

Basic denitions
The computation of all prime implicants and reductions
of the table of prime implicants
The minimization method of Karnaugh
The minimization of monotone functions
The complexity of minimizing
Discussion
Exercises

25
29
31
33
35
36

The design of ecient circuits for some fundamental

functions
Addition and subtraction
Multiplication
Division
Symmetric functions
Storage access
Matrix product
Determinant
Exercises

39
39
51
67
74
76
78
81
83

vii

22
22

viii

4.
4.1
4.2
4.3
4.4
4.5
4.6
4.7
4.8

Asymptotic results and universal circuits

The Shannon eect
Circuits over complete bases
Formulas over complete bases
The depth over complete bases
Monotone functions
The weak Shannon eect 1
Boolean sums and quadratic functions
Universal circuits
Exercises

87
87
88
93
96
98
06
107
110
117

5.
5.1
5.2
5.3
5.4
5.5
5.6

Lower bounds on circuit complexity

Discussion on methods
2 n - bounds by the elimination method
Lower bounds for some particular bases
2.5 n - bounds for symmetric functions
A 3n - bound
Complexity theory and lower bounds on circuit
complexity
Exercises

119
119
122
125
127
133

Monotone circuits
Introduction
Design of circuits for sorting and threshold functions
Lower bounds for threshold functions
Lower bounds for sorting and merging
Replacement rules
Boolean sums
Boolean convolution
Boolean matrix product
A generalized Boolean matrix product
Razborovs method
An exponential lower bound for clique functions
Other applications of Razborovs method

145
145
148
154
158
160
163
168
170
173
180
184
192

6.
6.1
6.2
6.3
6.4
6.5
6.6
6.7
6.8
6.9
6.10
6.11
6.12

138
142

ix

6.13 Negation is powerless for slice functions

6.14 Hard slices of NP-complete functions
6.15 Set circuits - a new model for proving lower bounds
Exercises

195
203
207
214

7.
7.1
7.2
7.3
7.4

Relations between circuit size, formula size and depth

Formula size vs. depth
Circuit size vs. formula size and depth
Joint minimization of depth and circuit size, trade-os
A trade-o result
Exercises

218
218
221
225
229
233

8.
8.1
8.2
8.3
8.4
8.5
8.6
8.7
8.8

Formula size
Threshold - 2
Design of ecient formulas for threshold - k
Ecient formulas for all threshold functions
The depth of symmetric functions
The Hodes and Specker method
The Fischer, Meyer and Paterson method
The Nechiporuk method
The Krapchenko method
Exercises

235
235
239
243
247
249
251
253
258
263

9.

Circuits and other non uniform computation methods vs.

Turing machines and other uniform computation models
Introduction
The simulation of Turing machines by circuits: time and
size
The simulation of Turing machines by circuits: space and
depth
The simulation of circuits by Turing machines with
oracles
A characterization of languages with polynomial circuits
Circuits and probabilistic Turing machines

9.1
9.2
9.3
9.4
9.5
9.6

267
267
271
277
279
282
285

9.7
9.8

May NP-complete problems have polynomial circuits ?

Uniform circuits
Exercises

288
292
294

10.
10.1
10.2
10.3

Hierarchies, mass production and reductions

Hierarchies
Mass production
Reductions
Exercises

296
296
301
306
318

11.
11.1
11.2
11.3
11.4
11.5

Bounded-depth circuits
Introduction
The design of bounded-depth circuits
An exponential lower bound for the parity function
The complexity of symmetric functions
Hierarchy results
Exercises

320
320
321
325
332
337
338

12.
12.1
12.2
12.3

Synchronous, planar and probabilistic circuits

Synchronous circuits
Planar and VLSI - circuits
Probabilistic circuits
Exercises

340
340
344
352
359

13.
13.1
13.2
13.3
13.4
13.5

PRAMs and WRAMs: Parallel random access machines

Introduction
Upper bounds by simulations
Lower bounds by simulations
The complexity of PRAMs
The complexity of PRAMs and WRAMs with small
communication width
13.6 The complexity of WRAMs with polynomial resources
13.7 Properties of complexity measures for PRAMs and WRAMs
Exercises

361
361
363
368
373
380
387
396
411

xi

14. Branching programs

14.1 The comparison of branching programs with other
models of computation
14.2 The depth of branching programs
14.3 The size of branching programs
14.4 Read-once-only branching programs
14.5 Bounded-width branching programs
14.6 Hierarchies
Exercises

414
414
418
421
423
431
436
439

References

442

Index

455

1. INTRODUCTION TO THE THEORY OF BOOLEAN FUNCTIONS AND CIRCUITS

1.1 Introduction

Which of the following problems is easier to solve - the addition

or the multiplication of two n-bit numbers ? In general, people feel
that adds are easier to perform and indeed, people as well as our
computers perform additions faster than multiplications. But this is
not a satisfying answer to our question. Perhaps our multiplication
method is not optimal. For a satisfying answer we have to present
an algorithm for addition which is more ecient than any possible
algorithm for multiplication. We are interested in ecient algorithms
(leading to upper bounds on the complexity of the problem) and also in
arguments that certain problems cannot be solved eciently (leading
to lower bounds). If upper and lower bound for a problem coincide
then we know the complexity of the problem.
Of course we have to agree on the measures of eciency. Comparing two algorithms by examining the time someone spends on the two
procedures is obviously not the right way. We only learn which algorithm is more adequat for the person in question at this time. Even
dierent computers may lead to dierent results. We need fair criterions for the comparison of algorithms and problems. One criterion
is usually not enough to take into account all the relevant aspects.
For example, we have to understand that we are able to work only
sequentially, i.e. one step at a time, while the hardware of computers
has arbitrary degree of parallelism. Nowadays one even constructs
parallel computers consisting of many processors. So we distinguish
between sequential and parallel algorithms.
The problems we consider are Boolean functions f : {0 1}n
{0 1}m . There is no loss in generality if we encode all information by
the binary alphabet {0 1} . But we point out that we investigate nite

functions, the number of possible inputs as well as the number of possible outputs is nite. Obviously, all these functions are computable.
In 2 we introduce a rather general computation model, namely circuits. Circuits build a model for sequential computations as well as
for parallel computations. Furthermore, this model is rather robust.
For several other models we show that the complexity of Boolean
functions in these models does not dier signicantly from the circuit
complexity. Considering circuits we do not take into account the specic technical and organizational details of a computer. Instead of
that, we concentrate on the essential subjects.
The time we require for the computation of a particular function
can be reduced in two entirely dierent ways, either using better computers or better algorithms. We like to determine the complexity of a
function independently from the stage of the development of technology. We only mention a universal time bound for electronic computers.
For any basic step at least 5 6 1033 seconds are needed (Simon (77)).
Boolean functions and their complexity have been investigated
since a long time, at least since Shannons (49) pioneering paper. The
earlier papers of Shannon (38) and Riordan and Shannon (42) should
also be cited. I tried to mention the most relevant papers on the complexity of Boolean functions. In particular, I attempted to present also
results of papers written in Russian. Because of a lack of exchange
several results have been discovered independently in both parts of
the world.
There is large number of textbooks on logical design and switching circuits like Caldwell (64), Edwards (73), Gumm and Poguntke (81), Hill and Peterson (81), Lee (78), Mendelson (82), Miller (79),
Muroga (79), and Weyh (72). These books are essentially concerned
with the minimization of Boolean functions in circuits with only two
logical levels. We only deal with this problem in Ch. 2 briey. The
algebraical starting-point of Hotz (72) will not be continued here. We
develop the theory of the complexity of Boolean functions in the sense
of the book by Savage (76) and the survey papers by Fischer (74),

Harper and Savage (73), Paterson (76), and Wegener (84 a). As almost 60% of our more than 300 cited papers were published later
than Savages book, many results are presented for the rst time in
a textbook. The fact that more than 40% of the relevant papers on
the complexity of Boolean functions are published in the eighties is a
statistical argument for the claim that the importance of this subject
has increased during the last years.
Most of the book is self-contained. Fundamental concepts of linear
algebra, analysis, combinatorics, the theory of ecient algorithms (see
Aho, Hopcroft and Ullman (74) or Knuth (81)) and the complexity
theory (see Garey and Johnson (79) or Paul (78)) will be applied.

1.2 Boolean functions, laws of computation, normal forms

By Bn m we denote the set of Boolean functions f : {0 1}n
{0 1}m . Bn also stands for Bn 1 . Furthermore we dene the most
important subclass of Bn m , the class of monotone functions Mn m .
Again Mn = Mn 1 .
an ) , b = (b1
bn) {0 1}n .
DEFINITION 2.1 : Let a = (a1
We use the canonical ordering, i.e. a b i ai bi for all i where
0 1 . A Boolean function is called monotone i a b implies
f(a) f(b) .
For functions f Bn we have 2n dierent inputs, each of them can
be mapped to 0 or 1 .
n
PROPOSITION 2.1. : There exist 22 functions in Bn .

Because of the large number of Boolean functions we avoid proofs

by case inspection at least if n 3 . Since we use the 16 functions of
B2 as basic operations, we discuss these functions. We have the two
constant functions also denoted by 0 and 1 . Similarly, we use xi to
denote not only a variable but also to denote the i -th projection. Two
projections, x1 and x2 , are contained in B2 as there are two negations,
x1 and x2 (x = 1 i x = 0) . The logical conjunction x y computes 1
i x = y = 1 , and the logical disjunction x y computes 1 i x = 1
or y = 1 . Let x1 = x and x0 = x . For a b c {0 1} we get 8
dierent functions of type- , namely (xa yb )c . Obviously x y =
(x y) is of type- . The same holds for NAND(x y) = (x y)
and NOR(x y) = (x y) = x y . The EXCLUSIVE - OR (XOR)function also called parity is denoted by x y and computes 1 i
exactly one of the variables equals 1 . The last 2 functions in B2 are
XOR and its negation x y = (x y) called EQUIVALENCE.
and are type- functions. We list some simple laws of computation.

PROPOSITION 2.2 : Let x y and z be Boolean variables.

i)

(Calculations with constants): x 0 = x , x 1 = 1 , x 0 = 0 ,

x 1 = x, x 0 = x, x 1 = x.

ii) , and are associative and commutative.

iii) ( ) , ( ) and ( ) are distributive, e.g. x (y z) =
(x y) (x z) .
iv) (Laws of simplication): xx = x , xx = 1 , xx = x , xx = 0 ,
x x = 0 , x x = 1 , x (x y) = x , x (x y) = x .
v) (Laws of deMorgan): (x y) = x y , (x y) = x y .
These laws of computation remain correct if we replace Boolean
variables by Boolean functions. By induction we may generalize the
laws of deMorgan to n variables. We remark that ({0 1} ) is the
Galois eld 2 . Instead of x y we often write only xy . In case of
doubt we perform conjunctions at rst, so xyz stands for (xy)z .

Similarly to the iterated sum and the iterated product , we use

, and
for iterated , , .
Before presenting computation models for Boolean functions we
want to discuss how we can dene and describe Boolean functions.
Because we consider nite functions f Bn m we can describe them by
a complete table x f(x) whose length is 2n . If f Bn it is sucient
to specify f 1(1) or f 1(0) . In general it is easier to describe a function
by its behavior, e.g. f Bn computes 1 i the number of ones in the
input is larger than the number of zeros.
As a second step we describe Boolean functions by Boolean operations. The disjunctive and conjunctive normal form (DNF and CNF)
are based on f 1 (1) and f 1(0) resp.
a(n))

DEFINITION 2.2 : The minterm ma for a = (a(1)

a(1)
a(n)
{0 1}n is dened by ma(x) = x1 xn .
a(1)

The appropriate maxterm is sa (x) = x1

THEOREM 2.1 : f(x) =

ma (x) =

af 1 (1)

a(n)

xn

sb (x) .

bf 1 (0)

The rst and second representation are called disjunctive and conjunctive normal form resp. (DNF and CNF).
Proof : By denition, ma (x) = 1 i x = a and sa (x) = 0 i x = a .
f(x) equals 1 i x f 1(1) i one of the minterms ma(x) for a f 1 (1)
computes 1 . Similar arguments work for the CNF of f .

Since (fg)1(1) = f 1(1)g1(1) and (fg)1(1) = f 1(1)g1(1) ,

it is easy to compute the DNF (or CNF) of f g or f g . Both representations are not convenient for the solution of Boolean equations.
We are not able to subtract terms, because neither ({0 1} ) nor
({0 1} ) is a group as ({0 1} ) is.

THEOREM 2.2 : (Ring sum expansion (RSE) of f)

For each Boolean function f Bn there is exactly one 0-1-vector a =
(aA)A{1 n} such that
aA

f(x) =
A{1

n}

xi

(2.1)

iA

Proof : The existence of the vector a is proved constructively. We

start with the CNF of f . Using the laws of deMorgan, we replace disjunctions by conjunctions and negations, in particular, the maxterm
b(1)
b(n)
sb (x) is replaced by (x1 xn ) . Afterwards we replace negations x by x 1 . Since we obtain a representation of f by and ,
we may apply the law of distributivity to get a -sum of -products
and constants. Since t t = 0 , we set aA = 1 i the number of terms
xi (i A) in our sum is odd.
For dierent functions f and g we obviously require dierent vectors
a(f) and a(g) . Since the number of dierent vectors a = (aA)A{1 n}
equals the number of functions f Bn , there cannot be two dierent
vectors a and a for f .

The RSE of f is appropriate for the solution of Boolean equations.

Since t t = 0 , we may subtract t by -adding t .

1.3 Circuits and complexity measures

We may use the normal forms of 2 for the computation of Boolean
functions. But intuitively simple functions may have exponential
length for all normal forms. Consider for example f Bn where
f(x) = 1 i x1 + + xn 0 mod 3 .
In order to develop an appropriate computation model we try to
simulate the way in which we perform calculations with long numbers.

We only use a small set of well-known operations, the addition of digits, the application of multiplication tables, comparison of digits, and
if - tests. All our calculations are based on these basic operations only.
Here we choose a nite set of one - output Boolean functions as basis. Inputs of our calculations are the variables x1
xn and w.l.o.g.
also the constants 0 and 1 . We do neither distinguish between constants and constant functions nor between variables and projections
x xi . One computation step is the application of one of the basic operations to some inputs and/or already computed data.
In the following we give a correct description of such a computation
called circuit.
DEFINITION 3.1 : An -circuit works for a xed number n of
Boolean input variables x1
xn . It consists of a nite number b
of gates G(1)
G(b) . Gate G(i) is dened by its type i
and, if i Bn(i) , some n(i)-tuple (P(1)
P(n(i))) of predecessors.
P(j) may be some element from {0 1 x1
xn G(1)
G(i 1)} .
By res G(i) we denote the Boolean function computed at G(i) . res is
dened inductively. For an input I res I is equal to I .
If G(i) = ( i P(1)
P(n(i))) ,
res G(i) (x) = i (res P(1)(x)

res P(n(i)) (x))

(3.1)

ym ) , where yi is some input or

Finally the output vector y = (y1
gate, describes what the circuit computes, namely f Bn m , where
f = (f1
fm) and f i is the function computed at yi .
It is often convenient to use the representation of a circuit by a
directed acyclic graph. The inputs are the sources of the graph, the
vertex for the gate G(i) is labelled by the type i of G(i) and has
n(i) numbered incoming edges from the predecessors of G(i) . If i is
commutative, we may withdraw the numbering of edges.
Our denition will be illustrated by a circuit for a fulladder
f(x1 x2 x3) = (y1 y0) . Here (y1 y0) is the binary representation of

x1 + x2 + x3 , i.e. x1 + x2 + x3 = y0 + 2 y1 . We design a B2 -circuit in the

following way. y1 , the carry bit, equals 1 i x1 + x2 + x3 is at least 2 ,
and y0 , the sum bit, equals 1 i x1 + x2 + x3 is odd. In particular,
y0 = x1 x2 x3 can be computed by 2 gates. Since x1 x2 is already
computed, it is ecient to use this result for y1 . It is easy to check
that
y1 = [(x1 x2 ) x3] [x1 x2 ]

(3.2)

We obtain the following circuit where all edges are directed top - down.
G1 = ( x1 x2) G2 = ( G1 x3) G3 = ( x1 x2)
G4 = ( G1 x3) G5 = ( G3 G4) (y1 y0) = (G5 G2)

x1

G3

x2

x3

G1

G4

G5 = y1

G2

Fig. 3.1
In the following we dene circuits in a more informal way.
Many circuits are computing the same function. So we look for
optimal circuits, i.e. we need criterions to compare the eciency of
circuits. If a circuit is used for a sequential computation the number
of gates measures the time for the computation. In order to ease
the discussion we assume that the necessary time is for all basic operations the same. Circuits (or chips) in the hardware of computers

have arbitrary degree of parallelism. In our example G1 and G3 may

be evaluated in parallel at the same time, afterwards the inputs of G2
and G4 are computed and we may evaluate these two gates in parallel,
and nally G5 . We need only 3 instead of 5 computation steps.
DEFINITION 3.2 : The size or complexity C(S) of a circuit S equals
the number of its gates. The circuit complexity of f with respect to
the basis , C (f) , is the smallest number of gates in an -circuit
computing f . The depth D(S) of S is the length (number of gates) of
the longest path in S . The depth of f with respect to , D (f) , is the
minimal depth of an -circuit computing f .
For sequential computations the circuit complexity (or briey just
complexity) corresponds to the computation time.
In Ch. 9 we
derive connections between depth and storage space for sequential
computations. For parallel computations the size measures the cost for
the construction of the circuit, and depth corresponds to computation
time. In either case we should try to minimize simultaneously size
and depth. It does not seem to be possible to realize this for all
functions (see Ch. 7).
We want to show that the circuit model is robust. The complexity
measures do not really depend on the underlying basis if the basis is
large enough. In 4 we show that the complexity of functions does
not increase signicantly by the necessary (from the technical point of
view) restrictions on the number of edges (or wires) leaving a gate.
DEFINITION 3.3 : A basis is complete if any Boolean function
can be computed in an -circuit.
The normal forms in 2 have shown that { } and { }
are complete bases. By the laws of deMorgan even the smaller bases
{ } and { } are complete, whereas { } is incomplete. Complexity and depth of Boolean functions can increase only by a constant

10

factor if we switch from one complete basis to another. Therefore we

may restrict ourselves to the basis B2 and denote by C(f) and D(f)
the circuit complexity and depth resp. of f with respect to B2 . In
Ch. 6 we prove that C{ }(f) C(f) can become arbitrarily large for
functions computable over { } .
THEOREM 3.1 : Let and be complete bases, c = max{C (g) |
g } and d = max{D (g) | g } .
Then C (f) c C (f) and D (f) d D (f) for all f Bn .
Proof : We make use of the idea that subcircuits may be replaced by
equivalent subcircuits. Here we replace gates for g , which are
small subcircuits, by optimal (with respect to size or depth) -circuits
for g . Starting with an - circuit computing f we obtain an -circuit
with the required properties.

1.4 Circuits with bounded fan - out

From the technical point of view it may be necessary to bound the

fan-out of gates by some constant s , i.e. the result of a gate may be
used only s times. The appropriate complexity measures are denoted
by Cs and Ds . By denition
C Cs+1 Cs C1

(4.1)

Any function computable by an -circuit may be computed by an circuit with fan-out 1 . This can be proved by induction on c = C (f) .
Nothing has to be proved for c = 0 . For c 0 we consider an -circuit
for f with c gates. Let g1
gr be the functions computed at the
predecessors of the last gate. Since C (gi) c , gi can be computed
by an -circuit with fan-out 1 . We take disjoint -circuits with fanout 1 for g1
gr and combine them to an -circuit with fan-out 1

11

for f . The depth of the new circuit is not larger than that of the old
one, thus D (f) = Ds (f) for all s . In future we do not investigate
Ds anymore. With the above procedure the size of the circuit may
increase rapidly. For s 2 , we can bound the increase of size by
the following algorithm of Johnson, Savage and Welch (72). We also
bound the fan-out of the variables by s .
If some gate G (or some variable) has fan-out r s we use s 1
outgoing wires in the same way as before and the last outgoing wire
to save the information of G . We build a subcircuit in which again
res G is computed. We still have to simulate r (s 1) outgoing wires
of G. If s 2 , the number of unsimulated wires decreases with each
step by s 1 . How can we save the information of gate G ? By
computing the identity x x . Let l () be the smallest number of
gates in order to compute a function g = res G at some gate given g
as input. We claim that l () {1 2} . Let be a nonconstant
basic operation. Let Bm . Since is not constant, input vectors
exist diering only at one position (w.l.o.g. the last one) such that
(a1
am1 1) = (a1
am1 0) . We need only one wire out
of G to compute (a1
am1 res G ) which equals res G , implying
l () = 1 , or res G . In the second case we repeat the procedure and
compute ( res G ) = res G implying l () = 2 . At the end we obtain
a circuit for f in which the fan-out is bounded by s .
THEOREM 4.1 : Let k be the fan-in of the basis , i.e. the largest
number of inputs for a function of . If f Bn may be computed by
an -circuit and if s 2 then
Cs (f) (1 + l ()(k 1) (s 1)) C (f)

(4.2)

Proof : If the fan-out of some gate is large, we need many gates of

fan-out s for the simulation of this gate. But the average fan-out of
the gates cannot be large. Since the fan-in is bounded by k the average
fan-out cannot be larger than k . We explain these ideas in detail.

12

Let r be the fan-out of some gate or variable. If p 0 is the

smallest number such that s + p(s 1) r , then it is sucient to
save the information of the gate p times. For this, l () p gates are
sucient. With the denition of p we conclude that
s + (p 1)(s 1)

r if r 1

(4.3)

Therefore p is bounded by (r 1) (s 1) if r 1 . In an optimal

circuit for f Bn at most n 1 variables and at most one gate have
fan-out 0 . Let c = C(f) and let ri be the fan-out of the i -th gate
and rj+c the fan-out of xj . We have to sum up all ri 1 where ri 1 .
The sum of all ri (where ri 1) equals the number of wires. Since the
fan-in of the basis is k , the number of wires is bounded by ck . As at
most n parameters ri are equal to 0 the sum of all ri 1 where ri 1
is not larger than ck c . Thus the number of new gates is bounded
by l ()(ck c) (s 1) . Altogether we proved that
Cs (f) c + c l ()(k 1) (s 1)

(4.4)

= (1 + l ()(k 1) (s 1)) C (f)

For each basis the number of gates is increased by a constant

factor only. l () = 1 and k = 2 , if = B2 . For all s 2 we only
have to double the number of gates. For s = 1 our algorithm does not
work. The situation for s = 1 indeed is essentially dierent. In Ch. 8
we present examples in which C1 (f) C(f) becomes arbitrarily large.
DEFINITION 4.1 : The circuits whose fan-out of gates is bounded by
1 are called (Boolean) formulas. L (f) = C1 (f) is called the formula
size of f .
We have motivated circuits with bounded fan-out by technical restrictions. These restrictions are not so strong that the fan-out is
restricted to 1 . Nevertheless we investigate Boolean formulas in Ch. 7
and 8. One reason for this is that we obtain a strong connection be-

13

tween formula size and depth (see Ch. 7). Another reason is that
Boolean formulas correspond to those expressions we usually call formulas. Given a formula we may also bound the fan-out of the inputs
by 1 by using many copies of the inputs. From our graph representation we obtain a tree where the root is the last gate. Basically this is
the representation of arithmetical expressions by trees.
We could be satised. Bounding the fan-out does not increase the
depth of the circuit and the size has to be increased only by a small
constant factor, if s 2 . But with both algorithms discussed we
cannot bound the increase of size and depth simultaneously. This was
achieved at rst by an algorithm of Hoover, Klawe and Pippenger (84).
Size and depth will increase only by a constant factor. Perhaps the
breadth is still increasing (see Schnorr (77) for a discussion of the
importance of breadth).
We present the algorithm only for the case l () = 1 . We saw that
p identity gates are sucient to simulate a gate of fan-out r where
p is the smallest integer such that r s + p(s 1) . For s = 3 we
show in Fig. 4.1 a how Johnson, Savage and Welch replaced a gate of
fan-out 12 . In general, we obtain a tree consisting of a chain of p + 1
nodes whose fan-out is bounded by s . Any other tree with p+1 nodes,
r leaves and fan-out bounded by s (as shown in Fig. 4.1 b) will also do
the job. The root is the gate that has to be simulated, and the other p
nodes are identity gates. The r outgoing wires can be used to simulate
the r outgoing wires of the gate we simulate. The number of gates
behaves as in the algorithm of Johnson et al. We have some inuence
on the increase in depth of the circuit by choosing appropriate trees.
In a given circuit S with b gates G1
Gb we work bottom-up.
Let Sb = S . We construct Si1 from Si by replacing gate Gi by an
appropriate tree. Then S = S0 is a circuit of fan-out s equivalent
to S . The best thing we could do in each step is to replace Gi by a
tree Ti such that the longest path in Si1 , starting at the root of Ti ,
is kept as short as possible. In the following we describe an ecient
algorithm for the choice of Ti .

14

a)

b)
Fig. 4.1

We dene a weight function on the nodes of all trees T with r

leaves, fan-out bounded by s and p + 1 inner nodes. Here r is the
fan-out of Gi and p is the proper parameter. Let S(T) be the circuit
produced by the replacement of Gi by T in Si . Then the weight of a
node u T should be the length of the longest path in S(T) starting
in u . The weight of the r leaves of T is given and the weight of the
inner nodes is recursively dened by
w(u) = 1 + max{w(u ) | u is son of u}

(4.5)

In order to choose a tree whose root has minimal weight, we use

a so-called Human algorithm (for a discussion of this class of algorithms see Ahlswede and Wegener (86), Glassey and Karp (72) or
Picard (65)).
It is easier to handle trees where all inner nodes have fan-out exactly s. For that reason we add s + p(s 1) r dummy leaves whose
weight is . Altogether we now have exactly s + p(s 1) leaves.
ALGORITHM 4.1 :
Input : V , a set of s + p(s 1) nodes, and a weight function w on V .
Output : T a tree with p + 1 inner nodes of fan-out s . The leaves
correspond uniquely to the nodes in V .

15

Let W = V . If |W| = 1 , T is constructed. While |W| 1 , we choose

those s nodes v1
vs W which have the smallest weight. These
nodes become the sons of a new node v whose weight is dened by
(4.5). We remove v1
vs from W and add v to W .
We would stray too much from the subject, if we presented those
results on Human algorithms which lead to the following estimation
of the depth of S . For the size of S we obtain the same bound as in
Theorem 4.1.
THEOREM 4.2 : Let S be an -circuit with one output and let k be
the fan-in of . For s 2 , we can eciently construct an equivalent
circuit S whose fan-out is bounded by s such that
C(S ) (1 + l ()(k 1) (s 1)) C(S)

(4.6)

and
D(S ) (1 + l () log s k) D(S)

(4.7)

In 5 we summarize the conclusions drawn from the results of 3

and 4.

1.5 Discussion

It turned out that circuits build an excellent model for the computation of Boolean functions. Certainly circuit complexity and depth
of a Boolean function cannot be measured unambigously. These complexity measures depend on

the costs and the computation time of the dierent types of gates

the underlying basis and

16

the fan-out restriction.

This eect is unpleasant. How can we nd out whether f is easier than g ? The results of 3 and 4 showed that the eect of
the above mentioned criterions on circuit complexity and depth of a
Boolean function can be estimated by a constant factor (with the only
exceptions of incomplete bases and the fan-out restriction 1). If we
ignore constant factors, we can limit ourselves to a xed circuit model.
The basis is B2 , all gates cause the same cost, and the fan-out is not
restricted. Comparing two functions f and g not only C(f) and C(g)
but also D(f) and D(g) dier by a constant factor. In fact we do not
consider some denite function f but natural sequences of functions
fn . Instead of the addition of two 7-bit numbers, a function f B14 8 ,
we investigate the sequence of functions fn B2n n+1 where fn is the
addition of two n-bit numbers.
Let (fn) and (gn ) be sequences of functions. If C(fn) = 11 n and
C(gn) = n2 , C(fn ) C(gn) for n 11 but C(fn) C(gn) is bounded
by 11 and converges to 0 . We state that (gn) is more complex than
(fn) , since for all circuit models the quotient of the complexity of fn
and the complexity of gn converges to 0 . We ignore that gn may be
computed more eciently than fn for small n. We are more interested
in the asymptotic behavior of C(fn) and C(gn) .
Certainly, it would be best to know C(fn) exactly. If it is too
dicult to achieve this knowledge, then, in general, the asymptotic
behavior describes the complexity of fn quite good. Sometimes the
concentration on asymptotics may lead to absurd results.
If C(fn) = 15 n34816 and C(gn) = 2n 100 , C(fn) C(gn) converges to 0 ,
but for all relevant n the complexity of fn is larger than the complexity
of gn . But this is an unrealistic example that probably would not
occur. In the following we introduce the big-oh notation.

17

DEFINITION 5.1 :
large n .
i)

Let f g :

such that f(n) g(n)

0 for

f = O(g) (f does not grow faster than g) if f(n) g(n) c for some
constant c and large n .

ii) f = (g) if g = O(f) .

iii) f = (g) (f and g have the same asymptotic behavior) if f = O(g)
and g = O(f) .
iv) f = o(g) (f grows slower than g) if f(n) g(n) tends to 0 .
v) f = (g) if g = o(f) .
vi) f grows polynomially if f = O(p) for some polynomial p . Notation:
f = nO(1) .

vii) f grows exponentially if f = (2n ) for some

0.

We try to estimate C(fn) and C(gn) as accurately as possible. Often

we have to be satised with assertions like the following. The number
of gates of the circuits Sn for fn has the same asymptotic behavior as
n , n log n , n2 , n3 or even 2n . We want to emphasize the structural
dierence of algorithms with n , n log n , n2 , n3 or 2n computation
steps. In Table 5.1 we compute the maximal input size of a problem
which can be solved in a given time if one computation step can be
performed within 0 001 seconds. The reader should extend this table
by multiplying the running times T(n) by factors not too large and by
adding numbers not too large.
The next table shows how much we gain if we perform 10 computation steps in the same time as we did 1 computation step before.
Constant factors for T(n) do not play any role in this table.
For the polynomially growing functions the maximal possible input
length is increased by a constant factor which depends on the degree of
the polynomial. But for exponentially growing functions the maximal
possible input length is only increased by an additive term. Therefore functions whose circuit size is polynomially bounded are called
eciently computable while the other functions are called intractable.

18

T(n)

Maximal input length which can

be processed within
1 sec.
1 min.
1 h.

n
n log2 n
n2
n3
2n

1 000
140
31
10
9

60 000
4 893
244
39
15

3 600 000
200 000
1 897
153
21

Tab. 5.1

T(n)

n
n log n
n2
n3
2n

Maximal input length which Remarks

can be processed
before
afterwards

m
m
m
m
m

10 m
(nearly) 10 m
3 16 m 10 3 162
2 15 m 10 2 153
m + 3 3 10 23 3

Tab. 5.2
This notation is based on the experience that algorithms whose running time is a polynomial of very large degree or whose running time

is of size 2n for a very small are exceptions.

19

At the end of our discussion we refer to a property distinguishing

circuits and programs for computers. A program for the sorting problem or the multiplication of matrices or any other reasonable problem
should work for instances of arbitrary length. A circuit can work
only for inputs of a given length. For problems like the ones mentioned above, we have to construct sequences of circuits Sn such that
Sn solves the problem for instances of length n. The design of Sn and
the design of Sm are independent if n = m . Therefore we say that circuits build a non uniform computation model while software models
like Turing machines build a uniform model. Non uniform models
are adequate for the hardware of computers. Designing circuits we do
not have if-tests to our disposal, but we can do dierent things for different input lengths. Hence it happens that any sequence of Boolean
functions fn Bn may be computed by (a sequence of) circuits while
not all sequences fn Bn can be computed by a computer or a Turing
machine. Furthermore, it is not astonishing that Turing machine programs may be simulated eciently by circuits (see Ch. 9). Because of
our way of thinking most of the sequences of circuits we design may
be described uniformly and therefore can be simulated eciently by
Turing machines.

EXERCISES
1. What is the cardinality of Bn m ?
2. Let f(x1 x2 x3) = (y1 y0) be the fulladder of 3. y1 is monotone
but y0 is not. Design an { }-circuit for y1 .
3. f is called non degenerated if f depends essentially on all its variables, i.e. the subfunctions of f for xi = 0 and xi = 1 are dierent.
Let Nk be the number of non degenerated functions f Bk and
N0 = 2 .

20

Then
0kn

n
k

Nk = |Bn | .

4. The fraction of degenerated functions f Bn tends to 0 as n .

5. How many functions have the property that we cannot obtain a

constant subfunction even if we replace n 1 variables by constants ?
6. Let f g Mn , t = x1 xn , t = x1 xn .
a) t f g t f or t g .
b) f g t f t or g t .
7. Let dierent functions f g Bn be given by their RSE. How can
one construct an input a where f(a) = g(a) without testing all
inputs ?
8. Design circuits of small size or depth for the following functions :
a) fn (x1

xn y1

b) fn (x0

xn1 y0

yn ) = 1 i xi = yi for all i .
xi 2 i

yn1) = 1 i

0in1

c) fn (x1

yi 2 i .
0in1

xn ) = 1 i x1 + + xn 2 .

9. Which functions f B2 build a complete basis of one function ?

10. Which of the following bases are complete even if the constants
are not given for free ?
a) { } , b) { } ,

c) { } .

11. sel B3 is dened by sel(x y z) = y , if x = 0 , and sel(x y z) = z ,

if x = 1 . Is { sel } a complete basis ?

21

12. Each function computed by an { }-circuit is monotone.

13. Let be complete bases. Dene constants c and d such that
each -circuit S can be simulated by an -circuit S such that
C(S) c C(S ) and D(S) d D(S ) .
14. Compute l ({f}) (see 4) for each nonconstant f B2 .
15. Construct a sequence of graphs Gn such that the algorithm of
Johnson et al. constructs graphs Gn whose depth d(Gn) grows
faster than c d(Gn ) for any constant c if s = 2 .
16. Specify for the following functions easy functions with the same
asymptotic behavior.
a) n2 (n log3 n)
b)

log i
1in

i1

c)
1in

i 2i .

d)
1in

17. log n = o(n) for all

0.

18. nlog n does not grow polynomially and also not exponentially.
19. If f grows polynomially, there exists a constant k such that
f(n) nk + k for all n .

22

2. THE MINIMIZATION OF BOOLEAN FUNCTIONS

2.1 Basic denitions

How can we design good circuits ? If we consider specic functions

like addition or multiplication we take advantage of our knowledge
about the structure of the function (see Ch. 3). Here we treat the
design of circuits for rather structureless functions. Unfortunately, this
situation is not unrealistic, in particular for the hardware construction
of computers. The inputs of such a Boolean function f Bn m may
be the outputs of another Boolean function g Bk n . The properties
of f are described by a table x f(x) . Since the image of g may be
a proper subset of {0 1}n , f is not always dened for all a {0 1}n .
Such Boolean functions are called partially dened.

DEFINITION 1.1 : A partially dened Boolean function is a function f : {0 1}n {0 1 ? } . Bn is the set of all partially dened
Boolean functions on n variables.
A circuit computes f Bn at gate G i f(x) = resG (x) for all
x f 1 ({0 1}).

Since inputs outside of f 1({0 1}) are not possible (or just not
expected ?!), it does not matter which output a circuit produces for
inputs a f 1(?) . Since Bn Bn , all our considerations are valid also
for completely dened Boolean functions. We assume that f is given
by a table of length N = 2n . We are looking for ecient procedures for
the construction of good circuits. The running time of these algorithms
has to be measured in terms of their input size, namely N , the length
of the table, and not n , the length of the inputs of f .

23

The knowledge of circuits, especially of ecient circuits for an arbitrary function is far away from the knowledge that is required to
design always ecient circuits. Therefore one has restricted oneself to
a subclass of circuits. The term minimization of a Boolean function
stands for the design of an optimal circuit in the class of 2-circuits
(for generalizations of the concept of 2 -circuits see Ch. 11). Inputs
of 2-circuits are all literals x1 x1
xn xn . In the rst step we may
compute arbitrary conjunctions (products) of literals. In the second
step we compute the disjunction (sum) of all terms computed in the
rst step. We obtain a sum-of-products for f which also is called polynomial for f . The DNF of f is an example of a polynomial for f . Here
we look for minimal polynomials, i.e. polynomials of minimal cost.
From the practical point of view polynomials have the advantage
that there are only two logical levels needed, the level of disjunctions
is following the level of conjunctions.
DEFINITION 1.2 :
i)

A monom m is a product (conjunction) of some literals. The cost

of m is equal to the number of literals of m .

ii) A polynomial p is a sum (disjunction) of monoms. The cost of p

is equal to the sum of the costs of all m which are summed up by
p.
iii) A polynomial p computes f Bn if p(x) = f(x) for x f 1({0 1}) .
p is a minimal polynomial for f , if p computes f and no polynomial
computing f has smaller cost than p .
Sometimes the cost of a polynomial p is dened as the number of
monoms summed up by p . By both cost measures the cost of the
circuit belonging to p is approximately reected. On the one hand we
need at least one gate for the computation of a monom, and on the
other hand l gates are sucient to compute a monom of length l and
to add it to the other monoms. Since dierent monoms may share the
same submonom we may save gates by computing these submonoms
only once. The following considerations apply to both cost measures.

24

Let p = m1 mk be a polynomial for f . mi(a) = 1 implies

1
p(a) = 1 and f(a) {1 ?} . If m1
i (1) f (?) , we could cancel mi
and would obtain a cheaper polynomial for f .
DEFINITION 1.3 : A monom m is an implicant of f if m1(1)
f 1({1 ?}) and m1(1) f 1(?) . I(f) is the set of all implicants of f .
We have already seen that minimal polynomials consist of implicants only. Obviously the sum of all implicants computes f . If m and
m are implicants, but m is a proper submonom of m , m m = m by
the law of simplication, and we may cancel m .
DEFINITION 1.4 : An implicant m I(f) is called prime implicant
if no proper submonom of m is an implicant of f . PI(f) is the set of
all prime implicants of f .
To sum up we have proved
THEOREM 1.1 :
implicants.

Minimal polynomials for f consist only of prime

All algorithms for the minimization of Boolean functions start with

the computation of all prime implicants. Afterwards PI(f) is used to
construct a minimal polynomial. It is not known whether one may
compute eciently minimal polynomials without computing implicitly
PI(f) .

25

2.2 The computation of all prime implicants and reductions of the

table of prime implicants

The set of prime implicants PI(f) may be computed quite eciently

by the so-called Quine and McCluskey algorithm (McCluskey (56),
Quine (52) and (55)). It is sucient to present the algorithm for
completely dened Boolean functions f Bn . The easy generalization
to partially dened Boolean functions is left to the reader. Since f is
given by its table x f(x) implicants of length n can be found directly.
For each a f 1 (1) the corresponding minterm ma is an implicant. It
is sucient to know how all implicants of length i1 can be computed
if one knows all implicants of length i .
LEMMA 2.1 : Let m be a monom not containing xj or xj . m is an
implicant of f i m xj and m xj are implicants of f .
Proof : If m I(f) , we can conclude m xj (a) = 1 m(a) = 1
f(a) = 1 , hence m xj I(f) . Similarly m xj I(f) . If m xj , m xj I(f) ,
we can conclude m(a) = 1 m xj(a) = 1 or m xj (a) = 1 f(a) = 1 ,
hence m I(f) .

ALGORITHM 2.1 (Quine and McCluskey) :

Input : The table (a f(a)) of some f Bn .
Output : The nonempty sets Qk and Pk of all implicants and prime
implicants resp. of f with length k . In particular PI(f) is the union of
all Pk .
Qn is the set of all minterms ma such that f(a) = 1 , i = n .
While Qi =
i
:= i 1 ;
Qi := {m | j : xj , xj are not in m but m xj m xj Qi+1 } ;
Pi+1 := {m Qi+1 | m Qi : m is not a proper submonom of m } .

26

By Lemma 2.1 the sets Qk are computed correctly. Also the sets of
prime implicants Pk are computed correctly. If an implicant of length
k has no proper shortening of length k 1 which is an implicant, then
it has no proper shortening which is an implicant and therefore it is a
prime implicant. In order to obtain an ecient implementation of Algorithm 2.1 we should make sure that Qi does not contain any monom
twice. During the construction of Qi it is not necessary to test for all
pairs (m m ) of monoms in Qi+1 whether m = m xj and m = m xj for
some j . It is sucient to consider pairs (m m ) where the number of
negated variables in m is by 1 larger than the corresponding number
in m . Let Qi+1 l be the set of m Qi+1 with l negated variables. For
m Qi+1 l and all negated variables xj in m it is sucient to test
whether the monom mj where we have replaced xj in m by xj is in
Qi+1 l 1 . Finally we should mark all m Qi+1 which have shortenings
in Qi . Then Pi+1 is the set of unmarked monoms m Qi+1 .

We are content with a rough estimation of the running time of the

Quine and McCluskey algorithm. The number of dierent monoms is
3n . For each j either xj is in m or xj is in m or both are not in m . Each
monom is compared with at most n other monoms. By binary search
according to the lexicographical order O(n) comparisons are sucient
to test whether m is already contained in the appropriate Qi l . This
search has to be carried out not more than two times for each of the at
most n 3n tests. So the running time of the algorithm is bounded by
O(n2 3n ) . The input length is N = 2n . Using the abbreviation log for
log2 we have estimated the running time by O(Nlog 3 log2 N) . Mileto
and Putzolu (64) and (65) investigated the average running time of
the algorithm for randomly chosen Boolean functions.

The relevant data on f is now represented by the table of prime

implicants.

27

DEFINITION 2.1 : The table of prime implicants (PI-table) for f is

a matrix whose rows correspond to the prime implicants m1
mk
1
of f and whose columns correspond to the inputs y1
ys f (1) .
The matrix entry at place (i j) equals mi(yj ) .
Due to the properties of prime implicants the disjunction of all
prime implicants equals f and for a disjunction of some prime implicants g we know that g f . We are looking for a cheap set of prime
implicants whose disjunction equals f . It is sucient and necessary to
choose for each yj f 1(1) some mi such that mi (yj) = 1 . A choice of
prime implicants is a choice of rows in the PI-table. If and only if the
submatrix consisting of the chosen rows contains no column without
any 1 the disjunction of the chosen prime implicants equals f.
We can simplify our problem by two easy reduction rules. Let ri
be the row corresponding to the prime implicant mi and let cj be the
column corresponding to yj f 1(1) .

LEMMA 2.2 :
i)

If the only 1-entry of cj is contained in ri , we have to choose mi

and may cancel ri and all ck such that mi (yk) = 1 .

ii) If cj cj for some j = j , we may cancel cj .

Proof : i) Obviously mi is the only prime implicant such that
mi (yj) = 1 . Therefore we have to choose mi . If mi (yk) = 1 , we have
done the job for the input yk .
ii) We still have to choose a prime implicant mi such that mi (yj ) = 1 .
Since cj cj implies mi(yj ) = 1 , we ensure that we choose a prime
implicant for input yj .

We perform the reductions until no further reductions are possible.

The result of this procedure is called a reduced PI-table.

28

EXAMPLE 2.1 : We save the rst step and dene f B4 by Q4 , the

set of implicants of length 4 .
Q4: Q4 4 = , Q4 3 = {a b c d a b c d} , Q4 2 = {a b c d a b c d a b c d} ,
Q4 1 = {a b c d a b c d a b c d} , Q4 0 = {a b c d} .
Q3: Q3 3 = , Q3 2 = {a b c a b c b c d} ,
Q3 1 = {a b d a c d a b c a c d b c d} , Q3 0 = {a b c a c d b c d} .
P4 = .
Q2: Q2 2 = , Q2 1 = {b c} , Q2 0 = {c d a c} .
P3 = {a b c a b d} .
Q1 = .
P2 = Q2 .

PI(f) = {a b c a b d b c c d a c}

The PI-table of f

0010 0011 0100 0101 0111 1010 1011 1110 1111

abc
abd
bc
cd
ac

0
0
1
0
0

0
0
1
1
0

1
0
0
0
0

1
1
0
0
0

0
1
0
1
0

0
0
1
0
1

0
0
1
1
1

0
0
0
0
1

0
0
0
1
1

c1 c3 and c8 have a single one. Therefore a minimal polynomial

has to contain a b c b c and a c . We may cancel r1 r3 and r5 and all
columns up to c5 . We could have cancelled c6 since c8 c6 or c7 since
c9 c7 . We obtain the following reduced table.

29

0111

abd
cd

1
1

For a minimal polynomial we choose the cheaper prime implicant c d .

Here the minimal polynomial is uniquely determined and equals a b c
b c a c c d . Using three logical levels we obtain a more ecient
circuit by the representation a b c c ( b a d ) . In our example
the construction of a minimal polynomial from the reduced PI-table
was trivial. In general, this is a hard problem as we shall see in 5.

2.3 The minimization method of Karnaugh

For larger n , at least for n 7 , computers should be used for the

minimization of Boolean functions. The method of Karnaugh (53)
is advantageous if one tries to perform the minimization for n 6
with ones own hand. The main idea is a better representation of our
information.
The set of inputs {0 1}n is an n-dimensional cube. A monom m
of length k corresponds to an (n k)-dimensional subcube where the
k variables of m are xed in the right way. f is a coloring of {0 1}n by
the colors 0 and 1 . m is an implicant i the corresponding subcube is
1-colored. It is even a prime implicant i no larger subcube, i.e. shorter
monom, is 1-colored. A vector a {0 1}n has n neighbors which dier
from a in exactly one position. The recognition of neighborhoods is
exceptionally simple in the Karnaugh diagrams.

30

EXAMPLE 3.1 : The Karnaugh diagram for the function of Example 2.1

a b 00 01 11 10
cd

00
01
11
10

0
0
1
1

1
1
1
0

0
0
1
1

0
0
1
1

We nd f(a b c d) in column ab and row cd . Where are the neighbors of (a b c d) ? It is easy to check that the neighbors can be
reached by one step in one of the four directions. The left neighbor of
an element in the rst column is the last element in the same row, and
so on. These diagrams are clearly arranged for n = 4 . For n 4 , we
even obtain smaller diagrams. For n = 5 , we use two of the diagrams
above, one for e = 0 and one for e = 1 . Then the fth neighbor may
be found at the same position of the other diagram. For n = 6 , we
already have to work with 4 of these diagrams. For n 7 the situation
becomes unintelligible and Karnaugh diagrams should not be used.
In our example each one in the diagram corresponds to an implicant
of length 4 . Ones which are neighbors correspond to implicants of
length 3 . The ones in the rst column correspond to a b c and the
rst two ones in the second column correspond to a b c . The 1-colored
subcube for a b c can be enlarged to the 1-colored subcube of the ones
in the rst and last column corresponding to the implicant b c . Since
the 1-colored subcube for a b c cannot be enlarged, a b c is a prime
implicant. We easily detect prime implicants in Karnaugh diagrams.
Furthermore, we see that the one in the rst row is contained only
in one maximal 1-colored subcube, namely for a b c , which therefore

31

has to be contained in a minimal polynomial. Altogether we follow

the same procedure as described in 2 but we have a more adequat
representation of the information. Veitch (52) suggested a similar
procedure.

2.4 The minimization of monotone functions

Quine (53) has shown that the computation of the always unique
minimal polynomial for a monotone Boolean function is easy.
THEOREM 4.1 : Each prime implicant of a monotone function
f Mn only contains positive literals.
Proof : Let m = m xj I(f) . It is sucient to prove that the shortening m I(f) . If m (a) = 1 either aj = 0 implying m xj (a) = 1 and
f(a) = 1 or aj = 1 . In the last case let b be dened by bj = 0 and
bi = ai for i = j . Then m xj (b) = 1 implying f(b) = 1 . Since b a
and f is monotone, also f(a) = 1 . In either case m (a) = 1 implies
f(a) = 1 . Hence m I(f) .

THEOREM 4.2 : For monotone functions f the unique minimal

polynomial consists of all prime implicants.
Proof : By Lemma 2.2 it is sucient to construct for each m PI(f)
some input a f 1 (1) such that m(a) = 1 and m (a) = 0 for all
m PI(f) , m = m . By Theorem 4.1 we may assume w.l.o.g. that
m(x) = x1 xk . Let ai = 1 i i k . Obviously m(a) = 1 . If
m (a) = 1 , m = m and m PI(f) , m can contain by Theorem 4.1
and by denition of a only variables xi where i k . Therefore m is a
proper submonom of m and m is no prime implicant. Contradiction.

32

The minimal polynomial for f Mn is also called monotone disjunctive normal form (MDNF).
THEOREM 4.3 : The set of functions computable by monotone
circuits, i.e. { }-circuits, is equal to the set of monotone functions.

Proof : By Theorem 4.1 each monotone function may be computed by

a monotone circuit. By induction on the number of gates of a monotone circuit we prove that monotone circuits compute only monotone
functions. The inputs 0 1 x1
xn are monotone. For the induction
step it is sucient to prove that f g and f g are monotone if f and
g are monotone. Let a b . Then
(f g)(a) = min{f(a) g(a)} min{f(b) g(b)} = (f g)(b)

(4.1)

and
(f g)(a) = max{f(a) g(a)} max{f(b) g(b)} = (f g)(b)

(4.2)

Monotone circuits will be investigated in detail in Ch. 6. The monotone basis { } is denoted by m and the corresponding complexity
measures are denoted by Cm and Dm .

33

2.5 The complexity of minimizing

So far we have described ecient algorithms for the computation

of PI(f) and the reduced PI-table. No ecient algorithm for the second part, the computation of a minimal polynomial from the reduced
PI-table, is known. We argue that with high probability no such algorithm exists. For this purpose we use the concept of NP-completeness
(see Garey and Johnson (79)). For all those who are not familiar with
the NP-theory we give the following short explanation. Many (more
than 1000) problems are known to be NP-complete. It can be proved
that one of the following statements is correct. Either all NP-complete
problems have polynomial algorithms or no NP-complete problem may
be solved by a polynomial algorithm. The conjecture of most of the
experts is that the second statement holds. One of the well-known
NP-complete problems is the set cover problem which we prove to be
equivalent to our minimization problem.
DEFINITION 5.1 : An instance of the set cover problem is given
by dierent sets S1
Sm {1
n} such that the union of all Si
is {1
n} , and some number k m . The problem is to decide
whether the union of k of the sets Si equals {1
n} .
The problem of determining the minimum k such that k subsets
n} is not easier. The connection with our
are sucient to cover {1
minimization problem is easy to see. The inputs a f 1(1) correspond
to the elements 1
n and the prime implicants correspond to the
sets Si . In particular, j Si i mi(yj ) = 1 . We may still hope that
minimization problems only lead to easy instances of the set cover
problem. This hope has been destroyed by Paul (75).

34

DEFINITION 5.2 : A 0-1-matrix is called reduced if each row contains at least one 1-entry, each column contains at least two 1-entries
and if no columns c and c have the property c c .
THEOREM 5.1 : For each reduced matrix M there exists a Boolean
function f , whose reduced PI-table equals M . Furthermore f can be
chosen such that all prime implicants of the reduced PI-table have the
same length.
Proof : Let n be the number of rows of M and let S be the set of
columns of M . It will turn out that the following function f Bn+2
satises the assertion of the theorem.
For a {0 1}n we denote a1 an , the parity of a , by |a| . The
vector of zeros only is denoted by 0 .
f(a 0 0) = 1 a = 0 .

(5.1)

f(a 1 1) = 0 for all a {0 1}n .

(5.2)

f(a 1 0) = 1 if a = 0 , a S and |a| = 0 .

(5.3)

f(a 0 1) = 1 if a = 0 , a S and |a| = 1 .

(5.4)

We claim that PI(f) consists of the following three subsets where ma

again is the minterm for a .
PI(f) = {ma xn+1 | a = 0 , a S , |a| = 1}

(5.5)

{ma xn+2 | a = 0 , a S , |a| = 0}

{xi xn+1 xn+2 | 1 i n}
At rst it is easy to see that all monoms in (5.5) are implicants and
no monom is a shortening of another one. Therefore it is sucient to
prove that all other implicants of f are lengthenings of the monoms in
(5.5).

35

Let t I(f) . Because of (5.2) t contains either xn+1 or xn+2 or

both of them. Because of (5.1) t contains some xi if it contains xn+1
and xn+2 . If t contains xn+1 but not xn+2 , then t contains a full
minterm ma . Otherwise t does not contain xi and xi for some i and we
nd vectors a and a diering only at position i such that t(a 0 1) =
t(a 0 1) = 1 implying f(a 0 1) = f(a 0 1) = 1 . Because of (5.4)
|a| = |a | = 1 which is impossible if a and a dier only at one position.
Altogether t contains xn+1 and ma for some a {0 1}n . Again (5.4)
implies that a = 0 , a S and |a| = 1 . Similar arguments hold if t
contains xn+2 but not xn+1 . Altogether we have proved (5.5).
We consider the PI-table of f . The column for (a 0 1) f 1 (1)
has a single one in the row ma xn+1 . The PI-table may be reduced
by eliminating the row ma xn+1 and the columns (a 0 1) and (a 0 0) .
Similar arguments hold for rows ma xn+2 and inputs (a 1 0) f 1(1) .
We obtain the following partially reduced PI-table M . M has rows for
xi xn+1 xn+2 (1 i n) and columns for (a 0 0) and some a S . The
columns (a 0 1) and (a 1 0) have all been eliminated. Column (a 0 0)
has been eliminated either during the elimination of row ma xn+1 i
a S and |a| = 1 or during the elimination of row ma xn+2 i a S
and |a| = 0 . Furthermore xi xn+1 xn+2(a 0 0) = ai . Therefore the
partially reduced PI-table M is equal to the given matrix M . Since
M is reduced, M is reduced too. All prime implicants have length 3 .

2.6 Discussion

As we have shown the minimization of a Boolean function is (probably) a hard problem. Furthermore, a minimal polynomial for f does
not lead to an optimal circuit for f . We only obtain an optimal circuit
in the rather restricted class of two-level-circuits. The following example of Lupanov (65 a) shows that a very simple function may have

36

an expensive minimal polynomial.

PROPOSITION 6.1 : Let f(x) = x1 xn be the parity function.
Then C(f) n 1 but the minimal polynomial consists of 2n1 prime
implicants of length n each.
Proof : By denition C(f) n 1 . PI(f) is the set of minterms ma
such that a1 an = 1 . Since |m1
a (1)| = 1 , all prime implicants
are necessary for the minimal polynomial.

In Ch. 11 we show that even k-level-circuits computing the parity

function require an exponential number of gates. Of course parity is
an extreme example. Korshunov (81 b) and Kuznetsov (83 b) have
shown that for almost all f Bn the number of prime implicants in a
minimal polynomial is at least (1n ) 2n (log n log log n) where n 0
and at most 1 6 2n (log n log log n) . In Ch. 4 we construct eciently
a circuit with at most 2n n + o(2n n) gates for each f Bn .
Finally we mention that it is possible to develop a dual theory by
exchanging the roles of and and of 0 and 1 . Instead of monoms
we obtain Boolean sums and instead of (prime) implicants (prime)
clauses. For monotone functions the monotone conjunctive normal
form (MCNF) is the counterpart of the MDNF.

EXERCISES
1. Compute a minimal polynomial for
f(a b c d) = a b c d a b c d a b c d a b c d a b c d
abcd abcd
2. How often do we obtain m Qi while constructing Qi according
to the Quine and McCluskey algorithm ?

37

3. Describe the set of prime implicants of f Bn where f computes

1 i x1 + + xn 0 mod k .
4. Dene a function f Bn with (3n n) prime implicants.
5. D(f) n + log n for all f Bn .
6. Dene a function f Bn which has not a unique minimal polynomial.
7. Design polynomial { }-circuits for the parity function such
that the number of logical levels grows as slowly as possible.
8. Prove the dual counterpart of Proposition 6.1 for the parity function.
9. Let f g Mn . f g p PI(f) q PI(g) : p q .
10. Compute all prime implicants and prime clauses of Tnk , the k -th
threshold function, computing 1 i the number of ones in the input
is at least k .
For the following problems (Oberschelp (84)) we need some denitions. Let S = {0
s 1} and let i j i + j mod s . An interval
[a b] contains a a 1
b . A (generalized) rectangle is a Cartesian
product of intervals. For a rectangle D Sn and some c S {0} the
corresponding monom m is dened by m(x) = c if x D and m(x) = 0
otherwise. m I(f) if m f . m PI(f) if no implicant m I(f)
corresponds to D and c such that D D , D = D and c = c or
D = D and c c . The partial derivative of f at a with respect to xi
is dened by
f

xi(a) = min{f(a1

ai1 ai 1 ai+1

an) f(a1

an)}

38

11. For s = 2 the above denitions of monoms and (prime) implicants

are equal to the denitions in 1.
12. The order of partial derivatives is arbitrary.
13. f

xi = f

xi

if j j s 1 .

14. Describe the set of functions f : Sn S such that

f i(1) x1 i(n) xn (a) = b .
g(a) for all
15. g : Sn S has a local maximum at a if g(bi )
bi = (a1
ai1 ai 1 ai+1
an ) .
If g = f i(1) x1 i(n) xn has a local maximum at a , the monom
h corresponding to D = [a1 a1 i(1)] [an an i(n)] and
c = g(a) is a prime implicant of f .
16. By the consideration of all local maxima we do not detect all
prime implicants. Describe an algorithm for the computation of
all prime implicants. Consider at rst the case s = 2 .

39

3. THE DESIGN OF EFFICIENT CIRCUITS FOR SOME FUNDAMENTAL FUNCTIONS

In this chapter we design for some fundamental functions circuits

of small size and small depth. The design methods we use are important, since they are quite general. It may be astonishing that we
already need clever and subtle methods for the design of ecient addition, multiplication and division circuits. The basic methods learnt
in school are not ecient enough. In order to estimate the value of
our circuits we mention that for all functions f Bn m considered in
this chapter n 1 gates and depth log n are necessary (see Ch. 5).
Here and in the rest of the book we use the so-called upper and lower
Gaussian brackets.
x = min{z

| z x} and

The binary number a = (an1

a0 20 + + an1 2n1 .

x = max{z

| z x}

a0) {0 1}n has the value |a| =

3.1 Addition and subtraction

DEFINITION 1.1 : The addition function fnadd B2n n+1 has two
n-bit numbers x and y as inputs and computes the (n + 1)-bit representation s of |x| + |y| .
In this section fn means fnadd . How ecient is the addition method
we learnt in school ? We use a halfadder to compute s0 = x0 y0 and
the carry bit c0 = x0 y0 . Afterwards we use n 1 fulladders for
the computation of si and ci from xi , yi and ci1 . Finally sn = cn1 .

40

Already in Ch. 1 we have dened a fulladder of size 5 and depth 3 by

sj = xj yj cj1

and

(1.1)

cj = xj yj (xj yj ) cj1

(1.2)

Altogether we obtain a circuit of size 5n 3 and depth 2n 1 . Here

we compute in parallel all xj yj and xj yj . Afterwards sj and cj can
be computed in depth 2 if cj1 is computed.
THEOREM 1.1 : The school method of addition leads to a circuit
of size 5n 3 and depth 2n 1 .
This circuit is of minimal size (see Ch. 5). But its depth is far too
large. This is not astonishing, since the method has been designed
for sequentially working people. We try to reduce the depth. The
problem is the computation of the carry bits. Later we compute all
carry bits in advance. Now we compute the sum under the condition
that the carry bits have certain values. Afterwards we select the right
output. This procedure due to Sklansky (60 a) and (60 b) is called
Conditional Sum Adder.
For the sake of simplicity we assume that n = 2k . It should always
be easy for the reader to generalize the algorithms to arbitrary n .
The numbers x and y have n = 2k bits and can be divided into 2kl
blocks each of length 2l . The i -th block of x of length L = 2l , namely
(xiL1
x(i1)L) , is denoted by Xi l . Our problem is the addition of
X1 k (the number x) and Y1 k where the carry bit at position 0 is 0 .
The subproblem Pi l c where 0 l k , 1 i 2kl and c {0 1}
is the problem of adding Xil , namely (xiL1
x(i1)L) , Yil , namely
(yiL1
y(i1)L) , and c . Altogether we have to solve P1 k 0 .
Since we are looking for a circuit of small depth, we solve the
problems Pi l c for xed l in parallel. For l = 0 and c = 0 we have to
compute the sum bits xj yj and the carry bits xj yj . For l = 0
and c = 1 we have to compute the sum bits xj yj and the carry bits
xj yj . Altogether step 0 , the solution of all Pi 0 c , can be realized

41

with 4n gates in depth 1 .

In step l (1 l k) we solve all problems Pi l c where we may use
the results of all problems Pi l 1 c . Let us consider Pi l c in more detail.
We have to add the summands (xiL1
x(i1)L) , (yiL1
y(i1)L)
and c . In order to use the solutions of smaller problems, we describe
the summands in another way where L = 2l 1 .
Summands for Pi l c :
x2iL 1

x(2i1)L x(2i1)L 1

x(2i2)L

y2iL 1

y(2i1)L y(2i1)L 1

y(2i2)L

(1.3)
and c

By (1.3) the second half of the solution of Pi l c is the solution of

P2i1 l 1 c without the foremost carry c . The rst half of the solution
of Pi l c is the solution of P2i l 1 c . Since c is given we may directly
use the solution of P2i1 l 1 c . But c is not known in advance. c is
an output of P2i1 l 1 c . Let z0j ((2i 1)L j 2iL ) and z1j be the
output bits of P2i l 1 0 and P2i l 1 1 resp. Using c we may select the
right output bit (z0j if c = 0 or z1j if c = 1) by
zj = (c z1j ) (c z0j)

(1.4)

in depth 2 using 3 gates. Altogether step l can be realized in depth 2

using for each of the 2kl 2 problems 3(2l 1 + 1) gates. The circuit
size of step l is 3(2k + 2kl+1) .
The depth of the whole circuit is 1 + 2k = 2 log n + 1 and the size
is
4n +

1l k

3(2k + 2kl +1) = 4n + 3k 2k + 3(2k+1 2)

(1.5)

= 3n log n + 10n 6

THEOREM 1.2 : The Conditional Sum Adder may be realized (if

n = 2k ) in depth 2 log n + 1 and size 3n log n + 10n 6 .

42

According to our remark at the beginning of this chapter the depth

of this circuit is only double the size of the lower bound. But the size
of the circuit is not linear. The Carry Look Ahead Adder due to Ofman (63) simultaneously has size O(n) and depth O(log n) . Constant
factors for depth have stronger consequences than constant factors for
size. Therefore the adder of Brent (70) of size O(n log n) and depth
log n + O(log1 2 n) is interesting. Krapchenko (70) came up with an
adder of linear size and depth log n + O(log1 2 n) .
THEOREM 1.3 : Krapchenkos adder for n-bit numbers has size
3n + 6 2m and depth m + 7(2m)1 2 + 16 where m = log n .
For n = 2k the size of Krapchenkos adder is only by the factor
of 1 8 larger than the minimal size for an adder. The additive term
7(2m)1 2 + 16 for the depth seems to be quite large, in particular
for small n . In fact the additive term is smaller but our estimations
are not exact. The following proof is long and technically involved,
although the ideas are easy.
Proof of Theorem 1.3 : Krapchenkos adder S consists of ve parts
S1
S5 . In S1 uj = xj yj and vj = xj yj are computed by n halfadders. The crucial part is the computation of the carry bits cj in
S2 , S3 and S4 . Afterwards, it is easy to compute in S5 the outputs
s0 = v0 , sj = vj cj1 for 1 j n 1 and sn = cn1 . Therefore
C(S1) = 2n

D(S1 ) = 1 and

(1.6)

C(S5) = n 1

D(S5 ) = 1

(1.7)

By applying (1.2) for j + 1 times we can compute cj from the u- and

v-parameters.
cj = uj vj cj1 = uj uj1 vj vj1 vj cj2 = =

(1.8)

ui vi+1 vj

=
0ij

This can be interpreted in the following way. Carry cj = 1 i for some

i j at position i we have two ones (ui = 1) and at the positions

43

i+1
j exactly a zero and a one (vi+1 = = vj = 1). More
generally, we dene for b a
Gb a = gba+1 (ub vb

ua+1 va+1 ua) =

(1.9)

ui vi+1 vb

=
aib

V b a = va v b

(1.10)

In particular cj = Gj 0 . In Fig. 1.1 we give a triangle representation

for Gd a where one has to combine the rows by disjunctions. Let a
b d . Since
Gd a :

ua

va+1
vb1 vb
ua+1
vb1 vb

ub

vb+1
vb+1

vb+1

vb+2
vd1
vb+2
vd1

vb+2
vd1

vd
vd Vd b+1

vd

ub+1

vb+2 vd1 vd

ud1 vd
ud

Gb a

Gd b+1
Fig. 1.1

Gd a = Gd b+1 Gb a Vd b+1
Vd a = Vb a Vd b+1

and

(1.11)
(1.12)

According to Fig. 1.1 G-functions are called triangles and V-functions

are called rectangles.
In S2 we compute some not too large triangles and rectangles. For
some parameter to be chosen later we partition {0
n 1} to
blocks of size 2 4
2 and compute the corresponding triangles and
rectangles. These results are used in S3 for the computation of all carry

44

bits cj where j = k 2 1 for some k . In S4 we ll the gaps and compute

all cj .
We have already computed triangles of size 1 , namely uj , and
rectangles of size 1 , namely vj . By (1.11) and (1.12) we may compute
rectangles and triangles of size 2l from the rectangles and triangles of
size 2l 1 with 1 and 2 gates resp. in depth 2 . The number of blocks
of size 2l may be estimated by 2ml . Altogether
C(S2) 3 2m (1 2 ) and D(S2 ) = 2

(1.13)

S4 is rather simple too. In S3 we have computed all ck 2 1 . The

other carry bits are computed in steps where we compute all ck 2 l 1
in step l . For even k these carry bits have already been computed.
For odd k = 2j + 1 by (1.8) (1.12)
c(2j+1) 2 l 1 =

(1.14)

G(2j+1) 2 l 1 (2j) 2 l V(2j+1) 2 l 1 (2j) 2 l c(2j) 2 l 1

The terms on the right-hand side are computed in S2 , S3 or in earlier
steps of S4 . The depth of step l is 2 while the size is 2 for each new
carry. j may take values in {0
2m +l 1 1} . Thus
C(S4) 2 2m (1 2 ) and D(S4 ) = 2

(1.15)

In S3 we use the triangles uj and rectangles vj of size 2 as inputs

(0 j 2m 1) and compute all Gj 0 = gj+1 (uj vj
u0) . By
(1.11) and (1.12) we can conclude that Gj 0 is the carry bit at position
(j + 1) 2 1 . We have to solve the problem of computing all carry
bits but the input size has been reduced from n to 2m .
At rst we explain our ideas by an implementation of small depth
and large size. Afterwards we bound depth and size simultaneously.
Considering depth only to consider one output only is sucient, say
G2m 1 0 = g 2m (u2m 1 v2m1
u0 ) .

45

Again by (1.11) and (1.12)

G2m 1 0 =
0i2mr 1

(1.16)
G2m i 2r 1 2m (i+1) 2r V2m 1 2m i 2r

All triangles on the right side have length 2r , the rectangles can be
computed in depth m , all conjunctions between triangles and rectangles can be done in parallel and by divide-and-conquer, the outer
disjunction can be performed in depth m r .
D(g 2m ) m r + 1 + max{D(g 2r ) m}

(1.17)

since all triangles and rectangles can be computed in parallel. For the
sake of simplicity let us assume that m = h(l ) = 2l . Then we choose
r = h(l 1) . By induction we can prove that
D(g 2h(l ) ) h(l + 1)

(1.18)

For l = 1 , m = 0 and g1 has depth 0 h(2) = 1 . For the induction

step l 1 l we apply (1.17). By induction hypothesis the depth
of g2r is bounded by h(l ) = m . Thus the depth of g2m is bounded
by 2m r + 1 or 2 2l l 1
+ 1 = l +1
= h(l + 1) . Furthermore
2
2
l +1
= 2l + l = m + O(m1 2) and for n 2m the depth of gn is
2
bounded by log n + O(log1 2 n) .
In order to guarantee also linear size we have reduced the number
of inputs by the use of S2 and S4 and we use a more complicated
implementation of all g-functions. Here we have 2m inputs where
m = m . We choose the smallest t such that m 2t = h(t) .
m , it is easy to prove that
Since t1
2
t

(2m )1 2 + 2

(1.19)

For 1 l t and 0 j 2m 1 let d(l j) be the largest multiple of

2h(l ) not larger than j . Then
j 2h(l ) + 1 d(l j) j

in particular d(t j) = 0

For 2 l t and 0 j 2m 1 let

(1.20)

46

e(l j) = (d(l 1 j) d(l j)) 2h(l 1)

By (1.20) we obtain for l

(1.21)

e(l j) (j d(l j)) 2h(l 1)

2h(l )h(l 1) = 2l 1

e(t j) = d(t 1 j) 2h(t1) j 2h(t1)

and

2m h(t1) 2t1

(1.22)
(1.23)

We now compute all triangles G and rectangles V based on the

inputs uj and vj . The rectangles are computed in t 1 steps (1 l
t 1). In step l we compute for 1 k e(l + 1 j) and 0 j 2m 1
V

j d(l j)k 2h(l )

Vj d(l j)

(1.24)
V

1rk

d(l j)(r1) 2h(l ) 1 d(l j)r 2h(l )

The correctness of (1.24) is obvious. It is necessary to prove that the

rectangles on the right side are computed before step l . For k = e(l j) ,
we get d(l j) = d(l 1 j) k 2h(l 1) by (1.21). Therefore Vj d(l j) has
been computed before. For the other rectangles let j = d(l j) (r
1) 2h(l ) 1 . By denition of d(l j) we can nd some k such that
d(l j) = k 2h(l ) , thus j = (k r) 2h(l ) + 2h(l ) 1 .
Furthermore d(l j) r 2h(l ) = (k r) 2h(l ) = d(l j ) by denition of d .
So also the other rectangles are of the form Vj d(l j ) and are computed
before step l .
The triangles are computed in t 1 steps (2 l t). In step l we
compute for 0 j 2m 1
Gj d(l j) = Gj d(l 1 j)
V
1re(l j)

j d(l 1 j)(r1) 2h(l 1)

(1.25)

d(l 1 j)(r1) 2h(l 1) d(l 1 j)r 2h(l 1)

(1.25) is correct by our standard arguments. The rectangles are computed before step l as has been shown above. The triangles on the
right have been computed at step l 1 . Finally Gj d(t j) = Gj 0 is the
carry bit at position (j + 1) 2 1 .

47

We estimate the depth and size of S3 . In (1.24) we compute the

conjunction of at most e(l + 1 j) rectangles. By (1.22) and (1.23) this
can be done in depth l . In (1.25) we perform the conjunctions in
depth 1 in parallel. Afterwards we compute the disjunction of at most
e(l j) + 1 terms. By (1.22) the depth of step l is bounded by l and by
(1.23) the depth of step t is bounded by m h(t 1) + 1 . Altogether
by (1.19)
D(S3) 1 + + t 1 + m h(t 1) + 1 = m + t

(1.26)

m + (2m )1 2 + 2
The size of S3 is estimated in the same way. For the computation of
all rectangles the following number of gates is sucient.
2l (2l 1) 2

k
1l t1 0j2m 1 1ke(l +1 j)

1l t1 0j2m 1

= 2m 2(4t1 1) 3 2t1

(1.27)

The number of gates for the triangles is estimated by

2 e(l j) 2m 2t+1 2t 1

(1.28)

2l t 0j2m 1

By (1.27) and (1.28)

C(S3) 2m 22t1

(1.29)

We summarize our complexity estimations.

D(S) m + (2m )1 2 + 4 + 4 = m + (2m )1 2 + 3 + 4

(1.30)

and
C(S) 3n + 5 2m (1 2 ) + 2m 22t1
where m = log n , m = m and t
= 2(2m)1

(1.31)

(2m )1 2 + 2 . For

+3

m + 2t 1 m and the bounds of the theorem are proved.

(1.32)

48

Since addition is the most fundamental operation, we present another adder which simultaneously has linear size and logarithmic depth
(Ladner and Fischer (80)). The structure of this adder is easier than
Krapchenkos adder.
At rst we solve the prex problem, the ecient computation of
all prexes pi = x1 xi for an associative operation . Later
we explain how the prex problem may be used for the design of an
ecient adder. Ladner and Fischer present a family of algorithms
Ak(n) for inputs of length n . For n = 1 nothing has to be done. Let
n 1.
A0(n) : In parallel we apply A1 ( n 2 ) to x1
x n 2 and A0( n 2 )
to x n 2 +1
xn . Afterwards pi is computed for i n 2 . All
pi = (x1 x n 2 ) (x n 2 +1 xi ) for i
n 2 may be
computed in one step each in parallel.
Ak (n) (k 1) : In parallel we compute the n 2 pairs x1 x2 ,
x3 x4
. Afterwards we apply Ak1( n 2 ) to these pairs and, if
n is odd, xn . We compute all p2i p1 and pn . The missing n 2 1
prexes p2i+1 = p2i x2i+1 can be computed in parallel.
By C(k n) and D(k n) we denote the size and depth resp. of Ak (n) .
Furthermore D (k n) is the depth of pn using Ak (n) . Considering the
description of the algorithms we conclude
C(k 1) = D(k 1) = 0

(1.33)

C(0 n) = C(1 n 2 ) + C(0 n 2 ) + n 2

(1.34)

D(0 n) = max{D(1 n 2 ) D(1 n 2 ) + 1 D(0 n 2 ) + 1}

(1.35)
C(k n) = C(k 1 n 2 ) + 2 n 2 1

(1.36)

D(k n) D(k 1 n 2 ) + 2

(1.37)

D (k n) D(k 1 n 2 ) + 1

(1.38)

We have used the fact that Ak(n) computes pn before the last step.
The solution of (1.33) (1.38) easily follows from induction.

49

THEOREM 1.4 :
0 k log n

The prex problem is solved by Ak(n) . For

C(k n) 2n(1 + 2k) and

(1.39)

D(k n) k + log n

(1.40)

How can we use the prex problem for the addition of binary numbers ? We use the subcircuits S1 and S5 of Krapchenkos adder with
size 2n and n 1 resp. and depth 1 each. S1 computes a coding of the
inputs bits.
uj = xj yj

v j = xj y j

(1.41)

After having computed the carry bits we compute the result by

s0 = v0

sj = vj cj1

for 1 j n 1

sn = cn1

(1.42)

We know that cj = uj vj cj1 . Since (uj vj ) may take the values

(0 0) , (0 1) and (1 0) we consider the functions A(0 0) , A(0 1) and
A(1 0) where
A(u v)(c) = u v c for c {0 1}

(1.43)

By denition we may compute the carry bits by

ci = A(ui vi) A(u0 v0)(0)

(1.44)

This looks like the prex problem.

We have to prove that G = ({A(0 0) A(0 1) A(1 0)} ) is a monoid.
Since the functions are dened on {0 1} it is easy to check by case
inspection that
A(0 0) A(u v) = A(0 0)
A(0 1) A(u v) = A(u v)
A(1 0) A(u v) = A(1 0)

(1.45)
and

(1.46)
(1.47)

The operation on sets of functions is always associative. Therefore

the conditions for the application of the prex algorithms are fullled.

50

We only have to design a circuit for the operation .

Let A(u v) = A(u2 v2) A(u1 v1) . Again by (1.45) (1.47) it is easy
to check that
(u v) = (u2 u1 v2 v1v2 )

(1.48)

Here we nd again the characteristic computation of triangles and

rectangles as in Krapchenkos adder. By (1.48) a subcircuit for the
operation has size 3 and depth 2 . By the prex algorithm Ak (n) we
may compute all (Gi Vi ) {(0 0) (0 1) (1 0)} such that A(Gi Vi)
is equal to A(ui vi) A(u0 v0) with a circuit of size 3 C(k n)
and depth 2 D(k n) . By (1.43) and (1.44) ci = A(Gi Vi )(0) = Gi . We
may save n gates, since we may eliminate the gates for the computation
of Vi . Vi is not necessary for the computation of ci , and the prex
algorithm uses Vi only for the computation of other Vj (see (1.48)).
Summarizing, the depth of the resulting circuit is 2 D(k n) + 2 and
its size is 3 C(k n) + 2n 1 . By Theorem 1.4 we have proved
THEOREM 1.5 : For 0 k log n there exist adders based
on prex algorithms whose size is (8 + 6 2k) n and whose depth is
2 log n + 2k + 2 .
Even the most fundamental operation, the addition, is as we have
seen a fascinating problem.
We do not consider the subtraction of binary numbers in detail.
The complexity of subtraction is nearly the same as the complexity of addition. If we use the rst bit of a number as a sign (0 =
negative number , 1 = positive number), we have to distinguish between the dierent cases. More appropriate is the use of the wellknown 1-complement or 2-complement of binary numbers.
These
representations of binary numbers are easy to compute. Afterwards
we may use the same algorithms for addition and subtraction (see e.g.
Spaniol (76)).

51

3.2 Multiplication

DEFINITION 2.1 : The multiplication function fnmult B2n 2n has

two n-bit numbers x and y as inputs and computes the 2n-bit representation p of |x| |y| .
We learnt in school how to multiply x and y . For each i we multiply
yi by x , the result is zi = (zi n1
zi 0) where zi j = yi xj . By a shift
which is gratis in circuits we compute |zi | 2i . Finally we add all |zi | 2i
in order to compute the product of x and y . The computation of all
zi j can be done by n2 gates in depth 1 . By divide-and-conquer we can
add the n numbers in log n addition steps. With the ecient adders
of 1 we obtain the following result.
LEMMA 2.1 : The school method for the multiplication implemented
with ecient addition circuits leads to a circuit of size O(n2) and depth
O(log2 n) .
The depth can be reduced by an easy trick due to Ofman (63)
and Wallace (64). Since the addition of n-bit numbers requires depth
(log n) , they used Carry Save Adder (CSA gates).
CSA gates
have three n-bit numbers a b c as inputs and produce two (n + 1)-bit
numbers u and v as outputs such that |a| + |b| + |c| = |u| + |v| .
LEMMA 2.2 : CSA gates may be realized in size 5n and depth 3 .
Proof : We use n fulladders. By the i -th fulladder we add ai , bi and
ci and produce the sum bit ui and the carry bit vi+1 (0 i n 1).
Moreover un = v0 = 0 . Finally
|a| + |b| + |c| =

(ai + bi + ci ) 2i =
0in1

(ui + 2vi+1) 2i (2.1)

0in1

52

vi 2i = |u| + |v|

ui 2i +

=
0in

0in

We improve the school method for multiplication by the application

of this ingenious but nevertheless simple idea. The numbers zi again
are computed with n2 gates in depth 1 . The following CSA gates work
on numbers whose length is bounded by 2n , thus all CSA gates have
linear size and depth 3 . The number of summands is reduced by 1
by each CSA gate. Therefore n 2 CSA gates are sucient to reduce
the number of summands from n to 2 . Finally we use Krapchenkos
adder to add these two summands. The resulting circuit has quadratic
size. In order to reduce the depth we always use the largest possible
number of CSA gates in parallel. If we still have 3k + i summands
where i {0,1,2} we may reduce the number of summands to 2k + i
by k parallel CSA gates. Let n0 = n and let nj be the number of
summands after the j -th step. Obviously n1 23 n+ 23 and by induction
nj

2
3

n+

2
+
3

2
3

+ +

2
3

2
3

n+2

(2.2)

For j = log3 2 n , we conclude nj 3 . So log3 2 n + 1 steps are

sucient to reduce the number of summands to 2 .
THEOREM 2.1 : The school method for multiplication implemented
with CSA gates and a Krapchenko adder leads to a circuit of size O(n2)
and depth O(log n) .
This multiplication circuit is asymptotically optimal with respect
to depth. It is hard to imagine that o(n2) gates are sucient for
multiplication. Let us try a divide-and-conquer algorithm. Let n = 2k
and let x = (x x ) and y = (y y ) be divided into two parts of length
n 2 . Then

53

|p| = |x| |y| = (2n 2 |x | + |x |) (2n 2 |y | + |y |)

(2.3)

= 2n |x | |y | + 2n 2 (|x | |y | + |x | |y |) + |x | |y |
In (2.3) we multiply four times numbers of length n 2 . The multiplications by 2n or 2n 2 are shifts which are gratis in circuits. Moreover
we perform three additions which have linear size. For the size of the
resulting circuit C(n) we obtain the recursion
C(n) 4 C(n 2) + c n and C(1) = 1

(2.4)

for some constant c . By Exercise 1 C (n) = (n2) and nothing

has been gained. Karatsuba and Ofman (63) reduced the number of
multiplications of n 2-bit numbers from 4 to 3 .
We compute |p1| = |x | |y | , |p2 | = |x | |y | and |p3 | = (|x |+|x |) (|y |+
|y |) . Now the term |x | |y | + |x | |y | can be obtained as |p3 | (|p1| +
|p2 |) . We note that p3 is a product of two numbers of length n 2 + 1 .
It is easy to see that C(n) C(n 1) + O(n) for the size C(n) of
multiplication circuits. Besides the three multiplications the circuit
has by earlier results size O(n) and depth O(log n) . Altogether, since
the multiplications can be done in parallel,
C(n) 3 C(n 2) + O(n)

D(n) D(n 2) + O(log n)

(2.5)

C(1) = D(1) = 1
Obviously D(n) = O(log2 n) and, by Exercise 1, C(n) = O(nlog 3 ) .
THEOREM 2.2 : Circuits for multiplication may have size O(nlog 3 )
and depth O(log2 n) . log 3 1 585 .
For sequential computations the school method of addition is optimal whereas the school method of multiplication is not. Only for
rather long numbers the multiplication method of Karatsuba and Ofman is better than the school method. The reader is asked to investigate exactly the following multiplication method M(k) . If n k , use
the school method and, if n k , start with the method of Karatsuba
and Ofman but solve subproblems for numbers with at most k bits by

54

the school method. The optimal k is kopt = 17 . Since 220 106 , we

have improved the school method for numbers of reasonable size.
The depth of the Karatsuba and Ofman circuit can also be reduced
to O(log n) . Such a reduction was easy for the school method by the
use of CSA gates. Here we have to consider additions, subtractions
and multiplications by powers of 2 . In the following we present a
redundant representation of numbers where these operations can be
performed eciently. We know that |p|
22n and therefore we can
compute |p| exactly if we perform our calculations mod m , i.e. in m ,
for some m 22n . The following representation of numbers has been
investigated by Mehlhorn and Preparata (83).
DEFINITION 2.2 : A radix-4 representation of x m , where m
is a Fermat ring, i.e. m = 2p + 1 and p even, is a vector (xL1
x0 )
such that L = p 2 + 1 , 3 xi 3 and x =
xi 4 i .
0iL1

Radix-4 representations and computations in Fermat rings will also

play an important role in a further multiplication method that we discuss later. The binary representation (xp
x0) of x can be understood as a radix-4 representation by taking xi = x2i + 2 x2i+1 . Obviously it is easy to change the sign in constant depth and linear size.
Therefore we do not have to consider subtractions but only additions.
Let (xL1
x0) and (yL1
y0) be radix-4 representations of
x and y which we like to add. We start our computation similar to a
CSA gate. We compute vi and ci such that xi + yi = vi + 4 ci . Since
6 xi + yi 6 , it is possible to choose vi {2 1 0 1 2} and
ci {1 0 1} . The exact denition of vi and ci is given in Tab. 2.1.
The trick is to represent 3 not as 0 4 + 3 1 , but as 1 4 + (1) 1 .
By this trick, 3 si = vi + ci1 3 . If cL1 = 0 , we have computed
by (sL1

s0) a radix-4 representation of x + y . Otherwise we have

to add s , whose radix-4 representation is (sL1

s0 ) , and cL14L .

55

6 5 4 3 2 1

vi

2 1

2 1

ci

1 1 1 1

x i + yi

1 2 1
0

Tab. 2.1
By denition,
4L = 4 2p = 4 m 4 4 mod m
and (0

(2.6)

0 cL1 0) is a radix-4 representation of cL1 4L mod m .

Either 3 s1 cL1 3 or cL1 = 1 and s1 = 3 or cL1 = 1 and

s1 = 3 . In the rst case we obtain a radix-4 representation of x + y
by (sL1

s0) where s1 = s1 cL1 and si = si for all other i . In the

other cases we have to work harder. In our description of the algorithm

we use if-tests which are not possible in circuits. In circuits we have to
perform the computations for both situations and at the end to select
the right result (such a selection has been described in detail in 1 for
the Conditional Sum Adder). If |s1 cL1| = 4 , we add (sL1
and (0
(xL1

s0 )

0 cL1 0) by the same procedure as we started to add

x0) and (yL1

y0) . We claim that the procedure stops.

Since |s1 cL1 | = 4 , we get v1 = 0 and |c0 | 1 . Therefore we

obtain the vector (s
L1

s
0 ) where |s1 | = |v1 + c0 | 1 . Since

|cL1| 1 , it is not possible that |s

1 cL1 | = 4 . Hence (sL1

s
1 cL1 s0 ) is a radix-4 representation of x + y .

s
2 ,

56

We also have to consider the computation of a radix-4 representation for x 2s mod m . A multiplication by a power of 2 consists of
a multiplication by a power of 4 and, if necessary, a multiplication
by 2 , i.e. an addition. That is why we consider only the computation
of x 4r mod m . Since 4L 4 mod m , as already shown,
x 4r

xhr 4h +
rhL1

xLr+h 4h (4) mod m

(2.7)

0hr1

for 0 r L1 . Therefore it is sucient to add the radix-4 representations (xL1r

x0 0
0) and (0
0 xL1
xLr 0) .
Finally we consider the transformation of a radix-4 representation
(xL1
x0) of some number x into its binary representation. Let

+
+

x+
i = max{xi 0} and xi = min{xi 0} . Let (xi 1 xi 0 ) and (xi 1 xi 0 )

be the binary representation of x+

i and xi resp. We obtain the
binary representation of x by an ordinary subtraction of x+ and x
+
+
which have the binary representations (x+
x+
0 1 x0 0 ) and
L1 1 xL1 0
(x
x
0 0 ) . We summarize our results.
L1 1
THEOREM 2.3 : The binary representation of x is also a radix-4
representation of x . Numbers in radix-4 representation can be added,
subtracted and can be multiplied by a power of 2 with circuits of linear
size and constant depth. Furthermore, they can be transformed into
binary representation in linear size and logarithmic depth.
Since the recursion depth of the Karatsuba - Ofman algorithm is
log n , we obtain the following improvement of Theorem 2.2.
THEOREM 2.4 : The Karatsuba and Ofman algorithm for multiplication can be implemented such that the resulting circuit has size
O(nlog 3 ) and depth O(log n) .
In the rest of this section we present a circuit for multiplication due
to Schonhage and Strassen (71). The circuit simultaneously has size
O(n log n log log n) and depth O(log n) . No multiplication circuit of

57

smaller size is known. The problem whether multiplication circuits of

linear size exist or whether multiplication is harder than addition with
respect to circuit size is still open. Unfortunately the multiplication
circuit beats the other circuits only for very long numbers. These
long numbers are interesting for special applications, e.g. public key
cryptosystems. The algorithm is recursive, so we should solve small
subproblems with other methods.
To ensure that the subproblems are of the same type as the initial
problem, we make the following assumptions. n = 2k , 0 |x| |y|
2n , and we are only interested in |p| mod (2n + 1) . We obtain the
correct result if we start with n 2-bit numbers. In the following we do
not distinguish between |x| and x . Also we assume that x y 2n 1 .
The cases x = 2n or y = 2n are easy and are treated in parallel. At
the end the correct result is selected. Since 2n 1 mod (2n + 1) ,
2n y 2n + 1 y mod (2n + 1) and we only have to subtract y from
2n + 1 . If x y 2n 1 , their binary representations have length n .
After these preliminary remarks we discuss the ideas of the multiplication method of Schonhage and Strassen. While it is obvious that
for the multiplication of polynomials we have to multiply numbers, it
is interesting to see that the multiplication of numbers can be done by
the multiplication of polynomials. We partition x and y into b blocks
of l bits each, i.e. x = (xb1
x0) and y = (yb1
y0) , where
xi yi {0 1}l . The parameters are chosen as
b=2

k 2

and l = n b = 2

k 2

(2.8)

xi zi and g(z) =

Let f(z) =
0ib1
l

yi zi be polynomials. By
0ib1

denition x = f(2 ) and y = g(2 ) , thus p = x y = h(2l ) where h = f g .

Therefore we can multiply x and y by multiplying the polynomials f
and g and evaluating h at 2l . How can we compute the coecients
vk of h ? By the law of distributivity vk is the sum of all xi yj where
i+j = k.

58

DEFINITION 2.3 :
The convolution v = (v2b2
(xb1
x0) and y = (yb1
y0) is given by
vk =

xi yj

v0) of x =
(2.9)

i+j=k

If we compute all vk by (2.9) we have to perform b2 multiplications

of l -bit numbers. Since bl = n , this is no improvement to previous
methods. The following trick is convenient. By the fundamental theorem of algebra a polynomial f of degree d 1 is uniquely determined
by the value of f at d dierent inputs. For the sake of simplicity we
treat h as a polynomial of degree 2b 1 . Altogether we may multiply
the polynomials f and g by evaluating f and g at 2b dierent inputs
a1
a2b , by computing h(ai ) = f(ai) g(ai) and by computing the
coecients of h from h(a1)
h(a2b) .
Later we shall see that the computation of f(a1)
f(a2b) can be
done very eciently if we choose the right values for a1
a2b . In
the second step we have to perform 2b multiplications. The method
can only be ecient if the numbers to be multiplied are much shorter
than x and y . Schonhage and Strassen observed that the length of the
numbers can be reduced by Chinese Remaindering (explained later in
this section) and that the number of multiplications can be reduced
to b by replacing the convolution by its negative envelope.

DEFINITION 2.4 : The negative envelope w = (wb1

convolution v of x and y is given by
wi =

xj yij
0ji

xj yb+ij

w0) of the
(2.10)

i jb1

If we dene v2b1 = 0 , we obtain the following connection between

the convolution and its negative envelope, wi = vi vb+i . Now we are
able to present the main steps of the multiplication algorithm.

59

ALGORITHM 2.1 : We use the notation introduced above.

Step 1 : Compute wi = wi mod (22l + 1) for 0 i b 1 .
(This will be done by the recursive procedure we have discussed.)
Step 2 : Compute wi = wi mod b for 0 i b 1 .
(This will be done directly.)
Step 3 : Compute wi from wi and wi for 0 i b 1 .
(This will be done by Chinese Remaindering.)
Step 4 : Compute p , the product of x and y , from (wb1
(This will be done by standard methods.)

w0 ) .

We still have to work hard to implement the four steps of the

algorithm eciently. At rst we discuss the eciency of the algorithm.
In Step 1 we perform recursively b multiplications of numbers of length
2l . These multiplications are done in parallel. All other work will be
done by a circuit of size O(bl log b) = O(n log n) and depth O(log n) .
So we obtain a circuit of size C(n) and depth D(n) , where
C(n) b C(2l ) + O(n log n) and

(2.11)

D(n) D(2l ) + O(log n)

(2.12)

Since l (2n)1 2 , it is easy to show that D(n) = O(log n) . For

C (n) = C(n) n we obtain by (2.11)
C (n) 2 C (4 n1 2) + O(log n)

(2.13)

Now it is not dicult (though a little bit tedious) to prove C (n) =

O(log n log log n) and C(n) = O(n log n log log n) .
For the implementation we do the easier steps rst. Why is it
sucient to compute the negative envelope of the convolution ?
wi 2i l mod (2n + 1) .

LEMMA 2.3 : p
0ib1

60

Proof : We have already seen that

p = h(2l ) =

vi 2il

(2.14)

0i2b1

where v2b1 = 0 . Since wi = vi vb+i , it is sucient to prove that

vb+i 2(b+i)l equals vb+i 2il mod (2n + 1) . This is obvious since
2bl = 2n 1 mod (2n + 1) .

By (2.10) we can estimate wi by

(b 1 i) 22l

wi

(i + 1) 22l

(2.15)

Therefore wi mod (b(22l + 1)) is sucient for the unique identication

of wi . The length of a radix-4 representation of wi mod (b(22l + 1)) is
O(l log b) . We have to add b numbers, therefore the depth is bounded
by O(log n) . We estimate the length of the numbers. In particular, we
do not add w0 20l and wb1 2(b1)l at the beginning, but always neighboring numbers. After the j -th addition step we have computed sums
of 2j neighboring numbers. Due to the structure of the numbers
wi 2il the length of these O(b 2j ) sums is O(l log b+2j l ) . The number
of gates of the j -th addition step is bounded by O(2jn log n+n) . Summing up for j {0
log n } , the size is bounded by O(n log n) .
We now have computed the sum p of all wi 2il . It is necessary to
compute p p mod (2n + 1) . Since wi
b(22l + 1) , p 23n .
We partition the binary representation of p to three blocks of length
n each, i.e. p = p2 22n + p1 2n + p0 . Since 2n 1 mod (2n + 1) ,
p p2 p1 + p0 mod (2n + 1) . We compute p = p2 p1 + p0 . Obviously 2n p 2n+1 . We compute p , p + 2n + 1 and p (2n + 1)
and select the number in {0
2n} as p . Altogether we have implemented Step 4 eciently.
For the implementation of Step 3 we make use of the Chinese Remainder Theorem which we prove in its general form. In 3 we apply
the theorem in its general form.

61

THEOREM 2.5 (Chinese Remainder Theorem) : Let m1

mk be
relatively prime and m = m1
mk . For given a1
ak there is a
unique a {0
m 1} such that a ai mod mi for all i . This a is
given by
a

ai ri si mod m

(2.16)

1ik

where ri = m mi and si (m mi)1 mod mi

Proof : It is an easy fact from elementary number theory that si is well

dened, since mi and m mi are relatively prime. Since mj is a factor
of m mi if i = j , ri 0 mod mj . By denition ri si 1 mod mi . So
a ai mod mi . The uniqueness of the solution is easy to prove too.
If a and b are solutions, a b 0 mod mi . Because of the relative
primality of all mi even a b 0 mod m . Since a b {0
m 1} ,
we conclude a = b .

Here we like to compute wi mod (b(22l + 1)) from wi wi mod

(22l + 1) and wi wi mod b . Since b is a power of 2 , b and 22l + 1
are relatively prime. We claim
wi = wi + (22l + 1)[(wi wi ) mod b]

(2.17)

By the Chinese Remainder Theorem it is sucient to investigate

wi mod b and wi mod (22l + 1) . The second number equals wi . Since
b 22l , 22l 0 mod b . Therefore the right-hand side of (2.17) mod
b is equal to wi . By (2.17) all wi can be computed in size O(n log n)
and depth O(log n) . Also Step 3 is implemented eciently.
The computation of all wi wi mod b is rather easy since b is
rather small. Since b is a power of 2 we know xi xi mod b and yi
yi mod b . We hide all computations in a multiplication of long but not
too long numbers. Let f (z) =
xi zi and g (z) =
yi zi .
0ib1
m

0ib1
m

For m = 3 log b let x = f (2 ) and y = g (2 ) . x is the sequence

xb1 , 2 log b zeros, xb2
2 log b zeros, x0 , similarly for y . By

62

Theorem 2.4 we may compute x y = f g (2m) by a circuit of size

O((b log b)log 3 ) = o(n log n) and depth O(log(b log b)) = O(log n) .
By denition of the convolution vector v of x and y we know that
f g (2m) =
vk 2mk . Since xi yi {0
b 1} , 0 vk
0k2b1

b = 2 . Thus f g (2m) contains all vk as substrings. Now it is easy

to compute eciently all wi (vi vb+i ) mod b .
The most dicult part is the computation of all wi wi mod (22l +
1) in Step 1. Here we use the recursive procedure discussed at the
beginning. The ideas for the computation of the negative envelope
of convolution are discussed here in the general situation that vectors
a = (a0
an1) and b = (b0
bn1) are given. ai and bi are
elements of a commutative ring with a one. The negative envelope
w = (w0
wn1) is dened similarly to (2.10). We like to evaluate
the polynomials f and g whose vectors of coecients are a and b , resp.,
at 2n (for the convolution) or n (for the negative envelope) dierent
inputs. The naive procedure has (n2) arithmetic operations. By
choosing the inputs carefully we get by with only O(n log n) arithmetic
operations.
This so-called Fast Fourier Transform has already been described
by Runge and Konig (24) and has been rediscovered for computer
science by Cooley and Tukey (65). As inputs we choose r0 r1
rn1
where r is an n-th root of identity.
DEFINITION 2.5 : r is an n-th root of identity in a commutative
ring R with one if r = 1 , rn = 1 and
rjk = 0 for 1 k n 1 .
0jn1

First of all we prove the existence of roots of identity in some

Fermat rings.

63

LEMMA 2.4 : Let n and r = 1 be powers of 2 and m = rn 2 + 1 .

Then r is an n-th root of identity in m and n1 and r1 are dened
in m .
Proof : The existence of n1 and r1 again follows from elementary
number theory, since n and r are relatively prime to m . By denition
r = 1 . Since rn 2 1 mod m , rn 1 mod m . For the last condition
we prove by induction on p = log n
i

(1 + r2 k )

rjk =
0jn1

(2.18)

0ip1

This claim is obvious for p = 1 . The induction step follows from the
following elementary calculation
rjk = (1 + rk )
0jn1

(r2)jk

(2.19)

0j(n 2)1
i
(1 + (r2)2 k ) =

= (1 + rk )
0ip2

i
(1 + r2 k )

0ip1
i

Now it is sucient to prove that one of the factors 1+r2 k 0 mod m .

Let k = 2s k and k odd. Then 0 s
p . Furthermore, if i =
p 1 s , 2i k = 2p1s 2s k = k n 2 . Since rn 2 1 mod m ,
i
1 + r2 k (1 + (1)k ) 0 mod m.

Later we apply the Fast Fourier Transform for m = 22l + 1 and

n = b . Since l = b or l = 2b , the existence of a b-th and a 2b-th
root of identity is guaranteed and so is the existence of b1 , (2b)1
and r1 .
an1) Rn and let r be an
DEFINITION 2.6 :
Let a = (a0
n-th root of identity in R . Let f be the polynomial of degree n whose
coecients are a0
an1 . The Discrete Fourier Transform DFTn (a)
is given by f(r0)
f(rn1) .
In particular fj := f(rj) =
ai rij .
0in1

64

DFTn can be written as matrix vector product of the matrix A ,

whose elements are rij , and the column vector a .
THEOREM 2.6 : The Discrete Fourier Transform DFTn (a) can be
computed by an arithmetic circuit ({+ }-circuit) of size O(n log n)
and depth O(log n) .
Proof : This ecient algorithm again is based on divide-and-conquer
and on the properties of roots of identity.
ai rij =

fj =

(2.20)

0in1

a2i (r2j)i + rj

=
0i(n 2)1

a2i+1 (r2j)i
0i(n 2)1

Instead of evaluating f at r0 r1
rn1 we may evaluate the polynomials given by (a0 a2
an2) and (a1 a3
an1) at r0 r2
r2n2 .
Since rn = 1 , it is even sucient to evaluate both polynomials of degree (n 2) 1 at r0 r2
rn2 . Since it is easy to prove that r2 is
an (n 2 )-th root of identity, we may compute DFTn 2(a0 a2
an2)
and DFTn 2 (a1 a3
an1) by the same procedure. To start with we
0 1
n1
compute r r
r . Afterwards we may compute fj with two further operations. The preprocessing, the computation of all ri , can be
done in linear size and logarithmic depth. The problem is not harder
than the prex problem (see 1). For the complexity of the other
computations we obtain the following recurring relations
C(n) 2 C(n 2) + 2n and D(n) D(n 2) + 2

(2.21)

Here we took advantage of the fact that the two subproblems and
afterwards the computation of all fj can be done in parallel. By (2.21)
the claim of the theorem follows.

Now we know how to evaluate polynomials eciently at certain

inputs. We have already discussed that we also like to compute efciently the coecients of a polynomial given by its values at these

65

well-chosen inputs. DFTn (a) = Aa is a matrix vector product. If A1

1
exists, DFT1
n (b) = A b is the inverse Discrete Fourier Transform.
If b = DFTn (a) , also a = DFT1
n (b).
LEMMA 2.5 : If n1 and r1 exist, then A1 exists also, and its
elements are n1rij .
Proof : We prove that the product of A = (rij) and B = (n1rij) is
the identity matrix.
The elements of AB are given by n1
rik rjk . If i = j , this
0kn1

equals 1. For i

j (the case i

rik rjk =
0kn1

j is analogous)
r(ij)k = 0

(2.22)

0kn1

by the last property of roots of identity.

Since r1 also is an n-th root of identity (it is easy to check the

three properties) we obtain the following corollary.
COROLLARY 2.1 :
The inverse Discrete Fourier Transform
1
DFTn (a) can be computed by an arithmetic circuit of size O(n log n)
and depth O(log n) .
Now we combine our observations and compute the negative envelope of convolution.
THEOREM 2.7 : Let R be a commutative ring with a one, a =
(a0
an1 0
0) , b = (b0
bn1 0
0) R2n , r be an n-th
root of identity such that r1 and n1 exist.
i)

DFT1
2n (DFT2n (a)DFT2n (b)) , where is the componentwise multiplication, is the convolution of a and b .

ii) Let s be a (2n)-th root of identity and r = s2 .

Let a = (a0 s a1
sn1 an1) , b = (b0 s b1

sn1 bn1 ) and

66

w = (w0 s w1
sn1 wn1) where w = (w0
wn1) is the
negative envelope of a = (a0
an1) and b = (b0
bn1) .
1

Then w = DFTn (DFTn (a ) DFTn (b )) .

Proof : Part i) is a formal description of the algorithm for the computation of the convolution already discussed. At rst both polynomials
are evaluated at the same 2n inputs. Then the product polynomial is
evaluated at these inputs, and nally the coecients of the product
polynomial are computed.
For Part ii) let (f0
fn1) = DFTn (a) , (g0
gn1) = DFTn (b)
and (h0
hn1) be the vector claimed to be equal to w . Then by
denition
hm = n1

fi gi rim

(2.23)

0in1

= n1

sj aj sk bk r(j+km)i
0in1 0jn1 0kn1

n1

sj+k aj bk

=
0jn1 0kn1

r(j+km) i
0in1

If j + k = m or j + k = m + n the inner sum is 1 , since rn = 1 .

Otherwise the inner sum is 0 . Therefore
hm = sm

aj bk + sn
j+k=m

aj bk

(2.24)

j+k=n+m

= sm (vm vn+m) = sm wm
Here we used the fact that sn = rn

= 1 .

We apply Theorem 2.7. ii for the computation of all wi wi mod

(22l +1) . We work in the Fermat ring m where m = 22l +1 . The roots
of identity and the multiplicative inverses we need are well-dened. In
our application n is replaced by b , a power of 2 . Also the (2b)-th
root of identity s and the b-th root of identity r = s2 can be chosen by

67

Lemma 2.4 as power of 2 . Since rb = s2b = 1 , also r1 = rb1 , s1 =

s2b1 and b1 = 2 k 2 = rb 2 k 2 can be chosen as power of 2 . Using
radix-4 representations all additions and all multiplications by a power
of 2 have size O(l ) and constant depth. By Theorem 2.6, Corollary 2.1
and Theorem 2.7 we have to perform O(b log b) of these operations and
b multiplications of numbers of 2l bits. These b multiplications can
be done in parallel. The depth of the other operations is O(log b) =
O(log n) . Since O(bl log b) = O(n log n) , the algorithm of Schonhage
and Strassen fulls the complexity estimations of (2.11) and (2.12).
We have proved the following result.
THEOREM 2.8 : The algorithm of Schonhage and Strassen leads
to a circuit for multiplication of size O(n log n log log n) and depth
O(log n) .

3.3 Division

Since y z = y(1 z) , we consider only the computation of the inverse z1 . In general the binary expansion of z1 is not nite, e.g.
for z = 3 . So we are satised with the computation of the n most
signicant bits of z1 . W.l.o.g. 1 2 z 1 .
DEFINITION 3.1 :
(zn1 = 1 zn2

The division function fndiv Bn1 n has

z0) as input.

For z = 1 2 zn1 + (1 2)2 zn2 + + (1 2)n z0 the n most signicant

bits of z1 build the output of fndiv .
The school method of division produces the output bits one after
z0) , the actual dividend
another. The divisor always is (zn1

68

changes. At rst the dividend is (1 0

0) . During one step we
subtract the divisor from the dividend if the divisor is not larger than
the dividend. If the divisor is not larger the next output bit is 1 ,
otherwise 0 . We obtain the new dividend by multiplying (in the rst
case) the result of the subtraction or (in the second case) the old
dividend by 2 . By our previous results we are able to estimate the
eciency of the school method.
THEOREM 3.1 : The school method of division leads to a circuit of
size O(n2 ) and depth O(n log n) .
The depth of such a circuit cannot be accepted. Anderson, Earle,
Goldschmidt and Powers (67) presented a circuit of depth O(log2 n) .
At the beginning of 2 we have reduced the multiplication of two
numbers to the addition of n numbers. Here we reduce division to
repeated multiplication. Let x = 1 z . Then 0
x 1 2 and by
the binomial formula we obtain the following basic relation where x(j)
j
stands for x2 .
1
1
1 + x(0) 1 + x(1)
1 + x(k 1)
1
=
=

=
z
1 x 1 x 1 + x(0) 1 + x(1)
1 + x(k 1)
Pk(x)
=
1 x(k)

(3.1)

Since x 1 2 , the denominator is approximately 1 . We compute

approximations for all x(j) , afterwards an approximation Pk (x) for
Pk(x) . Since 1 z1 2 , we may take the n most signicant bits of
Pk(x) as output bits if
|Pk(x) z1 | 2n+1

(3.2)

We compute x(j) by computing the rst s bits of (x(j 1))2 following

the binary point. Similarly we compute Pj (x) by computing the rst
s bits of Pj1(x) (1 + x(j 1)) following the binary point. How large
do we have to choose s and k such that Pk (x) fulls (3.2) ?

69

Let = 2s . In each step we are rounding o the result by at most

. Since the old errors are squared, the errors are growing slowly.
LEMMA 3.1 : x(j) 2 x (j) x(j) .
Proof : The second inequality is obvious since we are only rounding
o the results. The rst inequality is proved by induction.
For j = 0 the assertion is obvious. Since x 1 2 , x(j) 1 4 for j 1
and 4 x(j) . By induction hypothesis
x(j + 1) x (j)2 (x(j) 2 )2 x(j)2 4 x(j)
x(j + 1) 2

(3.3)

LEMMA 3.2 : Pj (x) j (x) Pj (x) Pj (x)

where j (x) = (3j 2) (1 x(j 1)) (1 x) .
Proof : Again the second inequality is obvious. Since 1(x) = and
P1(x) = 1 + x , the rst inequality holds for j = 1 . Since we are
rounding o the results by at most , we can conclude by induction
hypothesis and Lemma 3.1 that
Pj (x) Pj1 (x) (1 + x(j 1))

(3.4)

(Pj1(x) j1(x)) (1 + x(j 1) 2 )

Pj1 (x) (1 + x(j 1)) j1 (x) (1 + x(j 1))
2 Pj1 (x)
The rst term is equal to Pj (x). Since x(j 1)
j1 (x)(1 + x(j 1))

x(j 2) ,

(3 j 5) (1 x(j 2))(1 + x(j 2)) (1 x)

= (3 j 5) (1 x(j 1)) (1 x)

(3.5)

Furthermore by denition 2 Pj1 (x) = 2 (1 x(j 1)) (1 x) and

70

(1 x(j 1)) (1 x) . By these estimations, (3.4) and (3.5)

Pj (x)

Pj (x) (3 j 2)(1 x(j 1)) (1 x) = Pj (x) j (x)

(3.6)

We combine our estimations. By the triangle inequality

|z1 Pk (x)| |z1 Pk(x)| + |Pk(x) Pk (x)|

(3.7)

By (3.1)
|z1 Pk (x)| = |z1 (1 x(k)) z1|
= x(k) (1 x) 2 22

(3.8)
k

By Lemma 3.2
|Pk(x) Pk (x)| k (x) (3 k 2) 2 2s

(3.9)

(3.8) and (3.9) can be estimated by 2n if we choose

k = log n + 1 and s = n + 3 + log k

(3.10)

By this choice |z1 Pk(x)| 2n+1 and we may output the n most
signicant bits of Pk (x). Altogether we perform one subtraction and
2k2 multiplications of (s+1)-bit numbers which have to be performed
sequentially.
THEOREM 3.2 : The algorithm of Anderson et al. leads to a circuit
for division which has depth O(log2 n) and size O(n2 log n) (if we use
convential multiplication circuits) or size O(n log2 n log log n) (if we use
Schonhage and Strassen multiplication circuits).
For several years one believed, that depth O(log2 n) is necessary for
division circuits. Reif (83) was the rst to beat this bound. Generalizing the ideas of Schonhage and Strassen (see 2) to the multiplication
of n numbers he designed a division circuit of polynomial size and

71

depth O(log n log log n) . Afterwards Beame, Cook and Hoover (84)
applied methods of McKenzie and Cook (84) and proved that the
depth of division is (log n) .
One-output circuits of depth d have at most 2d 1 gates. Therefore
circuits of depth O(log n) always have polynomial size. Since the new
division circuit beats the older ones only for rather large n , we do
not estimate accurately the depth of the new circuit. Because of the
approximation algorithm introduced at the beginning of this section,
it is sucient to prove that n n-bit numbers may be multiplied in
depth O(log n) . Then we can compute all x(j) in parallel in depth
O(log n) and afterwards we multiply all 1 + x (j) in depth O(log n) .
For the basic results of number theory that we apply the reader is
referred to any textbook on number theory, e.g. Ayoub (63). For our
algorithm it is crucial that problems for small numbers may be solved
eciently by table-look-up. Let T be a table (a1 b1)
(aN bN )
where N and the length of each ai are bounded by a polynomial in n .
If all ai are dierent, we may compute for x {a1
aN } in depth
O(log n) that bi which has the same index as x = ai . Obviously we
can test in depth O(log n) whether x = aj . Let cj = 1 i x = aj . All cj
can be computed in parallel. Afterwards all ym where ym is the m-th
output bit, can be computed in parallel as disjunction of all cj bjm
(1 j N). Here bjm is the m-th bit of bj . Altogether the circuit
has depth O(log n) . In general, tables of functions f have exponential
length and table-look-up is not very ecient.
By table-look-up circuits we multiply the input numbers modulo
small prime numbers. By the Chinese Remainder Theorem these products are sucient to compute the product exactly. The size of the
product is bounded by M = (2n 1)n . Therefore it is sucient to
compute the product mod m for some m M . We describe the main
steps of our algorithm before we discuss their ecient implementation.
ALGORITHM 3.1 :
Input : x1
xn , n n-bit numbers.

72

Output : x , the product of all xi , as binary number.

Step 1 : Choose the smallest r such that p , the product of the r
smallest primes p1
pr , is larger than M .
Step 2 : Compute yij xi mod pj for all 1 i n and 1 j r .
Step 3 : Compute xj

yij
1in

xi mod pj for 1 j r .
1in

Step 4 : Use the Chinese Remainder Theorem to compute x (or

x mod p , which is the same) from all xj .
The computations in Step 1 depend only on the input length which
is xed for circuits. All pi and p can be computed in advance and are
inputs of the circuit. Since pi 2 , r n2 . Better estimations of r can
be computed by the prime number theorem. Likewise by the prime
number theorem pmax = max{p1
pr} is bounded by a polynomial
q(n) .
The computation of all yij in Step 2 can be done in parallel. All
ajk 2k mod pj are independent of the input and can be computed in
advance, i.e. all ajk are inputs of the circuit. Let xik be the k -th bit of
xi . Then
xik 2k

xi =
0kn1

xik ajk mod pj

(3.11)

0kn1

Since xik {0 1} , all xik ajk can be computed in depth 1 . As we

already know (see 2), the sum sij of all xik ajk can be computed in
depth O(log n) . Since 0 sij
npj , we may compute a table of all
sij l pj for 0 l n in depth O(log n) . By table-look-up we choose
pj 1} and is therefore equal to yij .
that sij l pj which lies in {0
In Step 3 we take advantage of some properties of prime numbers.
pj 1} is a cyclic group with respect to multiplication
Gj = {1
mod pj . This implies the existence of a generator g Gj such that for
all k Gj there exists a unique index ind(k) {0
pj 2} with
respect to g and Gj such that

73

k gind(k) mod pj

(3.12)

At rst we test in parallel whether some yij = 0 (1 i n). In

this case xj = 0 . Otherwise we compute xj in the following way. The
table (k ind k) for 1 k pj 1 (with respect to g and Gj ) does not
depend on the input and is computed in advance. By table-look-up
we compute in parallel in depth O(log n) all ind(yij) . Afterwards we
compute in parallel in depth O(log n) all I(j) , where I(j) is the sum
of all ind(yij) . Since 0 I(j) n(pj 1) , we can compute in parallel
in depth O(log n) all I (j) I(j) mod (pj 1) . These computations
are done similarly to the computation of yij from sij in Step 2. It is
an easy fact from elementary number theory that gp 1 1 mod p for
prime numbers p . Therefore
xj

gind(yij ) gI(j) gI (j) mod pj

yij
1in

(3.13)

1in

Finally we can compute xj from I (j) by table-look-up. Instead of

multiplying all yij , it is sucient to add all ind(yij) , and we know
already that the sum of n numbers can be computed eciently.
By the Chinese Remainder Theorem 2.5
x

xj rj mod p

(3.14)

1jn

where rj = uj vj , uj = p pj and vj (p pj )1 mod pj . The numbers

rj do not depend on the input and can be computed in advance. We
multiply in parallel all xj and rj . Since 0 xj pj and 0 rj p ,
these multiplications have depth O(log n) as has the addition of all
xj rj . Obviously, 0 x p n pmax for the sum x of all xj rj , and x can
be computed from x in depth O(log n) similarly to the computation
of yij from sij in Step 2.
Altogether we obtain an ecient implementation of Algorithm 3.1.
THEOREM 3.3 : The algorithm of Beame, Cook and Hoover leads
to a division circuit of depth O(log n) and polynomial size.

74

It is still an open problem whether one can design a division circuit

whose depth is bounded by c log n for a small constant c and whose
size is acceptable.
The methods for the design of the division circuit may also be
applied to the approximation of power series. The computation of the
n most signicant bits of e.g. ex or ln x is possible in depth O(log n)
(Alt (84)).

3.4 Symmetric functions

The class of symmetric functions contains many fundamental functions like sorting and all types of counting functions.
DEFINITION 4.1 :
Sn m is the class of all symmetric functions
f Bn m , that is all functions f such that for all permutations n
f(x1
xn ) = f(x(1)
x(n) ) .
Each vector a {0 1}n with exactly i ones is a permutation of
any other vector with exactly i ones. That is why f is symmetric i
f only depends on the number of ones in the input. For symmetric
functions we may shorten the table (a f(a)) for f to the (value) vector
v(f) = (v0
vn) such that f(x) = vi if x1 + +xn = i . We introduce
some fundamental symmetric functions.
DEFINITION 4.2 :
i)

Enk (x) = 1 i x1 + + xn = k (exactly - k - function).

ii) Tnk (x) = 1 i x1 + + xn k (threshold - k - function).

iii) Sn (x) = (Tn1(x)

Tnn(x)) (sorting function).

iv) Cnk m (x) = 1 i x1 + + xn k mod m (counting function).

75

If the input length (and upper index) n is uniquely determined by

the context, then we can omit n . The term sorting function for Sn is
justied, since for inputs x with exactly k ones T1(x) = = Tk (x) =
1 but Tk+1(x) = = Tn (x) = 0 . The output is the sorted sequence
of the inputs. The functions E0
En build a kind of basis for all
symmetric functions, since for all f Sn
Ek (x) vk

f(x) =

(4.1)

0kn

v0

vn are constants independent from the input, thus

C(f) C(E0

En) + n and

(4.2)

D(f) D(E0

En) + log(n + 1)

(4.3)

Furthermore Tk = Ek En . Because of the algorithms for the

prex problem (see 1) we can compute Sn from E1
En by a circuit
of linear size and logarithmic depth.
Due to these observations it is essential to design an ecient circuit
for the computation of E0
En . At rst we compute with n 2
CSA gates and one Krapchenko adder the binary representation a =
(ak1
a0) of x1 + + xn . Here k = log(n + 1) . The depth of
this circuit is O(log n) . The length of the summands is 1 .
At step j of the adder-tree the inputs of the CSA gates are of
length j , hence the CSA gates have size O(j) . The number of CSA
j1
gates at step j may be estimated by 13 23
n . Since the sum of all
j1
2
j is a constant, the size of the adder-tree is O(n) .
3
Ei (x) = 1 i the number |a| represented by a is equal to i . Therefore Ei (x) is a minterm on ak1
a0 . We compute E0
En by
the computation of all minterms on ak1
a0 .
LEMMA 4.1 : All minterms on x1
xn can be computed by a
circuit of size 2n + O(n 2n 2) and depth O(log n) .
Proof : O(n 2n 2) gates are sucient to compute in parallel all 2 n 2
minterms on x1
x n 2 and all 2 n 2 minterms on x n 2 +1
xn .

76

Afterwards each of the 2n minterms on x1

with one gate.

xn can be computed

By this lemma E0
En can be computed from a in linear size
and logarithmic depth since k = log(n + 1) . Altogether we obtain
an ecient circuit for all symmetric functions.
THEOREM 4.1 : Each symmetric function f Sn with one output
as well as the sorting function may be computed by a circuit of size
O(n) and depth O(log n) .

The proof of Theorem 4.1 is due to Muller and Preparata (75)

though the result has been proved implicitly already by Lupanov
(62 a). By Theorem 4.1 we have designed ecient circuits for several fundamental functions.

3.5 Storage access

DEFINITION 5.1 : The storage access function SAn Bn+k where

a0) and n variables
n = 2k is dened on a k-bit number a = (ak1
x = (x0
xn1) . SAn (a x) = x|a| .
We consider a storage of n memory cells containing the 1-bit informations x0
xn1 . The vector a contains the number of the
memory cell whose contents is interesting for us. SAn (a x) computes
the contents of this memory cell. Bit ak1 decides whether we should

77

search in the rst or in the second half of the memory. Therefore

SAn (ak1

a 0 x0

xn1) =

= (ak1 SAn 2(ak2

(5.1)

a 0 xn

(ak1 SAn 2 (ak2

xn1))

a 0 x0

x(n

2)1 ))

Since SA1 (x0) = x0 , (5.1) leads to a circuit for SAn of size C(n) and
depth D(n) where
C(n) = 2 C(n 2) + 3

D(n) = D(n 2) + 2

(5.2)

C(1) = D(1) = 0
The solution of this recurring relation is C(n) = 3n 3 and D(n) =
2 log n .
LEMMA 5.1 : The storage access function SAn can be computed by
a circuit of size 3n 3 and depth 2 log n .
In Ch. 5 we prove a lower bound of 2n 2 for the circuit size of
SAn . Klein and Paterson (80) proved that this lower bound is nearly
optimal.
Let Mi (a) be the minterm of length k computing 1 i |a| = i .
Obviously
Mi (a) xi

SAn (a x) =

(5.3)

0in1

In order to beat the (3n 3)-bound of Lemma 5.1 we partition a

into two halves b = (ak1
a k 2 ) and c = (a k 2 1
a0) . Then
|a| = |b| 2 k 2 + |c| . For r = 2 k 2 and s = 2 k 2 we conclude from
(5.3) by the law of distributivity that
Mi (b) Mj (c) xis+j

SAn (a x) =
0ir1 0js1

Mi (b)

=
0ir1

Mj (c) xis+j
0js1

(5.4)

78

By Lemma 4.1 we can compute all Mi (b) and all Mj (c) by a circuit of
size r+s+o(r+s) = O(n1 2) and depth log(k 2) = log log n 1 . For
the computation of all Mj (c) xis+j n -gates and n r -gates are
sucient, the depth of this part of the circuit is k 2 +1 . Afterwards
SAn (a,x) can be computed by r -gates and r 1 -gates in depth
k 2 + 1 . This way we have proved
THEOREM 5.1 : The storage access function SAn can be computed
by circuits of size 2n + O(n1 2) and depth log n + log log n + 1 .

3.6 Matrix product

For the sake of simplicity we consider here only square matrices of

n rows and n columns. As it is well known the matrix product of two
matrices of integers or reals is dened by
zij =

xik ykj

(6.1)

1kn

We investigate arithmetic circuits ({+ }-circuits, straight line programs) for the computation of Z = (zij) . Arithmetic circuits lead to
Boolean circuits if we replace each arithmetic operation by a Boolean
circuit of suitable input size for this operation. Furthermore we are interested in the Boolean matrix product which is useful in graph theory
(see Exercises). Here we consider matrices X = (xij) and Y = (yij) of
ones and zeros only. The Boolean matrix product Z = (zij) is dened
by
zij =

xik ykj

(6.2)

1kn

Obviously the Boolean (arithmetic) matrix product can be computed

with n3 conjunctions (multiplications) and n3 n2 disjunctions (additions) in depth log n + 1 . Strassen (69) proved in his pioneering

79

paper that this school method is not optimal for the arithmetic matrix
product. His arithmetic circuit has size O(nlog 7 ) and depth O(log n) .
Arlazarov, Dinic, Kronrod and Faradzev (70) designed an arithmetic
circuit of size O(n3 log n) that only works for 0-1-matrices but is better than the school method also for very small n . For 9 years no one
improved Strassens algorithm. Then a violent development started.
Its end was the arithmetic circuit of Coppersmith and Winograd (82)
whose size is O(nc) for some c
2 496 . Pan (84) gives a survey on
this development. Now Strassen (86) improved the exponent to some
c 2 479 . We describe here only Strassens classical algorithm and
point out how the computation of the Boolean matrix product may
be improved by this algorithm too.
Strassens algorithm depends on divide-and-conquer. Again we
assume n = 2k . We partition X , Y and Z into four matrices of n 2
rows and n 2 columns each.
X=

X11 X12
X21 X22

Y=

Y11 Y12
Y21 Y22

Z=

Z11 Z12
Z21 Z22

It is easy to see that the submatrices Zij may be computed similarly

to the product of 2 2-matrices, e.g. Z12 = X11Y12 + X12Y22 . Here additions and multiplications are operations on (n 2) (n 2)-matrices.
By the school method we perform 8 matrix multiplications and 4 matrix additions. The addition of two n n-matrices obviously can be
performed with n2 additions in depth 1 while multiplications seem to
be harder.
By our experience with divide-and-conquer algorithms we should
try to get by with less than 8 multiplications. It was a long way
from this knowledge to the following algorithm. Though it is dicult to discover such an algorithm, it is easy to check its correctness.
We describe the 7 multiplications of the algorithm, but before these
multiplications we have to perform 10 additions and subtractions to
compute the factors.

80

m1 = (X12 X22) (Y21 + Y22) m2 = (X11 + X22) (Y11 + Y22)

m3 = (X11 X21) (Y11 + Y12) m4 = (X11 + X12) Y22

(6.3)

m5 = X11 (Y12 Y22) m6 = X22 (Y21 Y11)

m7 = (X21 + X22) Y11
Now it is easy to verify that
Z=

m4 + m5
m1 + m2 m4 + m6
m6 + m7
m2 m3 + m5 m7

(6.4)

Let C(n) and D(n) be the size and depth resp. of Strassens arithmetic
circuit. Then
C(n) = 7 C(n 2) + 18(n 2)2

D(n) = D(n 2) + 3

(6.5)

C(1) = D(1) = 1
implying
THEOREM 6.1 : Strassens algorithm leads to an arithmetic circuit
for matrix multiplication of size 7nlog 7 6n2 and depth 3 log n + 1 .
(log 7 2 81) .
We emphasize that Strassens algorithm as well as Karatsuba and
Ofmans multiplication algorithm is based on additions, multiplications and subtractions. If only additions and multiplications (of positive numbers) are admissible operations, then the school method cannot be improved (see Ch. 6). The protable use of subtractions for a
problem where subtractions seem to be superuous should be taken
as a warning. One should be very careful with stating that certain
operations are obviously not ecient for certain problems.
Fischer and Meyer (71) applied Strassens algorithm to Boolean
matrix multiplication. Similar results for the other matrix multiplication methods have been obtained by Lotti and Romani (80) and
Adleman, Booth, Preparata and Ruzzo (78).

81

The inputs of the Boolean matrix product are numbers xij yij
{0 1} . Let zij be the Boolean matrix product and zij the conventional
matrix product. Obviously
0 zij n

zij is an integer

zij = 0

zij = 0

and

(6.6)

Strassens algorithm consists of additions, substractions and multiplications. Therefore, by (6.6), we can compute zij correctly if we perform
all computations in m for some m n . In particular, the length of
the numbers is O(log n) . Finally all zij , by (6.6) the disjunction of all
bits of zij , can be computed in parallel in depth O(log log n) . Since all
multiplications of Strassens agorithm can be done in parallel, we may
estimate the complexity of the new algorithm for the Boolean matrix
product by our results of 1 and 2.
THEOREM 6.2 : The Boolean matrix product can be computed in
size O(nlog 7 log n log log n log log log n) and depth O(log n) .

3.7 Determinant

In Ch. 9 we consider the simulation of programs by circuits in general. Here we investigate as a second example the computation of the
determinant (the rst one was the Boolean matrix product). The well
known algorithm based on Gaussian elimination whose time complexity is O(n3) can be simulated by a circuit of size O(n3) . Gaussian
elimination is a typical sequential algorithm, so we need additional
tricks to reduce the depth.
DEFINITION 7.1 : The determinant of a Boolean n n-matrix X
with respect to the eld 2 is detn (X) =
x1 (1)
xn (n) .
n

82

ALGORITHM 7.1 (Gaussian elimination) (see e.g. MacLane and

Birkho (67)) :
1. det(x11) = x11 .
2. If the rst column of X consists of zeros only, detn (X) = 0 .
3. The componentwise addition (in 2 ) of one row of X to another
does not change the determinant of the matrix. If the rst column
of X contains a one, e.g. xm 1 = 1 , we add the m-th row to all
other rows starting with a one. We obtain a matrix X with a
single one in the rst column and detn (X) = detn (X ) .
4. By expansion according to the rst column of X we eliminate the
rst column and the m-th row and obtain an (n 1) (n 1)matrix X where detn1(X ) = detn (X) .

THEOREM 7.1 :
3n3 + n2 4n.

detn may be computed by a circuit of size

Proof : We simulate the Gaussian elimination algorithm. Let X =

Xn Xn1
X1 be the matrices constructed by the algorithm. Since
Xi has i columns and i rows, we can test with i 1 gates whether
the rst column of Xi contains zeros only (gi = 0) or at least a one
(gi = 1). detn (X) = g1 gn can be computed with n 1 gates.
We only have to describe how to compute Xk1 from Xk = (yij) .
We may assume that gk = 1 , otherwise detn (X) = 0 will be computed
correctly independent from gk1
g1 . um = y11 ym1 1 ym1 =
1 i the m-th row of Xk is the rst one starting with a one. All
u1
uk can be computed by 2k 3 gates (if k 2) . We use these
pointers for selecting v = (v1
vk) , the rst row of Xk starting with
a one. Obviously vj , the disjunction of all ur yrj , can be computed by
2k 1 gates. v is added (componentwise in 2 ) to all rows of Xk
starting with a one. Since we eliminate afterwards the rst column we

83

do not compute this column. We compute

zij = yi1 yij (yi1 (vr yij))

(1 i k 2 j k)

(7.1)

by altogether 4k (k 1) gates. Finally we have to eliminate the mth row where um = 1 . Let t1 = u1 and tj = tj1 uj . t1
tk1
can be computed by k 2 gates. Then t1 = = tm1 = 0 while
tm = = tk1 = 1 . Therefore the elements yij of Xk1 can be
computed by
yij = ti zij ti zi+1 j

(7.2)

by 3 (k1)2 gates. Altogether the number of gates for the computation

of gk and Xk1 from Xk equals
(k 1) + (2k 3) + k (2k 1) + 4k (k 1) + (k 2) + 3 (k 1)2
= 9k2 7k 3

(7.3)

and the number of gates in the whole circuit equals

n1+

(9k2 7k 3) = 3n3 + n2 4n

(7.4)

2kn

EXERCISES
1. Prove that the recursion relation R(n) = a R(n b) + cn , R(1) = c
for n = bk , b
1, a c
0 has the solution R(n) = (n) , if
a b , R(n) = (n log n) , if a = b , R(n) = (nlogb a ) , if a b .
2. The Carry-Look-Ahead Adder partitions the input bits into g(n)
groups of nearly the same size. If we know the carry bit for some
group we add the bits of this group using the school method and
we compute directly by (1.8) the carry bit for the next group.
Estimate size and depth of this adder.

84

3. The Carry-Look-Ahead Adder of second order adds the bits of a

group by a Carry-Look-Ahead Adder (of rst order). Estimate
size and depth of this adder.
4. Estimate size and depth of the Conditional-Sum Adder, if the
numbers are partitioned into
a) 3
b) k
parts of nearly the same size.
5. Design ecient circuits for the transformation of an integer given
by its sign and the binary representation of its absolute value into
its 2-complement representation and vice versa.
6. Design ecient circuits for subtraction.
7. The adder tree of n 2 CSA gates has at least depth log3 2(n 2) .

8. Investigate the mixed multiplication algorithm M(k) .

9. Two complex numbers can be multiplied with only three multiplications of reals and some additions and subtractions.
10. Let X and Y be independent random variables that take the value
k {0
n 1} with probability pk and qk resp. Compute the
distribution of X + Y , the so-called convolution of X and Y .
11.

has only for n = 2 an n-th root of identity.

12. ei 2

is an n-th root of identity in

13. Design an ecient circuit for the computation of x 2k , where x

is given by a radix-4 representation.

85

14. Solve the recurring relations (2.11) and (2.12).

15. Design a circuit for division based on Newtons approximation
method.
16. Multiply (0 1 0) , (1 0 1) and (1 1 1) by the method of Beame,
Cook and Hoover.
17. For f Sn (4.1) consists either for f or for f of at most (n + 1) 2
summands.
18. Design a circuit for f Sn whose size is bounded by 11 5 n + o(n) .
19. Prove a good upper bound on C(f) for f Sn m .
20. Estimate the size of the circuit for (E0
possible.

En ) in 4 as exact as

n} E(x)) be a graph dened by the variables

21. Let G(x) = ({1
xij (1 i
j n), i.e. {i j} E(x) i xij = 1 . Xk , the k -th
Boolean power of matrix X = (xij) (where xij = xji and xii = 1)
contains a one at position (i j) i G(x) contains a path from i to j
of length bounded by k .
22. Design an ecient circuit for the decision whether the graph G(x)
is connected.
23. Implement Strassens algorithm for arbitrary n and compute the
number of arithmetic operations.
24. Compute the number of arithmetic operations of the following
algorithm A(l ) for matrix multiplication. Let n = 2k . If k l the

86

algorithm applies Strassens method. Problems and subproblems

of size m 2l are solved by the school method. (See Mehlhorn (77)
for a discussion of A(l ) .)
25. Design for f Bn n where fi (x) is the conjunction of all xj (i = j)
a circuit of size not larger than 3n 6 .
26. f(x1

xn y1

yn ) =

1i jn |ij|m

xi yj has linear circuit size

for all m .
27. f(x1

xn) = x1 (x2 (x3 ( ))) has logarithmic depth.

28. Design ecient circuits for f g Sn where

f(x) = 1 if x1 + + xn mod 4 {1 3}
g(x) = 1 if x1 + + xn mod 5 {1 3}

87

4. ASYMPTOTIC RESULTS AND UNIVERSAL CIRCUITS

4.1 The Shannon eect

For many fundamental functions we have designed ecient circuits.

Is it possible to compute each function by an ecient circuit ? In this
chapter we prove that almost all functions are hard functions, optimal
circuits for almost all functions have exponential size and linear depth.
This can be proved quite easily using Shannons counting argument
(Shannon (49)). The number of circuits with small circuit size or
small depth grows much slower than the number of dierent Boolean
functions implying that almost all functions are hard. This means that
a random Boolean function is hard with very large probability. We
obtain a random Boolean function by 2n independent coin tosses with
an unbiased coin, for each input a the output f(a) is determined by
one of the coin tosses. By this experiment we can expect a Boolean
function that has no recognizable structure. This lack of structure
implies that the function is hard. The converse is not correct. We shall
see later that certain functions whose structure is easy to describe are
(probably) hard. Hence, the structure of our fundamental functions
is only a necessary condition for the existence of ecient circuits.
In this chapter we investigate the complexity of almost all functions, or equivalently, the expected complexity of a random function.
It turns out that almost all functions have nearly the same complexity as the hardest function. This eect is called Shannon eect by
Lupanov (70).

DEFINITION 1.1 : The notion almost all functions f of a class

Fn Bn have property P stands for the assertion that
|{f Fn | f has P}| |Fn | 1 as n

(1.1)

88

DEFINITION 1.2 : For a complexity measure CM and a class of functions Fn we denote by CM(Fn ) the complexity of the hardest functions
in Fn , i.e. max{CM(f)|f Fn } .
DEFINITION 1.3 : The Shannon eect is valid for a class of functions
Fn and a complexity measure CM if CM(f) CM(Fn ) o(CM(Fn ))
for almost all f Fn .
We prove that the Shannon eect is valid for several classes of
Boolean functions and complexity measures. With Shannons counting argument we prove that almost all functions are hard, i.e. their
complexity is at least an o(an) for some large an . Then we design
circuits (or formulas) for all functions whose complexity is bounded
by an .
For almost all functions we obtain nearly optimal circuits. These
circuits may be used for f Bn if we have no idea of designing a better
circuit for f . In Ch. 3 we have seen that we can design much more
ecient circuits for many fundamental functions.

4.2 Circuits over complete bases

In order to apply Shannons counting argument we estimate the

number of B2-circuits of size b .
LEMMA 2.1 : At most S(b n) = (b + n + 1)2b 16b b b! functions
f Bn can be computed by B2 -circuits of size b .
Proof : We estimate the number of B2 -circuits of size b . For each gate
there are |B2| = 16 possibilities to choose its type and b + n + 1 possibilities to choose each of its two predecessors, namely the other b 1
gates, n variables and 2 constants. Each B2-circuit computes at most

89

b dierent functions at its gates. Finally we take into account that

each circuit is counted b! times, namely for b! dierent numberings of
its gates. Altogether we obtain the claimed bound.

If b = b(n) = C(Bn ) , |Bn | functions in Bn can be computed by a B2circuit of size b . By Lemma 2.1 we can conclude S(b n) |Bn | . We
use this inequality for an estimation of b . When considering S(b n)
and |Bn | as functions of n we see that S(b n) is exponential while |Bn |
is even double exponential. Since S(b n) as a function of b is also only
exponential, b = b(n) grows exponentially. We now estimate b more
exactly. By Stirlings Formula b! c bb+1 2 eb for some constant
c 0 and thus
log S(b n) log |Bn |

(2.1)

2b log(b + n + 1) + 4b + log b
(b + 1 2) log b + b log e log c 2n
For n suciently large, b n + 1 and therefore
b log b + (6 + log e)b + (1 2) log b log c 2n

(2.2)

If b 2n n1 , we could conclude
2n n1(n log n + 6 + log e) + (1 2)(n log n) log c 2n

(2.3)

which for large n is false. Therefore

C(Bn) 2n n1

for suciently large n

(2.4)

We can prove even more. If we consider a subclass Bn of Bn such that

log |Bn | 2n 2n n1 log log n =: a(n)
we can prove in the same way that C(Bn) 2n n1 for suciently large
n. In particular, we may choose Bn as the class of those 2a(n) functions
in Bn of the smallest circuit size.

90

THEOREM 2.1 : For suciently large n at least |Bn |(1 2r(n) ) of

the |Bn | functions in Bn , where r(n) = 2n n1 log log n , have circuit
size at least 2n n1 . In particular, almost all f Bn have circuit size
at least 2n n1 .
We now show that 2n n1 + o(2n n1 ) gates are sucient for the
computation of an arbitrary f Bn . At rst we present two less
ecient circuits. The rst one is called decoding circuit. Let f0 Bn1
and f1 Bn1 be the subfunctions of f Bn for xn = 0 and xn = 1
resp. Obviously
f = (xn f0 ) (xn f1 )

(2.5)

implying
C(Bn) 2C(Bn1) + 3

C(B2) = 1 and

C(Bn) 2n 3

(2.6)
(2.7)

We note that decoding circuits are even formulas. Decoding circuits

can be improved in the following simple way. In a decoding circuit
we compute all 2n3 subfunctions in B3 in disjoint subcircuits. It is
much more ecient to compute all 28 functions in B3 in advance. Let
C(Bk) be the circuit complexity for the computation of all functions
in Bk . By (2.5)
C(Bk) C(Bk1) + 3|Bk | and
C(B2) 16

(2.8)

hence
k

C(Bk) 3 22 + 6 22

k1

(2.9)

For the computation of f we compute at rst all functions in Bk .

The decoding circuit for f can stop after nk steps, since all necessary
subfunctions are already computed. Similarly to (2.7) 32nk 3 gates
are sucient to compute f if the functions in Bk are given. Hence

91
k

C(Bn) 3(2nk + 22 ) + 6 22

k1

for arbitrary k .

(2.10)

For k = log n 1
C(Bn) 12 2n n1 + o(2n n1 )

(2.11)

These simple ideas already lead to circuits whose size is for almost
all Boolean functions only by a factor of 12 larger than the size of
an optimal circuit. In order to eliminate the factor 12 , we have to
work harder. Lupanov (58) introduced the so-called (k s) - Lupanov
representation of Boolean functions. We represent the values of f by a
table of 2k rows for the dierent values of (x1
xk) and 2nk columns
for the dierent values of (xk+1
xn) . The rows are partitioned to
p = 2k s1 2k s1 + 1 blocks A1
Ap such that A1
Ap1
contain s rows and Ap contains s s rows. We try to nd simpler
functions than f and to reduce f to several of these simpler functions.
Let fi (x) = f(x) if (x1
xk ) Ai and fi (x) = 0 otherwise. Obviously
f = f1 fp .
Let Bi w be the set of columns whose intersection with Ai is equal
to w {0 1}s (for i = p , w {0 1}s ) and let fi w (x) = fi (x) if
(xk+1
xn) Bi w and fi w (x) = 0 otherwise. Obviously f is the
disjunction of all fi w . Now consider the 2k 2nk table of fi w . All
rows outside of Ai consist of zeros only, the rows of Ai have only two
dierent types of columns, columns w and columns of zeros only. We
represent fi w as the conjunction of fi1w and fi2w where fi1w (x) = 1 i for
some j wj = 1 and (x1
xk ) is the j -th row of Ai , and fi2w (x) = 1
i (xk+1
xn ) Bi w . Altogether we obtain Lupanovs (k s)-representation
f(x1

xn ) =
1ip w

fi1w (x1

xk) fi2w (xk+1

We may compute f now in the following way.

xn )

(2.12)

92

Step 1 : By Lemma 4.1, Ch. 3 , we compute with O(2k + 2nk ) gates

all minterms on {x1
xk } and on {xk+1
xn } .
Step 2 : We compute all fi1w by their DNF , the minterms are already
computed. Since the blocks Ai are disjoint, each minterm is used at
most once for xed w . Altogether 2s 2k gates are sucient.
Step 3 : We compute all fi2w by their DNF, the minterms are already
computed. Since the blocks Bi w are disjoint for xed i , each minterm
is used once for xed i . Altogether p 2nk gates are sucient.
Step 4 : By (2.12) 2 p 2s gates are sucient to compute f if all fi1w and
fi2w are given.
The number of gates of our circuit can be estimated, since p
2k s1 + 1 , by
O(2k + 2nk) + 2s+k + 2n s1 + 2nk + 2k+s+1 s1 + 2s+1

(2.13)

We choose k = 3 log n and s = n 5 log n .

THEOREM 2.2 : C(f) 2n n1 + o(2n n1 ) for all f Bn .
By Theorem 2.1 and Theorem 2.2 we have proved that the Shannon
eect is valid for Bn and B2 -circuit size. Lupanovs circuits are nearly
optimal and for almost all Boolean functions much better than minimal polynomials, i.e. optimal circuits of 2 logical levels. Lupanovs
circuits have only 4 logical levels.

93

4.3 Formulas over complete bases

We proceed as in 2.
LEMMA 3.1 : At most F(b n) = (n + 2)b+1 16b 4b functions f Bn
can be computed by B2 -formulas of size b .
Proof : We estimate the number of B2 -formulas of size b . W.l.o.g. the
last gate is the only one without successor and the output is computed
at the last gate. As already discussed in Ch. 2 B2 -formulas are binary
trees if we copy the variables and constants. There exist less than 4b
binary trees with b inner nodes. For each gate starting at the root
of the tree we have for each of the two predecessors at most the two
possibilities of choosing an inner node or a leaf. Each gate is labelled
by one of the 16 functions of B2 . Finally each of the b + 1 leaves is
labelled by one of the n variables or the 2 constants. Altogether we
obtain the claimed bound.

If b = b(n) = L(Bn ) , log F(b n) log |Bn | implying

(b + 1) log(n + 2) + 6b 2n

(3.1)

(3.1) is not fullled for b = 2n log1 n(1 (log log n)1) and suciently large n . The same estimation holds for classes Bn Bn where
log |Bn | = 2n (1 log1 n) .
THEOREM 3.1 : For suciently large n at least |Bn |(1 2s(n) ) of
the |Bn | functions in Bn , where s(n) = 2n log1 n , are of formula size
at least 2n log1 n(1 (log log n)1) . In particular, almost all f Bn
are of formula size at least 2n log1 n(1 (log log n)1) .
We already proved in 2 an upper bound of 2n 3 on L(Bn ) . By

94

Lupanovs (k s)-representation we shall obtain for each f Bn a B2 formula with 6 logical levels and (2 + o(1))2n log1 n gates. Since in
formulas all gates have fan-out 1 we have to compute the functions
fi1w and fi2w in another way as in 1. As only a few inputs are mapped
to 1 by fi1w or fi2w , we consider functions f Bn where |f 1(1)| = r is
small.
DEFINITION 3.1 : L(r n) = max{L(f) | f Bn , |f 1(1)| = r} .
The obvious upper bound on L(r n) is rn 1 , consider the DNF.
This upper bound has been improved by Finikov (57) for small r .
LEMMA 3.2 : L(r n) 2n 1 + r2r1 .
Proof : We describe a function f Bn where |f 1(1)| = r by an r nmatrix consisting of the r inputs in f 1(1) . For small r , in particular
r log n , several columns of the matrix are the same. We make the
most of this fact.
We do not increase the formula size of f by interchanging the roles
of xj and xj . With such interchanges we obtain a matrix whose rst
row consists of zeros only. Now the number l of dierent columns in
the matrix is bounded by 2r1 . Let c1
cl be the dierent columns
and A(i) be the set of numbers j such that the j -th column equals ci .
Let a(i) be the minimal element of A(i) .
By denition, f(x) = 1 i x equals one of the rows of the matrix.
This can now be tested eciently. f1 tests whether for each i all
variables xj (j A(i)) have the same value, and afterwards f2 tests
whether x and some row agree at the positions a(i) (1 i l ). f2 is
the disjunction of r monoms of length l , hence L(f2) rl 1 , and
f1(x) =

xp
1il pA(i)

xp
pA(i)

(3.2)

95

implying L(f1) 2n1 . Since f = f1 f2 and l 2r1 , we have proved

the lemma.

LEMMA 3.3 : L(r n) (2 + o(1))nr log1 n if r log2 n .

Proof : For r = log(n log2 n) we represent f as a disjunction of
r r functions fi , where |fi1 (1)| r . We apply Lemma 3.2 to all fi .
Therefore, if r log2 n ,
L(r n) r r 1 + r r (2n 1 + r 2r 1 )

(3.3)

= (2 + o(1))nr log1 n

Lupanov (62 b) applied this result to the construction of ecient formulas.

THEOREM 3.2 : The formula size of all f Bn is bounded by

(2 + o(1))2n log1 n .

Proof : We use Lupanovs (k s)-representation. Again by (2.12) 2p 2s

gates are sucient if all fi1w and fi2w are computed. By denition, each
fi1w can be computed as disjunction of at most s minterms of length k .
All fi1w can be computed by disjoint formulas with altogether p 2sks
gates. Let qi (r) be the number of vectors w which appear exactly r
times as a column in block Ai . The sum of all qi (r) equals the number
of dierent vectors w and is therefore bounded by 2s . The sum of all
rqi(r) equals 2nk , which is the number of columns. If w appears r
times as a column in Ai , |(fi2w )1(1)| = r . fi2w is dened on m = n k
variables. If r
log2 m , we compute fi2w by its DNF, otherwise we
apply Lemma 3.3. Altogether for each block Ai

96

L(fi2w )

L(r m)qi(r)

(3.4)

(rm 1)qi(r) +
r log2 m

m log2 m

(2 + o(1)) rm log1 mqi(r)

rlog2 m
r

qi (r) + (2 + o(1)) m log1 m

rqi(r)

2s m log2 m + (2 + o(1)) 2m m log1 m

Altogether we obtain a formula for f of at most
2p 2s + p 2s ks + p 2s m log2 m + (2 + o(1)) p 2m m log1 m

(3.5)

gates. We prove the theorem by choosing k = 2 log n and s =

n 3 log n , implying m = n 2 log n and , since p 2k s1 + 1 ,
p = O(n) as well as p 2m 2n s1 + 2m .

4.4 The depth over complete bases

Here the lower bound for almost all Boolean functions can be derived easily from the results on formula size by the following fundamental lemma. A partial converse is proved in Ch. 7.

LEMMA 4.1 : D(f) log(L(f) + 1) for all Boolean functions.

Proof : Using the results of 4, Ch. 1 , we can consider a Boolean

formula of depth D(f) for f . A formula is a binary tree. Binary trees
of depth d have at most 2d 1 inner gates. Therefore our formula for
f has size l bounded by 2D(f) 1 . Hence L(f) l 2D(f) 1 and the
lemma follows.

We combine Theorem 3.1 with Lemma 4.1.

97

THEOREM 4.1 : The depth of almost all f Bn is at least

n log log n o(1).
THEOREM 4.2 :
n + log n 1 .

The depth of each f Bn is not larger than

Proof : W.l.o.g. we assume that |f 1(1)| 2n1 and use the DNF.
Otherwise we could use the CNF. All minterms can be computed in
parallel in depth log n . As the number of minterms is bounded by
2n1 , we can sum up the minterms in depth n 1 .

By Theorem 4.1 and Theorem 4.2 the Shannon eect is valid for Bn
and the depth of B2 -circuits. The trivial upper bound of Theorem 4.2
has been improved several times. We describe the history of these
improvements.
DEFINITION 4.1 : Let log(1) x = log x and log(k) x = log log(k1) x .
For x 1 , log x = 0 and , for x
1 , log x is the minimal k such
that log(k) x 1 .
log x is an increasing function tending to as x . But log x
is growing rather slowly. So log x 5 for all x 265536 .
Let a(n) be the following number sequence : a(0) = 8 , a(i) = 2a(i1) +
a(i 1) . Now we are able to describe the improved bounds on D(Bn ) .
Spira (71 b):
Muller and Preparata (71):
McColl and Paterson (77):
Gaskov (78):

n + log n .
n + i for n a(i) .
n + 1.
n log log n + 2 + o(1) .

The bound of Gaskov is optimal at least up to small additive terms

(see Theorem 4.1). McColl and Paterson even use a circuit scheme,
i.e. a xed underlying graph. For dierent functions only the types
of the gates are changed. By easy counting arguments one can prove
that the depth of a circuit scheme cannot be smaller than n 1 .

98

Because already the simple construction of Theorem 4.2 is not too

bad, we only discuss some ideas of the construction of McColl and
Paterson. For each partition of the set of variables X to an m-element
set Z and an (n m)-element set Y we can generalize (2.5) to
f(y z) =

mc (z) f(y c) =

c{0 1}m

(sc (z) f(y c))

(4.1)

c{0 1}m

McColl and Paterson smuggled the computation of mc (z) or sc (z)

into the computation of f(y c) . This leads to a saving of depth if we
are content with the computation of an approximation of f . These
approximations can be chosen such that f can be computed eciently
from its approximations.

4.5 Monotone functions

The importance of the class of monotone functions will be discussed

in Ch. 6. We know already that the minimal polynomial of a monotone function is the unique MDNF. We have considered in Ch. 3 the
following monotone functions: threshold functions, sorting function,
and Boolean matrix product. Further examples can be found in Ch. 6.
In order to apply Shannons counting argument to the estimation of
C(Mn) and Cm (Mn ) we have to estimate |Mn | . This problem has been
formulated (in another context) already by Dedekind. Contributions
to this problem can be traced back to Alekseev (73), Gilbert (54),
Hansel (66), Kleitman (69) and (73), Kleitman and Markowsky (75),
and Korshunov (77) and (81 a). We cite the results of Korshunov who
obtained his exact bounds by a description of the structure of almost
all f Mn .

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DEFINITION 5.1 : Let Mtn contain all f Mn such that

x 1 + + xn

t1

f(x) = 0

(5.1)

x 1 + + xn

t+1

f(x) = 1

(5.2)

|{x | x1 + + xn = t 1 and f(x) = 1}| 2

n 2

|{x | x1 + + xn = t + 1 and f(x) = 0}| 2

n 2

and

(5.3)
(5.4)

THEOREM 5.1 : Let k = n 2 and E(n) = nk . Almost all f Mn

are in Mkn , if n is even, and in Mkn Mk+1
, if n is odd. Furthermore,
n
let an bn i an bn 1 as n . Then
|Mn | 2E(n) exp

n
(2n 2 + n2 2n5 n 2n4)
n 21

(5.5)

if n is even, and
|Mn | 2 2E(n) exp

n
(2(n+3) 2 n2 2n6 n 2n3)
(n 3) 2
n
(2(n+1) 2 + n2 2n4)
+
(n 1) 2

if n is odd.
By these results almost all monotone Boolean functions have only
prime implicants and prime clauses whose length is about n 2 . For
our purposes (see also 2 and 3) a good estimation of log |Mn | is
sucient. Such a result is much easier to prove.
PROPOSITION 5.1 : The number of monotone functions f Mn is
larger than 2E(n) where E(n) = nn2 is larger than c2n n1 2 for some
constant c 0 .
Proof : The estimation of E(n) follows from Stirlings formula. E(n) is
the number of dierent monotone monoms of length n 2 . For each
subset T of this set of monoms we dene fT as the disjunction of all
m T . Since no monom of length n 2 is a shortening of another,

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PI(fT ) = T and fT = fT if T = T . We have dened 2E(n) dierent

functions fT Mn .

Now we can apply the results in 2 and 3 on the number of

circuits or formulas of size b . If we consider monotone circuits or
formulas, we may replace the factor 16b by 2b , since |m | = 2 . By
Shannons counting argument we obtain from elementary calculations
the following results.
0 almost all f Mn
THEOREM 5.2 : For some constants c1 c2
have (monotone) circuit size bounded below by c1 2n n3 2 , (monotone) formula size bounded below by c2 2n n1 2 log1 n , and (monotone) depth bounded below by n (1 2) log n log log n + log c2 .
What is known about upper bounds ? One can show for the (monotone) circuit size upper bounds of the same size as the lower bounds
of Theorem 5.2. Lupanov (62 a) and (65 b), who proved asymptotically optimal bounds on the circuit and formula size of almost
all Boolean functions, could design for monotone functions only circuits of size larger than 2n n3 2 . Pippenger (76) and (78) described
for all monotone functions B2-circuits of size O(2n n3 2) . The old
O(2n n3 2 log2 n) bound of Reznik (62) on Cm (Mn ) has been improved
at rst by Pippenger (76) to O(2n n3 2 log n) , and nally Redkin (79)
proved that all monotone functions can be computed by monotone circuits of size O(2n n3 2) . This implies that for almost all monotone
functions f Mn C(f) and Cm(f) are of the same size. In Ch. 6 we
learn that for certain f Mn C(f) may be much smaller than Cm (f) .
Since the O(2n n3 2) bounds are rather complicated, we only prove
the O(2n n3 2 log n) bound of Pippenger for monotone circuits. More
important than the actual size of the bound it is to learn why no
monotone function belongs to the hardest functions in Bn . The following circuit design takes advantage of structural particularities of
monotone functions.

101

The fundamental equality (2.5) for decoding circuits, namely

f = (xn f0 ) (xn f1), contains a negation. For monotone functions,
f0 f1 , and, considering the cases xn = 0 and xn = 1 , we can prove
the following monotone decompositions of f Mn .
f = f0 (xn f1) = (xn f0) f1

(5.6)

Applying the rst part of (5.6) n m times, we obtain

f(x1

xn ) =

(5.7)
xi(j) f(x1

i(m+1)

xm i(m + 1)

i(n))

i(n){0 1} i(j)=1

Later on we discuss how we compute the 2nm subfunctions of f

on x1
xm eciently in common. Furthermore we need all monotone monoms on xm+1
xn . These monoms can be computed with
2nm (n m) 1 -gates, since the empty monom and the n m
monoms of length 1 are given and each monom of length l can be
computed with one -gate from a monom of length l 1 and a variable. After having computed the subfunctions of f in (5.7) , less than
3 2nm gates are sucient for the computation of f .
According to the law of simplication xy y = y , it is not possible
that both p and some proper shortening or lengthening of p are prime
implicants of f . If p1
pr is a chain of monoms, i.e. pi+1 is the
lengthening of pi by one variable, then at most one monom of the
chain is a prime implicant of f . We show how we may partition the
set of monoms into the smallest possible number of chains. These
chains are grouped into b blocks. Then we compute all subfunctions
of f in the following three steps.
Step 1 : Compute all monoms on x1
less than 2m gates.

xm . This can be done with

Step 2 : Compute for each block all monotone functions having only
prime implicants of that block, or equivalently, having at most one
prime implicant of each chain of the block.

102

Step 3 : Each subfunction f of f on x1

xm can be computed
as the disjunction of f1
fb where fi is the disjunction of all prime
implicants of f belonging to the i -th block. Thus Step 3 can be implemented with (b 1) 2nm -gates.
As Step 2 will be implemented by -gates only, the whole circuit
will contain only 4 logical levels.
Since there exist E(m) = mm2 monoms of length m 2 , which
have to belong to dierent chains, E(m) chains are necessary. By
solving the marriage problem we prove that E(m) chains suce.
LEMMA 5.1 : Let G = (A B E A B) be a bipartite graph. For
A A let (A ) be the set of vertices b B such that (a b) E for
some a A . G contains |A| vertex disjoint edges i |A | |A | for
all A A .

Sketch of Proof : Obviously the condition is necessary. For the

suciency part of the proof e = |E| |A| , since |A| |A| .
Case 1 : e = |A| . Since |A| |A| , all edges are vertex disjoint.
Case 2 : A : = A = A and |A | = |A | . Let B = A ,
A = A A and B = B B . The condition of the lemma is fullled
for the smaller subgraphs on A B and A B . By induction
hypothesis we obtain |A | and |A | vertex disjoint edges resp. on these
subgraphs, altogether |A| vertex disjoint edges.
Case 3 : A = : |A | |A | . By eliminating an arbitrary edge we
obtain a smaller graph fullling the condition of the lemma.
Case 4 : A = A = A : |A | |A | , |A| = |A| and |E| |A| .
The degree of some b B is at least 2 . By eliminating some edge
(a b) we obtain a smaller graph fullling the condition of the lemma.

103

Now we build E(m) chains containing all monoms on x1

xm .
We start on level m 2 where each chain contains one monom of
m
length m 2 . We show how the k+1
monoms of length k + 1 can be
m
added to the k chains containing one monom of length k m 2 .
The addition of the short monoms can be performed in the same way.
Let A and B contain the monoms of length k + 1 and k resp. a A
and b B are connected by an edge i a is a lengthening of b . If
we nd a set S of |A| vertex disjoint edges, we can add each monom
a A to that chain ending in b where (a b) S . We only have to
check the condition of Lemma 5.1. Let A A be a set of l monoms.
Each monom of length k + 1 has k + 1 shortenings in B , therefore
(k + 1)l edges are leaving A and go to A . Each monom of length
k has m k lengthenings in A , therefore at most (m k)r , where
r = |A | , edges are gathered by A . Since all edges leaving A are
gathered by A ,
(k + 1)l (m k)r

(5.8)

implying l r , since k+1 mk . Since the condition of Lemma 5.1

is fullled, our construction is possible. The set of all monoms can be
partitioned to E(m) chains C1
CE(m) .
If C1
S(B) =

Ci build a block B , at most

(|Cj | + 1)

(5.9)

1ji

monotone functions have at most one prime implicant of each chain

Cj (1 j i) and no other prime implicant. These functions can be
computed by a circuit of size S(B) , if the monoms on x1
xm are
given. This is easy to see, since any function with l prime implicants
can be computed with one -gate from a function with l 1 prime
implicants and a monom. If we join the chains to b blocks B1
Bb ,
Step 2 and 3 of our circuit can be implemented with S(Bi) and (b
1) 2nm gates resp.
b has to be chosen such that Step 2 and 3 can both be implemented
eciently. The size S(B) of the blocks should be bounded by some

104

parameter 2s . Since each chain Cj contains at most m + 1 monoms,

each chain increases the size of a block at most by the factor of m + 2 .
So we build the blocks by adding as many chains as possible without
skipping the size bound 2s . Then at most one block has a size less
than 2s (m + 2) . We estimate the number of blocks b . The sum of
all |Cj | is 2m , since each monom is in exactly one chain.
Let H(Cj) = log(|Cj | + 1) . Then for all blocks B with at most one
exception by (5.9)
H(C) = log S(B) s log(m + 2)

(5.10)

CB

Because of the concativity of log

E(m)1 log(|Cj| + 1)

H(Cj) = E(m)
1jE(m)

(5.11)

1jE(m)

E(m)1(|Cj| + 1)

E(m) log

1jE(m)

= E(m) log(2m E(m)1 + 1)

Combining (5.10) and (5.11) we can estimate b by
b 1 + E(m) log(2m E(m)1 + 1))(s log(m + 2)

(5.12)

The size of the whole circuit can be estimated by

3 2nm + 2m + b 2s + (b 1) 2nm

(5.13)

since, by denition, S(B) 2s for all blocks B . We may choose m and

s and can estimate b by (5.12). Let
m= n 3

and s = (2 3)n log n

(5.14)

then, by Stirlings formula, E(m) = (2n 3 n1 2) , and s is linear in

n , hence by (5.12)
b = O(2n 3 n3 2 log n)

(5.15)

Inserting (5.14) and (5.15) into (5.13) we have proved the following
upper bound on Cm (Mn ) .
THEOREM 5.3 : Each monotone function f Mn can be computed
by a monotone circuit of size O(2n n3 2 log n) .

105

McColl (78 b) proved the following upper bound on Dm (Mn ) . The

proof is rather simple, but contains the idea of smuggling computation
steps into other computations.
THEOREM 5.4 : Each monotone function f Mn can be computed
by a monotone circuit of depth n .
Proof : We dene for f Mn functions g1 h1
gn1 hn1 such that
Dm (gi) Dm(hi ) i and f = g1 gn1 as well as f = h1
hn1 . This obviously implies the theorem. We prove the assertion by
induction on n . For n = 2 the claim is obvious. For the induction
step we use the representations of f in (5.6), namely f0 (xn f1) and
(xn f0 ) f1 . Since f0 f1 Mn1 , by induction hypothesis
f0 = g1 gn2

where Dm (gi) i and

(5.16)

f1 = h1 hn2

where Dm (hi ) i

(5.17)

g1 has depth 1 . If g1 has depth 2 , g1 g2 gn2 also can be

computed in depth n1 . Thus there is some place in the computation
of f0 where we may smuggle in xn . g1 = xn g1 has depth 2 , so xn f0
has depth n 1 . f = (xn f0 ) f1 has depth n where f1 = h1 hn2
and hn1 = xn f0 such that Dm (hi ) i . By dual arguments we obtain
the other representation of f .

We have seen that the Shannon eect is valid for Mn and monotone
depth. Henno (79) generalized McColls design to functions in mvalued logic. By a further improvement of Hennos design Wegener (82
b) proved the Shannon eect also for the monotone functions in mvalued logic and (monotone) depth.

106

4.6 The weak Shannon eect

The proof of the Shannon eect for various classes of functions and
complexity measures is a main subject in Russian language literature.
There also weak Shannon eects are studied intensively. The Shannon
eect is valid for Fn and CM i almost all functions f Fn have nearly
the same complexity k(n) and k(n) = CM(Fn ) is the complexity of the
hardest function in Fn . The weak Shannon eect concentrates on the
rst aspect.

DEFINITION 6.1 : The weak Shannon eect is valid for the class
of functions Fn and the complexity measure CM if CM(f) k(n)
o(k(n)) and CM(f) k(n) + o(k(n)) for almost all f Fn and some
number sequence k(n) .

The validity of the weak Shannon eect for Mn and circuit size
and monotone circuit size has been proved by Ugolnikov (76) and
Nurmeev (81) resp. It is not known whether the Shannon eect is
valid too. The complexity k(n) of almost all functions is not even
known for the (monotone) circuit size. How can the weak Shannon
eect be proved without knowing k(n) ? Often Nigmatullins (73)
variational principle is used. If the weak Shannon eect is not valid
there exist some number sequence k(n) , some constant c
0 , and
some subclasses Gn Hn Fn such that for innitely many n
|Gn | |Hn | = (|Fn |)

(6.1)

CM(f) k(n)

if f Gn

CM(f) (1 + c)k(n)

if f Hn

and

(6.2)
(6.3)

Since Gn and Hn are large subclasses, there are functions gn Gn and

hn Hn which do not dier too much. Furthermore this implies that
hn cannot be much harder than gn in contradiction to (6.2) and (6.3).

107

Nurmeevs proof is based on Korshunovs description of the structure of almost all f Mn (see 5). However, the proof is technically
involved.

4.7 Boolean sums and quadratic functions

In contrast with the large classes of Boolean functions, Bn and Mn ,

we consider here the smaller classes of k-homogeneous functions.
DEFINITION 7.1 : A Boolean function f Mn is called k-homogeneous if all prime implicants of f are of length k . Hkn and Hkn m are
the classes of k-homogeneous functions. 1-homogeneous functions are
called Boolean sums, 2-homogeneous functions are called quadratic.
Important examples are the threshold functions, the Boolean matrix product and the clique functions (see Ch. 6).
Since there are nk monoms of length k and since a k-homogeneous
function is a non empty disjunction of such monoms,
|Hkn | = 2b(n k) 1 where b(n k) =

n
k

(7.1)

(For constant k , nk = (nk)). With Shannons counting argument

the following lower bounds can be proved.
THEOREM 7.1 : For constant k , the (monotone) circuit size as well
as the (monotone) formula size of almost all f Hkn is (nk log1 n) .
We shall see that these bounds are asymptotically optimal for k
2 . The case k = 1 is treated as an exercise. At rst we prove that it
is sucient to investigate the case k = 2 .

108

LEMMA 7.1 : i) C(Hkn ) Cm (Hkn ) .

ii) Cm (Hkn ) Cm (Hk1
n n ) + 2n 1 .
iii) Cm (Hkn n ) n Cm(Hkn ) .
Proof : i) and iii) are obvious by denition. For ii) let f Hkn and let
gi be the disjunction of all prime implicants of f containing xi . We
factor out xi , hence gi = xi gi for some gi Hk1
. The assertion
n
follows, since
f(x) =

xi gi (x)

(7.2)

1in

By Lemma 7.1 an O(n2 log1 n)-bound for H1n n implies the same
k
bound for H2n and O(nk log1 n)-bounds for Hk1
n n and Hn . Savage (74)
presented the following design of monotone circuits for f H1n n . The
variables are partitioned to b = n log n blocks of at most log n
variables each. All Boolean sums on each block can be computed with
less than 2 log n n -gates similarly to the computation of monoms
in 5. Now each fi H1n can be computed with b 1 -gates from
its subfunctions on the blocks. Since we have n outputs and b blocks,
we can compute f with (2b 1)n-gates. We combine this result with
Lemma 7.1.
THEOREM 7.2 :
Each k-homogeneous function f Hkn can be
computed by a (monotone) circuit of size (2+o(1)) nk log1 n , if k 2 .
We note that we have designed asymptotically optimal monotone
circuits for almost all f H1n n which consist of -gates only. In Ch. 6
we get to know some f H1n n such that optimal monotone circuits
for f have to contain -gates disproving the conjecture that Boolean
sums may be computed optimally using -gates only.
Similar results for formulas are much harder to achieve. Using
the MDNF of f each prime implicant requires its own -gate. We can

109

compute eciently many prime implicants by the law of distributivity.

With m + r 1 gates we can compute mr monoms of length 2 by
(x1 xm ) (xm+1 xm+r) . The ratio of prot, number
of monoms, and costs, number of gates, is best, if m = r and m is
large. It is only useful to compute monoms of length 2 which are
prime implicants of f .
For f H2n we consider the following graph G(f) on {1
n} .
G(f) contains the edge {i j} i xi xj PI(f) . A complete bipartite
graph on disjoint m-vertex sets A and B contained in G(f) is called
Km m . Such a Km m corresponds to m2 prime implicants which can be
computed with 2m 1 gates. Since the result has to be connected
with other terms, we dene the cost of a Km m as 2m . If we can cover
G(f) by a(m) copies of Km m (1 m n 2), then f can be computed
by a monotone formula of size
2 a(m) m 1

(7.3)

1mn 2

This suggests the following greedy algorithm. Starting with G(f)

search the largest complete bipartite subgraph, Km m , compute its
edges with 2m1 gates, eliminate the edges of this copy of Km m in G(f)
and continue in the same way. At the end compute the disjunction of
all intermediate results. It is highly probable that the so constructed
monotone formula for f will not have size larger than O(n2 log1 n) .
But this is dicult to prove.
Bublitz (86) investigated an algorithm that leads to monotone formulas which might be not as good as the formulas of the greedy
algorithm above. For some carefully selected decreasing sequence
m(1)
m(k) = 1 he searches always for the largest Km m where
m equals some m(i) . By this approach it is easier to estimate the
eciency of the algorithm.
THEOREM 7.3 : L(Hkn ) Lm (Hkn) 22 nk log1 n , if k 2 .
Proof : By (7.2) we have to prove the claim for k = 2 only. For n 54

110

we use the MDNF of f whose size is bounded by 2

smaller than 22 n2 log1 n .
For n 55 let k = log n (see Def. 4.1) and

n
2

= n2 n and

m(i) = (log n) (4 log(ki) n) for 1 i k 2 and m(k 1) = 1

(7.4)
We use the approach discussed above. Let e(i) be the number of
edges of G(f) after the elimination of all Km(i) m(i) . Obviously e(0) =
| PI(f)| n2 and by results of graph theory (see Bollobas (78))
e(i) n2(m(i) n)1

m(i)

for 1 i k 2 and e(k 1) = 0

(7.5)

By elementary but tedious computations one can prove for n 55

that
e(i) n2 (4i log(ki1) n) for 0 i k 2

(7.6)

After the elimination of all Km(i1) m(i1) the graph has at most e(i 1)
edges, each Km(i) m(i) has m(i)2 edges, therefore the algorithm selects
at most e(i 1) m(i)2 copies of Km(i) m(i) . The cost of these subgraphs
altogether is bounded by 2e(i 1) m(i) . According to (7.4) and (7.6)
this can be estimated by 16 n2 (4i1 log n) . Summing up these terms
we obtain the upper bound of 22 n2 log1 n .

We emphasize the power of Shannons counting argument which

leads to asymptotically optimal results for large classes like Bn and
Mn as well as for small classes like Hkn . For almost all functions in
these classes we know nearly optimal circuits.

4.8 Universal circuits

Each circuit computes a denite Boolean function. We now discuss
the concept of programmable circuits, which are also called universal
circuits. What does it mean to program a circuit ? How do we read
in such a program ? The only inputs of a Boolean circuit are Boolean

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variables. Programmable circuits have input variables x1

xn , the
true input variables, and y1
ym , the program variables or conm
trol bits. For each of the 2 input vectors for y , the 2m admissible
programs, some Boolean function fy Bn is computed by the circuit.
DEFINITION 8.1 : A programmable circuit S is called (n c d)-universal if it contains n true input variables and c distinguished gates
such that for each circuit S of size c c and depth d d there is
some admissible program such that the i -th distinguished gate of S
computes the same function as the i -th gate of S (1 i c ).
Ecient universal circuits oer the possibility of applying the same
circuit to several purposes. We design two types of universal circuits.
The rst one is optimal with respect to size but the depth is rather
large (whether it is possible to reduce depth is discussed in 2 of
Ch. 7) whereas the other one is optimal with respect to depth and
also is of reasonable size. Since depth and time of parallel computers
are related, we refer to some papers on the construction of universal
parallel computers, namely Galil and Paul (83) and Meyer auf der
Heide (86).
We begin with lower bounds. Each (n c d)-universal circuit obviously has depth (d) . What about its size ?
THEOREM 8.1 : Each (n c )-universal circuit has size (c log c)
if c = O(2nn1) .
The condition c = O(2n n1) is not really to be seen as a restriction,
since each f Bn has circuit size O(2nn1 ) (see 2).
Proof of Theorem 8.1 : We prove the theorem by counting arguments.
If the universal circuit has m control bits, it can compute at most 2m c
dierent functions. For small r , each Boolean function f Br has

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circuit size bounded by c . Due to the results of 2 r can be chosen

as log c + log log c k for some appropriate constant k . In particular
2mc |Br |

m log c 2r = (c log c)

(8.1)

Since m = (c log c) and since we have to consider control bits of

positive fan-out only, the size of the circuit is (c log c) .

For the construction of universal circuits we design universal gates

and universal graphs. A universal gate has two true inputs x1 and x2 ,
four control bits y1 , y2 , y3 , and y4 and computes
y1 x1 x2 y2 x1 x2 y3 x1 x2 y4 x1 x2

(8.2)

For each f B2 there are control bits such that the universal gate
realizes f(x1 x2) by its DNF.
The construction of universal graphs is much more dicult.
Valiant (76 b) designed universal circuits of size O(c log c) if c n .
By the results of 4, Ch. 1 , we have to consider only circuits of fanout 2 . We have to simulate the gates G1
Gc of each circuit S
at the distinguished gates G1
Gc of the universal circuit S . The
distinguished gates of S will be universal gates, i.e. that the type of
Gi can be simulated. Since Gj may be a direct successor of Gi in S ,
if j i , we have to be able to transfer the result of Gi to any other
gate Gj where j
i . We design the universal circuit in such a way
that, if Gj is direct successor of Gi in S , we have a path from Gi to Gj
in S such that on all edges of this graph the result of Gi is computed.
Since the successors of Gi are dierent for dierent S , we use universal switches consisting of two true inputs x1 and x2 , one control bit
y , and two output bits computing
z1 = y x1 y x2

and z2 = y x1 y x2

(8.3)

In either case both inputs are saved, but by setting the control bit y
we control in which direction the inputs are transferred to. If y = 1 ,
z1 = x1 and z2 = x2 , and, if y = 0 , z1 = x2 and z2 = x1 .

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We are looking for an (n+c)-universal circuit, i.e. a directed acyclic

graph G of fan-out and fan-in 2 with the following properties. There
are n + c distinguished nodes for n true input variables and for the
simulation of c gates. Furthermore, for each circuit S with n inputs
and c gates of fan-out and fan-in 2 we may map each edge (v w ) in
S to a path from the corresponding node v to w in S such that all
these paths are edge disjoint. Replacing the c distinguished nodes for
the gates in S by universal gates and all not distinguished nodes by
universal switches, we may simulate all circuits S . By the following
lemma we reduce the problem to the simulation of graphs of fan-out
and fan-in 1 .
LEMMA 8.1 : Let G = (V E) be a directed acyclic graph of fan-out
and fan-in 2 . Then E may be partitioned to E1 and E2 , such that
Gi = (V Ei) has fan-out and fan-in 1 for i = 1 and i = 2 .
an } , V = {b1
bn } , V = {c1
cn}
Proof : Let V = {a1

and let G = (V V E ) be the bipartite graph containing the edge

(bi cj ) if (ai aj ) E . We may add some edges such that all nodes of
G have degree 2 . Then the assumptions of Lemma 5.1 are fullled
implying the existence of n vertex disjoint edges. If E1 contains these
edges and E2 the other edges (and if we destroy the new edges), we
obtain a partition of E as required.

Now it is sucient to design an (n + c)-universal circuit G for the

simulation of graphs S with fan-out and fan-in 1 , such that in G the
fan-out and fan-in of the distinguished nodes is 1 . Then we take two
copies of G and identify the distinguished nodes. This new graph
has fan-out and fan-in 2 and may simulate all circuit graphs S with
fan-out and fan-in 2 and c gates. We partition the edge set of S by
Lemma 8.1 and simulate the edges of E1 and E2 in the rst and second
copy of G resp. This leads to the design of a size optimal universal
circuit.

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THEOREM 8.2 : If c n , (n c )-universal circuits of size O(c log c)

may be designed.

Proof : According to our preliminary remarks we only have to construct graphs U(m) of size O(m log m) , fan-out and fan-in 2 for all
nodes, fan-out and fan-in 1 for m distinguished nodes, such that all
directed acyclic graphs of size m and fan-out and fan-in 1 can be simulated. For m = 1 a single node and for m = 2 two connected nodes
are appropriate. For m 4 and m = 2k + 2 , we use a recursive construction whose skeleton is given in Fig. 8.1. The edges are directed
from left to right. For m = m 1 we eliminate pm . The skeleton of
U(m) has to be completed by two copies of U(k) on {q1
qk} and
on {r1
rk} . Since the q- and r-nodes have fan-out and fan-in 1
in the skeleton of U(m) as well as in U(k) (by induction hypothesis),
these nodes have fan-out and fan-in 2 in U(m) . Obviously the distinguished nodes p1
pm have fan-out and fan-in 1 in U(m) . How
can we simulate directed acyclic graphs G of size m and fan-out and
fan-in 1 ? We understand the pairs (p2i1 p2i) of nodes as supernodes.
The fan-out and fan-in of the supernodes is 2 . By Lemma 8.1 we partition the set of edges of G to E1 and E2 . Edges (p2i1 p2i) in G are
simulated directly. The edges leaving a supernode, w.l.o.g. (p1 p2) ,
can be simulated in the following way. If the edge leaving p1 is in E1
and the edge leaving p2 is in E2 (the other case is similar), we shall
use edge disjoint paths from p1 to q1 and from p2 to r1 .

q1

p1

qk1

p2

qk

pm3 pm2
r1

rk1
Fig. 8.1

The skeleton of U(m) .

pm1 pm
rk

115

If the edges leaving p1 and p2 end in the supernodes p2i1 2i and p2j1 2j
resp. we shall take a path from q1 to qi1 and from r1 to rj1 resp. in
the appropriate U(k) . All these paths can be chosen edge disjoint by
induction hypothesis. Finally the paths from qi1 and ri1 to p2i1
and p2i can be chosen edge disjoint. Thus the simulation is always
successful.
Let C(m) be the size of U(m) . Then, by construction
C(m) 2 C( m 2 1) + 5 m

C(1) = 1

C(2) = 2

(8.4)

This implies C(m) = O(m log m) . In our application m = n +c . Since

n c , U(n + c) = O(c log c) .

Cook and Hoover (85) designed a depth optimal universal circuit.

THEOREM 8.3 : If c n and c d log c , (n c d)-universal
circuits of size O(c3 d log1 c) and depth O(d) may be designed.
The assumption c d log d is not really a restriction, since it is
easy to see that C(S) D(S) log C(S) for all circuits S . Perhaps
it is possible to design universal circuits of depth O(d) and of smaller
size. Until now we have some trade-o. If we use universal circuits
of optimal depth the circuit size increases signicantly. If we use the
given circuits of size c and depth d , we have to pay the cost for the
production of dierent types of circuits.
Proof of Theorem 8.3 : We want to simulate all circuits S of size
c c and depth d d . What do we know about the depth of the
i -th gate Gi of S ? Not much. Gi may be a gate in depth 1 where
some path of length d 1 starts. It may also be a gate in depth i .
Therefore, in order to simulate all circuits S in depth O(d) , we cannot
wait until all possible predecessors of the i -th gate are simulated.
For some parameter h chosen later, we simulate the circuits in
Step 0 ,
, Step d h . Step 0 consists of the inputs of the circuit.

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In each further step we simulate all gates. Let zi m be the simulation

of the i -th gate in Step m . If the depth of the i -th gate in S is at
most mh , zi m will simulate this gate correctly. Finally, each gate is
simulated correctly after Step d h .
We may choose zi 0 = 0 . For the computation of zi m we use the
input variables and the simulations z1 m1
zc m1 . In order to
apply only correct simulations, if zi m has to be correct, we look for
the predecessors of the i -th gate in distance h . If a path starting
from the i -th gate backwards ends after l
h steps at some input, this input will be chosen 2hl times as predecessor in distance
h . For each of the 2h predecessors in distance h we have n + c possibilities: x1
xn z1 m1
zc m1 . We use a binary tree of depth
k = log(n + c) with n + c leaves for the n + c possibilities. The
nodes are universal selectors y x1 y x2 where y is a control bit. With
these universal selector trees we may select the right predecessors in
distance h . If we have to simulate the i -th gate correctly, its depth is
at most mh , and the depth of its predecessors in distance h is at most
m(h 1) , these gates are correctly simulated in the previous step.
Obviously each circuit of depth h can be simulated by a complete
binary tree of depth h whose nodes are universal gates. Since we
have chosen the predecessors correctly, we can compute zi m by such a
universal computation tree. Altogether we have designed an (n c d)universal circuit.
What is the depth and size of it ? We have d h steps. Each
step consists of parallel universal selector trees of depth 2 log(n + c)
and parallel universal computation trees of depth 4 h . Therefore the
depth of the universal circuit is
d h (2 log(n + c) + 4 h)

(8.5)

The depth is O(d) if h = (log c) . We note that it is possible to

bound the depth by approximately 6 d . In each step each of the c
gates is simulated by one universal computation tree of size O(2h ) and
2h universal selector trees of size O(n + c) = O(c) . Altogether the size

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may be estimated by
O(dh1 c2 2h )
For h = log c the size is O(c3 d log1 c) .

(8.6)

0 , the depth still is O(d) though the

If h = log c for some
constant factor increases by approximately 1 but the size decreases
to O(c2+ d log1 c) .
The concept of universal or programmable circuits leads to quite
ecient circuit schemes.

EXERCISES
1. The Shannon eect is valid for Bn and C{ } .
2. Estimate C(Bn m) for xed m and discuss the result.
3. Prove Theorem 5.2.
4. Let h(n) = |(n)| . Apply Shannons counting argument to
C(n) (Bn) . For which h(n) the bounds are
a) non exponential b) polynomial ?
5. If f(x) = xi(1) xi(k) for dierent i(j) , then C(f) = Cm(f) =
L(f) = Lm (f) = k 1 .
6. The weak Shannon eect but not the Shannon eect is valid for
H1n and C .
7. Dene a class of Boolean functions such that Shannons counting
argument leads to much too small bounds.

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8. Let Pkn Bn be the class of functions f which may be computed

by a polynomial whose monoms have not more than k literals.
Estimate C(Pkn) .
9. f H2n can be computed with n 1 -gates.
10. Which is the smallest n such that each f H2n can be computed
with n 2 -gates ? (Bloniarz (79)).
11. Lm (Tn2) = O(n log n) .
12. Apply the algorithms of 7 to Tn2 and estimate the size of the
constructed formulas.
13. Estimate the depth of the universal graph U(m) in 8.

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5. LOWER BOUNDS ON CIRCUIT COMPLEXITY

5.1 Discussion on methods

For almost all Boolean functions we know nearly optimal circuits

(see Ch. 4). But almost all functions have circuit complexity 2n n1 +
o(2n n1) . Usually we are in another situation. The function for which
we should design an ecient circuit is described by some of its properties, and it is quite easy to design a circuit of size o(2n n1) . For
many fundamental functions (see Ch. 3) we can design circuits whose
size is a polynomial of small degree. For other important functions,
among them several NP-complete functions, the best known circuits
have exponential size but size 2o(n) . In this situation we have to ask
whether we can improve the best known circuits, and in the positive
case, whether we can bound the possible improvements. For (explicitly
dened) functions f we like to prove lower bounds on C(f) .
This is the hardest problem in the theory of Boolean functions.
The results known are poor. Why is it more dicult to prove lower
bounds than to prove upper bounds ? For an upper bound on C(f) it is
sucient to design an ecient circuit, to prove that it computes f , and
to estimate its size. We are concerned only with one circuit for f . For a
lower bound on C(f) it is necessary to prove that all circuits computing
f have a certain circuit size. It is dicult to describe properties of all
ecient circuits for f . Although e.g. subtractions and negations resp.
seem to be useless for matrix multiplication, they are not useless at
all. Optimal circuits cannot be designed without negations (see Ch. 3
and Ch. 6).
We used the notion explicitly dened Boolean function in order
to exclude tricks like diagonalization. If we consider the lexicographical order on the tables of all fn Bn and if we dene fn Bn as the
lexicographically rst function where C(fn) 2n n1 , we obtain by de-

120

nition a sequence of hard functions. Everybody will admit that the

sequence fn is not explicitly dened. We discuss this notion in 6.
The Boolean functions we actually consider are explicitly dened.
In particular, if the union of all fn1 (1) is in NP , the sequence fn is
explicitly dened. Therefore, a reader who is not familiar with complexity theory should not have any problem. All functions known to
him are explicitly dened, and he should not try tricks like the diagonalization trick for the denition of fn above.
We need the notion explicitly dened to explain the poorness of
the known results. Until now nobody was able to prove for some explicitly dened Boolean function fn Bn a lower bound on C(fn) larger
than 3 n . Large lower bounds for non explicitly dened Boolean functions are easily achievable, but are of no use regarding our problem.
Thus it is necessary to concentrate on the investigation of explicitly
dened functions.
The situation is better for more restricted computation models. In
Ch. 6, 8, 11, 12, and 14 we prove in several restricted models larger
lower bounds for explicitly dened Boolean functions.
Since a long time it has been tried to prove lower bounds on circuit
complexity (Yablonskii (57)). A simple but general lower bound has
been derived by Lamagna and Savage (73).
DEFINITION 1.1 : f Bn is called non degenerated if f depends
essentially on all its variables, i.e. if the subfunctions of f for xi = 0
and xi = 1 are dierent.
THEOREM 1.1 : C(f) n 1 for any non degenerated f Bn .
Proof : We count the number of edges in an optimal circuit for f . If
xi has fan-out 0 , the output f of the circuit cannot depend essentially
on xi . If another gate than the output gate has fan-out 0 , this gate
could be eliminated. Therefore the number of edges is at least n+c1

121

where c = C(f) . Each gate has fan-in 2 implying that the number of
edges equals 2 c . Hence 2c n + c 1 and c n 1 .

This simple linear bound is optimal for some functions like

x1 xn . Usually one does not consider degenerated one-output
functions, since one can eliminate unnecessary variables. The situation is dierent for functions with many outputs. The Boolean matrix
product consists of degenerated functions. The i -th output bit si of
the addition function depends essentially on xi yi
x0 y0 , only sn1
and sn are non degenerated. Applications and generalizations of the
simple linear bound are treated in the exercises. Harper, Hsieh and
Savage (75) and Hsieh (74) improved the lower bound for many functions to (7 6)n 1 .
The proof of Theorem 1.1 is based only on the graph structure of
the circuit. The hope to prove nonlinear lower bounds by graph theoretical arguments only (described e.g. by Valiant (76 a)) has been destroyed. Though it is astonishing, graphs like superconcentrators may
have linear size (Bassalygo (82), Gabber and Galil (79), Margulis (75),
Pippenger (77 a)). Nevertheless graph theoretical arguments build a
powerful tool for all types of lower bound proofs.
The (up to now) most successful method for general circuits is the
elimination method. One replaces some variables in such a way by
constants that one obtains a subfunction of the same type (in order to
continue by induction) and that one may eliminate several unnecessary
gates. A gate G becomes unnecessary if it computes a constant or a
variable. If G is not an output gate, it becomes already unnecessary
if one input is replaced by a constant. If the other input is g , the
output of G is 0 , 1 , g or g . 0 ,1 and g are computed elsewhere. If
G computes g , we use g and change the type of the successors of G
in the appropriate way. The disadvantage of this approach is that we
analyze only the top of the circuit. The eect of the replacement of
variables by constants on gates far o the inputs is hard to understand.
This leads to the prediction that nonlinear lower bounds will not be

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proved by the elimination method. We discuss some applications of

this method in 2 5.
The most promising approach for the proof of nonlinear lower
bounds is to analyze the value of each single gate for the computation of the considered function. Such an approach has already been
suggested by Schnorr (76 b), but has been applied successfully only
for monotone circuits (see Ch. 6).
In order to gather knowledge on the structure of optimal circuits
one might try to characterize the class of all optimal circuits for some
function. This problem is already hard. Even simple functions may
have a large number of structurally dierent optimal circuits (see Sattler (81) and Blum and Seysen (84)).

5.2 2n - bounds by the elimination method

The rst bound of size 2n O(1) has been proved by Kloss and
Malyshev (65). We discuss some other applications of the elimination
method.
DEFINITION 2.1 : A Boolean function f Bn belongs to the class
Qn2 3 if for all dierent i j {1
n} we obtain at least three dierent
subfunctions by replacing xi and xj by constants and if we obtain a
subfunction in Qn1
2 3 (if n 4) by replacing xi by an appropriate
constant ci .
Qn2 3 is dened in such a way that a lower bound can be proved
easily (Schnorr (74)).
THEOREM 2.1 : C(f) 2n 3 if f Qn2 3 .

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Proof : Each function f Qn2 3 is non degenerated. If f would not

depend essentially on xi , f could have at most two subfunctions with
respect to xi and xj . Let G be the rst gate in an optimal circuit S for
f . Because of the optimality of S the predecessors of G are dierent
variables xi and xj . If xi and xj both have fan-out 1 , f depends on xi
and xj only via G , which may compute only 0 or 1 . Hence f can have
at most two subfunctions with respect to xi and xj . W.l.o.g. we may
assume that the fan-out of xi is at least 2 . If n = 3 , at least 4 edges
are leaving the variables, and we may prove the existence of 3 gates
by the method of Theorem 1.1. If n 4 , we replace xi by ci . At least
the two successors of xi can be eliminated. Furthermore we obtain a
circuit for a function in Qn1
2 3 containing by induction hypothesis at
least 2n5 gates. Therefore the original circuit contains at least 2n3
gates.

COROLLARY 2.1 : The circuit size of the counting functions Cnk 3 is

at least 2n 3 if n 3 .
Proof : By Def. 4.2, Ch. 3 , Cnk 3(x) = 1 i x1 + +xn k mod 3 . The
restrictions of Cnk 3 with respect to xi and xj are the dierent functions
n2
n2
n1
n
Cn2
k 3 Ck1 3 , and Ck2 3 . If n 4 , Ck 3 , the subfunction of Ck 3 for
xi = 0 , is in Qn1

23 .
The following lower bound for the storage access function SAn has
been proved by Paul (77). We repeat that SAn (a x) = x|a| .
THEOREM 2.2 : C(SAn ) 2 n 2 .
Proof : Replacing some address variable ai by a constant has the eect
that the function becomes independent from half of the x-variables.
Therefore we replace only x-variables, but this does not lead to storage
access functions. In order to apply induction, we investigate a larger
class of functions.

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Let Fs Bn+k be the class of functions f such that

f(ak1

a 0 x0

xn1) = x|a|

if |a| S

(2.1)

n 1}. Since SAn Fn , it is

for some s-element set S {0
sucient to prove a 2s 2 lower bound for functions in Fs . The
assertion is trivial for s = 1 . For s 2 we prove that we obtain a
circuit for a function in Fs1 after having eliminated 2 gates.
Case 1 : i S : xi has fan-out at least 2 . Replace xi by a constant.
This eliminates at least the successors of xi . S is replaced by S{i}.
Case 2 : i S : xi has fan-out 1 and the successor gate G is of type-
(see 2, Ch. 1). Then G computes (xbi gc )d for some function g and
some constants b c d {0 1} . If we replace xi by b , the output of G
is replaced by the constant 0d . Since the circuit computes a function
in Fs1 , G cannot be the output gate. G and its successors, at least
2 gates, can be eliminated.
Case 3 : i S : xi has fan-out 1 and the successor gate G is of
type- (see 2, Ch. 1). Then G computes xi g b for some function
g and some constant b {0 1} . Again G is not the output gate. Let
j S {i} and |a| = j . The circuit has to compute xj independently
from the value of xi . A change of the value of xi leads to a change of
the result at G . Since for |a| = j S{i} the value of xi does not have
any inuence on the output, we obtain a function in Fs1 , if we replace
xi by an arbitrary function. In particular, we choose the function g .
Then G computes the constant b , and G and its successors, at least
2 gates, can be eliminated.

In Ch. 3 we have proved an upper bound of 2n+O(n1 2) on C(SAn ) .

An example where upper and lower bound exactly agree is the addition
function. The 5n 3 upper bound (Theorem 1.1 , Ch. 3 , the school
method for addition) has been proved to be optimal by Redkin (81).

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5.3 Lower bounds for some particular bases

The proof of Theorem 2.2 makes clear that type- gates are more
dicult to deal with than type- gates. By replacing one input of a
type- gate by a constant it is impossible to replace its output by a
constant. Therefore it is not astonishing that lower bounds for the
basis U2 = B2 { } are easier to prove. Schnorr (74) proved
that parity requires in U2 -circuits three times as many gates as in
B2-circuits.

THEOREM 3.1 : For n 2 and c {0 1} the B2 -circuit complexity

of the parity function x1 xn c is n 1 while its U2 -circuit
complexity equals 3(n 1) .
Proof : The assertion on B2-circuits follows from the denition and
Theorem 1.1. The upper bound for U2-circuits follows, since x y is
equal to (xy)(xy) . For the lower bound we prove the existence of
some xi whose replacement by a suitable constant eliminates 3 gates.
This implies the assertion for n = 2 directly and for n 3 by induction.
Let G be the rst gate of an optimal circuit for parity. The inputs
are dierent variables xi and xj . The fan-out of xi is at least 2 . Otherwise, since G is of type- , we could replace xj by a constant such that
G is replaced by a constant. This would imply that the output became
independent from xi in contradiction to the denition of parity. We
replace xi by such a constant that G becomes replaced by a constant.
Since parity is not replaced by a constant, G has positive fan-out. We
may eliminate G and the successors of G and G , where G is another
successor of xi . Either these are at least 3 gates, or G is the only
successor of G . Then G as successor of G and xi is replaced by a
constant, and we can eliminate also the successors of G . In either
case we eliminate at least 3 gates.

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As a further example we compute the complexity of the equality

test fn= B2n dened by
fn=(x1

xn y1

yn ) = 1 i (x1

xn) = (y1

yn )

(3.1)

THEOREM 3.2 : C(fn=) = 2 n 1 and CU2 (fn=) = 4 n 1 .

Proof : The upper bounds follow, since
fn=(x y) = (x1 y1 ) (xn yn ) and

(3.2)

(xi yi ) = (xi yi ) (xi yi )

(3.3)

The lower bound on C(fn=) follows from Theorem 1.1. The basis of
the induction for the lower bound on the U2-complexity is contained
in Theorem 3.1.
Now it is sucient to prove the existence of some pair (xi yi) of
variables and some constant c such that we may eliminate 4 gates if we
replace xi and yi by c . Similarly to the proof of Theorem 3.1 we nd
some variable z , whose replacement by a suitable constant c eliminates
3 gates. Afterwards the function is not independent from the partner
z of z . Replacing z also by c eliminates at least one further gate.
Redkin (73) proved that the { }-complexity of fn= is 5n 1 .
Furthermore parity has complexity 4(n 1) in { }-circuits and
complexity 7(n 1) in { }- or { }-circuits. Soprunenko (65)
investigated the basis {NAND} . The complexity of x1 xn is
2(n 1) whereas the complexity of x1 xn is 3(n 1) .

127

5.4 2 5 n - bounds for symmetric functions

The 2 n lower bounds for B2-circuits in 2 were quite easy to
prove. No easy proof of a larger lower bound is known. So Pauls (77)
2 5 n bound for a generalized storage access function (of no practical
relevance) was a qualitative improvement. Stockmeyer (77) applied
the ideas of Paul to several fundamental symmetric functions. Here
the value vector v(f) = (v0
vn ) of a symmetric function f Sn
is written as a word v0
vn . By W we denote the words in {0 1}4
having three dierent subwords of length 2 . W has 8 elements, namely
0100 , 0010 , 0011 , 0110 , 1001 , 1100 , 1011 , and 1101 . Stockmeyer
proved that symmetric functions where some w W is near the middle
of v(f) are not very easy.
THEOREM 4.1 : If the value vector v(f) of f Sn can be written as
w w w where w W and the length of w as well as of w is at least
k , f has circuit complexity at least 2 n + k 3 .
At rst we apply this bound to threshold and counting functions.
COROLLARY 4.1 : C(Tnk) 2n + min{k 2 n k 1} 3 if
2 k n 1 . In particular, C(Tnn 2 ) 2 5 n 5 .
Proof : v(Tnk) = 0k2(0011)1nk1 where 0m is a word of m zeros. If
k = n 2 , k 2 as well as n k 1 is at least 0 5 n 2 .

COROLLARY 4.2 :
and m 3 .
Proof : Exercise.

C(Cnk m) 2 5 n 0 5 m 4 if 0 k

Proof of Theorem 4.1 : Let Skn be the subclass of symmetric functions

f Sn whose value vector has the form w w w for some w W and

128

words w and w of a length of at least k . Let C(n k) be the complexity

of the easiest function in Skn . Then we have to prove that
C(n k) 2 n + k 3

(4.1)

Subfunctions of symmetric functions f are easy to describe. If v(f) =

v0
vn , the subfunction of f where we replace some xi by 0 or 1 , has
value vector v0
vn1 or v1
vn resp.
We prove (4.1) by induction on k . For k = 0 we prove S0n Qn2 3
and apply Theorem 2.1. Since f S0n , v(f) contains some subword
vm vm+1 vm+2 vm+3 W . Let f00 , f01 , and f11 be the subfunctions
of f where we have replaced xi and xj both by zeros, by dierent
values, and both by ones resp. We consider only the positions m
and m + 1 of the value vectors of f00 , f01 , and f11 . These subwords
are vm vm+1 , vm+1 vm+2 and vm+2 vm+3 and by denition of W f00 ,
f01 and f11 are dierent. If n 4 , we may replace xi by a constant
such that vm
vm+3 is a subword of the value vector of the produced
subfunction f . Hence f S0n1 .
For k 1 we prove
C(n k) min{C(n 1 k 1) + 3 C(n 2 k 1) + 5}

(4.2)

by the elimination method. (4.1) can be derived from (4.2) by induction. For the proof of (4.2) it is sucient to prove that we either may
eliminate 3 gates by replacing some xi by a constant (the subfunction
of f obviously is in Sk1
n1 ) , or we may eliminate 5 gates by replacing
some xi and xj by dierent constants (in this case the subfunction of
f is in Sk1
n2 ) .
We investigate an optimal circuit for f Skn . Furthermore we
choose among all optimal circuits one where the number of edges leaving the variables is as small as possible. At the moment we may forget
this condition, it will be useful in the last case of the proof. We do
not replace more than 2 variables by constants. Since k 1 , n 5
and we cannot obtain constant subfunctions. Therefore gates being
replaced by constants have at least one successor which also can be
eliminated.

129

If some variable xi has fan-out at least 3 or fan-out 2 and some

type- gate as a direct successor, we may eliminate 3 gates by replacing xi by an appropriate constant.
In all other cases we consider the rst gate A of the circuit and its
dierent inputs xi and xj . Since f Skn S0n Qn2 3 , we may conclude
as in the proof of Theorem 2.1 that w.l.o.g. xj has fan-out 2 . Let C1
be the second successor of xj and B1 the second successor of xi if such
a successor exists. In the following we assume the existence of B1 ,
otherwise the proof is easier.
By our preliminary remarks all gates A , B1 and C1 are type-
gates. Because of the optimality of the circuit B1 = C1 . We build
the maximal chain of gates C1
Cq such that Cr is of type- and
is the only successor of Cr1 . Hence either Cq is the output gate or it
has at least two successors or the only successor is of type- . Let Er
be that predecessor of Cr dierent from Cr1 . Similarly we build the
chain B1
Bp . The part of the circuit we consider is described in
Fig. 4.1. The label of a gate describes only the type of the gate. We
rebuild this circuit such that the C-chain has length 1 . It is impossible
that Bl = Cm . Otherwise xi = xj = 0 and xi = xj = 1 would lead
to the same subfunction contradicting f Qn2 3 . If B1 exists, the circuit

xj

xi
+

B1

E1
+

C1
E2

B2

C2
Eq

Bp

Cq

Fig. 4.1

130

is symmetric with respect to xi and xj . W.l.o.g. we assume that

no path leads from Bp to Cq . This implies Bp = Em . Furthermore
Bl = Em for l
p , since otherwise Bl +1 = Cm . Indeed no path can
lead from Bl to Em . Such a path would pass through Bp and could
be extended to Cq . Altogether the C-chain receives no information
from the B-chain. Let em be the function computed at Em . At Cq we
compute xj e1 eq a for some a {0 1} . The intermediate
results at C1
Cq1 are necessary only for the computation of the
result at Cq , since all Ci (i q) have fan-out 1 . Without increasing
the number of gates or the number of edges leaving the variables we
rebuild the circuit by computing at some gate E the function e1
eq a and at gate C the function xj resE . The new situation
is shown in Fig. 4.2.
Either C is the output gate or C has fan-out at least 2 or C has
exactly one successor which is of type- . No path leads from B1 to
E . Because of the optimality of the circuit A = E .
It is essential that we do not decide which of the variables xi and
xj is replaced by 0 and which is replaced by 1 . In place of that we
replace for some appropriate e {0 1} xi by resE e . How can this be
done if resE depends on xi and/or xj ? Such a dependence is possible
only via A where resA = xi xj c for some c {0 1} . Since xi and
xj will be replaced by dierent values, resA will always be replaced
by c . At rst we replace A by c . Then resE is independent from xi

xi

B1

xj

E
+

Fig. 4.2

131

and xj , and we can perform the intended replacements of xi and xj .

We obtain a subfunction f Sk1
n2 of f . It is sucient to show that
we can eliminate A , C and 3 further gates. Let G be the set of direct
successors of A or C . Since A = E , A , C G . All gates in G can
be eliminated, since at least one input is constant.
Case 1 : |G| 3 . We eliminate at least 3 further gates.
Case 2 : |G| = 2 . Let G be a direct successor of A and H = G be
a direct successor of C . Since |G| = 2 , the fan-out of C is bounded
by 2 . We distinguish three subcases as shown in Fig. 4.3.
Case 2.1 : C has fan-out 2 . Since resA and resC are constant, also
resG is constant. If D = H , we eliminate G , H and D . If D = H , resD
is constant, and we eliminate G , H , and the successors of H .
Case 2.2 : C has fan-out 1 . By construction the only successor H
of C is of type- . We choose the constant e (see above) in such a
way that H is replaced by a constant. Therefore H has a successor D .

xj

xi
A

E
C

xj

xi
A

E
+

xj

xi
A

G
D

D
Case 2.1

Case 2.2.a
Fig. 4.3

D
Case 2.2.b

132

If D = G , we eliminate G , H , and D (Case 2.2.a). If D = G , resG is

constant, and we eliminate G , H , and the successors of G (Case 2.2.b).
Case 3 : |G| = 1 . The only successor of A and C is gate G of type-
(see Fig. 4.4).
Case 3.1 : E is a variable, say xm . We show that Case 3.1 is impossible. Because of the optimality of the circuit m {i j} . For suitable
constants a b c {0 1}
resG = (xi xj a) (xj xm b) c

(4.3)

= xj (xi xm 1 a b) xi xm a xm b xi a b c
If we replace xi by 0 and xm by 1 a b , resG and therefore the whole
circuit becomes independent from xj . But the subfunction f of f we
have to compute is not constant. Since f is symmetric, it depends
essentially on xj . Contradiction.
Case 3.2 : E is a gate. We rebuild the circuit as shown in Fig. 4.4.
The number of gates is not increased, but the number of edges leaving

xj

xi
A

Case 3

E
+

xj

xi
A

xm
+

Case 3.1
Fig. 4.4

xi
A

xj

E
+

Case 3.2

133

variables is decreased by 1 . If resG = resG , this is a contradiction to

our specic choice of the optimal circuit at the beginning of the proof.
For suitable constants c0 c1 c2 {0 1}
resG = (xi xj c0 ) (xj resE c1) c2

(4.4)

Similarly
resG = (xi resE d0) (xj resE d1) d2

(4.5)

where we may choose d0 d1 d2 {0 1} in an arbitrary way. If we

dene d0 = 1 c0 c1 , d1 = c1 and d2 = c2 , then resG = resG . Also
Case 3.2 is impossible. We have proved (4.2).

5.5 A 3n - bound

The methods of Paul (77) have been further developed by

Schnorr (80) whose proof of a 3n-bound is not complete. Blum (84)
stepped into the breach. He modied the function considered by
Schnorr. Then he could apply many of Schnorrs ideas in such a way
that the problems in Schnorrs proof discovered by the author do not
occur. In contrast to the functions considered up to now this function
is of no practical relevance.
DEFINITION 5.1 : Let n = 2k, a = (ak1
a0), b = (bk1
b0),
c = (ck1
c0), x = (x0
xn1) and p , q , r be Boolean variables.
f Bn+3k+3 is dened by
f(a b c p q r x) = q (x|a| x|b| ) (p x|b| xr|c| )

(5.1)

q (x|a| x|b| )
For p = 0 we obtain the function considered by Paul (77). The
object of this section is the proof of the following theorem.

134

THEOREM 5.1 : C(f) 3 n 3 .

Since f is based on the storage access function, we consider the class
Fs of all functions g Bn+3k+3 which agree with f if |a| |b| |c| S for
some s-element set S . Since f Fn , it is sucient to prove a 3s 3
lower bound for all g Fs . This is done by induction on s . For s = 1
the lower bound is trivial.
The following cases can be dealt with the methods of 4.

i S : xi has fan-out at least 3 .

i S : xi has fan-out 2 and some direct successor is a gate of

type- .

i S : all direct successors of xi are gates of type- .

In all these cases we may replace xi by some constant or some function

resE e (for a gate E and a constant e) such that we can eliminate
3 gates and obtain a circuit for a function in Fs1 . The case, that each
xi has exactly one successor Gi of type- , cannot be excluded here as
it could in 4. If some Gi had at least two successors, we again
could eliminate 3 gates by replacing xi by an appropriate constant.
Therefore we assume that Qi is the unique successor of the type-
gate Gi for i S . By G and Q we denote the sets of all Gi and Qi .
In this last case the elimination method was not successful. By
a precise analysis of the structure of optimal circuits we prove the
existence of 3s 3 gates.

LEMMA 5.1 : G contains s gates.

Proof : Otherwise Gi = Gj for some i = j . Replacing xi by an
appropriate constant the output of the circuit becomes independent
from xj in contradiction to the denition of Fs .

135

We introduce some notation for the analysis of optimal circuits.

DEFINITION 5.2 : A path from gate A to gate B is denoted by
[A B] . R is the output gate where the result is computed. A path
[A B] is called free if no inner node of the path is contained in G . A
gate A is called split if its fan-out is at least 2 . A split B is called free
if there are free paths [B R] via at least two direct successors of B . A
gate C is a collector of free paths [Gi R] and [Gj R] (i = j) if C lies on
both paths, and if the paths enter C via dierent edges.
LEMMA 5.2 : If i S , then there exists a free path [Gi R] .
Proof : Otherwise we could replace all xj (j S {i}) in such a way
by constants that resR becomes independent from xi in contradiction
to the denition of Fs .

LEMMA 5.3 : Let C be a collector of free paths [Gi R] and [Gj R] .

Then at least one of the statements () or () holds :
() There exists a free split B = C on [Gi C] or [Gj C] .
() C is of type- , and there exists a free path [Gi Gj] or [Gj Gi] .
Proof : We assume that () and () are both false.
Case 1 : C is of type- . We replace all variables but xi and xj by
constants. |a| = i , |b| = j , |c| S , p = 0 , q = 1 , r and xm (m S)
arbitrary, xk (k S {i j}) such that Gk computes a constant. By
denition f is replaced by xi xj . Since () and () both are false,
all information on xi and xj is transmitted via the unique free paths
[Gi C] and [Gj C] . One input of C is xui , the other xvj , hence its
output is xi xj w for some u v w {0 1} . The output of C is the
same for xi = xj = 0 or xi = xj = 1 . The same must hold for R where
xi xj is computed. Contradiction.
Case 2 : C is of type- . We replace the variables in the same way as
in Case 1 with the only exception that q = 0 . Hence f is replaced by

136

xi xj . If the result of Gi depends essentially on xj , we shall replace

xj by an appropriate constant such that the result at Gi and therefore
the output at R become independent from xi . This contradicts the
fact that xi xj is computed at R . Therefore the result at gate C is
(xui xvj )w for some u v w {0 1} and all information on xi and xj is
transmitted via C . This is the same contradiction as before, since we
may replace xj by v in order to make R independent of xi .

Now it is quite easy to prove that G Q contains exactly 2 s gates.

LEMMA 5.4 : G Q contains 2 s gates.
Proof : By Lemma 5.1 , G contains s gates. If Qi = Qj for some i = j ,
Qi would be the collector of all free paths [Gi R] and [Gj R] . Since
statement () cannot hold, statement () of Lemma 5.3 holds. A free
path [Gi Gj ] passes Qi and can be extended via Gj to Qj = Qi . The
circuit would not be cycle free.
It remains to prove that Gj = Qi . If i = j , this follows by denition.
If i = j and Gj = Qi , all information concerning xi is transmitted via
Gj . By an appropriate replacement of xj by a constant the circuit
would become independent from xi in contradiction to the denition
of Fs .

LEMMA 5.5 : The circuit contains at least s 2 free splits.

Before we prove this essential lemma we deduce from it by a wire

counting argument the theorem.
Proof of Theorem 5.1 : At least 2(s2) free edges (wires) are leaving
free splits by Lemma 5.5. At least 2 of the s gates of Q do not belong
to the considered s 2 free splits. By Lemma 5.2 at least one free edge

137

is leaving each Qi . We consider the graph consisting of those 2s 2

free edges we have found and those free paths leading these free edges
to R . By denition we do not consider any gate in G . The gates in
Q are gathering at most s of these edges, since the other s input edges
are entering from gates in G . In order to gather the other s 2 free
edges to the output R further s 3 gates are necessary.

Proof of Lemma 5.5 : We choose j S such that Gj is the last G-gate

in the numbering of the gates. In the following we refer always to the
numbering of gates. Let C be the rst collector of free paths [Gk R]
and [Gl R] where k l S {j} and k = l . By Lemma 5.3 we either
nd a free split D = C on [Gk C] or [Gl C] or we nd a free path
[Gk Gl ] or vice versa. By Lemma 5.2 there is a split on [Gk Gl ] . If
we nd a free split on these paths we shall choose the rst free split,
otherwise the rst split. If the chosen split is on [Gk C] or [Gk Gl ] we
exclude xk from further consideration, otherwise we exclude xl . At
the end of this procedure we have chosen s 2 dierent splits.
We prove that we indeed have chosen s 2 free splits. Otherwise
for some rst collector C of free paths [Gk R] and [Gl R] (k l S
{j} , k = l ) we cannot nd any free split on [Gk C] or [Gl C] . By
Lemma 5.3 C is of type- and w.l.o.g. the free path [Gk Gl ] has
no free split. We prove for all m S {k l } (including m = j)
the existence of a free path [Gm Gk] or [Gm Gl ] in contradiction to
the choice of j . We assume that this claim is false. We replace all
variables but xk , xl , xm and r by constants. |a| = k , |b| = l , |c| = m ,
q = 1 , p = 1 , xi (i S) arbitrary and xi (i S{k l m}) such that Gi
is replaced by a constant. By denition R is replaced by xk xl xl xrm .
Case 1 : The result of Gl does not depend essentially on xk . We
replace xm such that Gm is replaced by a constant and r such that
xrm = 0 . Then R is replaced by xk xl . We deduce a contradiction in
the same way as in Case 1 of the proof of Lemma 5.3.

138

Case 2 : The result of Gl depends essentially on xk . Then for some

d {0 1} the result of Gl still depends on xk if we replace r by d . If no
free path [Gm Gk] or [Gm Gl ] exists, then the function computed at Gl
can be represented as (xuk xvl )w for some u v w {0 1} . If xk = u ,
Gl is replaced by a constant and the circuit becomes independent from
xl . But the function computed at R , namely u xl xl xdm , depends
essentially on xl for arbitrary u and d . Contradiction.

The lower bound of Theorem 5.1 based on N = n + 3k + 3 , the

number of variables, is of size 3 N o(N) .
The proofs of 4 and 5 are so burdensome that one is convinced
that this is not the right way to obtain much larger lower bounds. But
the reader should not lose his courage and try out his own ideas for
the proof of lower bounds.

5.6 Complexity theory and lower bounds on circuit complexity

In 1 we have shown that it is easy to dene a sequence of provably
hard functions by the simple trick of diagonalization. In this section
we discuss more generally whether and how concepts (like diagonalization) and results of complexity theory may lead to lower bounds
on circuit complexity. Furthermore we discuss the notion explicitly
dened. For the rest of this section we assume that the reader is
familiar with fundamental concepts of complexity theory. But if the
reader should not have this knowledge, this section should still give
him a better understanding of the problems we are faced with.
The sequence of functions fn dened by diagonalization in 1 can be
computed by a Turing machine whose working tape is 2O(n) -bounded.
For an input x = (x1
xn) {0 1}n we may write the table of a

139

function f Bn on the working tape and can compute the lexicographical successor of f . We start with the lexicographically rst function,
the constant 0 . For each function f we produce one after another each
circuit of size 2nn1 1 and compare its output with f . If we nd
a circuit for f we produce the next Boolean function. Otherwise the
considered function f is equal to fn , and by table-look-up we compute
the output fn(x) . Therefore Turing machines with large resources are
powerful enough to construct hard Boolean functions. Nevertheless
explicitly dened Boolean functions are dened via Turing machines.
DEFINITION 6.1 : Let s : . The sequence fn Bn of Boolean
functions is s-explicitly dened if the language L = fn1 (1) can be den

cided by a Turing machine whose working tape is bounded by O(s(n)) .

Because of our above considerations we should not use exponential
s . Furthermore, Scarpellini (85) has dened by diagonalization nk+1explicitly Boolean functions fn Bn of circuit size (nk log1 n) . But
many fundamental functions (those considered in Ch. 3 e.g.) can be
computed on working tapes of polylog length (O(logk n)), and many
NP-complete functions can be computed at least on linear working
tapes. Therefore Denition 6.1 is interesting for functions s growing
at most linear.
Diagonalization is not the only trick to dene non explicitly hard
functions (see e.g. Ehrenfeucht (72) and Stockmeyer (74)). We shall
prove for a whole class of Boolean functions exponential lower bounds.
These functions are not dened by diagonalization. Nevertheless they
are not s-explicitly dened for any polynomial s .
DEFINITION 6.2 : A language L {0 1} is called EXP - TAPE
- HARD if each language L {0 1} , which can be decided for
some polynomial p by a Turing machine of working tape 2p(n) , is
polynomially reducible to L (L p L). L p L if there exists a Turing

140

machine M whose time complexity is bounded by a polynomial and

whose output resM (w) for input w is in L i w L .
Meyer and Stockmeyer (72) proved that the following language
L is EXP - TAPE - HARD. L consists of all binary codings of two
regular expressions for the same language where the coding allows the
abbreviation 2 for the concatenation of and .
THEOREM 6.1 : Let L be EXP - TAPE - HARD. Let gn Bn be
dened by gn1(1) = L {0 1}n . Then for some d , 0 and innitely
many n

C(gn) d 2n

(6.1)

Proof : Let fn Bn be the sequence of Boolean functions dened by

diagonalization in 1. Then C(fn) 2n n1 . Let L be the union of
all fn 1(1) . Since L can be decided by a 2O(n) tape bounded Turing
machine, L p L . Let M be a Turing machine for this reduction.
We design a circuit for fn consisting of subcircuits for g1
gn and
beyond that only a polynomial number of gates. Since C(fn) is large,
some of the circuits for g-functions cannot be ecient. We apply a
result which we shall prove in 2 , Ch. 9. If the Turing machine M
is t(n) time bounded and decides L , the circuit complexity of hn ,

n
dened by h1
n (1) = L {0 1} is bounded by O(t(n) log t(n)) .
Since the reduction machine M is p(n) time bounded for some polynomial p , also the length of its output is bounded by p(n) if the input
w has length n . We extend the outputs, if necessary, by blanks B
such that the output (for each input of length n) has length p(n) .
These outputs can be encoded by (a1 b1
ap(n) bp(n) ) {0 1}2 p(n)
where (ai bi ) is an encoding of the i -th output letter. By the result cited above all ai and bi can be computed by a circuit of size
O(p(n) log p(n)) .

141

Now we apply in parallel the circuits S1

Sp(n) . Si tests whether
exactly (a1 b1)
(ai bi ) are encodings of zeros and ones. It computes x = (x1
xi) {0 1}i where xj = 1 i (aj bj ) is an encoding
of 1 . Then Si applies an optimal circuit for gi to compute gi (x) . Finally Si computes yi such that yi = 1 i gi (x) = 1 and resM (w) has
length i . Hence
fn (w) = 1 w L resM (w) L

(6.2)

y1 yp(n) = 1
The so constructed circuit for fn contains one copy of an optimal circuit
for gi (1 i p(n)) and beyond that q(n) gates for a polynomial q .
Therefore
2n n1 C(fn) q(n) +

C(gi)

(6.3)

1ip(n)

We dene i(n) {1
functions among g1

p(n)} such that gi(n) is one of the hardest

gp(n) . By (6.3)

C(gi(n)) (2n n1 q(n)) p(n)

(6.4)

As the results of 2, Ch. 4, show, C(gi(n) ) is bounded by O(2i(n) i(n)1) .

Therefore the sequence i(n) has innitely many dierent values. Furthermore i(n) p(n) cnk for appropriate constants c and k implying
n (i(n) c)1 k and

C(gi(n)) d 2(i(n))

for some d ,

0.

(6.5)

Many arguments used in this chapter have not been published.

Some of them were developed during discussions with several colleagues, others, I got to know by hearsay. Some of the colleagues
who have contributed to these arguments are M. F
urer, A. Meyer,

142

W. Paul, B. Scarpellini, and L. Valiant.

EXERCISES
1. Apply the simple linear bound (Theorem 1.1) to the functions
considered in Ch. 3.
2. Generalize the simple linear bound to -circuits where Br .
3. If f1

fm are dierent functions

C(f1

fm) m 1 + min{C(f1)

C(fm)}

4. Let g(x y) = ( (f(x)y1) ym) for some B2 and some

non constant f . For which the equality C(g) = C(f) + m holds ?
5. Let S be an optimal circuit for f with respect to circuit size.
Let g and h be the input functions of the output gate. Then
max{C(g) C(h)} C(f) 2 1 .
6. Let S be an optimal circuit for f with respect to depth. Let
g and h be the input functions of the output gate. Then
max{D(g) D(h)} = D(f) 1 .
7. The fulladder for the addition of 3 bits has 5 gates. Prove that
a) 4
b) 5
gates are necessary.
8. Let fn Bn 2 be dened by fn (x) = (x1 xn x1 xn ) .
Then C(fn) = 2n 2 .
9. Design optimal circuits for the function fn of Exercise 8 which have
(if n 3) gates of fan-out larger than 1 .

143

10. Estimate the circuit complexity of fn where fn (x) = 1 i x1 + +xn

is even (0 is not even).
11. Let fn (x) = (x1 xn1) (x2 xn ) . Then C(fn) = 2n 3 .
12. Let fn (x) = x1
xn x1
xn . By the elimination method one
can prove only a lower bound of size n + (1) . Try to prove larger
lower bounds.
13. Prove lower bounds for the functions dened in the Exercises 26,
27, and 28 in Ch. 3.
14. fn B2n is dened by fn (x y) = 1 i |x| |y| . The B2 -complexity
of fn is at least 2n 1 , its U2-complexity is at least 4n 3 .
15. Let Gn be the class of those functions g Bn such that for some
disjoint partition of {1
n} to {i(1)
i(m)} , {j(1)
j(l )}
and {k(1)
k(l )}
g(x) =

xi(r)
1rm

xj(r) xk(r)
1rl

Estimate the circuit complexity of functions g Gn 2 (Sattler (81)).

16. Almost all f Sn have circuit complexity bounded below by 2 5 n
o(n) .
17. Count the number of f Sn whose value vector does not contain
any word in W as a subword. Design ecient circuits for these
functions.
18. Prove Corollary 4.2.

144

19. Apply Theorem 4.1 to Enk (see Def. 4.2, Ch. 3).
20. Complete the proof of Theorem 5.1.
21. Let fn (a b c r x) = xr|a| (x|b| x|c| ) (compare Def. 5.1). Modify
the proof of Theorem 5.1 and prove that C(fn) 3n 3 .
22. Dene a short 0-1-encoding of circuits. Describe how a Turing
machine with short working tape can simulate encoded circuits.

145

6. MONOTONE CIRCUITS

6.1 Introduction

The most important incomplete basis is the monotone basis m =

{ } . We know already that a Boolean function is computable over
m i it is monotone. Although monotone circuits cannot be more ecient than circuits over complete bases, the investigation of monotone
circuits is a fundamental subject.
One main problem is the testing of the correctness of circuits.
Monotone circuits can be tested much easier than circuits over complete bases (see e.g. Lee (78)). Furthermore, the monotone disjunctive
normal form is a natural and monotone computation of a monotone
function.
If we replace in a monotone disjunctive normal form for f conjunctions by multiplications and disjunctions by additions, we obtain a
monotone polynomial p(f) . Lower bounds on the monotone circuit
complexity of f imply lower bounds of the same size on the monotone
arithmetic complexity of p(f) (see Exercises). Monotone computations of monotone polynomials have absolute numerical stability (see
e.g. Miller (75)).
Can negations be useful for the computation of monotone functions ? The best circuits for sorting and Boolean matrix product
both include negations (see Ch. 3). How large is Cm (f) C(f) for these
and other monotone functions ? The quotient is (log n) for sorting,
(n1 4) for the Boolean matrix product, and (n1 2 (log2 n log log n))
for the Boolean convolution (n is the number of variables). For the logical permanent (deciding whether a graph includes a perfect matching)
the quotient even is superpolynomial (n(log n) ). The question whether
negation may be exponentially powerful is still not answered.

146

Lower bounds on Cm (f) C(f) require lower bounds on Cm (f) . We

present several methods for the proof of polynomial lower bounds and
Razborovs bound for exponential lower bounds.
Since the logical permanent (see above) has polynomial circuit complexity one might suppose that lower bounds on Cm (f) cannot have any
implications on C(f) . But for the fundamental class of slice functions
f we can prove that Cm (f) C(f) is bounded by O(n log2 n) . Therefore
lower bounds of size (n log2 n) on Cm (f) imply lower bounds of the
same size on C(f) . Since we know NP-complete slice functions, the
NP = P-conjecture might be proved by lower bounds on the monotone
circuit complexity. From the theory of slice functions we can learn a
lot about the structure of circuits, and we obtain a new model for the
proof of lower bounds on the circuit complexity of explicitly dened
Boolean functions.
The theory of slice functions is presented in 13 - 15. In 2 we
design ecient monotone circuits for threshold functions and sorting.
In 3 - 12 we discuss lower bound methods. The lower bounds
we obtain may be generalized to many other functions by reduction
methods (see also Ch. 10, 3).
DEFINITION 1.1 : f(x1
xn ) is called a projection of g(y1
ym )
if f(x1
xn ) = g((y1)
(ym)) for some mapping :
{y1
ym} {0 1 x1 x1
xn xn } . The projection is monotone
if (yj ) (1 j m) is not a negated variable.
PROPOSITION 1.1 : C(f) C(g) if f is a projection of g . Cm (f)
Cm(g) if f is a monotone projection of g .
Skyum and Valiant (85) and Valiant (79) studied monotone projections intensively. For a sequence of functions gn Bn and some
Boolean functions f the (monotone) P-complexity of f with respect to
(gn) is the smallest m such that f is a (monotone) projection of gm . In
this model negation can be exponentially powerful (Skyum (83)) as it
can be in arithmetic computations (Valiant (80)).

147

At the end of this introduction we discuss some properties of monotone circuits. Why is it much more dicult to investigate { }circuits than to investigate monotone circuits ? If f Bn is given by
PI(f) it is a hard problem to compute PI(f) . If f g Mn are given
by PI(f) and PI(g) it is easy to compute PI(f g) and PI(f g) . By
denition
fg =

t
tPI(f)

t =
t PI(g)

(1.1)

tPI(f)PI(g)

We have proved in Theorem 4.2, Ch. 2, that each monotone polynomial

for a monotone function includes all prime implicants. Hence
PI(f g) PI(f) PI(g)

(1.2)

A monom t PI(f) PI(g) is not a prime implicant of f g i some

proper shortening of t is an element of PI(f) PI(g) . Hence we obtain
the following characterization of PI(f g) .
PI(f g) = {t PI(f) PI(g) |

t PI(f) PI(g) : t

t } (1.3)

No new prime implicant is computed at an -gate. Similarly we conclude that

t

fg=

(1.4)

t PI(g)

tPI(f)

tt
tPI(f) t PI(g)

and
PI(f g) = {t t | t PI(f) t PI(g)
u PI(f) u PI(g) : t t

(1.5)
uu }

We compute PI(f g) by listing all t t where t PI(f) and t

PI(g) and by erasing afterwards all monoms for which we nd a proper
shortening in the list. A prime implicant t of f is also a prime implicant
of f g i some (not necessarily proper) shortening t of t is a prime
implicant of g .

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6.2 Design of circuits for sorting and threshold functions

The only symmetric and monotone functions are the threshold

functions. The sorting function consists of all nontrivial threshold
functions. The ecient computation of threshold functions by monotone circuits is fundamental for the theory of slice functions. The
linear sorting circuit of Ch. 3 is not monotone. In that circuit the
inputs xi are summed up which cannot be done in monotone circuits.
Most of the well-known sorting algorithms (see e.g. Aho, Hopcroft and
Ullman (74)) use if-tests. These algorithms cannot be simulated by
monotone circuits. But comparisons (x y) (min(x y) max(x y))
can be realized easily by two gates (x y) (x y x y) . We use
xn are given
these comparisons as basic gates. The variables x1
in an array A . The meaning of the basic step (i j) (1 i j n) is
the following. We compare A(i) and A(j) and store the minimum at
array place i and the maximum at array place j . Algorithms of this
type are called sorting networks.
It is easy to simulate the well-known bubble sort. In step k
(0 k n 2) we carry out the basic steps (1 2) , (2 3) ,
,
(n k 1 n k). Afterwards the k + 1 largest inputs are in increasing order at the array places n k
n . The large inputs climb up
the array like bubbles. Altogether n2 comparisons and n(n1) monotone gates are sucient for the computation of the sorting function.
If we want to compute Tnk we may stop the sorting algorithm after
step k 2 . Tnk is the disjunction of the elements at the array places
1
n + 1 k . Hence
Cm(Tnk ) 2 ((n 1) + + (n k + 1)) + (n k)

(2.1)

= 2 (k 1)n k2
This result is interesting for small k . For large k we apply the duality principle for monotone functions. The dual function fd of f is
f(x1
xn ) . By the rules of de Morgan we obtain a monotone circuit for fd by replacing in a monotone circuit for f -gates by -gates

149

and vice versa. Obviously Cm (f) = Cm(fd ) . The dual function of Tnk
is Tnk (x1
xn ) . (Tnk )d computes 1 i at most k 1 of the negated
variables are 1 i at least n k + 1 of the variables are 1 . Hence
(Tnk)d = Tnnk+1 . We summarize our results.
PROPOSITION 2.1 : i) Cm (Tnk) = Cm (Tnnk+1) .
ii) Cm (Sn ) n(n 1) .
iii) Cm (Tnk ) (2k 1)n k2 .
The reader is asked to look for improvements of these simple upper
bounds. We present a sorting network (Batcher (68)) whose size is
O(n log2 n) and whose depth is O(log2 n) . This sorting network is
based on the sorting by merging principle. W.l.o.g. n = 2k .
ALGORITHM 2.1.a :
Input : Boolean variables x1
Output : Sn (x1

xn) = (Tnn(x1

xn .
xn )

Tn1(x1

xn)) .

Step 1. If n = 1 nothing has to be done.

Step 2. If n = 2k
1 call this algorithm for x1
xn 2+1
xn . This can be done in parallel.

xn

and for

Step 3. Use a merging algorithm to merge the two output sequences

of Step 2.
Batcher designed an ecient monotone merging circuit. Merging is
much easier in non monotone circuits where we can simulate if-tests.
Batchers merging algorithm is recursive. Let a1 am and
b1 bm be the sorted input sequences. ai may be smaller than
b1 , but ai also may be larger than bm . Altogether m+1 rank numbers
are possible for ai . We merge the subsequences of elements with odd
indices and also the subsequences of elements with even indices (oddeven-merge). After having done this we still have to merge two sorted

150

lists. But only two rank numbers are possible for each element.
ALGORITHM 2.1.b :
Input : a1
Output : z1

am and b1

bm , two sorted lists of Boolean variables.

zn (n = 2m), the sorted list of all ai and bj .

Step 1. If m = 1 one comparison is sucient.

Step 2. If m 1 call this algorithm for the sequences of all ai (i odd)
and all bj (j odd) , and also call this algorithm for the sequences of
all ai (i even) and all bj (j even). This can be done in parallel. Let
v1
vm and w1
wm be the output sequences.
Step 3. Compute by m 1 (parallel) comparisons z1 = v1 , zn = wm ,
z2i = min{vi+1 wi} and z2i+1 = max{vi+1 wi } for 1 i m 1 .
We prove the correctness of Algorithm 2.1. This is obvious for
am ) and
part a. Let k and l be the number of zeros in (a1
(b1
bm) resp. k 2 of the 0-elements of the a-sequence have
an odd index, and k 2 have an even index. Hence the v-sequence
contains p = k 2 + l 2 zeros, and the w-sequence contains q =
k 2 + l 2 zeros. Obviously 0 p q 2 . For the three possible
values of p q we represent the v- and the w-sequence in such a way
that wi , which we compare with vi+1 in step 3, stands below vi+1 .
p
p
p
00
011
1 00
001
1 00
001
1
0
001
11 0
001
11 0
011
11
pq=0
pq=1
pq= 2

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Now it is obvious that z1

zn is the sorted sequence of the inputs. What is the complexity of Batchers algorithm ? Let M(m) and
DM(m) be the number of comparisons and the depth of the merging
algorithm for m a power of 2 .
M(m) = 2 M(m 2) + m 1 and M(1) = 1

hence

M(m) = m log m + 1
DM(m) = DM(m 2) + 1 and

(2.2)
(2.3)

DM(1) = 1

hence

(2.4)
(2.5)

DM(m) = log m + 1

Let S(n) and DS(n) be the number of comparisons and the depth of
Batchers sorting algorithm for n = 2k .
S(n) = 2 S(n 2) + M(n 2) and S(1) = 0

hence

S(n) = n(log n)(log n 1) 4 + n 1

DS(n) = DS(n 2) + DM(n 2) and

(2.6)
(2.7)

DS(1) = 0

DS(n) = (log n)(log n + 1) 2

hence

(2.8)
(2.9)

DEFINITION 2.1 : The merging function Mn is the partial Boolean

function which is equal to the sorting function if x1 x n 2 and
x n 2 +1 xn .
THEOREM 2.1 : If n = 2k
Cm (Sn ) n(log n)(log n 1) 2 + 2 n 2

(2.10)

Dm (Sn ) (log n)(log n + 1) 2

(2.11)

Cm (Mn ) n log n n + 2 and

(2.12)

Dm (Mn ) log n

(2.13)

Batchers algorithm is appropriate for practical purposes. Not only

x1
xn is sorted but also all blocks of length 2i (1 i k) namely

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xj+1
xj where j = r 2i (0 r
2ki) and j = j + 2i are sorted.
In 4 we prove that Batchers merging algorithm is asymptotically
optimal. The upper bound for sorting has been improved by Ajtai,
Komlos and Szemeredi (83).
THEOREM 2.2 : One can design a sorting network of size O(n log n)
and depth O(log n) .
We do not present this AKS sorting network as it is rather complicated. Theorem 2.2 is a powerful theoretical result. But the AKS
sorting network beats Batchers sorting network only for very large n ,
in particular, only for n larger than in real life applications (see e.g.
Paterson (83)). The AKS sorting network sorts the input sequence but
no subsequence. It is an open problem whether Batchers algorithm
can be improved signicantly for small n .
For the majority function we do not know of any monotone circuit
of size o(n log n) . The monotone complexity of the majority function is
still unknown. For constant k we improve Proposition 2.1. We design
a monotone circuit of size kn + o(n) . This result has been announced
by Adleman and has been proved by Dunne (84). The conjecture that
kn o(n) monotone gates are necessary is also open.
THEOREM 2.3 : Cm (Tnk) kn + o(n) for constant k .
Proof : Tnk is the disjunction of all monotone monoms of length k .
If B1
Br form a partition of X = {x1
xn} the function
Trk(T1(B1)
T1(Br)) has only prime implicants of length k . The
number of prime implicants is large if all Bi are of almost the same
size. Certainly, we do not obtain all prime implicants of length k .
Therefore we use several partitions of X .
For the sake of simplicity we concentrate on those n where n = pk
for some natural number p . Let p(k) = pk and r = p(k 1) . We

153

prove that k partitions Bq1

namely that
p(k)

Tk (X) =

p(k1)

Tk

Bqp(k1) (1 q k) are sucient,

Tp1(Bq1 )

1qk

Tp1(Bqp(k1) )

(2.14)

In order to obtain all monoms of length k , we have to ensure for all

dierent j(1)
j(k) the existence of some q such that xj(1)
xj(k)
are elements of dierent sets of the q-th partition. Such a construction will be explained later. At rst we estimate the size of the circuit. For the computation of Tpk at the end we apply the circuit of
p(k1)
Proposition 2.1. Besides the computation of Tk
we only need
k 1 + k(n p(k 1)) k n gates. Since p = n1 k
p(k)

p(k1)

Cm (Tk ) k n + k Cm (Tk

k n 1 + (k p) + (k p)2 +

(2.15)
+ kk1(2 k p) = k n + o(n)

A number r {1
pk} or r {1
pk1} is represented by
a vector r = (r1
rk) {0
p 1}k or r = (r1
rk1)
{0
p 1}k1 . For 1 r pk1 the set Bqr includes the p variables
rq1 j rq
rk1) for some 0 j p 1 . It is
xi where i = (r1
q
obvious that the sets Br (1 r pk1) build a partition of X . We
claim that we nd for dierent j(1)
j(k) {1
pk} some q such
that xj(1)
xj(k) are in dierent sets of the q-th partition.
If xi and xj are in the same set Bqr , i and j agree at all but the q-th
position. If i = j and q = q , it is impossible that xi xj Bqr Bqr . This
proves the claim for k = 2 . For k 2 either q = k is appropriate or two
indices, w.l.o.g. j(k1) and j(k) , agree on all but the last position. We
obtain j (l ) by cancelling the last position of j(l ) . Then j (k1) = j (k)
and among j (1)
j (k) are at most k1 dierent vectors. We obtain
q
B r (1 q k 1) by cancelling the last position of all elements in
Bqr . By induction hypothesis we nd some q {1
k 1} such
that for l = m either j (l ) = j (m) or xj (l ) and xj (m) are not in the
same set B qr . This q is appropriate. If j (l ) = j (m) , j(l ) and j(m)
dier at the last position, hence xj(l ) and xj(m) are for l = m not in the
same set Bqr .

154

6.3 Lower bounds for threshold functions

We consider Tn1 , Tn2 , Tn3 and the majority function Tnn 2 . By

Cm(f) and Cm (f) we denote the minimal number of -gates and -gates resp. in a monotone circuit for f . In monotone circuits we cannot
apply the deMorgan rules, and we cannot replace -gates by -gates
or vice versa. Alon and Boppana (85) proved that many -gates are
only useful if there also are several -gates available.
PROPOSITION 3.1 : Let f Mn . Then for k = max{Cm(f) 1}
Cm(f) + Cm (f) Cm (f) k n +

k1
2

(3.1)

Proof : The rst inequality is obvious as is the second inequality for

Cm(f) = 0 . For Cm (f) 0 let us consider a monotone circuit for f with
k -gates, and let f1
fk1 be the outputs of the rst k 1 -gates
and let fk = f . It is sucient to prove that fi can be computed out
of the inputs x1
xn f 1
fi1 with n + i 2 additional gates.
fi = s1 (s2 s3) where sj is the disjunction of some of the inputs.
If input t is in s1 , then it can be cancelled in s2 and s3 . Hence we can
choose s1 s2 and s3 in such a way that each input is contained in at
most one sj . By this representation we can compute fi with at most
n + i 2 additional gates.

THEOREM 3.1 : i) Cm (Tn1 ) = 0 , Cm (Tn1) = Cm (Tn1 ) = n 1 .

ii) Cm (Tn2) = log n , Cm (Tn2) = 2n 4 .
iii) Cm (Tn2)

2n 4 + log n .

Proof : Part i) is obvious. The rst claim of Part ii) is left as an

exercise. We omit the proof of Part iii) (Bloniarz (79)). Later we get
to know another example where Cm (f) + Cm (f) Cm (f) .

155

We only prove that Cm (Tn2) = 2n 4 . In a sorting network the

following 2n3 comparisons are sucient (1 2) ,
, (n1 n) , (1 2) ,
, (n 2 n 1) . We may save one -gate, since we do not have to
compute Tn1 , the maximum of the comparison (n 1 n) . This proves
the upper bound.
The lower bound is proved by the elimination method and induction on n . The claim is obvious for n = 2 . For n
2 we consider
n
a monotone circuit for T2 with the minimal number of -gates. It is
sucient to nd some i such that the replacement xi = 0 eliminates
at least 2 -gates.
Let G be the rst gate of the circuit. Its predecessors are dierent
variables xi and xj . The outdegree of xi is at least 2 (see Ch. 5).
Each path from xi to the output gate contains an -gate. Otherwise
xi = 0 would replace Tn2 by 0 . The rst -gates on these paths may be
eliminated. The only case to be considered, is that one where only one
such -gate H exists. Let I and J be the predecessors of H . If there
are paths from xi to I and from xi to J we replace the outputs of I , J
and H by 0 for xi = 0 . Similarly to the above arguments each path
from H to the output gate contains an -gate, and the rst -gate can
also be eliminated. Otherwise there is no path from xi to (w.l.o.g.) I .
All paths from xi to the output pass through J . In particular, there
is some path from xj via G to J consisting of -gates only. If xj = 0 ,
resJ is replaced by 0 , and the output becomes independent from xi in
contradiction to the fact that Tn2 is replaced by Tn1
for xj = 0 .
2
We only cite the largest lower bounds known on Cm (Tn3) and
Cm (Tnn 2 ) (Dunne (84)).
THEOREM 3.2 : Cm (Tn3 ) 2 5 n 5 5 .
THEOREM 3.3 : Cm (Tnn

) 3 5 n O(1) .

156

We prove a weaker result containing most of the ideas of the proof

of Theorem 3.3. Theorem 3.4 combined with Theorem 3.2 leads to a
3 25 n 11 lower bound on Cm (T n 2 ) .
THEOREM 3.4 : Cm (Tnn
l n 2 + 3 , if n 5 .

) Cm (Tl3) + 4(n l ) 1 for some

Proof : If n = 5 or n = 6 we may choose l = n . If n 6 we apply

the elimination method. We prove that we can eliminate at least
4 or 8 gates by replacing 1 or 2 variables resp. by constants. This
replacement is performed until we obtain a subfunction Tl3 , Tll 2 ,
Tl21 or Tll 1
2 . In the last two cases we replace in the last step only one
variable. Then we eliminate at least 3 gates. Altogether we eliminate
at least 4(n l ) 1 gates and obtain a circuit for Tl3 or Tll 2 . By
the duality principle Cm (Tl3) = Cm(Tll 2) . It is easy to see that l
n 2 + 3.
We investigate a monotone circuit for Trk where 3

r 2.

Case 1 : xi : outdegree(xi ) 3 or outdegree(xi ) = 2 and one of the

direct successors of xi has outdegree bounded below by 2 .
We replace xi by a constant in such a way that a direct successor of
the highest outdegree is replaced by a constant. At least 4 gates can
be eliminated.
Case 2 : xi : outdegree(xi) = 2 and the direct successors of xi are of
the same type, w.l.o.g. of type- .
We can eliminate at least 4 gates if xi is replaced by 0 .

In all other cases we consider some gate G where a longest path of

the circuit starts. The inputs of G are dierent variables xi and xj of
outdegree 2 . W.l.o.g. G is of type- . The other direct successors of
xi and xj , namely G1 and G2 , are of type- . The gates G , G1 and
G2 have outdegree 1 . The situation is shown in Fig. 3.1.

157

xi

G1

xj

G2

Fig. 3.1

g
G3

G4

If G3 is of type- , we can eliminate at least 4 gates if xi = 0 . Therefore

we assume that G3 is of type- and, with similar arguments, that G4
is of type- . In particular G3 = G4 . Since the longest path of the
circuit starts at G , either g = xk or g = xk xl or g = xk xl . If
g = xk , outdegree(xk) 2 . Otherwise the circuit is independent from
xk if xi = xj = 0 . If xk = 0 we can eliminate at least 4 gates: G ,
G4 , the direct successors of G4 and the other direct successor of xk .
If g = xk xl or g = xk xl we go through the same discussion about
G , the gate where g is computed. The only situation we still have to
discuss is described in Fig. 3.2.

If xi = xj = 0 , we can eliminate G , G1 , G2 and G5 and hence also

G . Since G1 , G2 and G5 are replaced by 0 , we can even eliminate
3 additional gates. If only one variable is to be replaced, we choose
xi
G1

xj

G2

xk

G5

G3

xl

Fig. 3.2

G4

158

xi = 0 . At least 3 gates can be eliminated. We should mention that

G1 = G2 . Otherwise the output would be independent from xi if
xj = xk = xl = 0 .

Before Razborovs superpolynomial lower bounds were discovered (see

10 - 12) the following bound based on Theorem 3.1 and the duality
principle was the largest one for explicitly dened monotone functions
of one output (Tiekenheinrich (84)).
THEOREM 3.5 : Cm (f) 4n 12 for f Mn dened by
f(x1

xn ) = Tn1
n2(x1

xn1) (xn Tn1

2 (x1

xn1)) (3.2)

Proof : Cm(f) 2(n 1) 4 = 2n 6 , since Tn1

is a subfunction of
2
n1

f (for xn = 1) . Cm (f) 2n 6 , since Tn2 is a subfunction of f (for

n1

xn = 0) and Cm (Tn1
n2) = Cm (T2 ) by the duality principle.

6.4 Lower bounds for sorting and merging

We prove (n log n) lower bounds for sorting as well as for merging.

Because of these lower bounds the AKS sorting network and Batchers
merging network are asymptotically optimal. The lower bound for
merging implies the lower bound for sorting. Nevertheless we present
a simple proof for the lower bound on sorting (Lamagna (75), Lamagna
and Savage (74), Pippenger and Valiant (76), van Voorhis (72)).
THEOREM 4.1 : Cm (Sn ) log(n!) n log n O(n) .
Proof : log(n!) = n log n O(n) by Stirlings formula. We apply the
elimination method. We prove the existence of some input xi such

159

that log n gates can be eliminated if xi = 0 . Afterwards the circuit

computes Sn1 . Hence
Cm (Sn ) log n + Cm (Sn1)

log i log(n!)

(4.1)

1in

If xi = 0 , Tnn is replaced by the constant 0 . In a monotone circuit

we compute the constant 0 at some gate G only if at some input of G
the constant 0 is computed. By backtracking we nd a path Pi from
xi to the output Tnn such that all gates compute 0 if xi = 0 . Since the
indegree of all gates is 2 , at least one path Pi (1 i n) is of length
not smaller than log n . We replace the corresponding input xi by 0 .

The lower bound for the merging function has been proved by Lamagna (79).

THEOREM 4.2 : Cm (Mn ) (1 2)n log n O(n) .

Proof : Let n = 2k . We only consider inputs where xk x1
and yk y1 . Then the outputs are Tn1
Tnn . Tni
Tni+k
depend essentially on xi . If x1 = = xi1 = 1 , xi+1 = = xk = 0 ,
y1 = = yj = 1 and yj+1 = = yk = 0 , then Tni+j is equal to xi .
In this situation only the functions 0 , 1 and xi are computed in the
circuit. xi can be computed at gate G only if at least one input equals
xi . Therefore there is some path from input xi to output Tni+j such
that at each gate on this path xi is computed.
Let d(i j) be the length of a shortest path from xi to Tnj if i j
i + k and d(i j) = 0 else. Let e(j) = j , if j k , and e(j) = n j + 1 ,
if j k . Then at least e(j) x-variables are connected with output Tnj .
Hence, for xed j , the sum of all d(i j) is the external path length of
some binary tree with at least e(j) leaves. The following lower bound
on the external path length is well-known (or can be proved as an easy

160

exercise).
d(i j) e(j) log e(j) 2

log e(j)

+ e(j) =: t(j)

(4.2)

1ik

Let y1 = = yl = 1 and yl +1 = = yk = 0 . Then Tnl +1

Tnl +k
are not constant. If x1 = = xk = 0 they all compute 0 . We increase
at rst x1 , then x2
then xk from 0 to 1 . The output Tnl +i switches
from 0 to 1 after we have switched xi . We nd some path p(i) from xi
to Tnl +i such that the results at all gates switch at that moment from 0
to 1 . Because of monotonicity these paths p(1)
p(k) are disjoint.
Hence we have proved the existence of
d(i i + l )

(4.3)

1ik

gates. The largest of these lower bounds is at least as large as the

average lower bound.
1
d(i i + l )
k + 1 0l k 1ik
1
1
d(i j)
=
k + 1 1jn 1ik
k+1
1
= n log n O(n)
2

Cm(Mn )

by (4.2) and the denition of e(j) .

(4.4)
t(j)
1jn

6.5 Replacement rules

A replacement rule for monotone circuits is a theorem of the following type: If some monotone circuit for f computes at some gate
G a function g with certain properties and if we replace gate G by a
circuit for the monotone function h (depending perhaps on g), then
the new circuit also computes f . If h is a constant or a variable,
the given circuit is not optimal. In particular, we obtain results on

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the structure of optimal monotone circuits. Later we apply replacement rules also in situations where h is a more complicated function.
Nechiporuk (71) and Paterson (75) used already replacement rules.
Mehlhorn and Galil (76) presented the replacement rules in the generalized form we discuss here.
It is easy to verify the correctness of the replacement rules, but it
is dicult and more important to get a feeling why such replacement
rules work. Let g be computed in a monotone circuit for f . If t
PI(g) but t t PI(f) for all monoms t (including the empty monom),
t is of no use for the computation of f . At -gates t can only be
lengthened. At -gates either t is saved or t is eliminated by the law
of simplication. Because of the conditions on t we have to eliminate t
and all its lengthenings. Hence it is reasonable to conjecture that g can
be replaced by h where PI(h) = PI(g) {t} . If all prime implicants
of f have a length of at most k and if all prime implicants of g have
a length of at least k + 1 , we can apply the same replacement rule
several times and can replace g by the constant 0 .
THEOREM 5.1 : Let f g Mn and t PI(g) where t t PI(f)
for all monoms t (including the empty monom). Let h be dened by
PI(h) = PI(g) {t} . If g is computed in some monotone circuit for f
and if we replace g by h the new circuit also computes f .
Proof : Let S be the given circuit for f and let S be the new circuit
computing f . By denition h g . Hence by monotonicity f f . If
f = f we choose some input a where f (a) = 0 and f(a) = 1 . Since
we have changed S only at one gate, h(a) = 0 and g(a) = 1 . Since
g = h t , t(a) = 1 . Let t be a prime implicant of f where t(a) = 1 .
We prove that t is a submonom of t in contradiction to the denition
of t .
Let xi be a variable in t . ai = 1 since t(a) = 1 . Let bi = 0 and
bj = aj if j = i . Obviously b a and t(b) = 0 . Hence f (b) = 0 ,
h(b) = 0 and g(b) = 0 . For input b the circuits S and S compute the

162

same output since they compute the same value at that gate where
they dier. Hence f(b) = f (b) = 0 . In particular t (b) = 0 . Since b
and a dier only at position i , xi is a variable in t and t is a submonom
of t .

THEOREM 5.2 : Let g Mn be a function which is computed in

some monotone circuit S for f Mn . Let t , t1 and t2 be monoms
such that
t t1 t t2 I(g) and

(5.1)

t monom : t t t1 t t t2 I(f) t t I(f)

(5.2)

If we replace g by h = g t the new circuit S also computes f .

We motivate the replacement rule by the following considerations.
We assume that t t1 and t t2 are even prime implicants of g . Following the discussion for the rst replacement rule only (not necessarily
proper) lengthenings of t t1 and t t2 are useful for the computation
of f . Since both monoms are prime implicants of the same function,
S treats t t1 the same way as t t2 . By (5.2) for all common useful
lengthenings of t t1 and t t2 already the appropriate lengthening of t
is useful. In h = g t we replace t t1 and t t2 by t .
Proof of Theorem 5.2 : Let f be the function computed by S . f f
by monotonicity since h g . If f = f we choose some input a where
f (a) = 1 and f(a) = 0 . In particular h(a) = 1 , g(a) = 0 and t(a) = 1 .
We choose t PI(f ) where t (a) = 1 . If t t I(f) , we could conclude
that f(a) = 1 in contradiction to the construction of a . By (5.2) it is
sucient to prove t t tj I(f) for j = 1 and j = 2 . Let b be an input
where t t tj (b) = 1 . Then f (b) = 1 (since t PI(f )), g(b) = 1 (since
t tj I(g)) and h(b) = 1 (since h g). For input b the circuits S
and S compute the same output since they compute the same value
at that gate where they dier. Hence f(b) = f (b) = 1 . Altogether
t t tj I(f) since t t tj (b) = 1 implies f(b) = 1 .

163

6.6 Boolean sums

A Boolean sum f with one output is the disjunction of some, e.g.

s , variables. Obviously Cm(f) = C{}(f) = s 1 . The class of Boolean
sums f Mn n with n outputs has been investigated very thoroughly,
since on the one hand the complexity of each single output is wellknown, but on the other hand it is dicult to determine the complexity
of n-output functions. At rst we prove lower bounds on C{}(f) , and
then we prove that -gates are only of little help for Boolean sums.
DEFINITION 6.1 : A Boolean sum f Mn n is called (h k)-disjoint,
if each sample of h + 1 outputs has at most k common summands.

The following results are based on Mehlhorn (79) who generalized

the results of Nechiporuk (71) and Wegener (80). Independently Pippenger (77) investigated (2 2)-disjoint Boolean sums.

LEMMA 6.1 : Let f = (f1

of si variables. Then
1in

fn) Mn n and let fi be a Boolean sum

si k1 1 h1 C{}(f)

(si 1)

(6.1)

1in

Proof : The upper bound is obvious. For the lower bound we consider
an optimal {}-circuit for f . The only functions computed in {}circuits are Boolean sums, since constants may be eliminated. At least
si 1 gates are necessary for the computation of fi and at least si k1
1 of the functions computed at these gates are Boolean sums of more
than k summands. We only count these gates. By Denition 6.1 such
a gate is useful for at most h outputs. Hence the lower bound follows.

164

One might conjecture that -gates are powerless for Boolean sums.
This has been disproved by Tarjan (78).
THEOREM 6.1 : Let f M11 14 be dened by
f1 = p y , f2 = q z ,
f 5 = x1 y , f 6 = x1 x 2 y ,
f 8 = x1 z , f 9 = x1 x 2 z ,
f11 = p u x1 x2 x3 y ,
f13 = r w x1 x2 x3 y ,
Then Cm (f) 17

f3 = r y ,
f4 = s z ,
f 7 = x1 x 2 x 3 y ,
f10 = x1 x2 x3 z ,
f12 = q u x1 x2 x3 z ,
f14 = s w x1 x2 x3 z .

18 = C{}(f) .

Proof : At rst we compute f1

f10 with 10 gates. Let

g = f7 f10 = x1 x2 x3 yz

(6.2)

Then
f11 = f1 (g u) f12 = f2 (g u)

(6.3)

f13 = f3 (g w) f14 = f4 (g w)
One -gate and 6 -gates are sucient for the computation of
f11
f14 if f1
f10 and the variables are given. Hence Cm (f) 17 .
Obviously C{} (f) 18 . For the lower bound it is sucient to
prove that 8 -gates are necessary for the computation of f11
f14 if
f1
f10 and the variables are given and if -gates are not available.
This proof is left as an exercise.

This function is (see Exercises) a further example where

Cm(f) + Cm (f) = 0 + 16

17 Cm (f)

(6.4)

Now we estimate the power of -gates for Boolean sums.

THEOREM 6.2 : Let f Mn n be an (h k)-disjoint Boolean sum
where fi is a Boolean sum of si variables. Let h = max{1 h 1} .
Then

165

(h h )1
1in

si k1 1 Cm (f) C{}(f)

(si 1) (6.5)
1in

Proof : We only have to prove the lower bound. We represent g Mn

as g1 g2 where g1 consists of the prime implicants of g of length 1 .
All prime implicants of the outputs fi are of length 1 . By our rst
replacement rule (Theorem 5.1) we can replace g by g1 . If g1 is a
constant or a variable we save the gate for the computation of g .
If g1 is a Boolean sum of two variables we replace the gate for the
computation of g by a gate for the computation of g1 . If g1 is a sum
of more than two variables it might be expensive to compute g1 . For
such a situation Wegener (80) introduced the assumption that some
functions besides the variables are given for nothing. Here this is the
class of all Boolean sums of at most k variables. The set of functions
given for nothing is to be chosen carefully. If the set is too large, it
may be easy to compute f . It the set is too small, we cannot apply
the replacement rules in suciently many situations. Let Cm and C{}
denote the complexity measures Cm and C{} if the Boolean sums of
at most k variables are given for nothing. By the same arguments as
before we prove the bounds of (6.1) also for C{}(f) .
Let us consider an optimal monotone -circuit for f . Let a and b
be the number of - and -gates resp. in this circuit. We prove that
we can replace each -gate by at most h new -gates. After such a
replacement we can even eliminate some other gate. At the end of this
procedure we obtain a -circuit over the basis {} for f . Hence
C{}(f) a + (h 1)b h (a + b) = h Cm(f) h Cm (f)

(6.6)

Applying Lemma 6.1 in its generalized form, we obtain the lower

bound (6.5).
We always replace the last -gate G where g is computed and s and
t are input functions. Again we represent g = g1 g2 . If the number
of prime implicants of g1 is at most k we replace g by g1 which is given
as input of the -circuit. In this case we are done.

166

In the other case let w.l.o.g. f1

fl be the outputs which are
successors of G . Since the prime implicants of g1 have length 1 , and
since no -gate is a successor of G , the outputs f1
fl have the
prime implicants of g1 in common. These are more than k variables.
l h , since f is (h k)-disjoint. We replace gate G by the constant 0 .
Then fj (1 j l ) is replaced by hj . We claim that
fj = s hj

or fj = t hj

for j {1

l}

(6.7)

By (6.7) we can replace G by at most l h -gates. Since G is

replaced by 0 we can eliminate also the direct successors of G . If G
has no direct successor, hj = 0 and we need no new gate. Altogether
it is sucient to prove (6.7).
fj s hj and fj t hj , since fj = g hj and g = s t . If (6.7)
does not hold, we can choose inputs a and b where fj (a) = fj (b) = 0
but (s hj )(a) = (t hj )(b) = 1 . Let input c be dened by ci = ai bi .
(s hj )(c) = (t hj )(c) = 1 , since c a and c b . Furthermore
fj (c) = (g hj )(c) = [(s t) hj ](c) = 1

(6.8)

Hence xi PI(fj) and ci = 1 for some i . By denition of c either ai = 1

or bi = 1 in contradiction to the fact that fj (a) = fj (b) = 0 . For this
last argument it is essential that fj is a Boolean sum.

COROLLARY 6.1 : Optimal monotone circuits for (1 1)-disjoint

Boolean sums consist of -gates only.
The explicit construction of (h k)-disjoint Boolean sums which
maximize s1 + + sn is equivalent to the explicit solution of
Zarankiewiczs problem. A Boolean sum f Mn n can be represented
by a bipartite graph G(f) on the vertices x1
xn and f1
fn . G(f)
contains the edge (fi xj ) i xj PI(fi ) . f is (h k)-disjoint i G(f) does
not contain any complete bipartite graph Kh+1 k+1 . Such a Kh+1 k+1
consists of h + 1 vertices of the rst and k + 1 vertices of the second
class such that all edges between these vertices exist. Let z(n j) be

167

the maximal number of edges in a bipartite graph G where G does

not contain any Kj j and G consists of 2n vertices. It is known (see
Bollobas (78)) that
1

1
j!

n22

(j+1)

z(n j)

(j 1)1 j n21 j +

t1
n
2

(6.9)

In general it is not known how to construct such graphs. Constructive

solutions are only known for j = 2 (Kovari, Sos and Turan (54)) and
j = 3 (Brown (66)).
COROLLARY 6.2 :
We can dene explicitly (1 1)-disjoint and
(2 2)-disjoint Boolean sums whose monotone complexity is (n3 2)
and (n5 3) resp.
We present only the construction of the most complex (1 1)-disjoint
Boolean sums. Let n = p2 for some prime number p . The construction is based on the fact that straight lines in p intersect in at most
one point (projective geometry). For later applications we present the
Boolean sum or the corresponding bipartite graph by an n n-matrix
M with elements in {0 1} . M(i j) = 1 i xj PI(fi ) for 0 i j n .
Let i = a + bp and j = c + dp for 0 a b c d p . Then M(i j) = 1
i c a + bd mod p . This denition is illustrated by the submatrix
Mb d of all elements with constant b and d . Then

q
0100
0
0 0
0 0
0010
0

Mb d = 0 0
(6.10)
q b d mod p
0
0
0
0
1

1 0
0000
0

00
1000
0
The corresponding Boolean sums are (1 1)-disjoint. Otherwise we
could nd some ik = ak + bk p and jl = cl + dl p (1 k , l 2) such
that i1 = i2 j1 = j2 and M(ik jl ) = 1 .

168

By denition
cl ak + bk dl mod p for 1 k , l 2 and

(6.11)

b1(d1 d2) c1 c2 b2 (d1 d2 ) mod p

(6.12)

Since p is prime either b1 = b2 or d1 = d2 . Either both rows or

both columns belong to the same submatrices. But by (6.10) these
submatrices do not have two ones in the same row or in the same
column. The Boolean sums are (1 1)-disjoint and each fi is the sum
of p variables. By Theorem 6.2 Cm (f) is equal to n(p 1) = n3 2 n .

6.7 Boolean convolution

We repeat the denition of the Boolean convolution.

fk(x0

xn1 y0

yn1) =

xi yj

(0 k 2n 2)

(7.1)

i+j=k

By (7.1) 2 n2 2 n 1 gates suce. One conjectures that this number

of gates is also necessary in monotone circuits. Negations are powerful
for the Boolean convolution. By the results of Ch. 3 we compute the
Boolean convolution if we multiply the binary numbers
x =

xi 2ki
0i n

and y =

yi 2ki
0i n

where k = log n + 1 , i.e. we separate xi and xi+1 by log n zeros. x

and y are binary numbers of length (n log n) and can be multiplied
by the method of Schonhage and Strassen with O(n log2 n log log n)
gates.
For the monotone complexity of the Boolean convolution several
lower bounds have been proved, namely lower bounds of size n log n
(Pippenger and Valiant (76)), n4 3 (Blum (85)), and n3 2 (Wei (83)),
see also Wegener (84 b) when comparing the methods. Wei applies
the elimination method in conjunction with information ow argu-

169

ments. We investigate a larger class of functions since the subfunctions

of the Boolean convolution are not convolution functions.
DEFINITION 7.1 : A monotone function f : X Y {0 1}m is
bilinear if each prime implicant of f consists of one x-variable and
one y-variable. f is even semi-disjoint if PI(fi ) PI(fj) = for i = j
and each variable is contained in at most one prime implicant of each
output.
Obviously the Boolean convolution is a semi-disjoint bilinear form.
THEOREM 7.1 : Let f be a semi-disjoint bilinear form and let ri be
the number of outputs depending essentially on xi . Then
Cm (f)

1 2

ri

(7.2)

1in

COROLLARY 7.1 : The monotone complexity of the Boolean convolution is at least n3 2 while its circuit complexity is O(n log2 n log log n) .
Proof of Theorem 7.1 : If we replace x1 by 0 we obtain a subfunction
of f which is a semi-disjoint bilinear form with unchanged parameters
r2
rn . Therefore it is sucient to prove that we can eliminate at
1 2
least r1 gates if x1 = 0 . Let s1 be the number of outputs depending
essentially on x1 and consisting of only one prime implicant. If x1 = 0
we can eliminate those s1 -gates where such outputs are computed.
In the following we eliminate at least (r1 s1 )1 2 -gates, altogether
1 2
at least r1 gates.
We consider only outputs fk that depend essentially on x1 and have
more than one prime implicant. Let G0
Gm be a path from x1 to
fk . This path includes at least one -gate Gl where xi yj for some i = 1
and some j is an implicant of the computed function gl . Otherwise
each prime implicant of gl would include either x1 or two x-variables or

170

two y-variables. For x1 = 0 gl could be replaced by Theorem 5.1 by 0

and this would also hold for fk in contradiction to the assumptions.
Let G be the set of all rst -gates on the paths from x1 to the
considered outputs fk where some xi yj for i = 1 is implicant. By
our above-mentioned arguments one input of each gate in G can be
replaced by 0 if x1 = 0 . Therefore all gates in G can be eliminated
if x1 = 0 . The gates in G form a bottleneck. We prove that this
bottleneck cannot be too tight.
Gp } . We choose i(1)
i(p) = 1 and
Let G = {G1
j(1)
j(p) such that xi(l ) yj(l ) I(gl ) where gl is computed at Gl .
If xi(l ) = yj(l ) = 1 for 1 l p all gates in G compute the constant 1 . The output fk does not depend on x1 any longer. Let s be
chosen such that x1 ys PI(fk) . Since variables are only replaced by
ones, either fk is replaced by 1 or fk is replaced by a function fk where
ys PI(fk ) . The second possibility would imply that xi(l ) ys PI(fk)
for some l . This contradicts the denition of semi-disjoint bilinear
forms since i(l ) = 1 . Hence fk is replaced by 1 and xi(l ) yj(m) PI(fk)
for some 1 l , m p . This conclusion holds for all r1 s1 outputs
considered.
Due to the denition of semi-disjoint bilinear forms the prime implicants are dierent for dierent outputs. Only p2 dierent prime
implicants can be constructed from the chosen p x-variables and p
y-variables. Hence p2 r1 s1 and |G | = p (r1 s1 )1 2 .

6.8 Boolean matrix product

The Boolean (I J K)-matrix product fIJK of an I K-matrix and

a K J-matrix is dened by

171

zij =

xik ykj

(1 i I , 1 j J)

(8.1)

1kK

THEOREM 8.1 : Cm (fIJK) = I J (K 1) , Cm (fIJK) = I J K and

Cm (fIJK) = 2 I J K I J .
The upper bounds follow from denition. Pratt (75 a) proved the
necessity of IJK 2 -gates, before Paterson (75) and Mehlhorn and
Galil (76) proved independently the exact bounds. The proof of the
lower bound for -gates can be simplied by using the methods of
Wei (83) (see 7). Before we prove Theorem 8.1 we investigate the
Boolean matrix product fn of two n n-matrices. By Theorem 8.1
Cm (fn) = 2 n3 n2 and by the results of Ch. 3 C(fn) = O(nc ) for some
constant c
5 2 . Since fn is dened on 2 n2 variables and has n2
outputs we should express the bounds in dependence of N = n2 .

COROLLARY 8.1 : The monotone complexity of the Boolean matrix

product fn M2N N is 2 N3 2 N while its circuit complexity is O(Nc )
for some c 5 4 .
Proof of Theorem 8.1 , -gates : It is obvious that the Boolean
matrix product is a semi-disjoint bilinear form. But the lower bound
of Theorem 7.1 is not sharp enough for our purposes. We prove that
we can always eliminate at least J -gates if we replace xik (1 i I ,
1 k K 1) by 0 . There are J outputs zij (1 j J) that depend
essentially on xik and have at least two prime implicants. We prove
that the bottleneck G of Theorem 7.1 has at least J gates.
Gp } be the bottleneck for xik . Then we nd
Let G = {G1
sets X and Y of p x-variables and p y-variables resp. such that the
replacement of these variables by ones forces all zij (1 j J) to compute 1 . Hence Y contains some yk(j) j (1 j J) and |G| = p J.

172

For the lower bound on the number of -gates we apply the second
replacement rule of Theorem 5.2.
DEFINITION 8.1 : The variables xik (1 i I) and ykj (1 j J)
are called variables of type k .

LEMMA 8.1 : Let g be computed in a monotone circuit for the

Boolean matrix product. If two dierent variables of type k are prime
implicants of g , g can be replaced by the constant 1 .
Proof : Let t1 t2 PI(g) be variables of type k . If t = 1 ,
t t1 t t2 PI(g). In order to apply Theorem 5.2 we only have to
establish (5.2). Let t be a monom and zij be an output where
t t t1 t t t2 I(zij) . Hence for some k and k t t t1 is a lengthening of xik yk j and t t t2 is a lengthening of xik yk j . If already t t
is a lengthening of one of these monoms, t t I(zij) , and we have
proved (5.2). Otherwise k = k = k , since t1 and t2 are variables
of type k . t t t1 and t t t2 are lengthenings of xik ykj but t t is not.
Since t1 = t2 , t1 = xik and t2 = ykj or vice versa. To make xik ykj a
part of t t t1 and t t t2 , xik and ykj have to be members of t t and
t t I(zij) .

Proof of Theorem 8.1 , -gates : We replace all xi1 (1 i I)

by 1 and all y1j (1 j J) by 0 . Then the circuit computes an
(I J K 1)-matrix product and we can proceed by induction. It is
sucient to prove that we can eliminate at least I J -gates by the
replacement considered.
Let Gij be the rst gate where we compute a function gij such that
xi1 y1j PI(gij) . By denition of zij , Gij is well dened, and because
of the considerations of 1 Gij is an -gate (at -gates no new prime
implicant is created). Let g1 and g2 be the inputs of Gij . By denition

173

of Gij and (1.5) w.l.o.g. t1 = xi1 PI(g1) and t2 = y1j PI(g2) . If

xi1 = 1 , g1 is replaced by 1 and Gij can be eliminated. It is sucient
to prove that Gij = Gi j if (i j) = (i j ) . Otherwise each variable
xi1 xi 1 y1j and y1j of type 1 is a prime implicant of g1 or g2 . Since
i = i or j = j , either g1 or g2 has two dierent variables of type 1 as
prime implicant. This input can be replaced by 1 (see Lemma 8.1).
W.l.o.g. we assume that such replacements are done in advance.

6.9 A generalized Boolean matrix product

Several new methods for the proof of lower bounds on the complexity of monotone circuits have been developed during the investigation
of the following generalized Boolean matrix product (Wegener (79 a)
and (82 a)). Let Y be the Boolean matrix product of matrix X1 and
the transposed of matrix X2 . yij = 1 i the i -th row of X1 and the
j -th row of X2 have a common 1. This consideration of the Boolean
matrix product can be generalized to a direct matrix product of m
M N-matrices X1
Xm . For each choice of one row of each matrix the corresponding output computes 1 i the chosen rows have a
common 1 .

m
DEFINITION 9.1 : The generalized Boolean matrix product fMN
is a
monotone function on m M N variables with Mm outputs (m M 2).
The variables form m M N-matrices. xihl is the element of the i -th
matrix at position (h l ) . xihl is a variable of type l .

For 1 h1
yh1
(h1

hm =

hm M let
x1h1l x2h2l

1l N

hm l ) = x1h1 l

xm
hm l

xm
hm l is a prime implicant of type l .

(9.1)

174
m
THEOREM 9.1 : Cm (fMN
) N Mm (2 + (M 1)1) 3 N Mm .

Proof : N Mi -gates are sucient to compute all (h1

hi l ) if all
(1
hi1 l ) are already computed. Hence the number of -gates
may be estimated by
Mi N (Mm+1 1)(M 1)1 N Mm (1 + (M 1)1)

2im

(9.2)
Afterwards each output can be computed with N 1 -gates.

It is possible to save a small amount of the -gates. For the simple

Boolean matrix product we proved in 8 that one -gate is necessary
for each prime implicant, and that K 1 -gates are necessary for
outputs with K prime implicants. If we could generalize these ideas
m
to fMN
, we would obtain the following lower bounds: N Mm on the
number of -gates and (N 1) Mm on the number of -gates. It was
proved (Wegener (79 a)) that the number of -gates can be reduced
(for m constant and M large) approximately to N Mm (m 1)1 (see
Exercises). No good lower bound on the number of -gates is known.
We can prove the necessity of (1 2) N Mm -gates. At rst we carry
m
out an analysis of the structure of optimal monotone circuits for fMN
.
Again we apply replacement rules.
Notation: xi0l = 1 .
m
LEMMA 9.1 : Let g be computed in a monotone circuit for fMN
. Let
(i1
im l ) , (j1
jm l ) PI(g) for some l {1
N} and ik jk
M} . Let A = {k | ik = jk } , and let t be the conjunction of
{0 1
all xki l where k A . Then g can be replaced by h = g t .
k

Proof : Let t1 =
kA

xki l and t2 =
k

xkj l . By denition of A , t1

kA

and t2 have no common variable. According to Theorem 5.2 it is

sucient to prove (5.1) and (5.2). (5.1) is fullled by assumption. If

175

(5.2) was not fullled, we would choose a monom t and an output

(h1
hm ) = yh1 hm such that t t t1 and t t t2 are implicants of
(h1
hm ) but t t is not. Then t t t1 includes some (h1
hm l )

but t t does not include (h1

hm l ) . Hence l = l . The same

holds for t t t2 . That means (h1

hm l ) is a submonom of t t t1
and t t t2 but not of t t . The variable that is not included in t t is
a common variable of t1 and t2 in contradiction to the denition of t1
and t2 .

m
We interpret this lemma. A monom is useful for some fMN
if it
m
is a (not necessarily proper) shortening of a prime implicant of fMN
.
If g includes several useful monoms of type l , we can replace g by
g t where t is the common part of all useful monoms of type l , i.e.
t is the monom consisting of all variables which are members of all
useful monoms of type l . The replacement of g by g t should not
cause any costs. Therefore we do not count -gates and assume that
all monoms of less than m variables are given as inputs. The length
of a useful monom is bounded by m and the common part of dierent
useful monoms includes less than m variables.

Circuits in this model (only -gates are counted, monoms of length

less than m are given as inputs) are called -circuits, the appropriate
m
complexity measure is Cm . A -circuit S for fMN
can now be transm
formed into a standard -circuit for fMN
of the same complexity. We
manipulate the gates of S according to their natural numbering. Let
g be computed at some gate. Let tl = 0 , if g includes at most one
useful monom of type l , and let tl be the common part of all useful
monoms of type l which are prime implicants of g , otherwise. We can
replace g by g t1 tN without any costs. We obtain a -circuit
m
S for fMN
. In S all inputs and outputs of -gates have at most one
useful monom of type l as prime implicant. This standard form of
-circuits makes the following considerations much more easier. The
assumption that certain functions besides the variables and constants
are given as inputs has been applied for the rst time in circuit theory

176

to the generalized matrix product (Wegener (79 a)).

In that paper a (2 m) N Mm lower bound has been proved using
the elimination method and the pigeon hole principle. Wegener (82 a)
improved that bound and proved a (1 2) N Mm lower bound which is
only by a small constant factor smaller than the known upper bounds.
More important than the new bound was the application of a new
method for proving lower bounds. The method is based on the denition of a suitable value function to estimate the value of each gate
for the computation of the outputs.
THEOREM 9.2 :
m 2.

m
m
m
Cm (fMN
) Cm (fMN
) Cm(fMN
)

(1 2) N Mm if

For m = 2 or m = 3 the (2 m) N Mm-bound is better than the

bound of Theorem 9.2.
COROLLARY 9.1 : For n 4 let m(n) = log n , M(n) = 2 ,
m(n)
N(n) = n (2 log n) and hn = fM(n)N(n) . hn is dened on at most n
variables and has at most n outputs. The monotone circuit complexity
of hn is of size n2 log n .
Proof of Theorem 9.2 : We only have to prove the last inequality.
m
Let S be an optimal -circuit for fMN
. We assume that S is in standard form, i.e. the inputs and outputs of -gates have at most one
prime implicant which is a useful monom of type l . We try to estimate the value of each -gate G for the computation of each prime
m
implicant (h1
hm l ) . A function vG : PI(fMN
) [0 1] is called
value function if
v(G) :=

vG (h1

1h1

hm M 1l N

hm l ) 1

(9.3)

At each gate we can distribute at most the value 1 among the prime
implicants. This ensures that for an optimal -circuit S

177
m
v(G) Cm (S) = Cm (fMN
)

v(S) :=

(9.4)

G -gate in S

m
is a lower bound on Cm(fMN
) . Finally we prove the necessity of giving
value 1 2 to each prime implicant, i.e. we prove for all (h1
hm l )
that

v(h1

hm l ) :=

hm l )

vG (h1

G -gate in S

1 2

(9.5)

Combining (9.3) (9.5) we have proved that

m
Cm (fMN
)

hm l )

v(h1

1h1

hm M 1l N

(9.6)

(1 2) N Mm

At rst we dene a value function. Then we discuss why we think

that such a value function works. Let G be an -gate in an optimal
m
-circuit for fMN
. Let g and g be the inputs of G and g = resG . We
dene vG as the sum of vG and vG . Let i1
iq {1
N} be the
m
types such that some tj PI(fMN ) of type ij is prime implicant of g
but not of g . Then
vG (tj) = 1 (2q ) for 1 j q

and

(9.7)

m
).
vG (t) = 0 for all other t PI(fMN

Obviously
v (G) :=

vG (h1

1h1

hm M 1l N

hm l ) 1 2

(9.8)

vG is dened in the same way but with respect to g instead of g .

Then (9.3) is fullled. It remains to prove (9.5).
We discuss some arguments what makes the value function v a good
choice. v is relatively simple, the image of vG has at most 4 elements.
vG (t) is equal to

178

1
1
+
if t PI(g) , t PI(g ) PI(g ) , these prime implicants
2q 2q
are created at G ,
1
if t PI(g) PI(g ) , t PI(g ) ,
2q
1
if t PI(g) PI(g ) , t PI(g ) , these prime implicants are
2q
preserved at G ,
0 if t PI(g) or t PI(g) PI(g ) PI(g ) .

The prime implicants created at G get the highest score at G . This

is in accordance with our intuition. This score is quite small if q and
q are quite large. What reasons are there for hoping that each of
these prime implicants t scores enough, i.e. v(t)
1 2? If q and
q are both large, then g has many prime implicants with variables
of dierent types. These dirty monoms cannot be lengthened to
m
prime implicants of fMN
. The only possibility to eliminate these dirty
monoms is that t scores suciently often.

Proof of (9.5) : We consider the prime implicant t = (h1

hm l )
and the corresponding output yt := yh1 hm . Let S be an optimal
m
-circuit for fMN
in standard form, and let S(t) be the subcircuit consisting of the following inputs and gates. A gate G of S belongs to
S(t) if some path in S leads from G to the output yt and if t is a
prime implicant of all functions computed on this path (including G).
Furthermore the inputs of the gates we just discussed belong to S(t) .
S(t) is a connected subcircuit with output yt . For each input g of
S(t) , t PI(g) , but t is a prime implicant of all functions computed
within the circuit.
If both direct predecessors of some gate G are inputs of S(t) , G is
an -gate. Otherwise t PI(resG ) . If an input of S(t) has an -gate
as direct successor, some proper shortening of t is a prime implicant
of that input.

179

Let s1
sD be the inputs of S(t) leading directly into an -gate.

Let G(i) be an -gate with input si and let vG(i)

= vG(i) if si is the rst

input of G(i) and vG(i) = vG(i) otherwise. In either case vG(i)

(t) 0 .
Instead of (9.5) we prove the stronger result
b1 + + bD

1 2

(9.9)

for bi = vG(i)
(t) . W.l.o.g. b1 bD . We choose some wi PI(si )
such that some proper lengthening wi of wi is prime implicant of

resG(i) , vG(i)
(wi)
0 , and the type of wi diers from the types of

w1
wi1
. We can always choose w1 = t . If the choice of wi

according to our rules is impossible, vG(i)

is positive for at most i 1
prime implicants.
Hence bi (2(i 1))1 and, since b1 bD ,

b1 + + bD i bi

1 2

(9.10)

In the following we assume that w1

wD are chosen according to
our rules. By construction wi PI(si ) and
w1

wD s1

sD

(9.11)

We claim that
s1

sD yt

(9.12)

Let a be an input where si (a) = 1 for 1 i D . S(t) is a circuit

where all inputs leading into -gates are equal to 1 . Furthermore no
-gate of S(t) has two inputs of S(t) as direct predecessors. Now it is
easy to prove by induction that for input a all gates of S(t) compute 1 ,
in particular yt (a) = 1 . Because of (9.11) and (9.12)
w1

w D yt

(9.13)

We consider that input a where all variables of w1

wD are set to 1
and all other variables are set to 0 . By (9.13) yt (a) = 1 . All variables
of wi are of type li and l1
lD are dierent. Since wi is a proper

180

shortening of wi and vG(i)

(wi) 0 , wi includes at most m1 variables.
Hence a is an input where for each type at most m 1 variables are
m
set to 1 . By denition of fMN
yt (a) = 0 . Because of this contradiction
it is impossible to choose w1
wD according to our rules.

6.10 Razborovs method

In 3 9 we heard about several methods for the proof of lower

bounds on the monotone complexity of Boolean functions. For functions with one output we proved only linear bounds, and for functions
with n outputs the largest bound is of size (n2 log1 n) (see 9).
Razborov (85 a) and (85 b) developed a method for the proof of exponential lower bounds. The method itself can be described in a rather
simple way (like the elimination method or the method of value functions). The ingenious part is the successful application to important
functions.
In monotone circuits we work in the lattice (Mn ) . Instead
of f Mn we consider now f 1(1) . Let Mn be the set of all f 1(1)
where f Mn , i.e. the set of all up-sets. Then we work in the lattice (Mn ) . Razborov investigates computations in sublattices
of M = Mn . We state formally the concepts before we discuss the
method.
DEFINITION 10.1 : (L
) is called a legitimate lattice if the
following conditions are fullled.
i)

L M , x1
1 (1)

n
x1
n (1) {0 1} L .

ii) For M N L the meet (the lattice theoretic intersection) M N

L is well dened and M N M N .
iii) For M N L the join (the lattice theoretic union) M
well dened and M N M N .

N L is

181

The deviation of the operations and from and is measured

by (M N) = (M N) (M N) and (M N) = (M N) (M N) .

DEFINITION 10.2 : The complexity of f Mn (or f 1(1) M )

with respect to a legitimate lattice L is dened by
CL(f) = min{t | M M1 N1

Mt Nt L :

M f 1 (1)

(10.1)

(Mi Ni ) and
1it

f 1(1) M

(Mi Ni )}
1it

THEOREM 10.1 : CL (f) is a lower bound on Cm (f) for f Mn and

each legitimate lattice L .

Proof : Let S be an optimal monotone circuit for f . Let fi and gi

(1 i t = Cm (f)) be the inputs of the i -th gate of S . S results
n
from S by the replacements xi x1
,
i (1) , 0 , 1 {0 1} ,
. S is a computation in L . Let Mi and Ni be the inputs of
the i -th gate of S , and let M be the output of S . We prove by
induction on t that these sets full the conditions described in (10.1).
The basis of the induction (t = 0) is obvious. For the induction step
we distinguish whether the t-th gate is an -gate ((10.2) and (10.3)) or
an -gate ((10.4) and (10.5)). By denition and induction hypothesis

M = Mt

Nt = Mt Nt (Mt Nt)

ft1 (1) gt1(1)

(Mi Ni ) = f 1(1)
1it

(10.2)
(Mi Ni)
1it

182

f 1(1) = ft1(1) gt1(1) Mt Nt

Mt

Nt

(Mi Ni)

(Mi Ni) M
1it

M = Mt

(Mi Ni)
1it

Nt

(10.4)

Mt Nt (ft1(1) gt1(1))
f 1 (1)

(10.3)

1it1

(Mi Ni )
1it1

(Mi Ni ) and
1it

f 1(1) = ft1(1) gt1(1) (Mt Nt )

(Mi Ni )

(10.5)

1it1

= Mt

Nt

(Mi Ni) = M
1it

(Mi Ni)
1it

A more careful analysis of (10.3) and (10.4) shows that we even

proved
M f 1 (1)
f 1(1) M

i|i-th gate is an -gate

i|i-th gate is an -gate

(Mi Ni) and

(10.6)

(Mi Ni)

(10.7)

We try to better understand computations in L . Exactly the functions f where f 1 (1) L have CL -complexity 0 . Again we have to
choose an appropriate class of functions which are given as inputs. If
f 1(1) L , then f 1 (1) cannot be computed in an L-circuit. (10.1)
describes suciently good approximations M of f 1(1) . We do not
demand that the approximating sets M , Mi and Ni can be computed
in an L-circuit of size t .
How should we choose a lattice L where it can be proved that CL (f)
is large ? If L is too dense, we can choose M in such a way that
f 1(1) M and M f 1(1) are small sets. Then these sets can be

183

covered with a small number of -sets. If L is too coarse-grained,

i.e. has only few elements, -sets are large and again f 1 (1) M and
M f 1(1) can be covered by a small number of -sets. In the extreme
n
case L consists only of x1
i (1) for 1 i n , and {0 1} and
M N = and M N = {0 1}n for M N L . Then CL (f) 1 ,
since we can choose M = {0 1}n and M1 = N1 = .
The lattice we choose should depend on the function f whose monotone complexity we like to estimate. L should not contain a good approximation of f and -sets should be small. Razborov used lattices
where -sets include only a small number of minimal elements of
f 1(1) (prime implicants) and -sets include only a small number of
maximal elements of f 1(1) (prime clauses). Furthermore L includes
only sets M where f 1(1) M or M f 1 (1) is large. In particular, we
prove a lower bound min on the minimal number of prime implicants
and prime clauses in (f 1(1) M) (M f 1(1)) for M L . Then we
prove an upper bound max on the number of prime implicants in sets and of prime clauses in -sets. Then CL (f) min max . By max
we estimate the maximal value of one computation step with respect
to L . The value necessary for the computation of f in an L-circuit is
at least min . Hence Razborov generalized the concepts that certain
functions besides the variables and constants are given as inputs and
that one should try to estimate the value of computation steps. His
estimations are much more rough than those in 9. This might be
the key to the success of Razborovs method.
These general considerations are useful for understanding
Razborovs method. Nevertheless it is dicult to choose a good lattice. So far, only one type of lattice has been applied successfully.
Razborov proved n(log n) -bounds. Alon and Boppana (85) improved
these bounds to exponential bounds by a better analysis of Razborovs
lattice.

184

6.11 An exponential lower bound for clique functions

DEFINITION 11.1 : The clique function cl n m MN where N = n2

j n). cl n m (x) = 1 i
is dened on the variables xi j (1 i
G(x) = (V = {1
n} E(x) = {(i j) | xi j = 1}) includes an mclique, i.e. m vertices which are all directly connected by an edge.
The clique function is NP-complete if m = n 2 . Hence we suppose
that circuits for cl n n 2 cannot have polynomial size. For monotone
circuits we can prove an exponential lower bound. At rst we dene a
legitimate lattice L = L(n r l ) where the parameters l 2 and r 2
are xed later.
DEFINITION 11.2 : Let W W1
ent) sets and A a class of sets.
i)

Wr be (not necessarily dier-

W1
Wr imply W (W1
Wr W) if |W| l , |Wi | l for
1 i r and Wi Wj W for all i = j .
Wr

W for some W1

ii) A implies W (A
A.

W) if W1

iii) A is closed if (A

W) implies (W A) .

Wr

iv) A is the intersection of all closed B A .

LEMMA 11.1 : i) A is closed.
ii) A A .
iii) (A) = A .
iv) A B A B .
Proof : ii) and iv) follow by denition, and iii) follows from i). For
the proof of i) we assume that A W . If B is closed and B A , by
denition B A and hence B W . Since B is closed, W B for all
closed B A . This implies W A , and A is closed.

185

DEFINITION 11.3 : Let V = {1

n} and V(l ) = {W V |
|W| l } . For A V(l ) let A be the set of graphs on V containing
a clique on some W A . (L
) is dened by
L = L(n r l ) = { A | A V(l ) is closed} { }
A

B = AB

B = (A B)

LEMMA 11.2 : (L

and

(11.1)
(11.2)
(11.3)

) is a legitimate lattice.

Proof : The properties we have to establish are described in Denition 10.1.

i)

L MN , since we identify graphs and vectors in {0 1}N (see

Def. 11.1). L by denition. V(l ) = {0 1}N L , since V(l )
is closed. Let Fij be the class of all W V(l ) including i and j .
Fij is closed. Hence Fij = x1
ij (1) L .

ii) Let A B V(l ) be closed. Similar to the proof of Lemma 11.1

it follows that A B V(l ) is closed. Hence A B L . If
G A
B = A B , G contains a clique on some W AB .
Hence G A
B .
iii) By Lemma 11.1 (A B) V(l) is closed and (A B) L . If
G A
B , G contains a clique on some W AB (AB) .
Hence G A
B .

Before we estimate the L-complexity of clique functions, we investigate the structure of closed systems A . If B A , also all B B
where |B | l are elements of A . Obviously B
B B . This observation allows us to describe closed systems by their minimal sets,
namely sets B A where no proper subset of B is included in A . A
consists of its minimal sets, and all sets of at most l elements including a minimal set. Later we shall establish relations between prime

186

implicants in -sets and minimal sets in closed systems. Therefore it

is important to prove that closed systems have not too many minimal
sets.

LEMMA 11.3 : In each closed system A the number of minimal sets

with at most k elements is bounded by (r 1)k .

Proof : A system F of sets of at most k elements has the property

P(r k) if there are no sets W W1
Wr F and U W such that
Wi Wj U for all i = j . The system of all minimal sets of A with at
most k elements has property P(r k) . Otherwise, by denition of the
notion closed, U would be a set in A and W would not be minimal. We
prove by induction on r that systems F with property P(r k) contain
at most (r 1)k sets.
If F would contain dierent sets W1 and W2 for r = 2 , we could
choose U = W1 W2 . Since W1 and W2 are both minimal sets, U is
a proper subset of W1 and W2 and for W = W1 we have proved that
F does not full property P(2 k) .
For the induction step let F be a system with property P(r k) . We
x D F . For C D let
FC = {W C | W F W D = C}

(11.4)

Otherwise we choose
FC has property P(r 1 k |C|) .
W W1
Wr1 FC , U
W such that Wi Wj U for i = j .
Let W = W C F , U = U C
W , Wi = Wi C F for
1 i r 1 and Wr = D F . Since C D , Wi Wj U for i = j
in contradiction to the assumption that F has property P(r k) . By
induction hypothesis |FC | (r 2)k|C| . Since D is xed, the condition W D = C is fullled for only one set C . If W D = C = W D
but W = W , also W C = W C . Finally we make use of the fact
that |D| k , since D F .

187

|F| =

|FC |
CD

0ik

0i|D|

|D|
ki
i (r 2)

(11.5)

k
ki
= (r 1)k
i (r 2)

We provide some auxiliary means for the estimation of the size of

-sets. These sets can be described as C C for some appropriate
system C . How can C be constructed out of C ?
Let C = {W C | C
W} . By denition C = C i C = .
If C = we improve C by choosing some minimal set W C and
adding W and all sets W W where |W | l to C . We obtain a
system B where C
B C and B = C . We continue with B in
the same way. The number of such improvement steps is bounded by
|V(l )| nl , since the improving set W V(l ) . This upper bound
may be improved to l ! (r+1)l but this is not essential for our purposes.
(m 1)-partite graphs correspond to inputs in cl 1
n m (0) . Such a
graph G can be described by a coloring h : V {1
m 1} of
the vertices. The vertices i and j are connected by an edge in G(h)
i h(i) = h(j) . Later we have diculties to choose the right (m 1)partite graph. Therefore we investigate randomly chosen (m 1)partite graphs or random colorings of graphs. For a coloring h the
graph G(h) contains a clique on the vertex set W V i the vertices
of W have dierent colors, i.e. W is colored. The uniform distribution
on all gn colorings of V with g colors yields a random coloring of V .
Wr A ,
LEMMA 11.4 : Let g l , A V(l ) , W W1
W1
Wr
W . Let E (or Ei ) be the event that W (or Wi ) is
colored. Let C Ei be the complementary event of Ei . Then
Pr(E C E1 C Er )

g(g 1) (g l + 1)
1
gl

(11.6)

Proof : Since Wi Wj W , the events C E1

C Er are independent
if W is colored, i.e. if E happens. This follows since the sets Wi W

188

are disjoint. Hence

Pr(E C E1 C Er) Pr(C E1 C Er | E)
Pr(C Ei | E) =

=
1ir

(11.7)

(1 Pr(Ei | E))
1ir

By (11.7) it suces to prove that Pr(Ei | E) is at least

g
(g l + 1) gl . Let p(i) = |Wi W| and q(i) = |Wi W| .
Then p(i) + q(i) = |Wi | l . The event E implies for the set Wi that
Wi W is colored with p(i) dierent colors. The probability that then
the q(i) elements of W Wi get other and dierent colors is

0j

g p(i) j

g
q(i)

0j

gj
g
=
l g

(g l + 1)
gl

(11.8)

Let C V(l ) , g l and h be a random coloring

LEMMA 11.5 :
of V . Then
Pr(G(h) C

C )n

(g l + 1)
gl

(11.9)

Proof : We already described a construction of C out of C in at most

nl steps. Let C0 = C C1
Cp = C be the steps of this construction
(0 p nl ). It is sucient to prove that
Pr(G(h) Ci Ci1 )

(g l + 1)
gl

(11.10)

Let Wi be the chosen set for the construction of Ci out of Ci1 . G(h)
contains a clique on D i D is colored. G(h) is not in Ci1 i all sets
in Ci1 are not colored. G(h) is in Ci i some set in Ci is colored.
By construction Wi has to be colored. Furthermore by construction
Ci1 Wi , i.e. B1
Br Wi for sets Bj Ci1 . Altogether the
event G(h) Ci Ci1 implies that B1
Br are not colored
but Wi is colored. The probability of this event has been estimated in
Lemma 11.4.

189

Lemma 11.5 is a useful bound for the probability that a random

(m 1)-partite graph is in some -set. Now we are prepared to prove
the lower bound.
THEOREM 11.1 : Let 4 m (1 4)(n log n)2 3 , l = m1
r = 4 m1 2 log n . Then
Cm (cl n m) CL(n r l ) (cl n m )
1

n
m(r 1)

and

(11.11)
(l +1) 2

In particular for m = (1 4)(n log n)2

(m1 2 +1) 2

4m3 2 log n
3

Cm (cl n m) = exp(((n log n)1 3))

(11.12)

Proof : The rst inequality of (11.11) follows from Theorem 10.1. The
last inequalities of (11.11) and (11.12) follow from easy calculations.
The lower bound on CL(cl n m ) is still to be proved.
Let t = CL (cl n m) and let M M1 N1
Mt Nt be sets fullling
the conditions of (10.1) , the denition of CL . By denition we can
choose closed systems A A1 B1
At Bt in V(l ) where M = A ,
Mi = Ai and Ni = Bi .
Case 1 : M is not the set of all graphs.
We consider those mn graphs which contain exactly the edges of
an m-clique, i.e. the graphs corresponding to prime implicants. Each
of these graphs is by (10.1) contained in M or some (Mi Ni ) . We
prove that M can include at most half of these graphs, and that each
-set can include at most 4 (m(r 1) n) (l +1) 2 mn of these graphs.
In order to cover all m-cliques, it is necessary that
4

m(r 1)
n

(l +1) 2

(11.13) implies (11.11).

n
1 n
t+
m
2 m

n
m

(11.13)

190

At rst we estimate the quantity of m-cliques that can be included

in M . Each set W A has at least two elements, since each graph
contains each clique on one vertex and M is not the set of all graphs.
Let B be a set of m elements where the clique on B belongs to M .
Then we nd some minimal set D A where D B . By Lemma 11.3
A has at most (r 1)k minimal sets D with k elements. D can be
nk
responsible only for mk
m-cliques, because this is the number of melement sets B D . Hence the number of m-cliques in M is bounded
by
(r 1)k
2kl

nk
mk

(11.14)

By elementary calculations
1 2 . Hence
(r 1)k
2kl

nk
mk

n
m

nk
mk

(r 1)k

2kl

(n m)k and m(r 1) n

n
m

n
(m n)k
m

(1 2)k (1 2)
2kl

(11.15)
n
m

By similar methods we investigate (Mi Ni ) . By denition

(Mi Ni) = (Mi Ni ) (Mi

Ni )

(11.16)

= A i Bi A i Bi
If the m-clique on Z belongs to (Mi Ni ) we can nd some minimal
set U Z in Ai and some minimal set W Z in Bi , but no subset of
Z belongs to Ai Bi . Since Ai and Bi are closed, U W Z will be
in Ai Bi if |U W| l . Hence |U W| l , and one of the sets U or
W includes at least (l + 1) 2 elements. If the m-clique on Z belongs
to (Mi Ni) , a minimal set of Ai or of Bi with at least (l + 1) 2
elements is included in Z . In the same way as before we can estimate
the number of m-cliques in (Mi Ni) by

191

2(r 1)

(l +1) 2 kl

nk
mk

n
2
m

m(r 1)
n

(l +1) 2
0i

1
2

(11.17)
n
=4
m

m(r 1)
n

(l +1) 2

Case 2 : M is the set of all graphs.

We consider the class of complete (m 1)-partite graphs, this class
includes only graphs in cl 1
n m (0). By (10.1) each of these graphs is
contained in some (Mi Ni) . For Ci = Ai Bi
(Mi Ni ) = (Mi

Ni ) (Mi Ni )

(11.18)

= (Ai Bi ) Ai Bi = Ci Ci
Let h be a random (m 1)-coloring of V , then G(h) is a complete
(m 1)-partite graph. By Lemma 11.5 , the denitions of l and r and
an elementary calculation
Pr G(h) Ci Ci

(11.19)

nl 1 (m 1) (m l ) (m 1)l

m 2 m

= n

and

Pr 1 i t : G(h) Ci Ci

t n

(11.20)

Since all complete (m1)-partite graphs are in the union of all -sets,

the left-hand probability of (11.20) is equal to 1 . Hence t n m . The

claim follows since for m 4

n
m(r 1)

(l +1) 2

(11.21)

192

6.12 Other applications of Razborovs method

By similar methods Alon and Boppana (85) proved also the following bounds.
DEFINITION 12.1 : cl n p q is the class of all monotone functions
f MN (where N = n2 ) such that f(x) = 0 if G(x) (see Def. 11.1)
contains no p-clique and f(x) = 1 if G(x) contains a q-clique.
THEOREM 12.1 : Let f cl n p q , 4 p q and p q n (8 log n)
for p = p1 2 . Then
1
Cm(f)
8

4p q log n

(p +1) 2

1 (p +1)
2
8

(12.1)

In particular, for p = log4 n and q = n (8 log3 n)

Cm(f) = n(log n)

(12.2)

Hence it is even dicult to approximate clique functions.

THEOREM 12.2 : Cm (cl n m ) = (nm logm n) for constant m .
Theorem 12.2 improves an (nm log2m n)-bound of Razborov.
This bound is not far away from the obvious O(nm )-upper bound.
We show that negations are powerful for the computation of clique
functions.
THEOREM 12.3 : Let BMn be the Boolean matrix product of n nmatrices. For constant m and t = mn 3
C(cl n m) = O(C(BMt )) = o(n(5

2) m 3

(12.3)

193

Proof : The second equality holds, since t n m 3 and C(BMt ) =

o(t5 2) (Coppersmith and Winograd (82), see Ch. 3, 6). For the rst
assertion we assume that 6 is a divisor of m . Otherwise we could
add up to 5 vertices to the graph which are all connected to all other
vertices.
How can we reduce the clique function to matrix multiplication ?
The rows and columns of the t t-matrix correspond to the vertex
sets A V of size m 3 . The matrix entry yA B should be equal to 1 i
A and B are disjoint and the graph G(x) implied by the input vector
x contains the clique on A B . Obviously G(x) includes an m-clique
i for some sets A B and C yA B = yA C = yB C = 1 . We compute the
Boolean matrix product Z = Y2 . By denition zA B = 1 i for some
C yA C = yC B = 1 . Hence we can compute
cl n m (x) =

zA B yA B

(12.4)

AB

with O(t2) gates. Since BMt has t2 dierent outputs, C(BMt ) t2 ,

and it is sucient to prove that all yA B can be computed with O(t2)
gates. Let yA = 1 i G(x) includes the clique on A . All yA (|A| = m 3)
can be computed with O(t) gates, since m is constant. yA B = 0 if A
and B are not disjoint. If A and B are disjoint, we partition A to A
and A and B to B and B where the partition sets are of size m 6 .
Obviously
yA B = yA B yA B yA

yA

yA yB

and all yA B can be computed with O(t2) gates.

(12.5)

We know now that C(f) = o(Cm(f)) for sorting, Boolean convolution, Boolean matrix product, and certain clique functions. The lower
bounds known on Cm (f) C(f) are polynomial. Can this quotient be
superpolynomial or even exponential ? To answer this question we
consider perfect matchings.
DEFINITION 12.2 : PMn is dened on n2 variables xij (1 i j n) .

194

PMn (x) =

x1 (1) xn (n)

(12.6)

PMn is called logical permanent (if is replaced by we obtain the

determinant). PMn (x) = 1 i the bipartite graph G(x) on V W =
{v1 w1
vn wn} with edge set E(x) = {(vi wj ) | xij = 1} includes a
perfect matching, i.e. n vertex disjoint edges.
Hopcroft and Karp (73) designed a polynomial algorithm for the
decision whether or not a bipartite graph includes a perfect matching. Therefore (see Ch. 9) we can design circuits of polynomial size
for PMn . Razborov (85 a) proved that the monotone complexity is
superpolynomial.
THEOREM 12.4 : Cm (PMn ) = n(log n) but C(PMn ) = nO(1) . In
particular, Cm (PMn ) C(PMn ) is superpolynomial.
It is still an open problem whether Cm (f) C(f) can be exponential.
Finally we present the largest lower bound known on the monotone
complexity of explicitly dened Boolean functions. We should notice
that cl n m is dened on (n2 ) variables. The following bound has been
proved by Alon and Boppana (85) with Razborovs method, the rst
exponential bound for this function is due to Andreev (85).
DEFINITION 12.3 : Polyq s is dened on n = q2 variables xij
(1 i j q) where q is prime. Let G(x) be the bipartite graph specied by x (see Def. 12.2).
Polyq s (x) = 1 i a polynomial p over the eld q exists such that
degree(p) s 1 and G(x) includes all edges (vi wp(i)) .
THEOREM 12.5 : Cm (Polyq s) = exp((n1 4 log1 2 n))
for s = (1 2)(q log q)1 2 .
Superpolynomial and exponential lower bounds on the monotone
circuit complexity of other Boolean functions can be proved via mono-

195

tone projections (see 1) or other monotone reductions (see Ch. 10,

3).

6.13 Negation is powerless for slice functions

Because of Theorem 12.4 one might conjecture that lower bounds

on Cm (f) have no implications on C(f) . In the following we present
a fundamental class of functions where negation is almost powerless,
we prove that Cm (f) = O(C(f) + n log2 n) for slice functions. Lower
bounds on Cm (f) of size (n log2 n) imply lower bounds of the same
size on C(f) .
Our problem is the simulation of circuits by monotone circuits. At
rst we switch to the complete basis { } , the number of gates
only needs to be increased by a constant factor (see Ch. 1, 3). Then
we double all -gates and -gates, one output of a pair is negated, the
other one not. After that we can apply the deMorgan rules without
increasing the number of gates. Finally we obtain a so-called standard
circuit where only variables are negated. The most dicult problem
is the replacement of xi by a monotone function. Such a replacement
depends on the output of the circuit, since xi is not monotone. The
concept of pseudo complements is due to Berkowitz (82).
DEFINITION 13.1 : Let f Mn m . A function hi Mn is a pseudo
complement for xi with respect to f if in each standard circuit for f xi
can be replaced by hi .
DEFINITION 13.2 : f Bn is called k-slice if f(x) = 0 for inputs x
with less than k ones and f(x) = 1 for inputs x with more than k ones.
f = (f1
fm) Bn m is called k-slice if all fi Bn are k-slices.

196

Slice functions are monotone. The interesting inputs for a k-slice

are those with exactly k ones, the elements of the k -th slice of {0 1}n .
THEOREM 13.1 : Let X = {x1
xn } and Xi = X{xi} . Tn1
k (Xi )
is a pseudo complement for xi with respect to k-slices f .
Proof : Let f be that function computed by a standard circuit for
f after we have replaced xi by Tn1
k (Xi ) . We claim that f = f . If
input a includes less than k ones, f(a) = 0 and Tn1
k (Xi )(a) = 0 ai .
f (a) = 0 , since standard circuits are monotone below the inputs. If
input a includes more than k ones, f(a) = 1 , Tn1
k (Xi )(a) = 1 ai and
f (a) = 1 by monotonicity. If input a includes exactly k ones
ai = 1 ai = 0 Tn1
k (Xi )(a) = 1

(13.1)

f(a) = f (a) , since we do not have changed the circuit for these inputs.
Altogether f = f .

The following generalization of Dunne (84) is left as an exercise.

PROPOSITION 13.1 : hi Mn is a pseudo complement for xi with
respect to f Mn m i
1 j m : fj | xi =0 hi fj | xi =1

(13.2)

All f Mn have pseudo complements, but these pseudo complements may be hard to compute. Slice functions have pseudo complements which are easy to compute. Moreover, slice functions set up a
basis of all monotone functions (Wegener (85 a) and (86 b)).
DEFINITION 13.3 : The k -th slice f k of f Bn is dened by
f k = (f Enk ) Tnk+1 = (f Tnk ) Tnk+1
THEOREM 13.2 : i) C(f) C(f 0

f n ) + O(n) .

(13.3)

197

f n ) C(f) + O(n) .

ii) C(f 0

f n ) Cm (f) + O(n log n) if f monotone.

iii) Cm (f 0

iv) Cm (f k ) Cm (f) + O(n) if f monotone and k constant.

Proof : ii) , iii) , and iv) follow from (13.3) and the known upper
bounds on the complexity of threshold functions. i) follows from
(f k Enk )

f=

(13.4)

0kn

f n )) , if C(f) = (n) , we can investigate

Since C(f) = (C(f 0
(f 0
f n ) instead of f . (f 0
f n ) is called monotone representation
of f , since f k is monotone. Even for non monotone f Bn we can compare C(f 0
f n) with Cm (f 0
f n ) . Theorem 13.1 has the following
corollary.

COROLLARY 13.1 : i) Cm (f k ) O(C(f k)) + Cm (k) where Cm(k) =

Cm (Tn1
k (Xi ) | 1 i n) .
ii) Cm (f 0

f n)

O(C(f k)) + Cm (0

n) where

0kn

Cm (0

n) = Cm (Tn1
k (Xi ) | 1 i n 0 k n) .

Lower bounds on the monotone complexity of the k -th slice f k of

some explicitly dened f Bn of size (Cm(k)) imply a lower bound
of the same size on the circuit complexity of f . This fact oers a
strong motivation for the investigation of monotone circuits and slice
functions. We point out that we can use ecient circuits (over the
basis B2 ) for f Mn for the design of ecient monotone circuits for
(f 0
f n ) but not for the design of ecient monotone circuits for f .
(13.4) has no monotone analogue.
What is the monotone complexity of the pseudo complements for
slice functions ? The sets Xi are more or less alike. One might believe

198

that it is sucient to sort X and to remove xi afterwards. But this last

step is impossible in monotone circuits. The best monotone circuits
for all Tn1
k (Xi ) (1 i n) have been designed by Paterson (pers.
comm.) , Valiant (86), and Wegener (85 a).
THEOREM 13.3 : Cm (k) = O(n min{k n k log2 n}) .
Proof : The following circuit is suitable for small k . Obviously
Tn1
k (Xi ) =
Tip(x1

Tpi1(x1
0pk

xi ) = Tpi1(x1

xi1) Tni
kp (xi+1
i1
xi1) Tp1
(x1

xn) and
xi1) xi

(13.5)
(13.6)

xi ) (1 i n , 1 p k) can be comBecause of (13.6) all Tip(x1

puted with at most 2 n k gates, the same holds for all Tni
xn )
kp (xi+1
(0 i n 1 , 0 p k 1) . Because of (13.5) 2 n k further gates
suce for the computation of all Tn1
k (Xi ) . Hence Cm (k) 6 n k and
by the duality principle also Cm (k) 6 n (n k) .
For k not too small and not too large the following attack is promising. W.l.o.g. n = 2m . For each r {0
m} we partition X to 2mr
blocks of successive variables of 2r variables. Let Xir be the 2r-block
that includes xi .
We use a Batcher sorting network to sort X with O(n log2 n) gates.
As mentioned in 2 we sort simultaneously all Xir . Xi = X {xi } is
the disjoint union of Zi m1
Zi 0 where Zir is some 2r -block. We can
sort Xi and compute Tn1
Zi 0 . If we merge
k (Xi ) by merging Zi m1
the small blocks at rst, the intermediate results are of interest only
for Tn1
k (Xi ) . If we merge Zi m1 and Zi m2 , the result is of interest for
all those 2m2 sets Xj where xj Zi m1 Zi m2 . Using this approach
we merge always a large set and a smaller one. Now we make the most
of the fact that we only compute Tn1
k (Xi ) and that we do not sort
Xi .
Zi r , in particular Yi0 =
By Yir we denote the union of Zi m1
Xi . Since Yir = X Xir , only 2mr sets Yir are dierent. We are

199

interested in the element of rank k in Yi0 (the k -th largest element

of Yi0 ) . If we know the elements of rank k 1 and k in Yi1 , we can
merge them with the 1-block Zi0 , and the middle element is equal to
r+1
Tn1
+
k (Xi ) . In general it suces to know the elements of rank k2
1
k in Yi r+1 . Since Yir is the disjoint union of Yi r+1 and Zir , the
elements of rank k 2r + 1
k of Yir are the 2r middle elements
in the output of a merging network if we merge the elements of rank
k2r+1 +1
k in Yi r+1 with the elements in Zi r . All other elements
in Yi r+1 cannot be elements of rank k 2r + 1
k in Yir .
Zi0 . For
Thus we start with the sorted sets Yi m1 = Zi m1
r = m2
0 we compute the elements of rank k 2r + 1
k
k in Yi r+1
in Yir by merging the elements of rank k 2r+1 + 1
and the elements in Zir . The middle 2r elements are the elements we
are looking for. Using the Batcher merging network O((r + 1) 2r+1)
gates suce. For xed r we need 2mr of these merging networks,
hence O((r + 1) 2m) = O((r + 1)n) gates. For all r together O(nm2) =
O(n log2 n) gates suce.

For practical purposes it is important to notice that the circuits

in the proof of Theorem 13.3 are not only asymptotically ecient but
also ecient for small n.
We do not know of a nonlinear lower bound on the monotone complexity of some explicitly dened slice function f Mn . Razborovs
method cannot be applied directly to slice functions. Till today this
is only a hypothesis many experts believe in, among them Razborov
(pers. comm.). One should try to formalize this hypothesis and to
prove the formal statement.
In 14 we discuss central slices, i.e. n 2-slices, and argue why
they are more important than k-slices for constant k . For central
slices we have to prove (n log2 n) bounds on the monotone complexity
in order to obtain results for circuits over complete bases. Smaller
lower bounds can work only for functions which have more ecient

200

pseudo complements. Such classes of functions were introduced by

Wegener (86 b).
DEFINITION 13.4 : Fkn Mn is the class of all k-slices f for which
the set of variables can be partitioned in such a way into k disjoint sets
X1
Xk that each prime implicant of f of length k includes exactly
one variable of each class. (The disjunction of the prime implicants of
length k is a multilinear form.)
The j -th variable of Xi is denoted by xij (1 i k , 1 j n(i) =
|Xi |) . Let hi be the disjunction of all variables in Xi and let gi be
the conjunction of all hj (j = i) . Obviously n k gates suce for
the computation of all hi . Then 3k 6 gates suce, if k 2 , for
the computation of all gi (Exercise 25, Ch. 3, generalized to monotone
circuits). If we estimate the number of gates by 3k 3 , the estimation
holds also for k = 1 . Let
yji = xij gi

and zij =

i
ym

(13.7)

m=j

All yji can be computed with n gates, afterwards all zij for xed i can
be computed with at most 3n(i) 3 gates. Altogether we can compute
all yji and zij with at most 5n k 3 gates. yji and zij are almost pseudo
inputs and pseudo complements for xij with respect to functions in Fkn .
THEOREM 13.4 : All yji and zij can be computed with O(n) gates. If
we replace in a standard circuit for f Fkn xij by yji and xij by zij , then
f is replaced by some function f where f = f Tnk+1 . Hence
Cm(f) = O(C(f)) + O(n) + Cm (Tnk+1)

(13.8)

Proof : We only have to prove that f = f Tnk+1 . If input a includes

either less than k ones or exactly k ones but not from k dierent
classes, f(a) = 0 and Tnk+1(a) = 0 . Since yji (a) = 0 xij (a) and zij (a) =

201

0 xij (a) f (a) = 0 by monotonicity. If input a includes exactly k ones

from dierent classes, Tnk+1(a) = 0 . The set of prime implicants of yji
is the set of all monoms including exactly one variable of each class
among them xij . PI(zij ) is the set of all monoms including exactly one
variable of each class but not xij . Hence xij (a) = yji (a) , xij (a) = zij (a)
and f(a) = f (a) . If a includes more than k ones, Tnk+1(a) = 1 and
f(a) = 1 , since f is a k-slice. In this case the correcting term Tnk+1 is
necessary.

DEFINITION 13.5 : Gkn Mn is the class of all g = g T2 for which

the set of variables can be partitioned in such a way into k disjoint
sets X1
Xk that each prime implicant of g includes exactly one
n(i)
variable of each class. T2 (X) is the disjunction of all T2 (Xi ) .
THEOREM 13.5 : If we replace in a standard circuit for g Gkn
xij by yji and xij by zij , then g is replaced by some function g where
g = g T2 . Hence
Cm (g) = O(C(g)) + O(n)

(13.9)

Proof : The proof is similar to that of Theorem 13.4. Cm (T2) = O(n) ,

n(i)
since Cm(T2 ) = O(n(i)) .

COROLLARY 13.2 : i) C(f) = (Cm(f)) for f Fkn if Cm(f) =

(n min{k n k log n}) .
ii) C(g) = (Cm(g)) for g Gkn .
According to Corollary 13.2 already lower bounds of size n log n or
n log n on the monotone complexity of certain functions imply similar
bounds for circuits over complete bases.

202

Dunne (84) applied the concept of slice functions and proved for
the most complex (n k)-homogeneous functions f Hnk
(see Ch. 4,
n
7) that C(f) = (Cm(f)) . More precisely, Cm (f) = O(C(f))+O(nk1)
for f Hnk
and constant k .
n
The monotone complexity of the set of all pseudo complements has
been determined by Wegener (86 b).
THEOREM 13.6 : Cm (0

n) = (n2) .

Proof : The lower bound is obvious, since we consider n(n1) dierent

outputs Tn1
p (Xi ) (1 p n 1 1 i n) .
For the upper bound we analyze Batchers merging network for
merging sorted lists of dierent size k = 2i and l = 2j , w.l.o.g. k l .
We only modify Step 1 of Algorithm 2.1.b. If l = 1 , k comparisons
suce. Hence M(k l ) , the number of comparisons, fulls the following
recursion equation.
M(k l ) = 2 M(k 2 l 2) + (k + l ) 2 1 and M(k 1) = k
(13.10)
Since the depth of recursion is only log l ,
M(k l ) = (k + l )(log l ) 2 + k l + 1

(13.11)

W.l.o.g. n = 2m . We apply a Batcher sorting network and sort X

and all n 2r blocks of 2r successive variables. For this step O(n log2 n)
gates suce. As in the proof of Theorem 13.3 Xi is the disjoint union
of Zi m1
Zi 0 where Zir is some 2r -block. Again Yir is the union
of Zi m1
Zir , hence Yi0 = Xi . We sort Yir by merging Yi r+1 and
Zir . The size of Yi r+1 is bounded by n , hence M(n 2r) nr + n
comparisons suce. For xed r (0 r m 2) we need 2mr of these
merging networks, hence
2mr(nr + n) = n2 (r + 1) 2r

(13.12)

comparisons. Summing up for all r we can esimate the number of

gates by 6 n2 .

203

This result implies that for all functions f Bn which cannot

be computed very eciently, it is almost sucient to investigate
the monotone complexity of the monotone representation (f 0
f n)
of f . More precisely, C(f) = (Cm(f 0
f n ) n) and C(f) =
(C(f 0
f n )) .

6.14 Hard slices of NP-complete functions

According to Theorem 13.2 there is for each f Bn some k such

that C(f k ) = (C(f) n) . Dicult functions have dicult slices, but
they also may have easy slices, e.g. for k = 0 or k = n . We like to know
which slice is hard, and we ask for relations between the complexity
of f k and f k+1 .
As examples for probably hard functions we consider NP-complete
functions, in particular the clique function cl n m for m = n 2 (see
Def. 11.1). cl n m has mn prime implicants, one for each vertex set A
of size m . All prime implicants tA are of length m2 , tA is testing
whether all edges on A exist. The m2 -slice of cl n m has the same
prime implicants and additional prime implicants of length m2 + 1 .
This slice looks similar to cl n m , but this slice is easy to compute
(Wegener (85 a)).

DEFINITION 14.1 : If f Mn has only prime implicants of length k ,

f k is called the canonical slice of f .

THEOREM 14.1 : The circuit complexity of the canonical slice

of cl n m MN where N = n2 is O(N) , its monotone complexity
O(N log N) , for constant m only O(N) .

204

Proof : The canonical slice is the M-slice for M =

m
2

N
N
N
N
cl M
n m = (cl n m EM ) TM+1 = (cl n m TM ) TM+1

(14.1)

In (14.1) we can replace cl n m by any function g which equals cl n m on

N
graphs with exactly M edges. TN
M and TM+1 have circuit complexity
O(N) .
A graph with exactly M edges includes an m-clique i the M edges
set up an m-clique. This happens i at least m vertices have degree at
least m 1 . This condition can be expressed by threshold functions.
Let Xi = {x1i
xi1 i , xi i+1
xin}. Xi includes the variables describing the edges adjacent to vertex i . In (14.1) we can replace cl n m
by Tnm (Tn1
Tn1
m1 (X1 )
m1 (Xn )) . All these n + 1 threshold functions
have circuit complexity O(n) , altogether O(n2) = O(N) . The results
for monotone circuits follow in the same way.

DEFINITION 14.2 : f = f

n 2

is the central slice of f Bn .

THEOREM 14.2 : For n even and l

Cm(cl ln n 2) Cm (cl 5n 5n 2)
If l

n 2
2

, cl ln n

= TN
l +1 for N =

n 2
2

(14.2)
n
2

This theorem due to Dunne (84) implies that the central slice of
cl n n 2 has polynomial (monotone) circuits i cl n n 2 has polynomial
circuits. Furthermore cl n n 2 is an NP-complete predicate, since the
reduction in the following proof can be computed in polynomial time.

Proof of Theorem 14.2 : It is sucient to prove that cl ln n 2 is a subfunction of cl 5n 5n 2 . We denote the vertices by v1
vn w 1
w4n
and replace all variables corresponding to edges which are adjacent

205

to some w-node by an appropriate constant. The vertices w1

w2n
form a 2n-clique, and these vertices are connected to all v-vertices.
The variables for the edges (wi w2n+i) (1 i 2n) are replaced by 0 .
2
Altogether 4n
2 + 4n variables should be replaced by constants.
2
Until now we have decided that 2n
2 + 2n edges exist and that 2n
edges do not exist. We still have to decide about

4n
2n
+ 4n2
2n2 2n = 8n2 3n
2
2

(14.3)

2
2
edges. Let r = 5n
2 l 2n
2
2 +2n . Then 0 r 8n 3n . We
decide that exactly r of the 8n2 3n variable edges exist. Altogether
the graph contains now 5n
2 l edges.
2

It remains to be proved that the graph on V includes an n 2-clique

or more than l edges i the graph on V W includes an 5n 2-clique
or more than 5n
2 edges. Each n 2-clique on V can be extended
2
to a 5n 2-clique on V W by adding w1
w2n . If the graph on
W included a (2n + 1)-clique, this clique would include for some i the
vertices wi and w2n+i . This is impossible, since wi and w2n+i are not
connected. Hence a 5n 2-clique on V W implies an n 2-clique on
V . The assertion on the number of edges is obvious, since the graph
includes 5n
2 l edges adjacent to some w-vertex.

2
Results similar to those in Theorem 14.1 and 14.2 can also be
proved for other NP-complete predicates (see Exercises). In order to
obtain more results on the complexity of the slices of some function,
we compare the complexity of the k-slice with the complexity of the
(k + 1)-slice of some function f. Dunne (84) proved that f k+1 is not
much harder than f k , whereas Wegener (86 b) proved that f k+1 may
be much easier than f k .

THEOREM 14.3 : Let f Mn have prime implicants of length k

only. Then Cm (f k+l ) = O(n Cm(f k+l 1)) for l 1 .

206

Proof : The key to the proof is the realization of f k+l by

f k+l (x) =

f k+l 1(hi(x)) Tnk+l (x) Tnk+l +1(x)

(14.4)

1in

for hi (x) = y where yi = 0 and yj = xi xj for i = j . (14.4) implies

the theorem, since Cm (f k+l 1) = (n) , Cm (Tnk+l Tnk+l +1) = O(n2) and
Cm(h1
hn ) = O(n2) .
(14.4) is obvious for inputs with less or more than k + l ones. Let
a be an input with exactly k + l ones. W.l.o.g. ai = 1 i i k + l . If
i k + l , hi (a) = (0
0) and f k+l 1(hi (a)) = 0 . If i k + l , hi (a)
diers from a only at position i , in particular hi (a) includes k + l 1
ones.
If f k+l 1(hi (a)) = 1 , p(hi (a)) = 1 for some p PI(f) . Since
hi (a) a , p(a) = 1 and f k+l (a) = 1 .
If f k+l (a) = 1 , p(a) = 1 for some p PI(f) . By our assumption
p has length k . By denition of a the variables of p have indices
j k + l . Since l 1 , p(hi (a)) = 1 for some i such that xi is not in
p . Hence f k+l 1(hi (a)) = 1 .

n1
THEOREM 14.4 :
Let c(k n) = n1
. There are
k1 log k1
functions f Mn with prime implicants of length k only, such that
Cm(f k ) = (c(k n)) and Cm(f l ) = O(n log n) for l k .

Proof : Let Fk n be the set of all functions f such that all prime
implicants have length k and each monom of length k not including
x1 is a prime implicant of f . Then f Fk n is dened by a subset
of all monoms of length k including x1 . Hence log |Fk n | = n1
.
k1
By Shannons counting argument Cm (f k ) = (c(k n)) for almost all
f Fk n .

207

It suces to prove that f l = Tnl for f Fk n and l

k . By
l
n
n
l
n
n
denition f = (f Tl ) Tl +1 . Obviously f Tl . Let Tl (a) = 1 .
Then a includes l ones. Since l k , input b , dened by b1 = 0 and
bi = ai for i = 1 , includes at least k ones, and, by denition of Fk n ,
f(b) = 1 .

6.15 Set circuits - a new model for proving lower bounds

We are not able to prove non linear lower bounds on the circuit
complexity of explicitly dened Boolean functions. For monotone circuits we know several methods for the proof of lower bounds, and for
slice functions f lower bounds on Cm (f) imply lower bounds on C(f) .
Hence we should apply our lower bound methods to slice functions.
The reader should convince himself that our bounds (at least in their
pure form) do not work for slice functions. In this section we discuss some particularities of monotone circuits for slice functions f and
present some problems whose solution implies lower bounds on Cm (f)
and therefore also on C(f) (Wegener (85 a) and (86 b)).
Let PIk (g) be the set of prime implicants of g whose length is k .
Let Mkn be the set of f Mn where PIl (f) = for l k . Mkn includes
all k-slices.
LEMMA 15.1 : Let S be a monotone circuit for f Mkn . If we replace
the inputs xi by yi = xi Tnk , then the new circuit S also computes f .
The proof of this and the following lemmas is left to the reader.
For the computation of the pseudo inputs n + Cm (Tnk) gates suce.
All functions computed in S are in Mkn . In the following sense slice
functions are the easiest functions in Mkn .

208

LEMMA 15.2 : Let f f Mkn and PIk (f) = PIk (f ) . If f is a k-slice ,

f = f Tnk+1 and Cm (f) Cm (f ) + Cm(Tnk+1) + 1 .
Hence we consider prime implicants of length k only. If we do not
compute any shorter prime implicants, prime implicants of length k
will not be eliminated by the law of simplication.
LEMMA 15.3 : Let f g Mkn . Then
PIk (f g) = PIk (f) PIk (g) and

(15.1)

PIk (f g) = PIk (f) PIk (g)

(15.2)

These lemmas motivate the so-called set circuits.

DEFINITION 15.1 : The inputs of a set circuit are for some k
the sets Yi = PI(xi Tkn ) and the operations are binary unions and
intersections. The set complexity of f Mkn , denoted by SC(f) , is the
least number of gates in a set circuit for PIk (f) .
THEOREM 15.1 : Let f be a k-slice. Then
i)

Cm (f) SC(f) + Cm (Tnk Tnk+1) + n + 1 .

ii) SC(f) Cm (f) O(C(f)) + O(n min{k n k log2 n}) .

Proof : We only combine the assertions of Lemma 15.1, 15.2, 15.3,
Theorem 13.1, Corollary 13.1, and Theorem 13.3.

Set circuits form the principal item of monotone circuits and circuits for slice functions. So we obtain a set theoretical or combinatorial
representation of circuits.
For the classes of functions Fkn and Gkn (see Def. 13.4 and 13.5) we
can use the pseudo inputs yji and in set circuits the sets Yji = PI(yji ) ,
the prime implicants in Yji all have exactly one variable of each class

209

Xi . This holds for all gates of a set circuit with inputs Yji . This leads
to both a geometrical and combinatorial representation of set circuits.
The set of monoms with exactly one variable of each class Xi
(1 i k) can be represented as the set theoretical product
Q = {1
n(i)} where (r(1)
r(k)) Q corresponds to the
1in
monom x1r(1)

xkr(k) . Q is a k-dimensional, discrete cuboid. Input Yji

corresponds to the (k1)-dimensional subcuboid of all (r(1)
r(k))
k
k
where r(i) = j . The set of prime implicants of f Fn or g Gn corresponding to vertices in Q forms a subset Q(f) or Q(g) of Q , called
pattern of f or g . Set circuits for f or g correspond to computations of
Q(f) or Q(g) by unions and intersections out of the (k1)-dimensional
subcuboids of Q .
For n = 2 k and n(1) = = n(k) = 2 we work on the k-dimensional cube {0 1}k (or {1 2}k) . There is a one-to-one relation between
subsets Q of {0 1}k and functions in Fkn or Gkn . If we could prove for
some explicitly dened set Q {0 1}k that (n) binary unions and
intersections are necessary for the computation of Q out of all (k 1)dimensional subcubes of {0 1}k , then we would have proved a lower
bound of the same size on the circuit complexity of the corresponding
g Gkn .
In order to illustrate our geometrical approach as well as for later
purposes, we prove that the canonical slice of the Boolean convolution
has linear complexity.

THEOREM 15.2 : The monotone complexity of the canonical slice

of the Boolean convolution is linear.
Proof : The canonical slice is the 2-slice, the Boolean convolution is a function in F22n 2n1 . Hence the cuboid considered is
the square {1
n}2 . The i -th row corresponds to the set of
monoms Ai = {xi y1
xi yn } and the j -th column corresponds to
Bj = {x1 yj
xn yj } . These sets are inputs of the set circuit. We

210

have to compute the Boolean convolution , i.e. the diagonal sets

Tk = {xi yj |i + j = k} . It is sucient to design a set circuit of linear
size for T2
T2n .
W.l.o.g. n = m2 . We partition the square to m2 subsquares of side
length m each (see Fig. 15.1).
1. Dl = A(l 1)m+1 A(l 1)m+m (1 l m) (m2 m gates).
2. El = B(l 1)m+1 B(l 1)m+m (1 l m) (m2 m gates).
3. Fij = Di Ej (1 i j m) (m2 gates).
Fij are the subsquares of side length m .
Fij (2 l 2m) (m2 2m + 1 gates).

4. Gij =
i+j=l

Gl is the l -th diagonal consisting of subsquares.

5. Hl = Al Am+l A(m1)m+l (1 l m) (m2 m gates).
6. Il = Bl Bm+l B(m1)m+l (1 l m) (m2 m gates).
7. Jij = Hi Ij (1 i j m) (m2 gates).
Jij includes of each subsquare the element at position (i j) .
Jij (2 l 2m) (m2 2m + 1 gates).

8. Kl =
i+j=l

Kl consists of all l -th diagonals of subsquares.

Tk cuts at most two adjacent diagonals of subsquares, say Gh(k) and
perhaps Gh(k)+1 (see Fig. 15.1). The intersection of Tk and Gh(k) consists of all d (k)-th diagonals of the subsquares in Gh(k) . Let d (k) be
the corresponding parameter for the intersection of Gh(k)+1 and Tk .
Hence
9. Tk = (Gh(k) Kd (k) ) (Gh(k)+1 Kd (k) ) if k 1 is not a multiple
of m and m + 2 k m2 m , and
Tk = Gh(k) Kd (k) otherwise.
Here 2 k 2n and 6n 8m + 3 gates suce.
Altogether the set circuit consists of 14n 16m + 5 gates.

211

n = 16 , m = 4 , k = 12 , h(k) = 3 ,
d1(k) = 8 , d2(k) = 4 ,
T12 = (G3 K8) (G4 K4)
Fig. 15.1

At the end of this section we discuss relations between functions

of n outputs and their corresponding one output function. These
considerations result in another combinatorial problem whose solution
would probably imply lower bounds for slice functions.
Let x = (x1
xn ) and y = (y1
dene g g1
gn Mn by

yn) . For f1

gi (x y) = yi fi (x) and g(x y) =

gi (x y)

fn Mn we
(15.3)

1in

LEMMA 15.4 : i) Cm (g1

ii) Cm (g) Cm (g1

gn) = Cm (f1

fn ) + n .

gn ) + n 1 .

Proof : The upper bounds follow from the denition and the lower
bound can be proved by the elimination method.

For many functions, in particular those functions we have investigated in 4 9 , we suppose that equality holds in Lemma 15.4 ii.
Let us consider k-slices F1
Fn Mn . Then Fi = Fi Tnk+1 where
PI(Fi ) = PIk (Fi ) . Since yi Fi is in general no slice, we dene the
(k + 1)-slices G G1
Gn by

212

Gi (x y) = Gi (x y) T2n
k+2 (x y) where
Gi (x y) = yi Fi (x)

(15.4)

and G(x y) =

Gi (x y)

(15.5)

1in

Since yi Tnk+1(x) T2n

k+2(x y) , we can replace in (15.4) Fi by Fi . By
denition we obtain the following upper bounds.
Gn) Cm (F1

LEMMA 15.5 : i) Cm (G1

ii) Cm (G) Cm (G1

Fn )+Cm(T2n
k+2)+2n .

Gn ) + n 1 .

Even a partial converse of Lemma 15.5 ii can be proved.

LEMMA 15.6 :
{B2 m} .

C(G1

Gn ) C(G) + C (T2n
k+2) + 2n for

Proof : The assertion follows from the following representation of Gi .

G(x y) yi T2n
k+2 (x y)

(15.6)

2n
yj Fj (x) T2n
k+2 (x y) yi Tk+2(x y)

=
1jn

= (Fi (x) yi )

2n
Fj (x) yj yi (T2n
k+2(x y) yi ) Tk+2 (x y)
j=i

= (Fi (x) yi ) T2n

k+2 (x y) = Gi (x y)

What about a partial converse of Lemma 15.5 i ? In opposition

to Lemma 15.4 i we cannot apply the elimination method. If we set
y1 = = yn = 1 and if k n 2 , T2n
k+2(x y) = 1 and Gi (x y) =
1 . We even suppose that Cm (F1
Fn ) can be much larger than
Cm(G1
Gn ) . To underpin this supposition, let F1
Fn Fkn ,
i.e. our geometrical view works for F1
Fn . Then G1
Gn
Fk+1
, the (k + 1)-st dimension concerns the y-variables. The patterns
n
F1
Fn are dened on the same k-dimensional cuboid Q . Gi has
to be constructed on a (k + 1)-dimensional cuboid Q . More precisely,

213

the pattern of Gi equals the pattern of Fi and has to be constructed

on that k-dimensional subcuboid Qi of Q where the last dimension is
xed to i. G1
Gn can be constructed in parallel on the disjoint
subcuboids Qi of Q , but F1
Fn have to be constructed on the
same cuboid Q . Obviously Q and Qi are isomorphic. We illustrate
these considerations in an example.
fn be the Nechiporuk Boolean sums (see 6). Then
Let f1
Cm (f1
fn ) = (n3 2) . Let F1
Fn be the canonical slices, i.e.
fn , and let G G1
Gn be dened by (15.4)
the 1-slices, of f1
and (15.5). We consider the pattern of G , which is a subset of the
square {1
n}2 . The pattern of G consists of the subpatterns Mb d
of (6.10) , so G is composed of small diagonals.
Similarly to Theorem 15.2 we can prove
LEMMA 15.7 : Cm (G) = O(n) .
Gn) = O(n) . Lemma 15.6 can now
By Lemma 15.6 also Cm (G1
n}2 , Gi the subpatbe made clear. G is a pattern in the square {1
tern in the i -th row. Let us consider again the algorithm for the proof
of Theorem 15.2. We compute in parallel dierent useful patterns
in dierent rows. This approach cannot be used for the computation
of F1
Fn . In that case we work on the cuboid {1
n}1 , i.e.
the set {1
n} , and we cannot work in parallel. We suppose
that SC(f1
fn ) , Cm (F1
Fn ) and therefore also C(F1
Fn )
are nonlinear. We reformulate in a pure set theoretical setting the
problem of computing SC(f1
fn) . Nonlinear lower bounds for this
problem imply lower bounds of the same size on the circuit complexity
of the explicitly dened Boolean sums f1
fn .
Inputs : {1}

{n} .

Operations : , (binary).
Outputs : H1
Problem : SC(H1

Hn where Hi = {j | xj PI(fi )} .
Hn ) = ? ( =

(|Hi | 1) ?) .
1in

214

EXERCISES :
1. Let f Mn be in MDNF. If we replace by and by + ,
we obtain the polynomial p(f) . Then Cm(f) C{+ }(p(f)) , but
equality does not hold in general.
2. If a sorting network sorts all 0-1-sequences, it also sorts all sequences of real numbers.
3. Cm (Tn2) = log n .
4. Cm (f) = 2 n for f(x1

x3n) =

T32(x3i2 x3i1 x3i) .

1in

5. Cm (Sn ) = Cm (Sn ) = (n log n) .

6. Each monotone circuit for Sn includes a permutation network, i.e.
for n there are disjoint paths from xi to the output Tn(i) .
7. The minimal external path length of binary trees with n leaves is
n log n 2 log n + n .
8. Let f be a semi-disjoint bilinear form.
Then Cm (f) min{|X| |Y|}1(t(1) + + t(m)) where t(j) is
dened in (4.2).
9. Formulate the replacement rules dual to Theorem 5.1 and 5.2 and
discuss applications.
10. The replacement rules of Theorem 5.1 and 5.2 are powerless for
slice functions.
11. Let g be computed in a monotone circuit for the Boolean convolution. Let t t PI1 (g). Can g be replaced by the constant 1 ?

215

12. Let g be computed in a monotone circuit for f .

a) g can be replaced by 0 t PI(g) t monom : t t PI(f) .
b) g can be replaced by 1 (g h f h f) .

13. Let f be the Boolean sum of Theorem 6.1. Then Cm (f) = 17 and
C{}(f) = 18 .

14. Which is the largest lower bound that can be proved using (6.9)
and Theorem 6.2 ?

15. Apply the methods of the proof of Theorem 7.1 to (1 1)-disjoint

Boolean sums.

16. For a semi-disjoint bilinear form f let G(f) be the bipartite graph
including the edge (r s) i xr ys PI(fk) for some k . Let V(r s)
be the connected component including the edge (r s) . f is called
a disjoint bilinear form i V(r s) and PI(fk) have at most one edge
(or prime implicant) in common.
a) The Boolean matrix product is a disjoint bilinear form.
b) The Boolean convolution is not a disjoint bilinear form.

17. If f Mn n is a disjoint bilinear form, | PI(f)| = O(n3 2) .

18. If f Mn m is a disjoint bilinear form, Cm (f) =

| PI(fk )| .
1km

19. The monograph Savage (76) contains a proof that

Cm (f) =
(| PI(fk )| 1) for disjoint bilinear forms.
1km

a) The proof is incorrect. Find the error.

216

b) Barth (80) presented the following counterexample.

g is dened on xi yi (0 i
2n2). The output gk (k =
(k0
k3) {0
n 1}4) has the prime implicants xa(k)yb(k)
and xc(k) yd(k) where a(k) = k3 n + k0 , b(k) = k2 n + k1 , c(k) =
n2 + k1n + k0 , d(k) = n2 + k3n + k2 . Hint: Consider the MCNF
of g .
20. Optimal monotone circuits for the Boolean matrix product are
unique up to associativity and commutativity.
21. Maximize N Mm for m M N n and Mm n .
22. Apply the elimination method to the generalized matrix product
m
fMN
.
23. Let P(n) be the circuit complexity of the Boolean matrix product.
m
) depending on n and P(n) .
Prove upper bounds on C(fMN
m
24. Investigate the MCNF of fMN
. How many -gates are sucient
m
for the computation of fMN
?

25. Design
v(h1
large).

m
with N Mm -gates where
for fMN
i+1
for all prime implicants (i xed, m
l) =
2i

-circuits
hm

1
.
2
b) For almost half of the gates v(G) = 0 , for the other gates
v(G) = 1 .
a) For almost all gates v(G) =

26. B PI(f) is called isolated if r = s or r = t for r PI(f) . Compute

the size of the largest isolated set for
a) the Boolean convolution b) the clique function.
27. Schnorr (76 c) conjectured by analogy with his results on arithmetic circuits that Cm (f) |B| for isolated sets B . Wegener (79 b)

217

presented the following counterexample. Let yhh h be the outputs

3
of fM2
and let g be dened on M3 + 6M2 variables by
g(xijl zhh h ) =
yhh h zhh h
1h h h M
isolated but Cm (g)

PI(g) is
3
for fM2
).

M3 + 6M2 + 3M 1 (use the MCNF

28. Cm (f) = (2nn3 2) for almost all slices f Mn .

29. If C(f) = (2nn1 ) , f has (n1 2) slices of complexity (2nn2) .
30. Prove Proposition 13.1.
31. The canonical slice of the Boolean matrix product has complexity
O(n2 ) .
32. Design ecient circuits for the canonical slices of the following
functions :
a) Perfect matching PMn (see Def. 12.2).
b) UHCn (and DHCn ) . UHCn (x) = 1 i the undirected graph
G(x) on n vertices specied by the variables x includes a Hamiltonian circuit, i.e. a circuit of length n . DHC is the same function
for directed graphs.
33. Cm (DHCln ) Cm (DHC7n ) if n l n(n 1) .
34. Prove Lemma 15.1, 15.2, 15.3, and 15.7.

218

7. RELATIONS BETWEEN CIRCUIT SIZE, FORMULA SIZE

AND DEPTH

We investigate the relations between the complexity measures circuit size C , formula size L and depth D . A more intensive study of
formulas (in Ch. 8) is motivated by the result that D(f) = (log L(f)) .
For practical purposes circuits of small size and depth are preferred. It
is an open problem, whether functions of small circuit size and small
depth always have circuits of small size and depth. Trade-os can be
proved only for formula size and depth.

7.1 Formula size vs. depth

The relations between formula size and depth have been investigated also for arithmetic computations (Brent, Kuck and
Murayama (73), Muller and Preparata (76), and Preparata and
Muller (76)). The results are similar to those for Boolean formulas,
D(f) = (log L(f)) , hence formula size is also a complexity measure
for parallel time.
DEFINITION 1.1 : The selection function sel B3 is dened by
sel(x y z) = xy xz

(1.1)

For a basis
k() =

D (sel) + 1
log 3 1

(1.2)

The variable x decides which of the variables y or z we select. If sel is computable over , k() is small. In particular,
k(B2) = 3 (log 3 1) 5 13 . Obviously sel is not monotone. Let
sel (x y z) = y xz . Then sel = sel for all inputs where y z .

219

Since Dm (sel ) = 2 , we dene k(m) = 3 (log 3 1) . The following

theorem has been proved for complete bases by Spira (71 a) and for
the monotone basis by Wegener (83). Krapchenko (81) improved the
constant factor of the upper bound for several bases.
THEOREM 1.1 : Let f Bn and B2 complete, or f Mn and
= m . Then
log(L (f) + 1) D (f) k() log(L (f) + 1)

(1.3)

Proof : The rst inequality is rather easy. Let S be a depth optimal

circuit and let d = D (f) . We nd a formula F for f of depth d (see
Ch. 1). F is a binary tree of depth d , hence the number of gates
(inner nodes) of F is bounded by 2d 1 . Hence L (f) 2d 1 .
The second inequality is proved by induction on l = L (f) . The
assertion is obvious for l 2 , since k()
2 . Let l 3 and let F
be an optimal formula for f . If the depth of F is too large, we shall
rebuild F such that the depth decreases. During this procedure the
size can increase exponentially. F is a binary tree. Let F1 and F2 be
the right and left subtree of F computing f1 and f2 resp. The size of
F1 or F2 is denoted by l 1 or l 2 resp. W.l.o.g. l 1 l 2 . Then
l 1 + l 2 = l 1 0 l 1 (l 1) 2 1 (l 1) 2 l 2 l 1 (1.4)
We apply the induction hypothesis to F1 , since this subtree is small
enough. For F2 we have to work harder. Let F0 be the smallest subtree
of F2 with at least l 2 3 gates. Both the right and the left subtree of
F0 have at most l 2 3 1 gates. Hence we can estimate l 0 , the size
of F0 , by
1 l 2 3 l 0 2( l 2 3 1) + 1 (2l 2 + 1) 3

(1.5)

F0 is a subtree of F2 of medium size. Let f0 be the function computed

by F0 , and let f2 i for i {0 1} be the function computed by F2 if we
replace the subformula F0 by the constant i . By denition
f2 = sel(f0 f2 0 f2 1)

(1.6)

220

If F2 is a monotone formula, f2 0 f2 1 and

f2 = sel (f0 f2 0 f2 1)

(1.7)

We compute f0 f2 0 and f2 1 in parallel and f2 by (1.6) or (1.7). In the

following we identify sel and sel . Then
D (f2) D (sel) + max{D (f0) D(f2 0) D(f2 1)} and

(1.8)

D (f) 1 + max{D (f1) D (f2)}

(1.9)

We apply the induction hypothesis to f0 f1 f2 0 and f2 1 . Because of

(1.4), (1.5) and the denition of f2 0 and f2 1
L (f0) (2l 2 + 1) 3 (2l 1) 3 and

(1.10)

L (f2 i) l 2 l 0 2l 2 3 (2l 1) 3

(1.11)

Hence
D (f2) D (sel) + k() log((2l 1) 3 + 1)

(1.12)

Since L (f1) = l 1 (l 1) 2 , we obtain by induction hypothesis for

D (f1) a smaller upper bound than for D (f2) in (1.12). Hence by
denition of k()
D (f) 1 + D (sel) + k() log(2 3) + k() log(l + 1)

(1.13)

= k() log(l + 1)

The lower bound is optimal, since D(f) = log n and L(f) = n 1

for f(x) = x1 xn . We know that D (f) c D (f) for complete
bases and and some constant c = c( ) . In connection with
Theorem 1.1 we obtain
COROLLARY 1.1 : Let B2 be complete bases. Then
L (f) (L (f) + 1)c k( ) 1 for some constant c .

(1.14)

For complete bases and the complexity measures L and

L are polynomially connected. Pratt (75 b) investigated more pre-

221

cisely the eect of a change of basis for complete bases B2 .

The exponent c k( ) in (1.14) can be replaced by log3 10 2 096 .
This result is almost optimal, since L(x1 xn ) = n 1 and
L{ } (x1 xn ) = (n2) (see Ch. 8).

7.2 Circuit size vs. formula size and depth

We know hardly anything about the dependence of circuit size on

depth. The best result is due to Paterson and Valiant (76).
THEOREM 2.1 : log(C(f) + 1) D(f) = O(C(f) log1 C(f)) .
The rst inequality is obvious, since C(f) L(f) , and optimal,
since C(x1 xn ) = n 1 . The upper bound is not much better
than the trivial bound D(f) C(f) . The largest known lower bound
on the formula size (over a complete basis) of an explicitly dened
function is of size n2 (see Ch. 8). According to Theorem 1.1 we do not
know any (log n) bound on the depth of explicitly dened functions.
In particular, we cannot prove D(f) = (log C(f)) for some function f .
Proof of Theorem 2.1 : The idea of the proof can be described
rather easily. Its realization is technically involved. We partition a size
optimal circuit for f into two parts of nearly the same size such that
no path leads from the second part to the rst one. If this partition
cuts many edges, the circuit has large width, and it is sucient to
reduce the depth of both parts. If this partition cuts only a small
number of m edges, the output f depends on the rst part only via the
functions g1
gm computed on these edges. Let fc(x) be the output
if (g1(x)
gm (x)) = c {0 1}m .
f(x) =
c{0 1}m

g1(x)c(1) gm (x)c(m) fc(x)

(2.1)

222

is the disjunctive normal form of f with respect to the inputs

g1
gm . We compute g1
gm and all fc in parallel with small
depth and compute f by (2.1). Since in this case m is small, we hope
to obtain a circuit of small depth.
We measure the size of a circuit S by the number E(S) of its edges
starting in gates. Obviously E(S) 2 C(S) and E(f) 2 C(f) for the
proper complexity measure E . Let
D(z) = max{D(f) | E(f) z}

(2.2)

be the maximum depth of a function f whose size is bounded by z .

We look for an upper bound on D . Let
A(d) = max{z | D(z) d}

(2.3)

Hence, by denition,
D(A(d)) d

(2.4)

and A is almost the inverse of D . D is an increasing function, which

can only increase slowly. Let D(f) = D(z) and let S be a circuit for f
where E(S) z . If we replace the rst gate of S by a new variable,
we obtain a circuit S for f where E(S ) z 1 . Hence
D(z 1) D(z) = D(f) D(f ) + 1 D(z 1) + 1

(2.5)

After these denitions we explain in detail our ideas discussed

above. We choose some function f where E(f) = A(r) + 1 and
r . Let S be a circuit for f where z := E(S) = E(f) and let
D(f)
G1
Gc be the gates of S . As indicated, we partition S into two
Gi } and Y = {Gi+1
Gc} . What is a good
parts X = {G1
choice for i ? Let M X be the set of gates having a direct successor
in Y . Let m = |M| and let x and y be the number of edges between
gates in X and Y resp. Then
x+y+mz

(2.6)

since at least m edges connect a gate in X with a gate in Y . We

investigate 2x + m z in dependence of i . If i = c , then x = z , m = 0 ,
and 2x + m z = z . If i = 0 , then x = m = 0 and 2x + m z = z . If
we decrease i by 1 , one gate G switches from X to Y , x decreases at
most by 2 (the edges for the inputs of G) , m decreases at most by 1
(the gate G) . Hence 2x + m z decreases at most by 5 , and we can

223

choose some i such that

|2x + m z| 2

(2.7)

We claim that
2w + m z + 2 for w = max{x y}

(2.8)

(2.8) follows from (2.7) if w = x . By (2.6) and (2.7)

x + y + m z 2x + m + 2

hence y x + 2

(2.9)

If w = y , 2w + m y + (x + 2) + m z + 2 , and (2.8) holds.

On the one hand we can compute the functions computed at gates
G M in depth D(x) and then f in depth D(y) . Hence
D(f) D(x) + D(y) 2D(w) and
D(w) D(f) 2

(2.10)

r 2

On the other hand we can apply the representation of f in (2.1). All

gi can be computed in parallel in depth D(x) , their conjunction can
be computed in depth log m . Parallel to this we can compute all
fc in parallel in depth D(y) . Afterwards f can be computed in depth
1 + m . Hence by (2.8)
D(f) max{D(x) + log m

D(y)} + 1 + m

(2.11)

D(w) + log m + 1 + m D(w) 2w + z + 3 + log m

The rest of the proof is a tedious computation. By (2.10) and the
denition of A
A( r 2 )

(2.12)

The function w D(w) 2w is strictly decreasing, since by (2.5)

D(w) 2w D(w 1) + 1 2w

D(w 1) 2(w 1)

(2.13)

We use (2.11) and estimate w by (2.12) and m by z (see (2.9)). Hence

by the denition of f , (2.11), (2.4) and (2.5)
r

D(f) D(A( r 2 ) + 1) 2 (A( r 2 ) + 1) + z + 3 + log z

(2.14)
r 2 + 1 2 A( r 2 ) + z + 1 + log z

By denition z = A(r) + 1 . Hence by (2.14)

224

2A( r 2 ) + r 2 2

z + log z = A(r) + 1 + log(A(r) + 1)

(2.15)

For a constant k 1 we dene

H(r) = (r 2) log r + 2 log r kr

(2.16)

By elementary transformations it can be shown that for suciently

large R , all k 1 and r R
2 H( r 2 ) + r 2 2

H(r) + 1 + log(H(r) + 1)

(2.17)

We claim that A(r) H(r) for some appropriate k and all r . Parameter k is chosen such that A(r) H(r) for r R . If r R by (2.15) ,
the induction hypothesis and (2.17)
A(r) + 1 + log(A(r) + 1)
2 H( r 2 ) + r 2 2

2 A( r 2 ) + r 2 2

(2.18)

H(r) + 1 + log(H(r) + 1)

hence A(r) H(r) .

We summarize our results.
2 C(f) E(f)

A(r) H(r) (r 2) log r kr and

D(f) = D(z) D(z 1) + 1 = D(A(r)) + 1 r + 1

(2.19)
(2.20)

For suciently large r the function (r 2) log r kr is increasing. Hence

0
for some appropriate constant k
C(f) (1 4)(D(f) 1) log(D(f) 1) (k 2) (D(f) 1)

(2.21)

k D(f) log D(f)

This implies D(f) = O(C(f) log1 C(f)) .

We add some remarks on the relations between circuit size and

formula size. Obviously C(f) L(f) , and this bound is optimal for
x1 xn . By Theorem 1.1 and 2.1 we conclude that
log L(f) = O(C(f) log1 C(f))

(2.22)

The largest dierences known between L(f) and C(f) are proved in
Ch. 8. For a storage access function f for indirect addresses C(f) =
(n) but L(f) = (n2 log1 n) and for the parity function g and =
{ } C (g) = (n) but L (f) = (n2 ) .

225

7.3 Joint minimization of depth and circuit size, trade-os

A circuit is ecient if size and depth are small. For the existence of
ecient circuits for f it is not sucient that C(f) and D(f) are small.
It might be possible that all circuits of small depth have large size
and vice versa. In Ch. 3 we have designed circuits of small depth and
size, the only exception is division. We do not know whether there
is a division circuit of size O(n log2 n log log n) and depth O(log n) .
For the joint minimization of depth and circuit size we dene a new
complexity measure PCD (P = product).
DEFINITION 3.1 : For f Bn and a basis
PCD (f) = min{C(S) D(S) | S is an -circuit for f} and

(3.1)

PLD (f) = min{L(S) D(S) | S is an -formula for f}

(3.2)

Obviously C (f) D(f) PCD (f) . For many functions we have

proved that C(f) D(f) = (PCD(f)) , e.g. for addition both are
of size n log n . Are there functions where PCD(f) is asymptotically larger than C(f) D(f)? What is the smallest upper bound on
PCD(f) C(f) D(f)? All these problems are unsolved. We know that
C(f) D(f) = (n log n) for all f Bn depending essentially on n variables. But we cannot prove for any explicitly dened function f Bn
that all circuits of logarithmic depth have nonlinear size. In 4 we
present a function f where L(f) D(f) = o(PLD(f)) . This result is called
a trade-o result. In general, trade-os are results of the following
type. We have two types of resources c1 and c2 for some problem P
which we like to minimize simultaneously. But for each solution S
where c1 (S) is small c2(S) is not small and vice versa. Results of this
type have been proved for several problems. We refer to Carlson and
Savage (83) for the problem of optimal representations of trees and
graphs and to Paterson and Hewitt (80) for the investigation of pebble games which are models for time - place trade-os for sequential

226

computations. For VLSI chips (see also Ch. 12, 2) one tries to minimize the area A of the chip and simultaneously the cycle length T .
It has turned out that AT2 is a suitable joint complexity measure.
By information ow arguments one can prove for many problems,
among them the multiplication of binary numbers, that AT2 = (n2) .
Since for multiplication A = (n) and T = (log n) chips where
AT2 = O(n2 ) may exist only for (log n) = T = O(n1 2) . Mehlhorn
and Preparata (83) designed for this range of T VLSI chips optimal
with respect to AT2 . The user himself can decide whether A or T
is more important to him. We are far away from similar results for
circuit size and depth.

7.4 A trade-o result

Since no trade-o between circuit size and depth is known, we

present a trade-o between formula size and depth. Although D (f) =
(log L (f)) for all f Bn , this result does not imply that PLD (f) =
(L(f)D (f)) . On the contrary we present an example f where
L (f)D(f) = o(PLD (f)) for = m and = { } . Furthermore we get to know methods for such trade-os.
DEFINITION 4.1 : The carry function fn B2n is dened by
fn (x1

xn y1

yn ) =

xi yi yn

(4.1)

1in

This function is important for the addition of binary numbers a

and b . Let xi = ai bi and yi = ai bi . Then fn (x y) is the foremost carry (see Ch. 3, (1.8)). Hence by the results of Ch. 3, 1
C(fn ) = (n) , D (fn) = (log n) and PCD (fn) = (n log n) for
{B2 { } m} , and there is no trade-o. But here we investigate formula size and depth.

227

THEOREM 4.1 : i) There is a monotone formula for fn of size O(n)

and depth O(n) .
ii) There is a monotone formula for fn of size O(n log n) and depth
O(log n) .
iii) PLD (fn) = O(n log2 n) for {m { } B2} .
iv) L (fn) = (n) for {m { } B2} .
v) D (fn) = (log n) for {m { } B2} .
Proof : iii) , iv) and v) follow from i) and ii). i) follows from the
Horner scheme
fn (x y) = yn (xn (yn1 (y1 x1 ) ))

(4.2)

The second assertion can be proved by a recursive approach. Here and

in the rest of this chapter we do not count the gates of a formula but
the leaves of the proper binary tree which is by 1 larger than the real
formula size. W.l.o.g. n = 2k . We divide x = (x x ) and y = (y y )
in two parts of the same length. Then
fn (x y) = (fn 2(x y ) yn

2+1

yn ) fn 2(x y )

(4.3)

For this formula Fn

L(Fn ) = 2 L(Fn 2) + n 2

L(F1 ) = 2

hence

(4.4)

D(F1 ) = 1

(4.5)

L(Fn ) = (1 2) n log n + 2 n
D(Fn ) = max{D(Fn 2 ) log(n 2)} + 2
hence
D(Fn ) = 2 log n + 1

The following trade-os have been proved by Commentz-Walter (79) for the monotone basis and by Commentz-Walter and Sattler (80) for the basis { } .
THEOREM 4.2 : PLDm (fn )

1
n log2 n .
128

228

THEOREM 4.3 : PLD{ } (fn)

1
n log n log log n(log log log log n)1
8

Actually these are only asymptotic results. Obviously, for both

bases = m and = { } , L (fn) 2 n and D (fn) log(2n) ,
hence PLD (fn ) 2 n log(2n) . The lower bound of Theorem 4.2 is
not better than this simple bound if n 2256 , and the bound of
38
Theorem 4.3 does not beat the simple bound if n 22 .
Before we discuss the essential ideas of the proof of Theorem 4.2 we
anticipate some technical lemmas. The proof of Theorem 4.3 is based
on the same ideas but is technically even more involved and therefore
omitted.
LEMMA 4.1 : If we replace for j J {1
n} xj by 0 and yj by 1
we obtain the subfunction fm , where m = |J| , on the set of variables
{xj yj | j J} .

Proof : Obvious.

LEMMA 4.2 : If we replace x1 and yn by 1 we obtain

d
d
fn1
(y1
yn1 x2
xn) where fn1
is the dual function of fn1 .
Proof : We apply the rules of deMorgan and the law of distributivity.
d
fn1
(y1

yn1 x2

xn) = fn1(y1

yi xi+1 xn =

1in1

yn1 x2

xn )

(4.6)

(yi xi+1 xn )
1in1

= xn xn1 yn1 xn2 yn2 yn1 x2 y2 yn1 y1 yn1

= fn (1 x2

xn y1

yn1 1)

LEMMA 4.3 :

d1+s1
d1

Proof : Elementary.

d1+s
d1

d+s
d

if s 1 .

229

LEMMA 4.4 : Let m(p) = max{

log m(p) 2 p1 2 .

d+s
d

| ds p} .

Then

Proof :
By Stirlings formula we can approximate n! by
(2)1 2 nn+1 2 en , more precisely, the quotient of n! and its approximation is in the interval [1 e1 (11n)] . Hence
d+s
d

log

1
1
d+s
1
log e log(2) + log
11(d + s)
2
2
ds

(4.7)

+ (d + s) log(d + s) d log d s log s

d log(d + s) d log d + s log(d + s) s log s

= (d + s)
= (d + s) H

d
d
s
s
log

log
d+s
d+s d+s
d+s
s
d
d+s d+s

where
H(x 1 x) = x log x (1 x) log(1 x)

(4.8)

is the entropy function. W.l.o.g. d s . Since

H(x 1 x) 2x log x for x 1 2
log

d+s
d

2 d log

d+s
d

= 2 d log 1 +

(4.9)
s
d

(4.10)

We only investigate numbers d and s where ds p and d s , hence

d2 p and := p d2 1 . Furthermore d = (p )1 2 and s d =
sd d2 p d2 = . Hence
log m(p) max{2

1 2

log(1 + ) | 1}

(4.11)

Let g() = 1 2 log(1 + ) . Then g(1) = 1 and g is decreasing for

1 . Hence the maximum in (4.11) is 2 p1 2 .

230

Now we begin with the proof of Theorem 4.2. Instead of designing a

formula for fn of minimal complexity with respect to PLDm we choose
another way. For given d and s we look for the maximal n =: t(d s)
such that there is a monotone formula Fn for fn where D(Fn ) d
and L(Fn ) n s . Upper bounds on t(d s) imply lower bounds on
PLDm (fn ) . The main result is the following lemma.
LEMMA 4.5 : d

0 s

1 : log t(d s) 8 (d s)1 2 .

We prove at rst, how this lemma implies the theorem.

Proof of Theorem 4.2 : Let Fn be an optimal formula for fn with
respect to PLDm . Let d = D(Fn ) and s be chosen such that s 1
L(Fn ) n s . Obviously s 2 . By denition n t(d s) and by
Lemma 4.5
1
(4.12)
PLDm (fn ) = L(Fn )D(Fn ) n(s 1)d n s d
2
1
1

n log2 t(d s)
n log2 n
128
128

It is easier to work with t(d s) than with PLDm . The main reason
is that depth and formula size are both bounded independently. s is a
bound for the average number of leaves of the formula labelled by xi or
yi . It would be more convenient to have bounds on the number of xi and yj -leaves (for xed i and j) and not only on the average number.
Let t (d s) be the maximal n such that there is a monotone formula
Fn for fn such that D(Fn ) d and for i j {1
n} the number of
xi - and yj -leaves is bounded by s . Obviously t (d s) t(d s) . We
prove an upper bound on t(d s) depending on t (d s) , and afterwards
we estimate the more manageable measure t (d s) .
LEMMA 4.6 : t(d s) 3 t (d 6s) .

231

Proof : Let Fn be a monotone formula for fn where n = t(d s) ,

D(Fn ) d and L(Fn ) s n . Let I be the set of all i such that
the number of xi -leaves in Fn is bounded by 3 s . Since L(Fn ) s n ,
|I| (2 3) n . Let J be the corresponding set for the y-variables. Then
|J| (2 3) n and |H| (1 3) n for H = I J . For i H we replace xi
by 0 and yi by 1 . By Lemma 4.1 we obtain a formula F for f|H| where
D(F ) d , and each variable is the label of at most 3 s leaves. Hence
t(d s) = n 3 |H| 3 t (d 6s)

(4.13)

LEMMA 4.7 : t (d s)

d+s
d

1.

This lemma is the main step of the proof. Again we rst show that
this lemma implies the theorem.
Proof of Lemma 4.5 : By Lemma 4.7 t (d s) is bounded by m(ds)
for the function m of Lemma 4.4. Hence
log t(d s) log t (d 6s) + log 3 2 (6 ds)1 2 + log 3
8 (ds)1

(4.14)

For the proof of Lemma 4.7 we investigate the last gate of monotone
formulas for fn . If this gate is an -gate we apply Lemma 4.2 and
investigate the corresponding dual formula whose last gate is an gate. If fn = g1 g2 , we nd by the following lemma large subfunctions
of fn in g1 and g2 .
LEMMA 4.8 : If fn = g1 g2 , there is a partition of {1
n} to I
and J such that we may replace the variables xi and yi for i I (i J)
by constants in order to obtain the subfunction f|I| (f|J|). Furthermore
g1 or g2 depends essentially on all y-variables.

232

Proof : Since x1 y1 yn PI(fn ) PI(g1) PI(g2) , x1 y1 yn is

a prime implicant of gj for j = 1 or j = 2 , in particular gj depends
essentially on all y-variables.
pi = xi yi
yn (1 i n) are the prime implicants of fn . Let I
be the set of all i where pi PI(g1) and J = {1
n} I . Then
pj PI(g2) for j J . We set xk = 0 and yk = 1 for k I . Each prime
implicant of g1 equals some pi (i I) or is a lengthening of some pk
(k I). These pk are replaced by 0 , since xk = 0 . In pi (i I) the
y-variables yk (k I) are replaced by 1 . Altogether g1 is replaced by
f|I| . The same arguments work for g2 .

Finally we nish the proof of Theorem 4.2 by the proof of

Lemma 4.7.
Proof of Lemma 4.7 : Induction on d . The assertion is trivial if d = 0
or s 1 , since t (d s) = 0 . Let d 0 and s 1 and let us assume
that the assertion holds for all d
d . Let F be a monotone formula
for fn where n = t (d s) , D(F) d , and for all i j {1
n} the
number of xi - and yj -leaves is bounded by s .
Case 1 : The last gate of F is an -gate.
Let g1 and g2 be the inputs of the last gate, hence fn = g1 g2 . By
Lemma 4.8 we assume w.l.o.g. that g1 depends essentially on all yvariables. Let I and J form the partition of {1
n} whose existence
also has been proved in Lemma 4.8. The depth of the formulas for
g1 and g2 is bounded by d 1 . For all i j {1
n} the number
of xi - and yj -leaves in the formula for g2 is bounded by s 1 , since
the formula for g1 includes at least one yj -leaf. Hence |I| + |J| = n ,
|I| t (d 1 s) and |J| t (d 1 s 1) and by Lemma 4.3 and the
induction hypothesis
t (d s) = n |I| + |J| + 1 t (d 1 s) + t (d 1 s 1) + 1
(4.15)

233

d1+s
d1+s1
1+
1+1
d1
d1

d+s
1
d

Case 2 : The last gate of F is an -gate.

d
Let x1 = 1 and yn = 1 . Then fn is replaced by fn1
. If we replace
-gates by -gates and vice versa, we obtain a monotone formula for
fn1 whose last gate is an -gate. Similarly to Case 1 we can prove
that |I| t (d 1 s) and |J| t (d 1 s 1) for some partition I and
J of {1
n 1} . Here |I| + |J| = n 1 . (4.15) works also in this
situation.

As already acknowledged we do not know much about trade-os

between formula size or circuit size and depth.

EXERCISES
1. Generalize Spiras theorem to complete bases Br .
2. Compute C (sel) and D (sel) for dierent bases B2 , in particular = {NAND} and = { } .
3. Let F be a formula of size l and let F be the equivalent formula
constructed in the proof of Spiras theorem. Estimate the size of
F.
4. Which functions are candidates for the relation D(f)
(log C(f)) ?

5. Let n = 2m and let f be the Boolean matrix product of n nmatrices. What is the minimal size of a monotone circuit for f
whose depth is bounded by m + 1 ?

234

6. Generalize the result of Exercise 5 to B2 -circuits.

f2n2) be the Boolean convolution and n = 2m .
7. Let f = (f0
Let gi = fi fi+n for 0 i n 2 and gn1 = fn1 . Solve the
problems of Exercise 5 and 6 for g0
gn1 .

235

8. FORMULA SIZE

The depth of a circuit corresponds to the parallel computation

time. Since D(f) = (log L(f)) (Theorem of Spira, see Ch. 7, 1) ,
the study of the formula size of Boolean functions is well motivated.
The formula size of f is equal to the minimal number of gates in a
formula for f . The number of gates or inner nodes of a binary tree is
by 1 less than the number of leaves of the tree. Often it is easier to
deal with the number of leaves, e.g. the number of leaves of a binary
tree is equal to the sum of the number of leaves in the left subtree
and the number of leaves in the right subtree. Hence we denote the
formula size of f by L (f) and we dene L(f) = L (f) + 1 . It causes no
problems to call L also formula size.
Because of their central role, we investigate threshold functions in
1 3 and symmetric functions in 4. In 5 8 we present and
apply some methods for the proof of lower bounds on the formula size
of explicitly dened functions.

8.1 Threshold - 2

We know that the (monotone) circuit complexity of Tnk is linear for

xed k (see Ch. 6, 2). The monotone formula size is superlinear, it
is of size n log n .
THEOREM 1.1 : Lm (Tn2) = O(n log n) . If n = 2k , Lm (Tn2) n log n .
Proof : W.l.o.g. n = 2k . Otherwise we add some 0-inputs. Let
x = (x x ) where x and x consist of n 2 variables each. Obviously
n 2

n 2

n 2

n 2

Tn2 (x) = T1 (x ) T1 (x ) T2 (x ) T2 (x )

(1.1)

236

Since Lm (Tn1) = n , we conclude that

n 2

Lm (Tn2) n + 2 Lm(T2 ) and Lm (T22) = 2

Hence Lm (Tn2) n log n .

(1.2)

This simple approach is optimal if n = 2k . We prove this claim for

the monotone basis (Hansel (64)). For the complete basis { }
we refer to Krichevskii (64). We investigate the structure of monotone
formulas for Tn2 and prove the existence of an optimal monotone singlelevel formula.
DEFINITION 1.1 : A monotone formula or circuit is a single-level
formula or circuit if no directed path combines -gates.
It is reasonable to conjecture that all quadratic functions (all prime
implicants are monotone and have length 2) have optimal single-level
formulas and circuits. This claim is open for circuits and has been
disproved for formulas (see Exercises).
LEMMA 1.1 : There is an optimal monotone formula for Tn2 which
is a single-level formula.
Proof : Let F be an optimal monotone formula for Tn2 . We reconstruct
F until we obtain a single-level formula F for Tn2 of the same size as F .
If F is not a single-level formula, let G be the rst -gate of F which
has some -gate as (not necessarily direct) predecessor. Let g = resG
and let g1 and g2 be the inputs of G . Then g1 and g2 are computed
by single-level formulas. Hence g1 = t1 u1 up where t1 is a
Boolean sum and all uj are computed at -gates Hj . Let uj1 and uj2
be the inputs of Hj . Then uj = uj1 uj2 and uj1 and uj2 are Boolean
sums. If uj1 and uj2 contain the same variable xi , the subformula for
uj is not optimal. We may replace xi in uj1 and in uj2 by 0 . Then uj is
replaced by uj where uj = uj xi . Instead of two xi -leaves one xi -leaf

237

suces. Hence uj1 and uj2 have no common variable and all prime
implicants have length 2 . Similarly g2 = t2 w1 wq .
We rearrange the -gates in the formulas for g1 and g2 , such that
t1 t2 u = u1 up , and w = w1 wq are computed. Then
g1 = t1 u , g2 = t2 w and
g = g1 g 2 = t1 t 2 t 1 w t 2 u u w

(1.3)

We replace the subformula for g by a subformula for

g = t1 t2 u w

(1.4)

of the same size. Let f be the function computed by the new formula.
Tn2 f , since g g . Let us assume, that Tn2 (a) = 0 but f (a) = 1
for some input a . Then g(a) = 0 and g (a) = 1 . This is only possible
if u(a) = 1 or w(a) = 1 . But u and w have only prime implicants of
length 2 , hence Tn2 (a) = 1 in contradiction to the assumption. The
new formula is an optimal monotone formula for Tn2 . We continue in
the same way until we obtain a single-level formula.

THEOREM 1.2 : Lm (Tn2) n log n .

Proof : We investigate an optimal monotone formula F for Tn2 .
W.l.o.g. (see Lemma 1.1) we assume that F is a single-level formula.
Let G1
Gp be the -gates where ui = ui1 ui2 (1 i p) are computed. ui1 and ui2 are disjoint Boolean sums. For (j(1)
j(p))
p
{1 2} we replace all variables in u1 j(1)
up j(p) by 0 . Since the
output of F is 0 we have replaced at least n 1 variables by 0 . If xi
is not replaced by 0 , (j(1)
j(p)) is an element of Mi . If all variables are replaced by 0 , (j(1)
j(p)) is an element of M0 . Hence
M0 M1
Mn build a partition of {1 2}p .
j(p)) Mm and m 1 . If xm is a summand of ui 1
Let (j(1)
(or ui 2 ) , then j(i) = 2 (or j(i) = 1). If xm is neither a summand of ui 1
nor of ui 2 , j(i) may be 1 or 2 . Let p(m) be the number of indices i
such that ui does not depend on xm . Then |Mm | = 2p(m) and p p(m)
is the number of xm -leaves. Hence

238

(p p(m)) = n p

Lm (Tn2) =

1mn

log |Mm |

(1.5)

1mn

|Mm |1

= n p n log

1mn

We apply the well-known inequality between the arithmetic and the

geometric mean :
(1 n)

ai
1in

Since the sets M1

ai

1 n

(1.6)

1in

Mn are disjoint, |M1 | + + |Mn | 2p . Hence

Lm (Tn2) n p n log (1 n)

|Mm |

(1.7)

1mn

n p n log(1 n) n log 2p = n log n

COROLLARY 1.1 : Lm (Tnk ) = (n log n) if 1

n.

is a subfunction
Proof : For k n 2 we use the fact that Tnk+2
2
of Tnk . For k
n 2 we apply the duality principle, which implies
Lm (Tnk) = Lm (Tnn+1k) .

In 2 we prove that this bound is asymptotically optimal if k or

n k is constant. For k = n 2 we prove better lower bounds in 8
(for the basis { }).

239

8.2 Design of ecient formulas for threshold - k

It is quite easy to design an optimal monotone formula for Tn2 but it

is much harder to design optimal formulas for Tnk , if k 2 is constant.
The reader is asked to design a formula of size o(n log2 n) for Tn3 . The
methods of 1 lead to the recursive approach
Tnk (x) =

n 2

Tpn 2(x ) Tkp(x )

(2.1)

0pk

These formulas for Tnk have size O(n(log n)k1) (Korobkov (56)
and Exercises).
Khasin (69) constructed formulas of size
k1
O(n(log n)
(log log n)k2) , Kleiman and Pippenger (78) improved
log n

n log n) and Friedman (84) designed

the upper bound to O( k2
asymptotically optimal formulas of size O(n log n) . All these bounds
are proved constructively, i.e. there is an algorithm which constructs
for given n formulas of the announced size for Tnk and the running time
of the algorithm is a polynomial p(n) .
Much earlier Khasin (70) proved that Lm (Tnk ) = O(n log n) , but his
proof is not constructive. We only discuss the main ideas of Khasins
paper. Tnk is the disjunction of all monotone monoms of length k . It
is easy to compute many of these prime implicants by a small formula.
W.l.o.g. n = mk . Let A(1)
A(k) be a partition of {1
n} into
k blocks of size m each. Then for each permutation n
f (x) =

x (i)

(2.2)

1jk iA(j)

is a formula of size n and f is the disjunction of many, exactly mk ,

prime implicants of length k each. We hope that Tnk is the disjunction
of a small number of functions f . Which permutations should be
chosen ? Since Khasin could not solve this problem, he computed the
mean number of missing prime implicants if one chooses randomly
O(log n) permutations . This number is O(n log n) . So there is a
good choice of O(log n) permutations such that Tnk is the disjunction
of O(log n) formulas f of size n each and O(n log n) prime implicants

240

of length k each. Hence the size of the formula for Tnk is O(n log n) .
We present the constructive solution due to Friedman (84). We
obtain a formula of size c n log n for a quite large c . It is possible
to reduce c by more complicated considerations. We again consider
functions f as described in (2.2). If A(1)
A(k) is an arbitrary
partition of {1
n} , f has formula size n and f Tnk . xi(1)
xi(k)
PI(f) i the variables xi(1)
xi(k) are in dierent sets of the partition.
Hence we are looking for sets Am j (1 m k , 1 j r) with the
following properties
Ak j are disjoint subsets of {1

A1 j

i(k) {1
n} we nd some j such that
for dierent i(1)
each Am j contains exactly one of the elements i(1)
i(k) .

n} for each j ,

Then
Tnk = F1 Fr

where Fj =

xi

(2.3)

1mk iAm j

The rst property ensures that all prime implicants have length k .
The second property ensures that each monom of length k is a prime
implicant of some Fj . A class of sets Am j with these properties is called
an (n k)-scheme of size r . The size of the corresponding formula is
rn.
We explain the new ideas for k = 2 . W.l.o.g. n = 2r . Let posj (l )
be the j -th bit of the binary representation of l {1
2r} where
1 j r . The sets
Am j = {l | posj (l ) = m} for 0 m 1 and 1 j r

(2.4)

build an (n 2)-scheme of size r = log n . This simple construction

2r} we nd a position j
is successful since for dierent l l {1
where posj (l ) = posj (l ) .
If k = 3 , we could try to work with the ternary representation of
numbers. In general we cannot nd for dierent numbers l l l
{1
n} a position j such that posj (l ) , posj (l ) and posj (l ) (ternary

241

representation) are dierent. For example : 1 (0 1) , 2 (0 2) ,

4 (1 1) . Instead of that we work with b-ary numbers for some large
but constant b . We look for a large set S {1
b}r such that two
vectors in S agree at less than (1 3) m positions. Let l l l S be
dierent. We label all positions where at least two of these vectors
agree. Altogether we label less than 3 (1 3) m = m positions, since
there are 3 = 32 dierent pairs of vectors. The vectors l l l dier
at all positions which are not labelled. Let
Am

(j t(1) t(2) t(3))

= {s S | posj (s) = t(m)}

for 1 m 3 , 1 j r , 1 t(1)

t(2)

(2.5)
t(3) b .

If we x T = (j t(1) t(2) t(3)) , the sets A1 T A2 T and A3 T are

disjoint. Let s1 s2 s3 S be dierent. Then there is some j , an
unlabelled position, such that posj (s1) posj (s2) and posj (s3) are different. Let t(1)
t(2)
t(3) be the ordered sequence of posj (si )
(1 i 3). Then s1 s2 s3 are in dierent sets A1 T A2 T and A3 T for
T = (j t(1) t(2) t(3)) . Hence we have constructed a (|S| 3)-scheme
of size r b3 . Since b is constant, r should be of size O(log |S|) .
The same idea works for arbitrary k . For some constant b we look
for a large set S {1
b}r such that two vectors in S agree at less
than r k2 positions. Let s1
sk be dierent elements of S . For
k
each of the 2 pairs of vectors there are less than r k2 positions where
these vectors agree. Hence there is some position j = j(s1
sk )
where all vectors dier. By
Am

(j t(1)

t(k))

= {s S | posj (s) = t(m)}

for 1 m k , 1 j r , 1 t(1)

(2.6)
t(k) b

we obtain a (|S| k)-scheme of size r bk . If it is possible to choose

S in such a way that r = O(log |S|) we are done. We then choose
r large enough that |S| n . Afterwards we identify 1
n with
dierent elements of S . By (2.3) we obtain a formula for Tnk of size
r bk n = O(n log n) .

242

For the construction we apply a greedy algorithm.

LEMMA 2.1 : Let l = k2 , b = 22l , c = 2 l and r = c r for some r .
Then there is an algorithm which constructs some set S {1
b}r
of size br such that two vectors in S agree at less than r k2 positions.
The running time of the algorithm is a polynomial p(br ) .
Before we prove this lemma we show that it implies the main result
of this section.
THEOREM 2.1 : For constant k monotone formulas for Tnk of size
O(n log n) can be constructed in polynomial time.
Proof : We apply the algorithm of Lemma 2.1 for the smallest r
such that br n and obtain an (n k)-scheme of size r bk n . Since
r = O(log n) , also r = O(log n) and the formula has size O(n log n) .

Proof of Lemma 2.1 : We consider an r-dimensional array for the

elements of {1
b}r . If we choose some vector s as an element of S ,
all vectors which dier from s in at most R = (1(1 l )) r positions are
forbidden as further vectors in S . The number of forbidden vectors
is at most Rr bR . We use the rough estimate Rr
2r . Hence the
number of forbidden vectors is bounded by
br logb 2+R

where

r logb 2 + R = r (logb 2 + 1 (1 l )) = r (1 (1 2l ))
= r (1 (1 c)) = r r

(2.7)
(2.8)

Here we used the fact that logb 2 = 1 (2l ) . The greedy algorithm
works as follows. Choose s1 {1
b}r arbitrary. Label all forbidden vectors. If s1
si1 are chosen, choose si {1
b}r as an

243

arbitrary non-forbidden vector and label all vectors forbidden by si .

If i br , the number of vectors forbidden by s1
si1 is bounded
rr
r
by (i 1)b
b and si can be chosen. Hence the algorithm works.
The running time is bounded by a polynomial p(br ) and hence by a
polynomial q(br ) .

8.3 Ecient formulas for all threshold functions

It is a hard struggle to design asymptotically optimal (monotone)

formulas for Tnk and constant k . The design of a polynomial formula
is easy, since we can take the MDNF which consists of nk prime
implicants. In general nk is not polynomially bounded. Since Tnk is a
n
subfunction of T2n
n , we consider only the majority function Tm where
n = 2m .
Since some time { }-formulas of size O(n3 37) are known. We
are more interested in the monotone formula size of the threshold
functions. Polynomial monotone formulas for all threshold functions
imply (see Ch. 6, 13 15) that the monotone formula size of slice
functions is only by polynomial factors larger than the formula size
over the basis { } and also over all complete bases (see Ch. 7,
1). By Theorem 1.1 in Ch. 7 the monotone depth of slice functions
is then of the same size as the depth of these functions.
The sorting network of Ajtai et al. (83) has depth O(log n) . Hence
the monotone formula size of all threshold functions is polynomially
bounded. The degree of this polynomial is very large (see Ch. 6, 2).
We prove non constructively the existence of monotone formulas for
the majority function of size O(n5 3) (Valiant (84)).
We consider random formulas of dierent levels. For some p chosen
later a random formula of level 0 equals xj (1 j n) with probability p and equals 0 with probability 1 np . A random formula Fi of
level i equals

244

Fi = (G1 G2) (G3 G4 )

(3.1)

G4 are independently chosen random formulas of level

where G1
i 1 . The size of Fi is bounded by 4i = 22i . If the probability that
Fi = Tnm is positive, then there is some monotone formula of size 22i for
Tnm . Why do we hope that Fi sometimes equals Tnm ? In G1 G2 and
G3 G4 prime implicants are shortened but are lengthened again by
the following conjunction. Furthermore the experiment is symmetric
with respect to all variables.
It is sucient to prove that for all a {0 1}n
Prob Fi (a) = Tnm (a)

2n1

(3.2)

This implies
Prob Fi Tnm

a{0 1}n

Prob Fi (a) = Tnm (a)

(3.3)

2n 2n1 = 1 2
Hence
Lm (Tnm) 22i

(3.4)

Let
fi = max Prob(Fi (a) = 1) | Tnm (a) = 0

and

(3.5)

hi = max Prob(Fi (a) = 0) | Tnm (a) = 1

4
3
2
LEMMA 3.1 : fi = fi1
4fi1
+ 4fi1

and hi = h4i1 + 2h2i1 .

Proof : Because of the monotonicity of Fi and its symmetry with

respect to all variables Fi has its worst behavior on inputs with exactly
m 1 or m ones. Let a be an input with m 1 ones. The event
Gj (a) = 1 has probability fi1 by denition. The event (G1 G2 )(a) = 1
has probability 1(1fi1)2 as has the event (G3 G4 )(a) = 1 . Hence
the event that Fi (a) = 1 has probability (1 (1 fi1)2 )2 = fi .

245

Let b be an input with m ones. The event Gj (b) = 0 has probability

hi1 by denition. The event (G1 G2)(b) = 0 has probability h2i1 as
has the event (G3 G4)(b) = 0 . Hence the event that Fi (b) = 0 has
probability 1 (1 h2i1)2 = hi .

What is the behavior of the sequence f0 f1

for some given f0 ?
By elementary calculations

fi = fi1 fi1 {0 1 (3 + 5) 2}
(3.6)

for = (3 5) 2 and

(3.7)
hi = hi1 hi1 {(1 + 5) 2 0 1 1}
The only x points in the interval (0 1) are fi1 = and hi1 = 1 .
Considering the representation of fi and hi in Lemma 3.1 we note that
fi fi1 i fi1 and that hi hi1 i hi1 1 . If f0 and
h0 1 , then fi and hi are decreasing sequences converging to 0 .
To us it is important that fl hl
2n1 for some l = O(log n) (see
(3.2) (3.4)).
It turned out that p = 2 (2m 1) is a good choice. Let a be an
input with m 1 ones. Then
f0 = Prob(F0 (a) = 1) = (m 1)p = (n 1)

(3.8)

= (n1)
Let b be an input with m ones. Then
h0 = Prob(F0(a) = 0) = 1 Prob(F0(b) = 1) = 1 mp

(3.9)

= 1 (n 1) = 1 (n1)
We shall see that f0 and 1 h0 are large enough such that fi
and hi decrease fast enough.
The function fi fi1 is continuous (in fi1) . Hence fi fi1 is
bounded below by a positive constant if fi1 [ ] for some xed

0 . If fi , fj for some j = i + O(1) . But for which i
it holds that fi if f0 = (n1) ? For which l fl 2n1 if

246

fj

2
By Lemma 3.1 fi 4 fi1
and hi 4 h2i1 for fi1 hi1 (0 1] . Let
= 1 16 and fj hj . For l j and k = 2l j

4 fl21

fl

and also hl
fl hl

43 fl42

4k1 fjk

(1 4)k = 22k

(3.10)

22k . If l = j + log n , k n and

22k 22n 2n1

If fi
and hi
l = i + log n + O(1) .

(3.11)
2n1 for

1 , then fl hl

It is easy to check that for

fi1 = fi = 4 + O( 2 ) and

(3.12)

hi1 = 1 hi = 1 4 + O( 2)

(3.13)

Hence

0 0

: fi =

fi

hi1 = 1 hi

and
1
(3.14)

0 . Hence by (3.14) fi
We know that f0 c n1 for some c
i
1
i1
1
c n if c n
. If we choose i = (log n) (log ) + c
for some appropriate c , then fi and (by similar arguments)
hi 1 . Altogether Prob(Fl = Tnm) 1 2 for all 4 , some
appropriate c depending on and
l = (log n)(1 + log1 ) + c

(3.15)

The size of Fl is bounded by

22l = O(n ) where = 2(1 + log1 )

4 = 2(3

5)

(3.16)

Choosing = 4 for some small we obtain a monotone formula

for Tnm of size O(n5 271) .
THEOREM 3.1 : The monotone formula size of each threshold function Tnk is bounded by O(n5 271) .

247

The best lower bounds on the formula size of the majority function
(over the monotone basis and over { }) are of size (n2) . Hence
the investigation of the (monotone) formula size of threshold functions
is not yet complete.

8.4 The depth of symmetric functions

We are not able to prove (log n) lower bounds on the depth of
explicitly dened Boolean functions. For functions depending essentially on n variables a log n lower bound is obvious. Most of
the lower bounds of size c log n for some c
1 follow from (nc )
bounds on the formula size. There are only few exceptions where
lower bounds on the depth are proved directly. McColl (78 c) proved
such bounds for symmetric functions and the complete bases {NAND}
and {NAND } . Since the methods are similar, we concentrate us
on the basis {NAND} . Further results for special functions are proved
by McColl (76).
We know already (see Theorem 4.1 , Ch. 3) that the depth of all
symmetric functions is (log n) . For the proof of lower bounds over
the basis {NAND} we make the most of the cognition that NANDcircuits of small depth compute only functions of short prime implicants.
LEMMA 4.1 : If f can be computed by a NAND-circuit of depth
2 d + 1 , the length of each prime implicant of f is bounded by 2d .
Proof : Induction on d . If d = 0 , the depth is bounded by 1 . The only
functions which are computable in depth 1 are xi , xi = NAND(xi xi )
and xi xj = NAND(xi xj ) . All prime implicants have length 2d = 1 .
Let us now assume that the lemma holds for all functions of depth
d 2d + 1 . Let f be a function of depth 2d + 2 or 2d + 3 , and let S be

248

a depth optimal circuit for f . At least one of the direct predecessors

of the output gate is also a gate. Hence
f = NAND NAND(h1 h2) NAND(h3 h4) = (h1 h2 ) (h3 h4 )
(4.1)
or f = NAND NAND(h1 h2) xi = (h1 h2) xi
for functions h1
h4 whose prime implicants have by induction hypothesis lengths bounded by 2d . Thus the length of the prime implicants of f is bounded by 2d+1 .

LEMMA 4.2 : Let t be an implicant of f Sn of length s . Then the

value vector v(f) of f contains a substring of length n s + 1 consisting
of ones only.
Proof : We replace s variables by constants in such a way that t
and hence also f are replaced by 1 . The substring of v(f) for this
subfunction has length n s + 1 and consists of ones only.

THEOREM 4.1 : If f Sn is not constant,

D{NAND}(f) 2 log n (2 log 3 1)

(4.2)

Proof : Since f = NAND(f f) , f and f have almost the same depth.

If the depth is small, the prime implicants of f and f are short and
v(f) and v(f) have long substrings consisting of ones only. Hence v(f)
has a long substring of ones only and a long substring of zeros only.
The length of the shorter substring is bounded by (n + 1) 2 .
Case 1 : 2k n

3 2k1 .

We choose d so that D{NAND} (f) {2d 1 2d} .

Then
D{NAND}(f) 2d + 1 . By Lemma 4.1 the lengths of the prime implicants of f and f are bounded by 2d . v(f) contains a 0-sequence
whose length is at least n + 1 2d and a 1-sequence whose length is

249

at least n + 1 2d . The length of v(f) is n + 1 . Hence

n + 1 2(n + 1 2d ) and 2d+1 n + 1 2k + 1

(4.3)

Since d and k are natural numbers

D{NAND} (f) 2 d 1 2 k 1 = 2 (k 1) + 1

(4.4)

2 log(n 3) + 1 = 2 log n (2 log 3 1)

Case 2 : 3 2k1 n

2k+1 .

We use similar arguments. Let D{NAND} (f) {2d 2d + 1} , hence

D{NAND} (f) 2d + 2 . v(f) contains a 1-sequence (0-sequence) whose
length is at least n + 1 2d (n + 1 2d+1) . Hence
n + 1 n + 1 2d + n + 1 2d+1 3 2d n + 1 3 2k1 + 1
(4.5)
D{NAND} (f) 2 d 2 k 2 (log n 1) 2 log n (2 log 3 1)

8.5 The Hodes and Specker method

After intensive studies on the depth and formula size of symmetric

functions and above all threshold functions we switch over to general
methods for the proof of lower bounds on the formula size of Boolean
functions. Many applications on the Hodes and Specker method are
presented by Hodes (70). Hodes and Specker (68) stated only that
their method yields nonlinear bounds. Vilfan (72) proved that the
bounds actually are of size n log n . Pudlak (84 a) combined the results of Hodes and Specker and the Ramsey theory (see e.g. Graham,
Rothschild and Spencer (80)) and proved the following theorem.
THEOREM 5.1 : For each binary basis there is some

0 such

250

that the following statement holds for all r 3 and all f Bn whose
formula size with respect to is bounded above by n(log log n r) .
There is a set of n r variables such that the subfunction f Br of
f where we have replaced these n r variables by zeros is symmetric,
and its value vector v(f ) = (v0
vr) has the following form: v1 =
v3 = v5 = and v2 = v4 = v6 = . Hence f is uniquely dened
by v0 v1 and v2 .
The proof is based on the fundamental principle of the Ramsey
theory. Simple objects, here formulas of small size, are locally simple,
i.e. have very simple symmetric functions on not too few variables as
subfunctions. We leave out the proof here. A direct application of the
Ramsey theory to lower bounds on the formula size has been worked
out by Pudlak (83). Since the Ramsey numbers are increasing very
fast, such lower bounds have to be of small size.
Here we explain only one simple application of this method, more
applications are posed as exercises.
THEOREM 5.2 : L(Tn2 ) = (n log log n) .
Proof : Let r = 3 . If we replace n3 variables by zeros, Tn2 is replaced
by T32 . For the value vector of T32 v1 = v3 .

This is the largest known lower bound on L(Tn2) .

251

8.6 The Fischer, Meyer and Paterson method

Also the method due to Fischer, Meyer and Paterson (82) is based
on the fact that simple functions have very simple subfunctions. This
method yields larger lower bounds than the Hodes and Specker method
but for a smaller class of functions. The class of very simple functions
is the class of ane functions x1 xm c for c {0 1} . The size
of an ane function is the number of variables on which it depends
essentially. A subfunction f of f is called a central restriction of f if
n1 n0 {0,1} for the number of variables replaced by ones (n1 ) and
zeros (n0) .
THEOREM 6.1 : Let a(f) be the maximal size of an ane subfunction of f when considering only central restrictions. Then for all
Boolean functions f Bn (n )
L(f) n (log n log a(f)) for some constant

0.

(6.1)

We also omit the tedious proof of this theorem. The following result
states a rather general criterion for an application of this method.
Afterwards we present a function for which the bound of Theorem 6.1
is tight.
THEOREM 6.2 : If f(a) = c for all inputs with exactly k ones and
f(a) = c for all inputs with exactly k + 2 ones, then
L(f) n log min{k n k}

for some constant

0.

(6.2)

Proof : W.l.o.g. k n 2 . At rst we prove the assertion for

k = n 2 . It is sucient to prove that a(f) 2 . Let us consider
a central restriction f B3 of f . Then (n 3) 2 variables have
been replaced by ones and (n 3) 2 variables have been replaced

252

by zeros. Since k (n 3) 2 = 1 , f (1 0 0) = c but f (1 1 1) = c .

Hence f is not ane.
If k
n 2 , we consider an optimal formula F for f . Let bi be
the number of leaves of F labelled by xi . Then we replace those n 2k
variables by zeros which have the largest b-values. The formula size
of the subfunction f B2k is at least (2 k) log k as we have proved
in the last paragraph. Hence there is some variable xi such that at
least log k leaves of the subformula F of F are labelled by xi . By
denition, bj log k for all xj which we have replaced by zeros.
Hence
L(f) = L(F) (n 2k) log k + (2 k) log k = n log k

(6.3)

THEOREM 6.3 : L(Cn0 4) = (n log n) for the counting function Cn0 4 .

Proof : Cn0 4(a) = 1 i a1 + + an 0 mod 4 (see Def. 4.1, Ch. 3).
The lower bound follows from Theorem 6.2 , since each substring of
v(Cn0 4) of length 4 contains exactly one 1 . Hence we may choose k
such that n 2 2 k n 2 + 2 .
For the upper bound we assume w.l.o.g. that n = 2m . Let
Dn1 (x) and Dn0 (x) be the last two bits of x1 + + xn . Then
Cn0 4(x) = NOR Dn1 (x) Dn0(x) . Obviously L(Dn0 (x)) = n , since
Dn0 (x) = x1 xn . Let x = (x x ) where x and x contain n 2
variables each. Then
n 2

n 2

n 2

n 2

Dn1 (x) = D1 (x ) D1 (x ) D0 (x ) D0 (x )
n 2

L(Dn1 ) 2 L(D1 ) + n and L(D21) = 2

Hence L(Dn1 ) n log n and L(Cn0 4) n(1 + log n) .

(6.4)
(6.5)

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8.7 The Nechiporuk method

The lower bound due to Nechiporuk (66) is based on the observation that there cannot be a small formula for a function with many
dierent subfunctions. There have to be dierent subformulas for different subfunctions.
DEFINITION 7.1 : Let S X be a set of variables. All subfunctions
f of f , dened on S , are called S-subfunctions.
THEOREM 7.1 : Let f Bn depend essentially on all its variables,
let S1
Sk X be disjoint sets of variables, and let si be the number
of Si -subfunctions of f . Then
L(f) N(S1

Sk ) := (1 4)

log si

(7.1)

1ik

Proof : Let F be an optimal formula for f and let ai be the number

of leaves labelled by variables xj Si . It is sucient to prove that
ai (1 4) log si . Let Ti be that subtree of F consisting of all leaves
labelled by some xj Si and consisting of all paths from these leaves
to the output of F . The indegree of the nodes of Ti is 0 , 1 or 2 .
Let Wi be the set of nodes of indegree 2 . Since it is obvious that
|Wi | = ai 1 , it is sucient to prove that
|Wi | (1 4) log si 1

(7.2)

Let Pi be the set of paths in Ti starting from a leaf or a node in Wi ,

ending in a node in Wi or at the root of Ti and containing no node in
Wi as inner node. There are at most |Wi | + 1 dierent end-points of
paths in Pi . Because of the denition of Pi there are at most two Pi paths ending in some gate G . These paths can be found by starting in
G and going backwards until a node in Wi or a leaf is reached. Hence

254

|Pi | 2 (|Wi | + 1)

(7.3)

The dierent replacements of the variables xj Si lead to si different subformulas. We measure the local inuence of dierent replacements. Let p be a path in Pi and let us x a replacement of all
variables xj Si . If h is computed at the rst gate of p , then the function computed on the last edge of p is 0 , 1 , h or h , since no variable
xk Si has any inuence on this path. Since Ti can be partitioned
into the paths p Pi , the number of Si -subfunctions is bounded by
4|Pi| . Hence
si 4|Pi|

(7.4)

and (7.2) follows from (7.3) and (7.4).

What is the largest possible size of the Nechiporuk bound

Sk ) ?
N(S1
THEOREM 7.2 : If f Bn , the Nechiporuk bound N(S1
not larger than 2 n2 log1 n .

Sk ) is

Proof : Let t(i) = |Si | . There are 2nt(i) possibilities of replacing

t(i)
the variables xj Si by constants, and there are not more than 22
functions on Si . Hence

log si min{n t(i) 2t(i)}

W.l.o.g. t(i)
n log1 n and
log si
1iq

(7.5)

log n i i q . Since the sets Si are disjoint, q

(n t(i)) n2 log1 n

(7.6)

1iq

Furthermore
log si
q ik

2t(i)
q ik

(7.7)

255

Since the function x 2x is convex, the right-hand side of (7.7) is

maximal if as many t(i) as possible are equal to log n , the upper
bound for these t(i) . Hence also (7.7) is bounded by n2 log1 n .

Indeed it is possible to prove by Nechiporuks method bounds of

size n2 log1 n . The Nechiporuk function is dealt with in the Exercises.
We prove a bound of this size for a storage access function for indirect
addressing (Paul (77)).
DEFINITION 7.2 : The storage access function (for indirect addressl
ing) ISAn Bn where n = 2p + k for some p = 22 and k = log p
log log p is dened on the variables x = (x1
xp) , y = (y0
yp1)
and a = (a0
ak1) .
Let d = (x|a| log p+1
x(|a|+1) log p ) where |a| is the binary number represented by a . Then ISAn (x y a) = y|d| .
THEOREM 7.3 : L(ISAn ) = (n2 log1 n) and C(ISAn ) 2n + o(n) .
Proof : Let Si = {xi log p+1
x(i+1) log p } for 0 i p log1 p1 . For
xed i we replace the a-variables by constants so that |a| = i . Then
y is the value table of the Si -subfunction. All 2p dierent value tables
lead to dierent Si -subfunctions. Hence si 2p and by the Nechiporuk
method
L(ISAn ) (1 4) p2 log1 p = (n2 log1 n)

(7.8)

By Theorem 5.1, Ch. 3 , the circuit complexity of SAn , the storage access function for direct addressing, is bounded by 2n + o(n) .
Hence each x|a| log p+j (1 j log p) can be computed by 2 p log1 p +
o(p log1 p) gates. The whole vector d can be computed with 2p+o(p)
gates. Afterwards ISAn can be computed with 2p + o(p) gates. Altogether 4p + o(p) = 2n + o(n) gates are sucient for the computation
of ISAn .

256

Nechiporuks method has been applied to many functions. We refer to Harper and Savage (72) for the marriage problem and to Paterson (73) for the recognition of context free languages. We investigate
the determinant (Kloss (66)) and the clique functions (Sch
urfeld (84)).
The determinant detn BN where N = n2 is dened by
det(x11
n

xnn ) =

x1 (1)

xn (n)

(7.9)

THEOREM 7.4 : L(detn ) (1 8) (n3 n2) .

Proof : Let Si = {xj (i+j)modn | 1 j n} contain the variables of
some secondary diagonal. Since the determinant does not change if
we interchange rows or columns, we conclude that s1 = = sn . We
only consider Sn , the variables of the main diagonal, and prove the
2
existence of 2(n n) 2Sn -subfunctions. Then the theorem follows by the
Nechiporuk method.
Let yj = xjj . We replace the variables below the main diagonal by
xed constants in the following way.

gc(y1

y1 c12 c13

1 y2 c23

0 1 y3
yn) = det
n

0 0 0
0 0 0

c1 n2 c1 n1
c2 n2 c2 n1
c3 n2 c3 n1
1
0

yn1
1

c1n
c2n
c3n

cn1 n
yn

(7.10)

Since there are (n2 n) 2 matrix elements cij (i j) above the main
diagonal, it is sucient to prove that gc and gc are dierent functions
for dierent c and c .
For n = 2 gc(y1 y2) = y1 y2 c12 and the assertion is obvious. The
case n = 3 is left as an exercise.

257

For n
3 we apply matrix operations which do not change the
determinant. We multiply the second row by y1 and add the result to
the rst row. The new rst row equals
(0 y1 y2 c12 y1 c23 c13

y1 c2n c1n )

(7.11)

The rst column has a one in the second row and zeros in all other
rows. Hence we can erase the rst column and the second row of the
matrix. For y1 = 1 we obtain an (n 1) (n 1)-matrix of type
(7.10). By induction hypothesis we conclude that gc and gc dier if
cij = cij for some i 3 or c1k c2k = c1k c2k for some k 3 .
By similar arguments for the last two columns (instead of the rst
two rows) we conclude that gc and gc dier if cij = cij for some
j n 2 or ck n1 ckn = ck n1 ckn for some k n 2 . Altogether we have to consider only the situation where cij = cij for all
(i j) {(1 n 1) (1 n) (2 n 1) (2 n)} and c1k c2k = c1k c2k for
k {n 1 n} . Let y1 = 0 . Then we can erase the rst column and
the second row of the matrix. We obtain (n 1) (n 1)-matrices
M and M which agree at all positions except perhaps the last two
positions of the rst row. Since c = c and c1k c2k = c1k c2k for
k {n 1 n} , c1 n1 = c1 n1 or c1n = c1n or both. By an expansion
according to the rst row we compute the determinants of M and M .
The summands for the rst n3 positions are equal for both matrices.
The (n 2)-th summand is yn if c1 n1 = 1 (c1 n1 = 1 resp.) and 0
else, and the last summand is 1 if c1n = 1 (c1n = 1 resp.) and 0 else.
Hence gc (y) gc (y) is equal to yn or 1 or yn 1 according to the three
cases above. This ensures that gc = gc if c = c .

The clique function cln m MN where N = n2 (see Def. 11.1, Ch. 6)

checks whether the graph G(x) contains an m-clique.
THEOREM 7.5 : L(cln m ) (1 48)(n m)3 o((n m)3) if m 3 .

258

Proof : It is sucient to prove the claim for m = 3 , since cln(m3) 3

is a subfunction of cln m . We only have to replace all edges adjacent
to the nodes n m + 4
n by ones.
Let Si = {xi i+1
xin} for 1 i n 1 . In order to estimate the
number of Si -subfunctions, we replace all edges adjacent to the nodes
1
i 1 by zeros. These nodes are isolated and cannot belong to a
3-clique. We replace the variables xkl (i+1 k l n) in such a way
by constants, that the graph on the nodes i + 1
n does not contain
a 3-clique. Dierent replacements lead to dierent Si -subfunctions. If
akl = 1 for one replacement and akl = 0 for another replacement, let
xik = xil = 1 and xij = 0 for all other j . The rst graph contains
the 3-clique on {i k l } , but the second graph does not contain any
3-clique at all.
Hence the number of Si -subfunctions is not smaller than the number of graphs on n i vertices without any 3-clique. We partition
the set of vertices into two sets M1 and M2 of size (n i) 2 and
(n i) 2 resp. No bipartite graph contains a 3-clique. Hence
the number of Si -subfunctions is at least 2 (ni) 2 (ni) 2 . By the
Nechiporuk method
L(cln 3 ) (1 4)

(n i) 2

(n i) 2

(7.12)

1in1

= (1 16)

(n i)2 o(n3) = (1 48) n3 o(n3)

1in1

8.8 The Krapchenko method

The lower bound methods of 5 7 work for all (binary) bases.

Then the parity function f(x) = x1 xn is a simple function. For
an input a f 1(c) all neighbors, i.e. all inputs b which dier from
a at exactly one position, are elements of f 1(c) . For the functions

259

g(x) = xi computed at the inputs each vector a g1(c) has exactly

one neighbor in g1(c) . Using only gates of type- , i.e. using the basis
U = B2 { } , the number of pairs of neighbors (a b) , such that
h(a) = h(b) for the computed function h , is increasing only slowly.
This observation is the principal item of the Krapchenko method.
Hence this method works only for the basis U .
We assume that the leaves of a formula can be labelled by any
literal (xi or xi ) . Then we can apply the rules of deMorgan, and all
inner nodes are labelled by or . We do not present the proof due
to Krapchenko (71, 72 b) but a simpler proof due to Paterson (pers.
comm.).
DEFINITION 8.1 : A formal complexity measure FC is a function
FC : Bn such that
i) FC(xi ) = 1
for 1 i n ,
ii)

FC(f) = FC(f)

for f Bn and

iii) FC(f g) FC(f) + FC(g) for f g Bn .

By this denition and the rules of deMorgan also FC(f g)
FC(f) + FC(g) . LU is a formal complexity measure. Moreover LU is
the largest formal complexity measure.
LEMMA 8.1 : LU (f) FC(f) for any f Bn and any formal complexity measure FC .
Proof : By induction on l = LU (f) . If l = 1 , f = xi or f = xi , and
FC(f) = 1 . Let l = LU (f) 1 and let F be an optimal U-formula for
f . W.l.o.g. the last gate of F is an -gate whose input functions are
g and h . Hence f = g h . The subformulas for g and h are optimal,
too. By the induction hypothesis
LU (f) = LU (g) + LU (h) FC(g) + FC(h) FC(f)

(8.1)

260

We look for a formal complexity measure FC such that for many

dicult functions f FC(f) is large and can be estimated easily.
DEFINITION 8.2 :
A B . Let

Let H(A B) be the set of neighbors (a b)

KAB = |H(A B)|2 |A|1 |B|1

and

K(f) = max{KAB | A f 1(1) B f 1(0)}

(8.2)
(8.3)

THEOREM 8.1 : LU (f) K(f) for all Boolean functions f .

Proof : It is sucient to prove that the Krapchenko measure K is a
formal complexity measure.
i) Claim : K(xi) = 1 .
: Let B be the set containing only the zero vector, and let A be
the set containing only the i -th unit vector.
1
: Each vector in x1
i (0) has only one neighbor in xi (1) and vice
versa.
ii) K(f) = K(f) by denition, since the denition of K(f) is symmetric
with respect to f 1(0) and f 1 (1).
iii) Claim : K(f g) K(f) + K(g) .
We choose A (f g)1(1) and B (f g)1(0) in such a way that
K(fg) = KAB . Then B f 1 (0) and B g1(0). We partition A into
disjoint sets Af f 1(1) and Ag g1(1). Then H(A B) is the disjoint
union of H(Af B) and H(Ag B) . Let ag = |Ag | , hf = |H(Af B)| and
so on. Then
K(f g) = h2a1b1

and

(8.4)

1
1
K(f) + K(g) h2f a1
+ h2g a1
g b
f b

It is sucient to prove that

1
1
+ h2g a1
h2 a1 b1 h2f a1
g b
f b

(8.5)

We make use of the facts that h = hf + hg and a = af + ag . Hence

(8 5) (hf + hg )2 af ag h2f ag (af + ag ) + h2g af (af + ag )

(8.6)

261

0 h2f a2g 2 hf hg af ag + h2g a2f = (hf ag hg af )2

LEMMA 8.2 : K(f) n2 for all f Bn .

Proof : |H(A B)| min{n|A| n|B|} , since each vector has only
n neighbors.

THEOREM 8.2 : For the parity function fn (x) = x1 xn

L(fn) = n and LU (fn) n2 . If n = 2k , LU (fn) = n2 .
Proof : Obviously L(fn ) = n . If A = fn1 (1) and B = fn1(0) , |A| =
|B| = 2n1 . Each neighbor of a A lies in B and vice versa, i.e.
|H(A B)| = n 2n1 . Hence LU (fn) n2 by Theorem 8.1.
We still have to prove an upper bound on LU (fn) for n = 2k .
Let x = (x x ) where x and x have length n 2 each.
fn (x) = fn 2(x ) (fn 2(x )) (fn 2(x )) fn 2(x )

(8.7)

Hence
LU (fn ) 4 LU (fn 2)

LU (f1) = 1

and LU (fn ) n2

(8.8)

This dierence between the bases B2 and U has been proved by

Krapchenko (72 a). The Krapchenko method yields good lower bounds
for several symmetric functions (see Theorem 8.2 and Exercises). It
is easy to prove that the Nechiporuk bound is linear for all symmetric functions. The Nechiporuk method is sometimes useful also for
functions with short prime implicants (cln 3 in Theorem 7.5). For such
functions no nonlinear lower bound can be proved by the Krapchenko
bound (Sch
urfeld (84)).
THEOREM 8.3 : Let l PI (f) be the smallest number such that some
polynomial for f contains only prime implicants of length l l PI(f) .

262

Let l PC(f) be dened in a similar way for prime clauses. Then K(f)
l PI(f) l PC(f) .
Proof : Let A f 1(1) and B f 1(0) . For a A we nd some prime
implicant t of f such that t(a) = 1 and the length of t is bounded by
l PI(f). If a f 1(0) is a neighbor of a , t(a ) = 0 . Hence a and a
dier in a position i where xi or xi is a literal of t .
This implies |H(A B)| l PI(f)|A| . Similarly |H(A B)| l PC(f)|B| .

Altogether KA B l PI (f)l PC(f) .

As a further example we apply the Krapchenko method to the
determinant.
THEOREM 8.4 : LU (detn ) (1 12) n4 .
1
Proof : Let A = det1
n (1) and B = detn (0) . |A| is the number of
regular n n-matrices over the eld 2 = ({0 1} ) . The rst row
of such a matrix has to be dierent from the zero vector, we have 2n 1
possibilites for the choice of this row. If we have chosen i 1 linearly
independent vectors, these vectors are spanning a vector space of 2i1
vectors. For the choice of the i -th row we have therefore 2n 2i1
possibilities. Hence
2

2n 2i1 = n 2n

|A| =

1 2i . (8.9)

where n =

1in

1in

Since (1 a)(1 b) 1 a b for a b 0 ,

1 2i (1 2) 1

n = (1 2)
2in

2i (1 4)

(8.10)

2in

Furthermore n (1 n ) 1 3 and n1 n .
Let M be a given n n-matrix and M a neighbor of M . W.l.o.g.
M and M dier exactly at position (1 1) . We compute detn M and
detn M by an expansion of the rst row. Then detn M = detn M i
the (n 1) (n 1)-matrix M consisting of the last n 1 rows
and columns of M (or M ) is regular. We have n2 possibilities for the

263
2

choice of the position where M and M dier, n1 2(n1) possibilities

for the choice of M and 22(n1) possibilities for the choice of the other
members of the i -th row and the j -th column if M and M dier at
position (i j) . Hence
2

|H(A B)| = n2 22(n1) n1 2(n1) = (1 2) n1 n2 2n

(8.11)

Altogether
2

K(det)
n

2
(1 4) n1
n4 22n
2

n 2n (1 n ) 2n

1 n1 n1 4
1 4
n
n
4 n 1 n
12

(8.12)

EXERCISES
1. L(f g) = L(f) + L(g) if f and g depend essentially on disjoint sets
of variables.

2. (Bublitz (86)) Let

f(x1

x 6 ) = x1 x 4 x 1 x 6 x 2 x 4 x 2 x 6 x 3 x 6 x 4 x 5 x 4 x 6

a) There is a single-level circuit of size 7 for f .

b) Cm (f) = 7 .
c) Lm (f) = 7 .
d) All single-level formulas for f have at least 8 gates.
3. Let Lm (f) and Lm (f) be the minimal number of -gates and gates resp. in monotone formulas for f .
a) Lm (f) + Lm (f) Lm (f) .
b) Lm (T42) = 7 .
c) Lm (T42) = 2 .

264

d) Lm (T42) = 4 .
4. Prove that the Korobkov formulas for Tnk (see (2.1)) have size
O(n(log n)k1) .
5. The Fibonacci numbers are dened by a0 = a1 = 1 and
an = an1 + an2 . It is well-known that
n+1

n+1
( 5)
5 for = (1 2)(1 + 5) .
an =
Let = {NAND } where (x y) = x y and D (f) d .
Then f is a disjunction of monoms whose length is bounded by ad .
6. We use the notation of Exercise 5. If f Sn is not constant,

D (f) log ( 5n) 3 .

7. Let 1
k
n 3 , f Bn , f(a) = 0 for inputs a with exactly
k ones and f(a) = 1 for inputs a with exactly k + 2 ones. Then
L(f) = (n log log n) .
8. Let f f Sn , v(f) = (v0
mate L(f) L(f ) .

vn) and v(f ) = (vn

v0) . Esti-

9. There are 16 symmetric functions fn Sn with linear formula size.

For all other fn Sn L(fn) = (n log log n) .
10. Design ecient formulas for Cn0 8 and for Cn0 3 .
11. Apply the Meyer, Fischer and Paterson method and the Hodes
and Specker method to threshold functions.
12. How large is the fraction of f Sn with L(f) = o(n log n) ?
13. Apply the Nechiporuk method to circuits over Br .

265

14. The Nechiporuk method yields only linear bounds for symmetric
functions.
15. (Nechiporuk (66)) Let m and n be powers of 2 , m = O(log n) ,
m and n large enough that there are dierent yij {0 1}m ,
1 i l = n m , 1 j m , having at least two ones each. Let
xij be variables, and let gi j k (x) be the disjunction of all xkl such
that yij has a 1 at position l . Let
xij

f(x) =

1il 1jm

gi j k (x)
1kl k=i

Then L(f) = (n2 log1 n) .

16. (Sch
urfeld (84), just as 17. and 18.) Let f MN . Let k be
the maximal length of a prime implicant of f . Then f has at most
2 |Si |k1 Si -subfunctions. The Nechiporuk bound is not larger than
N2(1 k) .
17. Let f(x y z) =

zij xik ykj be the one-output function corre1i j kn

sponding to the Boolean matrix product (see 15, Ch. 6). Then
L(f) = (n3) .
18. We generalize the denition of f in Exercise 17. Let k 3 and
let X1
Xk1 Z be (k 1)-dimensional n n-matrices of
Boolean variables. For N = k nk1 let f MN be the disjunction
of all
zi(1)

1
i(k1) xr(1) r(k2)i(1)

xk1
r(1)

(1 i(j) , r(j) n). Then L(f) = (N21

r(k2)i(k1)

(k1)

).

19. Describe all f Bn where K(f) = n2 for the Krapchenko measure K .

266

20. Let f Bn . Let f(a) = c for all inputs a with exactly k ones and
f(a) = c for all inputs a with exactly k + 1 ones. Estimate K(f) .
21. 2 log n DU (x1 xn ) 2 log n .

267

9. CIRCUITS AND OTHER NON UNIFORM COMPUTATION

MODELS VS. TURING MACHINES AND OTHER UNIFORM
COMPUTATION MODELS

9.1 Introduction

Circuits represent a hardware model for the computation of

Boolean functions. For a given sequence fn Bn we look for circuits
Sn computing fn with small size (cost of the circuit, computation time
for sequential computations) and small depth (computation time for
parallel computations). Moreover we prefer circuits where n Sn can
be computed by an ecient algorithm. It is easy to check that most
of the circuits we have designed can be constructed eciently. An
exception is the monotone formula for the majority function (Ch. 8,
3) , and also the O(log n)-depth division circuit (Ch. 3, 3) cannot
be computed very eciently. A circuit has to be designed only once
and can be applied afterwards for many computations. So the time for
the construction of a circuit is not so important as the computation
time of the circuit.
How do circuits dier from software models ? A circuit works only
for inputs of a denite length, whereas a reasonable program works for
inputs of arbitrary length. A hardware problem is a Boolean function
fn Bn . Obviously each fn is computable. A software problem is a
language L {0 1} , i.e. a subset of the set of all nite 0-1-sequences.
It is well-known that many languages are not computable. So we look
for conditions implying that there is an ecient uniform algorithm for
L if there is a sequence Sn of ecient non uniform circuits for fn where
fn1(1) = L {0 1}n . And we ask whether we can design ecient
circuits Sn for fn if we know an ecient algorithm for L , the union of
all fn1 (1) (n ) .
Ecient simulations are known between the dierent uniform computation models (models for the software of computers). So we con-

268

sider Turing machines as a representative of uniform computation

models. In 2 and 3 we present ecient simulations of Turing
machines by circuits. Since there are non computable (non recursive)
languages, we cannot simulate in general sequences of circuits by Turing machines. In 4 we simulate eciently circuits by non uniform
Turing machines.
Are there languages L {0 1} for which we do not know any
polynomial Turing program but for which we can design ecient circuits, more precisely, ecient circuits Sn for fn dened by fn1(1) =
L {0 1}n ? In 5 we characterize languages with polynomial circuits, and in 6 we simulate eciently probabilistic Turing machines
by circuits. Nevertheless it is not believed that NP-complete languages
can have polynomial circuits. In 7 we discuss some consequences if
certain NP-complete languages would have polynomial circuits.
We prefer ecient circuits Sn for fn Bn , which can be constructed
eciently. In 8 we compare some denitions for such circuits called
uniform circuits. We close this introduction with a short survey of
some concepts of the complexity theory.
A (deterministic) Turing machine works on one on both sides unlimited working tape. Each register i of the tape contains a letter
of a nite alphabet . At the beginning the input (x1
xn) is
contained in the registers 0
n 1 , all other registers are empty
(contain the letter B = blank). The central unit of the machine is at
each point of time in one state q Q where Q is nite. The state at
the beginning of the computation is dened by q0 . The machine has
a head which can read one register and which can move from register i
to register i 1 or i + 1 . The head starts at register 0 . The program
is given by a transition function : Q Q {R,L,N} . If
the machine is in state q and reads a and if (q a) = (q a d) , then
the machine replaces the contents of the considered register by a ,
the new state of the machine is q , and the head moves one step in
direction d (R = right , L = left , N = no move) . The computation
stops in some denite state q . The result of the computation can be

269

read consecutively in the registers starting at register 0 until the rst

register contains the letter B . Turing machines may have more than
one tape. Then there is one head for each of the k tapes (k ) , and
the action of the machine depends on all letters which are read by the
k heads.
For input x let t(x) be the number of steps until the machine stops
and let s(x) be the number of dierent registers which are scanned by
the head of the machine. The computation time t and the space s of
the Turing machine are dened by
t(n) = max{t(x) | |x| = n}

(1.1)

where |x| is the length of x and

s(n) = max{s(x) | |x| = n}

(1.2)

For S T : we denote by DTIME(T) and DSPACE(S) the set

of languages which can be decided by deterministic Turing machines
in time O(T(n)) or space O(S(n)) resp. A machine decides L if it
computes 1 if x L and 0 if x L .
DEFINITION 1.1 : P is the class of languages which can be decided
by deterministic Turing machines in polynomial time.
In order to classify languages according to their complexity, one
considers non deterministic Turing machines. Then (q a) is a subset
of Q {R L N} . There is a number of admissible computation
steps. A non deterministic Turing machine accepts L if there is some
admissible computation on x with output 1 i x L . For x L
the computation time tndet (x) is the length of a shortest accepting
computation path. Moreover
tndet (n) = max({tndet (x) | |x| = n x L} {1})

(1.3)

DEFINITION 1.2 : NP is the class of languages which can be decided

by non deterministic Turing machines in polynomial time.

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The subclass of NP-complete languages contains the most dicult problems in NP in the following sense. Either P = NP or no
NP-complete language is in P (see Cook (71), Karp (72), Specker
and Strassen (76), and Garey and Johnson (79)). The majority of
the experts believes that NP = P . Then all NP-complete languages
(one knows of more than 1000 ones) have no polynomial algorithm.
We mention only two NP-complete languages, the set of all n-vertex
graphs (n arbitrary) with an n 2-clique and the class of all sets of
Boolean clauses (disjunctions of literals) which can be satised simultaneously (SAT = satisability problem).
In order to describe the complexity of a language L relative to
another language A , one considers Turing machines with oracle A .
These machines have an extra tape called oracle tape. If the machine
reaches the oracle state, it can decide in one step whether the word y
written on the oracle tape is an element of A . If one can design an
ecient Turing machine with oracle A for L the following holds. An
ecient algorithm for A implies an ecient algorithm for L , because
we can use the algorithm for A as a subroutine replacing the oracle
queries of the Turing machines with oracle A .
DEFINITION 1.3 : Let A be a language. P(A) or NP(A) is the class
of languages which can be decided by a polynomial deterministic or
non deterministic resp. Turing machine with oracle A . For a class C
of languages P(C) is the union of all P(A) where A C , NP(C) is
dened similarly.
DEFINITION 1.4 : The following hierarchy of languages is called
the Stockmeyer hierarchy (Stockmeyer (76)). 0 = 0 = 0 = P .
n = NP(n1) , in particular 1 = NP . n consists of all L whose
complement is contained in n and n = P(n1) .
Obviously n1 n . It is an open problem whether this hierarchy is proper. If n = n+1 , also n = n+k for all k 0 . In
order to prove NP = P , it is sucient to prove that n = P for some

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n 1 . Kannan (82) proved by diagonalization the existence of languages Lk 3 3 such that |Lk {0 1}n| is polynomially bounded
and Lk has no circuits of size O(nk ) . At the end of this survey we
state a characterization of the classes n and n (Stockmeyer (76)).
THEOREM 1.1 : L n (L n ) i the predicate x L can be
expressed by a quantied formula
(Q1 x1) (Qn xn ) T(x x1

xn )

(1.4)

xn are vectors of variables of polynomial length, T is

where x1
a predicate which can be decided in polynomial time and where
Q1
Qn is an alternating sequence of quantiers and and Q1 =
(Q1 = ) .
The problem whether n = n+1 is the problem whether we can
eliminate eciently quantiers.

9.2 The simulation of Turing machines by circuits: time and size

We like to simulate eciently Turing machines by circuits. Let

M be a deterministic Turing machine deciding L {0 1} in time
t(n) . We look for circuits Sn for fn dened by fn1 (1) = L {0 1}n
whose size is small with respect to t(n) . The easiest solution is a
step-by-step simulation. The diculty is the simulation of the head
(if-tests). After t steps the position of the head l (t) can take any
value in {t
0
t} depending on the input. For this reason
we simulate Turing machines at rst by special Turing machines with
simple head moves. These Turing machines can be simulated easily
by circuits.
DEFINITION 2.1 :
A Turing machine is called oblivious if the
sequence of head moves is the same for all inputs of the same length.

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For oblivious Turing machines pos(t n) , the position of the head

on inputs of length n after t t(n) steps, is well dened. The tth conguration of an oblivious Turing machine M on an input x of
length n is described uniquely by its state q(t x) and the contents
b(t x j) of register j where t(n) j t(n) . We use an arbitrary
encoding of Q and by 0-1-sequences of length log |Q| and log ||
resp. The 0 -th conguration is known, since q(0 x) = q0 , b(0 x j) =
xj+1 if 0 j n 1 and b(0 x j) = B otherwise. The output is
b(t(n),x,0). Let 1 and 2 be the rst two projections of the transition
function . Then
q(t + 1 x) = 1 (q(t x) b(t x pos(t n)))
b(t + 1 x j) = b(t x j) if j = pos(t n)

(2.1)
and

b(t + 1 x pos(t n)) = 2 (q(t x) b(t x pos(t n)))

(2.2)
(2.3)

Since is a nite function, there is a circuit of size O(1) for . Since

pos(t n) is known in advance, we can simulate M by t(n) copies of the
circuit for .
THEOREM 2.1 : If L can be decided by an oblivious Turing machine
in time t(n) , fn Bn dened by fn1(1) = L {0 1}n can be computed
by a circuit of size O(t(n)) .
This theorem holds also for oblivious Turing machines with k tapes.
The problem is the simulation of Turing machines M by oblivious ones:
At rst we describe a simple simulation which will be improved later.
The simulation works step-by-step. We use markers # (a new letter
not contained in the alphabet of M) and the alphabet ( {#})2 .
Then there is space for two letters in each register. After the simulation of the t-th step of M the registers t1 and t+n of M contain the
mark (# #) . The rst letter in register j {t
t + n 1} equals
the contents of this register after the t-th step of M . The second letter
is equal to # for that register read by the head of M , all other second
letters equal B . The head of M is at the left mark (# #) .

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In O(n) steps the 0 -th step can be simulated. For the simulation
of the t-th step M has to know the state q of M . The left mark
is shifted by one position to the left, then the head of M turns to
the right until it nds the marked register (a #) . M evaluates in
its central unit (q a) = (q a d) , it bears in mind q instead of q ,
replaces the contents of the register by (a B) , if d = R , and by
(a #) , if d = L or d = N . If d = R , the next register to the right
with contents (b B) is marked by (b #) in the next step. One goes
right to the right mark (# #) which is shifted one position to the
right. The head turns back to the left. If d = L , (a #) is replaced
by (a B) , and the register to the left containing (a B) is marked by
(a #) . The simulation stops when the left mark (# #) is reached.
M is oblivious, and the t-th computation step is simulated in O(t + n)
steps. Altogether t (n) = O(t(n)2) for the running time of M . A more
ecient simulation is due to Fischer and Pippenger ((73) and (79))
(see also Schnorr (76 a)).
THEOREM 2.2 : A deterministic Turing machine M with time complexity t(n) can be simulated by an oblivious Turing machine M with
time complexity O(t(n) log t(n)) .
Proof : Again we use a step-by-step simulation. We shift the information of the tape in such a way that each step is simulated in
register 0 . A move of the head to the right (left) is simulated by a
shift of the information to the left (right). This idea again leads to
an O((t(n)2) algorithm. To improve the running time we divide the
information into blocks such that a few small blocks have to be shifted
often, but large blocks have to be shifted rarely.
We like to shift a block of length l = 2m in time O(l ) l positions
to the right or left. This can be done by an oblivious Turing machine
with 3 tapes. One extra tape is used for adding always 1 until the sum
equals l which is stored on a second track of the tape. The second
extra tape is used to copy the information.

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On the working tape we use 3 tracks, namely the alphabet

( {#})3 for a new letter # . If a register with contents a
is scanned for the rst time, this contents is identied with (a # #) .
Each track j {1 2 3} is divided into blocks Bji (i ) where Bj0 contains position 0 of track j and Bji for i = 0 contains the 2|i|1 positions
2i1
2i 1 if i 0 or (2|i| 1)
2|i|1 if i 0 of track j . A
block is called empty when it contains only #s and is called full when
it contains no # . The segment Si consists of the blocks B1i B2i and
B3i . A segment is called clean if the number of full blocks is 1 or 2 . At
the beginning all blocks are either full or empty, and all segments are
clean. Clean segments contain some information and provide space
for further informations. They serve as a buer.
The program sim(k) simulates 2k steps of M . We demand that the
following statements hold after each simulation step.
(1) Each block is either full or empty.
(2) The contents of the tape of M after t computation steps can be
read after t simulation steps by reading the full blocks Bji according
to the lexicographical order on the pairs (i j) .
(3) The head of M scans register 0 , segment S0 . In the rst track of
this register is the information that M reads at that time.
(4) During the simulation of 2m steps the head only visits the segments
S(m+1)
Sm+1 . At the end of the simulation Sm
Sm are
clean, and the number of full blocks of S(m+1) (or Sm+1) is at most
by 1 larger or smaller than at the beginning.
At the beginning of the simulation (1) (4) are fullled. sim(0) is a
simple program which easily can be performed obliviously. M knows
the state q of the simulated machine M and reads in the rst track of
S0 the same information a as M does. Let (q a) = (q a d) . M bears
q in mind instead of q . It replaces in the rst track a by a . If d = L ,
the letter in the last full block of S1 is transmitted to the rst block
of S0 , all informations in S0 are transmitted from Bj0 to Bj+1
(j 2) .
0
If now B30 is full, its information is transmitted to B11 , the information

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of Bj1 is transmitted to Bj+1

(j 2) . If d = R , the contents of B10
1
is transmitted to the last empty block of S1 , the information of Bj0
(j 2) is transmitted to B0j1 . If B10 is empty now, the information of
B11 is transmitted to B10 , the information of Bj1 (j 2) is transmitted
to B1j1 . At the end the head is at position 0 . All these transmissions
are possible, since S1 S0 and S1 are clean at the beginning. Hence
S0 is clean at the end of sim(0) . Altogether sim(0) is an oblivious
program of constant time complexity fullling (1) (4).
sim(k) is dened for k

0 recursively by

sim(k) : sim(k 1); clean(k); sim(k 1); clean(k)

(2.4)

The program clean(k) should clean up Sk and Sk . We have seen

that after the application of sim(0) S1 and S1 can be unclean. Let
us investigate sim(k) as a non recursive procedure. sim(k) consists
of 2k simulation steps sim(0) where the t-th step is followed by
clean(1)
clean(l ) for l = max{m | 2m1 divides t} . By counting
the number of simulation steps, it is easy to see which clean-procedures
have to be performed.
We explain how clean(k) cleans up Sk (a similar program cleans
Sk) . The head turns to the right until it scans the rst register of
Sk . This can be done easily by counting the number of steps on an
extra tape. We distinguish three cases. In order to have the program
oblivious, the head simulates all three cases, but the actions are performed only for the right case. If Sk is clean, there is nothing to be
done. If all blocks of Sk are empty, the rst block of Sk+1 is broken
into two pieces and transmitted to the rst two blocks of Sk . The
j1
contents of Bjk+1 (j 2) is transmitted to Bk+1
. If all blocks of Sk are
full, the last two blocks are concatenated and transmitted to the rst
block of Sk+1 . The contents of Bjk+1 (j 2) is transmitted to Bj+1
k+1 .
We prove by induction on k that sim(k) fulls (1) (4). This has
been proved already for k = 0 . We investigate sim(k) for k 0 . By
induction hypothesis sim(k 1) fulls (1) (4). By (4) S(k+1) and
Sk+1 are clean, since they are not visited during sim(k 1) . Hence

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clean(k) works. Afterwards Sk

Sk are clean, and by induction
hypothesis sim(k 1) works correctly. Afterwards clean(k) is called
for the second time. This call for clean(k) would cause problems only
if Sk is empty and Sk was empty before the rst call of clean(k) or Sk
is full in both situations. In the rst case Sk+1 may be empty now,
in the second case Sk+1 may be full now. But such situations do not
occur. If Sk was empty before the rst call of clean(k) , we have lled
it up with two full blocks. Because of (4) the number of full blocks is
decreased by the second call of sim(k 1) at most by 1 , and Sk cannot
be empty again. If Sk was full before the rst call of clean(k) , we have
cleared out two blocks. Because of (4) the number of full blocks is
increased by the second call of sim(k 1) at most by 1 , and Sk cannot
be full again. Hence clean(k) works. Altogether sim(k) works and
fulls (1) (4).
By our considerations sim( log t(n) ) is an oblivious Turing machine M simulating M . The running time is O(t(n)) for all calls of
sim(0) and O(2k) for each call of clean(k) . Since clean(k) is called
only once for 2k simulation steps, the whole time spent for clean(k)
is O(t(n)) . If k
log t(n) , sim( log t(n) ) does not call clean(k) at
all. Hence the running time of M is t (n) = O(t(n) log t(n)) .

If we want to simulate the Turing machine M by circuits, we can

assume that s(n) is known to the circuit designer. We use markers ##
in the registers s(n) and s(n) which do not change M since M never
reaches these registers. The simulating oblivious Turing machine can
omit all calls of clean(k) for k
log s(n) . Information from S(k+1)
or Sk+1 will never be used in register 0 . Then the running time of
the oblivious Turing machine is only O(t(n) log s(n)) . From these
considerations, Theorem 2.1 and Theorem 2.2 we obtain the main
result of this chapter.
THEOREM 2.3 : If L can be decided by a deterministic Turing
machine in time t(n) and space s(n) , fn Bn dened by fn1(1) =

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L {0 1}n can be computed by a circuit of size O(t(n) log s(n)) .

9.3 The simulation of Turing machines by circuits: space and depth

The circuit we have constructed in 2 has large depth

O(t(n) log s(n)) , since we have simulated the sequential computation
of the given Turing machine step-by-step. Here we design circuits of
small depth with respect to the space complexity of the Turing machine.
If fn Bn depends essentially on all n variables, the space complexity of each Turing machine for the union of all fn1(1) fulls s(n) n .
The Turing machine has to read all inputs, but the space is not used
for work. Therefore we assume that the input is given on a read-only
input tape. The space complexity s(x) for input x is the number of
dierent registers that the Turing machine scans on the working tape,
if x is the input. Now it is possible that Turing machines need only
sublinear space s(n) = o(n) .
For example the language of all sequences consisting of ones only
can now be decided with 1 register (for the output) on the working
tape. The corresponding Boolean functions fn (x) = x1 xn have
circuit depth log n . All functions depending essentially on n variables have depth (log n) . Hence it is not astonishing that the depth
of our circuit depends on
l (n) = max{s(n) log n }

(3.1)

and not only on s(n) . Before we formulate the main result of this section (Borodin (77)), we prove a simple connection between the time
complexity and the space complexity of Turing machines. If a Turing machine runs too long on a short working tape, it reaches some
conguration for the second time. This computation cycle is repeated
innitely often, and the machine never stops. Let the registers of

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the working tape be numbered by 1

s(n) when the input x has
length n . Then a conguration is a vector
(q i a1

as(n) j)

(3.2)

n} is the position of the

where q Q is the current state, i {1
head on the input tape, j {1
s(n)} is the position of the head
on the working tape, and ak is the contents of register k . Hence
k(n) , the number of dierent congurations, fulls
log k(n) log |Q| + log n + s(n) log || + log s(n)

(3.3)

If t(n) k(n) , the Turing machine runs for some input in a cycle and
does not stop at all on this input. Hence by (3.3)
log t(n) log k(n) = O(l (n))

(3.4)

THEOREM 3.1 : If L can be decided by a deterministic Turing

machine in time t(n) and space s(n) , then
D(fn ) = O(l (n) log t(n)) = O(l (n)2) for fn1(1) = L {0 1}n

(3.5)

Proof : We assume that the Turing machine does not stop in q , but
that it remains in q and does not change the contents of the registers
of the working tape. Then the computation on x can be described by
the sequence of congurations k0 (x)
kt(n) (x) and x L i register 1 of the working tape contains a 1 in kt(n) (x) .
For each conguration k(x) the direct successor k (x) is unique.
k (x) does not depend on the whole input vector but only on that bit
xi which is read by the Turing machine in conguration k(x) . Let
A = A(x) be the k(n) k(n)-matrix where ak k = 1 (k , k congurations) i k is the direct successor of k on input x . Since ak k
depends only on one bit of x , A can be computed in depth 1 . Let
Ai = (aik k ) be the i -th power of A with respect to Boolean matrix
multiplications. Since
aik k =
k

aki1k ak

(3.6)

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aik k = 1 i on input x and starting in conguration k we reach conguration k after t steps. We compute by log t(n) Boolean matrix
multiplications AT for T = 2 log t(n) . The depth of each matrix multiplication is log k(n) + 1 . Finally
fn (x) =
kKa

aT
k0

(3.7)

for the starting conguration k0 and the set of accepting congurations Ka .

Altogether fn (x) can be computed in depth
1 + log t(n) ( log k(n) + 1) + log k(n) .
The theorem follows
from (3.4).

9.4 The simulation of circuits by Turing machines with oracles

Each Boolean function fn Bn can be computed by a Turing machine in n steps without working tape. The machine bears in mind the
whole input x and accepts i x fn1(1) . But the number of states of
the machine is of size 2n and grows with n . We like to design a Turing machine which decides L , the union of all fn1 (1) where fn Bn .
But L can be non recursive even if C(fn) is bounded by a polynomial.
A simulation of circuits by Turing machines is possible if we provide
the Turing machine with some extra information depending on the
length of the input but not on the input itself (Pippenger (77 b),(79),
Cook (80)).
DEFINITION 4.1 : A non uniform Turing machine M is a Turing
machine provided with an extra read-only tape (oracle tape) containing for inputs x of length n an oracle an . The computation time t(x)
is dened in the usual way, the space s(x) is the sum of the number of dierent registers on the working tape scanned on input x and
log |an | .

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The summand log |an | for the space complexity is necessary

for the generalization of the results of 3. We have to add m
{1
|an|} , the position of the head on the oracle tape, to a conguration vector k = (q i a1
as(n) j) (see (3.2)). If the space complexity is dened as done in Denition 4.1, the estimation (3.4) holds
also for non uniform Turing machines. Hence the results of 2 and
3 hold also for non uniform Turing machines.
THEOREM 4.1 : If cn = C(fn) = (n) , L , the union of all fn1(1) ,
can be decided by a non uniform Turing machine where t(n) = O(c2n )
and s(n) = O(cn ) .
Proof : The oracle an is an encoding of an optimal circuit Sn for
fn Bn . We number the inputs and gates of Sn by 1
n + cn .
A gate is encoded by its number, its type and the numbers of its
direct predecessors. The encoding of a gate has length O(log cn ) , the
encoding an of Sn has length O(cn log cn ) , hence log |an | = O(log cn ) .
The Turing machine can now simulate the circuit given in the oracle
step-by-step. After the simulation of i 1 gates, the results of these
gates are written on the working tape. The i -th gate is simulated by
looking for the inputs of the gate (on the input tape or on the working
tape), by applying the appropriate B2 to these inputs and by
writing the result on the working tape. It is easy to see that each gate
can be simulated in time O(cn) and we obviously need cn registers on
one working tape for the results of the gates and O(log cn ) registers
on another working tape for counting.

THEOREM 4.2 : If dn = D(fn ) = (log n) , L , the union of all

fn1(1) , can be decided by a non uniform Turing machine where t(n) =
O(n 2dn ) and s(n) = O(dn) .
Proof : The oracle an is an encoding of a depth optimal formula Fn
for fn . Formulas can be simulated with very little working tape, since

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the result of each gate is used only once. We number the gates of a
formula of depth dn in postorder. The postorder of a binary tree T
with left subtree Tl and right subtree Tr is dened by
postorder(T) = postorder(Tl ) postorder(Tr) root(T)

(4.1)

n} . If
A gate is encoded by its type and numbers il ir {0
il = 0 , the left direct predecessor is another gate and, if il = j
{1
n} , the left direct predecessor is the variable xj . In the same
way ir is an encoding of the right predecessor. Each gate is encoded
by O(log n) bits. Since formulas of depth d contain at most 2d 1
gates, log |an | = O(dn ) .
The Turing machine simulates the formula given in the oracle stepby-step. If we consider the denition of the postorder, we conclude
that gate G has to be simulated immediately after we have simulated
the left and the right subtree of the tree rooted at G . If we erase all
results that we have already used, only the results of the roots of the
two subtrees are not erased. Hence the inputs of G can be found in
the following way. The value of variables is looked up on the input
tape, the result of the j {0 1 2} inputs which are other gates are
the last j bits on the working tape. These j bits are read and erased,
and the result of G is added at the right end of the working tape.
Since each gate can be simulated in time O(n) the claim on the
computation time of the Turing machine follows. It is easy to prove
by induction on the depth of the formula that we never store more
than dn results on that working tape where we store the results of
the gates. We use O(log n) registers on a further working tape for
counting. Hence the space complexity s(n) of the Turing machine is
bounded by O(dn ) .

DEFINITION 4.2 : Let T S : .

i)

SIZE(T) or DEPTH(S) is the class of sequences fn Bn which can

be computed by circuits of size O(T(n)) or depth O(S(n)) resp.

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ii) NUTIME(T) or NUSPACE(S) is the class of languages L {0 1}

which can be decided by non uniform Turing machines in
time O(T(n)) or space O(S(n)) resp.
In 2 and Theorem 4.1 we compared the size of circuits with the
time of Turing machines. In 3 and Theorem 4.2 we have found a
tight relation between the depth of circuits and the space of Turing
machines. We collect these results in the following theorem, again
identifying languages and sequences of Boolean functions.
THEOREM 4.3 : i) SIZE(TO(1)) = NUTIME(TO(1)) if T(n) = (n) .
ii) DEPTH(SO(1)) = NUSPACE(SO(1)) if S(n) = (log n) .
Savage (72) considered another type of non uniform Turing machines. These Turing machines compute only a single Boolean function
fn Bn . The complexity C(n) of the Turing machine is measured by
p t(n) log s(n) where p is the number of bits in the Turing machine
program. Such a Turing machine can be simulated by a circuit of size
O(C(n)) , the proof makes use of the ideas in the proof of Theorem 2.3.

9.5 A characterization of languages with polynomial circuits

Based on the knowledge gained in 2 4 we prove a general

characterization of languages with polynomial circuits (Karp and Lipton (80)). This characterization is used later for a simulation of probabilistic Turing machines by circuits.
DEFINITION 5.1 : Let F be a class of functions h : . Poly
is the class of all h where |h(n)| is bounded by a polynomial. Let C
be a class of languages L {0 1} and let : ({0 1})2 {0 1}

283

be an injective encoding where | x y | = O(|x| + |y|) and (x y) can be

computed in time O(|x| + |y|) from x y . Then
C F = {L {0 1} | B C h F : L = {x | x h(|x|) B}}
(5.1)
is the class of languages L which are relative to some oracle function
h F in the class C .
For P Poly (see Def. 1.1 for the denition of P) the oracle word
of polynomial length can be the encoding of a circuit of polynomial
size. Hence the following theorem (Pippenger (79)) is not surprising.
THEOREM 5.1 : L P Poly i fn dened by fn1 (1) = L {0 1}n
has polynomial circuit size.
Proof : If L P Poly , then
L = {x | x h(|x|) B}

(5.2)

for some B P and h Poly . Hence there is some non uniform

polynomially time bounded Turing machine with oracle h(n) deciding
whether x h(|x|) B . This Turing machine M decides L by (5.2).
By Theorem 2.3 M can be simulated by circuits of polynomial size.
If C(fn) p(n) for some polynomial p , let h(n) be the standard
encoding of a circuit Sn for fn of size p(n) . Let B be the set of all
x y where y is an encoding of a circuit on |x| inputs computing 1
on input x . It is an easy exercise to prove that B P . By denition
L = {x | x h(|x|) B} and hence L P Poly .

It is interesting that also NP Poly can be described by properties

of circuits.
DEFINITION 5.2 : The language L {0 1} has polynomial generating circuits Sn (n ) if k(n) , the number of inputs of Sn , and

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g(n) , the number of gates of Sn , are bounded by a polynomial and if

for some selected gates or inputs G(0 n)
G(n n) of Sn
L {0 1}n = (res G(1 n) (a)

res G(n n) (a)) | a {0 1}k(n)

(5.3)

res G(0 n) (a) = 1

We explain this denition by the following considerations. Let L
have polynomial circuits, i.e. there are circuits Sn of polynomial size for
fn where fn1 (1) = L {0 1}n . Then these circuits are also generating.
We choose the inputs x1
xn as G(1 n)
G(n n) and the output
gate as G(0 n) . Then (5.3) is fullled by denition of fn . This result
is also a corollary of the following theorem (Schoning (84), Yap (83)),
since P Poly NP Poly .
THEOREM 5.2 :
circuits.

L NP Poly i L has polynomial generating

Proof : If L NP Poly , then

L = {x | x h(|x|) B}

(5.4)

for some B NP and h Poly . Since NP = 1 , there is by Theorem 1.1 some L P and some polynomial p such that
L = {x | y {0 1}p(|x|) : x h(|x|) y L }

(5.5)

Since L P , we nd circuits Sn of polynomial size q(n) working on

n + p(n) input variables (x y) and the oracle h(n) as constant input
and computing 1 i x h(n) y L . Sn are generating circuits for L .
We dene G(1 n)
G(n n) as the inputs x1
xn and G(0 n) as
the output gate of Sn .
If Sn is a sequence of polynomial generating circuits for L , we dene
h(n) as the encoding of Sn , G(0 n)
G(n n) and k(n) . Then h
Poly . Let B be the set of all x y where for n = |x| y is the encoding
of a circuit on k(n) inputs and of n+1 gates G(0 n)
G(n n) and of
k(n) such that there is an input a {0 1}k(n) for which res G(0 n) (a) = 1

285

and res G(i n) (a) = xi for 1 i n . B NP , since a non deterministic

Turing machine guesses a correctly. Moreover
L = {x | x h(|x|) B}

(5.6)

and hence L NP Poly .

It is an open problem whether P Poly = NP Poly .

9.6 Circuits and probabilistic Turing machines

DEFINITION 6.1 : For probabilistic Turing machines the set of

states Q contains three selected states qa , qr and q? . If one of these
states is reached, the machine stops. If the stopping state is qa , the
input is accepted (output 1) , if it is qr , the input is rejected (output
0) , if it is q? , the machine does not decide about the input (no output).
If q {qa qr q?} , (q a) (Q {R,L,N})2 . Each of the two
admissible computation steps is performed with probability 1 2 .
Probabilistic Turing machines can simulate deterministic computation steps. Then both triples in (q a) are the same. The output M(x)
of a probabilistic Turing machine M on input x is a random variable.
The running time t(n) is the length of the longest computation path
on inputs of length n .
DEFINITION 6.2 : Let L (x) = 1 i x L .
i)

PP (probabilistic polynomial) is the class of languages L {0 1} ,

such that there is some ppTm (polynomially time bounded probabilistic Turing machine) M where for all x
Prob(M(x) = L (x))

1 2 (Monte Carlo algorithms).

(6.1)

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ii) BPP (probabilistic polynomial with bounded error) is the class of

languages L {0 1} such that there is some ppTm M and some
0 where for all x
Prob(M(x) = L (x))

1 2+

(6.2)

iii) R (random) is the class of languages L {0 1} such that there

is some ppTm M where
Prob(M(x) = 1)

1 2 for x L and

(6.3)

for x L

Prob(M(x) = 0) = 1

iv) ZPP (probabilistic polynomial with zero error) is the class of languages L {0 1} such that there is some ppTm M where
Prob(M(x) = 0) = 0 and

Prob(M(x) = 1)

and

1 2 for x L
(6.4)

Prob(M(x) = 1) = 0 and

Prob(M(x) = 0)

1 2 for x L

(Las Vegas algorithms).

We do not like to discuss the quality of dierent casinos, but we
state that Las Vegas algorithms never tell lies, whereas Monte Carlo
algorithms may compute wrong results on nearly half of the computation paths. It is easy to prove (see Exercises) that
P ZPP R BPP PP

and

R NP

(6.5)

The error probability of BPP algorithms can be decreased by independent repetitions of the algorithm.
LEMMA 6.1 : Let M be a ppTm for L BPP fullling (6.2). Let
Mt (t odd) be that probabilistic Turing machine which simulates M
for t times independently and which accepts (rejects) x if more than
t 2 simulations accept (reject) x and which otherwise does not decide
about x . Then
Prob(Mt (x) = L (x))

1 2m

if

(6.6)

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2
(m 1)
log 1 42

(6.7)

Proof : Let E be an event whose probability p is larger than 1 2 + .

Then
pi (1 p)i

(1 2 + )i(1 2 )i = (1 4 2)i

(6.8)

Let ai for i t 2 be the probability that E happens exactly i times in

t independent repetitions of the experiment. Then
ai =

t i
p (1 p)ti
i

t
(1 4 2)t
i

(6.9)

Hence
Prob(Mt (x) = L (x))

1 (1 4 2 )t

2
0i t 2

t
i

(6.10)

= 1 (1 4 2 )t 2 2t1 = 1 (1 2)(1 42)t

Choosing t according to (6.7) , (6.6) follows from (6.10).

If the number of repetitions is bounded by a polynomial, Mt is

polynomially time bounded. Adleman (78) proved that languages L
R have polynomial circuits. Bennett and Gill (84) could generalize
this result.
THEOREM 6.1 : If L BPP , fn dened by fn1(1) = L {0 1}n has
polynomial circuit size.
Proof : We look for a computation path which is correct for all inputs
of the same length. Such a computation path will be used as an oracle.
We apply Lemma 6.1. This ensures the existence of a ppTm M for
L whose error probability is bounded by 22|x| . W.l.o.g. M stops for
all inputs x of length n after exactly p(n) computation steps where
p is a polynomial. A computation path is described by a vector
a {0 1}p(n) . In step t the (at + 1)-th possible computation step

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is performed. There are 2n+p(n) pairs (x a) of inputs of length n and

computation paths a of length p(n) . For xed x the number of computation paths leading to wrong results is bounded by 2p(n)2n . Hence
the number of pairs (x a) where a is a wrong computation path for
input x is bounded by 2p(n)n . Since 2p(n) 2p(n)n 1 , there is at
least one computation path h(n) {0 1}p(n) which is correct for all
inputs of length n. By denition h Poly . Let
B = { x y | y {0 1}p(|x|), M(x) = 1 on computation path y}
(6.11)
Then B P , since a deterministic Turing machine can simulate directly a probabilistic Turing machine on a given computation path.
Hence
L = {x | x h(|x|) B} P Poly

(6.12)

and, by Theorem 5.1 , fn dened by fn1(1) = L{0 1}n has polynomial

circuit size.

BPP and R contain languages which are not known to be contained

in P .

9.7 May NP-complete problems have polynomial circuits ?

If NP = P , all NP-complete problems have polynomial circuits.

But let us assume like most of the experts do that NP = P . Nevertheless there is the possibility that NP-complete languages have polynomial circuits. This would imply for problems in NP that non uniform circuits are much more powerful than uniform Turing machines.
Again, hardly anyone expects such a result. We corroborate this expectation in this section. If, for example, SAT (see 1) has polynomial circuits, then Stockmeyers hierarchy collapses at an early stage.

289

Again, the experts do not expect that. But beware of experts. The
experts also believed that non uniform algebraic decision trees cannot
solve NP-complete problems in polynomial time. However Meyer auf
der Heide (84) proved that the knapsack problem can be solved by
algebraic decision trees in polynomial time.
DEFINITION 7.1 : A language L is called polynomially self-reducible
if it can be decided by a polynomially time bounded Turing machine
with oracle L which asks its oracle for inputs of length n only for words
of length m n .
LEMMA 7.1 : SAT is polynomially self-reducible.
Proof : Let the input be a set of clauses where at least one clause
includes x1 or x1 . Then we replace at rst x1 by 1 and ask the oracle
whether the new set of clauses can be satised. Afterwards we repeat
this procedure for x1 = 0 . We accept i one of the oracle questions is
answered positively.

For a language L we denote by Ln the union of all Lm = L{0 1}m

for m n . Let L(M) or L(M B) be the language decided by the
Turing machine M or the Turing machine M with oracle B resp.
LEMMA 7.2 : Let A be polynomially self-reducible, and let M be
a polynomially time bounded Turing machine according to Denition 7.1. If L(M B)n = Bn , then An = Bn .
Proof : By induction on n . If n = 0 , M is not allowed to ask the
oracle. Hence it does the same for all oracles.
A0 = L(M A)0 = L(M B)0 = B0

(7.1)

If L(M B)n+1 = Bn+1 , also L(M B)n = Bn and by the induction

hypothesis An = Bn . Since M asks on inputs x , where |x| n + 1 ,

290

the oracle only for words y , where |y| n ,

An+1 = L(M A)n+1 = L(M An)n+1 = L(M Bn)n+1

(7.2)

= L(M B)n+1 = Bn+1

This lemma serves as technical tool for the proof of the following
theorem (Balcazar, Book and Schoning (84)). The complexity classes
k and k(A) are dened in 1.
THEOREM 7.1 : Let A k Poly be polynomially self-reducible.
Then 2(A) k+2 .
Before we prove this theorem, we use it to prove the announced
result due to Karp and Lipton (80).
THEOREM 7.2 : If SAT has polynomial circuits, then 3 = 2 and
the Stockmeyer hierarchy collapses at the third stage.
Proof : If SAT has polynomial circuits, then SAT P Poly =
0 Poly (Theorem 5.1). Hence 2(SAT) 2 3 (Theorem 7.1
and Lemma 7.1). Since SAT is NP-complete, 3 = NP(NP(NP)) =
2(SAT) . Hence 2 = 3 .

Proof of Theorem 7.1 : Let M be a Turing machine deciding A and

fullling the properties of Denition 7.1. Since A k Poly , there
are some language B k and some h Poly such that
An = {x | x h(n) B}n

(7.3)

Also Bw = {x | x w B} k . Let L 2(A) . We have to prove

L k+2 . By Theorem 1.1 there is a polynomially time bounded
Turing machine M with oracle A such that

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L = {x | ( y)q( z)q : x y z L(M A)}

(7.4)

Here q is a polynomial where q(|x|) is a bound for |y| and |z| . Since
M is working in polynomial time r(|x|) , also the length of each oracle
word is bounded by r(|x|) . Let p be the polynomial p r . We want
to prove that
L = {x | ( w)p : (( u)r R(u w) ( y)q ( z)q S(w x y z))} (7.5)
where R(u w) holds i u Bw u L(M Bw ) and
S(w x y z) holds i x y L(M Bw ) .
R S P(k) since Bw k . (7.5) implies
L = {x | ( w)p ( y)q ( u)r (z)q : R(u w) S(w x y z)}

(7.6)

Hence L k+2 by Theorem 1.1. We still have to prove (7.5).

We claim that the predicate ( u)rR(u w) is equivalent to
Ar(n) = (Bw )r(n) . Since |u| r(n) , the given predicate is equivalent to (Bw )r(n) = L(M Bw )r(n) . This implies Ar(n) = (Bw )r(n) by
Lemma 7.2. The other part follows from the denition of M .
By (7.3) there is always some w where |w| p (|x|) and
( u)r R(u w) holds. Only for such words we have to consider the
second predicate. Then we can replace the oracle Bw by A . By (7.4)
x L i ( y)q ( z)q S(w x y z) holds. This proves (7.5).

Schoning (83) introduced two hierarchies between P and NP . Ko

and Schoning (85) proved for the so-called low-hierarchy (see Exercises), that languages A NP with polynomial circuits are already
contained in the third level of this hierarchy.

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9.8 Uniform circuits

We have simulated deterministic non uniform Turing machines and

also probabilistic Turing machines eciently by circuits. Circuits can
be simulated eciently only by non uniform Turing machines. Instead
of considering the more powerful non uniform Turing machines, we ask
for restricted circuits such that these so-called uniform circuits can be
simulated eciently by (uniform) Turing machines. We only give a
brief introduction (without proofs) to this subject.
The standard encoding SCn of a circuit Sn is the encoding of its
gates by the type of the gate and the numbers of the direct predecessors
(see 4). If n SCn can be computed eciently with respect to n ,
then the circuits Sn can be simulated eciently (again see 4). There
are a lot of possibilities how we can dene what ecient computation
of n SCn means.
DEFINITION 8.1 : A sequence of circuits Sn of size cn and depth dn
is called UB -uniform or UBC -uniform, if n SCn can be computed by
a Turing machine whose space is bounded by O(dn ) or O(log cn ) resp.
Here B stands for Borodin (77) and C for Cook (79). Cook also
introduced the classes NC and NCk (NC = Nicks Class celebrating
the paper of Pippenger (79)). These classes (with the modication
of unbounded fan-in - and -gates) are important also as complexity classes for parallel computers. Since Ruzzo (81) characterized the
classes NCk by alternating Turing machines (see Chandra, Kozen and
Stockmeyer (81)), this type of Turing machines describes parallel computers.
DEFINITION 8.2 : NC = UBC - SIZE,DEPTH(nO(1) logO(1) n) is the
class of languages L such that fn dened by fn1 (1) = L {0 1}n can
be computed by UBC -uniform circuits of polynomial size and polylog

293

depth (the depth is a polynomial with respect to log n) .

NCk = UBC - SIZE,DEPTH(nO(1) logk n) .
THEOREM 8.1 : If k 2 , NCk = A - SPACE,TIME(log n logk n) is
the class of languages which can be decided by an alternating Turing
machine of space O(log n) and time O(logk n) .
Further denitions of uniform circuits (Ruzzo (81)) refer to the
complexity of the structure of the circuits (Goldschlager (78)). For a
gate G and p = (p1
pm ) {L,R} let G(p) be the gate Gm where
G0 = G and Gi is the pi -predecessor (L = left , R = right) of Gi1 .
G() = G for the empty word .
DEFINITION 8.3 : The direct connection language DCL of a sequence of circuits Sn is the set of all n g p y where g is the number
of some input or gate G in Sn , p { L R} and y is the type of G if
p = or y is the number of G(p) if p = . The extended connection
language ECL of Sn (n ) is dened in the same way but p {L R}
and |p| log cn .
DEFINITION 8.4 :
depth dn .
i)

Let Sn be a sequence of circuits of size cn and

Sn is called UD-uniform if DCL can be decided by Turing machines

in time O(log cn ) .

ii) Sn is called UE -uniform if ECL can be decided by Turing machines

in time O(log cn ) .
iii) Sn is called UE -uniform if ECL can be decided by alternating
Turing machines in time O(dn ) and space O(log cn ) .

THEOREM 8.2 :
depth dn .

Let Sn be a sequence of circuits of size cn and

294

i)

Sn UE -uniform
Sn UB -uniform .

Sn UD-uniform

Sn UBC -uniform

ii) Sn UE -uniform Sn UE -uniform Sn UB -uniform .

iii) Sn UBC -uniform Sn UE -uniform if dn log2 cn .
These properties are easy to prove. More results have been proved
by Ruzzo (81). They are summarized in the following theorem.
THEOREM 8.3 : Let X D E E .
i)

NC = UX - SIZE,DEPTH(nO(1) logO(1) n) .

ii) If k 2 , NCk = UX - SIZE,DEPTH(nO(1) logk n) .

Hence the proposed denitions are rather robust. Only the notion
of UB -uniformity seems to be too weak. Most of the circuits we have
designed are uniform, many fundamental functions are in NCk for
small k .

EXERCISES
1. An oblivious t(n) time bounded Turing machine with k tapes can
be simulated by circuits of size O(t(n)) .
2. A t(n) time bounded Turing machine with k tapes can be simulated by an O(t(n)2) time bounded Turing machine with one tape.
3. Specify an oblivious Turing machine for sim(0) .

295

4. Estimate the size of the circuits designed in 3.

5. Prove (6.5).
6. Let ACP (almost correct polynomial) be the class of languages L
such that L is almost decided by a polynomial Turing machine,
i.e. the number of errors on inputs of length n is bounded by a
polynomial q(n) . If L ACP , L has polynomial circuits.
7. Let APT (almost polynomial time) be the class of languages L
which can be decided by a Turing machine whose running time
is for some polynomial p for at least 2n p(n) inputs of length n
bounded by p(n). If L APT , L has polynomial circuits.
8. Let Lk = {A NP | k (A) k } (low hierarchy)
and Hk = {A NP | k+1 k(A)} (high hierarchy). Let PH be
the union of all k . If PH = k , then Lk Hk = .
9. If PH = k , then Lk = Hk = NP .
10. Let Sn be a sequence of circuits of size cn and let s(n) = (log cn ) .
Then the following statements are equivalent :
a) (n SCn ) DSPACE(s(n)) .
b) ECL DSPACE(s(n)) .
c) DCL DSPACE(s(n)) .
11. Prove Theorem 8.2. Hint: DSPACE(t) A-SPACE,TIME(t t2) .
12. Which of the circuits designed in Ch. 3 and Ch. 6 are uniform ?
Which of the functions investigated in Ch. 3 and Ch. 6 are in NC
or in NCk ?

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10. HIERARCHIES, MASS PRODUCTION AND REDUCTIONS

10.1 Hierarchies

How large are the gaps in the complexity hierarchies for Boolean
functions with respect to circuit size, formula size and depth ? A gap
is a non-empty interval of integers none of which is the complexity
of any Boolean function. Other hierarchies are investigated in Ch. 11
and Ch. 14.
Let Bn denote the set of all Boolean functions depending essentially
on n variables, n is xed for the rest of this section. For any complexity
measure M , let M(r) be the set of all f Bn where M(f) r . The
gap problem is to nd for each r the smallest increment r = m(r) such
that M(r) is a proper subset of M(r + r ) .
We are interested in c (j) , l (j) and d (j) for binary bases .
Tiekenheinrich (83) generalized the depth results to arbitrary bases.
Obviously c (j) is only interesting for those j where C(j + 1) =
and C(j) = Bn . For any complexity measure M , let M(Bn ) be the
complexity of the hardest function in Bn with respect to M . It has
been conjectured that
d (j) = c (j) = l (j) = 1 for all and all interesting j .

(1.1)

It is easy to prove that d (j) 2 and c (j) l (j) j + 1 (McColl (78 a)). The best results are summarized in the following theorem
(Wegener (81) and Paterson and Wegener (86)).

THEOREM 1.1 :
d (j) = 1 for all B2 and log n 1 j
Let {B2 U2 m} . Then

D (Bn ) .

(1.2)

297

c (j) = 1

if n 2 j C (Bn1)

c (j) n if C(Bn1)

C (Bn ) and

l (j) n if n 2 j

L (Bn )

(1.3)
(1.4)
(1.5)

For any complete basis B2 there is a constant k() such that

c (j) k()

if n 2 j C (Bn1) and

c (j) k()n if C (Bn1)

C(Bn )

(1.6)
(1.7)

The proof of the general claim (1.2) is technically involved. (1.5)

(1.7) can be proved by the same methods as (1.3) and (1.4). Hence
we shall present the proof of (1.2)-(1.4) for the bases B2 U2 and m .
Before doing so we state some counterexamples.
(1.1) is false for some bases and small n , and we even know an example
where c (j) n . We note that B2 = U2 { } .
= U2 : C (U2) = 1 but C () = C () = 3 (Theorem 3.1, Ch. 5).
Therefore c (1) = 2 . Similarly l (1) = 2 .
= { } : C (U2) = 2 but C () = C () = 4
(Redkin (73)). Therefore c (2) = 2 . Similarly l (2) = 2 .
= { } : C(U2) = 4 but C() = C () = 7 (Redkin (73)).
Therefore c (5) = 2 and c (4) = 3 2 = n . Similarly l (4) = 3 .

Proof of Theorem 1.1 : The idea of the proof is to take some function
f in Bn of maximal complexity and construct a chain of functions
from the constant function 0 up to f such that the circuit size cannot
increase by much at any step in the chain. We then conclude that
there can be no large gaps.
Let f Bn be a function of maximal circuit size with respect to .
Let f 1(1) = {a1
ar} . For the case = m we shall assume that

298

the as are ordered in some way, so that for s t , at does not contain
more ones than as . Let f0 0 , f1
fr = f where
fk1(1) = {a1

ak} for 0 k r

(1.8)

Obviously D (f1) = log n , C(f1) = n 1 and f1 Bn . For the case

= m each fk is monotone. If fk(a) = 1 and b a , also f(b) = 1
and i j for ai = b and aj = a . Hence fk(b) = 1 .
For any ak = (e(1)
e(1)

mk(x) = x1

e(n)) dene the minterm

xe(n)
n

(1.9)

and the monom

tk(x) =

i | e(i)=1

xi

(1.10)

Then for 0 k r we have fk = fk1 mk while in the monotone case

we have also fk = fk1 tk . This follows, since mk(x) = 1 i x = ak
and tk (x) = 1 i x ak . In all cases we see that
D (fk) max{D (fk1) log n } + 1 and

(1.11)

C(fk ) Ck (fk1) + n

(1.12)

It is possible that fk Bn . If fk depends essentially only on m variables, we assume w.l.o.g. that these variables are x1
xm . In
fk = fk1 mk or fk = fk1 tk we replace xm+1
xn by 0 . Therefore
(1.12) is improved to
C(fk ) C (fk1) + m

(1.13)

Let p(x) = xm+1 xn . Then fk = fk p Bn . Let mk and tk be

the subfunctions of mk and tk resp. for xm+1 = = xn = 0 . Then
the depth of mk p and tk p is bounded by log n + 1 , and the
circuit size of these functions is bounded by n 1 . Obviously fk is a
subfunction of fk . Hence
D (fk) D (fk) max{D (fk1) log n + 1} + 1

(1.14)

299

max{D (fk1
) log n + 1} + 1 and

)+n
C (fk) C (fk) C (fk1) + n C (fk1

(1.15)

D (f1 ) = log n and for any log n + 2 j D (Bn ) we nd

some i(j) such that D (fi(j)

) = j . It is an exercise to prove the existence

of some g Bn such that D (g) = log n + 1 . We have proved (1.2)

and by (1.15) also (1.4).
To prove our optimal result (1.3) for the lower range of circuit size
we need to go up from fk1 to fk in smaller steps. We will explain this
construction only for the complete bases, since for the monotone case
it is similar. Let V(h) be the set of variables on which h is depending
essentially. We shall construct a sequence h0
hm Bn with the
following properties.
C(hi ) C (hi1) + 1

(1.16)

C(h0 ) = 0 C(hm ) = C (Bn1) + 1

(1.17)

V(hi1) V(hi )

(1.18)

Let gi Bn be the disjunction of hi and all variables not in V(hi ) .

Then C (g0) = n 1 , C(gm ) = C(Bn1) + 1 and
C(gi ) = C(hi ) + n |V(hi )| C(hi1) + 1 + n |V(hi1)|

(1.19)

= C(gi1) + 1
For any n 1 j C(Bn1) + 1 we nd some i(j) such that
C(gi(j) ) = j . This proves (1.3).
We construct h0
hm . Let f Bn1 be of maximal circuit size.
Let fr = f and r = |f 1(1)| . We construct fk1 as before by removing
a (minimal) element of fk1(1) , but now regarding fk as a member
of Bs(k) where s(k) = |V(fk)| . The eect of this is to ensure that

300

V(fk1) V(fk) . Then fk = fk1 mk where mk is a minterm on the

variables in V(fk) . The procedure stops after r r steps with fr 0 .
We note that no function fk depends essentially on xn . This variable
is used as a pointer in an interpolating sequence. Let mk(x) be the
e(i)
conjunction of all xi (1 i s(k)) . Let
e(1)

fk1 i = fk1 (xn x1

Then the sequence h0
fr

fr

s(r +1)

e(i)

xi ) for 0 i s(k)

(1.20)

hm is dened as the sequence

fr1 0

fr1 s(r) fr 0

(1.17) is fullled, since fr

C(fr) = C (Bn1) .

= xn , fr 0 = fr xn , fr Bn1 and

We prove (1.16). In an optimal circuit for fk1 i we replace xn by

e(i+1)
z = xn xi+1 . The new circuit has C(fk1 i) + 1 gates. We interpret
z as a new variable and conclude that the new circuit computes
e(1)

fk1 z x1

e(i)

xi

= fk1 i+1

(1.21)

In an optimal circuit for fk1 s(k) we replace xn by 1 . Then we compute fk (see (1.20)). Since fk 0 = fk xn , also C(fk 0) C (fk1 s(k)) .
We prove (1.18). Let s = s(k) . V(fk1 i) is a subset of
{x1
xs xn} . We regard fk1 i as a member of Bs+1 . fk1 i depends
essentially on xn . Let ak be that vector which has been removed
1
from fk1(1) for the construction of fk1
(1) . Then ak {0 1}s and
fk1 i(ak 0) = 0 but fk1 i(ak 1) = 1 . If xn = 0 , fk1 i = fk1 and
fk1 i depends essentially on all variables in V(fk1) = {x1
xs }
where s = s(k 1) . Moreover fk1 i depends essentially on x1
xi .
If fk1 i was not depending essentially on xj (j i) we could use
the procedure for the proof of (1.16) and would obtain a circuit
for fk not depending on xj . This would be a contradiction to the
fact that fk depends essentially on x1
xs . For s = max{s i} ,
V(fk1 i) = {x1
xs xn} . Therefore V(fk1 i) V(fk1 i+1) and
V(fk1 s) = {x1
xs xn} = V(fk 0) .

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The counterexamples show that Theorem 1.1 is at least almost optimal. The general proof of (1.2) (Wegener (81)) is based on the assumption that the constants 0 and 1 are inputs of the circuit. Strangely
enough, this assumption is necessary at least for small n . Let be
the complete basis {1 } (Ring-Sum-Expansion) and let 1 be not
an input of the circuit. B1 = {x1 x1} , D (x1) = 0 but D (x1 ) = 2 .
Therefore d (0) = 2 .

10.2 Mass Production

Test sequences for the purpose of medical research, experiments

in physical sciences or inquiries in social sciences often require large
sample size. It is impossible to analyze directly all data. In some preprocessing phase one performs a data reduction, i.e. the same function
is applied to the data of each single test.
DEFINITION 2.1 : The direct product f g Bn+m k+l of f Bn k
and g Bm l is dened by
(f g)(x y) = (f(x) g(y))

(2.1)

Similarly f1 fr is dened and rf is the direct product of r copies

of f .
It is possible to compute r f by r copies of an optimal circuit for
f . We ask whether one can save gates for the mass production of f .
Obviously this is not possible for simple functions like x1 xn .
Moreover one might believe that it makes no sense to compute functions depending on variables of dierent copies of f . But we have
already seen that the encoding of independent information in a common bit string is useful for certain applications, see e.g. the application
of the Chinese Remainder Theorem in Ch. 3.

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Let us consider medical tests. If x is the data of some person,

f(x) = 1 i this person is infected by some denite pathogenic agent.
If rf has large complexity and if it is known that only a small number
of people may be infected, it is useful to compute at rst whether at
all any person is infected.
DEFINITION 2.2 : The direct disjunction (f g) Bn+m of f Bn
and g Bm is dened by
(f g)(x y) = f(x) g(y)

(2.2)

Similarly (f1 fr ) and (r f) are dened.

If (r f) can be computed more eciently than r f , we use
the following strategy. We compute (r f) . If the output is 0 , no
person is infected and we stop. Otherwise we compute (s f) for
some s
r and some subset of persons and so on. Some remarks
on how to choose good strategies are included in the monograph of
Ahlswede and Wegener (86). Here we investigate the complexity of
rf and (rf) . The following table shows in which situation savings
are possible for mass production.
C
ff

Cm

Yes No

L
No

(f f) Yes Open problem No

Tab. 2.1
It is easy to prove the results on formula size.
THEOREM 2.1 : i) L (f g) = L (f) + L (g) for all f , g and .
ii) L ((f g)) = L (f) + L (g) + 1 if and f and g are not
constant.

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Proof : i) Because of the fan-out restriction of formulas we need disjoint formulas for f and g .
ii) The upper bound is obvious since . Let a f 1 (0). By
denition (f g)(a y) = g(y) . Therefore each formula for (f g)
has at least L (g) + 1 leaves labelled by y-variables. The existence of
L (f) + 1 x-leaves is proved in the same way. Altogether each formula
for (f g) has at least L (f) + L (g) + 2 leaves. This implies the
lower bound.

The result on monotone circuits has been proved by Galbiati and

Fischer (81).
THEOREM 2.2 : Cm (f g) = Cm(f) + Cm (g) .
Proof : We assume that an optimal monotone circuit S for f g
contains less than Cm (f) + Cm (g) gates. Then there are gates in S
having x- and y-variables as (not necessarily direct) predecessors. Let
H be the rst of these gates computing h(x,y) out of the inputs h1(x)
and h2 (y). W.l.o.g. H is an -gate, -gates are handled in the dual
way. Let f and g be the functions computed instead of f and g resp.
if we replace H by the constant 0 . By monotonicity f f and g g .
If f = f , there are a and b where f (a b) = 0 and f(a b) = 1 . Also
f (a 0) = 0 , since the circuit is monotone (here 0 is also the vector
consisting of zeros only). f(a 0) = 1 , since f does not depend on
the y-variables. Therefore f (a 0) = f(a 0) implying h(a 0) = 1 and
h2(0) = 1 . Again by monotonicity h2 1 in contradiction to the
optimality of S . Similar arguments prove g = g . Hence f = f and
g = g in contradiction to the optimality of S .

We have proved that optimal monotone circuits for f g consist of

disjoint optimal monotone circuits for f and g . It does not help to join
x- and y-variables. Uhlig ((74) and (84)) proved that the situation is
totally dierent for circuits over complete bases.

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THEOREM 2.3 : C(r f) 2n n1 + o(2n n1) if f Bn and

log r = o(n log1 n) .
For hard functions mass production leads to extreme savings of
resources. If C(f) = (2n n1 ) (as for almost all f Bn , see Ch. 4) ,
0 and n suciently large, the complexity of 2o(n log n) copies of f
is at most by a factor 1 + larger than the complexity of f . For all
practical purposes this result is not of large value, since most of the
interesting functions have circuit complexity bounded by O(2n ) for
some 1 .
Theorem 2.3 holds also for (r f) which can be computed from
r f by r 1 additional gates. The use of mass production for (r f)
has also been proved by Paul (76). His methods dier from those
of Uhlig. Paul considered Turing machines for the computation of
(r f) and applied the ecient simulation of Turing machines by
circuits (see Ch. 9, 2). These results disprove the conjecture that
Ashenhurst decompositions (Ashenhurst (57)) lead to optimal circuits.
DEFINITION 2.3 : An Ashenhurst decomposition of f Bn is given
by
f(x) = g(x(1)
for some m {1

x(m) h(x(m+1)

x(n) ))

(2.3)

n 2} , g Bm+1 and permutation .

The general proof of Theorem 2.3 is technically involved. Therefore

we consider only the case r = 2 . This is sucient for the Yes-entries
in Tab. 2.1.
Proof of Theorem 2.3 for r = 2 : We design a circuit for (f(x) f(y)) .
For some k specied later let x = (x1
xk ) and x = (xk+1
xn ) .
Similarly y and y . For 0 l
2k let fl be the subfunction of f
where we replace the rst k inputs of f by the binary representation
(of length k) of l . By i and j we denote the numbers whose binary
representations are x and y resp. Then we have to compute fi (x )

305

and fj (y ) . Let g0 = f0 , gl = fl 1 fl for 1 l 2k 1 and gl = fl 1

for l = L := 2k . Then
fl = g0 gl = gl +1 gL

(2.4)

Let us assume for the moment that i j . Then it is sucient to

compute g0(x )
gi(x ) and gj+1(y )
gL(y ) .
We compute zl = x if 0 l i and zl = y if i + 1 l L . O(k)
gates are sucient for each l to compute l = 1 i l i . Afterwards
O(1) gates are sucient to select each of the nk bits of zl . Altogether
we need O(n 2k ) gates for the computation of all zl . For all l we
compute gl (zl ) . Since gl depends only on n k variables, we need
altogether (see Ch. 4, 2) only
(2k + 1)(2nk (n k)1 + o(2nk (n k)1))

(2.5)

gates. Afterwards we compute al = gl (zl ) if l i and al = 0 else

and also bl = gl (zl ) if l j + 1 and bl = 0 else. This again can be
done by O(n 2k) gates. Now f(x) = fi (x ) is the -sum of all al and
f(y) = fj (y ) is the -sum of all bl .
The total number of gates is O(n 2k) plus the number in (2.5). If
k = (1) and k = o(n) the number of gates is bounded by 2n n1 +
o(2n n1) .
In general we do not know whether i j . O(n) gates are sucient to compute = 0 i i j . We interchange x and y i = 1
(O(n) gates). Then we use the circuit described above and compute
(f(x) f(y)) if = 0 and (f(y) f(x)) if = 1 . By O(1) additional gates
we compute (f(x) f(y)) in all cases.

The fundamental idea is the encoding of x and y by the z-vectors

in such a way that only 2k + 1 and not 2k+1 functions on n k variables have to be computed. The idea is the same for larger r but the
encoding is more dicult. For monotone functions we improve Theorem 2.3 using the asymptotic results of Ch. 4, 5 , and the fact that
subfunctions of monotone functions are monotone and the methods of
Uhlig.

306

COROLLARY 2.1 :
o(n log1 n) .

C(r f) = O(2n n3 2) if f Mn and log r =

10.3 Reductions

Reducibility is a key concept in the complexity theory. Polynomialtime reducibility is central to the concept of NP-completeness (see
Garey and Johnson (79)). Reducibility can be used to show that the
complexities of dierent problems are related. This can be possible
even though we do not know the complexity of some problem. Reducibility permits one to establish lower and upper bounds on the
complexity of problem A relative to problem B or vice versa. If A is
reducible to B , this means that A is not much harder than B . Lower
bounds on the complexity of A translate to similar lower bounds on the
complexity of B . An ecient algorithm for B translates to a similarly
ecient algorithm for A . This requires that the necessary resources
for the reducibility function are negligible compared to the complexity
of A and B .
The monograph of Garey and Johnson (79) is an excellent guide to
reducibility concepts based on Turing machine complexity. Because of
the ecient simulations of Turing machines by circuits (Ch. 9, 23)
all these results can be translated to results on circuit complexity.
We discuss three reducibility concepts that were dened with view
on the complexity of Boolean functions. The three concepts are NC1 reducibility, projection reducibility and constant depth reducibility.
NC1 -reducibility is dened via circuits with oracles (Cook (83),
Wilson (83)). We remember that NCk is the class of all sequences fn Bn having UBC-uniform circuits Sn of polynomial size and
O(logk n) depth (see Ch. 9, 8).

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DEFINITION 3.1 : For gn Bn m(n) a circuit with oracle g = (gn )

consists of B2-gates and oracle gates computing some gn . The size of
a gn -oracle gate is n + m(n) and its depth is log n .
DEFINITION 3.2 :
The sequence f = (fn ) is NC1 -reducible to
g = (gn) if fn can be computed by UBC -uniform circuits Sn with oracle g and logarithmic depth.
Notation : f 1 g .
NC1 -reducibility is reexive (f 1 f) and transitive (f 1 g 1 h
f 1 h) . The proof of these properties is left as an exercise. It is
intuitively evident that f is not harder than g if f 1 g . This intuition
is made precise in the following theorem.
THEOREM 3.1 : f NCk if f 1 g and g NCk .
Proof : Since f 1 g , there are UBC -uniform circuits Sn with oracle g
and O(log n) depth computing fn . The size of Sn is polynomially
bounded as for all circuits of logarithmic depth. Since g NCk , there
are UBC -uniform circuits Tn of polynomial size and O(logk n) depth
computing gn . Let Un be those circuits where we have replaced grgates in Sn by copies of Tr . The circuits Un are UBC -uniform. They
have polynomial size, since we have replaced polynomially many gates
by circuits of polynomial size.
We estimate the length of a path p in Un . Let p be the corresponding path in Sn . Gates of depth 1 on p have not been lengthened. Gates
of depth log r on p have been replaced by paths of length O(logk r) .
Hence the length of p is bounded by O(log n) plus the sum of some
O(logk ri ) such that the sum of all O(log ri ) is bounded by O(log n) .
Since the function x xk is convex, the length of p is bounded by
O(logk n) . This establishes the bound on the depth of Un .

308

We often have used (see Ch. 3) implicitly the notion of NC1 reducibility, although we have not discussed the uniformity of the
circuits. In order to practise the use of this reducibility concept,
we present some NC1 -reducibility results on arithmetic functions
(Alt (84), Beame, Cook and Hoover (84)). Let MUL (more precisely
MULn ) be the multiplication of two n-bit integers, SQU the squaring
of an n-bit integer, POW the powering of an n-bit number, i.e. the
computation of x x2
xn and DIV the computation of the n most
signicant bits of x1 .

THEOREM 3.2 : MUL =1 SQU 1 POW =1 DIV .

Proof : MUL =1 SQU , since both problems are in NC1 . For this
claim we use the circuits designed in Ch. 3. Nevertheless we state
explicit reductions. SQU 1 MUL , since SQU(x) = MUL(x x) .
MUL 1 SQU , since
x y = (1 2) ((x + y)2 x2 y2)

(3.1)

and there are UBC -uniform circuits of logarithmic depth for addition,
subtraction, and division by 2 .
SQU 1 POW , since SQU is a subproblem of POW .
SQU 1 DIV by transitivity and POW 1 DIV . An explicit
reduction is given by
x2 =

1
x

1
1 x
x+1

(3.2)

DIV 1 POW , since the most signicant bits of x1 can be

computed by some approximation
x1 1 + (1 x) + (1 x)2 + + (1 x)k
(see Ch. 3, 3).

(3.3)

309

POW 1 DIV . Let

3

y := 22 n
=

1
2 n3
=
2
2
1 22 n x
0i

2i 2 n xi

(3.4)

2
22 n (ni) xi
0i

xn has at most n2 signicant bits. After computing enough (but polynomially many) bits of y we can read o x x2
xn in the binary
representation of y .

We have proved SQU 1 MUL by the relation SQU(x) =

MUL(x x) . The oracle circuit for SQU consists of a single oracle
gate. Such reductions are called projections (see Ch. 6, 1) by Skyum
and Valiant (85).
DEFINITION 3.3 : The sequence f = (fn) is projection reducible to
g = (gn) if
fn (x1

xn) = gp(n) (n(y1)

n(yp(n) ))

for some polynomially bounded p(n) and some n : {y1

{x1 x1
xn xn 0 1} .
Notation : f proj g .

(3.5)
yp(n) }

Projection reducibility is reexive and transitive. There is a whole

theory on projection reducibility which we only touch slightly. We
summarize some results of Chandra, Stockmeyer and Vishkin (84).
DEFINITION 3.4 : Input UG (DG) means that the input is the
adjacency matrix of an m-vertex undirected (directed) graph.
EUL CYC : Input: UG. Output 1 G contains a cycle traversing
every edge exactly once.
UCYC : Input: UG. Output 1 G contains a cycle.
CON : Input: UG. Output 1 G is connected.

310

STR CON : Input: DG. Output 1 G is strongly connected.

UST CON : Input: UG. Output 1 G contains a path v1 vm .
DST CON : Input: DG. Output 1 G contains a directed path
v1 vm .
NET FLOW : Input: m-bit unary numbers c(i j) for 1 i j m and
an m2-bit unary number f . The m-bit unary representation of k is
0mk 1k . Output 1 The network with capacity c(i j) on edge (i j)
allows an integral ow of size at least f from v1 to vm . A ow is a
function : E 0 where (i j) c(i j) , (i 1) = 0 , (m j) = 0
and (i j) = (j k) for j = 1 and j = m .
i

BIP MATCH : Input: the adjacency matrix of a bipartite graph G on

2 m vertices and an m-bit unary number k . Output 1 G contains
a matching of size k , i.e. k vertex-disjoint edges.
BIP PERF MATCH : BIP MATCH for k = m .
CIRC VAL : Input: The (standard) encoding of a circuit S and the
specication of an input a . Output 1 S computes 1 on a .
THEOREM 3.3 :
EUL CYC =proj UCYC =proj CON =proj
UST CON proj STR CON =proj DST CON proj NET FLOW =proj
BIP MATCH =proj BIP PERF MATCH proj CIRCVAL .
Proof : We only prove some of the assertions in order to present some
methods.
CON proj EUL CYC : Given an undirected graph G , we describe
an undirected graph G such that G is connected i G has an Eulerian
cycle. Let V = {v1
vm} be the vertex set of G . Then G has 3 m+
m
j m) .
2 vertices denoted by vi yi zi (1 i m) and uij (1 i
We declare that the edges {vi yi } , {vi zi } and {yi zi } exist, i.e. the appropriate variables are replaced by the constant 1 . The edges {vi uij} ,
{vj uij} and {vi vj } exist in G i {vi vj} exists in G , i.e. these variables are replaced by xij . All other edges do not exist, these variables
are set to 0 .

311

We use the well-known fact that a graph contains an Eulerian cycle

i it is connected except for isolated vertices and the degree of all
vertices is even. By construction the degree of all vertices in G is
always even. If G is connected, uij is either isolated or connected to
vi , so are zi and yi . Since all v-vertices are connected also in G , all
non-isolated vertices in G are connected. If G is connected except for
isolated vertices, vi and vj have to be connected by a path p without
cycles in G . If p uses the edges {vk ukl } and {ukl vl } (the only
possibility of reaching ukl ) we may use instead of these two edges the
edge {vk vl } and obtain a path from vi to vj in G .
DST CON proj NET FLOW : Let c(i j) = 1 if (vi vj ) E and
c(i j) = 0 else. Let f = 1 . There is a ow of size 1 or larger from v1
to vm i there is a directed path from v1 to vm in the given graph G .
BIP PERF MATCH proj BIP MATCH : This is obvious, since
BIP PERF MATCH is BIP MATCH for k = m .
BIP MATCH proj NET FLOW : Let G be the given bipartite graph
on u1
um and v1
vm . For the ow problem we add two vertices
s and t and look for a ow from s to t . The capacities are 1 for (s ui )
and (vi t) for 1 i m and all edges (ui vj ) in G . All other capacities
are 0 . Obviously there is a ow of size f from s to t i G contains a
matching of size f .
BIP PERF MATCH proj CIRC VAL : There is a polynomial algorithm for BIP PERF MATCH due to Hopcroft and Karp (73) (see
also Ch. 6, 12). By the simulations of Ch. 9, 2 there are also
polynomial circuits Sn for this problem. We consider CIRC VAL for
circuits of size c(Sn ) and n2 inputs. The variables for the encoding of
a circuit are replaced by the constants describing the encoding of Sn ,
and the variables for the inputs are replaced by the variables for the
edges in the bipartite graph.

312

f proj g i fn is a special case of some gm where m is not too large

with respect to n . This happens if f is really a special case of g (as
for BIP PERF MATCH proj BIP PERF MATCH) or if g is a general
model (as CIRC VAL ) and also for problems which at the rst glance
have nothing in common (as for CON proj EUL CYC) . Much more
complicated projection reductions than those presented are known. If
f proj g , (fn) is not much harder than (gn ) .
Often weaker reducibility concepts are sucient for the conclusion
that (fn ) is not much harder than (gn) . Let us compare parity PAR
where PARn (x1
xn) = x1 xn and majority MAJ where
MAJn (x) = Tnn 2 (x) . MAJ
| proj PAR , since each subfunction of a
parity function is a parity function or a negated parity function. Also
PAR
| proj MAJ . Projections of MAJm are functions of the following
type, the output is 1 i
i xi k for some k and i . This is
1im

not equal to PARn . Nevertheless PAR is not much harder than MAJ
by the following reduction :
Tnk(x) (Tnk+1(x))

PARn (x) =

(3.6)

k odd

All Tnk are subfunctions of MAJ2n .

This leads to another reducibility concept, the so-called constant
depth reducibility. It refers to bounded-depth circuits which we investigate in detail in the next chapter. For these circuits all literals
xi xi (1 i n) are inputs, and all gates are -gates and -gates of
unbounded fan-in. Polynomials refer to depth 2 circuits.
DEFINITION 3.5 : SIZE - DEPTH(S(n) D(n)) is the class of all sequences fn Bn which can be computed by unbounded fan-in circuits
of size at most S(n) and depth at most D(n) simultaneously.
SIZE - DEPTH(poly const) is the union of all SIZE - DEPTH(cnk d) .
DEFINITION 3.6 : The sequence f = (fn) is constant depth reducible
to g = (gn ) if there is a polynomial p(n) and a constant c such that
each fn is computed by an unbounded fan-in circuit of depth at most

313

c and size p(n) containing oracle gates for gj or gj with j p(n) - the
size and the depth of the oracle gates is 1 - and on each path is at
most one oracle gate.
Notation : f cd g .
THEOREM 3.4 : i) cd is reexive and transitive.
ii) f proj g f cd g .
iii) f cd g , g SIZE - DEPTH(S(n) D(n)) , S and D monotone
f SIZE - DEPTH(p(n) S(p(n)) c D(p(n))) for some polynomial p
and constant c . In particular g SIZE - DEPTH(poly const)
f SIZE - DEPTH(poly const) .
The easy proof of this theorem is left as an exercise. By Theorem 3.4 ii the results of Theorem 3.3 hold also for constant depth reducibility. For simple problems like PAR and MAJ nothing can be
proved with projection reducibility, but a lot is known about constant
depth reducibility. Some of the following results have been proved by
Furst, Saxe and Sipser (84) but most of them are due to Chandra,
Stockmeyer and Vishkin (84).
DEFINITION 3.7 :
PAR : Input: x1

xn . Output x1 xn .

ZMc (zero mod 2c ) : Input:

x1 + + xn 0 mod 2c .

x1

xn .

Output 1

MUL : Multiplication of two m-bit numbers, n = 2m .

SOR : The sorting problem for m m-bit numbers, n = m2 .
MADD (multiple addition) : The addition of m m-bit numbers, n =
m2 .
THR : Input: x1
Tm
k (x) , n = 2m .
MAJ : Input: x1

xm and an m-bit unary number k. Output

xn . Output Tnn

(x).

314

BCOUNT : Input: x1
x 1 + + xn .

xn . Output: the binary representation of

UCOUNT : Input: x1
of x1 + + xn .

xn . Output: the n-bit unary representation

THEOREM 3.5 : PAR =cd ZMc cd MUL =cd SOR =cd MADD =cd
THR =cd MAJ =cd BCOUNT =cd UCOUNT cd UST CON .
By Theorem 3.4 ii we can combine the results of Theorem 3.3
and Theorem 3.5. The lower bound for parity (which we prove in
Ch. 11) translates to lower bounds for all problems in Theorem 3.3
and Theorem 3.5. Again reducibility is a powerful tool.
We do not prove that MUL
UCOUNT cd UST CON , only
the weaker claim PAR ZMc cd UST CON . This claim is sucient
for the translation of the lower bound on parity to the other problems.
Proof of Theorem 3.5 :
PAR cd ZMc : We use 2c1 copies of each xi and an oracle gate for
ZMc on these n2c1 inputs.
ZMc cd PAR : Obviously PAR = ZMc for c = 1 . Because of
transitivity it is sucient to prove ZMc cd ZM(c-1) if c 2 . Let
x1
xn be the inputs and let us compute yij = xi xj for 1 i j n .
It is sucient to prove that
ZMc(x1

xn ) = ZM(c-1)(x1
ZM(c-1)(y12

xn )

(3.7)

yn1 n)

Let s be the sum of all xi and t the sum of all yij . Then
yij = (1 2)

t =

1i jn

= (1 2)

xi xj

(3.8)

i=j

xi
1in

x2i

1in

= (1 2) (s2 s)

315

If s 0 mod 2c , s (s 2) 0 mod 2c1 and t 0 mod 2c1 , since

t = (s 2)(s 1) . This proves in (3.7). If s t 0 mod 2c1 but
s 0 mod 2c , s = j 2c1 for some odd j . Since c 2 , also s 1 is
odd. Hence (s 1) j is odd. Moreover
t = (s 2) (s 1) = (s 1) j 2c2

(3.9)

in contradiction to t 0 mod 2c1 . This proves in (3.7).

PAR cd UCOUNT : Because of transitivity this implies that the
rst group (PAR , ZMc) is constant depth reducible to the second
group (MUL
UCOUNT) of problems.
UCOUNT(x)
equals
(Tnn (x)
UCOUNT(x) and UCOUNT(x) .
by (3.6).

Tn1 (x)) .
We
compute
Then we compute PAR(x)

For the proof that the second group of problems contains equivalent problems with respect to constant depth reducibility it is (by
transitivity) sucient to prove that MAJ cd MUL cd MADD cd
BCOUNT cd SOR cd UCOUNT cd THR cd MAJ .
MAJ cd MUL : If we are able to compute the binary representation
cn of x1 + + xn , we are done. MAJ(x) = 1 i x1 + + xn n 2 .
This comparison can be performed in depth 2 and polynomial size by
the disjunctive normal form, since the length of cn is k = log(n + 1) .
For the computation of cn we use a padding trick already used in Ch. 3,
2. Let a be the binary number of length n k with xi at position k(i1)
and zeros elsewhere. Then a is the sum of all xi 2k(i1) . Let b be the
binary number of length n k with ones at the positions k(i 1) for
1 i n and zeros elsewhere. Then b is the sum of all 2k(i1) . We
compute (at an oracle gate) c , the product of a and b . Then c is the
sum of all ci 2k(i1) with k-bit numbers ci contained in c . It is easy to
see that cn = x1 + + xn .
MUL cd MADD : Obvious by the school method for multiplication.
MADD cd BCOUNT : Let ai = (ai m1
ai 0) for 1 i m be
the m numbers we have to sum up. We use in parallel oracle gates to
compute the l = log(m + 1) -bit numbers bj = a1 j + + am j . Then

316

s = a1 + + am is also the sum of all bj 2j . Since the length of all

bs is l , we add bj 2j and bj+l 2j+l without any gate by concatenating
the strings for bj and bj+l . In this way we obtain l numbers of length
m + l each whose sum equals s .
Again we add the bits at the same position. But we have (by
Denition 3.6) no more oracle gates. Since l is already small, the disjunctive normal form has polynomial size with respect to n = m2 . We
continue in the same way until we obtain two numbers x and y whose
sum is s . At step 0 we have l (0) = m summands. If l (i 1) is the
number of summands at step i 1 , l (i) = log(l (i 1) + 1) . The
number of necessary steps is not bounded by a constant. Therefore we
use this procedure only for two steps and compute l (2) = O(log log m)
summands whose sum is s . We estimate the number of bits in these
summands on which xi or yi depends essentially. Each bit of the summands in step 3 depends on l (2) bits of the summands in step 2 . If the
number of necessary steps is k , xi or yi depends on l (2)l (3) l (k 1)
bits. Since l (j) = O(log l (j 1)) , l (j)l (j + 1)2 = o(l (j)2) and by induction l (j) l (k 1) = o(l (j)2) . Therefore xi and yi depend on
o(l (2)2) = o(log m) bits of the summands computed in step 2 . So we
compute xi and yi by their disjunctive normal forms from the summands in step 2 . Finally we add x and y by a circuit of polynomial
size and constant depth. The existence of such a circuit is proved in
Ch. 11, 2. The proof is easy by the methods of Ch. 3, 1.
BCOUNT cd SOR : Let s = (sk1
s0) where k = log(n + 1) be
the binary representation of x1 + + xn . By sorting x1
xn with
an oracle gate we obtain the unary representation y = (yn
y1 )
of s . Let y0 = 1 , yn+1 = 0 and zi = yi yi+1 for 0 i n . Then
zi = 1 i i = s . Let bi = (bi k1
bi 0) be the binary representation
of i . Then sj is the disjunction of all zi bij .
SOR cd UCOUNT : It is proved in Ch. 11, 2 (or easy to
that there are polynomial comparator circuits of constant depth.
output is 1 i x
y (or for another circuit x y) . Let a1
be the m-bit numbers that have to be sorted. We compute cij

see)
The
am
= 1

317

i ai
aj or ai = aj and i j . Then we compute in parallel by
oracle gates dj , the sum of all cij . dj is the unary representation of
the position of aj in the sorted list of a1
am . By similar methods
as in the last reduction BCOUNT cd SOR we compute the sorted
list of a1
am .
UCOUNT cd THR : We compute in parallel by oracle gates yi =
THR(x1
xn i) . Then UCOUNT(x1
xn) = (yn
y1 ) .
xm and k =
THR cd MAJ : The input consists of x1
(km
k1) , a number in unary representation. We compute by an
oracle gate z = MAJ(x1
xm k1
km 1) .
z = 1 i x1 + + xm + k1 + + km + 1 m + 1 . There are l ones
in k if k represents l . Then k1 + + km = m l . Hence z = 1 i
x1 + + xm l i THR(x k) = 1 .
In order to relate the complexity of PAR and ZMc to all problems considered in Theorem 3.3 we prove PAR cd UST CON . We
compute the adjacency matrix A of an undirected graph G on the
vertices v0
vn+1 . Let x1
xn be the inputs of PAR and let
x0 = xn+1 = 1 . Let aii = 0 and let
aij = xi xi+1 xj1 xj

for i

(3.10)

G contains exactly one path from v0 to vn+1 , this path passes through
all vi with xi = 1 . The length of this path is even i x1 xn =
1 . We square in polynomial size and constant depth the Boolean
matrix A . The result is B , the adjacency matrix of the graph G
where vi and vj are connected by an edge i they are connected in G
by a path of length 2 . i.e. v0 and vn+1 are connected by a path i
x1 xn = 1 . Therefore one oracle gate for UST CON is sucient
for the computation of x1 xn .

Often it is easier to prove lower bounds by reduction than to prove

lower bounds directly. The number of reducibility results is large.

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EXERCISES
1. Let Nn be the class of all f Mn whose prime implicants all have
length n 2 . Then there is for each log n j D(Nn ) (or
Dm (Nn)) a function gj Nn where D(gj ) = j (or Dm (gj ) = j) .
2. Prove (1.2) for the bases { } and {NAND} .
3. Prove d (j) 2 for all binary bases and all interesting j .
4. Prove (1.5).
5. Prove (1.3) and (1.4) for further bases.
6. c (j) = 1 for n = 2 , 0 j
{NAND} .

C (B2) and = { } or =

7. Almost all f Bn have no Ashenhurst decomposition.

8. Assume that Cm ((f g)) Cm (f) + Cm (g) for arbitrary Boolean
functions f and g . Prove by this assumption asymptotically optimal bounds on the monotone circuit size of the Boolean matrix
product and the generalized Boolean matrix product (see Ch. 6,
9).
9. Prove Theorem 2.2 using the replacement rule of Theorem 5.1,
Ch. 6 , and its dual version.
10. (Fischer and Galbiati (81) just as Exercise 11). Let f Mn+1
depend on x1
xn z and g Mm+1 depend on y1
ym z .
Then Cm (f g) = Cm (f) + Cm(g) . Hint: A gate G is called mixed,
if G has not only x-variables but also y-variables as predecessors.

319

Let H be the rst mixed gate of a monotone circuit for (f g) ,

w.l.o.g. an -gate. Let h(x y z) = resH and let h1 (x z) and
h2 (y,z) be the inputs of H .
a) H can be replaced by 0 if h1 (0 1) = h2 (0 1) = 0 .
b) If h1 (0 1) = 1 and H is not superuous, h1 (0 0) = h2 (0 0) = 0 ,
z h2(0 z) = h1 (x z) h2(0 z) and z h2(y z) = h1 (0 z) h2(y z) .
c) Either H can be replaced by 0 or h1 or h2 can be replaced by z .
11. Let h Bn , x = (x1
xn) , y = (y1
yn) , f(x z1 z2) =
z1 (z2 h(x)) and g(y z1 z2 ) = z2 (z1 h(y)) . Then Cm (f g)
Cm (h) + 3n + 4 .
Hint: Compute h(u1
un) with ui = xi z1 yi z2 .
12. 1 is reexive and transitive.
13. proj is reexive and transitive.
14. Prove Theorem 3.4.
15. Prove directly PAR cd MUL .
16. Try to prove directly more of the assertions of Theorem 3.5.

320

11. BOUNDED - DEPTH CIRCUITS

11.1 Introduction

A polynomial p for the Boolean function f is a disjunction of

monoms computing f (see Ch. 2). Polynomials are circuits of two
logical levels. All literals x1 x1
xn xn are inputs. The monoms
are computed on the rst level, an -level. On the second level, an
-level, these monoms are combined by a disjunction. In this chapter
we investigate circuits of k logical levels.
DEFINITION 1.1 : A k -circuit (k-circuit) is a circuit consisting
of k logical levels. All inputs of gates on level l are outputs of gates on
level l 1 . On level 0 we have the inputs x1 x1
xn xn . - and gates of unbounded fan-in are available. The levels k k 2 k 4
consist of -gates (-gates) and the other levels consist of -gates
(-gates).
This model is robust. Negations inside the circuit are powerless.
We copy all gates and negate one of the copies of each gate. No
additional gate is necessary for the application of the deMorgan rules
(bottom-up). At the end of this procedure only inputs are negated.
If an input of an -gate G is the output of an -gate G , we replace
the edge from G to G by edges from all direct predecessors of G to
G . Also the synchronization of k- and k-circuits is no essential
restriction. An edge from a gate G on level l to a gate G on level
l
l + 1 may be simulated by l (l + 1) new gates on the levels
l +1
l 1 computing res G . The size of the circuit is at most
multiplied by the number of logical levels which should be small.
Hardware designers prefer circuits with a small number of logical
levels. Hence it is a fundamental problem to decide whether sequences
of functions fn Bn are in SIZE - DEPTH(poly const) (see Def. 3.5,

321

Ch. 10). In 3 we prove that polynomial circuits for the parity function have depth ((log n) (log log n)) . Applying the reducibility results of Ch. 10, 3 , we conclude that many fundamental functions
with polynomial circuit size are not in SIZE - DEPTH(poly const) .
Therefore we should use circuits where the number of logical levels is
increasing with the input length.
In 2 we prove for some fundamental functions that they are in
SIZE - DEPTH(poly const) and design almost optimal circuits for the
parity function. The announced lower bound for the parity function
is proved in 3. In 4 we describe which symmetric functions are
contained in SIZE - DEPTH(poly const) . In 5 we discuss hierarchy
problems.
We nish this introduction with two concluding remarks. Boundeddepth circuits also represent an elegant model for PLAs (programmable logic arrays). Furthermore results on bounded-depth circuits are related to results on parallel computers (see Ch. 13).

11.2 The design of bounded-depth circuits

Let fn Bn . If the number of prime implicants (or prime clauses)
of fn is bounded by a polynomial, then the sequence fn (n )
has polynomial 2-circuits (2-circuits). Hence this sequence is in
SIZE - DEPTH(poly const) . We mention two examples, the threshold functions Tnk and the clique functions cl n k (see Def. 11.1 , Ch. 6)
for constant k . Furthermore all functions depending essentially on
only O(log n) input bits are in SIZE - DEPTH(poly const) . An example is the transformation of the binary representation (x1
xk )
k
(n = 2 ) of some number x {0
n 1} into its unary representation (y1
yn ) .
Chandra, Stockmeyer and Vishkin (84) proved that the following
fundamental functions are in SIZE - DEPTH(poly const) .

322

DEFINITION 2.1 :
ADD : Addition of two m-bit numbers, n = 2m .
COM : The comparison problem for two m-bit numbers x =
x0) and y = (ym1
y0) . Output 1 |x|
|y| .
(xm1
n = 2m.
MAX : The computation of the maximum of m m-bit numbers, n =
m2 .
MER : The merging problem for two sorted lists of m m-bit numbers,
n = 2 m2 .
U B : Input: an n-bit unary number k . Output: the binary
representation of k .
THEOREM 2.1 : ADD , COM , MAX , MER and U B are in
SIZE - DEPTH(poly const) .
Proof : ADD : We implement the carry look-ahead method (see Ch. 3,
1). We compute uj = xj yj and vj = xj yj (0 j m1) in depth 2 .
The carry bit cj is the disjunction of all ui vi+1
vj (0 i j) (see
Ch. 3, (1.8)). The sum bits sj are computed by s0 = v0 , sn = cn1 and
sj = vj cj1 (1 j n 1) . The size of the circuit is O(n2) (the
number of wires is O(n3)) and the depth is 4 if vj and sj are computed
by 2 -circuits for a b .
COM : |x| |y| if there is an i such that yi = 0 xi = 1 and yj = xj for
all j i . This can be computed by
xi y i
0im1

(xj yj ) (xj yj )

(2.1)

i jm1

The circuit size is O(m2) = O(n2) and the depth is 4 .

am be m m-bit numbers. We compute in depth 4
MAX : Let a1
with O(m4) gates cij = 1 i ai aj (1 i j m) . Let di be the
conjunction of all cij . Then di = 1 i ai is the maximum. The j -th bit
of the output is computed as the disjunction of all aijdi . The size of
the circuit is O(m4) = O(n2) , and the depth is 6 .

323

MER : Let a1 am and b1 bm be sorted lists. We

compute cij = 1 i bi aj . For each j , cmj c1j is the unary representation of the number of bs less than aj . Let cj = 0mj cmj c1j 1j .
Then cj is the unary representation of aj s position in the merged list.
In parallel we compute dij = 1 i ai bj and dj = 0mj dmj d1j 1j ,
the unary representation of bj s position in the merged list. For
z = z2m z1 , z2m+1 = 0 and 0 k 2m , EQk (z) = zk zk+1
tests whether z is the unary representation of k . Finally the i -th bit
of the k -th number in the merged list is
(EQk (cj ) aji )
1jm

(EQk(dj ) bji )

(2.2)

1jm

The size of the circuit is O(m4) = O(n2) , and the depth is 6 .

U B : Let (xn
x1) be the input, x0 = 1 and xn+1 = 0 .
Let di = xi xi+1 . Then di = 1 i x is the unary representation of i ,
0 i n . The j -th bit of the output is the disjunction of all di such
that the j -th bit of i is 1 . The number of gates is O(n) , the number
of wires is O(n log n) , and the depth is 2 .

THEOREM 2.2 : If k(n) = O(logr n) for some xed r , Tnk(n) is in

SIZE - DEPTH(poly const) .
The proof of this theorem is postponed to Ch. 12, 3. The proof
is not constructive. We shall design ecient probabilistic circuits for
Tnk(n) and shall show how such circuits are simulated by deterministic
circuits.
There are only few papers on lower bounds for functions in
SIZE - DEPTH(poly const) . We refer to Chandra, Fortune and Lipton (83) and (85) and Hromkovic (85). It is more important to decide
which functions belong to SIZE - DEPTH(poly const) , the class of
eciently computable functions.
In the next section we prove that the parity function PARn does not
belong to this class. Here we design almost optimal circuits for PARn .
PARn consists of 2n1 prime implicants and 2n1 prime clauses, all of

324

them are necessary in 2- and 2-circuits resp. Hence the complexity

of PARn in depth 2 circuits is 2n1 + 1 . In the following we allow
negations which we eliminate afterwards as described in 1.
For k-level circuits we compute PARn in k 1 steps. W.l.o.g.
n = rk1 . In Step 1 we compute PARr on rk2 blocks of r variables
each. In Step 2 we compute PARr on rk3 blocks of r outputs of Step 1
each. Hence we compute the parity of r2 bits at each output of Step 2.
We continue in the same way. After Step i we have computed the
parity of rk1i blocks of ri variables each, in particular, we compute
PARn in Step k 1 . We use an alternating sequence of 2- and
2-circuits for Step 1
k 1 . Then it is possible to combine the
second level of the 2 -circuits (2-circuits) on Step i and the rst level
of the 2-circuits (2-circuits) on Step i + 1 . Altogether we obtain
k-circuits and k-circuits for PARn . The number of subcircuits for
PARr is rk2 + rk3 + + 1 rk1 = n , each of these subcircuits
contains 2r1 + 1 gates.

1 (k1)

THEOREM 2.3 : i) PAR has k - and k-circuits of size O(n 2n

).

ii) PAR has k(n) - and k(n) -circuits of size O(n2 log1 n) if k(n) =
(log n) log log n + 1 .
Proof : i) has already been proved for n = rk1 . The general case is
left as an exercise.
ii) In Step i we combine the outputs of Step i1 to the least number of
blocks whose size is bounded by log n + 1 . The number of blocks in
Step i is bounded by max{1 n logi n } . k(n) 1 steps are sucient
in order to obtain one block, since (log n)k(n)1 n . Altogether we
require less than 2 n log n 2 - and 2 -parity circuits working on at
most log n + 1 inputs.

325

11.3 An exponential lower bound for the parity function

The number of papers on 2 - and 2 -circuits is immense, but there

are almost no results on k- and k-circuits for k 3 which were
proved before 1980. Then exponential lower bounds on the monotone
3-complexity have been proved by Tkachev (80), Kuznetsov (83 a),
Valiant (83) (for clique functions) and Yao (83) (for the majority function). Yao proved exponential lower bounds even on the monotone
4-complexity of some clique functions.
The decisive break-through was the paper of Furst,
Saxe and Sipser (84).
They proved that parity is not in
SIZE - DEPTH(poly const) . Their non polynomial lower bound
for k-circuits was improved by an exp((log2 n))-lower bound of
Ajtai (83). The rst exponential lower bound for arbitrary constant
depth was proved by Boppana (84), but only for the monotone
k-complexity of the majority function. Another break-through was
the proof of exponential lower bounds for depth k parity circuits. The
original bound and methods due to Yao (85) have been improved by
H
astad (86).
THEOREM 3.1 : For some constant n0 and n nk0 k- and k 1 (k1)
circuits for the parity function x1 xn have more than 2c(k)n
gates , c(k) = (1 10)k (k1) 1 10 .
COROLLARY 3.1 : PAR is not in SIZE - DEPTH(poly const) .
COROLLARY 3.2 : Polynomial size parity circuits must have depth
log n
for some constant c .
of at least
c + log log n
The corollaries follow easily from Theorem 3.1. Because of our
upper bounds in Theorem 2.3 , these results are nearly optimal.

326

We give an outline of the proof of Theorem 3.1. The proof is by

induction on k . The induction basis k = 2 is easy. For the induction
step we try to convert depth k circuits to not very large depth k 1
circuits. If the second level is an -level, each function on level 2 is
computed by a 2-circuit. It is possible to replace these 2-circuits
by 2-circuits for the same functions. Then the second and the third
level of the circuit are -levels which we combine in order to obtain
depth k 1 circuits. The problem is that the 2-complexity of g may
be exponential even if the 2-complexity is small, say polynomial.
In the following way the problem can be avoided. We replace several variables in such a way by constants that all functions on level 2
have small 2-circuits and that the number of remaining variables is
yet large enough. Nobody knows how to construct such a replacement. Again we use probabilistic methods. We hope that many replacements serve our purposes. In order to prove the existence of a
good replacement, it is sucient to prove that the probability of a
good replacement is positive.
DEFINITION 3.1 : A restriction is a function : {x1
xn }
{0 1 } . Then g is the projection of g where we replace xi by (xi )
if (xi ) {0 1} . For a random restriction Rp (0 p 1) the
random variables (xi ) (1 i n) are independent and (xi ) = 0
with probability (1 p) 2 , (xi ) = 1 with probability (1 p) 2 and
(xi) = with probability p . For Rp , g is a random function.

The following main lemma tells us that if we apply a random restriction, we can with high probability convert 2-circuits to equivalent 2-circuits of small size. We need the notion of the 1-fan-in of a
circuit. This is the maximal fan-in of all gates on the rst level. The
proof of the rst technical lemma is left to the reader.

327

LEMMA 3.1 : The equation

1+

2p
4p
t
t
= 1+
+1
(1 + p)
(1 + p)

has a unique positive root. If p = o(1) , (2 p) ln1

is the golden ratio, i.e. the root of 2 = + 1 .

(3.1)
5 p t , where

MAIN LEMMA 3.2 : Let S be a 2-circuit of 1-fan-in t computing

g Bn and let Rp . The probability that g can be computed by
a 2 -circuit of 1-fan-in s is at least 1 s .
The Main Lemma is equivalent to its dual version. We prove a
more general version of the Main Lemma . Let l PI(f) denote the
maximal length of a prime implicant of f . We use the convention
that a conditional probability is 0 if the probability of the condition
in question is 0 .
LEMMA 3.3 : Let g1
gm be sums of at most t literals each. Let
g = g1 gm and f Bn . For Rp we have
Pr(l PI(g ) s | f 1) s

(3.2)

Lemma 3.3 implies the Main Lemma 3.2 by choosing f 1 .

Proof of Lemma 3.3 : We prove this lemma by induction on m . If
m = 0 , the lemma is obvious since g 1 .
Let m

0 . Since Pr(A) max{Pr(A | B) Pr(A | B)} , also

Pr(l PI(g ) s | f 1)

(3.3)

max{Pr(l PI(g ) s | f 1 g1 1) Pr(l PI(g ) s | f 1 g1 1}

The estimation of the rst term is easy by the induction hypothesis.
We choose f g1 instead of f and g = g2 gm instead of g . If
the condition (f g1) 1 holds, g = g . Therefore the rst term is
bounded by s .

328

The estimation of the second term is more dicult. W.l.o.g. g1

is the sum of all xi T and |T| t . Otherwise we interchange
the roles of some xi and xi . Let or be that part of which
concerns the variables in T or not in T resp. Notation: = .
The condition g1 1 is equivalent to the condition that (xi) = 1
for all xi T . Hence each prime implicant of g contains - if g1 1
- some xi T . For Y T let PI Y(g ) be the set of prime implicants
of g containing, for xi T , xi or xi i xi Y . Let l PI Y (g ) be the
length of a longest prime implicant in PI Y(g ) and let (Y) be
the event that (xi ) = for all xi Y . Then
Pr (l PI (g ) s | f 1 g1 1)

(3.4)

Pr(l PI Y (g ) s | f 1 g1 1)

YT Y=

Pr( (Y) | f 1 g1 1)

YT Y=

Pr(l PI Y (g ) s | f 1 g1 1 (Y) )
since Pr(l PI Y (g ) s | (Y) ) = 0 . We claim that
Pr ( (Y) | f 1 g1 (Y) 1)

2p
1+p

|Y|

and

(3.5)

Pr (l PI Y (g ) s | f 1 g1 1 (Y) ) (2|Y| 1) s|Y| (3.6)

hold. By (3.4) (3.6) it is easy to estimate the second term in (3.3).
We add in (3.4) the term for Y = which is estimated in (3.5) and
(3.6) by 0 . Hence, by the denition of
Pr (l PI (g ) s | f 1 g1 1)

YT

2p
1+p

s
0i|T|

|T|
i

|Y|

(2|Y| 1) s|Y|
2p
1+p

(2i 1) i

(3.7)

329

s
0it

t
i

4p
(1 + p)

4p
1+
(1 + p)

2p
(1 + p)

2p
1+
(1 + p)

= s

Proof of (3.5) : The condition g1 1 is equivalent to the condition

that (xi ) {0 } for xi T . Then (xi ) takes the values 0 and
with probability (1 p) (1 + p) and 2p (1 + p) resp. Since all (xi )
are independent
Pr( (Y) | g1 1) =

2p
1+p

|Y|

(3.8)

The additional condition f 1 implies a tendency that more variables

are replaced by constants. Therefore the event (Y) should have
smaller probability. For a denite proof we use the equivalence of the
inequalities Pr(A|B) Pr(A) and Pr(B|A) Pr(B) . For the proof of
(3.5) it is by (3.8) and this equivalence sucient to prove
Pr(f 1 | (Y) g1 1) Pr(f 1 | g1 1)

(3.9)

Two restrictions are called equivalent if they agree on all xi Y . It is

sucient to prove (3.9) for all equivalence classes. Each equivalence
class contains exactly one restriction where (Y) . If f 1 or
g1 1 for this restriction, the left-hand side of (3.9) equals 0 for this
equivalence class and (3.9) holds. Otherwise f 1 for all equivalent
to , since the additional replacement of variables does not inuence
a constant.
Proof of (3.6) : We like to exclude g1 from our considerations. Then it
is possible to apply the induction hypothesis. The condition g1 1
and (Y) is satised i (xi ) {0 } for xi T and (xi) =
for xi Y . Here two restrictions are called equivalent if they agree
on all xi T . It is sucient to prove for a xed equivalence class
Pr(l PI Y (g ) s | f 1) (2|Y| 1) s|Y|

(3.10)

330

Each prime implicant t PI Y(g ) is of the form t = t t for some

monom t on all variables in Y and some monom t on some variables
xi T . If we replace the variables in Y such that t is replaced by 1 ,
we obtain a subfunction g (t) of g where t (g (t) ) . Since
g1 is the sum of all xi T , t contains at least one xi T . Hence
l PI Y (g ) s only if there is some : Y {0 1} , 0 , such that the
length of a longest prime implicant of g (a monom on the variables
xi T) is at least s |Y| , notation l PI(g ) s |Y| . We conclude
Pr (l PI Y (g ) s | f 1)

:Y{0 1} 0

(3.11)

Pr (l PI(g ) s |Y| | f 1)

The right-hand side of (3.11) consists of 2|Y| 1 terms. It is sucient

to estimate each of these terms by s|Y| .
We x some : Y {0 1} , 0 . We have xed but
Rp is still a random restriction on the variables xi T . In order
to apply the induction hypothesis we want to consider functions on
the variables xi T . Let f be the conjunction of all functions which
we obtain from f by replacing the variables in ( )1() by constants.
Then f is dened on the variables xi T . f 1 i f 1 . Similarly

let g be the conjunction of all functions which we obtain from g

by

replacing the variables in ( )1() (T Y) by constants. Then g is

dened on the variables xi T . The prime implicants of g are exactly
those prime implicants of g

containing only variables xi T . Let

. Since g1 is
gj be dened in a similar way. Then g = g1 gm

the sum of all xi Y , g1 1 . For all legitimate replacements (gj )

is replaced by a constant or by some denite function gj . Hence, if

j 2 , gj is a sum of at most t literals and g is the conjunction of
m 1 of those gj . Since we have also shown that f and g are dened
on the variables xi T and that Rp is a random restriction, it is

331

possible to apply the induction hypothesis. We conclude

Pr(l PI(g ) s |Y| | f 1) =

(3.12)

= Pr(l PI(g ) s |Y| | f 1) s|Y|

The Main Lemma has many applications. The most appropriate function is the parity function, as all prime implicants and prime
clauses of the parity function have length n , and all subfunctions are
parity functions or negated parity functions.

and k 2 the parity

LEMMA 3.4 : For some constant n0 , n nk1
0
function on n variables cannot be computed by a k- or k -circuit
which for s = t = (1 10) n1 (k1) simultaneously has 1-fan-in bounded
by t and at most 2s gates on the levels 2
k.

Proof : Induction on k . The claim is obvious for k = 2 since 2- and

2-circuits for the parity function have 1-fan-in n .
We assume that the assertion holds for k 1 but not for k . Let Sn
be depth k circuits for x1 xn such that the 1-fan-in is bounded
by t , and the number of gates on the levels 2
k is bounded by
2s . W.l.o.g. the second level is an -level. The gates of this level are
outputs of 2-circuits with 1-fan-in t . We apply the Main Lemma for
p = n1 (k1) . The expected number of remaining variables is m =
n p = n(k2) (k1) . For large n , the probability that at least m variables
are left is larger than 1 3 . For each 2 -circuit the probability of the
circuit being converted to an equivalent 2-circuit of 1-fan-in s is at
least 1 s . For large n , 5 pt = 1 2 . Hence the probability of
less than m variables being left or some 2 -circuit cannot be converted
in the described way is bounded by (2 3) + (2)s . Since 2
1,
this probability is less than 1 for large n . Then there is a partial

332

replacement of variables such that the circuit computes the parity

of m = n(k2) (k1) variables, and all 2-circuits can be converted to
equivalent 2-circuits of 1-fan-in s = (1 10) n1 (k1) = (1 10) m1 (k2) .
Afterwards the second and the third level are -levels, and by merging
them the depth of the circuit will decrease to k 1 . The number of
gates on the levels 2
k 1 has not increased and is bounded by 2s .
Since n nk1
, also m nk2
. It is easy to prove that all conclusions
0
0
hold for n nk1
. The depth k2 circuit for the parity of m variables
0
contradicts the induction hypothesis.

Now it is easy to prove Theorem 3.1.

Proof of Theorem 3.1 : If the theorem is false, there is a depth k

circuit for the parity of n nk0 variables with at most 2s gates, s =
(1 10)k (k1)n1 (k1) . This circuit can be understood as a depth k + 1
circuit of 1-fan-in 1 . Let p = 1 10 and Rp . If p = 1 10 and
t = 1 , then = 2 11 . If n0 is chosen in the right way, there is a
restriction such that the circuit computes the parity on m = n 10
variables, and all (w.l.o.g.) 2-circuits on level 2 can be converted to
equivalent 2 -circuits of 1-fan-in s . If n0 10 , m = n 10 nk1
.
0
Furthermore s = (1 10)m1 (k1) . The new depth k circuit for the
parity on m variables contradicts Lemma 3.4 , since the number of
gates on the levels 2
k is bounded by 2s .

11.4 The complexity of symmetric functions

Upper and lower bounds on the depth k complexity of the parity

function almost agree, the upper bound is based on a simple design.
For all symmetric and almost all Boolean functions we decide in this

333

section whether they belong to SIZE - DEPTH(poly const) (Brustmann and Wegener (86)). Our results are based on the lower bound
techniques due to H
astad (86). Weaker results based on the lower
bound technique due to Furst, Saxe and Sipser (84) have been obtained by Fagin, Klawe, Pippenger and Stockmeyer (85) and Denenberg, Gurevich and Shelah (83). It is fundamental to know a lower
bound for the majority function.
THEOREM 4.1 : For some constant n0 and all n nk0 k - and k 1
circuits for the majority function have more than 2c(k) n
c(k) = (1 10)k (k1) 1 10 .

(k1)

gates ,

Proof : This theorem has been proved by H

astad (86) in a way similar
to his bound for the parity function. The analysis of the probabilities
is harder, since we have to ensure that the restriction gives out the
same number of ones and zeros.
We are satised with the proof of a weaker bound based on the
reducibility of parity to majority. Let Ck(MAJn ) be the k-complexity
of the majority function. By duality the k -complexity is the same.
n 2
With less than n Ck(MAJn ) gates we compute in k -circuits El
=
n 2
n 2
Tl
(Tl +1 ) for all odd l {1
n 2 } . PAR n 2 is the
n 2
disjunction of these El
. Hence
Ck+1(PAR

n 2

) n Ck(MAJn )

(4.1)

and by Theorem 3.1

1
Ck(MAJn ) n1 2c(k+1) (n 2)

for n nk+1
0

(4.2)

From now on we denote by Ck(f) the depth k complexity of f . We

require some results on the structure of symmetric functions.
DEFINITION 4.1 : Let v(f) = (v0
vn) be the value vector of
a symmetric function f Sn . By vmax(f) we denote the length of a

334

longest constant substring of v(f) . For f Bn let l min (f) be the length
of a shortest prime implicant or prime clause.
LEMMA 4.1 : l min (f) = n + 1 vmax(f) for f Sn .
Proof : A prime implicant t of length k with l variables and k l
negated variables implies vl = = vnk+l = 1 and therefore the
existence of a constant substring of v(f) of length n + 1 k . Furthermore, we obtain a maximal constant substring. If vl 1 = 1 or
vnk+l +1 = 1 , we could shorten t by a variable or negated variable
resp. If vl = = vnk+l = 1 is a maximal constant substring of
v(f) , then the monom x1 xl xl +1 xk is a prime implicant of f of
length k . Dual arguments hold for prime clauses and substrings of
v(f) consisting of zeros.

THEOREM 4.2 : For c(k) = (1 10)k (k1) we denote by H(n,k)

1 (k1)
H
astads lower bound function 2c(k)n
.
i)

If fn Sn and l = l min (fn) = O(logr n) for some constant r , then

f = (fn ) SIZE - DEPTH(poly const) .

ii) If fn Sn and l = l min (fn ) (n + 1) 2 , then for l nk+1

0
Ck (fn) H(l k + 1) l
iii) If fn Sn and l = l min (fn )
w nk+1
0

(4.3)
(n + 1) 2 , then for w = vmax(fn ) and

Ck (fn) H(w k + 1) w H(n + 1 l k + 1) l

(4.4)

iv) If fn Bn (not necessarily symmetric) and l min (fn ) n O(logr n)

for some constant r , then for constant k and large n
Ck (fn) H(n k)

(4.5)

Proof : We identify the vector (v0

vn) with the string v0 vn .
By duality we assume that there is always a maximal constant substring consisting of zeros. For w = vmax(fn ) , v(f) = s 0w s . W.l.o.g.
(otherwise we negate the variables) s is not longer than s .

335

i) vi = 1 only for some i l 1 and some i n l + 1 . fn is the

disjunction of all Tni (Tni+1) where vi = 1 . By Theorem 2.2 and by
duality all these functions are in SIZE - DEPTH(poly const) .
ii) By our assumptions s = 1 t , and the length of s is at least l 2 .
Since w l , v(f) contains the substring 0l 1 t where the length of t is
at least l 2 1 . For l 2 m l let gm Sl be that symmetric
function whose value vector is a substring of 0l 1 t starting with 0m 1 .
All these value vectors start with l 2 zeros, and gm computes 1 for
inputs with exactly m ones. Hence the disjunction of all gm is the
majority function on l variables. Since all gm are subfunctions of fn
Ck+1(MAJl ) ( l 2 + 1) Ck (fn) + 1

(4.6)

The lower bound (4.3) follows from Theorem 4.1.

iii) By Lemma 4.1 w (n + 1) 2 . Hence v(f) contains a substring
0w 1t where the length of t is at least w 2 1 . The lower bound
(4.4) follows from similar arguments as (4.3).
iv) It is sucient to prove that we can copy H
astads proof for these
functions. The Main Lemma works for all fn Bn . In the proof
of Lemma 3.4 and Theorem 3.1 only a few properties of the parity
functions are used, namely the facts that l min (PARn ) = n n 10 and
that each subfunction of a parity function is a function of the same
type.
l min (f) is the minimum number of variables which have to be replaced by constants in order to obtain a constant subfunction. Hence
l min (g) l min (f) (n m) if g Bm is a subfunction of f Bn . In his
lower bound proof for depth k circuits H
astad constructed subfunctions on n(k2) (k1) n(k3) (k1)
n1 (k1) (1 10)n1 (k1) variables.
For these functions g Bm we have l min (g) m O(logr n) =
m O(logr m) . All these functions belong to the class of functions
with large l min -value. Since l min (g) is a lower bound on the 1-fan-in of
depth 2 circuits for g , the lower bound (4.5) can be proved by H
astads
proof, if n is large enough so that l min (g) m 10 .

336

COROLLARY 4.1 : Let f = (fn) where fn Sn .

Then f SIZE - DEPTH(poly const) i l min (fn ) = O(logr n) for some
constant r .
Proof : The if-part is Theorem 4.2 i. The only if-part follows from
the denition of H
astads function and the lower bounds in Theorem 4.2 ii iv.

COROLLARY 4.2 : Ck(f) H(n k) for almost all f Bn .

Proof : Bublitz, Sch
urfeld, Voigt and Wegener (86) investigated properties of l min and proved the following assertion (see Theorem 7.8 ,
Ch. 13). l min (f) In for almost all f Bn and intervals In where
n log n In and the length of In is smaller than 2 . Hence the
corollary follows from Theorem 4.2 iv.

The bounds we have proved depend only on l min (f). Is it reasonable

to conjecture that Ck (f) depends for all f Bn essentially only on
l min (f) ? The answer is negative. Let n = m2 and let the set of
variables be partitioned to m blocks of size m each. Let hn compute 1
i at least one block contains ones only. Then l min (hn ) = m = n1 2
but hn has linear depth 2 circuits.
For symmetric functions l min (f) describes rather precisely the size
and the structure of the set of all prime implicants and prime clauses
and therefore the complexity of f . If l min (f) is not too small, a random
subfunction of f is with large probability not a simple function. The
same holds for arbitrary Boolean functions only if l min (f) is very large.
For hn dened above, l min (hn ) is quite large. It is highly probable that
a random subfunction of hn is a constant.

337

11.5 Hierarchy results

We have proved that the parity function has large complexity with
respect to depth k circuits. This lower bound implies many others by
the reducibility results of Ch. 10, 3. What happens if unbounded
fan-in parity gates are added to the set of admissible gates ? Then
ZMc is easy to compute, since ZMc cd PAR . Razborov (86) proved
that the complexity of the majority function in depth k { }circuits of unbounded fan-in is exponential. This holds also for all
functions f with MAJ cd f . It is an open problem to decide which
functions are dicult in depth k circuits consisting of threshold gates
of unbounded fan-in.
Razborovs new and striking result belongs to the class of hierarchy
results, since we increase the power of the basis in order to be able to
solve more problems with polynomial circuits. We turn our thoughts
to another type of hierarchy results.
DEFINITION 5.1 : Let k(P) and k (P) be the class of all sequences
f = (fn) of functions fn Bn which can be computed by polynomial
m
k-circuits and k -circuits resp. m
k (P) and k (P) are dened in a
similar way with respect to monotone depth k circuits.
Obviously for all k
k(P) k+1(P) SIZE - DEPTH(poly const)

(5.1)

k (P) k+1(P) SIZE - DEPTH(poly const)

(5.2)

k(P) k+1(P) k(P) k+1(P) and

(5.3)

m
k (P) k (P) {f = (fn ) | fn Mn }

(5.4)

The problem is whether these inclusions are proper. The answer is

always positive. This has been proved by Okolnischkova (82) for (5.4)
and by Sipser (83) for (5.1) (5.3). Sipsers proof is non constructive.
One is interested in explicitly dened functions which separate the

338

complexity classes. This was rst done by Klawe, Paul, Pippenger and
Yannakakis (84) for monotone depth k circuits and then by Yao (85)
in the general case.
DEFINITION 5.2 : Let n = mk . Let us denote the variables by
xi(1) i(k) (1 i(j) m) . Let Q = , if k is odd, and Q = , if k is
even. Then Fk n (x) = 1 i the predicate
i(1) i(2) i(3)

Q i(k) : xi(1)

i(k)

=1

(5.5)

is satised.
In the preceding section we discussed already F2 n = hn .
THEOREM 5.1 : Let Fk = (Fk n ) . Then Fk m
k (P) , but all depth
k 1 circuits for Fk have exponential size.
Again H
astad (86) proved similar results with simpler proofs. We
do not present the proofs which are based on the lower bound method
for the parity function.
Such hierarchy results have further implications. Furst, Saxe and
Sipser (84) have shown tight relations to classical complexity problems.
The results of this chapter imply that the complexity classes k and
k+1 (see Def. 1.4, Ch. 9) as well as the complexity classes k and
PSPACE can be separated by oracles.

EXERCISES
1. If a k -formula is dened on n variables and consists of b gates,
then the number of wires can be bounded by b (n + b) and the
number of leaves can be bounded by b n .

339

2. Let f be computed by a k -circuit of size c . Estimate the kformula size of f .

3. (Chandra, Stockmeyer and Vishkin (84)). Let fn Bn be computed by circuits of cn binary gates and depth dn . For 0 ,
fn can be computed in depth O(dn ( log log n)) circuits with

O(2(log n) cn ) gates of unbounded fan-in.

4. Prove upper bounds on the depth k complexity of the majority
function. Hint: Exercise 3.
5. (Chandra, Fortune and Lipton (83)). There is a constant k such
that all x1 xi (1 i n) can be computed by a k -circuit
with O(n) wires.
6. Design good k -circuits for Fk n .
7. Prove Theorem 2.3 i for all n .
8. Prove Lemma 3.1.
9. Dene l max and vmin in the dual way to l min and vmax . Then
l max (f) + vmin (f) = n + 1 for f Sn .
10. Ck (f) H(n k) for almost all f Sn .
11. Let p(f) be the number of prime implicants and prime clauses of
f . Prove for f Sn upper and lower bounds on p(f) depending on
l min (f).

340

12. SYNCHRONOUS, PLANAR AND PROBABILISTIC

CIRCUITS

In this chapter we investigate some more circuit models. Circuits

should be synchronized and it should be possible to embed the circuits on chips of small area. In the last section we discuss ecient
simulations of probabilistic circuits by deterministic circuits.

12.1 Synchronous circuits

DEFINITION 1.1 : A synchronous circuit is a circuit with the additional property that all paths from the inputs to some gate G have
the same length.
In Ch. 11 we have considered only synchronous bounded-depth
circuits, since this restriction does not change essentially the model of
bounded-depth circuits. Let Cs and Ds be the complexity measures
for synchronous circuits with binary gates. We remember that PCD(f)
is the product complexity (see Def. 3.1, Ch. 7) , namely the minimal
C(S) D(S) for all circuits S computing f .
THEOREM 1.1 : i) Ds (f) = D(f) for all f Bn .
ii) Cs (f) PCD(f) C(f)2 for all f Bn .
Proof : i) and the second inequality of ii) are obvious. Let S be a
circuit for f where C(S) D(S) = PCD(f) . For each gate G , let d(G)
be the length of the longest path to G . Let G1 and G2 be the direct
predecessors of G , w.l.o.g. d(G1) d(G2) . Then d(G1 ) = d(G) 1 .
We add a path of d(G) d(G2) 1 identity gates to the edge from G2

341

to G . The resulting circuit S is synchronous, for each G in S we have

added at most D(S) 1 gates. Hence Cs(f) C(S ) C(S) D(S) .
If we had proved (n log n) lower bounds on the synchronous circuit
size of explicitely dened Boolean functions, we would obtain for the
rst time similar bounds for the product complexity. The best we can
prove are lower bounds of size n log n .
THEOREM 1.2 : The synchronous circuit size of the addition of two
n-bit numbers is (n log n) .
Proof : The upper bound is left as an exercise. Let s = (sn
s0) be
the sum of a = (an1
a0) and b = (bn1
b0) . si depends essentially on ai bi
a0 b0 . Hence the depth of sn
s n 2 is at least
log n . The vector (sn
s n 2 ) can take all 2m values in {0 1}m
where m = n 2 + 1 . Let G1
Gr be those gates whose depth
equals d log n . These gates build a bottleneck for the information ow from the inputs to the outputs sn
s n 2 . If r m , we
could not distinguish between 2m situations. Hence r m n 2 , and
the circuit contains at least (1 2) n log n gates.

This result implies that the size of each synchronous adder is considerably larger than the size of an optimal asynchronous adder. For
functions f with one output no example in which C(f) = o(Cs(f)) is
known. One might think that the carry function cn , the disjunction
of all ui vi+1 vn (0 i n) , is a candidate for such a gap (see also
Ch. 7, 4). But Cs(cn ) is linear (Wippersteg (82)). Harper (77) and
Harper and Savage (79) generalized the bottleneck argument of Theorem 1.2 to functions with one output. The gates on level l D(f)
contain all necessary information on f and all subfunctions of f . Therefore the number of gates on level l cannot be small if f has many
subfunctions.
DEFINITION 1.2 : For f Bn let N(f A) be the number of subfunctions g of f on the set of variables A X = {x1
xn} . Let

342
1

n
a

N (f a) =

log N(f A)

(1.1)

AX |A|=a

be the average of all log N(f a) for |A| = a .

If N (f a) is large, f has many subfunctions. If also D(f) is large,
the number of gates on many levels cannot be very small. Hence Cs (f)
cannot be very small either.
LEMMA 1.1 : Let f Bn depend essentially on the b variables in
B . If r = 2 a b (n a b + 1)1 1 , then
n
a

N (f a)

1
0kb

b
k

nb k
2 (1 r)1
ak

(1.2)

Proof : The number of sets A X of size a where |A B| = k equals

b nb
k ak . The subfunctions of f on these sets A depend essentially at
most on the variables in A B . Hence log N(f A) 2k implying the
rst inequality.
b
k

Let s(k) =
q(k) :=

(1.3)

ab
= q(0)
nab+1

Since q(0) = r
1

2k . Then

s(k + 1)
bk
ak
= 2
s(k)
k+1 nab+1+k

n
a

nb
ak

1 , we estimate the sum by a geometric series.

s(k)

0kb

n
a

nb
a

rk (1 r)1

(1.4)

0kb

THEOREM 1.3 : If f Bn and

D(f) d := log((n a + 1) (2a + ))
for some 0

1 and a {1

n} , then

(1.5)

343

Cs(f) (1 ) d N (f a)

(1.6)

Proof : It is sucient to prove that each synchronous circuit for f

contains on level l {1
d} at least (1 ) N (f a) gates. Let
G1
Gm be the gates on level l and let g1
gm be the functions computed at these gates. Since f(x) is determined by g(x) =
(g1(x)
gm(x)) ,
N(f A) N(g A)

N(gi A)

(1.7)

1im

and by taking the logarithm and computing the average

N (f a)

N (gi a)

(1.8)

1im

Since D(gi) l d , gi depends essentially on at most 2d

(na+1) (2a+) =: b variables. For this choice of b , the parameter r
dened in Lemma 1.1 equals . Hence r 1 and by Lemma 1.1
N (gi a) (1 )1

(1.9)

By (1.8) and (1.9)

N (f a) m (1 )1
and the number of gates on each level l {1
(1 ) N (f a) .

(1.10)
d} is at least

Obviously the lower bound of Theorem 1.3 cannot be larger than

O(n log n) . Harper and Savage (79) proved by this theorem an
(n log n) lower bound on the synchronous circuit size of the determinant (see Def. 7.1, Ch. 3).

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12.2 Planar and VLSI - circuits

The theory of VLSI-circuits is too extensive to be presented in a

short section. For the technological aspects we refer to the monograph
of Mead and Conway (80) and for the aspects of the complexity theory
to Ullman (84). We discuss only the fundamental model of VLSIcircuits (Brent and Kung (80), Thompson (79) and (80)), some lower
bound techniques and some relations to planar circuits.
DEFINITION 2.1 : A graph is planar if it can be embedded in the
plane in such a way that no edges cross each other. A circuit is planar
if its underlying graph is planar. Cp(f) is the planar circuit size of f if
the inputs can be copied. Cp (f) is the planar circuit size of f Bn m if
the inputs and outputs of the circuit occur once on an outer circle in
the order x1
xn fm(x)
f1(x) .
We talk about planar -circuits and planar circuits shortly. Formulas can be simulated directly by planar -circuits. For planar circuits
we need planar circuits for crossings.
LEMMA 2.1 : Let f(y z) = (z y) . Then Cp (f) = 3 .
Proof :
z

Fig. 2.1
z

THEOREM 2.1 : C(f) Cp (f) Cp (f) 6 C(f)2 for all f Bn .

345

Proof : The rst two inequalities follow from the denition. For the
last inequality we consider an optimal circuit S for f . Let c = C(f) .
We embed input xi at (i 0) and gate Gj at (0 j) . An edge e from
xi or Gi to Gj is embedded by a continuous function e = (e 1 e 2 )
where e k : [0 1] for k {1,2} , e (0) = (i 0) or e (0) = (0 i)
resp. and e (1) = (0 j) . We dene all embeddings such that e 2 is
decreasing. If the edges leading to G1
Gi1 are embedded, then
we embed the two edges leading to Gi in such a way that all previous
edges are crossed once at most. Since the circuit contains 2 c edges,
the number of crossings is bounded by 22c = c (2 c 1) . We replace
each crossing by the planar circuit of Lemma 2.1. In addition to the
c gates of S we obtain at most 3 c (2 c 1) new gates.

The same ideas work for functions f Bn m with many outputs. If

we ensure that the outputs are computed at the last gates, they can
be embedded on an outer circle of the planar circuit. For this purpose
it is sucient to add at rst m 1 new output gates.
The following claim is used implicitly in many papers.
CLAIM : If f is computed in a circuit with c gates and d crossings of
edges, then Cp (f) c + 3d .
The Claim seems to be obvious. We only have to replace each
crossing by the planar circuit of Lemma 2.1. As was pointed out by
McColl (pers. comm.) this is no proof of the Claim. It is not for sure
that the produced circuit is cycle-free. Let us consider a circuit, like
the sorting circuit in Ch. 3, 4 , whose width is linear at the top and
at the bottom, but only logarithmic in the middle (see Fig. 2.2). Let
G be the leftmost gate, and let G be the rightmost gate at the bottom
of the circuit. Let us assume that we like to compute at G , a new
leftmost output, the conjunction of resG and resG . We minimize the
number of crossings, if we embed the edge from G to G as described
in Fig. 2.2. The edges e = (v w) and e = (G G ) lying on the same
path cross.

346

x1

xn

Fig. 2.2
. . . . . . .G
G
If we replace this crossing by the planar circuit of Lemma 2.1 , we obtain a cycle starting at w leading via G to the z-input of the crossingcircuit, then leading to the y-output of the crossing-circuit and
back to w .
This problem does not occur for our embedding in the proof of
Theorem 2.1. All edges are embedded top-down. If some edges e and
e lie on the same path, their embeddings do not cross.
Theorem 2.1 implies an upper bound of O(22n n2) on the planar
circuit complexity of all f Bn . Savage (81) improved this simple
bound.

THEOREM 2.2 : i) Cp (f) (2 + o(1)) 2n log1 n for all f Bn .

ii) Cp (f) 5 2n for all f Bn .
Proof : i) follows from Theorem 3.2, Ch. 4 , and the fact that Cp (f)
L(f) . For the proof of ii) we compute all minterms on x1
xn . If all
2i1 minterms on x1
xi1 are computed, we take a wire starting at
xi . This wire runs at the right hand side of the circuit to its bottom

347

and crosses all 2i1 wires for the monoms m on x1

xi1 . Then we
i
compute all m xi and m xi . We have used 2 gates for the computation
of the minterms and 3 2i1 gates for the crossings, i.e. 5 2i1 gates
in Step i . For all steps the number of gates is bounded by 5 2n . f or
f is the disjunction of at most 2n1 minterms. If we do not compute
unnecessary minterms in Step n , f or f can be computed with 5 2n
gates. The Claim is proved, as Cp (f) = Cp (f) .

The upper bound on Cp (f) has been improved by McColl and Paterson (84) to (61 48) 2n . McColl (85 b) proved that for almost all
f Bn the planar circuit complexity is larger than (1 8) 2n (1 4) n .
This implies that Cp (f) = o(Cp(f)) for almost all f Bn .
With information ow arguments and the Planar Separator Theorem due to Lipton and Tarjan ((79) and (80)), Savage (81) proved
(n2)-bounds on the planar circuit complexity of several n-output
functions. Larger lower bounds imply (due to Theorem 2.1) nonlinear
bounds on the circuit complexity of the same functions.
The investigation of planar circuits is motivated by the realization
of circuits on chips. Today, chips consist of h levels, where h
1 is
a small constant. We introduce the fundamental VLSI-circuit model.
For some constant 0 , gates occupy an area of 2 , and the minimum distance between two wires is . A VLSI-circuit of h levels
on a rectangular chip of length l and width w consists of a threedimensional array of cells of area 2 . Each cell can contain a gate, a
wire or a wire branching. Wires cross each other at dierent levels
of the circuit. A crossing of wires occupies a constant amount of area.
The area occupied by a wire depends on the embedding of the circuit.
VLSI-circuits are synchronized sequential machines. The output of
gate G at the point of time t may be the input of gate G at the point
of time t + 1 , i.e. the circuits are in general not cycle-free. For each
input there is a denite input port, a cell at the border of the chip,

348

where and a denite point of time when it is read. In particular, no

input is copied. For each output there is a denite output port where
and a denite point of time when it is produced.
The following complexity measures are of interest. A = l w , the
area of the chip, T , the number of clock cycles from the rst reading
of an input to the production of the last output, and P , the period.
VLSI-circuits may be pipelined, i.e. we may start the computation on
the next input before the last computation is nished if this causes
no problem. P is the minimum number of clock cycles between the
starting of two independent computations. D := n P is called the
data rate of the circuit.
We consider the addition of a = (an1
a0) and b =
(bn1
b0) . At rst we use only one synchronized fulladder of
depth d . At the point of time d t + 1 , at bt and the carry bit ct1
are the inputs of the fulladder. Hence A = (1) , T = dn and
P = T d + 1 . If we connect n fulladders in series and input at bt
and ct1 to the (t + 1)-st fulladder at the point of time d t + 1 , then
A = (n) , T = d n and P = 1 . It turned out that A T2 is the
appropriate complexity measure (see Ullman (84)).
Relations between (planar) circuits and VLSI-circuits have been
studied by Savage ((81) and (82)). For each clock cycle a VLSI-circuit
is a circuit with at most h A gates. We simulate the T clock cycles by
T copies of the circuit for one clock cycle. This implies the following
theorem.
THEOREM 2.3 : If f Bn m is computed by a VLSI-circuit of area A
in time T , then C(f) h A T .
The T copies of the VLSI-circuits can be embedded in the plane
in such a way that we obtain at most O(A T min(A T)) = O(A T2)
crossings of wires.
What is the VLSI-complexity of almost all Boolean functions ? The
planar circuit in the proof of Theorem 2.2 has some very long wires.

349

Therefore a divide-and-conquer approach for the computation of all

minterms is used. Using the H-pattern due to Mead and Rem (79),
Kramer and van Leeuwen (82) designed VLSI-circuits for each f Bn
where A = O(2n) , T = O(n) and P = O(1) . This is optimal for
almost all f Bn . The result on P is obviously optimal. The result
on T cannot be improved, since D(f) is a lower bound on the number
of clock cycles of a VLSI-circuit. Finally there is only a nite number
of types of cells. Hence the number of dierent circuits on a chip of
area A is O(cA ) for some constant c . In order to compute all f Bn ,
A = (2n) for almost all f Bn .
There is a large number of design methods for VLSI-circuits. So
we make no attempt to present these methods. Most of the lower
bounds are proved by information ow arguments. We present the
method due to Vuillemin (83) leading to (n2)-bounds on AT2 for
several fundamental functions.
DEFINITION 2.2 : Let n be the symmetric group of all permutations on 1
n . A subgroup G of n is called transitive if for all
i j {1
n} there is some G where (i) = j .
DEFINITION 2.3 : f Bn+m n is called transitive of degree n if there
is some transitive subgroup G of n such that for each G there is

some y = (y1
ym
) where
f(x1

xn y1

ym
) = (x(1)

x(n) )

(2.1)

If f is transitive of degree n , it must be possible to transport the

i -th input bit (1 i n) to the j -th output port. This data ow
is possible in a short time only on a large area. Hence we hope to
prove nontrivial lower bounds on A T2 for functions f transitive of
high degree. At rst we present examples of transitive functions of
high degree.
DEFINITION 2.4 :

CYCSH : cyclic shifts. Input: x0

xn1 ,

350

y1
ym where m = log n . Let y be the binary number represented
by (y1
ym) . Output: z0
zn1 where zi = x(i+y)modn .
MUL : Input: n-bit numbers x y M . Output: the n-bit number
z xy mod M .
CYCCON : Cyclic convolution.
Input: 2 n k-bit numbers
x0 y0
xn1 yn1 . Output: n k-bit numbers z0
zn1 where
zl

xi yj mod M for M = 2k 1

(2.2)

i+j l modn

xn and
MVP : matrix-vector-product. Input: n k-bit numbers x1
an n n-matrix Y = (yij) where yij {0 1} . Output: n k-bit numbers
z1
zn where
zl

yl i xi mod M for M = 2k 1

(2.3)

1in

3-MATMUL : multiplication (modM for M = 2k 1) of three n nmatrices of k-bit numbers.

LEMMA 2.2 :
CYCSH and MUL are transitive of degree n ,
CYCCON and MVP are transitive of degree n k , and 3-MATMUL
is transitive of degree n2 k .
Proof : CYCSH : Let G be the transitive group of all cyclic shifts
j where j (i) (i + j) mod n . CYCSH computes this group by denition.
MUL : We x M = 2n 1 and y = 2s for some s {0
Then 2n 1 mod M and
z xy =

xi 2i+s

0in1
xi 2i+s
0ins1

n 1} .
(2.4)

xi 2i+sn mod M

nsin1

The binary representation of z is (xns

xn1 x0
xns1) and
the cyclic shift ns is computed. Hence MUL computes the transitive
group of cyclic shifts.

351

CYCCON : Let G be the group of all permutations i j (0 i n ,

0 j k) . For i j the cyclic shift i is applied to the vector
(x0
xn1) and then the cyclic shift j is applied to each vector
xm (0 m n 1) . Obviously this group is transitive of degree n k .
The permutation i j is computed if we set yi = 2j and ym = 0 for
m = i . Then zl xl i yi mod M , if l i , and zl xn+l i yi mod M ,
if l
i . In the same way as in the proof for MUL , it follows that
zl is equal to xl i or xn+l i shifted by j positions. Furthermore the
x-vectors have been shifted by i positions.
MVP and 3-MATMUL : These examples are left as exercises.

THEOREM 2.4 : If f is transitive of degree n , then A T2 = (n2)

for each VLSI-circuit computing f .
Proof : It is sucient to prove A = (D2) . Since T P = n D1 , it
follows then that
A T2 = (D2(n D1)2 ) = (n2)

(2.5)

The claim is trivial if D = O(1) . Otherwise let h be the number of

levels, l the length and w the width of a VLSI-circuit for f . W.l.o.g.
w l . By a longitudinal cut we partition the chip into a right part
R and a left part L . If this cut is shifted one cell, then the number
of output ports in each part is increased or decreased by a constant
summand. At most P outputs may leave the same output port. Since
P = n D1 and D = (1) , P = o(n) . Hence it is possible to cut the
circuit in such a way that for Rout and Lout , the number of outputs
leaving the circuit in the right part and left part resp.,
Lout Rout = (n)

(2.6)

Since the cut is longitudinal, we have cut c = O(l ) wires. Since

A = l w l 2 = (c2)

(2.7)

it is sucient to prove c = (D).

Let G be the transitive group computed by f and let G . If
the control variables are xed in such a way that we compute , then

352

xi has to cross the cut if the input port for xi is in another part of
the circuit than the output port for the 1 (i)-th output. In this case
k(i ) := 1 , otherwise k(i ) := 0 .
Let Gij be the set of all G where (i) = j . It follows from
elementary group theory (see e.g. Huppert (67)) that all Gij are of
the same size. Hence 1(j) = i for |G| n1 permutations G . It
follows that
k(i ) = |G| n1 Lout

(2.8)

if the input port for xi lies in R , and

k(i ) = |G| n1 Rout

(2.9)

if the input port for xi lies in L . Therefore

k(i ) n |G| n1 min{Lout Rout} = |G| Rout

(2.10)

G1in

In particular, there is some G such that for the computation of

at least Rout inputs have to cross the cut. Since only c wires connect
the two parts of the circuit, P cannot be very small. If P Rout c1 ,
the data queue at the cut would be increasing. Hence, by (2.6),
n D1 = P Rout c1 = (n c1)
and c = (D).

(2.11)

12.3 Probabilistic circuits

In Ch. 9, 6 , we have simulated probabilistic Turing machines eciently by circuits. This approach leads e.g. to polynomial circuits for
primality testing. Here we go the same way for probabilistic circuits.
DEFINITION 3.1 :
The inputs of a probabilistic circuit S are
the inputs x1
xn of a Boolean function and some further inputs

353

y1
ym which take the values 0 and 1 independently with probability 1 2 . According to this probability distribution the output S(x) of
S on input x is a random variable.
DEFINITION 3.2 : Let A B {0 1}n and 0 q
p 1 . The
probabilistic circuit S separates A and B with respect to (p q) if
x A : Pr(S(x)) = 1) p and

(3.1)

x B : Pr(S(x)) = 1) q

(3.2)

Notation: (S A B p q) .
S is an -computation of f , if (S f 1(1) f 1(0) (1 2) + 1 2) is satised.
The following considerations can be generalized to circuits with
binary gates or formulas. But we concentrate our view upon boundeddepth circuits with gates of unbounded fan-in (see Ch. 11). We shall
prove Theorem 2.2, Ch. 11 , by designing probabilistic circuits for
threshold functions.
At rst, we present simple transformations and show how probabilistic circuits of very small error probability lead to deterministic circuits. Afterwards we investigate how we can reduce the error
probability. On the one hand, we improve logr n-computations to
logr+1 n-computations, if r 2 , and on the other hand, we improve
log1 n-computations to computations of very small error probability.
All results are due to Ajtai and Ben-Or (84).
LEMMA 3.1 : Let (S A B p q) be satised for A B {0 1}n and
0 q p 1.
i)

If p p

q q , (S A B p q ) is satised.

ii) There is a probabilistic circuit S such that C(S ) = C(S) , D(S ) =

D(S) and (S B A 1 q 1 p) are satised.
iii) For each positive integer l there is a probabilistic circuit Sl such
that C(Sl ) l C(S) + 1 , D(Sl ) D(S) + 1 and (Sl A B pl ql ) are

354

satised.
2n and p
1 2n , there is a deterministic circuit Sd
iv) If q
such that C(Sd) C(S) , D(Sd ) D(S) and (Sd A B 1 0) are
satised.
Proof : i) Obvious by denition.
ii) We negate the output of S and apply the deMorgan rules bottomup.
iii) We use l copies of S with independent random inputs and combine
the outputs by an -gate. Sl (x) = 1 i all copies of S compute 1 .
The assertion follows since the copies of S have independent random
inputs.
iv) Since q p , A and B are disjoint. Let f be dened by f 1(1) =
A . For x A B , the error probability, i.e. the probability that
S(x) = f(x) , is smaller than 2n . Let I(x) be the random variable
where I(x) = 1 i S(x) = f(x) and I(x) = 0 otherwise. Then E(I(x)) =
Pr(S(x) = f(x)) . Hence
E

I(x) =
xAB

E(I(x))

(3.3)

xAB

ym , I , the sum of all I(x) , is the number of errors

For xed y1
on the inputs x A B . I is always a nonnegative integer. By (3.3)

E(I)
1 . Therefore there is a vector (y1
ym
) {0 1}m which
leads to zero error. Sd is constructed by replacing the random inputs

y1
ym by the constants y1
ym
.

No ecient algorithm for the computation of y1

ym
is known.
In general, the methods of this section lead only to non uniform circuits even if the given probabilistic circuits are uniform. The step in
Lemma 3.1 iv is the only non uniform step.

LEMMA 3.2 : If (S A B (1 + logr n) 2 1 2) is satised for some

r 2 , then there is a probabilistic circuit S such that C(S ) =

355

O(n2(log n)C(S)) , D(S ) D(S)+2 and (S A B (1+logr+1 n) 2 1 2)

are satised.
Proof : W.l.o.g. n = 2k . Then
(S A B (1 + logr n) 2 1 2)
(S1 A B
(S2 B A
(S3 B A
(S4 A B

L. 3.1 i & iii

l = 2 logn
r+1
2
2
n (1 + 2 log
n) n )
L. 3.1 ii
r+1
2
2
1 n 1 n (1 + 2 log
n)) L. 3.1 i & iii
l = (n2 1) ln 2
1 2 (1 logr+1 n) 2)
L. 3.1 ii
(1 + logr+1 n) 2 1 2)

Let S = S4 . The assertions on C(S ) and D(S ) follow directly from

Lemma 3.1. The only crucial part is the computation of pl and ql if
we apply L. 3.1 iii. This is easy for the rst application of L. 3.1 iii ,
since
(1 2)l = n2

and

(1 + logr n)2 log n

(3.5)
1 + (2 log n) (logr n) = 1 + 2 logr+1 n

(3.6)

For the second application we assume that n is large. For small n we

use the DNF for f dened by f 1(1) = B . We set exp{x} = ex and
apply the well-known estimations
x n1
1 + x ex and 1
ex
(3.7)
n
Now l = (n2 1) ln 2 (n2 1) ln 2 and n2 ln 2 l
2

(1 n2)l (1 n2 )(n

1) ln 2

3 ln 2 . Hence

e ln 2 = 1 2

(3.8)

for the rst term. For the second term

1 n2 (1 + 2 logr+1 n)

exp{n2 (n2 3) (ln 2) (1 + 2 logr+1 n)}

2

= (1 2)n

(n2 3)

exp n2 (n2 3) (ln 2) 2 logr+1 n

(3.9)

356

We estimate the rst factor by

2

(1 2)n

(n2 3)

= (1 2) 8n

= (1 2) exp (ln 8)n2

(3.10)

= (1 2) (1 + O(n2))
For the second factor 2 n2 (n2 3) (ln 2)
exp{x} =
0i

1 3 for large n . If x 0

(x)i
x x3 x5
1x 1

2 4!
6!
i!

(3.11)

Hence for large n

exp n2(n2 3) (ln 2) 2 logr+1 n

1 1 2 logr+1 n

(3.12)

By (3.9) , (3.10) and (3.12)

1 n2(1 + 2 logr+1 n)

(1 2) (1 + O(n2)) (1 1 2 logr+1 n)
(3.13)
(1 2) (1 logr+1 n) for large n .

LEMMA 3.3 : If (S A B (1 + log1 n) 2 1 2) is satised, then there

is a deterministic circuit S such that C(S ) = O(n6(log2 n)C(S)) ,
D(S ) D(S) + 4 and (S A B 1 0) are satised.
Proof : We leave the details to the reader and present only a sketch
of the proof.
(S A B (1 + log1 n) 2 1 2)
(S1 A B 2 n2 n2)
(S2 B A 1 n2 1 2 n2)
(S3 B A n2 n4)
(S4 A B 1 n4 1 n2)
(S5 A B 1 2 n1 en)
(S6 B A 1 en 2 n1)
(S7 B A 1 2nen (2 n1)n)
(S8 A B 1 (2 n1)n 2nen)
(S A B 1 0)

L.
L.
L.
L.
L.
L.
L.
L.
L.

3.1
3.1
3.1
3.1
3.1
3.1
3.1
3.1
3.1

i&
ii
i&
ii
i&
ii
i&
ii
iv

iii l = 2 log n

(3.14)

iii l = 2 n2 ln n
iii l = n3
iii l = n

357

We combine Lemma 3.2 with Lemma 3.3.

0 a sequence
THEOREM 3.1 :
If Sn is for some r
r
of log n-computations of fn Bn , if C(Sn ) is bounded by
a polynomial and if D(Sn ) is bounded by a constant, then
f = (fn ) SIZE - DEPTH(poly const) .
We are now ready to prove Theorem 2.2, Ch. 11.
THEOREM 3.2 :
If k(n) = O(logr n) for some xed r , then
f = (Tnk(n) ) SIZE - DEPTH(poly const) .
Proof : W.l.o.g. k = k(n) logr n and n = 2l . We design a probabilistic circuit S of size n n k + 1 and depth 2 . We use n k blocks
of random inputs, the block size is l = log n . There exist n minterms
mj1
mjn on the j -th block of random inputs. We compute xi mji
for all 1 i n and 1 j n k . The disjunction of all xi mji
for xed j is a random xr (according to the uniform distribution). We
compute the disjunction of all xi mji , the disjunction of n k random
x-inputs.
Let pk (s) be the probability that S(x) = 1 if the input contains s
ones. Since 1 ns is the probability that a random x-input equals 0 ,
we conclude
s nk
pk (s) = 1 1
1 es k
(3.15)
n
Obviously s pk (s) is increasing. Thus the circuit S satises
(S (Tnk)1(1) , (Tnk)1(0) , pk (k) pk(k 1)) . For small k or n we use
the DNF for Tnk . Otherwise it is easy to prove that
pk (k) pk (k 1)(1 + k2) and 0 5 pk (k 1) 0 9

(3.16)

If pk (k 1) = 0 5 , we could apply directly Theorem 3.1 , since k2

log2r n . One possible way to deal with pk (k 1) 0 5 is described
in Exercise 13.

358

We have seen that logr n-computations can be simulated eciently

by deterministic computations. What about n-computations for
some
0? If they had been simulated eciently, we would obtain by the construction in Theorem 3.2 and Theorem 3.1 circuits of
polynomial size and constant depth for Tnk(n) and k(n) = n . This
would be a contradiction to Corollary 4.1, Ch. 11. Hence the simulation of Ajtai and Ben-Or is optimal if we allow a polynomial increase
of the circuit size and a constant number of additional logical levels.
Although
the
majority
function
is
not
in
SIZE - DEPTH(poly const) , it can be proved by the above methods
that some approximation of the majority function is contained in this
class (Stockmeyer (83), Ajtai and Ben-Or (84)).

THEOREM 3.3 : There is for constant r a sequence of circuits Sn of

polynomial size and constant depth which compute functions fn Bn
such that
fn (x) = 1 if x1 + + xn (n 2) (1 + logr n) and

(3.17)

fn (x) = 0 if x1 + + xn

(3.18)

n 2

We have pointed out that the last step in our simulation of

probabilistic circuits by deterministic circuits, the application of
Lemma 3.1 iv , is non uniform. Hence it is possible that functions
fn Bn can be computed by uniform probabilistic circuits of polynomial size and small error probability, but cannot be computed by
uniform deterministic circuits of polynomial size. This leads to the
denition of the complexity classes RNC and RNCk (Cook (83), for
the denition of NC and NCk see Def. 8.2, Ch. 9). Here we consider
circuits with binary gates.

359

DEFINITION 3.3 : RNC (RNCk ) is the class of languages L such

that for fn dened by fn1 (1) = L{0 1}n there are UBC -uniform probabilistic circuits of polynomial size and polylog depth (depth O(logk n))
satisfying
Pr(Sn (x) = fn (x) | x fn1(a)) 3 4 for a {0 1} .

(3.19)

We are content with this denition and the remark that many
RNCk algorithms are known.

EXERCISES
1. Prove the upper bound in Theorem 1.2.
2. Each synchronous circuit for the addition of an n-bit number and
a 1-bit number has size (n log n) .
3. Estimate Cs(f) for all f Bn by synchronizing Lupanovs circuit
(Ch. 4, 2).
4. Each synchronous circuit for the computation of the pseudo complements of a k-slice (Ch. 6, 13) contains at least log(n 1)
log( nk + 2) gates.
5. The complete graph Km is planar i m 4 .
6. The complete bipartite graph K3 3 is not planar.
7. (McColl (81)). The following functions are not computable in
monotone, planar circuits.
a) f1 (x y) = (y x) .

360

b) f2(x y) = (xy x) .
c) f3(x y) = (xy x y) .
8. (McColl (85 a)). T53 (and also Tnk for 2
computable in a monotone, planar circuit.

n 1) is not

9. (McColl (85 a)). Tn2 is computable in monotone, planar circuits.

10. Complete the proof of Lemma 2.2 for MVP and 3-MATMUL .
11. Prove results similar to Lemma 3.1 3.3 and Theorem 3.1 for
probabilistic circuits with binary gates.
12. Let 0 qi pi 1 and let (Si A B pi qi) be satised for 1 i
m . In S and S we combine the outputs of all Si by an -gate and
-gate resp. Compute p q p q such that (S A B p q)
and (S A B p q ) are satised.
2k 1}. Then there
13. Let (S A B p q) be satised and r {0
is a circuit S such that C(S ) C(S)+O(2k) , D(S ) D(S)+O(1)
and (S A B (r + p) 2k (r + q) 2k) are satised.
14. Compare the construction of bounded-depth circuits for the
threshold functions with the construction of monotone formulas
for the majority function in Ch. 8, 3.

361

13. PRAMs AND WRAMs: PARALLEL RANDOM ACCESS MACHINES

13.1 Introduction

Circuits represent a hardware model of parallel computations but

not a model of parallel computers. A parallel computer consists of
many computers (so-called processors) which work together. Since
several years vector computers are used, these are based on the SIMD
concept (single-instruction-multiple-data-stream). At each single time
step one can apply a denite type of operation (e.g. addition) to vectors and not only to numbers. This concept is appropriate for numerical applications (simulations in physics and geological explorations,
meteorological computations for an improved weather-forecast, etc.),
but for several combinatorial algorithms it is too restrictive.
Nowadays, one is designing MIMD computers (multiple-instruction-multiple-data-stream) that consist of up to 1024 processors. Each
processor has its own program. The processors may work together by
communicating with each other. If each pair of processors was connected by a communication channel, we would have 1024
= 523 776
2
connections. Hence this approach is impractical. The communication graph (vertices are processors, edges are communication channels)
should be a graph of small degree. There are communication graphs
like for instance the cube-connected-cycle and the shue-exchangenetwork which have constant degree (for an arbitrary number of processors) and which allow fast communication between arbitrary processors.
It is dicult to design algorithms for these realistic parallel computers, since one always has to pay attention to the distance of
processors which like to communicate. Hence one considers parallel
computers of a simpler communication structure. Processors are not
connected via communication channels, instead of that all processors

362

have random access to a shared memory. Processor j obtains information from processor i by reading an information written by processor i .
These parallel random access machines represent no realistic model,
but on the one hand it is convenient to design algorithms in this model,
and, on the other hand, ecient algorithms are known for the simulation of these algorithms on those realistic parallel computers discussed
above (see e.g. Mehlhorn and Vishkin (84) or Alt, Hagerup, Mehlhorn
and Preparata (86)). Hence we investigate only parallel random access machines, nowadays the standard model of parallel computers at
least for the purposes of the complexity theory.

DEFINITION 1.1 : A parallel random access machine (PRAM) for

n Boolean inputs consists of processors Pi (1 i p(n)) , a read-only
Mn containing the inputs x1
xn and
input tape of n cells M1
a shared memory of cells Mj (n
j n + c(n)) , all containing at
rst zeros. Pi starts in the state q(i 0) . At time step t , depending
on its state q(i t) , Pi reads the contents of some cell Mj of the shared
memory, then, depending on q(i t) and the contents of Mj , it assumes
a new state q(i t + 1) , and, depending on q(i t + 1) , it writes some information into some cell of the shared memory. The PRAM computes
fn Bn in time T(n) if the cell Mn+1 of the shared memory contains
on input x = (x1
xn ) at time step T(n) the output fn (x) .
We distinguish between some models of PRAMs with dierent rules
for solving read and write conicts.
An EREW PRAM (exclusive read, exclusive write) works correctly
only if at any time step and for any cell at most one processor reads
the contents of this cell and at most one processor writes into this cell.
A CREW PRAM (concurrent read, exclusive write) or shortly
PRAM allows that many processors read the contents of the same
cell at the same time step, but it works correctly only if at any time
step and for any cell at most one processor writes into this cell.

363

A CRCW PRAM (concurrent read, concurrent write) or shortly

WRAM solves write conicts. If more than one processor tries to
write at time step t into cell Mj , then the processor with the smallest
number wins. This processor writes its information into Mj , all other
competitors fail to write.
A WRAM satises the common write rule (CO WRAM) if whenever several processors are trying to write into a single cell at the same
time step, the values that they try to write are the same.
Our PRAM models are non uniform. Nevertheless, we shall design uniform algorithms. For ecient algorithms the computation
time T(n) , the number of processors p(n) and the communication
width c(n) should be simultaneously small. Moreover, the computation power of the single processors should be restricted realistically.
For lower bounds we choose the model as general as possible.
In 2 we compare the dierent models and obtain ecient algorithms via simulations. All functions with ecient circuits of boundeddepth can be computed eciently by CO WRAMs. The reverse holds
for WRAMs of restricted computation power. This result, which is
proved in 3 , enables us to generalize lower bounds proved in the
previous chapters. In 4 6 we discuss lower bound methods. The
lower bounds depend on combinatorial measures which we investigate
in 7.

13.2 Upper bounds by simulations

THEOREM 2.1 : i) Each function fn Bn can be computed in

time log n + 1 by an EREW PRAM with n powerful processors and
communication width n .

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ii) Each fn Bn can be computed in time log n + 2 by a PRAM

with n 2n realistic processors and communication width n 2n .
iii) Each fn Bn can be computed in time 2 by a CO WRAM with
n 2n realistic processors and communication width 2n .
Proof : i) At time step 0 processor Pi reads the i -th input xi , stores
this value in its internal memory and writes it into Yi , i.e. the i -th
cell Mn+i of the shared memory. At time step t , processor Pi reads
the contents of Yj where j = i + 2t1 . If j n , Pi does nothing. If
j n , Pi concatenates the contents of its internal memory and the
contents of Yj . The result is stored in its internal memory and written
into Yi . It is easy to prove that Pi knows after time step t the vector
(xi
xj ) where j = min{n i + 2t 1} . After time step log n , P1
knows (x1
xn) . P1 evaluates f(x1
xn) and writes the result
into the output cell Y1 .
ii) We use the DNF of f . Each minterm can be evaluated in time
log n + 1 by n realistic processors and communication width n . A
a(k)
minterm is a conjunction of n literals xk . We use a binary tree as
in the proof of i) , but the conjunction is a simple function. Instead
a(i)
a(j)
of (xi
xj ) we only store xi xj . All minterms can be
evaluated in parallel by a PRAM. Before the last step there is for each
a fn1 (1) a processor P(a) knowing ma (x). W.l.o.g. Y1 contains 0 .
P(a) writes 1 into Y1 i ma (x) = 1 . There is no write conict, since
at most one minterm computes 1 .
iii) The disjunction of n literals can be computed by a CO WRAM
consisting of n realistic processors in one time step and communication
width 1 . Each processor reads one input and writes 1 into the output
cell i its literal equals 1 . We use the CNF of f and evaluate all
maxterms in parallel. Moreover we write 1 into Y1 . In the second
step a processor P(a) for a f 1 (0) reads sa (x) and writes 0 into Y1
i sa (x) = 0 .

365

These simple algorithms are not ecient algorithms, since either

the number of processors grows exponentially or the processors are
too powerful. We have seen that it is possible to simulate the DNF or
CNF for f . This idea can be extended to circuits (van Leeuwen (83),
Stockmeyer and Vishkin (84)).
THEOREM 2.2 : i) Let S be a circuit of binary gates computing
fn Bn with s gates in depth d . Then there is a PRAM computing fn in time O(d) with p = s d realistic processors and
communication width s .
ii) Let S be a circuit of unbounded fan-in gates computing fn Bn
with s gates and e edges in depth d . Then there is a CO WRAM
computing fn in time d + 1 with e realistic processors and communication width s .
Proof : i) The depth of a gate is the length of a longest path from
an input to this gate. Let Ni be the number of gates of depth i in S .
These gates are partitioned to p blocks of at most Ni p gates each.
We simulate the circuit level by level. A processor may simulate a
binary gate in two steps of time. Hence the i -th level is simulated in
2 Ni p steps by p processors. The result of each gate is written into
a denite cell of the shared memory. The time for this simulation is
estimated by
2 Ni p 2 d + 2 (N1 + + Nd ) p

(2.1)

1id

2 d + 2 s (d s) = 4 d
ii) There is for each gate of the circuit a cell in the shared memory and
for each edge of the circuit a processor. In time step 0 the contents
of the cells representing -gates are replaced by ones. In time step i
(1 i d) all gates on the i -th level are simulated. The processors
for the edges leading to these gates read the inputs of the edges. If the
level is an -level a processor writes 0 into the corresponding cell for

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the gate i the processor has read 0 . -gates are simulated similarly.

This theorem leads to ecient PRAM algorithms. We obtain

for many fundamental functions O(log n)-time algorithms on PRAMs
with a polynomial number of realistic processors and polynomial communication width (see Ch. 3). By the results of Ch. 10, 3 , and Ch. 11
we obtain for certain fundamental problems O(1)-time algorithms on
CO WRAMs with a polynomial number of realistic processors and
polynomial communication width. In 4 we prove (log n)-bounds
on the PRAM complexity of many fundamental functions even if the
number of processors, the power of processors and the communication
width are unlimited. These results imply that realistic CO WRAMs
may be faster by a factor of (log n) than PRAMs of unlimited resources. This speed up is optimal because of the following results.
THEOREM 2.3 : A WRAM of p processors, communication width c
and time complexity t may be simulated by an EREW PRAM with
(c + n) p processors, communication width c + (c + n)p and time complexity t (4 + 2 log p ) .
Proof : The simulation is step-by-step. The c cells of the shared
memory are simulated directly by c cells. Furthermore each of the
n input cells and the c cells of the shared memory is simulated once
for each processor. We assume that we have simulated i computation
steps. Then the information of each of the c + n cells of the WRAM
is copied and written into p denite cells. This can be done for each
cell by p processors in time log p + 1 without read conicts. If the
information is copied r times, r processors may read the information
and may write it into r other cells and so on. Afterwards we simulate
one computation step. Each processor can read the information in
its own cells, i.e. without read conict. Each processor simulates the
internal computation and marks that of its cells representing the cell in
which it tries to write. For each cell of the shared memory p processors

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are sucient to compute in time log p +1 the number of the processor

who wins the write conict according to the rules. This is simply the
computation of the minimum of at most p numbers. Each processor is
informed whether it has won the write conict. Afterwards all winners
write their information into the corresponding cells which causes no
write conict. The whole computation step has been simulated in
4 + 2 log p steps.

WRAMs can be simulated rather eciently by simple

EREW PRAMs. What is the dierence between WRAMs and
CO WRAMs ? This question has been answered by Kucera (82).

THEOREM 2.4 : A WRAM of p processors, communication width c

and time complexity t may be simulated by a CO WRAM of p2
processors, communication width c + p and time complexity 4 t .

Proof : The simulation is step-by-step. We use processors Pj

(1 j p) for the simulation and Pij (1 i j p) for some extra
work. Since Pj and Pij never work simultaneously p2 processors are
sucient if p 3 . The case p = 2 is obvious. Each computation step
is simulated in 4 steps. At rst the processors Pj (1 j n) simulate
the reading and the internal computations of the WRAM , and Pj
writes into the j -th extra cell of the shared memory the number of
that cell into which Pj likes to write. In the following two steps Pij
decides whether Pj loses a write conict against Pi . Pij writes a mark
# into the j -th extra cell i Pj has lost a write conict against Pi .
This causes no conict for CO WRAMs. All processors writing at this
time step write the same letter, namely the mark # . In the fourth
step Pj reads whether it has lost a write conict. Only if Pj has not
lost a write conict, Pj simulates the write phase of the WRAM. This
causes no write conict at all.

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All these simulations lead to upper bounds on the time complexity

of parallel computers. For several fundamental functions we obtain
(nearly) optimal algorithms. For many other functions new ideas for
the design of ecient parallel algorithms are needed. Because we did
not present ecient algorithms for non fundamental functions, we shall
not discuss ecient parallel algorithms for such functions.

13.3 Lower bounds by simulations

Stockmeyer and Vishkin (84) have proved that restricted WRAMs

may be simulated eciently by circuits of unbounded fan-in gates.
We restrict the computation power of the single processors in such a
way that each single step may be simulated by a polynomial circuit of
constant depth. This is the only restriction we actually need.
Each processor p follows some program of l (p) lines. Its current
state l {1
l (p)} describes the actual line of the program. The
initial state is l = 1 . The processor has a local random access memory.
We give a list of legitimate operations.
M(r) = c (reading of constants). The constant c is written into the
r -th cell of the local memory.
M(r) = M(i) (direct reading). The contents of the i -th cell of the
local memory is written into the r -th cell of the local memory.
M(r) = M(i)M(j) (computation step). Let x and y be the contents
of the i -th and j -th cell of the local memory resp. Then z = x y is
written into the r -th cell of the local memory. The function is one
of a nite list of operations. We allow only operations which can
be computed by polynomial circuits of constant depth and where the
length |z| of the output z is bounded by max{|x| + 1 |y| + 1 n} . By
the results of Ch. 11, 2 , the list may include addition, subtraction,
comparison and also the multiplication of numbers of length O(log n) .

369

M(r) = M(i) {l c} (indirect reading). Let I be the contents of

the i -th cell of the local memory. The contents of the I -th cell of the
local/common (or shared) memory is written into the r -th cell of the
local memory.
M(r) = M(i) {l c} (indirect writing). The contents of the i -th cell
of the local memory is written into the j -th cell of the local/common
memory, j is the contents of the r -th cell of the local memory.
GO TO l if M(i) = M(j) (if-tests). It is tested whether the contents of the i -th cell of the local memory is smaller than / equal to
the contents of the j -th cell of the local memory. In the positive case
we proceed to line l of the program. Otherwise we proceed (as usual)
to the next line of the program.
STOP (end of the program).
The so-restricted WRAMs are called RES WRAMs. The program size
is the number of bits in the program.
THEOREM 3.1 : Let fn Bm where m = n2 . Let Wn be a sequence
of RES WRAMs computing fn , if the input is given in n blocks of n
bits each, with p(n) processors of program size s(n) , unlimited communication width and time complexity t(n) .
Then for some polynomial Q , there are circuits Sn computing fn with
Q(n p(n) s(n) t(n)) unbounded fan-in gates in depth O(t(n)) .
Proof : Although the communication width is unlimited, only a limited number of cells is available. The numbers of the input have length
n and the length of the numbers in the programs is bounded by s(n) .
RES WRAMs cannot produce large numbers in short time. The length
of all numbers used by Wn is bounded by
L(n) = max{n s(n)} + t(n)

(3.1)

We simulate Wn step-by-step. The diculty is to nd the information in the memories, since by numbers of length L(n) one may
address 2L(n) dierent cells. These are 2L(n) possible addresses. For

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each denite input each processor may change the contents of at most
t(n) cells. Therefore the circuits use an internal representation of the
memories of Wn . Everything written at time step k gets the internal address k . If this information is deleted at a later time step,
the information is marked as invalid. The index l refers to the local
memory and index c to the common memory. For all 1 p p(n) ,
1 k t(n) , k t t(n) we shall dene al (p k) , vl (p k) and
wl (p k t) . al (p k) is a number of length L(n) and indicates the address of that cell of the local memory into which the p-th processor
has written at time step k . vl (p,k) is also a number of length L(n) and
equals the number which the p-th processor has written at time step k .
The bit wl (p,k,t) indicates whether at time step t the information the
p-th processor has written into the local memory at time step k is still
valid (wl (p k t) = 1) or has been deleted (wl (p k t) = 0) . In the
same way we dene ac (p k) , vc (p k) and wc (p k t) . At the beginning all local cells contain zeros, only the rst n cells of the common
memory contain the input. Hence we dene ac(i 0) = i , vc (i 0) = xi
and wc (i 0 0) = 1 for 1 i n . Here we assume, like we do in the
whole proof, that numbers are padded with zeros if they have not the
necessary length. All other parameters are equal to 0 for t = 0 .
Let l (p) be the number of lines in the program of the p-th processor. Let i(p l ) , j(p l ) , c(p l ) and r(p l ) be the parameters in the l -th
line of the p-th program. Here and in the following we assume that
non existing parameters are replaced by zeros and that the empty disjunction is zero. Let ic(p l t) = 1 i during the (t +1)-st computation
step processor p is in line l of its program. Obviously ic(p l 0) = 1 i
l = 1.
Let us assume that t computation steps of Wn have been simulated
correctly. This is satised at the beginning for t = 0 . We describe
the simulation of the (t + 1)-st computation step. Let EQ(a b) = 1 i
a = b , let
a (b1

bm ) = (a b1

a bm ) and

(3.2)

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(a1

am ) (b1

bm ) = (a1 b1

am bm )

(3.3)

for arbitrary m . We simulate each line of each program. Let R(p l t)

be the result produced by the p-th processor during the (t + 1)-st
computation step, if the processor is in line l of the program. The
result is the information which will be written into some cell or the
result of an if-test. Let A(p l t) be the address of the cell into which
R(p l t) will be written. Let I(p l t) be the contents of the i(p l )-th
cell of the local memory before the (t + 1)-st computation step. Then
I(p l t) =

EQ(i(p l ) al (p k)) wl (p k t) vl (p k)

(3.4)

1kt

The equality test ensures that we are looking for information at the
correct address only, and the validity bit wl ensures that we consider only valid information. If we consider a computation step or
an if-test, we compute J(p l t) in the same way. R(p l t) equals
c(p l ) (reading of constants), or I(p l t)J(p l t) (computation step),
= J(p l t) or
or I(p l t) (indirect writing), or 1 or 0 if I(p l t)
I(p l t) = J(p l t) resp. (if-test). For steps of indirect reading
R(p l t) equals the contents of the cell I(P l t) of the local or common
memory. Hence R(p l t) can be computed by (3.4) if we replace i(p l )
by I(p l t) . For the common memory we replace al (p k) , vl (p k) , and
wl (p k t) by ac (p k) , vc(p k) and wc (p k t) resp. and compute the
disjunction over all p , since each processor may have written into the
common memory. In every case all R(p l t) are computed in polynomial size and constant depth. Only for indirect writing, A(p l t)
is not a constant. Then A(p l t) is computed in the same way as
R(p l t) . Finally
R(p t) =

ic(p l t) R(p l t) and

(3.5)

ic(p l t) A(p l t)

(3.6)

1l l (p)

A(p t) =

1l l (p)

are the actual results and addresses.

This information is used for an updating of our parameters. The
instruction counter ic(p l t + 1) equals 1 i ic(p l 1 t) = 1 and line
l 1 does not contain an if-test or ic(p l t) = 1 , line l contains an if-

372

test and the result of this test leads us to line l . Hence all ic(p l t+1)
are computed in polynomial size and constant depth.
Let (p t) = 1 i the p-th processor writes into its local memory
during the (t + 1)-st computation step. Let (p t) = 1 i the p-th
processor tries to write into the common memory during the (t + 1)-st
computation step. (p t) as well as (p t) is the disjunction of some
ic(p l t) . Now the local memories are updated. Let al (p t + 1) =
A(p t) , vl (p t + 1) = R(p t) and wl (p t + 1 t + 1) = (p t) . For
1 k t , let wl (p k t + 1) = 0 i wl (p k t) = 0 or (p t) = 1
and al (p k) = A(p t) . An information is not valid i it was not valid
before or the p-th processor writes into that cell of its local memory
where this information has been stored.
For the updating of the common memory we have to decide write
conicts. Let (p t) = 1 i the p-th processor actually writes some
information into the common memory at the (t + 1)-st computation
step. Then
(p t) = (p t) (

(q t) EQ(A(q t) A(p t)))

(3.7)

1q p

since a processor loses a write conict i a processor with a smaller

number tries to write into the same cell. Finally ac(p t + 1) = A(p t) ,
vc(p t + 1) = R(p t) and wc(p t + 1 t + 1) = (p t) . For 1 k t ,
wc(p k t + 1) = 0 i wc (p k t) = 0 or (p t) = 1 and ac(p t) =
A(p t) for some p . One computation step can be simulated in polynomial size and constant depth.
At the end of the simulation we compute the output in the same
way as we have read the contents of cells.

Combining this simulation and the lower bounds of Ch. 11 we obtain lower bounds on the complexity of RES WRAMs.

373

13.4 The complexity of PRAMs

We know (Theorem 2.1) that all Boolean functions f Bn can be

computed by an EREW PRAM in time log n +1 . This upper bound
is proved by doubling the information of each processor in each step. If
a (very powerful) processor knows the whole input a , it can compute
the output and write it into the output cell. Here we consider lower
bounds. If a PRAM stops the computation with output 1 , it has to
be sure that f(a) = 1 . Let t be a shortest prime implicant covering a ,
i.e. t(a) = 1 . Let l be the length of t . If we have knowledge on less
than l input bits, and if these bits agree with a , we do not know that
the output equals 1 .
DEFINITION 4.1 : Let f Bn . For a f 1 (1) let l (f a) be the
length of a shortest prime implicant t PI(f) such that t(a) = 1 . For
a f 1 (0) let l (f a) be the length of a shortest prime clause s PC(f)
such that s(a) = 0 . Let
l max(f) = max{l (f a) | a {0 1}n} and

(4.1)

l min (f) = min{l (f a) | a {0 1}n}

(4.2)

Obviously l min (f) is the length of a shortest prime implicant or

prime clause and (4.2) agrees with Denition 4.1, Ch. 11. Since l max(f)
and l min (f) will play an important role in the following sections, we
interpret l (f a) also in another way. An implicant of length k corresponds to an (n k)-dimensional subcube C of {0 1}n such that f
computes 1 for all a C . A prime implicant t has the additional
property that C cannot be extended, i.e. f is not constant on any cube
C where C is a proper subcube of C . This implies the following
characterization of l (f a) .
LEMMA 4.1 : l (f a) is the maximum k such that f is not constant
on any (n k + 1)-dimensional subcube of {0 1}n containing a .

374

l (f a) is called sensitive complexity of f at input a (Vishkin and

Wigderson (85)). We believe that it is more adequate to interpret this
measure using the fundamental notion of prime implicants and prime
clauses.
We also remark that l max(f) may be small even when f has long
prime implicants and prime clauses.
LEMMA 4.2 : Let SAn Bn+k where n = 2k be the storage access
function. Then l max (SAn ) = l min (SAn ) = k + 1 but SAn has a prime
implicant and a prime clause of length 2k each.
Proof : The proof is left as an exercise.

By our considerations above we have to know at least l (f a) bits,

if the input is a , before we may know the output. One might believe
that one can at most double his information in one computation step.
This leads to the conjecture that the PRAM time complexity of f is
not smaller than log l max(f) . For the disjunction ORn of n variables,
l max(ORn ) = n . The conjecture is false, since ORn can be computed
by an EREW PRAM in less than log n steps (Cook, Dwork and
Reischuk (86)).

2
THEOREM 4.1 : Let a = (1 + 5) 2 2 618 . ORn can be
computed by an EREW PRAM with n realistic processors and communication width n in time loga n .
Proof : It is essential that a processor may transfer information if it
does not write. We consider the situation of two memory cells M and
M containing the Boolean variables x and y resp. and a processor P
knowing the Boolean variable z . P reads the contents of M , computes
r = y z and writes 1 into M i r = 1 . Then M contains x y z ,
the disjunction of 3 variables. If r = 1 , this value is written into M .
If r = 0 , x y z = x . M contains this information, since P does not
write anything.

375

This idea can be generalized and parallelized. W.l.o.g. the input tape is not read-only, and we have no further memory cells. Let
OR(i j) be the disjunction of xi
xi+j1 . Let Pt (i) be the knowledge of the i -th processor after t computation steps, and let Mt (i) be
the contents of the i -th memory cell after t computation steps. Then
P0(i) = OR(i G0) for G0 = 0 and M0 (i) = OR(i H0) for H0 = 1 . Let
Pt1(i) = OR(i Gt1) and Mt1 (i) = OR(i Ht1) .
During the t-th computation step the i -th processor reads the contents of the (i + Gt1)-th cell (if i + Gt1 n) and computes
Pt (i) = Pt1(i) Mt1 (i + Gt1 )

(4.3)

= OR(i Gt1) OR(i + Gt1 Ht1) = OR(i Gt1 + Ht1)

We have simplied the notation and have assumed that xj = 0 if j n .
The i -th processor writes 1 into the (i Ht1)-th cell (if i Ht1 1)
i Pt (i) = 1 . As in our example at the beginning of the proof
Mt (i) = Mt1(i) Pt (i + Ht1)

(4.4)

= OR(i Ht1) OR(i + Ht1 Gt1 + Ht1)

= OR(i Gt1 + 2 Ht1)
Hence Gt = Gt1 + Ht1 and Ht = Gt1 + 2 Ht1 . We set F2t = Gt
and F2t+1 = Ht . Then
F0 = 0

F1 = 1

F2t = F2t2 + F2t1 F2t+1 = F2t1 + F2t (4.5)

This is the well-known recursion for the Fibonacci numbers

5 for = ( 5 + 1) 2
Ft = t ( 5)t

(4.6)

Hence Mt (1) is the disjunction of the rst F2t+1 variables. We stop

the computation if F2t+1 n .

By this result we have improved the obvious upper bound by a

small constant factor. Cook, Dwork and Reischuk (86) have proved
that this is nearly optimal. The PRAM complexity of ORn is (log n) .

376

By Theorem 4.1 this result is not obvious.

THEOREM 4.2 : Let b = (5 + 21) 2 4 791 . The PRAM time

complexity (number of processors, communication width and computation power of the processors are unlimited) of f Bn is not smaller
than logb n if l max (f) = n .
Proof : Let a be an input where l (f a) = n . Then f is not constant on any 1-dimensional subcube of {0 1}n containing a . Hence
f(a(i)) = f(a) for the neighbors a(i) of a , where a(i)j = aj for i = j
and a(i)i = 1 ai .
We introduce some notation. An index i inuences a processor P
at time step t on input a if the state of P at t on a diers from the
state of P at t on a(i) . In a similar way we dene the inuence of
an index on a memory cell. Let K(P t a) and L(M t a) be the set of
indices inuencing P and M resp. at t on a .
Obviously K(P 0 a) = , L(Mi 0 a) = {i} if i n and
L(Mi 0 a) = if i n . Let T be the computation time of a PRAM
computing f and let M1 be the output cell. Then L(M1 T a) =
{1
n} , since l (f a) = n . We shall estimate the information ow.
If L(M1 t a) grows only slowly with t , then T is large.
We anticipate the results of our estimations. We prove for
K0 = 0

L0 = 1

Kt+1 = Kt + Lt

Lt+1 = 3 Kt + 4 Lt

(4.7)

all processors P , memory cells M , inputs a and time steps t that

|K(P t a)| Kt

and |L(M t a)| Lt

The recursion (4.7) has for b = (5 21) 2 the solution

t
t
Kt = (b b ) 21 and

t
Lt = ((3 + 21)bt + ( 21 3)b ) (2 21) bt
Hence

(4.8)

(4.9)
(4.10)

377

n = |L(M1 T a)| LT bT

and T logb n

(4.11)

We prove (4.8) by induction on t . The assertion is obvious for

t = 0 . A processor P may store all available information and may
read the contents of one memory cell M . Hence
K(P t + 1 a) K(P t a) L(M t a)

(4.12)

and by induction hypothesis

|K(P t + 1 a)| Kt + Lt = Kt+1

(4.13)

A memory cell M is inuenced in a complicated way if no processor

writes into M . If processor P writes into M at t + 1 on a , then
all information in M is deleted and M is inuenced only by indices
inuencing P . Hence
L(M t + 1 a) K(P t + 1 a) and

(4.14)

|L(M t + 1 a)| Kt+1 = Kt + Lt 3 Kt + 4 Lt = Lt+1

(4.15)

If no processor writes into M at t+1 on a , then M may be inuenced

by those indices which have inuenced M before. Furthermore, index i
may inuence M at t + 1 on a if some processor P writes into M at
t + 1 on input a(i) . Hence
L(M t + 1 a) L(M t a) Y(M t + 1 a)

(4.16)

for the set Y(M t + 1 a) of indices i such that some processor P writes
into M at t + 1 on a(i) but not on a. It is sucient to prove that
|Y(M t + 1 a)| 3 Kt+1

(4.17)

For a bound on the size of Y(M t+1 a) we investigate the situation

where 1 2 Y(M t + 1 a) . P and P write into M at t + 1 on a(1)
and a(2) resp., and P and P do not write into M at t + 1 on a . This
is possible only if 1 K(P t + 1 a(1)) and 2 K(P t + 1 a(2)) . The
assumptions 1 K(P t + 1 a(2)) , 2 K(P t + 1 a(1)) and P = P
lead to a write conict on the input a = a(1)(2) = a(2)(1) . P writes
on a(1) into M and is not inuenced by index 2 . Hence P writes on a
into M . The same holds for P = P in contradiction to the denition

378

of PRAM programs.
We conclude that P
2 K(P t + 1 a(1)) .

or 1

K(P t + 1 a(2)) or

Now we investigate the general situation in which Y(M t + 1 a) =

ur} . Let zi be the number of that processor which writes
{u1
into M at t + 1 on a(ui) . We construct a bipartite graph G on the
vertices v1
vr and w1
wr . G contains the edge (vi wj ) i ui
K(P(zj) t + 1 a(uj)) . Since |K(P(zj) t + 1 a(uj))| Kt+1 , the degree
of wj is bounded by Kt+1 . Hence
e r Kt+1

(4.18)

for the number of edges e of G . Our preliminary investigations imply

that for each pair (ui uj ) where P(zi) = P(zj ) , G contains at least
one of the edges (vi wj) and (vj wi) . We estimate the number of
these pairs. There are r possibilities for ui . If P(zi) = P(zj ) , then
uj K(P(zi) t + 1 a) . This is possible for at most Kt+1 indices.
Hence there are at least r Kt+1 possibilities for uj . We have counted
each pair twice. Hence
e r(r Kt+1) 2

(4.19)

We combine (4.18) with (4.19) and obtain the following estimation for
r = |Y(M t + 1 a)| .
r(r Kt+1 ) 2 r Kt+1

and r 3 Kt+1

(4.20)

The following conjecture is a natural generalization of Theorem 4.2.

CONJECTURE : T(f) = (log l max(f)) for the PRAM time complexity T(f) of Boolean functions f .
This conjecture is open. Only a (perhaps) weaker lower bound has
been proved.
DEFINITION 4.2 : For a {0 1}n , let (a) be the neighborhood
of a consisting of those n vectors which dier from a at exactly one

379

position. The critical complexity c(f a) of f at a is the number of

neighbors b (a) where f(a) = f(b) . The critical complexity c(f) of
f is dened by
c(f) = max{c(f a) | a {0 1}n}

(4.21)

THEOREM 4.3 : T(f) logb c(f) for the PRAM time complexity of

Boolean functions f and b = (5 + 21) 2 .

Proof : Let a be an input where c(f a) = c(f) . W.l.o.g. f(a) =
f(a(i)) for 1 i c(f) . Let f be that subfunction of f on c(f)
variables where we have replaced the variables xj for j c(f) by aj .
Obviously l (f a) = c(f) is equal to the number of variables of f .
T(f ) logb c(f) by Theorem 4.2 , and T(f) T(f ) , since f is a
subfunction of f .

PROPOSITION 4.1 : c(f) l max(f) for all f Bn .

Proof : It is sucient to prove c(f a) l (f a) for all a {0 1}n .
Let k = c(f a) . Then f(b) = f(a) for k neighbors b of a , and f is not
constant on any (nk+1)-dimensional subcube of {0 1}n containing a .

Because of Proposition 4.1 the conjecture is not weaker than Theorem 4.3. The conjecture is a more natural assertion, since l max is
a more natural complexity measure than c . It is open, whether the
conjecture is really stronger than Theorem 4.3. What is the largest
dierence between c(f) and l max ?
Does there exist a sequence fn Bn such that c(fn ) = o(l max(fn )) or
even log c(fn ) = o(log l max(fn )) ? Only in the second case the conjecture is stronger than Theorem 4.3.

380

In 7 we estimate the critical and the sensitive complexity of almost all functions and of the easiest functions. It will turn out that
the bound of Theorem 4.3 is often tight.

13.5 The complexity of PRAMs and WRAMs with small communication width

It is reasonable to restrict the communication width of PRAMs

and WRAMs (Vishkin and Wigderson (85)). We begin the discussion
with an ecient algorithm.
THEOREM 5.1 :
ORn and PARn can be computed in time
O (n m)1 2 + log m by an EREW PRAM with O (n m)1 2 realistic
processors and communication width m .
Proof : We consider only PARn , the algorithm for ORn is similar. At
rst we consider the case m = 1 . Let k2
n k+1
= 1 + + k.
2
k+1
1 2
Then k = O(n ) . We compute the parity of 2 variables by k
processors in time k + 1 . The set of inputs is partitioned to blocks
A1
Ak where |Ai | = i . The i -th processor computes in time i the
parity of the variables in Ai . During the (i + 1)-st computation step
the i -th processor reads the contents of the common memory cell. If
this is the parity of the variables in the blocks A1
Ai1 , the i -th
Ai
processor computes the parity of the variables in the blocks A1
by a binary parity gate and writes the result into the common memory
cell. By induction we conclude that the k -th processor writes the result
into the common memory cell during the (k + 1)-st computation step.
If m 1 , we partition the variables to m blocks of at most n m
variables each. For each block O (n m)1 2 processors are sucient
to compute the parity in time O (n m)1 2 and communication width
1 . Using O (nm)1 2 processors and communication width m , these

381

computations can be performed in parallel. Afterwards m processors

compute in time log m + 1 the parity of the m results and so the
parity of all variables. W.l.o.g. m n , otherwise the result follows
directly.

COROLLARY 5.1 :
Each f Bn can be computed in time
1 2
O (n m) + log m by an EREW PRAM with O (nm)1 2 powerful
processors and communication width m .
Proof : We use the approach of the proof of Theorem 5.1 and collect during each time step all available information as in the proof of
Theorem 2.1 i.

THEOREM 5.2 : If a WRAM computes fn Bn in time T(fn) with

communication width m , then T(fn) (l min (fn) m)1 2 .
The upper and lower bounds of Theorem 5.1 and 5.2 are of the
same size if l min (fn ) = (n) and m = O(n log2 n) . In particular
l min (PARn ) = n . In 7 we prove that l min (fn) = (n) for almost all
fn Bn , almost all fn Mn , almost all fn Sn and several fundamental
functions. Hence Theorem 5.2 is a powerful result. If l min (fn) is small,
the complexity of WRAMs of small communication width cannot be
described correctly by l min (fn ) . Obviously l min (ORn ) = 1 and ORn
can be computed in time 1 with communication width 1 . Let
gn (x1

xn ) = x1 (x2 xn )

(5.1)

Then l min (gn) = 1 , but by Theorem 5.2 and the fact that PARn1
is a subfunction of gn the time complexity of gn is not smaller than
((n 1) m)1 2 .
Proof of Theorem 5.2 : We add m processors with numbers larger
than those of the given processors. The i -th additional processor always reads the contents of the i -th memory cell (not on the read-only

382

input tape) and tries to write this information again into the same
cell. Hence for each memory cell there is always a processor which
writes into it.
Let k = l min (f). A processor which knows less than k inputs, does
not know the output. The processors gather their information from
reading inputs on the input tape or information in common memory
cells. During t computation steps a processor may read directly at
most t inputs. For ecient computations the amount of information
owing through the common memory cells needs to be large. We
estimate this information ow. We construct (deterministic) restrictions such that for the so-constructed subfunctions the contents of all
memory cells does not depend on the input.
At the beginning we consider all inputs, namely the cube E0 =
{0 1}n . We construct cubes E1 1
E1 m
ET 1
ET m (T =
T(fn)) such that each cube is a subcube of the one before. Let us
1 or
construct Et l and E be the previous cube, namely Et l 1 if l
Et1 m if l = 1 . For a E let p(a) be the number of the processor that
writes into the l -th memory cell Ml at t on a . We choose at l E
such that p(at l ) p(a) for a E . Let i1
ir be the indices of
those inputs which the p(at l )-th processor has read during the rst
t computation steps directly on the input tape. Obviously r t .
Let Et l be the set of all a E which agree with at l at the positions
i1
ir . Et l is a subcube of E whose dimension is by r smaller than
the dimension of E . Since r t , the dimension of ET m is at least
nm

t = n m T(T + 1) 2

(5.2)

1tT

CLAIM : fn is constant on ET m .

By this claim it is easy to prove the theorem. The largest subcube

on which fn is constant has dimension n l min (fn) . Hence

383

l min (fn ) m T(T + 1) 2 and T (l min(fn ) m)1

(5.3)

Proof of the Claim : The diction, that a processor writes the same in
several situations, should also include the case that a processor never
writes. We prove that the computation paths for the inputs a ET m
are essentially the same. The initial conguration does not depend
on the input. Then we choose some input a and a processor p that
writes on a into the rst common cell at t = 1 such that no processor
p p writes on some a E0 into M1 at t = 1 . We restrict the input
set to those inputs which agree with a at that position which has been
read by p . Let a E1 1 . No processor p
p writes into M1 on a
at t = 1 (by construction). Processor p cannot distinguish between a
and a . Hence p writes on both inputs the same into M1 and switches
to the same state.
Let us consider Et l and the previous cube E . We assume that the
t1 and of Mi (1 i l 1)
contents of all Mi at the time steps 0
at time step t do not depend on a E . Then we choose some input
a E and a processor p writing on a into Ml at time step t such that
no processor p p writes on some a E into Ml at t . We restrict the
input set to those inputs which agree with a at those positions which
have been read by p on the input tape. Let a Et l . No processor
p p writes into Ml on a at t (by construction). Processor p does
the same on a and a , since it has read the same information on the
input tape and in the common memory. Hence p writes the same on
a and on a into Ml and switches to the same state.
The contents of the output cell M1 is for all a ET m the same.
Hence f is constant on ET m .

THEOREM 5.3 : If a PRAM computes fn Bn in time T(fn ) with

communication width m , then T(fn) (l max(fn) m)1 3 .

384

This result improves the

and functions where l max (fn)
two examples. Obviously
Obviously l min (cl n 3 ) = 3 ,
l max(cl n 3 ) = n1
.
2

bound of Theorem 5.2 only for PRAMs

is much larger than l min (fn) . We present
l min (ORn ) = 1 but l max(ORn ) = n .
and the reader may easily verify that

Proof of Theorem 5.3 : Let e be an input where l (f e) = l max (fn) .

Again we construct a sequence of cubes E0 = {0 1}n, E1 1
,
E1 m
ET 1
ET m for T = T(fn) . Each cube is a subcube of
its predecessor. Since we only know that e is a dicult input, we ensure that e Et l . E.g. for ORn , e consists of zeros only. If e Et l ,
the subfunction of ORn on Et l is a simple function, namely a constant.
We discuss the construction of Et l out of E where E = Et l 1 or
E = Et1 m or E = E0 .
Case 1 : There is no input a E such that a processor writes into Ml
on a at time step t . Then Et l = E .
Case 2 : The i -th processor writes into Ml on input e at t . Let
i1
ir be the indices of those inputs which the i -th processor has
read on e during the rst t computation steps directly on the input
tape. Then r t . Let Et l be the set of all a E which agree with e
at the positions i1
ir .
Case 3 : No processor writes into Ml on input e at t , but there are
some input a E and some processor p such that p writes into Ml on
a at t . Again Et l is the set of all a E which agree with e at some
positions i1
ir . Here we choose a minimal set of indices such that
no processor writes into Ml on some input b Et l at t .
CLAIM 1 : e ET m and f is constant on ET m .
Proof : e Et l for all t and l by our construction. The second part
of the assertion is proved in the same way as the Claim in the proof
of Theorem 5.2.

385

CLAIM 2 : For the construction of Et l we x at most t(t + 1) 2

additional variables.
The proof of this claim is postponed. It follows from the claim,
that we altogether x not more than
m

t(t + 1) 2 m T3

(5.4)

1tT

variables. By Claim 1 , f is constant on an (n mT3)-dimensional

subcube of {0 1}n containing e . Hence
l max(fn ) = l (f e) m T3

and T (l max(fn ) m)1

(5.5)

It is sucient to prove Claim 2.

a(k)
Proof of Claim 2 : We only have to consider Case 3. Let a(1)
be those inputs for which some processor writes into Ml at t . Let
i(j) be the number of the processor corresponding to a(j) . Let Et l
be the set of all a E which agree with e at all positions which
have been read for some j {1
k} by the i(j)-th processor on
input a(j) during the rst t computation steps directly on the input
tape. Obviously no processor writes into Ml on some input b Et l
at t . We have xed at most k t variables. This estimate is too rough.
For a more profound analysis, we construct Et l in a few more steps.
We always consider one input only. Let Et l 0 = E . Let Et l h be the set
of all a Et l h1 which agree with e at all positions which have been
read by the i(h)-th processor on a(h) during the rst t computation
steps. We assume w.l.o.g. that the inputs a(i) are ordered in the
following way. a(1) is dened as before. If there is still some input a
Et l h1 such that some processor writes into Ml at t , then a(h) = a .
Otherwise the construction is nished, we set Et l = Et l h1 . Now it is
sucient to prove that at most max{0 t h + 1} additional variables
are xed for the construction of Et l h out of Et l h1 . Then the number
of xed variables can be estimated by t + + 1 = t(t + 1) 2 .
The new claim is proved by induction on h . The assertion is ob-

386

vious for h = 1 , since a processor reads at most t inputs during t

computation steps. For h
1 , let R(h 1) and R(h) be the set
of variables we x for the construction of Et l h1 and Et l h resp. By
the induction hypothesis, |R(h 1)| max{0 t h + 2} . Since
a(h) was a candidate which could have been chosen as a(h 1) , also
|R (h 1)| max{0 t h 2} for the set of variables R (h 1) which
would have been xed by variables if we chose a(h) as a(h 1) . Obviously R(h) = R (h 1) R(h 1) , so it is sucient to prove that
the intersection of R (h 1) and R(h 1) is not empty. Then R(h) is
a proper subset of R (h 1) .
Let i(h 1) and i(h) be the numbers of those processors that write
on a(h 1) and a(h) resp. at t into Ml .
Case 1 : i(h 1) = i(h) . If R (h 1) and R(h 1) are disjoint, we
dene an input b in the following way.
bj = a(h 1)j

if j R(h 1)

bj = a(h)j

if j R (h 1)

bj = ej

if j (R(h 1) R (h 1)) .

(5.6)

On input a(h 1) , the i(h 1)-st processor reads on the input tape
during the rst t computation steps only variables which either have
been xed for the construction of Et l h1 or have indices in R(h 1) .
On input b , the i(h 1)-st processor reads the same information, as
all xed variables agree with e . Since the i(h 1)-st processor writes
on a(h 1) into Ml at t , it writes also on b into Ml at t . In the same
way we conclude that the i(h)-th processor writes on b into Ml at t .
The assumption, that R (h 1) and R(h 1) are disjoint, leads to a
write conict which cannot be solved by a PRAM.
Case 2 : i(h 1) = i(h) . The inputs a(h 1) and a(h) agree on all
variables which have been xed during the construction of Et l h2 .
Let t be the rst time step where the i(h)-th processor reads on the
input tape on a(h 1) a variable which has not been xed. During the
computation steps 1
t 1 the i(h)-th processor cannot distinguish
between a(h 1) and a(h) . Hence it reads on both inputs at t in the

387

same input cell. The index of this cell is contained in R(h 1) and in
R (h 1) .

Beame (published by Vishkin and Wigderson (85)) considered another complexity measure.
DEFINITION 5.1 : Let m(f) = min{|f 1 (0)| |f 1(1)|} and let M(f) =
n log m(f) .
THEOREM 5.4 : If a PRAM computes fn Bn in time T(fn ) with
communication width m , then T(fn) (M(fn) m)1 2 .
We omit the proof of this theorem. Obviously M(PARn ) = 1 and
we obtain a trivial bound. But M(ORn ) = n and the lower bound
(n m)1 3 of Theorem 5.3 is improved to (n m)1 2 . This bound is
optimal for ORn if m = O(n log2 n) (see Theorem 5.1). For a comparison of the lower bounds of Theorem 5.3 and 5.4 we remark that
M(fn ) l max(fn) for all fn Bn and M(fn ) = O(1) for almost all fn Bn
(see Exercises).

13.6 The complexity of WRAMs with polynomial resources

In 5 we have proved lower bounds on the time complexity of
WRAMs with very small communication width. Other lower bounds
under severe restrictions (either on the number of processors or on
the computation power of the processors or on the input size (in the
non Boolean case)) have been proved. Beame ((86 a) and (86 b))
proved the rst optimal bounds for non-trivial Boolean functions and
WRAMs with polynomial resources (number of processors or communication width). He proved an ((log n) log log n)-bound for parity,
but actually, the proof works as H
astads proof (see Ch. 11) for all

388

functions f where l min (f) is suciently large. The lower bound can
be extended via the simulation of 2 and the reducibility results of
Ch. 10, 3 , to many fundamental functions and graph functions. The
optimality of the lower bound follows from the simulation in 2 and
the upper bound of Ch. 11, 2.
Beames proof works with probabilistic methods. One of the crucial ideas is the description of a computation by processor and cell
partitions.
DEFINITION 6.1 : For each WRAM , its i -th processor Pi , its
j -th common memory cell Mj and any time step t {0
T} we
dene the processor partition P(i t) and the cell partition M(j t) .
Two inputs x and y are equivalent with respect to P(i t) i they
lead to the same state of Pi at time step t . Two inputs x and y are
equivalent with respect to M(j t) i they lead to the same contents of
Mj at time step t .
DEFINITION 6.2 : Let A = (A1
Am ) be a partition of {0 1}n .
Let fi (x) = 1 i x Ai . Let (as in Ch. 11, 3) l PI (fi) denote the
maximal length of a prime implicant of fi . The degree d(A) of A is
the maximum of all l PI (fi) .
Since ANDn , the conjunction of n variables, can be computed by
a WRAM in one step, the degree of a cell partition may increase violently during one step. But after having applied a random restriction
(see Def. 3.1, Ch. 11) , with large probability the degree is not too
large. The projection g of a parity function again is a parity function.
Hence the degree of the output cell at the end of the computation, i.e.
at time step T , is as large as the input size. We choose restrictions
such that on the one hand the number of variables does not decrease
too fast and, on the other hand, the degree of the partition does only
increase slowly. Then the computation time T cannot be too small for
the parity function.

389

Another fundamental notion is that of graded sets of Boolean functions.

DEFINITION 6.3 : A graded set of Boolean functions is a set F of
Boolean functions on the same set of n variables together with a grade
function : F {} such that (f) = (g) implies f g 0 .
F determines a partition [F ] of {0 1}n . Two inputs x and y are
equivalent with respect to [F ] i either f(x) = f(y) = 1 for some f F
and g(x) = g(y) = 0 for all g F where (g) (f) or f(x) = f(y) = 0
for all f F .
We often make use of the following fact. If is a restriction shrinking the input set from {0 1}n to {0 1}n , then [F ] = [F ] where F
is the class of all f for f F . In particular we are interested in the
following graded set of Boolean functions.
DEFINITION 6.4 : Let F (j t) be the following graded set of Boolean
functions for a given WRAM , a memory cell number j and a time
step t . The function f describing an equivalence class with respect
to P(i t) such that Pi tries to write on inputs of this equivalence
class into the j -th memory cell at time step t is in F (j t) and has
grade i . The function f describing an equivalence class with respect
to M(j t 1) is in F (j t) and has grade .
LEMMA 6.1 : i) F (j t) is a graded set of Boolean functions.
ii) [F (j t)] is a renement of M(j t) .
Proof : i) follows directly from the denitions.
ii) We have to prove that x and y are equivalent with respect to M(j t)
if they are equivalent with respect to [F (j t)] .
Since M(j t 1) is a partition of {0 1}n , it is impossible that f(x) = 0
for all f [F (j t)] . Hence, if x and y are equivalent with respect to
[F (j t)] , then f(x) = f(y) = 1 for some f F (j t) and g(x) = g(y) = 0

390

for all g F (j t) where (g)

(f) . If (f) = i
, the i -th
processor is on x and y at t in the same state and tries to write the
same information into the j -th memory cell. Since no processor with
a number l i tries to write on x or y at t into Mj , the i -th processor
wins the write conict. On x and y the same information is written
into the j -th cell at t . If (f) = , no processor writes into the j -th
cell at t for x or y . The contents of this cell remains unchanged. Since
in this situation x and y are equivalent with respect to M(j t 1) ,
the contents of the cell is the same for x and y . Hence x and y are
equivalent with respect to M(j t) .

LEMMA 6.2 : If satises

=

4p
(1 + p) (21 r 1)

4p
+1
(1 + p)

6pr

Proof : The easy proof is left to the reader.

= 2 , then
(6.1)

MAIN LEMMA 6.3 : i) Let F be a graded set of Boolean functions

on {0 1}n . Let d([F ]) r for some r
0 and let Rp be a
random restriction. Then
Pr (d([F]) s) s

(6 p r)s

(6.2)

for the constant of Lemma 6.2.

ii) The same assertion holds for arbitrary partitions A of {0 1}n instead of [F ] .
This Main Lemma is proved by Beame (86 b) in a way similar
to our proof of the Main Lemma 3.2 in Ch. 11. Although the proof
contains some new estimations we do not present it here.

THEOREM 6.1 : i) Let W be a WRAM computing the parity of n

variables in time T = T(n) with p(n) processors and communication
width c(n) . Then for large n

391

1 (1 24) n1 T
2
4
1 T
1
p(n) 2(1 96) n
and
4
1 T
1
c(n) 2(1 12) (n T!)
4

p(n) + c(n)

(6.3)
(6.4)
(6.5)

ii) If p(n) is bounded by a polynomial, then

T(n)

log n
log n
log n
=
O
O(1) + log log n
log log n
(log log n)2

(6.6)

iii) If c(n) is bounded by a polynomial, then

T(n)

log n
log n
O
2 log log n
(log log n)2

(6.7)

We again emphasize that these bounds hold for all functions fn

where l min (fn) is suciently large and for all functions fn Bn where
PAR cd f = (fn ) . Part ii and Part iii of Theorem 6.1 are simple
corollaries to (6.4) and (6.5) resp. The proofs of (6.3) (6.5) follow
the same pattern. We present the proof of (6.4) which seems to be the
most important assertion.
Proof of (6.4) : We dene restrictions (1)
(T) such that (t)
may be applied after (1)
(t 1) have been applied. Let (t) be
the composition of (1)
(t) . Let Et be the subcube of {0 1}n on
which f(t) for f Bn is dened. Let Dt be the dimension of Et and
let s = log 4 p(n) .
We prove for t 1 that we can choose (t) such that Dt
(1 48) n (96 s)(t1) and the degree of all partitions P(i t)(t) and
M(j t)(t) is bounded by s . P(i t)(t) and M(j t)(t) are the partitions
P(i t) and M(j t) restricted to Et = {0 1}n(t) .
First we show how this claim implies (6.4). Let M1 be the output
cell. Then the degree of M(1 T)(T) is equal to DT . The claim implies
that

392

s d(M(1 T)(T)) = DT

1
n (96 sd)(T1)
48

(96 s)T 2 n n and s (1 96) n1

(6.8)
(6.9)

Since s = log 4 p(n) , (6.4) follows from (6.9).

We prove the claim by induction on t . At time step t = 1 the i -th
processor reads one memory cell, and the state afterwards depends on
a single input bit. Hence the degree of P(i 1) is bounded by 1 s and
the degree of P(i 1)(1) cannot be larger.
By Lemma 6.1 ii , [F (j 1)] is a renement of M(j 1) . By denition
each f F (j 1) is a function describing an equivalence class of some
P(i 1) or M(j 0) . All these functions depend on at most one variable.
Let Rq for q = 1 48 be a random restriction. The Main Lemma
implies for r = 1
Pr (d([F (j 1)]) s) (6 q)s = 8s = 22s2 p(n)

(6.10)

Each processor knows at most one variable. Hence there are at most
two memory cells into which a denite processor may write at time
step 1 . For at most 2 p(n) memory cells Mj the degree of [F (j 1)]
may be larger than s . The probability that the degree of all [F (j 1)]
is less than s is at least 1 22s1 . Since [F (j 1)] is a renement
of M(j 1) , the function f describing an equivalence class of M(j 1)
is the disjunction of some functions gi describing equivalence classes
of [F (j 1)] . If l PI (gi) s , also l PI(f) s . Hence the degree of
M(j 1) is bounded by the degree of [F (j 1)] . The probability that
D1 n 48 , the expected number of remaining variables, is at least
1 3 . Hence we can choose a restriction (1) for which all conditions
hold simultaneously.
For the induction step we assume that the claim holds for some
t 1 . The state of the i -th processor at t+1 depends only on the state
of this processor at t (the partition P(i t)) and on the contents of that
cell which the processor reads at t . For all inputs of an equivalence
class of P(i t) this is the same cell. Hence each equivalence class
of P(i t + 1) is the intersection of some equivalence class of P(i t)

393

and some equivalence class of some M(j t) . If g describes the class of

P(i t) and g describes the appropriate class of M(j t) , then g = g g
describes the equivalence class of P(i t + 1) . Obviously l PI (g) is not
larger than l PI(g ) + l PI (g ) . Hence, by the induction hypothesis,
d P(i t + 1)(t) d P(i t)(t) + max M(j t)(t) 2 s
j

(6.11)

We look for a restriction (t+1) which keeps the degrees of the processor and cell partitions small and keeps the number of variables large.
Let Rq be a random restriction for some q chosen later. By (6.11)
and the Main Lemma for r = 2 s
Pr d(P(i t + 1)(t) ) s

(12 q s)s

(6.12)

Now we consider the j -th memory cell Mj . By Lemma 6.1 [F (j t + 1)]

is a renement of M(j t + 1) , this holds also when we restrict the sets
to Et . By Denition 6.4 each equivalence class of some [F (j t + 1)](t)
is an equivalence class of some P(i t + 1) or an equivalence class of
M(j t) . By the induction hypothesis and (6.11)
d([F (j t + 1)](t) ) 2 s

(6.13)

and also the degree of M(j t + 1)(t) is bounded by 2 s . If no processor

writes into Mj at t + 1 , the degree is even bounded by s . In the same
way as we have proved (6.12) we also conclude that
Pr d(M(j t + 1)(t) ) s

(12 q s)s

(6.14)

We hope that the degree of all processor and all cell partitions is simultaneously bounded by s for some restriction . We have to consider
p(n) processors and innitely many memory cells. But for those memory cells which no processor writes into at t + 1 it is for sure by the
induction hypothesis that the degree of M(j t + 1)(t) is bounded by
s . By (6.11) the equivalence classes of P(i t + 1)(t) are described by
functions whose prime implicants have a length of at most 2 s . Such
a prime implicant is satised for a fraction of 22s of all inputs. Hence
P(i t + 1)(t) partitions the input set to at most 22 s subsets. This

394

implies that the i -th processor may write only into one of 22 s dierent
memory cells at t + 1 . Altogether for only 22 s p(n) memory cells Mj
it is not for sure that the degree of M(j t + 1)(t) is bounded by s .
Let q = 1 (96 s) . The probability that the degree of all processor
and cell partitions (with respect to (t) and ) is not bounded by s is
(since s = 4 log p(n)) at most
(22 s + 1) p(n) (12 q s)s = (22 s + 1) p(n) 23 s

(6.15)

= (1 + 22 s) p(n) 2s
1
1
= (1 + 22 s)
= (1 + 22 s) p(n)
4 p(n) 4
The probability that Dt+1 is less than its expected value Dt (96 s)
(1 48) n (96 s)t is bounded by 2 3 . Since
1
2
1 + 22 s +
4
3

(6.16)

we can choose a restriction (t+1) such that all assertions are satised
for time step t + 1 .

Beame (86 b) generalized his methods (in a way similar to those of

H
astad (86) for bounded-depth circuits, see Ch. 11, 5) and dened
explicitly functions for the following hierarchy results which we present
without proofs.

THEOREM 6.2 : i) For any T such that

T =

log n
log n

3 log log n
log log n2

(6.17)

there is a Boolean function f Bn which can be computed by a

WRAM with p(n) = nO(1) processors in time T but which cannot
be computed by a WRAM with p(n) = nO(1) processors in time
T 1.
The same holds if the number of processors p(n) and the communication width c(n) simultaneously are bounded by a polynomial.

395

ii) For any T such that

T =

log n
log n

5 log log n
log log n2

(6.18)

there is a Boolean function f Bn which can be computed by a

WRAM with communication width c(n) = nO(1) in time T but
which cannot be computed by a WRAM with communication
width c(n) = nO(1) in time T 1 .
Essentially the proof of Theorem 6.1 depends only on l min (fn ) . The
only argument which depends on the parity function is the equality
d(M(1 T)(T)) = DT in (6.8). The degree of M(1 T)(T) equals the
dimension of the restricted input set, since l min (fn ) = n for the parity
function fn . In the general case the degree of M(1 T)(T) is not smaller
than l PI (gn) where gn = (fn)(T) . l PI (gn) is not smaller than l min (fn)
(n DT ) (see the proof of Theorem 4.2 iv, Ch. 11). Hence
s l min (fn) n +

1
n (96 s)(T1)
48

(6.19)

for s = log 4 p(n) . This implies

96T sT1(s + n l min (fn)) 2 n

(6.20)

For almost all fn Bn , l min (fn) n log n 1 (see 7). W.l.o.g.

p(n) n . Then s n l min (fn ) and
2 n 96T sT1(s + n l min (fn )) 2 96T sT

(6.21)

(96 s)T n and s (1 96) n1

(6.22)

THEOREM 6.3 : The lower bounds of Theorem 6.1 hold for almost
all fn Bn .
Furthermore (6.20) holds for all fn Bn . If l min (fn ) is not too
small, we obtain powerful lower bounds on the WRAM complexity of
these functions.

396

13.7 Properties of complexity measures for PRAMs and WRAMs

All the powerful lower bounds for bounded-depth circuits, PRAMs

or WRAMs depend essentially on one of the following three combinatorial complexity measures: c(f) , the critical complexity of f (Def. 4.2) ,
l min (f) , the minimal sensitive complexity or the length of a shortest
prime implicant or prime clause of f (Def. 4.1, Ch. 11 and Ch. 13) , and
l max(f) , the maximal sensitive complexity or the length of a longest
necessary prime implicant or prime clause of f (Def. 4.1). We investigate these complexity measures in detail. If nothing else is stated
explicitly the results are due to Bublitz, Sch
urfeld, Voigt and Wegener (86).
We begin with the relations between the single complexity measures.

THEOREM 7.1 : i) l min (f) l max(f) and c(f) l max(f) for all f Bn .
ii) l min (ORn ) = 1 but c(ORn ) = l max (ORn ) = n for the symmetric
and monotone function ORn Bn .
iii) There are functions fn Bn where c(fn) = n 2 +2 but l max (fn) =
n 1.
iv) For all n = 6 m , there are functions fn Bn where c(fn) = (1 2) n
but l min (fn ) = (5 6) n .
v) c(f) l max(f) 2l max(f)n for all f Bn , in particular c(fn) = n i
l max(fn ) = n for fn Bn .
Proof : i) The rst part is obvious and the second part is Proposition 4.1.
ii) is obvious.
vn )
iii) Let fn Sn be dened by its value vector v(fn) = (v0
where vi = 1 i i { n 2 n 2 + 1} . The assertion holds for

397

these functions. The proof is left to the reader (who should apply
Theorem 7.3).
iv) Let f B4 be dened by the following Karnaugh diagram.
f 00 01 11 10
00 0
1
1
1
01 0
0
0
1
11 1
1
0
1
10 0
1
0
0
By case inspection, c(f) = 2 and l min (f) = 3 . If n = 4m , let
fn Bn be equal to the
-sum of m copies of f on disjoint sets of
variables. Then c(fn ) = (1 2) n and l min (fn) = (3 4) n . Paterson
(pers. comm.) dened some f B6 where c(f) = 3 and l min (f) = 5 .
This leads considering the above arguments to the claim of Part iv of
the theorem.
v) We use a pigeon-hole argument. Let k = l max(f) . Then we nd an
(n k)-dimensional subcube S where f is constant such that f is not
constant on any subcube S which properly contains S . By denition
c(f a) c(f) |S| = c(f) 2nk

(7.1)

aS

There are k dimensions to increase S , but in each dimension we nd

a neighbor b of some a S where f(a) = f(b) . Hence
c(f a) k

(7.2)

aS

The assertion follows from (7.1) and (7.2).

It is an open problem to prove optimal bounds on l min (fn ) c(fn)

or l max(fn ) c(fn) . The importance of such bounds has already been
discussed in 4. We obtain optimal results for the classes Mn of
monotone functions and Sn of symmetric functions (Wegener (85 b)).

398

THEOREM 7.2 : c(f) = l max(f) for all f Mn .

Proof : Because of Theorem 7.1 i it is sucient to prove the -part.
Let t be a prime implicant of f of length k . Let a {0 1}n be dened
such that ai = 1 i xi is contained in t . Since t(a) = 1 , also f(a) = 1 .
Monoms m , where m(a) = 1 , are shortenings of t . Hence t is the
unique prime implicant where t(a) = 1 . If b is a neighbor of a such
that ai = 1 but bi = 0 for some i , then t(b) = 0 . By monotonicity
t (b) = 0 for all t PI(f) and f(b) = 0 . Hence c(f) c(f a) = k .
Dual arguments hold for prime clauses.

We remember that vmax (fn) and vmin (fn) denote for fn Sn the
length of a longest and shortest maximal constant substring of v(fn)
resp. (see Ch. 11, 4 and Exercises).

THEOREM 7.3 : i) l min (f) = n + 1 vmax(f) for f Sn .

ii) l max(f) = n + 1 vmin (f) for f Sn .
iii) Let v(f) = (v0
vn ) for f Sn and let v1 = vn+1 = 1 . If
vi = vi+1 and vi = vi1 for some i , then c(f) = n . Otherwise
c(f) = max{k + 1 n k | vk = vk+1 0 k n 1}

(7.3)

iv) l min (f) c(f) l max (f) for f Sn .

Proof : i) see Lemma 4.1 in Ch. 11.
ii) see Exercise 9 in Ch. 11.
iii) If a {0 1}n contains i ones, a has i neighbors with i 1 ones and
n i neighbors with i + 1 ones.
iv) is obvious by i and iii.

Later we prove that c(f) (n + 1) 2 for all non constant f Sn .

The example in the proof of Theorem 7.1 iii is that symmetric function
where l max(fn ) c(fn) is maximum. Hence the quotient is bounded by 2 .

399

By Theorem 7.3 , l min (f) , c(f) and l max (f) can be computed for
f Sn from v(f) in linear time O(n) . For further fundamental functions it is possible to compute the complexity with respect to these
complexity measures. But in general this computation is NP-hard.
Therefore it is helpful to know the complexity of an easiest function
in some class. This yields a lower bound for all other functions in this
class.

DEFINITION 7.1 : Let Fn Bn be a class of functions and let M

be a complexity measure for the functions in Fn . Then M(Fn ) is the
minimal M(f) for all f Fn depending essentially on all n variables.
Obviously l min (Bn ) = l min (Mn ) = l min (Sn ) = 1 and this assertion
leads to useless lower bounds. The situation is dierent for the critical
and the maximal sensitive complexity. The lower bounds of the following theorem have been proved by Simon (83) and the upper bounds
by Wegener (85 b).

THEOREM 7.4 : If n 2 ,
1
1
1
log n log log n + c(Bn ) l max(Bn ) l max(Mn )
(7.4)
2
2
2
1
1
= c(Mn ) log n + log log n + O(1)
2
4

Proof : It follows from Theorem 7.1 and Theorem 7.2 that c(Bn )
l max(Bn ) l max(Mn ) = c(Mn ) .
For the upper bound we dene a monotone storage access function
MSAn on n + k variables x = (x1
xk) and y = (y1
yn) where
k
n = k 2 . Let A be the class of all subsets of {1
k} of size k 2
and let : A {1
n} be one-to-one. Then

400

MSAn (x y) = Tkk

2 +1 (x)

xi y(A)

(7.5)

AA iA

Only address vectors with exactly k 2 ones are valid for MSAn . We
claim that
c(MSAn ) = k 2 + 1

(7.6)

Obviously the length of all prime implicants is k 2 +1 . For inputs in

MSA1
k 2 1 , the input
n (0) let l be the number of ones in x . If l
is 0-critical. If l = k 2 1 , the input is at most k ( k 2 1) =
k 2 + 1-critical, since we have to change some xi from 0 to 1 in order
to obtain an input in MSA1
n (1). Some of these inputs are k 2 + 1critical, e.g. if all yj = 1 . If l = k 2 , we have to change one of the
k k 2 = k 2 0-entries in x or the appropriate yj in order to nd
1
a neighbor in MSA1
n (1). Since l k 2 for inputs in MSAn (0) , we
have proved the claim.
For arbitrary n , we consider the smallest m such that MSAm is
dened on at least n variables. We dene fn Bn as a subfunction
of MSAm where the appropriate number of y-variables is replaced by
ones. Then fn depends essentially on n variables and c(fn) c(MSAm ) .
We obtain the upper bound in (7.4) by (7.6) and Stirlings formula.
The lower bound is proved by counting methods. At rst we prove
a simple combinatorial claim.
CLAIM : Let G be a subgraph of the cube Cn = {0 1}n where in Cn
the vertices with Hamming distance 1 are connected by an edge. If
the degree of each vertex in G is at least r , then G has at least 2r
vertices.
Proof of the Claim : By induction on n . Obviously n r . If n = r ,
G = Cn and G contains 2n vertices. If n r , we partition Cn to C0n1
and C1n1 by xing the last dimension to 0 and 1 resp. If G is contained
in C0n1 or in C1n1 , the claim follows from the induction hypothesis.
Otherwise G is partitioned to G0 C0n1 and G1 C1n1 . The degree
of each vertex in G0 or G1 is at least r 1 , since only one neighbor

401

is in the other subcube. It follows from the induction hypothesis that

G0 and G1 contain at least 2r1 vertices each. Hence G contains at
least 2r vertices.

For the proof of the lower bound let f Bn depend essentially on n

variables. We color the cube Cn = {0 1}n by coloring the vertex a by
f(a) and the edge (a b) by 1 if f(a) = f(b) and by 0 otherwise. Since
c(f a) c := c(f) , each vertex is connected to at most c 1-edges. Cn
contains at most c 2n1 1-edges.
We look for a lower estimate on the number of 1-edges. We x i
n} . Let C0 and C1 be the (n 1)-dimensional subcubes where
{1
we have xed the i -th dimension to 0 and 1 resp. We estimate the
number of 1-edges between C0 and C1 . Since f depends essentially on
xi there is a 1-edge between some a C0 and a(i) C1 . Again a(i) is
the i -th neighbor of a . We consider the graph G of all vertices (b b(i))
where b C0 . The vertices (b b(i)) and (b b (i)) are connected by
an edge i b and b are neighbors in C0 and f(b ) = f(b) = f(b(i)) =
f(b (i)) . Let H be the set of vertices (b b(i)) which can be reached
in G from (a a(i)) . Since f(b) = f(b(i)) for (b b(i)) H , at least
|H|1-edges are connecting C0 and C1 .
We claim that each (b b(i)) H has at least n 2c + 1 neighbors
in G . At most c 1-edges are leaving b , one of them leads to b(i) . At
most c 1-edges are leaving b(i) , one of them leads to b . Hence there
are at least n 2c + 1 dimensions to which b and b(i) are connected by
0-edges. These neighbors are in G . The graph of all b where (b b(i))
H is a subgraph of some (n 1)-dimensional cube where the degree
of each vertex is at least n 2c + 1 . From the combinatorial claim
it follows that this graph contains at least 2n2c+1 vertices. Hence we
have at least 2n2c+1 1-edges in the i -th dimension and altogether at
least n 2n2c+1 1-edges. We combine this result with the upper bound
c 2n1 on the number of 1-edges. Thus
n 2n2c+1 c 2n1

4 n c 22c

(7.7)

402

1
1
1
log n log log n +
2
2
2

THEOREM 7.5 : i) If f Bn depends essentially on n variables, then

a PRAM computing f has time complexity (log log n) .
ii) MSAn depends essentially on more than n variables and can be
computed by a PRAM with O(n log n) processors and communication width O(n log n) in time O(log log n) .
Proof : i) follows from Theorem 7.4 and Theorem 4.3. For the proof
of ii we refer to Wegener (85 b).

This result indicates again how excellent the lower bound of Theorem 4.3 is.
THEOREM 7.6 : c(Sn ) = l max(Sn ) = (n + 1) 2 .
Proof : Obviously c(Sn ) l max (Sn) . For fn = Tn(n+1) 2 , l max(fn ) =
(n + 1) 2 , since Tnk has only prime implicants of length k and prime
clauses of length n + 1 k . Hence l max (Sn ) (n + 1) 2 . If f Sn
is not constant, vi = vi+1 for some i . By Theorem 7.3 iii
c(f) max{i + 1 n i} (n + 1) 2
and c(Sn ) (n + 1) 2 .

(7.8)

The lower bound of Theorem 7.4 is optimal, but it implies only a

lower bound of (log n) on the critical and maximal sensitive complexity of Boolean functions. That is why one looked for fundamental
classes of functions for which one can prove better results. One example is the class of symmetric functions (see Theorem 7.6), and another
one is the class of graph properties.
DEFINITION 7.2 : A Boolean function f on N = n2 variables xij
(1 i j n) is a graph property if for all permutations n

403

f(x1 2

xn1 n) = f(x(1) (2)

x(n1) (n) )

(7.9)

is satised. We denote the set of all (monotone) graph properties by

GN and MGN resp.
Obviously all graph problems are described by graph properties.
A graph problem does not depend on the numbering of the vertices.
c(GN ) l max(GN ) n 1 .

THEOREM 7.7 : i) n 4

ii) c(MGN ) = l max (MGN ) = n 1 .

Part i has been proved by Turan (84), his conjecture that
c(GN ) = n 1 is still open. Only the weaker assertion that c(MGN ) =
n 1 has been proved by Wegener (85 b). We present only the proof
of Part ii of the Theorem which includes the upper bound of Part i.
The proof of the lower bound of Part ii is more typical than the proof
of the lower bound of Part i and supports our philosophy that the
complexity of functions is described by the length and structure of
the prime implicants and prime clauses.
Proof of Theorem 7.7 ii : For the upper bound we investigate the
graph property no vertex is isolated (Turan (84)). The proper function f GN is obviously monotone. Its monotone conjunctive normal
form is
f(x) =

xji
1in 1j i

xij

(7.10)

i jn

each prime clause has length n 1 . The i -th clause computes 0 i the
i -th vertex is isolated. The prime implicants correspond to minimum
graphs without isolated vertices. These are spanning forests where
each tree contains at least 2 vertices. The number of edges in spanning
forests, and therefore also the length of prime implicants, is bounded
by n 1 . Hence l max(MGN ) n 1 .
Since MGN MN , l max(MGN ) = c(MGN ) by Theorem 7.2. It is
sucient to prove that l max(MGN ) n 1 . All prime implicants

404

and prime clauses of monotone functions are necessary. Therefore it

is sucient to prove for f MGN the existence of a prime implicant
or prime clause whose length is at least n 1 . This is equivalent to
the existence of a minimum satisfying graph with at least n 1 edges
or a maximum non satisfying graph with at least n 1 missing edges.
A graph G is called satisfying for f GN i G satises the graph
property described by f .
We assume that all minimum satisfying graphs have at most n 2
edges, otherwise we are done. We construct a maximum non satisfying
graph with at least n 1 missing edges.
Let l be the maximal number of isolated vertices in a minimum
satisfying graph. For a graph G let m(G) be the minimal degree of
a non isolated vertex. Let m be the minimal m(G) for all minimum
satisfying graphs with l isolated vertices. We claim that
m (2 n 4) (n l )

(7.11)

For the proof of this claim we investigate a graph G dening m . G

has, by our assumption, at most n 2 edges. The sum of the degrees
of all vertices is at most 2n 4 . The degree of each of the n l non
isolated vertices is at least m . Hence the sum of the degrees of all
vertices is at least m(n l ) . This implies m(n l ) 2n 4 and
(7.11).
We construct a maximum non satisfying graph G . Let G consist
vnl 1 and l + 1
of a complete graph Knl 1 on the vertices v1
vn . It follows from the denition of l that
isolated vertices vnl
G is non satisfying. We add as many edges as possible, until we
obtain a maximum non satisfying graph G . For i n l , vertex vi is
connected to at most m 1 vertices vk where k n l . Otherwise we
could embed G into G and by monotonicity G would be satisfying.
For this purpose we identify the vertices vj (j = i j n l ) with the
l isolated vertices of G . We identify vi with a vertex v of degree m
in G and m neighbors of vi with the m neighbors of v .
We prove that at least n1 edges are missing in G . The number of
vnl 1 and vnl
vn
missing edges between the vertex sets v1
is at least (n l 1 (m 1))(l + 1) . We are done if

405

(n l m)(l + 1) n 1

(7.12)

If l = 0 , m = 1 by (7.11) and (7.12) is satised. Otherwise it is by

(7.11) sucient to prove that
(n l (2 n 4) (n l ))(l + 1) n 1

(7.13)

If l 1 , this is equivalent to
l 2 2 l n + l + n2 3 n + 3 (n 4) l

(7.14)

For l 1 it is sucient to have

l 2 2 l n + l + n2 3 n + 3 n 4 or

(7.15)

l n (1 2) (3 n 27 4)1

(7.16)

In particular, the assertion is proved for n 3 . To capture the cases

where (7.16) is not satised we distinguish between two cases.
Case 1 : G is not the complete graph on nl vertices, Knl , together
with l isolated vertices.
In this case m nl 2 and nl m 2 . Hence vi is for i nl
not connected to at least two of the vertices vj where j n l . The
number of missing edges is at least 2(l + 1) . This is at least n 1 i
l (n 3) 2

(7.17)

is satised. It is easy to see that always either (7.16) or (7.17) is

satised.
Case 2 : G is equal to the complete graph on n l vertices, Knl ,
together with l isolated vertices.
This minimum satisfying graph has, for r = n l ,
follows from our assumption that
r
2

n2

r
2

edges. It

(7.18)

Until now we have not counted the missing edges within the vertex
set vnl
vn . Since m 1 , at least l + 1 = n r + 1 edges are

406

missing between the two vertex sets. Let z be the number of vertices
vi (i n l ) which are not connected to at least two vertices vj where
j
n l . Then we may count at least n r + 1 + z missing edges
between the two vertex sets. Furthermore there are n r + 1 z
vertices vi (i n l ) for which only one edge to the other vertex set is
missing. If z r 2 , we have already counted enough missing edges.
Otherwise we partition the n r + 1 z vertices vi (i n l ) with
one missing edge to r 1 equivalence classes. vi and vj are equivalent
if they have the same missing neighbor vk (1 k n l 1 = r 1) .
If vi and vj are in the k -th equivalence class the edge between vi and
vj is missing. Otherwise vi , vj and all vl (1 l r 1 , l = k) build
an r-clique and G is a satisfying graph.
Let N(k) be the size of the k -th equivalence class. Altogether we
have proved the existence of
nr+1+z+
1kr1

N(k)
2

(7.19)

missing edges. The parameters N(k) satisfy the condition

N(k) = n r + 1 z

(7.20)

1kr1

The sum of all N(k)

where the parameters N(k) satisfy (7.20) is min2
imal (because of the convexity of x x2 ) if {N(1)
N(r 1)}
consists of at most two numbers M and M + 1 . If the sum of all N(k)
is 2 (r 2 z) + (z + 1) , the sum of all N(k)
is minimal if N(k) = 2
2
for r 2 z terms and N(k) = 1 for z + 1 terms. Then the sum of all
N(k)
is at least r 2 z and the number of missing edges is at least
2
n 1 . Hence we are done if
n r + 1 z 2 (r 2 z) + (z + 1) = 2 r 3 z

(7.21)

is satised. (7.21) is equivalent to

r (n + 4) 3
It is easy to prove that (7.18) implies (7.22).

(7.22)

407

It follows from Theorem 7.7 and Theorem 4.3 that the PRAM time
complexity of all graph properties is (log N) and from Theorem 7.7
and Theorem 5.3 that the time complexity of all graph properties
with respect to PRAMs of communication width m is (n m)1 3 =
N1 6 m1 3 . The last lower bound can be improved to (N m)1 3
for most of the fundamental graph properties f GN by proving that
l max(f) = (N) for these graph properties. Nearly all fundamental
graph properties are monotone. Sch
urfeld and Wegener (86) present
conditions which can be tested eciently and which lead for most of
the fundamental graph properties to the assertion that these graph
properties are (N)-critical.
We have seen that some functions have small critical and small
maximal sensitive complexity, that several functions have small minimal sensitive complexity and that many functions have a large complexity with respect to the complexity measures. We present tight
bounds for the complexity of almost all functions in Bn Mn or Sn .
These results have already been applied in Ch. 11, 4 and Ch. 13, 6 ,
and they generalize all lower bounds of Ch. 11 and Ch. 13.
THEOREM 7.8 : i) The fraction of f Bn where c(f) = n 1 or
c(f) = n tends to e1 or 1 e1 resp., hence c(f) n 1 for almost
all f Bn .
ii) c(f) = l max(f) for almost all f Bn .
iii) Let (n) be any function tending to as n . Then
n log(n + log2 n log n + (n))

l min (f)

(7.23)

n log(n log n (n))

for almost all f Bn , in particular l min (f) In for almost all
f Bn and some intervals In containing n log n and at most
one further positive integer.
Proof : i) We motivate the result. Consider a random Boolean funcn
tion, i.e. all 22 f Bn have the same probability. Then for all

408

a {0 1}n
Pr(c(f a) = n) = 2n

Pr(c(f a) = n 1) = n 2n

and

(7.24)

Let us assume for a moment that c(f a) and c(f b) are independent,
which is only satised if d(a b) 3 for the Hamming distance d .
Then
n

Pr(c(f) = n) = 1 (1 2n)2 1 e1

and

(7.25)

Pr(c(f) n 1) = 1 (1 (n + 1) 2n)2 1 as n . (7.26)

The critical complexity c(f a) is not independent from the critical
complexity of only n + n2 of the other 2n 1 inputs. Thus we suggest
that (7.25) and (7.26) are almost correct.
Let Xa (f) = 1 if c(f a) = n 1 and Xa(f) = 0 otherwise. Let X(f)
be the sum of all Xa(f) , then X(f) is the number of (n 1)-critical
inputs. Since
Pr(c(f) n 1) Pr(X

0)

(7.27)

it is sucient to prove that Pr(X = 0) 0 as n . From

Chebyshevs inequality follows that
Pr(X = 0) V(X) E2(X) = E(X2) E2(X) 1

(7.28)

Obviously E(Xa) = n 2n and E(X) = n . By denition

X2 =
a

X2a +

Xa Xb =
a=b

Xa +
a

Xa Xb

(7.29)

a=b

By case inspection, we prove that

E(Xa Xb ) = O n2 22n

if d(a b) 2

(7.30)

If d(a b) 3 , c(f,a) and c(f,b) are independent and

E(Xa Xb ) = E(Xa) E(Xb) = n2 22 n

(7.31)

Altogether
E(X2) E(X) + E2(X) + O n4 2n and
1
Pr(X = 0) + 1 + O n2 2n 1
n
tends to 0 as n .

(7.32)
(7.33)

409

By a more complicated calculation, using the method of factorial

moments, one proves that the number of n-critical inputs is asymptotically Poisson distributed with parameter = 1 . In particular
Pr(c(f) = n) 1 e1

as n .

(7.34)

For a detailed proof of these claims we refer to Bublitz, Sch

urfeld,
Voigt and Wegener (86).
(7.34) together with the fact that
Pr(c(f) n 1) 1 as n implies the assertions of Part i.
ii) follows from i , Theorem 7.1 i and Theorem 7.1 v.
iii) Again we investigate random Boolean functions f Bn . For f we
color the vertex a of the input cube {0 1}n by f(a) . We want to prove
that
Pr (l min (f) n c(n)) 1

(7.35)

for c(n) = log(n log n (n))

and

Pr(l min (f) n d(n)) 0

(7.36)

for d(n) = log(n + log2 n log n + (n))

To prove (7.35) we observe that l min (f) n c(n) i there
exists a c(n)-dimensional subcube of {0 1}n colored by one color.
We partition {0 1}n to 2nc(n) disjoint c(n)-dimensional subcubes Ci
(1 i 2nc(n) ) . Then the events Ei: not all vertices of Ci have
the same color are independent. Obviously the probability of Ei is
c(n)
1 22 +1 . Hence
Pr (l min (f) n c(n)) 1 Pr( i : Ei)
c(n)
1 1 22

=1

12

(7.37)
2nc(n)

2c(n)
2c(n) 2

2nc(n)2

c(n)

The right-hand side of this inequality tends to 1 if nc(n)2c(n) tends

to innity. This property is fullled for c(n) = log(n log n (n)) .

410

For the second assertion we observe that a function f where

l min (f) n d(n) has to possess an implicant or a clause of length
n d(n) . An implicant or a clause of length n d(n) determines
the value of f on 2d(n) inputs. Therefore there are 22 2
functions
f Bn with the same xed implicant or clause of length nd(n) . Furn
thermore there are 2 nd(n)
2nd(n) dierent implicants and clauses of
length n d(n) . Thus
n
n
d(n)
n
2nd(n) 22 2
Pr (l min (f) n d(n)) 22 2
n d(n)
(7.38)
d(n)
n+1+d(n)
(log
n1)2
2
n

d(n)

The right-hand side of this inequality tends to zero if 2d(n) (n + 1 +

d(n) (log n 1)) tends to innity. This happens if
d(n) = log(n + log2 n log n + (n))

(7.39)

THEOREM 7.9 : i) c(f) = l max(f) = n 2 + 1 for almost all f Mn .

ii) l min (f) = n 2 1 for almost all f Mn .
Proof : The proof is based on the characterization of almost all f Mn
due to Korshunov (81 a), see Theorem 5.1, Ch. 4. His result implies
that for almost all f Mn
a1 + + an n 2 2

f(a) = 0 and

(7.40)

a1 + + an n 2 + 2

f(a) = 1

(7.41)

Since prime implicants correspond to minimal ones and prime clauses

correspond to maximal zeros, we know that for almost all f Mn the
length of any prime implicant or prime clause may take only the values
n 2 1
n 2 + 2 . Hence
n 2 1 l min (f) l max(f) = c(f) n 2 + 2

(7.42)

for almost all f Mn . For the proof of the exact bounds of the
theorem we refer to Bublitz, Sch
urfeld, Voigt and Wegener (86). Here
we are satised with the weaker result (7.42).

411

THEOREM 7.10 : i) c(f) = l max(f) = n for almost all f Sn .

ii) Let (n) be any function tending to as n . Then
n log n (n) l min (f) n log n + (n)

(7.43)

for almost all f Sn .

Proof : i) c(f) = n if the value vector v(f) contains 0 1 0 or 1 0 1 as a
substring. Obviously almost all v {0 1}n+1 contain 0 1 0 or 1 0 1 as
a substring.
ii) By Theorem 7.3 i l min (f) = n + 1 vmax(f) for f Sn . The claim
(7.43) is equivalent to
log n (n) vmax(f) log n + (n)

(7.44)

for almost all f Sn . This is a well-known result about the longest

constant substring of a random 0-1-string of length n + 1 (see e.g.
Feller (68)).

EXERCISES
1. (Cook, Dwork and Reischuk (86)). A PRAM is called almost
oblivious if the number of the memory cell into which the i -th
processor writes at time step t is allowed to depend on the input
length but not on the input itself. A PRAM is called oblivious if
also the decision whether the i -th processor writes at time step t
may depend on the input length and not on the input itself. The
time complexity of oblivious PRAMs computing f is not smaller
than log c(f) + 1 . Hint: Kt+1 = Lt+1 , Lt+1 = Kt + Lt .
2. The time complexity of almost oblivious PRAMs computing f is
not smaller than t if c(f) F2t+1 , the (2t+1)-st Fibonacci number.
Hint: Kt+1 = Kt + Lt , Lt+1 = Kt+1 + Lt .

412

3. Prove Theorem 7.5 ii.

4. The graph property no vertex is isolated can be decided by a
PRAM with O(N) realistic processors in time log N + O(1) .
5. Estimate the size and the depth of the circuit designed in the proof
of Theorem 3.1.
6. The processors of a non deterministic WRAM (N-WRAM) may
ip during one computation step independent unbiased coins. An
N-WRAM accepts a {0 1}n i there is an accepting computation path. There is an N-WRAM with O(n) processors and
communication width 1 computing Tn2 in O(1) steps.
7. Prove Lemma 4.2.
8. Let f Bn be dened by a set of clauses or implicants and k
{1
n} . It is NP-hard to decide whether c(f) k . The same
holds for l min and l max .
9. Investigate the complexity of the outputs of
a) the binary addition ,
b) the binary multiplication ,
c) the Boolean matrix product ,
d) the Boolean convolution
with respect to c , l min and l max .
10. How long are the prime implicants and prime clauses of the monotone storage access functions ?

413

11. How long are the prime implicants and prime clauses of fnt Bn
where fnt (a) = 1 i ai = = ai+t1 (indices modn) for some i ?
12. Each non constant graph property depends on all N variables.
13. The graph properties
a) G contains a k-clique ,
b) G contains a Hamiltonian circuit ,
c) G contains an Eulerian circuit ,
d) G contains a perfect matching
are (N)-critical.
14. The graph property G contains a vertex whose degree is at least
dn is (N)-critical, if 0 d 1 .
15. The graph property G contains no isolated vertex has minimal
sensitive complexity n 2 .
16. l min (f) = min{l (f 0) l (f 1)} for f Mn and the constant inputs 0
and 1 .
17. Determine the number of f Mn where l min (f) n 2 + 1 .
18. Let M be the complexity measure of Def. 5.1. Then M(f) l max(f)
for all f Bn and M(f) = O(1) for almost all f Bn .
19. The number of f Sn where c(f) n or l max(f)
the (n 1)st Fibonacci number Fn1 .

n is 2 Fn1 for

414

14. BRANCHING PROGRAMS

14.1 The comparison of branching programs with other models of

computation

DEFINITION 1.1 : A branching program (BP) is a directed acyclic

graph consisting of one source (no predecessor), inner nodes of fanout 2 labelled by Boolean variables and sinks of fan-out 0 labelled
by Boolean constants. The computation starts at the source which
also is an inner node. If one reaches an inner node labelled by xi , one
proceeds to the left successor, if the i -th input bit ai equals 0 , and one
proceeds to the right successor, if ai = 1 . The BP computes f Bn if
one reaches for the input a a sink labelled by f(a) .
A branching program may be understood as a single processor of
arbitrary computation resources which can read at most one input bit
per time unit.
DEFINITION 1.2 : The size of a BP is equal to the number of inner
nodes (computation nodes), and the depth of a BP is equal to the
length of a longest path. The corresponding complexity measures for
f Bn are denoted by BP(f) and BPD(f) .
The branching program depth is a measure for the computation
time. What is the meaning of the branching program size ? Obviously,
a BP of size c can be written as a (non uniform) program of GO TOs
depending on if-tests on the Boolean variables. Then c is the number
of GO TOs , i.e. the program size. The following relations between
the branching program size BP(f) and the space complexity S(f) of
non uniform Turing machines (see Def. 4.1, Ch. 9) for f have been
proved by Cobham (66) and Pudlak and Zak (83).

415

THEOREM 1.1 : If fn Bn , then

S(fn ) = O log max{BP(fn) n}
BP(fn ) = 2O(h(n))

and

where h(n) = max{S(fn ) log n}

(1.1)
(1.2)

Proof : Let Gn be a BP for fn of size BP(fn) . We simulate Gn by

a non uniform Turing machine whose oracle is an encoding of Gn .
We encode each node of Gn by its number (O(log BP(fn)) bits) , the
number of its direct successors (O(log BP(fn)) bits) and the index of
its label (O(log n) bits).
The encoding of Gn has length look on the input tape for the input
bit tested at this node and copy the encoding of the successor node.
Hence the space complexity of the Turing machine is bounded by (1.1).
Let M be a non uniform Turing machine for fn with space complexity S(fn) . The number of congurations of M is bounded by 2O(h(n))
(see (3.3) and 4, Ch. 9). We simulate M by a BP Gn . Each conguration of M is simulated by a node, the initial conguration is the source,
accepting congurations are 1-sinks, and rejecting congurations are
0-sinks. The successors of a node v simulating the conguration c
are the nodes for the congurations c0 and c1 which are the successor
congurations of c if M reads on the input tape 0 and 1 resp. The
label of v is xi if c is neither accepting nor rejecting and the head of
the input tape reads xi . Hence (1.2) is proved.

Moreover, there are tight relations between branching programs

and circuits (see e.g. Wegener (84 b)).
THEOREM 1.2 : i) C(f) 3 BP(f) for all f Bn .
ii) D(f) 2 BPD(f) for all f Bn .
iii) BP(f) L (f) + 1 for all f Bn and = { } .

416

Proof : i) Let G be a BP for f of size BP(f) . At an inner node labelled

by xi we select the left successor if xi = 0 and the right successor if
xi = 1 . The selection function sel(x y z) = x y x z selects y if x = 0
or z if x = 1 . Hence we obtain a circuit over the basis {sel} with
BP(f) gates for f if we reverse the direction of the edges, all inner
nodes are sel-gates with the following inputs: xi , the former label of
the node, v0 , the former left successor of the node, and v1 , the former
right successor of the node. The assertion follows since C(sel) = 3 .
ii) can be proved in a similar way starting with a depth optimal BP.
D(sel) = 2 .
iii) is proved by induction on l = L (f). The assertion is obvious
for l = 0 . Let l = L (f)

0 , and let the assertion be proved for

functions of smaller formula size. Let F be an optimal formula for

f . If the last gate of F is a -gate, the assertion follows from the
induction hypothesis, since f and f have the same BP size. If the
last gate of F is an -gate, f = g h for some functions g and h , where
L (g)+L(h) = l 1 . By induction hypothesis, BP(g)+BP(h) l +1 .
Hence it is sucient to prove that BP(f) BP(g) + BP(h) . We use
optimal BPs G(g) for g and G(h) for h . We obtain a BP G(f) for f
of size BP(g) + BP(h) in the following way. The source of G(f) is the
source of G(g) and all 1-sinks of G(g) are identied with the source
of G(h) . Similar arguments work for an -gate.

The branching program complexity of f lies in the interval

[C(f) 3 L(f) + 1] . For almost all f Bn , BP(f) is close to the left
end of the interval.

417

THEOREM 1.3 : i) BP(f) (1 3) 2n n1 for almost all f Bn .

ii) BP(f) = O(2n n1) for all f Bn .
Proof : i) follows from Theorem 2.1, Ch. 4 , and Theorem 1.2 i.
ii) follows from a simple simulation of the improved decoding circuit
in 2, Ch. 4.

DEFINITION 1.3 : A BP G is synchronous if for all nodes v in G all

paths from the source to v have the same length d(v) . The width w(l )
of level l is the number of nodes v with d(v) = l . The width of G is
the maximum w(l ) .
Bounded-depth circuits with gates of unbounded fan-in can be simulated eciently by branching programs of small width.
THEOREM 1.4 : If f Bn can be computed by a circuit with c gates
of unbounded fan-in (-, -gates) and k logical levels, then f can be
computed by a BP G of depth ck1 n and width max{2 k} . Hence the
size of G is at most ck1 n max{2 k} .
Proof : Induction on k . For k = 1 we can compute the conjunction or
disjunction of at most n literals. This can be done by a BP of depth
n and width 2 . The BP can be constructed in such a way that it has
only two sinks, both on the same level.
If k
1 , let g1
gm be the functions computed in k 1 logical
levels. By the induction hypothesis there are BPs G1
Gm of depth
ck2 n and width max{2 k 1} for g1
gm . If the last gate of the
circuit is a conjunction (similar arguments work for a disjunction) ,
we join the BPs G1
Gm in the same way as G(g) and G(h) in
the proof of Theorem 1.2. We have to ensure that the new BP is
synchronous. Therefore we gather the 1-sinks of each Gi on a new
path which increases the width by 1 . If k = 2 , the new path is not
necessary, since Gi has only one 1-sink at its bottom. Since m c ,
we obtain a BP for f of depth ck1 n and width k .

418

This theorem implies that functions with c prime implicants can

be computed by a BP of depth c n and width 2 . The theorem also
implies that lower bounds on the complexity of width-bounded BPs
are harder to achieve than lower bounds on depth-bounded circuits.
For instance, the parity function is not in SIZE - DEPTH(poly const)
but has width-2 BPs of depth n . At the computation nodes on level i
(0 i n 1) we test xi+1 . If x1 xi+1 = 0 , we proceed to the
rst node on level i + 1 , otherwise to the second node on level i + 1 .
On level n the rst node is a 0-sink, the second one a 1-sink. We
discuss width-bounded BPs more detailed in 5.

14.2 The depth of branching programs

DEFINITION 2.1 :
elusive.

A function f Bn with BPD(f) = n is called

This notation has been introduced by Bollobas (76). Kahn, Saks

and Sturtevant (84) used the notion evasive instead of elusive. The
elusiveness of many functions can be proved by the following relation
(Bublitz, Sch
urfeld, Voigt and Wegener (86)) and results of Ch. 13.
THEOREM 2.1 : BPD(f) l max(f) c(f) for all f Bn .
Proof : The second inequality has been proved in Proposition 4.1,
Ch. 13. For the rst inequality we consider an input a {0 1}n where
k := l (f a) = l max(f) If BPD(f)
k , the computation path for a in
some depth-optimal BP for f has length l
k . We have tested at
most l variables and f is constant on some (n l )-dimensional cube
containing a . Since n l n k + 1 , this contradicts the denition
of k .

419

This result indicates that many functions are elusive. This fact is
also underlined by the following asymptotic results.

THEOREM 2.2 : i) Almost all f Bn are elusive.

ii) Almost all f Mn are elusive.
iii) All non constant f Sn are elusive.
Proof : i) (Rivest and Vuillemin (76)). If BPD(f) n1 , we consider
a depth-optimal decision tree for f . A decision tree is a BP whose
nodes have fan-in bounded by 1 . This restriction does not increase
the depth. We add computation nodes such that all leaves (sinks)
are lying on level n 1 . Since the BP is a tree, we assume w.l.o.g.
that no variable is tested twice on any computation path. Hence each
of the 2n1 leaves is reached for 2 inputs a and b with Hamming
distance d(a b) = 1 . Each 1-leaf is reached by one input a where |a| ,
the number of ones in a , is even and one input b where |b| is odd.
We conclude that the sets {a f 1 (1) | |a| even} and {a f 1(1) |
|a| odd} have the same size k {0
2n1} if BPD(f) n 1 . For
n1
xed k , there are 2 k possibilities of choosing k inputs out of the
2n1 inputs with |a| even. The same holds for |a| odd. Therefore N(n) ,
the number of non elusive f Bn , can be estimated by
N(n)
0k2n1

=
0k2n1

2n1
k

2n1
k

2n1
k

2n1
2n1 k

(2.1)
=

2n
2n1

The number of all f Bn is 22 . Hence the assertion i follows from a

simple application of the Stirling formula.
ii) has been proved by Bublitz, Sch
urfeld, Voigt and Wegener (86)
using results of Rivest and Vuillemin (76) and Korshunov (81 a). We
do not present the proof here.

420

iii) If f Sn is not constant, then v(f) , the value vector of f , is not

constant either. Let vi = vi+1 . We consider a depth-optimal decision
tree for f . We follow that path where the rst i tested variables have
value 1 and the next n1i tested variables have value 0 . Afterwards
it might be possible that the number of ones in the input is i or i + 1 .
Since vi = vi+1 , we have to test the last variable and the depth of the
tree is n .

It is easy to describe functions with the minimum BP depth.

THEOREM 2.3 : i) If f depends essentially on n variables, then

BPD(f) log(n + 1) .
ii) There are functions f Bn depending essentially on n variables
where BPD(f) = log(n + 1) .

Proof : i) If f depends essentially on xi , each BP for f contains at least

one inner node labelled by xi . Since the fan-out in a BP is bounded
by 2 , the lower bound follows.
ii) Consider a binary tree with n inner nodes and depth log(n + 1)
and label exactly one inner node by xi (1 i n) . The leaves
are labelled in such a way that brothers have dierent labels. The
function f , computed by this BP , depends essentially on x1
xn
and its BP depth is log(n + 1) .

Another example of a simple function with respect to BP depth is

the storage access function SAn Bn+k where n = 2k (see Def. 5.1 ,
Ch. 3). First of all, we test the k address variables ak1
a0 and
then x|a| . Hence
BPD(SAn ) = k + 1 = log(n + k + 1)

(2.2)

It is often dicult to decide whether f is elusive. Elusiveness proofs

follow, in general, the pattern of the proof of Theorem 2.2 iii. For each

421

BP for f one tries to dene an input a whose computation path has

length n .
The input size for graph properties is N = n2 . The results of
Ch. 13 imply that BPD(f) n 4 for all f GN , BPD(f) n 1 for
all f MGN and BPD(f) = (N) for most of the fundamental graph
properties. Best, van Emde Boas and Lenstra (74) described a graph
property (scorpion graphs) whose BP depth is small, namely at most
6 n . Aanderaa and Rosenberg conjectured that there is some
0
such that BPD(f) N for all f MGN . This conjecture has been
proved by Rivest and Vuillemin (76) for = 1 16 and by Kleitman
and Kwiatkowski (80) for = 1 9 . Kahn, Saks and Sturtevant (84)
achieved the best result which is
BPD(f) (1 4) N o(N) for all n and f MGN and

(2.3)

BPD(f) = N for n = 6 or n = pk (p prime) and f MGN . (2.4)

The extended conjecture of Karp that all f MGN are elusive is still
open. Further examples of elusive graph properties are the graph
contains a k-clique and the graph is k-colorable (Bollobas (76)).
For additional results on elusiveness we refer to Bollobas (78) and
Hedtst
uck (85).

14.3 The size of branching programs

There is no theory on design methods for size optimal BPs. What is

known about lower bounds ? We cannot expect (n2 )-bounds, since
BP(f) L{ } (f) + 1 (Theorem 1.2 i). The Krapchenko method
cannot be translated to BPs , since this method yields its largest bound
for the parity function, and the parity function has linear BPs. But
the idea of the Nechiporuk method (Ch. 8, 7) works also for BPs.

422

THEOREM 3.1 : Let f Bn depend essentially on all its variables,

let S1
Sk X be disjoint sets of variables and let si be the number
of Si -subfunctions of f . Then
BP(f) =

(log si ) (log log si )

(3.1)

1ik

Proof : We estimate N(r t) , the number of BPs of size t on r variables.

The number of edges is 2 t , since each inner node has fan-out 2 . Each
edge leaving vi may select its end out of vi+1
vt and the two sinks.
There are r possible labellings for each inner node. Hence
N(r t) rt ((t + 1)!)2 rt t2t

if t 3

(3.2)

Let r(i) = |Si | and let t(i) be the number of nodes in an optimal
BP for f labelled with some xj Si . Each Si -subfunction of f can be
computed by a BP of size t(i) . We only have to replace the other
variables by the appropriate constants. Hence
si N(r(i) t(i)) r(i)t(i)(t(i))2t(i)

if t(i) 3

(3.3)

Since f depends essentially on all variables, r(i) t(i). Therefore

si t(i)3t(i)

if t(i) 3 and

t(i) = ((log si ) (log log si ))

(3.4)
(3.5)

Since, by denition, BP(f) is the sum of all t(i) , we have proved the
theorem.

From the arguments used in Ch. 8, 7 , we obtain the following results. By Theorem 3.1 one cannot prove larger lower bounds
than bounds of size n2 log2 n . BP(ISAn ) = n2 log2 n but
C(ISAn ) = O(n) for the storage access function for indirect addressing, BP(detn ) = n3 log1 n for the determinant and BP(cl n m ) =
(n m)3 log1 n for clique functions.
Pudlak (84 b) translated the Hodes and Specker method (Ch. 8,
5) to BPs and proved (n(log log n) (log log log n)) lower bounds on

423

the BP complexity of threshold functions Tnk where k and nk are not

too small. Budach (84) applied topological methods, but he obtained
only bounds for decision trees.

14.4 Read-once-only branching programs

DEFINITION 4.1 : A read-k-times-only branching program (BPk)

is a branching program where each variable is tested on each computation path at most k times. The minimum size of a BPk for f is
denoted by BPk(f) .
A BP1 is called read-once-only branching program. This computation model was introduced by Masek (76). The corresponding machine
model is the non uniform eraser Turing machine, i.e. a Turing machine
that erases each input bit after having read it. For BPks each input
bit is given k times. Theorem 1.1 holds also for read-once-only BPs
and eraser Turing machines. Hence lower bounds on the BP1- complexity lead to lower bounds on the space complexity of eraser Turing
machines. The same holds for upper bounds.
For read-k-times-only BPs and k 2 no lower bounds are known
which are essentially larger than lower bounds for general BPs. Hence
we consider in this section only read-once-only BPs.
At rst we show that optimal BP1s for symmetric functions f Sn
can be designed by an ecient algorithm working on the value vector
v(f) of f (Wegener (84 b)). In the following we denote by Sn the class
of all non constant symmetric functions f Bn .
THEOREM 4.1 : For all f Sn there is an optimal BP1 which is
synchronous and where all computation nodes on level l are labelled
by xl +1 .

424

Proof : The following claim holds for all BP1s but in general not for
BPs. If p is a path in a BP1 , then there is an input a(p) for which p
is part of the computation path. Let fp be the subfunction of f where
we have replaced the variables read on p by the proper constants.
Now we consider an optimal BP1 G for f Sn . Let p and p be
paths from the source to the computation node v . We claim, that
l (p ) = l (p ) , where l (p) is the length of p , that we read the same
input variables on p and p (perhaps with dierent results) and that
fp = fp .
If v is followed for some b {0 1} by b-sinks only, v can be replaced
by a b-sink. Hence we assume that fp and fp are not constant. fp is
a symmetric function on n l (p ) variables. By Theorem 2.2 iii the
longest path p starting in v has length n l (p ) . The same holds for
p . Hence l (p ) = l (p ) . On p and p we read all variables that have
not been read on p . In particular, we read on p and p the same
set of variables. The BP1 with source v computes fp and fp . Hence
fp = fp .
Now we relabel the computation nodes such that the nodes on level
l (the BP is synchronous by the claim above) are labelled by xl +1 . We
claim that the new BP1 G computes f . Let p be a path in G from
the source to a b-sink. If we have chosen m0 times the left successor
and m1 times the right successor on p , then f(a) = b for all inputs a
with at least m0 zeros and at least m1 ones. If the same path is used
in G , the input contains at least m0 zeros and at least m1 ones. The
output b is computed correctly.

By this theorem on the structure of optimal BP1s for symmetric functions f , we can design optimal BP1s eciently. The level 0
consists of the source labelled by x1 . At each node v on level l we
still have to compute a symmetric function fv on n l variables. The
node v gets a second label i indicating that (vi
vi+nl ) is the value
vector of fv . This additional label is i = 0 for the source. For a node v
on level l labelled by xl +1 and i we need two successors v0 and v1 on

425

level l + 1 with labels xl +2 (if l + 2 n) and i or i + 1 resp. The only

problem is now to decide which nodes on level l + 1 can be merged or
replaced by sinks. A node can be replaced by a constant i the proper
value vector is constant. Two nodes can be merged i the proper value
vectors coincide.
The number of nodes constructed on level l + 1 is at most 2 N(l )
where N(l ) is the minimum number of nodes on level l in an optimal
BP1 for f . This consequence results from the fact that all nodes on
level l for which we have constructed successors belong to an optimal
BP1 for f . We know the value vectors which belong to the nodes
on level l + 1 . By a generalized bucket sort we sort these value vectors in time O(nN(l )) according to the lexicographical order. In time
O(nN(l )) it can be decided which nodes can be replaced by sinks and
which nodes can be merged. We continue until all nodes are replaced
by sinks on level n . Altogether we have constructed an optimal BP1
for f Sn in time O(n BP1(f)) . If we can handle also large numbers
in one unit of time, we can decrease the running time of the algorithm
to O(BP1(f)) . But then the space complexity is large, namely O(2n ) .
The original algorithm can be performed with linear space.

THEOREM 4.2 :
There is an O(n BP1(f))-time and O(n)-space
algorithm for the computation of an optimal BP1 for f Sn given by
its value vector.

Together with this algorithm we obtain the following characterization of the BP1-complexity of symmetric functions.
THEOREM 4.3 : For f Sn let rl (f) (0 l n 1) be the number
of dierent non constant subvectors (vi
vi+nl ) (0 i l ) of the
value vector v(f) .
i)

BP1(f) =

rl (f)

0l n1

426

ii)

BP1(f)

0l n1

min l + 1 2nl +1 2

= n2 2 n log n + O(n)

Proof : i) follows from Theorem 4.1 and the algorithm from Theorem
4.2. For ii) we state that rl (f) l +1 (we consider only l +1 subvectors)
and that rl (f) 2nl +1 2 (we consider non constant vectors of length
n l + 1) .

If the value vector of f Sn is a de Bruijn sequence (see Exercises),

we obtain a symmetric function of maximum BP1-complexity. The
proofs of the following results on the majority function Tnn 2 and the
exactly - n 2 function Enn 2 are left as an exercise.
THEOREM 4.4 : i) BP1(Tnn

) = n2 4 + (n) .

ii) BP1(Enn

) = n2 4 + (n) .

iii) BPk(Enn

) = O(n(k+1) k) .

iv) BP(Enn

) = O(n log2 n log log n) .

All symmetric functions have BP1-complexity bounded by O(n2)

(Theorem 4.3 ii). Because of the small number of subfunctions many
computation paths can be merged after a short time. For many other
functions f one can prove that paths, whose lengths are at most d ,
cannot end in a sink and cannot be merged with other computation
paths. Then each BP1 for f contains at its top a complete binary
tree of d levels and therefore at least 2d 1 computation nodes. This
lower bound method has been introduced by Wegener (84 c) for the
proof of lower bounds on the BP1-complexity of clique functions cl n k
(see Def. 11.1, Ch. 6). Dunne (85) applied this method to the logical
permanent PMn (perfect matching, see Def. 12.2, Ch. 6) and to the
Hamiltonian circuit functions (see Exercise 32 b, Ch. 6).

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THEOREM 4.5 : Let G be a BP1 for the clique function cl n k . Let

p and q be dierent paths in G starting at the source and ending
in v(p) and v(q) resp. If at most k(1) = k2 1 ones and at most
k(0) = n k2 + 2 zeros have been read on p and q , then neither v(p)
nor v(q) is a sink and v(p) = v(q) . In particular
BP1(cl n k )
0mk(0)+k(1) mk(0)jk(1)

m
j

(4.1)

Proof : (4.1) follows easily from the rst part of the theorem. For each
0-1-sequence a1
am with at most k(0) zeros and k(1) ones there is
a computation node in G . The lower bound in (4.1) is equal to the
number of these sequences.
We turn to the proof of the structural results. Before we have not
tested all variables of a prime implicant or a prime clause with the right
result we do not reach a sink. cl n k is monotone. Consequently, the
variables of a prime implicant have to be ones. All prime implicants of
cl n k have length k2
k(1) , they correspond to a minimal graph with
a k-clique. According to the results of Ch. 13 prime clauses correspond
to maximal graphs without any k-clique. The largest maximal graphs
are by Turans theorem (see e.g. Bollobas (78)) complete (k 1)partite graphs where the size of all parts is n (k 1) or n (k 1) .
We have to estimate the number of missing edges. This number is
underestimated if we assume that all parts have size n (k 1) and
each vertex is not connected to n (k 1) 1 other vertices. Hence
l (0) (1 2)n(n (k 1) 1) for the length l (0) of the shortest prime
clause. Since l (0) k(0) , neither v(p) nor v(q) is a sink.
Let us assume that w = v(p) = v(q) . Since p and q are dierent
paths, there is a rst node w where the paths separate. W.l.o.g. w is
labelled by x1 2 . Let Gp and Gq be the partially specied graphs specied by the computation paths p and q resp. Edges tested positively
are called existing, whereas edges tested negatively are called forbidden, all other edges are called variable. W.l.o.g. the edge (1,2) exists
in Gp and is forbidden in Gq . Let G be the part of G whose source

428

is w . We shall prove the existence of a path r from w to some sink

such that we have to reach a 1-sink on the compound path (p,r) and a
0-sink on (q r) . This will contradict the assumption that v(p) = v(q) .
Let A be the set of vertices i {1,2} such that i lies on some
existing edge in Gq . Since Gq contains at most k(1) edges,
|A| 2 k(1) = k2 k 2

(4.2)

Let B be a set of vertices j {1 2} such that for each edge e = (i i )

forbidden in Gp , i B or i B . It is possible to choose B such that
|B| k(0) = n k2 + 2

(4.3)

n} A B contains at least k vertices, among

The set C := {1
them the vertices 1 and 2 . Let D C be chosen such that |D| = k
and 1 2 D . Let r be the path from w to a sink where we choose
the right successor, the 1-successor, i i j D for the label xij of the
computation node. The path (p r) leads to a 1-sink, since no edge on D
has been tested negatively. Let Gq r be the graph specied on (q r) .
Only vertices in D A may have positive degree. Since Gq does not
contain any k-clique and only edges on D are tested positively on r , a
k-clique in Gq r has to contain two vertices of D . Since the edge (1 2)
is forbidden, a k-clique in Gq r has to contain a vertex i D {1 2}
and a vertex j A . The edge (i j) is not tested positively on (q r) .
Hence Gq r does not contain any k-clique, and the path (q r) leads to
a 0-sink.

COROLLARY 4.1 : i) BP1(cl n k ) = (nk(k1)

ii) BP1(cl n m(n) ) 2n
iii) BP1(cl n n 2) 2n

3o(n)

6o(n)

21

for m(n) = (2n 3)1

) for constant k .

iv) The space complexity of eraser Turing machines for cl n n

(n) = (N1 2) where N = n2 is the input size.
Proof : i) follows from (4.1) where

k(0)+k(1)
k(1)

is the largest term.

is

429

ii) By denition of m(n) , k(0) and k(1) are of size n 3 o(n) . Each
BP1 for cl n m(n) contains at the top a complete binary tree of depth
n 3 o(n) .
iii) cl nm(n) n 2m(n) is a subfunction of cl n n 2 . Let m(n) = n 2
(n 3)1 2 . Then k(0) and k(1) are of size n 6 o(n) .

iv) is a corollary to iii.

Larger lower bounds have been proved by Ajtai, Babai, Hajnal,

Komlos, Pudlak, Rodl, Szemeredi and Turan (86).
THEOREM 4.6 : Let
cl n 3 be the graph property computing 1 if
the number of triangles (3-cliques) in the graph specied by x is odd.
Then BP1 ( cl n 3 ) = 2(N) and the space complexity of eraser Turing
machines for
cl n 3 is (n2) = (N) .
Recently Kriegel and Waack (86) gave an easier proof of a 2(N) bound for another function. We do not prove these theorems. We
prove two results which we shall apply in 6. The rst one is due to
Wegener (86 a).
DEFINITION 4.2 : cl n k MGN is the graph property which tests
whether a graph contains a k-clique of special type, these are k-cliques
where at least k 2 vertices i1
ik2 build a consecutive sequence
i i+1
i + k 3 mod n .
THEOREM 4.7 : BP1(cl n k(n) ) = 2m(n) if k(n) = n1
(1 4) n2 3 o(n2 3) .

and m(n) =

Proof : After m(n) positive tests we still have not found a k-clique
of special type. After m(n) negative tests at most (1 2) n2 3 vertices
lie on a forbidden edge. Hence there is a consecutive sequence of
k(n) vertices which may still build a k(n)-clique of special type. The
depth of all sinks is larger than m(n) .

430

It is now sucient to prove that two paths p and q whose lengths

are bounded by m(n) and which start at the source of a BP1 for cl n k(n)
cannot stop at the same node. Again w.l.o.g. (1,2) exists in Gp but
is forbidden in Gq . There is a set of vertices D such that |D| = k(n) ,
D contains the vertices 1 and 2 , D contains a consecutive sequence of
k(n) 2 vertices, and no edge incident to some i D{1,2} has been
tested on p or q . The proof is completed on the pattern of the proof
of Theorem 4.5.

DEFINITION 4.3 : cl on GN (n even) is the graph property which

tests whether a graph contains an n 2-clique but no edge outside of
this clique.
This so-called clique-only function has been investigated by Pudlak
and Zak (83) and Zak (84). The function has short prime clauses. If
the edges (1,2) and (1,3) exist, but (2,3) is forbidden, we know that
cl on (x) = 0 . But all prime implicants have length N = n2 . It is
possible to prove that the width of a BP1 for cl on is somewhere not
too small.
THEOREM 4.8 : BP1(cl on ) 2n

3o(n)

Proof : W.l.o.g. n can be divided by 6 . Let G be a BP1 for cl on .

For a vertex set H of size n 2 let p(H) be the computation path for
the graph that contains only the clique on H . Let v(H) be the rst
computation node on p(H) where at least n 2 2 vertices lie on an
existing edge. We claim that v(H) = v(H ) if |H H | n 2 3 . We
conclude the theorem from our claim before we prove the claim. We
partition the vertex set {1
n} to three sets M1 , M2 and M3 each
of size n 3 . The number of subsets of Mi of size n 6 is a = nn 36 .
Let Mi j (1 j a) be these sets. We consider Hj , the union of
M1 j , M2 j and M3 j for 1 j a . Then |Hj Hj | n 2 3 if j = j .
The computation nodes v(H1)
v(Ha) are dierent due to the claim
above. Hence G contains at least a = 2n 3o(n) computation nodes.

431

For the proof of the claim we assume that v(H) = v(H ) although
|H H | n 2 3 . Let p (H) and p (H ) be those parts of p(H) and
p(H ) resp. that lead from the source to v(H) . On p(H) and p(H )
we have tested the same set of variables. Otherwise some path, where
not all variables are tested, would lead from the source to a 1-sink
although all prime implicants have length N .
We investigate the computation path leading from the source via
p(H) to v(H) and then via p(H ) to a 1-sink. The computation path
is the path p(H ) for some set H of size n 2 . |H H | n 2 2 by
denition of v(H) . In particular, H contains some vertex i H . We
prove the claim by proving that H = H . Each positive test increases
the number of vertices lying on existing edges at most by 2 . Hence
there is some j H such that no edge (j ) has been tested positively
on p (H ) . For all k H {j} , the edge (j k) is tested positively on
the second part of p(H ) and therefore on p(H ) . All these vertices
k H and j have to belong to H because of the denition of cl on .

We have proved exponential lower bounds on the BP1-complexity

of NP-complete functions like cl n n

but also on the BP1-complexity

of functions in P like cl on , cl n k(n) and

cl n 3 .

14.5 Bounded-width branching programs

We have dened the width of BPs in Denition 1.3. By Theorem 1.4 all f Bn can be computed by a width-2 BP. Therefore
w-k-BP(f) , the minimum size of a width-k BP for f , is well-dened for
k 2 . We have already proved in Theorem 1.4 that depth-bounded

432

circuits can be simulated eciently by width-bounded branching programs. But the converse is false. The parity function has linear
width-2 complexity but exponential size in circuits of constant depth
(see Ch. 11, 3). Later we present a complete characterization of BPs
of bounded width and polynomial size.
Before that we report the history of lower bounds. Borodin, Dolev,
Fich and Paul (83) proved that width-2 BPs for the majority function
have size n2 log1 n . By probabilistic methods Yao (83) improved
this result. Width-2 BPs for the majority function cannot have polynomial size. Shearer (pers. comm.) proved an exponential lower
bound on the width-2 BP complexity of the counting function Cn1 3
computing 1 i x1 + + xn 1 mod 3 .
For k 3 no large lower bounds on the width-k BP complexity
of explicitly dened Boolean functions are known. Using the Ramsey theory (see e.g. Graham, Rothschild and Spencer (80)) Chandra,
Fortune and Lipton (83) proved that there is no constant k such that
the majority function can be computed in width-k BPs of linear size.
Ajtai et al. (86) could prove non trivial lower bounds for BPs whose
width is not larger than (log n)O(1) (poly log). Almost all symmetric
functions, and in particular the following explicitly dened function
x1 + +xn is a quadratic residue mod p for a xed prime p between
n1 4 and n1 3 , cannot be computed by poly log - width BPs of size
o(n(log n) log log n) .
All these results are motivated by the conjecture that the majority function cannot be computed by BPs of constant width and
polynomial size. But this conjecture has been proved false by Barrington (86).
THEOREM 5.1 : Let fn Bn . There is for some constant k a
sequence of width-k BPs Gn computing fn with polynomial size i
there is a sequence Sn of circuits with binary gates computing fn with
polynomial size and depth O(log n) .

433

Each symmetric function fn Sn can be computed by a circuit of

linear size and logarithmic depth (Theorem 4.1, Ch. 3). Hence Theorem 5.1 implies the existence of polynomial BPs of constant width
for all symmetric functions, among them the majority function. We
prove Theorem 5.1 in several steps.
Proof of Theorem 5.1 , only-if-part : Let Gn be BPs computing fn
in constant width k and polynomial size p(n) . The nodes of Gn are
denoted in the following way: vi j (1 i k , 0 j p(n)) is the i -th
node on level j , v1 0 is the source, w.l.o.g. we have only two sinks both
on level p(n) , v1 p(n) is the 1-sink, v2 p(n) the 0-sink. Let gi j i j (x) = 1 if
starting at the node vi j on input x we reach vi j . Then fn = g1 0 1 p(n) .
The functions gi j i j+1 depend essentially at most on one input variable, namely the label of vi j . These functions can be computed at a
single gate. Let j j
j . Each path from level j to level j has to
pass through level j . Hence
gi j i

(x) =
1i k

gi j i j (x) gi

j i j

(x)

(5.1)

This leads to a divide-and-conquer approach. W.l.o.g. p(n) = 2m(n) .

Then m(n) = O(log n) . We proceed in m(n) steps. In Step 0 we
compute in parallel all gi j i j+1(x). In Step r we apply (5.1) and compute in parallel all gi j i j where j is a multiple of 2r , j = j + 2r
and j = j + 2r1 . The functions on the right-hand side of (5.1) are
computed in Step r1 . In Step m(n) we compute g1 0 1 p(n) = fn . Altogether we apply (5.1) not more than 2 k2 p(n) times. (5.1) can be realized by a circuit of size 2 k and depth log k + 1 . Hence there is a circuit for fn of size 4 k3 p(n) and depth ( log k +1) log p(n) = O(log n) .

For the if-part Barrington introduced a new type of BPs.

DEFINITION 5.1 : A permutation 5 is called a 5-cycle if
i (j) = j for i {1 2 3 4} and j {1
5} . We present a 5-

434

cycle by the string (a1 a2 a3 a4 a5) where (ai) = ai+1 for i 4 and
(a5) = a1 .
DEFINITION 5.2 : A permutation branching program (PBP) of
width k and length (or depth) l is given by a sequence of instructions (j(i) gi hi ) for 0 i
l , where 1 j(i) n and gi hi k .
A PBP has on each level 0 i l k nodes v1 i
vk i . On level i
we realize i(x) = gi if xj(i) = 0 and i (x) = hi if xj(i) = 1 . The PBP
computes (x) = l 1(x) 0(x) k on input x . The PBP computes fn Bn via if (x) = id for x fn1(0) and (x) = = id for
x fn1 (1).
LEMMA 5.1 : A PBP for f of width k and length l can be simulated
by a BP of width k and length k l .
Proof : The PBP has k sources on level 0 . We obtain k BPs of
width k and length l (one for each source). The nodes vm i (1 m k)
are labelled by xj(i) , and the wires from level i to level i + 1 correspond
to gi and hi . The nodes on the last level are replaced by sinks. In the
r -th BP the (r)-th node on the last level is replaced by a 1-sink, all
other sinks are 0-sinks. This BP computes 1 i (x)(r) = (r) . Hence
f(x) = 1 i all BPs compute 1 . Similarly to the proof of Theorem 1.4
we combine the k BPs to a BP for f . We do not have to increase the
width since all sinks lie on the last level.

Hence it is sucient to design PBPs of width 5 . We restrict ourselves to 5-cycles which have properties that serve our purposes.
LEMMA 5.2 : If the PBP G computes f via the 5-cycle and is
another 5-cycle, then there is a PBP G of the same length computing
f via .
Proof : The existence of 5 where = 1 follows from
elementary group theory (or by case inspection). In G we simply

435

replace the permutations gi and hi in the sequence of instructions by

gi 1 and hi 1 resp. Then the output permutations id and are
replaced by id 1 = id and 1 = .

LEMMA 5.3 : If the PBP G computes f via the 5-cycle , then there
is a PBP G of the same length computing f via a 5-cycle.
Proof : Obviously 1 is a 5-cycle. We only change the last instruction : gl 1 is replaced by 1 gl 1 and hl 1 is replaced by 1 hl 1 .
Then (x) = 1 (x) . Hence (x) = 1 for x f 1 (0) and
(x) = id for x f 1 (1) . G computes f via 1 .

LEMMA 5.4 : There are 5-cycles 1 and 2 such that 1 2 11 21 is

a 5-cycle.
Proof : (1 2 3 4 5) (1 3 5 4 2) (5 4 3 2 1) (2 4 5 3 1) = (1 3 2 5 4) .

THEOREM 5.2 : Let f be computed by a depth-d circuit S over

the basis U2 . Then there is a PBP G computing f in width 5 and
length 4d .
Proof : The proof is by induction on d . For d = 0 the assertion is
obvious. For the induction step we assume (by Lemma 5.3 w.l.o.g.)
that the last gate of S is an -gate where f is computed as f = f1 f2 .
Hence, by induction hypothesis, for f1 and f2 there are PBPs G1 and
G2 of length 4d1 each computing f1 and f2 via the 5-cycles 1 and
2 resp. By Lemma 5.2 and Lemma 5.4 we replace 1 and 2 by 1
and 2 resp. such that 1 2 11 21 is a 5-cycle. Furthermore there
are PBPs G3 and G4 of length 4d1 each computing f1 and f2 via the
5-cycles 11 and 21 resp. (see Lemma 5.2). If we concatenate the
PBPs G1 , G2 , G3 and G4 , we obtain a PBP G of length 4d . Let
(x) = 1 (x) 2(x) 3(x) 4(x) 5 be the permutation computed
by G .

436

1. f1 (x) = f2(x) = 0 1(x) = = 4 (x) = id (x) = id .

2. f1 (x) = 0 , f2(x) = 1 1 (x) = 3(x) = id , 2(x) = 2 ,
4(x) = 21 (x) = id .
3. f1 (x) = 1 , f2 (x) = 0 (x) = id (similarly to Case 2).
4. f1 (x) = f2 (x) = 1 (x) = 1 2 11 21 , a 5-cycle and therefore
unequal to id .
Hence G computes f = f1 f2 in width 5 and length 4d .

Proof of Theorem 5.1 , if-part : We only have to concatenate the

constructions of Theorem 5.2 and Lemma 5.1.

This result explains also why one was not able to prove non polynomial lower bounds on the width-k BP complexity of explicitly dened
functions if k 5 .

14.6 Hierarchies

We have proved implicitly that certain functions are hard in some

models and simple in other models. We summarize these results.

THEOREM 6.1 : The majority function has non polynomial complexity with respect to circuits of constant depth and BPs of width 2 ,
but it has polynomial complexity with respect to monotone circuits,
monotone formulas, BP1s and BPs of width 5 .
THEOREM 6.2 : The clique function cl n k(n) for cliques of special
type and size k(n) = n1 3 has exponential complexity with respect
to BP1s, but it has polynomial complexity with respect to width-2

437

BPs, depth-2 circuits, monotone circuits, and monotone formulas.

Proof : The number of prime implicants of cl n k(n) can easily be estimated by O(n3) .

THEOREM 6.3 :
cl n 3 has exponential complexity with respect
to BP1s , but it has polynomial complexity with respect to BPs of
constant width and circuits.
Proof : We only have to prove the upper bound. In constant depth
we decide with O(n3) binary gates for each 3-clique whether it exists.
Then we compute the parity of these results in logarithmic depth and
size O(n3) . Finally we apply Theorem 5.1.

In Ch. 11, 5 , we have seen that the classes k (P) build a proper
hierarchy.
DEFINITION 6.1 : Let w-k-BP(P) be the class of sequences f =
(fn) of functions fn Bn which can be computed by width-k BPs of
polynomial size.
Obviously w-k-BP(P) w-(k + 1)-BP(P) for k 2 . The results
of Barrington (86) (see 5) imply that this hierarchy collapses at the
fth level. But, from the results on the majority function, we know
that w-2-BP(P) w-5-BP(P) .
DEFINITION 6.2 : Let BPk(P) be the class of sequences f = (fn ) of
functions fn Bn which can be computed by read-k-times-only BPs
of polynomial size.

438

Obviously BPk(P) BP(k + 1)(P) for all k . We conjecture that

the classes BPk(P) build a proper hierarchy. But we only know that
the rst step of the hierarchy is proper (Wegener (84 c)).
THEOREM 6.4 : BP1(P)

BP2(P) .

Proof : By Theorem 4.8 , (cl on ) BP1(P) . We design BP2s of

polynomial size for cl on . We use the following simple characterization
of the clique-only function. cl on (x) = 1 i in G(x) , the graph specied
by x , the degree of each vertex is 0 or n 21 , and there is some vertex
i of degree n 2 1 such that all vertices i

i have degree 0 and all

vertices of positive degree are connected to i .

It is easy to design a BP1 on m variables which has size O(m2)
and m + 1 sinks and where all inputs with exactly i ones reach the
i -th sink (0 i m) . Let Tl (1 l n) be such a BP1 for all
variables representing edges (l ) . The source of T1 is the source of
the BP2 we construct. For l

n , the sink 0 of Tl is the source of Tl +1 ,

and the sink n 2 1 of Tl is the source of Hl which we dene later.

All other sinks including those of Tn are 0-sinks. If we reach such a
sink, cl on (x) = 0 . If we reach the source of Hl , we know that the
vertices 1

l 1 are isolated in G(x) and that the vertex l equals

the vertex i in the characterization above. Hl is the concatenation

of Hl l +1

Hl n . In Hl j we test whether the vertex j has the right

degree and whether it is, if necessary, connected to i = l . At rst we

compute (similar to the BP1 Tl ) d (j) , the number of vertices j = l
connected by an edge to the vertex j . If d(j) {0 n 2 2} we reach
0-sinks. If d (j) = 0 and the edge (l j) exists (does not exist), we
reach a 0-sink (the source of Hl j+1) . If d(j) = n 2 2 and the edge
(l j) exists (does not exist), we reach the source of Hl j+1 (a 0-sink).
If j = n , the source of Hl n+1 is replaced by a 1-sink. The so dened
BP computes cl on , if n 6 .

439

The size of each Tl and Hl j is O(n2 ) . Hence the total size is O(n4 ) .
The BP is a read-twice-only BP. Each path leads for some l at most
through the BP1s T1

Tl , Hl l +1

Hl n . The edge (i j) is tested

in Ti , if i l , in Tj , if j l , in Hl i , if l
Hence each edge is tested at most twice.

i , and in Hl j , if l

j.

We present a candidate which is in BPk(P) and probably not in

BP(k 1)(P) . An edge in an undirected graph is a two-element subset
of the set of vertices. A k-hyperedge in a hypergraph is a k-element
vertex set.
DEFINITION 6.3 : The k-hyperclique-only function k cl on is dened
on nk variables representing the possible k-hyperedges of a hypergraph. k cl on (x) = 1 i the hypergraph H(x) specied by the variables
contains exactly all k-hyperedges on an n 2 vertex set.

EXERCISES
1. The number of 1-leaves in a decision tree for f Bn is not smaller
than the number of gates on level 1 in a 2-circuit for f .
2. Let DT(f) be the decision tree complexity of f . Then D(f)
c log(DT(f) + 1) for some constant c .
3. Estimate the time complexity of the Turing machine we used for
the proof of (1.1).
4. Let f Bn be not elusive. Let f Bn be a function diering from
f on exactly one input. Then f is elusive.

440

5. BP(PARn ) = 2n 1 .
6. Determine BP1(Enk) and BP1(Tnk ) exactly.
7. The upper bound in Theorem 4.3 ii is optimal. Hint: Consider
de Bruijn sequences (see e.g. Knuth (81)) as value vectors.
8. Prove Theorem 4.4. Hint: Chinese Remainder Theorem.
9. Design an ecient algorithm for the construction of optimal decision trees for symmetric functions.
10. Prove a counterpart of Theorem 4.3 for decision trees.
11. Determine DT(PARn ) .
12. BP1(cl on ) = 2O(n) .
13. There is a BP1 for cl n k where two paths, on which at most k(1)+1
variables are tested positively and at most O(k(0)) variables are
tested negatively, lead to the same node.
14. (Dunne (85), just as 15.). Assume that for f Bn , all sets
V {x1
xn} of size bounded by m , and all xi V there
is a restriction : {x1
xn } (V {xi }) {0 1} such that
f (V xi) {xi xi } . Then BP1(f) 2m1 1 .
15. The BP1-complexity of the Hamiltonian circuit function and the
BP1-complexity of the logical permanent are exponential.
16. Prove an upper bound (as small as possible) on the constant-width
BP-complexity of the majority function.

441

17. (k cl on ) BPk(P) .

442

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FCT
FOCS
IC
ICALP
IPL
JACM
JCSS
LNCS
MFCS
STACS
STOC
SWAT
TCS
TCS-GI
TR

Fundamentals of Computation Theory

Symp. on Foundations of Computer Science
Information and Control
Int.Colloquium on Automata, Languages and Programming
Information Processing Letters
Journal of the Association for Computing Machinery
Journal of Computer and System Sciences
Lecture Notes in Computer Science
Mathematical Foundations of Computer Science
Symp. on Theoretical Aspects of Computer Science
Symp. on Theory of Computing
Symp. on Switching and Automata Theory
Theoretical Computer Science
GI Conf. Theoretical Computer Science
Technical Report

456

Index
addition 7,39,124,313,322,341,348
ane function 251
Ajtai,Komlos and Szemeredi sorting
network 152
almost all 87
arithmetic circuit 64
Ashenhurst decomposition 304
basis 7
Batcher sorting network 149
bilinear function 169
bipartite matching 310
Boolean convolution 58,168,209,350
Boolean matrix product 78,107,170,350
Boolean sum 36,107,163,213
BPP 286
branching program 414
canonical slice 203
carry function 39,226,341
carry-look-ahead-adder 83
carry save adder 51
cell partition 388
central slice 204
Chinese Remainder Theorem 61
circuit 7
circuit size 9
circuit value problem 310
clause 36
clique function 107,184,189,192,203,
204,257,270,384,421,422,427,436
clique-only function 430,438
communication width 363
comparison function 143,322
complete basis 9
conditional sum adder 40
conguration 278
conjunctive normal form 5
connectivity 85,309
constant depth reducibility 312
counting function 74,123,127,252,314
CO WRAM 363
CRCW PRAM 363
CREW PRAM 362
critical complexity 379
data rate 348
de Morgan laws 4
decision tree 419

decoding circuit 90
depth 9
determinant 81,256,262,343,422
direct product 301
Discrete Fourier Transform 63
disjoint bilinear form 215
disjunctive normal form 5
division 67,308
dual function 148
elimination method 121
elusive function 418
equality test 126
EREW PRAM 362
essential dependence 19,120
Eulerian cycle 309
evasive function 418
exactly - k - function 74,426
explicitly dened function 119,139
exponential growth 17
EXP TAPE HARD 139
f an-in 11
fan-out 10
Fast Fourier Transform 62
Fischer, Meyer and Paterson method
251
formula 12
formula size 12
gate 7
generating circuit 283
graded set of Boolean functions 389
graph property 402
Hamiltonian circuit 217,426
hierarchy 296,337,394,436
(h k)-disjoint Boolean sum 163
Hodes and Specker method 249
homogeneous function 107
Horner scheme 227
implicant 24
Karnaugh diagram 30
Krapchenko method 258
(k s) - Lupanov representation 91
Las Vegas algorithm 286
logical level 23,320

457

logical permanent 193,426

majority function 154,243,312,313,
333,426,436
marriage problem 102
mass production 301
maxterm 5
merging function 149,151,158,322
minimal polynomial 23
minterm 5
monom 23
monotone basis 145
monotone circuit 145
monotone disjunctive normal form 32
monotone function 3
monotone representation 197
monotone storage access function 399
Monte Carlo algorithm 285
multiplication 51,226,308,313,350
NC - Nicks class 292
NC1 reducibility 307
Nechiporuk method 253,421
negative envelope of convolution 58
network ow problem 310
non degenerated function 19,120
non deterministic Turing machine 269
non uniform computation model 19,
279,363,414
NP 33,269
NP - completeness 33,184,203,270,288
oblivious Turing machine 271
odd-even merge 149
1 - fan-in 326
oracle 270,307
P 269
parity function 36,125,261,312,313,324
380,387
partially dened function 22
perfect matching 193,426
period 348
permutation branching program 434
k -circuit 320
planar circuit 344
polynomial 23
polynomial growth 17
P Poly 283
prex problem 48
prime clause 36

prime implicant 24
probabilistic computation model 285,
352
processor partition 388
programmable circuit 110
projection reducibility 146,309
pseudo complement 195
quadratic function 107
Quine and McCluskey algorithm 25
radix - 4 -representation 54
random restriction 326
read-once-only branching program
423
replacement rule 160
ring sum expansion 6
root of identity 62
satisability problem 270,289
Schonhage and Strassen algorithm 56
selection function 20,218
self reducibility 289
semi-disjoint bilinear form 169
sensitive complexity 374
set circuit 208
set cover problem 33
Shannon eect 88
Shannons counting argument 87
k -circuit 320
single level 236
size 9
SIZE - DEPTH(poly const) 312
slice function 195
sorting function 148,158,313
sorting network 74,148
space complexity 269
Stockmeyer hierarchy 270
storage access function 76,123,374,420
storage access function for indirect
addressing 255,422
Strassen algorithm 79
strong connectivity 310
subtraction 50
symmetric function 74
synchronous circuit 340
table of prime implicants 27
threshold function 74,107,127,148,154,
196,235,239,243,250,313,323,357,422

458

time complexity 269

trade-o 225
transitive function 349
Turing machine 268
uniform computation models 267,292
universal circuit 110
universal gate 112
universal graph 112
value function 176
value vector 74
variational principle 106
VLSI 226,347
weak Shannon eect 106
width of a branching program 417
WRAM 363