Discrete Mathematics (
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A new eigenvalue bound for independent sets J. Harant a,∗ , S. Richter b a
Ilmenau University of Technology, Department of Mathematics, Germany
b
Chemnitz University of Technology, Department of Mathematics, Germany
article
info
Article history: Received 29 October 2013 Accepted 17 December 2014 Available online xxxx Keywords: Independence number Eigenvalues
abstract Let G be a simple, undirected, and connected graph on n vertices with eigenvalues λ1 ≤ · · · ≤ λn . Moreover, let m, δ , and α denote the size, the minimum degree, and the −λ λ independence number of G, respectively. W.H. Haemers proved α ≤ δ 2 −λ1 λn n and, if η
is the largest Laplacian eigenvalue of G, then α ≤ M.W. Newman. We prove α ≤
2σ −2
η−δ n η
1 n
is shown by C.D. Godsil and
m for the largest normalized eigenvalue σ of G, if σδ δ ≥ 1. For ε > 0, an infinite family Fε of graphs is constructed such that 2σσ−δ 2 m = η−δ 1 λn α < ( 32 + ε) min{ δ2−λ n, η n} for all G ∈ Fε . Moreover, a sequence of graphs is −λ λ 1 n
2 presented showing that the difference between 2σσ− m and D.M. Cvetković’s upper bound δ min{|{i ∈ {1, . . . , n}|λi ≤ 0}|, |{i ∈ {1, . . . , n}|λi ≥ 0}|} on α can be arbitrarily large. © 2014 Elsevier B.V. All rights reserved.
1. Introduction and result We use standard notation and terminology of graph theory and consider a finite, simple, and undirected graph G with vertex set V = {1, . . . , n} and edge set E, where m = |E |. Let di and δ denote the degree of i ∈ V in G and the minimum degree of G, respectively. Furthermore, we assume that G has no isolated vertices, i.e. δ ≥ 1. A set of vertices I ⊆ V in G is independent, if no two vertices in I are adjacent. The independence number α of G is the maximum cardinality of an independent set of G. The independence number is one of the most fundamental and well-studied graph parameters [13]. In view of its computational hardness [11] various bounds on the independence number have been proposed, for a survey see [12]. In this paper, we are interested in upper bounds on α involving eigenvalues of matrices assigned to G (lower bounds on α in terms of eigenvalues can be found in [16]). Let λ1 ≤ · · · ≤ λn denote the eigenvalues of the adjacency matrix A of G. Our starting point is the following Delsarte–Hoffman-bound [3,8,9,15]. If G is an r-regular graph, then
α≤
−λ1 n. r − λ1
Note that λn = r if G is r-regular [3]. In [10,9], W.H. Haemers proved the following extension of the Delsarte–Hoffman-bound for arbitrary graphs.
α≤
∗
−λ1 λn n. δ 2 − λ1 λn
Corresponding author. E-mail addresses:
[email protected] (J. Harant),
[email protected] (S. Richter).
http://dx.doi.org/10.1016/j.disc.2014.12.008 0012-365X/© 2014 Elsevier B.V. All rights reserved.
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J. Harant, S. Richter / Discrete Mathematics (
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If all eigenvalues of G are taken into consideration, then D.M. Cvetković [3,6,7] proved
α ≤ min{|{i ∈ {1, . . . , n}|λi ≤ 0}|, |{i ∈ {1, . . . , n}|λi ≥ 0}|}. Let D be the degree matrix of G, that is an (n × n) diagonal matrix, where di is the ith element of the main diagonal. Moreover, let 0 = η1 ≤ · · · ≤ ηn be the eigenvalues of the Laplacian matrix L = D − A of G [1]. In [8], C.D. Godsil and M.W. Newman established the following inequality, which is also a consequence of a result in [2] concerning the size of a cut in a graph.
α≤
ηn − δ n. ηn
For G without isolated vertices, the normalized Laplacian is the (n × n) matrix L = (lij ) with lij = 1 if i = j, lij = − √1
di dj
if
ij ∈ E, and lij = 0 otherwise. The eigenvalues σ1 ≤ · · · ≤ σn of L are the normalized eigenvalues of G [4,5]. It is known that σ1 = 0 and 1 < σn ≤ 2 [4,5]. Our result is the following inequality.
α≤
2σn − 2
σn δ
m.
For its proof, let {u1 , . . . , un } be an orthonormal basis of Rn consisting of eigenvectors of the symmetric matrix L such that ui is an eigenvector of σi for i = 1, . . . , n. Moreover, let y = (y1 , . . . , yn ) ∈ Rn and y = µ1 u1 + · · · + µn un for suitable µ1 , . . . , µn ∈ R. It follows yT Ly = σ2 µ22 + · · · + σn µ2n = −σn µ21 + (σ2 − σn )µ22 + · · · + (σn−1 − σn )µ2n−1 + σn (µ21 + · · · + µ2n ) ≤ −σn µ21 + σn (µ21 +
· · · + µ2n ) = −σn (yT u1 )2 + σn (yT y). Let M be an (n × n) diagonal matrix, where √1d is the ith element of the main diagonal, i and I be the (n × n) identity matrix. With M T = M and L = I − MAM, we obtain yT MAMy ≥ σn (yT u1 )2 + (1 − σn )yT y. We √ √ √ may choose uT1 = √1 ( d1 , . . . , dn ) and, substituting yi = xi di for i = 1, . . . , n, it follows that 2m σn
n
2 + 2m(1 − σn )
d i xi
i=1
n
di x2i ≤ 4m
xi xj
(1)
ij∈E
i =1
= 1 if i ∈ I for arbitrary real numbers x1 , . . . , xn . Let I be a maximum independent set of G and xn = (x1 , . . . , xn ) with xi n and xi = 0, otherwise. By inequality (1), σn ( i∈I di )2 + 2m(1 − σn ) i∈I di = σn ( i=1 di xi )2 + 2m(1 − σn ) i=1 di x2i ≤ 2 4m ij∈E xi xj , hence, with ij∈E xi xj = 0 and i∈I di ≥ δα , it follows α ≤ 2σσn − m. δ n
Let us remark that i=1 di xi = [5,14] and (1) is equivalent to
ij∈E
(xi + xj ) and
n
i =1
n
di x2i =
ij∈E
(x2i + x2j ). Hence, if G is bipartite, then σn = 2
2
(xi + xj )
≤m
(xi + xj )2 .
(2)
ij∈E
ij∈E
Note that inequality (2) is a consequence of the Cauchy–Schwarz inequality and, therefore, (2) is valid also for an arbitrary (not necessarily bipartite) graph n nG. Using (2), 2m i=1 di x2i −( i=1 di xi )2 = 2m ij∈E (x2i + x2j )−( ij∈E (xi + xj ))2 ≥ m(2 ij∈E (x2i + x2j )− ij∈E (xi + xj )2 ) =
m ij∈E (xi − xj )2 ≥ 0 and it follows that the coefficient c (σn ) of σn in inequality (1) is not positive. Hence, the left side of (1) is a non-increasing function in σn and, if σn < 2 and c (σn ) < 0, then (1) is stronger than (2). Next, for given ε > 0, we present the infinite family Fε mentioned in the abstract. For a positive integer k, consider the graph Gk on n = 3k + 1 vertices obtained from k pairwise disjoint paths each on 3 vertices, where the vertices of these paths are numbered arbitrarily from 1 up to 3k, an additional vertex n = 3k + 1, and additional 2k edges connecting n with the 2k endvertices of these paths. Obviously, Gk is bipartite, n has degree 2k, each other vertex has degree 2, m = 4k, δ = 2, and, since Gk is bipartite, σn = 2 and λ √1 = −λn [5,14]. Moreover, 2σn −2 2 n m = α = 2k = ( n − 1 ) . Let x ∈ R be defined by x = 1 if i is a neighbour of n, x = 2k, and xi = 0 otherwise. It i n σ δ 3
n
follows λn ≥
xT Ax xT x
√
=
λ2
−λ λ
n 2k by Rayleigh’s principle [3], hence, δ 2 −λ1 λn n = n > k+k 2 3k. If x is defined by xi = 1 if i = n 4+λ2n 1 n
and xi = 0 otherwise, then ηn ≥
xT Lx xT x
(xT Dx−xT Ax) xT x k−1 k
= 2k, hence,
ηn −δ n ηn
>
k−1 3k. k
Let the integer l = lε ≥ 2 be chosen large
η −δ 1 λn + ε) min{ δ2−λ n, nη n} −λ1 λn n
enough such that l+2 > 1 − It follows ≥ k+2 and ( > ( 32 + ε)(1 − 2+3ε3ε )3k = 2k for all k ≥ l, hence, we are done with Fε = {Gk | k ≥ lε }. 2 Eventually, we show that the difference between 2σσn − m and D.M. Cvetković’s bound min{|{i ∈ {1, . . . , n}|λi ≤ 0}|, |{i ∈ δ l
3ε . 2+3ε
=
k
2 3
n
{1, . . . , n}|λi ≥ 0}|} can be arbitrarily large. For two graphs G on V (G) and G′ on V (G′ ), the cartesian product GG′ is the
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graph on V (G)× V (G′ ) and two vertices (v, v ′ ) and (w, w ′ ) of GG′ are adjacent in GG′ if and only if v = w and v ′ w ′ ∈ E (G′ ) or v ′ = w ′ and vw ∈ E (G). For a positive integer k, consider the bipartite and 4-regular graph Hk = C4k C4k on n = 16k2 2 m = α = 2n for Hk . vertices, where C4k is the cycle on 4k vertices, and it follows 2σσn − δ n
If λ and λ′ are eigenvalues of G and G′ , respectively, then λ + λ′ is an eigenvalue of GG′ [3]. If the graph G is bipartite, then the set of its eigenvalues is symmetric w.r.t. 0 [3]. Since C4k has the eigenvalue 0 with multiplicity 2 [3], Hk has the eigenvalue 0 with multiplicity 4k + 2, and, consequently, min{|{i ∈ {1, . . . , n}|λi ≤ 0}|, |{i ∈ {1, . . . , n}|λi ≥ 0}|} = 2n + 2k + 1 for Hk .
Acknowledgements The authors would like to express their gratitude to Horst Sachs, Ilmenau University of Technology, and two anonymous referees for their valuable advice. References [1] [2] [3] [4] [5] [6] [7] [8] [9] [10] [11] [12] [13] [14] [15] [16]
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