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Eigenvalues

NABIL

and Expansion

of Regular

Graphs

KAHALE

Massachusetts

Instituteof

Technology,

Cambridge,

Massachusetts

Abstract. The spectral method is the best currently known technique to prove lower bounds on expansion. Ramanujan graphs, which have asymptotically optimal second eigenvalue, are the on the best-known explicit expanders. The spectral method yielded a lower bound of k\4 expansion of Iinear-sized subsets of k-regular Ramanujan graphs. We improve the lower bound k/2, Moreover. we construct afamilyof ontheexpansion of Ramanujan graphs to approximately k-regular graphs with asymptotically optimal second eigenvalue and linear expansion equal to k/2. This shows that k/2 is the best bound one can obtain using the second eigenwdue method. We also show an upper bound of roughly induced subgraphs of Ramanujan graphs.

1 + ~ on the average degree of linear-sized This compares positively with the classical bound

2~. As a byproduct, we obtain improved results on random construct selection networks (respectively, extrovert graphs) of smaller than was previously known.

walks on expanders and size (respectively, degree)

Categories and Subject Descriptors: F.2.2 [Analysis of Algorithms and Problems Complexity]: Nonnumerical Algorithms and Problems; G.2.2 [Discrete Mathematics]: Graph Theory General Additional balancing,

Terms: Algorithms,

Theory

Key Words and Phrases: Ramanujan graphs, random

Eigenvalues, expander graphs, walks, selection networks.

Part of this work was done while the author

induced

subgraphs,

load

was at DIMACS.

This work was partially supported by the Defense Advanced Research Projects Agency under Contracts NOO014-92-J-1799 and NOO014-91 -J- 1698, the Air Force under Contract F49620-92-J0125, and the Army under Contract DAAL-03-86-K-0171. This paper was based on “Better

Expansion

for

Ramanujan

grdphs”,

by Nabil

IQdhale, which

ScLence, San Juan, Puerto appeared in the 32nd Annual Symposium on Foundations of Compater Rico, October 1–4, 1991; pp. 398–404. OIEEE, and on “On the Second Eigenvalue and Linear Sympcmum Expansion of Regular Graphs” by Nabil Kahale, which appeared in the 33rd Annaal on Foundations of Computer Science, Pittsburgh, Pennsylvania, October 24–27, 1992: pp. 296–303. Series in Discrete @lEEE. An updated version of the second paper appeared in DIMACS Mathematics and Theoretical Cornpater Science, Volume 10, 1993; pp. 49–62. @American Mathematical Society.

Author’s current CA 94304.

address: XEROX

Palo Aho Research Center, 3333 Coyote Hill

Road, Palo Alto.

Permission to make digital/hard copy of part or all of this work for personal or classroom use is granted without fee provided that copies are not made or distributed for profit or commercial advantage, the copyright notice, the tide of the publication, and its date appear, and notice is given that copying is by permission of ACM, Inc. To copy otherwise, to republish, to post on servers, or to redistribute to lists, requires prior specific permission and/or a fee. 01995 ACM 0004-541 1/95/0900-1091 $03.50 Joum~l

of the AsWcldtlon

for Computing

M&chlnery,

Vol

42, No

5, Scptemlxl

IW5, pp

10[)1 – I I [M,

1092

NABIL

KAHALE

1. Introduction Expander graphs are widely used ranging from parallel computation

in Theoretical Computer ] to complexity theory

Science, in areas and cryptography.z

Given an undirected k-regular graph G = (V, E) and a subset X of V, the expansion of X is defined to be the ratio lN(X)l/l Xl, where N(X) = {w ~ V of X, An (a, ~, k, n)-expander is a 3 LI G X, (~1, w) E E} is the set of neighbors k-regular graph on n nodes such that every subset of size at most an has expansion at least f?. It is known that random any ~ < k – 1, there

regular

exists

graphs

a constant

the subsets of a random k-regular least ~. The explicit construction

are good expanders. a such that,

with

In particular,

high

probability,

for all

graph of size at most an have expansion at of expander graphs is much more difficult,

however. The first explicit construction of an infinite family of expanders was discovered by Margulis [1973], and improved in Gabber and Galil [1981], Alon et al. [1987], and Jimbo and Maruoka The best currently known method

[1987]. to calculate

lower

bounds

on the expan-

sion in polynomial time relies on analyzing the second eigenvalue of the graph. Since the adjacency matrix A is symmetric, all its eigenvalues are real and will be denoted by & > Al > ““” > A,l. ~. We have AO = k, and A = max( Al, IA,, _ ~1) < k. Tanner [1984] proved that for any subset X of V, k21Xl IN(X)

I>

(1) AZ + (kz

Therefore, However,

in order to get high for any sequence

– A2)l X1/n



expansion, we need A to be as small as possible. G,,, ~ of k-regular graphs on n vertices,

lim inf A(G,,, ~) > 2v’~ as n goes to infinity 1988; Nilli 1991]. Therefore, the best expansion

[Alon 1986: Lubotzky et al. coefficient we can obtain by

applying Tanner’s result is approximately k/4. Ramanujan graphs, which have been explicitly

This bound is achieved by constructed [Lubotzky et al.

1988; Margulis

1988] for many

pairs (k, n). By definition,

a Ramanujan

graph

is

a connected k-regular graph whose eigenvalues + + k are at most 2v”~ in absolute value. The relationship between the eigenvalues of the adjacency matrix and the expansion coefficient has also been investigated in Alon [1986], Alon et al. [1987], Alon and Milman [1985], and Buck [1986], but the bound they get, when applied to nonbipartite Ramanujan graphs and for sufficiently bound. Other results about expanders are large k, is no better than Tanner’s contained in Bien [19891, Lubotzky [to appear]. and Samak [1990]. Some applications, such as the construction of nonblocking networks in for linear-sized Arora et al. [1990], required an expansion greater than k/2 subsets. Indeed, if the expansion of a subset X is greater than k/2, a constant neighbors, that is, neighbors adjacent to only fraction of its nodes have unique one node in X. This allows the construction of a matching between X and N(X) in a logarithmic number of steps and using only local computations. Recently, Pippenger [1993] showed that weak expanders are applications where an expansion greater than k\2 was required.

~ See Ajtai - See Ajtai

et al. [1983], Arora et al. [1990], Pippenger [1993], and Upfal [1989]. et al. [1987], Bellare et al. [1990], Goldreich et al. [1990], and Valiant

sufficient

[ 1976].

in

Eigenl’ahes

and Expansion

of Regular

Graphs

1093

We define the linear expansion of a family of graphs G,, on n vertices to be the best lower bound on the expansion of subsets of size up to an, where a is an arbitrary

small

positive

constant,

sup a>o where

X

ranges

over

if (G. ) is a family bounded

by

the

the

construct

an infinite

inf ~ of

graphs

linear

(1 – ~1 – (4k – 4)/~z of Ramanujan graphs is the other hand, for any modulo 4, and for any

inf n

subsets

of k-regular ~,

that is,

‘~~)’,

G,l of size at most whose

expansion

family

of

k-regular

k/2.

has asymptotically

can

obtain

such k/2

a family is essentially

by the

(G,, )

graphs

and G,l contains

Since

of

an.

largest

We

show

eigenvalue is

at

that

is upper

least

(k/2)

). In particular, the expansion of linear-sized subsets lower bounded by a factor arbitrary close to k/2. On integer k such that k – 1 is a prime congruent to 1 function m of n such that m = o(n), we explicitly

A(G~) s (2 + o(l))v(~ shows that

second

the best lower

second

eigenvalue

construction can be applied values and diameter [Kahale

G.

on

n vertices

such

a subset of size 2m with optimal bound

method.

second

eigenvalue,

on the linear The

that

expansion this

expansion

one

used

this

techniques

in

to prove tightness of relationships between eigen1993]. Clur results provide an efficient way to test

that the expansion of linear-sized subsets of random graphs is at least k/2 – 0(k3/410g]/zk), We also show that the average degree of the induced subgraphs on linear-sized subsets of a k-regular graph G is upper bounded by a factor

arbitra~

2~~). graphs,

This improving

close bound upon

to

1 + ~/2

is equal

+ to

the previous

~z/4

– (k – 1),

1 + ~~

in

known

bound

the

where case

[Alon

~ = max(~, of

Ramanujan

and Chung

1988] of

2JF=i. Sections 3–5 contain our main results. III Section 6, we apply our techniques to obtain improved results on random walks on expanders. Random walks are often used in complexity theory and cryptography, upon previous results in Ajtai et al. [1987] and Applications to selection networks and extrovert Section

7. We conclude

with

some remarks

in Section

and our bound improves Goldreich et al. [1990]. graphs are described in 8.

Some of the results in this paper have appeared in an extended in Kahale [1991; 1993a], and in a more detailed form in Kahale

2. Notation,

Definitions,

and Background

Throughout

the paper,

G = (V, E) will

denote

an undirected

abstract [1993b].

graph

form

on a set V

of vertices. Let L2( V ) denote the set of real-valued functions on V and L~)(v) = {f e L’(v); x ,, ~ ~f(~’) = O}. As usual, we define the scalar product of two vectors f and g of LZ(V) by

and the euclidean norm of a vector f by IIf II = ~. We denote the adjacency matrix of G by A~, or simply by A if there is no risk of confusion. The matrix A is the O-1 n X n matrix whose (i, j) entry is equal to 1 if and only

NABIL

1094 if

(i, ~) = E.

It defines to the vector

~ = L2(V)

a linear operator A~ defined by

(Af)(u)

in

=

L2(V ) that

~

maps

KAHALE

every

vector

(2)

f(w).

((.w)eE This

operator

is selfadjoint

since V~, g e LZ(V),

(Y4f)”g=f”(Ag)

x

=

(3)

f(u)g(w).

(1’,w’)6E For

any matrix

or operator

(i + l)st

largest

by A(G).

For

M

eigenvalue

any subset

with

of M,

real

eigenvalues,

we denote

by A,(G),

and max(Al(G),

Al(A~)

W of V, we denote

by A,(M)

the

IA._ ,(G)I)

by XW the characteristic

vector

of

W xw(~)) = 1, if ~) = W, and O otherwise. We denote the adjacency matrix of the graph induced on W by ALV, the real number A,(AL,, ) by A,(W), and the set of nodes at distance at most 1 from W by Bl(W). For the rest of this section, we assume that G is k-regular. Fact

1988].

2.1 [,S&ang

If

B is a selfadjoint

operator

in a vector

space

L,

then AO(B)

Clearly,

the vector

2.2.

For

g.Bg —

max g= L-{o}

,yJ is an eigenvector

space L~(V) is invariant to L:(V) are AI(G),..., Fact

=

llg112 “ of A with

eigenvalue

under A, and the eigenvalues &_ I(G). Therefore,

any g ● L:(V),

For two column vectors is at most its corresponding

we have

of A

< A1(G)llgll’.

g Ag

g and h., we say that coordinate in h.

k. The vector

of the restriction

g s h if every coordinate

of g

Fact 2.3 [Seneta 1981, page 28, ex. 1.12]. If a real symmetric matrix has only nonnegative entries, its largest eigenvalue is nonnegative and has a corresponding eigenvector with nonnegative components. This eigenvalue is largest in absolute value. Fact is

2.4.

a vector

eigenvalue entries

If a real symmetric with

positive

of B is at most

of B are assumed

Given V’

=

(U,

LI) c

a

H,

graph

V X {O, 1} and

y. This

B has only such

property

still

to be nonnegative

the

where

ccuer ((u,

graph

1), (~’, nz))

that

nonnegative

[Friedman

H’ e

of V’

entries,

and

s

Bs < ys, then the largest holds if only the off-diagonal

H X V’

1991]. is the is an

graph edge

defined if

and

only

on if

E and 1 # m.

Fact 2.5. The negated values. 3. Main

matrix

components

eigenvalues

of H’

consist

of the eigenvalues

of I/

and their

we will

use later

Lemma

In this section, to derive lower

we prove the main lemma bounds on the expansion.

(Theorem

3.6) that

Eigenlalues

and Expansion 3.1.

LEMMA

of Regular

1095

Graphs

If G = (V, E)

is k-regular

on n Lertices,

fAf
Ao(M,~’ ‘)f(l’).

For any L) e X, the value of f on each of the k – Ax( – X is at least f( L’)r(l). Therefore,

PROOF.

of L’ in ~

(Awf)(u) 2 =

(Axf)(u)

+ (k -

(M~’’f)(L)

For

. f > A’llf Ilz, leading 9>0,

L’)

neighbors

Ax(L’))f(u)i’(l)

= ~O(M$’’)f(L).

Since AO(W) < A’, we have (Awf) “fs contradiction that A’ < AO(M,~’ ~), By Claim (Awf)

1097

c!

A’llf Ilz, by Fact 2.1. Assume 3.4 and Claim 3.5, this implies

for that



to a contradiction.

define 1 A4$=Ax+–

(kI-

Ax).

v(~e’ The matrix M$ can be regarded induced on X and has in addition ~x(LI))

on

each node

THEOREM

3.6.

as the matrix of the weighted a loop of weight (k – 1)-1/2

u of X. Suppose

G

=

(V,

E)

is

rnax( AI(G), 2v’~) = 24~cosh 9, where X of V of size at most k-1 \’/VI, we hat,’e A,(M; where the constant PROOF.

from from

Let

behind

1 =

X. A simple Lemma

3.2

) :< i(l

-t

the O is a small

k-regular,

CLAIM PROOF. CLAIM

3.7. This

that

&(W)

s A’,

the mal:rix

> y >0,

follows

we hale

immediately

Since

~’)

sinh((l

absolute

constant.

where

A’ = ~ + 3k1 - ll~z’)

kl~”

is approximated

(x – y)z s 2(coshx from

Taylor’s

= 2~~

shows that 1 = I( 1 + We will use the followby M~,.

– coshy).

expansion

formula.

+

sinh(l(3’) S exp(– < smh((l + 1)6’)

1) f)’)

> (1 +

l)sinh

O’).

6’, we have

sinh(ld’) exp( – O’) – sinh((l —

~ = subset

o(e)),

3.8.

1 —exp(– 1+1 PROOF.

let

[1/2 e] and let W be the set of nodes at distance at most 1 calculation shows that IWI s 3k1 IX I s 3k - ] /(z’ ‘n. It follows

to show that Forx

and

/3 z O. For any nonempty

cosh 0’, with & > 0>0. A straightforward calculation O(6)) and cosh %’ – cosh O = 0(k*f2l/(z’)) = 0(~2). ing inequalities

graph that is exp( – O)(k –

+ 1)0’)

exp(–10’) exp((l

= exp(–(1

– exp(–(1

+ 1)0’) + 1)6’)

– exp(–(1

+ 2)0’) + 1)0’)

sinh %’ sinh((l + 1)6’)

exp(–


0.

Y U N’(Y), ~’

3.9. Note

2.5, we have

Y be the subset

G’ by xl’, with

by Remark by Fact

the By and

= ~!

E’ =

u N’(Y)

u N’(Y))

of

2 e,

we

by f = kxy

we cannot

X

Yin

see

A(1

that

the

+ ~x~fy).

M’f.f

apply

which

s x(]

the

directly may

the

G’ by N’(Y). to

E )).

+ 2klv’1’

X {O}. Denote

3.9,

+ .~(

= “(G)

= A(G),

to

Remark

iS at most

defined

that

set of neighbors applying

+ k— Ivl

AI(G)

of V’ equal

Iwl

Iwpl

< AO(WP) < AI(G)

largest

adjacency

Let

~ =

G,

the

graph

Theorem

be different

the

matrix

of

2v’’=-cosh

eigenvalue

NOW> consider

3.6 from

set of

function

of

O, vertices

the

matrix

f = Lz(y

BY Fact 2.1, + o(6))

llf112.

(7)

The left-hand side is the sum of two terms. The first is equal to A’f. f, and the se~ond corresponds to the weighted self-loops. By eq. (3), we have A’f. f = 2 Ak 2IY 1. On the other hand, since the loops have no weight on Y and have average weight term is equal

– klY]/l exp( – tl)(k – l)-ltz(k to exp(– d)(k – 1)-]/2 (klN’(Y)l

N’(Y)l) on N’(Y), – klYl)~z. Thus,

the second eq. (7) re-

duces to

-,

A’

2ik21Yl

—k(/N’(Y)l

+ v’CTexp(

i(l + 0(~)) (k21Yl + i21N’(Y)l),

< By replacing

IY \ by IX 1,\N’( Y)l by IN(X klXl(k

– 2exp(–6)cosh s lN(X)l(~

Noting that duces to:

simplifications

– 2kexp(–

O)cosh

6)(1

+ O(c)).

(8)

X2 – 2k exp( – O)cosh O =: 2(k exp( 9 ) – 2 cosh 6) cosh 0, eq. 8 re-

[xl

k

the proof

2

using

1 =1– exp( 6 )cosh THEOREM

)1, we get after

0)

IN(X) I

We conclude

– \Yl)

6)

4.2.

If

$

2 exp( O)cosh

O

(1 –

O(E)).

the formula

r

G = (V, E)

l– cosh-O ==

’--

is it-regular

and

“ ~ = max( AI(G),

2-),

then for any nonemp~ subset X of V of size at most k- 1i’ IV 1,the al’erage degree u of the subgraph of G induced on X is at most

(l+i+~(k-l))(l+o(~)) where

the constant

behind

the O is a small

absolute

constant.

1100

NABIL

PROOF.

We use the same notations

as in Theorem

3.6. As noted

KAHALE

before,

the

matrix M~ can be regarded as the matrix of the weighted graph on X that is induced on X and has in addition a loop of weight (k – 1)-1/z exp( – /3)(k – Ax(~I)) on each node u of X. By Fact 2.1, we have xx oM$ Xx < AO(M!)IXI, which

translates

into

k–u s 2~k~(l

o + This

+ O(~))cosh

6,

JCTexp(6)

implies

2(k – l)exp(0)cosh

O– k

CT
11P,,_, g112\ X~,, respectively, We need to show that

PROOF.

and

I/Plz_ ~sllz. Let

Ah = (P + PI,)A(

P + P},).

The

operator

A,,

corresponds

in

some sense to the adjacency matrix of the subgraph induced on B,,(X), but it acts on L,Q(W ). By the conditions of the lemma, there exist positive coefficients a, /3, and y such that P,ZA)lS = yP~s and A,, P,, s = aP,ls + flP,l_, s. By hypothesis, we have A), s < pPs + yPl, s. Premultiplying both sides of this equation by P and Ah yields successively

= /4s – pP~s,

5 p2Ps + p(y

– a)Phs

– ppP,l_ls,

Eigerwalues But

and Expansion

the matrix

entries

A~, I’A~

of Regular

Graphs

– VZP – W( y – a )P}, + p~Pk _ ~ has only

off its diagonal,

and so its largest

2.4). The quadratic form associated definite (Fact 2.1), and so

Since

both

Al,

and

eq. (9) is equal

eigenvalue

to this

P are selfadjoint

llPAhgll

= pllPgll

by hypothesis,

(y-

(Fact

is therefore

semi-

negative

Pz = P, the left-hand

side of

eq. (9) as follows:

a)llPllgll’

- p~llP,z_,g112.

JDI, are

and

(lo)

2 EllP,, _,gll’. selfadjqint,

On the other hand, since P,, AIIS .s, and so allPllsllz

+ pll P},_,sllz = yll Pksll-.

(10) concludes



the proof.

nonnegative

is O since s is positive

and so

a)llp~gll’ A,,

matrix

and since

to IIPA~ g II2. We can rewrite

llPAhg112< p211Pg112 + W(:P But

1101

we have

A,, P,, s .s =

Comparing

this

with

eq.

THEOREM 5.2. For any integer k such that k – 1 is prime, we can explicitly construct an infinite family of k-regular graphs G,, on n Lertices whose linear expansion

is k/2

PROOF.

and such that

We construct

of explicit

Ramanujan

Al(G,,)

the family graphs,

L 2Y’’~(l

+ 2 log ‘log n /log~

(G. ) by altering

so that

the

the known

expansion

n ).

constructions

of (G,, ) is k/2.

From

Lubotzky et al. [1988] and Margulis [1988], we know that we can explicitly construct an infinite family of bipartite Ramanujan graphs (F,, ) on n vertices whose girth c(F~) is (4/3 + o(l)) log~_ ~n. Let F,, = (V, E) be an element of of F,, and 1 = [c(F,, )/21 – 2. Let be k vertices at distance two (u,, vi) = E. The subgraph of F. induced on B ~+,({u}) is a tree not belonging to no cycles. Let u’ and [)’ be two elements the family, L{ e V a vertex neighbors of u and let LI,,

k-regular

graph

. . . . L’k

G,z+ z = (V’,

E’),

where

u,, .,., LL,, be the from LL such that since it contains V. Consider the

V’ = V U {u’, L“}

and

E’ = E

U

U $= ,{(u’,

Ui), (u,, u’), (~)’, ~~,),(~,, ~’)} – U ~=~{(u,, ~,), (L’,, u,)}. Figure 1 shows the graph G.+ ~ in the neighborhood of u in the case k = 3. For shorthand, we AF,, W A> ‘G,,+, denote by A’ and AI(A’ ) by A’. We need to show that A’ < (2 + o(l))~~.

Assume

and let A’ = 2~k~cosh corresponding to A’.

that

0’, with

A’ > 2v’~ (3’ > 0. Let

(otherwise, g 6 L~,(V’)

we are done),

be an eigenvector

We outline informally the basic ideas of the proof. Roughly speaking, we will show that the values that g takes on the nodes u’, L’, u,, 1~1 are small compared to Ilg 11.This implies that g is close in /z-norm to its r~estriction f on V. Lemma But since g(u’), g(~i’~, 3.1 then implies that f “Af < (2 + o(l))~~llgll-. g(ui),

and g(L’i)

are small,

the scalar

product

f ~Af

neighbors

in

is close

to g . A’g

=

A’ Ilgll-,

and so A’ < (2 + o(l))~~”. Since g(u)

u and

= g(u’).

LL’ have

the

same

G,,. ~ and

A’ # O, we

have

By eq. (3), we have

A’1/g112 == g.A’g

=fAf

-2

fig ~=1

+ 2 fg(L1’)g(Lt,) 1=1

+ 2

&L’’)@.

[=1

(11)

1102

NABIL

u.

KAHALE

.U( ,, ,},.,, ., ‘, ~

,’

u ~ ‘,

U1 # ,, FIG. 1. The graph G,l, * in the neighborhood in the case k = 3. The belonging to E – E’.

dotted

edges

are

of u those

‘:/./’;,” / *

JV2

–2g(~i)g(~i) by g(ui)2 = A’g(u’) implies that

A similar

holds

for

/illg112 sf”flf+

~’. Combining

f“flfs

1 + ;

A,(A) llf112 + :(g(u’) s 2J=(llg112

this with

()

We use Lemma 3.1 to bound the term – g(u’) since g E L:( V’), and so

+ g(~,)2.

; i=l

[g(u,

~” A~. Note

&

“ \

;\t\

\,

On

/“,

,\\ji,l

i,!J;’’,l,!\li~\A\

We upper bound equality (A’g)(u’)

, ,./’”””

:~~

,\’, !;,, ,, ,,

relation

‘~~ 3 .,,*V ,,-..

the

;’i l,,

other

\

hand,

the

eq. (11), we get

)2 +g(L’, that

)2)
1/2

cosh~(l(l’)x~=,

~g(u,)z. ial g(ul)z.

Combining

this

with

eq. (13),

we

get

8 (14)

cosh 6’ < 1 + coshzlo’ Solving

eq. (14) yields

Theorem

for sufficiently

large

n, and so

L ‘7)(1

A’=2JF71+;

k/2.

/3’ s (log 1)/1



logs log n

O+ O(1)) 7. This shows that Ramanujan graphs of degree at least 7 are extrovert graphs. Classical results [Alon and Chung

1989] require

8. Concluding (1) Let

H

the degree

Remarks

be a graph

and Further of maximum

to be at least

15.

Work degree

at most

k, and ~ a real number

no

smaller than 2~~. Theorem 3.6 implies that, if there exists an infinite family G. of k-regular graphs ccmtaining H as an induced subgraph and such that A(G,, ) < (1 + o(l))~, then Atl(lffi) s j. (M: can be defined congruent to 1 modulo 4, this similarly to M:.) If k – 1 is al prime condition

can be shown

to be sufficient

(2) It is still an open question graphs with linear expansion

whether at most

[Kahale there k/2.

1993b].

exists

a family

of Ramanujan

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