Abstract 1 Introduction 2 Preliminaries 3 Technical overview 4 Approximation algorithms for general graphs References

On (In)approximability of MaxMin Independent Set Reconfiguration

Hung P. Hoang ORCID Algorithms and Complexity Group, Faculty of Informatics, TU Wien, Austria    Naoto Ohsaka ORCID CyberAgent, Inc., Tokyo, Japan    Rin Saito ORCID Graduate School of Information Sciences, Tohoku University, Sendai, Japan    Yuma Tamura ORCID Graduate School of Information Sciences, Tohoku University, Sendai, Japan
Abstract

In the Independent Set Reconfiguration problem under the Token Addition/Removal rule, given a graph G and two independent sets I and J of G, we want to transform I into J by adding and removing vertices, such that all the sets throughout the process are independent sets. Its approximate version called MaxMin Independent Set Reconfiguration aims to maximise the minimum size of the independent sets in the process above. We study the (in)approximability of this problem for general graphs as well as restricted graph classes. Firstly, on general graphs, we obtain a polynomial-time (n/logn)-factor approximation algorithm, complementing the 𝖯𝖲𝖯𝖠𝖢𝖤-hardness of nΩ(1)-factor approximation due to Hirahara and Ohsaka [STOC 2024, ICALP 2024] and the 𝖭𝖯-hardness of n1ε-factor approximation due to Ito, Demaine, Harvey, Papadimitriou, Sideri, Uehara, and Uno [TCS 2011]. Secondly, we present a polynomial-time approximation algorithm for degenerate graphs as well as 𝖥𝖯𝖳-approximation schemes for bounded-treewidth graphs and H-minor-free graphs. Lastly, we extend the above inapproximability results to bounded-degree graphs, graphs of bandwidth n12+Θ(1), and bipartite graphs.

Keywords and phrases:
Combinatorial reconfiguration, independent set, approximation algorithms
Category:
Track A: Algorithms, Complexity and Games
Funding:
Hung P. Hoang: Austrian Science Foundation (FWF, projects 10.55776/Y1329 and ESP1136425).
Rin Saito: JST SPRING Grant Number JPMJSP2114.
Yuma Tamura: JSPS KAKENHI Grant Number JP25K21148.
Copyright and License:
[Uncaptioned image] © Hung P. Hoang, Naoto Ohsaka, Rin Saito, and Yuma Tamura; licensed under Creative Commons License CC-BY 4.0
2012 ACM Subject Classification:
Theory of computation Approximation algorithms analysis
; Theory of computation Problems, reductions and completeness
Related Version:
Full Version: https://arxiv.org/abs/2604.26714 [28]
Acknowledgements:
This work was initiated at the 5th Combinatorial Reconfiguration Workshop (CoRe 2024) in Fukuoka, Japan, in October 2024. We would like to thank the organisers and participants for the inspiring atmosphere. We wish to thank Shuichi Hirahara for helpful conversations. We are also grateful to the anonymous referees for their helpful comments, in particular for pointing out the reference [6], which removes the Unique Games Conjecture assumption in [4].
Editors:
Sayan Bhattacharya, Danupon Nanongkai, Michael Benedikt, and Gabriele Puppis

1 Introduction

Many combinatorial problems require solutions to be updated over time rather than recomputed from scratch. In such scenarios, intermediate solutions have to stay feasible, as abrupt changes are considered undesirable or impossible. This perspective is formalised by the framework of combinatorial reconfiguration, which studies step-by-step transformations between feasible solutions of a combinatorial problem, which is referred to as the source problem. Each transformation must follow prescribed reconfiguration rules and feasibility must be preserved throughout the entire sequence.

Independent Set Reconfiguration (ISR) [21, 22, 32] is a well-studied reconfiguration problem. The source problem of ISR is Independent Set; i.e., the feasible solutions are the independent sets of a graph G.111An independent set is defined as a subset of vertices such that no two vertices are adjacent. There are three popular reconfiguration rules, where we view an independent set as tokens placed on the vertices of G, described as follows: (1) Under the Token Jumping rule [32], we may move one token from any vertex to any other vertex. (2) Under the Token Sliding rule [21, 22], we can only move a token along an edge of G. (3) Under the Token Addition/Removal rule [30], we may add or remove a single token at each step, provided that the resulting independent set has size at least a given threshold. Note that we can only apply a reconfiguration rule to transform an independent set to another independent set; that is, we can only transform between feasible solutions.

The common task is to decide if there exists a sequence to transform between two given independent sets Iini and Itar using one of the rules above. Such a sequence of independent sets is called a reconfiguration sequence. For each of the three rules, ISR is 𝖯𝖲𝖯𝖠𝖢𝖤-complete [21, 22, 30, 32], even for planar graphs of bounded bandwidth [46, 47]. On bipartite graphs, ISR is 𝖯𝖲𝖯𝖠𝖢𝖤-complete for the Token Sliding rule, while it is 𝖭𝖯-complete for the other two rules [33].

In order to circumvent this hardness, a common method is to analyse the problem under the framework of parameterised complexity [11]. This paradigm aims to confine the intractability of a problem to certain well-defined parameters of the input, allowing efficient algorithms when these parameters are small. For an overview on the parameterised complexity of ISR, see Section 1.3 and the recent survey [10].

Another approach involves approximation algorithms, which trade off optimality for improved running time. We note that, although approximability of reconfiguration problems often refers to that of the shortest reconfiguration sequence, e.g., [23, 36, 48], approximating the shortest reconfiguration sequence length for ISR is at least as hard as solving ISR itself.222The shortest length for a YES-instance of ISR is at most 2n, while for a NO-instance, the shortest length can be thought of as infinite since no feasible reconfiguration sequence exists. Therefore, any approximation algorithm for the shortest reconfiguration sequence can distinguish between YES and NO instances of ISR. In this paper, we study an approximate version of ISR, the so-called MaxMin Independent Set Reconfiguration (MMISR) [30], defined as follows: Given a pair of independent sets Iini and Itar of a graph G, we want to transform Iini into Itar with the goal of maximising the minimum size of the independent sets in this sequence. This problem is only meaningful under the Token Addition/Removal rule, and further, to make sure it is always a YES-instance, the minimum size threshold is set to zero. See Section 2 for a formal definition of the problem.

We review known results on the approximability of MMISR. It is 𝖭𝖯-hard to approximate MMISR on n-vertex graphs within an n1ε-factor for any ε>0 [30, 49]. Ohsaka [38] showed the 𝖯𝖲𝖯𝖠𝖢𝖤-hardness of constant-factor approximation for graphs of maximum degree 3, and Hirahara and Ohsaka [24, 25] showed the 𝖯𝖲𝖯𝖠𝖢𝖤-hardness of nΩ(1)-factor approximation for general graphs on n vertices and the 𝖯𝖲𝖯𝖠𝖢𝖤-hardness of ΔΩ(1)-factor approximation for graphs of maximum degree Δ. Despite these strong hardness of approximation results, to the best of our knowledge, no approximation algorithm for MMISR is currently known. See Section 1.3 for existing results on approximability of MMISR.

1.1 Contributions

In this paper, we investigate both approximation algorithms and inapproximability for MMISR. See Tables 1 and 2 for summaries of the algorithmic and hardness results, respectively. Note that all our algorithms also output a reconfiguration sequence rather than just the size of the smallest set.

Table 1: Summary of our algorithmic results. Here, n is the number of vertices in the graph, φ=min{|Iini|,|Itar|}, ε is an arbitrary positive real, and f is some computable function. Note that the first algorithm for bounded-treewidth graphs runs in polynomial time, provided that a tree decomposition of width k is given.
Class of graphs Factor Run time Reference
General n/logn nO(1) Theorem 3.1
Degeneracy k k nO(1) Theorem 3.2
Treewidth k φφO(klogφ) nO(1) Theorem 3.3
Treewidth k 1+ε f(k,ε)nO(1) Theorem 3.4
H-minor-free 1+ε f(|V(H)|,ε)nO(1) Theorem 3.5

Approximation algorithms.

Our first contribution is an (n/logn)-factor polynomial-time approximation algorithm for MMISR on general n-vertex graphs (Theorem 3.1). This is the first non-trivial approximation algorithm for MMISR, and complements the 𝖭𝖯-hardness of n1ε-factor approximation [30, 49].

Figure 1: Relationships between some parameters in this paper. An arrow from a parameter A to a parameter B indicates that if A is bounded, then B is also bounded. See Section 2 for the definitions of these graph classes.

Our next contribution is to develop approximation algorithms for MMISR on special graph classes, by leveraging techniques from parameterised complexity. See Figure 1 for the relationships between graph parameters examined in this paper and Section 2 for the formal definitions of these parameters. First, we show a polynomial-time algorithm for k-degenerate graphs whose approximation factor is k (Theorem 3.2).

Second, for graphs of treewidth at most k, we show a polynomial-time approximation algorithm for MMISR whose approximation factor is φφO(klogφ), where φ is the input independent set size (Theorem 3.3), assuming that a tree decomposition of width k is given as input. As an application of this algorithm, we show an 𝖥𝖯𝖳-approximation scheme (FPT-AS) parameterised by treewidth k (Theorem 3.4); i.e., for every ε>0, there exists a (1+ε)-factor approximation algorithm that runs in time f(k,ε)nO(1) for some computable function f. Our FPT-AS is obtained by combining Theorem 3.3 with an 𝖥𝖯𝖳 algorithm for MMISR, which is based on [1, 32]. Note that an FPT-AS implies an efficient polynomial-time approximation scheme (EPTAS) for each fixed k.333This is stronger than Theorem 3.2, which implies an O(k)-factor approximation algorithm since the degeneracy is bounded by the treewidth.

Third, we show an FPT-AS for H-minor-free graphs parameterised by the size of H (Theorem 3.5). H-minor-free graphs form a subclass of bounded-degeneracy graphs [45] and include planar graphs and bounded-genus graphs. Specifically, for every ε>0 and for graphs that exclude a fixed graph H as a minor, there exists a (1+ε)-factor approximation algorithm that runs in time f(|V(H)|,ε)nO(1) for some computable function f.

Inapproximability results.

Our last contribution is that we establish inapproximability results for MMISR on restricted graph classes. Specifically, we first prove the 𝖭𝖯-hardness of Θ(Δ)-factor approximation for graphs of maximum degree Δ (Theorem 3.7). This hardness result is quantitatively stronger than the 𝖯𝖲𝖯𝖠𝖢𝖤-hardness of Δε0-factor approximation [24], where ε0 may be extremely small (e.g., ε0=0.001). Then, we prove the 𝖭𝖯-hardness of Θ(n4δ2ε)-factor approximation for n-vertex graphs of bandwidth O(n12+δ), where δ(0,12) is a positive real and ε is any small positive real (Theorem 3.8). This result means that for graphs of bandwidth, treewidth, and degeneracy n12+Θ(1), MMISR cannot be approximated within a polynomial factor in polynomial time unless 𝖯=𝖭𝖯. Finally, we prove that MMISR on n-vertex bipartite graphs cannot be approximated within a factor of n1ε for any ε>0, assuming the Small Set Expansion Hypothesis (SSEH) [44] and 𝖭𝖯𝖡𝖯𝖯 (Theorem 3.9). Therefore, MMISR on bipartite graphs is as hard as on general graphs with respect to the approximation factor.

Table 2: Summary of inapproximability results for MMISR, where n is the number of vertices in the graph, δ(0,12) is any positive real, and ε is any small positive real. These hardness results exclude polynomial-time approximation algorithms for MMISR on each graph class under a particular hypothesis.
Class of graphs Factor Assumptions Reference
General n1ε 𝖭𝖯𝖯 [30, 49]
General nΩ(1) 𝖯𝖲𝖯𝖠𝖢𝖤𝖯 [25]
Maximum degree Δ ΔΩ(1) 𝖯𝖲𝖯𝖠𝖢𝖤𝖯 [24]
Maximum degree Δ Θ(Δ) 𝖭𝖯𝖯 Theorem 3.7
Bandwidth O(n12+δ) Θ(n4δ2ε) 𝖭𝖯𝖯 Theorem 3.8
Bipartite n1ε SSEH, 𝖭𝖯𝖡𝖯𝖯 Theorem 3.9

Discussions.

A natural question is whether our (n/logn)-approximation can be improved by applying stronger static approximation algorithms for Maximum Independence Set (MIS) on general graphs (see an overview in Section 1.3 below). We do not know how to do this in a black-box manner. The main obstacle is that MMISR requires not just one large independent set but a reconfiguration sequence where every independent set is large throughout. By contrast, an approximation algorithm for MIS only returns a single large independent set, and it is not clear how to connect it with the prescribed initial and target sets such that all the independent sets throughout the reconfiguration process remain large. Therefore, improving the approximation factor for MMISR seems to require techniques that are aware of the reconfiguration rules.

Next, we compare our algorithmic and hardness results. Since the degeneracy is bounded by the maximum degree, Theorems 3.2 and 3.7 imply that the optimal approximation factor for MMISR on graphs of degeneracy k lies between Θ(k) and Θ(k). Since the treewidth is bounded by the bandwidth, Theorems 3.4 and 3.8 imply that MMISR on graphs of treewidth k admits an EPTAS if k=O(1), while does not have a polynomial-factor approximation algorithm if k=n12+Θ(1). An immediate open question is thus if there exists an (E)PTAS for MMISR on graphs of superconstant treewidth k (e.g., k=logn).

1.2 Organisation

The rest of this paper is organised as follows. In Section 1.3, we review related work. In Section 2, we formally define the MMISR problem and introduce related notions. In Section 3, we present technical overviews of our results. In Section 4, we develop an nlogn-factor approximation algorithm for MMISR (Theorem 3.1). The approximation algorithms and inapproximability results for MMISR on restricted graph classes are deferred to the full version [28] due to space constraint.

1.3 Related work

Parameterised complexity of Independent Set Reconfiguration.

The parameterised complexity of Independent Set Reconfiguration under the Token Jumping rule (ISR-TJ) is well-studied with respect to the independent set size k. On general graphs, ISR-TJ is known to be 𝖶[1]-hard [31, 37] and 𝖷𝖫-complete [8]. As with the classical Independent Set problem, FPT algorithms for ISR-TJ have been developed for several sparse graph classes. Specifically, Bousquet, Mary and Parreau [9] showed that the problem is fixed-parameter tractable on biclique-free graphs, a wide class that encompasses planar graphs, bounded-degeneracy graphs, and nowhere dense graphs. For a comprehensive review of these and related results, we refer the reader to the recent survey by Bousquet, Mouawad, Nishimura and Siebertz [10].

Approximability of MMISR and other reconfiguration problems.

For a reconfiguration problem, its approximate version allows to use infeasible solutions, but requires optimising the “worst” feasibility along the reconfiguration sequence. Ito, Demaine, Harvey, Papadimitriou, Sideri, Uehara, and Uno [30] showed that approximate versions of Independent Set Reconfiguration and SAT Reconfiguration are 𝖭𝖯-hard to approximate. Note that the reduction in [30] along with the inapproximability results of Maximum Independent Set due to Håstad [20] and Zuckerman [49] implies the 𝖭𝖯-hardness of n1ε-approximation for any ε>0. 𝖯𝖲𝖯𝖠𝖢𝖤-hardness of approximation for reconfiguration problems was posed as an open problem by [30]. Ohsaka [38] postulated a reconfiguration analogue of the PCP theorem [2, 3], called the Reconfiguration Inapproximability Hypothesis (RIH), and proved that assuming RIH, approximate versions of several reconfiguration problems are 𝖯𝖲𝖯𝖠𝖢𝖤-hard to approximate, including MMISR. Recently, Hirahara and Ohsaka [25] and Guruswami, Karthik C. S., Manurangsi, Ren, and Wu [16] independently gave a proof of RIH, thereby resolving the open problem of [30] affirmatively. Ohsaka [42] also gave an alternative proof of RIH.

Since the resolution of RIH, the following results have been obtained on the hardness of approximating MMISR: Ohsaka [38] showed that MMISR on graphs of maximum degree 3 is 𝖯𝖲𝖯𝖠𝖢𝖤-hard to approximate within a constant factor. Hirahara and Ohsaka showed that MMISR on n-vertex graphs is 𝖯𝖲𝖯𝖠𝖢𝖤-hard to approximate within a factor of nΩ(1) [25], and MMISR on graphs of maximum degree Δ is 𝖯𝖲𝖯𝖠𝖢𝖤-hard to approximate within a factor of ΔΩ(1) [24, Theorem 3.4]. In this paper, we improve the known inapproximability factors for MMISR quantitatively.

Approximation algorithms and inapproximability results have also been studied for other reconfiguration problems, including 2-CSP Reconfiguration [16, 39, 40, 41], Set Cover Reconfiguration [16, 24], k-Colouring Reconfiguration [27], k-SAT Reconfiguration [26], Subset Sum Reconfiguration [29], and Submodular Reconfiguration [43].

Approximability of Maximum Independent Set.

For the classical Maximum Independent Set (MIS) problem, it is 𝖭𝖯-hard to approximate within a factor of n1ε for any ε>0 [20, 49], while the best algorithm by Feige [14] achieves the approximation factor of O(n(loglogn)2(logn)3). For graphs with maximum degree Δ, it is hard to approximate within a factor of O(Δ(logΔ)2) [6], while there exists O(ΔloglogΔlogΔ)-approximation algorithm [19]. On planar graphs, Baker [5] showed a PTAS, and this has later been generalised into a PTAS for H-minor-free graphs [12].

Parameterised approximation schemes.

𝖥𝖯𝖳-approximation schemes are a common approach in parameterised approximation, which combines the techniques from parameterised complexity and approximation in order to overcome the hardness in both paradigms. See the surveys by Marx [35] and by Feldmann, Karthik C. S., Lee, and Manurangsi [15].

2 Preliminaries

For a positive integer n, we write [n]{1,2,,n}. For a graph G, we denote its vertex and edge sets by V(G) and E(G), respectively. For a subset XV(G), we denote by G[X] the induced subgraph of G on X. The independence number of G, denoted by α(G), is the size of a maximum independent set of G. In this paper, unless otherwise stated, we assume that α(G)>1 (i.e., G is not a complete graph).

For two independent sets Iini and Itar of a graph G, a reconfiguration sequence from Iini to Itar is a sequence (Iini=I(0),I(1),,I(t)=Itar) such that for i[t], I(i) is an independent set of G, and either I(i1)I(i) or I(i1)I(i).444The Token Addition/Removal rule in Section 1 only allows adding or removing a single vertex at each step. However, as the length of the reconfiguration sequence plays no role in our optimisation problem, we use a slightly relaxed but equivalent formulation of this rule. We also call it an (Iini,Itar)-reconfiguration sequence. Unless otherwise stated, we assume that Iini and Itar are distinct. For a reconfiguration sequence 𝒮 of G, we define its value as

𝗏𝖺𝗅G(𝒮)minI𝒮|I|.
MaxMin Independent Set Reconfiguration (MMISR)
Input: A graph G and two independent sets Iini and Itar
Output: The maximum value of 𝗏𝖺𝗅G(𝒮) among all (Iini,Itar)-reconfiguration sequences

We denote by 𝗈𝗉𝗍G(IiniItar) the optimal value of MMISR.

Parameterised complexity.

In parameterised complexity [11, 13], the complexity of a problem is studied not only with respect to the input size, but also with respect to some problem parameter(s). The core idea behind parameterised complexity is that the combinatorial explosion resulting from the 𝖭𝖯-hardness of a problem can sometimes be confined to certain structural parameters that are small in practical settings.

Formally, a parameterised problem Q is a subset of Ω×, where Ω is a fixed alphabet. Each instance of Q is a pair (x,κ), where κ is called the parameter. A parameterised problem Q is fixed-parameter tractable (𝖥𝖯𝖳) if there is an algorithm, called a fixed-parameter algorithm, that decides whether an input (x,κ) is a member of Q in time f(κ)|x|O(1), where f is a computable function and |x| is the input instance size. The class 𝖥𝖯𝖳 denotes the class of all fixed-parameter tractable parameterised problems.

Extending this notion to optimisation, an 𝖥𝖯𝖳-approximation scheme (FPT-AS) for a parameterised problem is an algorithm that, given an instance (x,k) and an error parameter ε>0, computes a (1+ε)-approximate solution in f(k,ε)|x|O(1) time.

Bandwidth.

For a graph G, its bandwidth bw(G) is defined as

bw(G)=minσmaxuvE(G)|σ(u)σ(v)|,

where the minimum is taken over all bijections σ:V(G)[|V(G)|].

Degeneracy.

A graph G is d-degenerate if every subgraph of G contains a vertex of degree at most d. The degeneracy of G is the smallest value of d such that G is d-degenerate.

Treewidth.

A tree decomposition of a graph G=(V,E) is a pair (T,{Xi}iVT), where T=(VT,ET) is a tree and each Xi (called a bag) is a subset of V, satisfying the following three conditions:

  1. 1.

    iVTXi=V;

  2. 2.

    for each edge uvE, there exists at least one bag Xi that contains both u and v; and

  3. 3.

    for each vertex vV, the set {iVTvXi} induces a connected subtree of T.

The width of a tree decomposition (T,{Xi}iVT) is defined as maxiVT|Xi|1. The treewidth of a graph G, denoted by tw(G), is the minimum width among all tree decompositions of G.

𝑯-minor-free graphs.

For an edge e=uv of G, let G/e denote the graph obtained by contracting e, i.e., identifying u and v and subsequently removing all loops and parallel edges. A graph H is a minor of G if H can be obtained from G by a sequence of vertex deletions, edge deletions, and edge contractions. We say that G is H-minor-free if it does not contain H as a minor.

3 Technical overview

We provide an overview of the approximation algorithms as well as the proofs of the inapproximability results. Throughout this subsection, let G be a graph, and Iini,Itar be two independent sets of G.

3.1 Approximation algorithms

General graphs.

Our main result for general graphs is as follows.

Theorem 3.1.

There exists a polynomial-time algorithm that, given an n-vertex graph G and two independent sets Iini and Itar of G, outputs an (Iini,Itar)-reconfiguration sequence satisfying

𝗏𝖺𝗅G()lognn𝗈𝗉𝗍G(IiniItar).

To obtain an (n/logn)-factor approximation algorithm, we introduce the notion of a γ-sequence for a nonnegative integer γ. Given an instance (G,Iini,Itar) of MMISR, a γ-sequence 𝒮=(I(1),I(2),,I(t)) is a sequence of independent sets of size at least γ such that the following procedure yields a reconfiguration sequence from Iini to Itar. (1) Remove vertices from Iini to obtain I(1). (2) For each i=1,2,,t1, first add the vertices in I(i+1)I(i) to obtain I(i)I(i+1), and then remove the vertices in I(i)I(i+1) to obtain I(i+1). (3) Add vertices to I(t) to obtain Itar. We therefore require that I(i)I(i+1) is an independent set of G for every i, so that all intermediate sets in the above procedure are feasible. The formal definition is given in Section 4. By definition, the existence of a γ-sequence implies a reconfiguration sequence from Iini to Itar of value at least γ.

Now consider an arbitrary partition of the vertex set V(G) into disjoint subsets V1,V2,,V of equal size for some that we can choose later. Then we can show the existence of a γ-sequence 𝒮 such that each element of 𝒮 is a subset of some (not necessarily the same) Vj, and 𝒮 yields an -factor approximation. Specifically, the idea of this existence proof is that for each set in an optimal sequence, we select an index j such that the size of its intersection with Vj is maximised. By concatenating all such intersections, we obtain the desired γ-sequence.

Next, our approach to find a γ-sequence as described above is to create an auxiliary graph Hγ for each value γ{0,1,,n/}. (Note that n/ is the size of every Vi.) The vertices of Hγ are all the independent sets IVi of G with |I|γ for some i[]. Two such sets are connected by an edge in Hγ if and only if their union is an independent set of G. A desired γ-sequence then corresponds to a path in Hγ from a subset of Iini to a subset of Itar, and we choose the maximum γ{0,1,,n/} for which such a path exists.

In order to find this path in polynomial time, we want Hγ to have polynomial size. Since each Vi has 2n/ subsets, we choose =n/logn. We then obtain the approximation factor of n/logn as discussed above.

Degenerate graphs.

We now sketch the algorithm for the following result.

Theorem 3.2.

There exists a polynomial-time algorithm that, given a d-degenerate graph G and two independent sets Iini and Itar of G, outputs an (Iini,Itar)-reconfiguration sequence 𝒥 such that

𝗏𝖺𝗅G(𝒥)1d𝗈𝗉𝗍G(IiniItar)1.

Suppose G is d-degenerate; that is, every induced subgraph of G contains a vertex of degree at most d. The main idea of our algorithm is as follows. We maintain two independent sets A and B, where initially AIini and BItar. We reconfigure A or B in order to increase the size of AB. In particular, let XAB and YBA. Since G is d-degenerate, in the subgraph of G induced on XY, there is a vertex v that has degree at most d. If vX, we remove the neighbours of v in B from B and add v to B. Note that the neighbours of v in B have to be in Y, since the vertices in BY are also in A and hence are not adjacent to v. In other words, we remove at most d vertices from B and add exactly one vertex to B. If vY, we analogously remove at most d neighbours of v in A from A and add v to A. Note that after every iteration, we remove at least one vertex from XY. Hence, eventually, we have A=B. We can then combine the reconfiguration sequence for A and the reversed reconfiguration sequence for B to obtain a reconfiguration sequence from Iini to Itar.

The algorithm clearly runs in polynomial time. To analyse the approximation factor, observe that at every step in the reconfiguration sequence for A, we remove at most d vertices from A and add exactly one vertex to A. Consequently, after i steps, the size of A decreases by at most (d1)i. On the other hand, exactly i vertices have been added to A during these i steps. Hence, after i steps, the size of the independent set A is at least max{|Iini|(d1)i,i}1d|Iini|. This implies all independent sets in the reconfiguration sequence for A have size at least 1d|Iini|. Similarly, all independent sets in the reconfiguration sequence for B have size at least 1d|Itar|. Since the optimal value is at most min{|Iini|,|Itar|}, the algorithm achieves an approximation factor of d.

Bounded-treewidth graphs.

Suppose G has treewidth k. We assume that a tree decomposition of width k is given; otherwise, this can be computed in 𝖥𝖯𝖳 time [7]. Further, let φ=min{|Iini|,|Itar|}. We now discuss the main idea of the φφO(klogφ)-approximation algorithm. This approach relies on the fact that there exists a 23-balanced Iini-separator S of size at most k+1 [11], i.e., we can partition V(G)S into two sets X and Y such that there are no edges between X and Y, |XIini|23|Iini|, and |YIini|23|Iini|. We then remove the vertices in IiniS, recurse on X and Y in some suitable order, and finally add ItarS. Since |XIini| and |YIini| are at most 23|Iini|, the recursion depth is O(logφ), and hence the overall runtime is polynomial. We then carefully analyse the size of the smallest independent set obtained from the recursion, using the order of processing X and Y as well as the bounds on |S|, |XIini|, and |YIini|. For this, we obtain the following result.

Theorem 3.3.

Let t be a positive integer. There exists a polynomial-time algorithm that, given a graph G together with a tree decomposition of width t1 and two independent sets Iini and Itar of G, outputs an (Iini,Itar)-reconfiguration sequence 𝒥 such that

𝗏𝖺𝗅G(𝒥)φt(log3/2φt+1).

Next, for the 𝖥𝖯𝖳-approximation scheme, we aim to obtain a (1+ε)-factor approximation in time f(k,ε)nO(1) for any ε>0 and some computable function f. If the φφO(klogφ)-approximation algorithm above already achieves this guarantee, we use it. Otherwise, φ must be bounded from above by a function of k and ε. We now apply an 𝖥𝖯𝖳 algorithm to solve MMISR exactly parameterised by φ and k (see [28, Theorem 5.8]), which is also an 𝖥𝖯𝖳 algorithm parameterised by k and ε in this case. In order to obtain this 𝖥𝖯𝖳 algorithm, we first extend the equivalence between the Token Jumping rule and Token Addition/Removal rule of ISR [32] to an equivalence between ISR under the Token Jumping rule (ISR-TJ) and MMISR. We then derive the 𝖥𝖯𝖳 algorithm above from a recent 𝖥𝖯𝖳 algorithm for ISR-TJ parameterised by degeneracy and the size of the input independent sets [1]. Overall, we obtain the following 𝖥𝖯𝖳-approximation scheme.

Theorem 3.4.

Let ε be a positive real number and t a positive integer. Let (G,Iini,Itar) be an instance of MMISR with |V(G)|=n. Then there exists an algorithm that outputs an (Iini,Itar)-reconfiguration sequence 𝒥 in time f(tw(G),ε)nO(1) for some computable function f such that

𝗏𝖺𝗅G(𝒥)11+ε𝗈𝗉𝗍G(IiniItar).

𝑯-minor-free graphs.

For these graphs, we also have an 𝖥𝖯𝖳-approximation scheme.

Theorem 3.5.

Let ε>0 and let H be a graph. There exists an algorithm that, given an H-minor-free graph G on n vertices and two independent sets Iini and Itar of G, outputs an (Iini,Itar)-reconfiguration sequence 𝒥 in time f(ε,|V(H)|)nO(1) for some computable function f such that

𝗏𝖺𝗅G(𝒥)11+ε𝗈𝗉𝗍G(IiniItar).

Suppose that |Iini|=|Itar| and let η|Iini|. We employ a generalisation of Baker’s technique, which is a framework for developing polynomial-time approximation schemes (PTASs) for various problems on planar graphs [5]. It is known that the vertex set of any planar graph G can be partitioned into V1,V2,,Vk+1 such that, for each i[k+1], the subgraph Gi induced by V(G)Vi has bounded treewidth. Moreover, by the pigeonhole principle, there is an integer j[k+1] such that max{|IiniVj|,|ItarVj|}2ηk+1, which implies that φmin{|IiniV(Gj)|,|ItarV(Gj)|}(12k+1)η.

The high-level idea of our algorithm is as follows: first remove the vertices in VjIini from Iini, then apply the 𝖥𝖯𝖳-approximation scheme for bounded-treewidth graphs to Gj, and finally add the vertices in VjItar. By appropriately setting k and using the bound φ(12k+1)η, this yields an 𝖥𝖯𝖳-approximation scheme for planar graphs. A similar argument can be established for H-minor-free graphs by using the decomposition theorem of Demaine, Hajiaghayi, and Kawarabayashi [12].

3.2 Inapproximability results

We first review the 𝖭𝖯-hardness of approximating MMISR on general graphs [30]. The proof is based on a gap-preserving reduction from Maximum Independent Set (MIS) to MMISR. Let G be an n-vertex graph as an instance of MIS. For a positive integer k, we create a complete balanced bipartite graph KKk,k with bipartition (L,R), where |L|=|R|=k. Define H as the disjoint union of G and K, IiniL, and ItarR, which yields an instance (H,Iini,Itar) of MMISR. Let α(G) denote the size of maximum independent sets of G and 𝗈𝗉𝗍H(IiniItar) denote the optimal value of MMISR. We obtain the following relation between α(G) and 𝗈𝗉𝗍H(IiniItar).

Observation 3.6.

𝗈𝗉𝗍H(IiniItar)=min{|L|,|R|,α(G)}=min{k,α(G)}.

Proof.

Let IG be any maximum independent set of G, where |IG|=α(G). Consider a reconfiguration sequence 𝒮 from Iini to Itar, passing through IG, obtained by the following procedure:

Step 1.

add all α(G) vertices of IG to obtain LIG.

Step 2.

remove all k vertices of L to obtain IG.

Step 3.

add all k vertices of R to obtain RIG.

Step 4.

remove all α(G) vertices of IG to obtain R.

Observe that the objective value of 𝒮 is at least min{|L|,|R|,α(G)}, and thus so is 𝗈𝗉𝗍H(IiniItar).

On the other hand, let 𝒮 be an optimal reconfiguration sequence from Iini to Itar. Since K is a complete bipartite graph with bipartition (Iini,Itar)=(L,R), there must exist an independent set I in 𝒮 such that I(LR)=, implying that |I|=|IV(G)|α(G). Therefore, the objective value of 𝒮 is at most min{|L|,|R|,α(G)}, and thus so is 𝗈𝗉𝗍H(IiniItar).

Recall that it is 𝖭𝖯-hard to distinguish whether α(G)n1ε or α(G)nε for any small ε>0 [20, 49]. By applying ˜3.6 with kn, it is 𝖭𝖯-hard to distinguish whether 𝗈𝗉𝗍H(IiniItar)n1ε=Θ(|V(G)|1ε) or 𝗈𝗉𝗍H(IiniItar)nε=Θ(|V(G)|ε) for any small ε>0. Therefore, MMISR on n-vertex graphs is 𝖭𝖯-hard to approximate within a factor of n1ε, as desired.

Consider now proving the 𝖭𝖯-hardness of approximating MMISR on restricted graph classes. To this end, we modify the above gap-preserving reduction from MIS to MMISR as follows:

(Maximum degree Δ)

By [6], it is 𝖭𝖯-hard to approximate MIS on graphs G of maximum degree Δ within a factor of Δpolylog(Δ). We shall apply ˜3.6 with k=ΘΔ(n); however, this makes the degree of the bipartite graph K (constructed in the above reduction) too large. To avoid this issue, we replace K by a Δ-regular bipartite Ramanujan graph X. Informally speaking, bipartite Ramanujan graphs behave like random bipartite graphs. By the bipartite expander mixing lemma [17, 18], we show that X does not contain independent sets of size Ω(kΔ), which allows us to create a Δ-factor gap.

Theorem 3.7.

For a graph of maximum degree Δ3, it is 𝖭𝖯-hard (under randomised reductions) to approximate MMISR within a factor of Θ(Δ).

(Bandwidth n12+δ)

By [20], we first show that for an n-vertex graph G of bandwidth n12+δ, it is 𝖭𝖯-hard to approximate α(G) within a factor of n4δ2. By applying ˜3.6 with kn12+δ, we obtain the 𝖭𝖯-hardness of approximating MMISR on graphs of bandwidth n12+δ within the same factor.

Theorem 3.8.

Let δ(0,12) be any positive real and ε(0,12δ) be any small positive real. For an n-vertex graph of bandwidth O(n12+δ), it is 𝖭𝖯-hard to approximate MMISR within a factor of Θ(n4δ2ε).

(Bipartite graphs)

Instead of using the above reduction, we show the “equivalence” (up to a constant factor) between Maximum Balanced Biclique and MMISR on bipartite graphs. Since this problem cannot be approximated within a factor of n1ε under SSEH and 𝖭𝖯𝖡𝖯𝖯 [34], where n is the number of vertices in an input graph, MMISR cannot be approximated within the same factor.

Theorem 3.9.

Assuming SSEH and 𝖭𝖯𝖡𝖯𝖯, for an n-vertex bipartite graph, no polynomial-time algorithm can approximate MMISR within a factor of n1ε for any ε>0.

4 Approximation algorithms for general graphs

In this section, we present a polynomial-time nlogn-factor approximation algorithm for MMISR.

Theorem 3.1. [Restated, see original statement.]

There exists a polynomial-time algorithm that, given an n-vertex graph G and two independent sets Iini and Itar of G, outputs an (Iini,Itar)-reconfiguration sequence satisfying

𝗏𝖺𝗅G()lognn𝗈𝗉𝗍G(IiniItar).

We begin with two simple but useful observations.

Observation 4.1.

Let V be a finite set partitioned into V1,V2,,V. For any subset SV, there exists an index i[] such that |SVi||S|.

Proof.

Suppose, for a contradiction, that |SVi|<|S| holds for all i[]. Then, |S|=i=1|SVi|<|S|=|S|, which is a contradiction.

Observation 4.2.

Let I1 and I2 be finite sets such that either I1I2 or I2I1. For any subsets J1I1 and J2I2, either J1I2 or J2I1 holds.

Proof.

If I1I2, then J1I1I2. Otherwise, J2I2I1.

Let I=(G,Iini,Itar) be an instance of MMISR. For a nonnegative integer γ, a sequence (J(1),J(2),,J(t)) of independent sets of G is called a γ-sequence with respect to Iini and Itar if it satisfies the following conditions:

S1

J(1)Iini and J(t)Itar,

S2

|J(i)|γ for all i[t], and

S3

J(i)J(i+1) is an independent set of G for all i[t1].

We show that the existence of a γ-sequence guarantees the existence of an (Iini,Itar)-reconfiguration sequence whose value is at least γ.

Lemma 4.3.

Let I=(G,Iini,Itar) be an instance of MMISR, and let γ be a nonnegative integer. Given a γ-sequence 𝒥=(J(1),J(2),,J(t)) of length t, one can compute an (Iini,Itar)-reconfiguration sequence 𝒮 such that 𝗏𝖺𝗅G(𝒮)γ in time polynomial in |V(G)| and t.

Proof.

From 𝒥, we construct a reconfiguration sequence by the following procedure:

Step 1.

Remove all vertices in IiniJ(1) to obtain J(1).

Step 2.

For each i=1,2,,t1, add all vertices in J(i+1)J(i) to J(i) to obtain J(i)J(i+1), and then remove all vertices in J(i)J(i+1) from J(i)J(i+1) to obtain J(i+1).

Step 3.

Add all vertices in ItarJ(t) to J(t) to obtain Itar.

Note that each operation adds or removes exactly one vertex. Each step can be done in time polynomial in |V(G)|, and hence the total running time is polynomial in |V(G)| and t.

Since Iini and Itar are independent sets of G, all intermediate sets appearing in Steps 1 and 3 are independent sets. Moreover, since J(i)J(i+1) is an independent set of G for every i[t1], all sets appearing in Step 2 are also independent sets. Therefore, the obtained sequence 𝒮 is an (Iini,Itar)-reconfiguration sequence.

Since |J(i)|γ for every i[t], every intermediate set in 𝒮 has size at least γ. Thus, 𝗏𝖺𝗅G(𝒮)γ, as claimed.

We now show how to efficiently construct a γ-sequence with sufficiently large γ.

Lemma 4.4.

Let I=(G,Iini,Itar) be an instance of MMISR, where G has n vertices. There exists a polynomial-time algorithm that finds a γ-sequence of length polynomial in n satisfying

γlognn𝗈𝗉𝗍G(IiniItar).

Proof.

Without loss of generality, assume that n2. We first prove the existence of such a γ-sequence.

Let =n/logn. We fix an arbitrary partition of the vertex set V(G) into V1V2V such that logn|Vi|2logn for all i[]. Such a partition exists since lognn2logn for n2.

Let 𝒮=(I(0),I(1),,I(t)) be an (Iini,Itar)-reconfiguration sequence attaining the optimum, that is, 𝗏𝖺𝗅G(𝒮)=𝗈𝗉𝗍G(IiniItar). Define γ𝗏𝖺𝗅G(𝒮)lognn𝗏𝖺𝗅G(𝒮).

By ˜4.1, for each j[t], there exists an index π(j)[] such that

|I(j)Vπ(j)|γ. (4.1)

Define J(j)I(j)Vπ(j) for each j[t]. Clearly, each J(j) is an independent set of G.

We claim that 𝒥=(J(1),J(2),,J(t)) is a γ-sequence. Condition (S1) holds since J(1)Iini and J(t)Itar. Condition (S2) follows immediately from Eq. 4.1. We verify Condition (S3). Since I(j) and I(j+1) are two consecutive elements of a reconfiguration sequence, either I(j)I(j+1) or I(j)I(j+1). As J(j)I(j) and J(j+1)I(j+1), ˜4.2 implies that either J(j+1)I(j) or J(j)I(j+1). Hence, J(j)J(j+1) is contained in either I(j) or I(j+1), and hence forms an independent set of G. Therefore, 𝒥 is a γ-sequence.

We next bound the length of a γ-sequence by modifying 𝒥. For a sequence 𝒳=(X(1),X(2),,X(t)) of independent sets of G, a pair (p,q) with 1p<qt is called redundant if X(p)=X(q). For each redundant pair (p,q) for 𝒳, we replace the substring (X(p),X(p+1),,X(q)) by the single set X(p). This operation preserves the property of being a γ-sequence.

Since |Vi|=O(logn) for each i[], the number of subsets of Vi is O(n). Thus, the total number of distinct independent sets that may appear in 𝒥 is at most i=12|Vi|=O(n)=O(n2/logn). After exhaustively processing redundant pairs, we obtain a γ-sequence where every element is unique. The length of such a sequence is bounded by O(n2/logn). This establishes the existence of a γ-sequence with the desired properties.

We finally describe a polynomial-time algorithm for finding such a sequence. Fix the above partition of V(G). For each integer γ{0,1,,logn}, we construct an auxiliary graph Hγ. The vertex set of Hγ consists of all independent sets I of G such that |I|γ and IVi for some i[]. Two vertices I and J of Hγ are adjacent if and only if IJ is an independent set of G. Since |Vi|=O(logn), we have |V(Hγ)|=O(n2/logn).

For a given γ, we test whether there exist independent sets JiniIini and JtarItar of size at least γ such that there is a path between Jini and Jtar in Hγ. Note that connectivity in Hγ can be tested in polynomial time. If such a path exists, the sequence of independent sets along the path forms a γ-sequence. Conversely, the γ-sequence obtained in the above construction corresponds to a path in Hγ. Thus, for a fixed γ, the existence of a γ-sequence can be decided in polynomial time.

Therefore, we can compute the maximum γ{0,1,,logn} for which a γ-sequence exists. Since the algorithm returns a γ-sequence with γlognn𝗏𝖺𝗅G(𝒮), the approximation factor is at least lognn.

By combining Lemmas 4.3 and 4.4, we obtain Theorem 3.1.

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