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Some Applications and Limitations of Convex Optimization Hierarchies for Discrete and Continuous Optimization Problems

T0 review · 1 major / 5 minor · reviewed 2026-08-05 · deepseek-v4-flash

Pith's one-line read For every constraint satisfaction problem, a basic LP relaxation is as powerful, for approximation, as super-constant levels of the Sherali-Adams hierarchy.

desk verdict Real results, but the CSP lifting theorem has an unproven geometric coherence step; the polynomial and matrix norm chapters stand on much firmer ground. read the letter →

arxiv 2508.21327 v1 pith:DHKZB3Z7 submitted 2025-08-29 cs.CC cs.DS

classification cs.CCcs.DS MSC 68Q1790C22
keywords Sherali-Adamshierarchyintegralitygapsconstraintsatisfactionproblemssum-of-squarespolynomialoptimizationmatrixnormshypercontractiveLPextendedformulations
verification ladder T0 review T1 audit T2 compute T3 formal

The pith

A machine-rendered reading of the paper's core claim, the machinery that carries it, and where it could break.

The reading

This thesis studies what convex relaxation hierarchies can and cannot do for three optimization problems. The central CSP result is a dichotomy: for every predicate f and every (c,s) integrality-gap instance of the basic LP relaxation of MAX k-CSP(f), the same gap (up to epsilon) reappears at Omega(log N / log log N) levels of the Sherali-Adams hierarchy. Consequently, no polynomial-size LP extended formulation can beat the basic LP on such instances. For polynomial optimization over the sphere, the thesis gives a tradeoff between the level q of the sum-of-squares SDP and the approximation ratio, with better ratios for polynomials that are non-negative or sparse. For matrix p->q norms, it proves the first NP-hardness of approximation in the hypercontractive regime 1=q and 2 lies in [q,p].

What carries the argument

Three objects carry the arguments. (1) For CSPs: the (c,s)-integrality-gap instance of the basic LP used as a template, together with the locally l2-embeddable metric rho_mu on random hypergraphs and consistent partitioning schemes (built from separating decompositions of finite subsets of l2) that produce the local distributions satisfying Sherali-Adams consistency; the theorem that does the work is Theorem 2.1.1. (2) For polynomial optimization: the spectral relaxation value Lambda(h) = inf over matrix representations of the largest eigenvalue, which equals the SoS level-q optimum; the weak decoupling lemma relating Lambda(g)/||g||_inf to the multilinear components of g, and its folded-pol

What would settle it

For the CSP thread: exhibit a predicate f and a (c,s) basic-LP gap instance such that the Omega(log N/log log N)-level Sherali-Adams relaxation of the constructed random instance has value below c-epsilon; this would refute Theorem 2.1.1 directly. For the matrix thread: give a randomized polynomial-time algorithm approximating any hypercontractive ||A||_{p->q} (1<p<q<infinity, 2 not in [p,q]) within 2^{(log n)^{1-epsilon}} for some epsilon>0; this would contradict the claimed hardness (or show the derandomization assumption false).

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Extended reading notes

Core claim

The load-bearing theorem of the CSP thread is Theorem 2.1.1: a (c,s) integrality gap for the basic LP of MAX k-CSP(f) implies, for every epsilon>0, (c-epsilon, s+epsilon) integrality gaps for c_epsilon * log N / log log N levels of the Sherali-Adams relaxation on instances of size N. Combined with the extended-formulation connection of [CLRS13, KMR17], this yields near-optimal lower bounds for every polynomial-size LP extended formulation of the problem. The theorem is proved by taking the basic-LP gap instance as a template and generating a random multipartite instance; the geometry of local l2-embeddable metrics on random hypergraphs is used to build consistent local distributions that foo

Load-bearing premise

The load-bearing premise is the quasi-polynomial derandomization assumption NP not subset BPTIME(2^{(log n)^{O(1)}}) for the matrix-norm NP-hardness, and, in the CSP thread, the local l2-embeddability guarantee for the metric rho on random hypergraphs; if either fails, the corresponding claimed lower bounds do not go through.

Editorial extensions

If this is right

  • For every predicate f, the entire approximability curve of the basic LP relaxation—not just its worst-case ratio—is inherited by the Omega(log N/log log N)-level Sherali-Adams relaxation, so improving the hierarchy beyond the basic LP is impossible in the worst case.
  • The dichotomy yields, via [KMR17], lower bounds of the form N^{c' log N/log log N} for any LP extended formulation that attempts to (c-epsilon, s+epsilon)-approximate a CSP with a basic-LP (c,s) gap; proving a basic-LP gap is thus sufficient to rule out all polynomial-size LPs.
  • For polynomial optimization over the sphere, level-q SoS, run in n^{O(q)} time, interpolates between the known n^{d/2-1} polynomial-time approximation (q=O(1)) and exactness for q=Omega(n); the paper's bounds are worst-case, instance-independent guarantees.
  • The tilde-Omega(n^{1/6}) gap for degree-4 non-negative polynomials shows that the SoS hierarchy, even at constant levels, cannot achieve a sub-polynomial worst-case approximation for a natural class of non-negative polynomials.
  • For p->q norms, any future algorithm beating 2^{(log n)^{1-epsilon}} in the hypercontractive case would either refute the derandomization assumption or settle a long-standing gap; in the regime p>=q with 2 in [q,p], the approximation ratio is pinned down up to numerical factors involving Grothendieck constants.

Reading between the lines

Editorial extensions of the paper, not claims the author makes directly.

  • The CSP dichotomy suggests a practical proof strategy for LP lower bounds: construct only a basic-LP gap, which is often much easier than constructing a hierarchy-aware gap, and the hierarchy limitation follows automatically; this may be applicable to other hierarchy-based lower-bound programs beyond CSPs.
  • The weak decoupling lemma, which decouples without increasing variable count beyond 2n, might be useful in constrained polynomial optimization settings (e.g., the simplex or hypercube) and in sub-exponential algorithm design, as the thesis itself hints.
  • For matrix norms, the reliance on the quasi-polynomial derandomization assumption means the cleanest open target is to remove that assumption, or to show the reduction can be derandomized, which would upgrade the hardness to unconditional NP-hardness under P != NP.
  • The 'folding' technique suggests a testable prediction: for polynomials that decompose into low-degree easy parts, SoS at level q should converge roughly as (n/q)^{(d - d_easy)/2}, and one could verify this on structured instances such as 2->4 norms of tall matrices.
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Editorial analysis

A structured set of objections, weighed in public.

Desk editor's note, referee report, and a circularity audit.

Referee Report

1 major / 5 minor

Summary. The thesis studies convex optimization hierarchies for three problems. Chapter 2 proves that a (c,s) integrality gap for the basic LP relaxation of any MAX k-CSP(f) can be lifted to a (c-ε,s+ε) integrality gap for Ω(log N / log log N) levels of the Sherali-Adams hierarchy, and via [KMR17] yields super-polynomial lower bounds for LP extended formulations. The proof constructs a random blown-up instance from the basic LP gap and uses local ℓ2-embeddable metrics to build consistent partitioning schemes. Chapter 3 studies approximating the maximum absolute value of a homogeneous polynomial over the unit sphere, proving level-q SoS tradeoffs for arbitrary, non-negative-coefficient, and sparse polynomials, as well as lower bounds for non-negative coefficients. Chapter 4 studies p→q matrix norms, giving hardness results for hypercontractive norms under a quasi-polynomial derandomization assumption and approximation algorithms for p ≥ q ≥ 2 cases. The thesis is generally detailed and mostly self-contained, though a few load-bearing steps are compressed.

Significance. If the results hold as stated, the CSP lifting theorem is a strong and elegant dichotomy: it says that a basic LP gap already captures the worst-case approximation behavior of super-constant-level Sherali-Adams relaxations for every predicate, with consequences for extended formulation lower bounds. The polynomial optimization results provide explicit level-vs-approximation tradeoffs and, notably, algorithms that do not solve the SDP; the non-negative-coefficient lower bound gives a polynomial integrality gap. The matrix norm results contribute the first hardness evidence for hypercontractive norms under a standard derandomization assumption and near-tight algorithms in the p ≥ q regime. The proofs are mostly constructive and detailed, and the use of geometry (ℓ2 embeddings, convex body diameter estimation, Banach space factorization) is coherent and well motivated.

major comments (1)
  1. [§2.5, Lemma 2.5.3 and Claim 2.5.5] The proof of Lemma 2.5.3 asserts, in one sentence, that for T ⊆ S the chosen ℓ2 embeddings W_S and W_T are nested up to a unitary transformation 'by the rigidity of ℓ2'. This is the only step that turns the per-set embeddings guaranteed by Theorem 2.3.5 into a coherent family of embeddings, and the consistency of the entire partitioning scheme (and hence of the Sherali-Adams solution in Lemma 2.6.4) depends on it. The assertion is not immediate from Theorem 2.3.5, which only says that each small set has some isometric embedding. The statement is nevertheless true for finite subsets of a Hilbert space: the isometry between the two copies of T extends to an orthogonal map of the ambient space, so adding a short proof (or a precise reference) is sufficient. As written, the manuscript leaves a load-bearing step unjustified and should be revised to include that argument.
minor comments (5)
  1. [§2.2.2, Fig. 2.1] The objective in the level-t Sherali-Adams LP is printed as f(α·b_C); it should presumably be f(α+b_C), consistent with the surrounding text and Fig. 2.2.
  2. [§2.5, Lemma 2.5.3 proof] The sentence 'for any S⊆T' appears to have the inclusion backwards; the subsequent use requires T⊆S. Please fix.
  3. [§3.2.1, Ineq. (3.6)] The overview says that the strengthening of Ineq. (3.5) to Ineq. (3.6) is shown in [BGG+17], but a proof appears later in §3.4.1 as Lemma 3.4.2. Please add a cross-reference to the in-manuscript proof to avoid the impression that a central step is deferred to an external full version.
  4. [§2.6.4, Lemma 2.6.4] The consistency step uses D_{𝒞(U_i)}|𝒞(V_i) = D_{𝒞(V_i)} by Lemma 2.6.3. This requires noting that 𝒞(V_i) is indeed a subtree of 𝒞(U_i) when V_i ⊆ U_i; the monotonicity of the closure operator makes this true, but it should be stated explicitly.
  5. [Throughout] There are several typographical and wording issues: 'for infinitely may N' in Theorem 2.6.7, 'we refer this difference as' in the introduction, and 'no random polynomial can approximate' in §3.6. A careful proofreading pass is needed.

Circularity Check

0 steps flagged · score 0.0 of 10

No circular derivation: the main claims are symbolic consequences of stated assumptions; the flagged gaps are correctness/completeness issues, not tautologies.

full rationale

I walked the three main derivation chains and found no step in which a claimed prediction or first-principles result is equivalent, by construction or by fitted parameter, to its own input. CSP thread (Theorem 2.1.1): The proof assumes a (c,s) basic-LP gap instance Phi0 and constructs a random instance whose SA_t solution is built directly from the assumed LP solution via tree propagation and a consistent partitioning scheme. Soundness uses OPT(Phi0)<s, completeness uses the LP solution as the starting point; the level-t solution is not the same object as the theorem's conclusion. The only real weakness is Lemma 2.5.3's assertion 'by the rigidity of ℓ2 we have that φ(W_T)⊆W_S', which is not proved and is not implied by the local embeddability theorem. That is a correctness/completeness gap, not a circular reduction: the conclusion does not follow by definition from the assumption, and the paper does not fit any parameter to force it. Polynomial optimization thread (Theorems 3.1.1, 3.4.15, 3.5.7, 3.5.8): The algorithms do not solve the SoS SDP; Λ(f^{q/d}) is used only as an analysis benchmark. The upper bounds on Λ(·) relative to ∥f∥∞ are obtained from inequalities such as Gershgorin, Perron-Frobenius, weak decoupling, and the folded-polynomial analogues. No constant is fitted to the target quantity; the approximation factors are derived symbolically from degree, sparsity, and q. The fact that the algorithm's guarantee is stated relative to the SoS optimum is an honest comparison, not a case of predicting a fitted value. Matrix-norm thread (Chapter 4): Hardness is proved under explicit derandomization assumptions (NP ⊄ BPTIME(2^{(log n)^{O(1)}})), and the approximation ratios use known constants from Gaussian projection/Hölder duals. No parameter is fitted from the claimed hardness value. Self-citations: The thesis defers some central inequalities to the companion full version [BGG+17], e.g. 'We show (see [BGG+17]) Λ(g) ≤ ...' (Section 3.2.1) and 'Implicit in our work (see [BGG+17]) is Theorem 3.2.2' (Section 3.2.2). These are completeness issues (omitted proofs) and self-references, but they are not load-bearing circular arguments: the cited inequalities are not asserted to be the same as the theorems being proved, and no uniqueness theorem from the same authors is used to forbid alternatives. Per the hard rules, self-citation alone is not circularity. Overall, no step reduces to its input by construction, so the circularity score is 0.

Assumptions & free parameters 3 free parameters · 5 assumptions · 4 invented entities

The central claims rest on known theorems from metric geometry, SoS/SDP theory, and Banach space embeddings, plus one explicit quasi-polynomial complexity assumption. The proof-specific constructions are technical devices rather than fitted empirical parameters or postulated physical entities.

free parameters (3)
  • Constraint density gamma in gap construction = O((log q)/epsilon^2)
    Chosen in Lemmas 2.6.1 and 2.6.2 to make the soundness and basic-LP completeness arguments go through with the desired epsilon loss.
  • Partition scale mu and set-size t = mu = 2c log log n / log n, t about epsilon^2/(400 k^2 mu)
    Set in Lemma 2.6.4 to keep edge-cut probability below epsilon/2 while preserving t = Omega(log n/log log n).
  • Random graph density p for lower-bound polynomial = p = n^{-1/3}
    Chosen in Section 3.7 so that the 4-clique polynomial gives the stated n^{1/6} gap between ||f||_inf and Lambda(f).
assumptions (5)
  • standard math Local l2 embeddability theorem for l-path decomposable graphs (Theorem 2.4.10, from [CMM09])
    Used to prove Theorem 2.3.5 about local l2 embeddability of the metric rho_mu on random hypergraphs. The theorem is cited, not reproved in full.
  • standard math Separating decomposition theorem for finite subsets of l2 (Theorem 2.5.4, from [CCG+98])
    Used to construct consistent partitioning schemes in Section 2.5. The consistency modification is argued in Claim 2.5.5.
  • standard math Strong duality and SoS certificate characterization for sphere-constrained polynomial programs
    Invoked in Section 3.3 to justify that Lambda(f) equals the SoS SDP optimum and to prove Lemma 3.3.2. Based on standard SoS/SDP theory [Lau09, OZ13].
  • standard math Banach space embedding and factorization results, including approximate isometries and Grothendieck-type constants gamma_p*
    Used in Chapter 4 for both hardness reductions and the p-to-q rounding algorithm. The thesis relies on prior embedding theorems rather than proving them.
  • domain assumption Quasi-polynomial derandomization assumption NP not subset BPTIME(2^{(log n)^{O(1)}})
    Assumed in the hypercontractive matrix norm hardness result. This is not standard P != NP and is a load-bearing complexity assumption for the headline hardness claim.
invented entities (4)
  • Consistent partitioning schemes
    purpose: Build Sherali-Adams local distributions without paying exponential consistency cost
    Definition 2.5.1. A technical proof device, not an independently testable physical entity.
  • Folded polynomials
    purpose: Exploit easy substructures such as quadratics inside higher-degree polynomial optimization
    Introduced in Sections 3.2.2 and 3.5 to improve SoS approximation factors. A definitional device with no external empirical handle.
  • Holder-dual Gaussian rounding
    purpose: Round lp-bounded vectors arising from convex relaxations for p-to-q norms
    Introduced in Section 4.5.2 as a generalization of random hyperplane rounding. Validated only through the analysis in the thesis.
  • Tetris theorem decomposition
    purpose: Lift low-degree spectral lower bounds to higher levels of the spectral norm hierarchy
    Stated in Section 3.8.2 as a structural matrix decomposition. A mathematical tool, not an empirical entity.

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Pith. "Pith review of Some Applications and Limitations of Convex Optimization Hierarchies for Discrete and Continuous Optimization Problems." pith.science (2026). https://pith.science/paper/DHKZB3Z7

@misc{pith2026250821327,
  author       = {Pith},
  title        = {Pith review of: Some Applications and Limitations of Convex Optimization Hierarchies for Discrete and Continuous Optimization Problems},
  year         = {2026},
  howpublished = {\url{https://pith.science/paper/DHKZB3Z7}},
  note         = {Machine review of arXiv:2508.21327}
}
abstract

This thesis explores algorithmic applications and limitations of convex relaxation hierarchies for approximating some discrete and continuous optimization problems. - We show a dichotomy of approximability of constraint satisfaction problems (CSPs) by linear programming (LP) relaxations: for every CSP, the approximation obtained by a basic LP relaxation, is no weaker than the approximation obtained using relaxations given by super-constant levels of the Sherali-Adams hierarchy on instances of size $n$. - For the problem of approximating the absolute maximum of an n-variate degree-d homogeneous polynomial f with real coefficients over the unit sphere, we analyze the optimum value of the level-t sum-of-squares (SoS) SDP relaxation of the problem. Our results offer a trade-off between the approximation ratio and running time, which can take advantage of additional structure in the polynomial, such as non-negativity or sparsity of the coefficients. - We study the problem of approximating the $p \to q$-norm of a matrix $A$, and prove the first NP-hardness result for approximating norms in the hypercontractive case $1< p < q < \infty$. We also prove almost tight algorithmic results for the case when $p \geq q$ (with $2 \in [q,p]$) where constant factor approximations for the matrix norms are possible. A common theme for these results is their connection to geometry. For the discrete optimization problem of CSP, geometry appears as a crucial tool for our lower bound proof. For the problem of polynomial optimization, we show that SDPs capture and extend earlier algorithms based on diameter estimation for convex bodies. For the matrix (operator) norm problem, the definition itself is geometric in nature and embedding theorems play a crucial role in our proofs.

Figures

Figures reproduced from arXiv: 2508.21327 by the authors.

Figure 2.1
Figure 2.1. Level-𝑡 Sherali-Adams LP for MAX k-CSP𝑞 (𝑓 ) on assignments that maximize expected satisfied constraint. Note that this, in itself, does not relax the problem as we can sample an assignment form the optimal distribution to get an opti￾mal assignment (the optimal distribution may be supported on one assignment). The relaxation happens by looking at the collection of “local distributions” with consistency constraints … view at source ↗
Figure 2
Figure 2. [PITH_FULL_IMAGE:figures/full_fig_p019_2.png] view at source ↗
Figure 2.2
Figure 2.2. Basic LP relaxation for MAX k-CSP𝑞 (𝑓 ) The main theorem we prove concerning the hardness of MAX k-CSP𝑞 in two different LP relax￾ations above: Theorem 2.1.1. Let 𝑓 : [𝑞] 𝑘 → {0, 1} be any predicate. Let Φ0 be a (𝑐, 𝑠) integrality gap instance for basic LP relaxation of MAX k-CSP (𝑓 ). Then for every 𝜀 > 0, there exists 𝑐𝜀 > 0 such that for infinitely many 𝑁 ∈ N, there exist (𝑐 − 𝜀, 𝑠 + 𝜀) integrality gap instances … view at source ↗
Figures from the paper (14 more)
Figure 2
Figure 2. Figure 2 [PITH_FULL_IMAGE:figures/full_fig_p035_2.png]
Figure 2.3
Figure 2.3. Figure 2.3: Construction of the gap instance Φ Soundness We first prove that no assignment satisfies more than 𝑠 + 𝜀 fraction of constraints for the above instance. Lemma 2.6.1. For every 𝜀 > 0, there exists 𝛾 = 𝛾(𝜀, 𝑛0, 𝑞) such that for an instance Φ generated by choosing at le…
Figure 2
Figure 2. Figure 2 [PITH_FULL_IMAGE:figures/full_fig_p044_2.png]
Figure 2.4
Figure 2.4. Figure 2.4: Sherali-Adams integrality gap instance for vanishing measure They show for a sufficiently large constant 𝛾, an instance Φ with 𝑚 = 𝛾 · 𝑛 constraints sat￾isfies with high probability, that for all assignments 𝜎, |satΦ(𝜎) − 𝜌(𝑓 )| ≤ 𝜀 (see Lemma 4.4 in [KTW14]). The pr…
Figure 2
Figure 2. Figure 2 [PITH_FULL_IMAGE:figures/full_fig_p045_2.png]
Figure 3
Figure 3. Figure 3 [PITH_FULL_IMAGE:figures/full_fig_p068_3.png]
Figure 3.1
Figure 3.1. Figure 3.1: Primal and dual forms for the relaxation computing Λ (𝑓 ) Primal ∥ 𝑓 ∥sp def = inf n ∥𝑀∥2 | 𝑀 ∈ S𝑛 𝑑/2 , (𝑥 ⊗𝑑/2 ) 𝑇 · 𝑀 · 𝑥 ⊗𝑑/2 = 𝑓 (𝑥) ∀𝑥 ∈ R 𝑛 o Dual maximize [PITH_FULL_IMAGE:figures/full_fig_p069_3_1.png]
Figure 3.2
Figure 3.2. Figure 3.2: Primal and dual forms for the relaxation computing ∥ 𝑓 ∥sp Properties of Relaxations Obtained from Constrained Pseudoexpectations We use the following claim, which is an easy consequence of the fact that the sum-of-squares algorithm can produce a certificate of optim…
Figure 4
Figure 4. Figure 4 [PITH_FULL_IMAGE:figures/full_fig_p119_4.png]
Figure 4.1
Figure 4.1. Figure 4.1: Upper and lower bounds for approximating ∥𝐴∥𝑝→𝑞. Arrows indicate the re￾gion to which a boundary belongs and thicker shaded regions represent exact algorithms. Our results are indicated by [∗]. We omit UGC-based hardness results in the figure. 111 [PITH_FULL_IMAGE:f…
Figure 4.2
Figure 4.2. Figure 4.2: A comparison of the bounds for approximating 𝑝 → 𝑝 ∗ obtained from Krivine’s rounding for 𝐾𝐺, Steinberg’s analysis, and our bound. While our analysis yields an improved bound for 4 ≤ 𝑝 ≤ 66, we believe that the rounding algorithm achieves an improved bound for all 𝑝.…
Figure 4.3
Figure 4.3. Figure 4.3: The relaxation CP(𝐴) for approximating 𝑝 → 𝑞 of a matrix 𝐴 ∈ R 𝑚×𝑛 . Next, we recall the relaxation due to Nesterov [Nes98]: Note that since 𝑞 ∗ ≥ 2 and 𝑝 ≥ 2, the above program is convex in the entries of the Gram matrix of the vectors  𝑢 𝑖 [PITH_FULL_IMAGE:figure…
Figure 4
Figure 4. Figure 4 [PITH_FULL_IMAGE:figures/full_fig_p173_4.png]
Figure 4.4
Figure 4.4. Figure 4.4: The Contour 𝑃(𝛼, 𝜀) Proof: For a contour 𝑃, we define 𝑉(𝑃) as 𝑉(𝑃) := 2 𝜋𝑘 ℑ ∫ 𝑃 𝑓 + 𝑎, 𝑏(𝑧) −𝑘 𝑑𝑧 As is evident from the integral representation, 𝑓 + 𝑎, 𝑏(𝑧) is purely imaginary if 𝑧 is purely imaginary, and as is evident from the power series, 𝑓𝑎, 𝑏(𝑧) is purely …

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