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1. Deterministic Guarantees for Burer‐Monteiro Factorizations of Smooth Semidefinite Programs

   Boumal, Nicolas ; Voroninski, Vladislav ; Bandeira, Alfonso S. ( January 2019 , Communications on pure and applied mathematics)

   We consider semidefinite programs (SDPs) with equality constraints. The variable to be optimized is a positive semidefinite matrix X of size n. Following the Burer‐Monteiro approach, we optimize a factor Y of size n × p instead, such that X = YYT. This ensures positive semidefiniteness at no cost and can reduce the dimension of the problem if p is small, but results in a nonconvex optimization problem with a quadratic cost function and quadratic equality constraints in Y. In this paper, we show that if the set of constraints on Y regularly defines a smooth manifold, then, despite nonconvexity, first‐ and second‐order necessary optimality conditions are also sufficient, provided p is large enough. For smaller values of p, we show a similar result holds for almost all (linear) cost functions. Under those conditions, a global optimum Y maps to a global optimum X = YYT of the SDP. We deduce old and new consequences for SDP relaxations of the generalized eigenvector problem, the trust‐region subproblem, and quadratic optimization over several spheres, as well as for the Max‐Cut and Orthogonal‐Cut SDPs, which are common relaxations in stochastic block modeling and synchronization of rotations. © 2018 Wiley Periodicals, Inc.
2. Florida mangrove saltmarsh reference surface soils

   https://doi.org/10.6073/pasta/0e08cbe07c84488cb7b9dd16669946d0  

   Lewis, David Bruce ( January 2021 )

   Abstract

   Site description. This data package consists of data obtained from sampling surface soil (the 0-7.6 cm depth profile) in black mangrove (Avicennia germinans) dominated forest and black needlerush (Juncus roemerianus) saltmarsh along the Gulf of Mexico coastline in peninsular west-central Florida, USA. This location has a subtropical climate with mean daily temperatures ranging from 15.4 °C in January to 27.8 °C in August, and annual precipitation of 1336 mm. Precipitation falls as rain primarily between June and September. Tides are semi-diurnal, with 0.57 m median amplitudes during the year preceding sampling (U.S. NOAA National Ocean Service, Clearwater Beach, Florida, station 8726724). Sea-level rise is 4.0 ± 0.6 mm per year (1973-2020 trend, mean ± 95 % confidence interval, NOAA NOS Clearwater Beach station). The A. germinans mangrove zone is either adjacent to water or fringed on the seaward side by a narrow band of red mangrove (Rhizophora mangle). A near-monoculture of J. roemerianus is often adjacent to and immediately landward of the A. germinans zone. The transition from the mangrove to the J. roemerianus zone is variable in our study area. An abrupt edge between closed-canopy mangrove and J. roemerianus monoculture may extend for up to several hundred meters in some locations, while other stretches of ecotone present a gradual transition where smaller, widely spaced trees are interspersed into the herbaceous marsh. Juncus roemerianus then extends landward to a high marsh patchwork of succulent halophytes (including Salicornia bigellovi, Sesuvium sp., and Batis maritima), scattered dwarf mangrove, and salt pans, followed in turn by upland vegetation that includes Pinus sp. and Serenoa repens. Field design and sample collection. We established three study sites spaced at approximately 5 km intervals along the western coastline of the central Florida peninsula. The sites consisted of the Salt Springs (28.3298°, -82.7274°), Energy Marine Center (28.2903°, -82.7278°), and Green Key (28.2530°, -82.7496°) sites on the Gulf of Mexico coastline in Pasco County, Florida, USA. At each site, we established three plot pairs, each consisting of one saltmarsh plot and one mangrove plot. Plots were 50 m^2 in size. Plots pairs within a site were separated by 230-1070 m, and the mangrove and saltmarsh plots composing a pair were 70-170 m apart. All plot pairs consisted of directly adjacent patches of mangrove forest and J. roemerianus saltmarsh, with the mangrove forests exhibiting a closed canopy and a tree architecture (height 4-6 m, crown width 1.5-3 m). Mangrove plots were located at approximately the midpoint between the seaward edge (water-mangrove interface) and landward edge (mangrove-marsh interface) of the mangrove zone. Saltmarsh plots were located 20-25 m away from any mangrove trees and into the J. roemerianus zone (i.e., landward from the mangrove-marsh interface). Plot pairs were coarsely similar in geomorphic setting, as all were located on the Gulf of Mexico coastline, rather than within major sheltering formations like Tampa Bay, and all plot pairs fit the tide-dominated domain of the Woodroffe classification (Woodroffe, 2002, "Coasts: Form, Process and Evolution", Cambridge University Press), given their conspicuous semi-diurnal tides. There was nevertheless some geomorphic variation, as some plot pairs were directly open to the Gulf of Mexico while others sat behind keys and spits or along small tidal creeks. Our use of a plot-pair approach is intended to control for this geomorphic variation. Plot center elevations (cm above mean sea level, NAVD 88) were estimated by overlaying the plot locations determined with a global positioning system (Garmin GPS 60, Olathe, KS, USA) on a LiDAR-derived bare-earth digital elevation model (Dewberry, Inc., 2019). The digital elevation model had a vertical accuracy of ± 10 cm (95 % CI) and a horizontal accuracy of ± 116 cm (95 % CI). Soil samples were collected via coring at low tide in June 2011. From each plot, we collected a composite soil sample consisting of three discrete 5.1 cm diameter soil cores taken at equidistant points to 7.6 cm depth. Cores were taken by tapping a sleeve into the soil until its top was flush with the soil surface, sliding a hand under the core, and lifting it up. Cores were then capped and transferred on ice to our laboratory at the University of South Florida (Tampa, Florida, USA), where they were combined in plastic zipper bags, and homogenized by hand into plot-level composite samples on the day they were collected. A damp soil subsample was immediately taken from each composite sample to initiate 1 y incubations for determination of active C and N (see below). The remainder of each composite sample was then placed in a drying oven (60 °C) for 1 week with frequent mixing of the soil to prevent aggregation and liberate water. Organic wetland soils are sometimes dried at 70 °C, however high drying temperatures can volatilize non-water liquids and oxidize and decompose organic matter, so 50 °C is also a common drying temperature for organic soils (Gardner 1986, "Methods of Soil Analysis: Part 1", Soil Science Society of America); we accordingly chose 60 °C as a compromise between sufficient water removal and avoidance of non-water mass loss. Bulk density was determined as soil dry mass per core volume (adding back the dry mass equivalent of the damp subsample removed prior to drying). Dried subsamples were obtained for determination of soil organic matter (SOM), mineral texture composition, and extractable and total carbon (C) and nitrogen (N) within the following week. Sample analyses. A dried subsample was apportioned from each composite sample to determine SOM as mass loss on ignition at 550 °C for 4 h. After organic matter was removed from soil via ignition, mineral particle size composition was determined using a combination of wet sieving and density separation in 49 mM (3 %) sodium hexametaphosphate ((NaPO_3)_6) following procedures in Kettler et al. (2001, Soil Science Society of America Journal 65, 849-852). The percentage of dry soil mass composed of silt and clay particles (hereafter, fines) was calculated as the mass lost from dispersed mineral soil after sieving (0.053 mm mesh sieve). Fines could have been slightly underestimated if any clay particles were burned off during the preceding ignition of soil. An additional subsample was taken from each composite sample to determine extractable N and organic C concentrations via 0.5 M potassium sulfate (K_2SO_4) extractions. We combined soil and extractant (ratio of 1 g dry soil:5 mL extractant) in plastic bottles, reciprocally shook the slurry for 1 h at 120 rpm, and then gravity filtered it through Fisher G6 (1.6 μm pore size) glass fiber filters, followed by colorimetric detection of nitrite (NO_2^-) + nitrate (NO_3^-) and ammonium (NH_4^+) in the filtrate (Hood Nowotny et al., 2010,Soil Science Society of America Journal 74, 1018-1027) using a microplate spectrophotometer (Biotek Epoch, Winooski, VT, USA). Filtrate was also analyzed for dissolved organic C (referred to hereafter as extractable organic C) and total dissolved N via combustion and oxidation followed by detection of the evolved CO_2 and N oxide gases on a Formacs HT TOC/TN analyzer (Skalar, Breda, The Netherlands). Extractable organic N was then computed as total dissolved N in filtrate minus extractable mineral N (itself the sum of extractable NH_4-N and NO_2-N + NO_3-N). We determined soil total C and N from dried, milled subsamples subjected to elemental analysis (ECS 4010, Costech, Inc., Valencia, CA, USA) at the University of South Florida Stable Isotope Laboratory. Median concentration of inorganic C in unvegetated surface soil at our sites is 0.5 % of soil mass (Anderson, 2019, Univ. of South Florida M.S. thesis via methods in Wang et al., 2011, Environmental Monitoring and Assessment 174, 241-257). Inorganic C concentrations are likely even lower in our samples from under vegetation, where organic matter would dilute the contribution of inorganic C to soil mass. Nevertheless, the presence of a small inorganic C pool in our soils may be counted in the total C values we report. Extractable organic C is necessarily of organic C origin given the method (sparging with HCl) used in detection. Active C and N represent the fractions of organic C and N that are mineralizable by soil microorganisms under aerobic conditions in long-term soil incubations. To quantify active C and N, 60 g of field-moist soil were apportioned from each composite sample, placed in a filtration apparatus, and incubated in the dark at 25 °C and field capacity moisture for 365 d (as in Lewis et al., 2014, Ecosphere 5, art59). Moisture levels were maintained by frequently weighing incubated soil and wetting them up to target mass. Daily CO_2 flux was quantified on 29 occasions at 0.5-3 week intervals during the incubation period (with shorter intervals earlier in the incubation), and these per day flux rates were integrated over the 365 d period to compute an estimate of active C. Observations of per day flux were made by sealing samples overnight in airtight chambers fitted with septa and quantifying headspace CO_2 accumulation by injecting headspace samples (obtained through the septa via needle and syringe) into an infrared gas analyzer (PP Systems EGM 4, Amesbury, MA, USA). To estimate active N, each incubated sample was leached with a C and N free, 35 psu solution containing micronutrients (Nadelhoffer, 1990, Soil Science Society of America Journal 54, 411-415) on 19 occasions at increasing 1-6 week intervals during the 365 d incubation, and then extracted in 0.5 M K_2SO_4 at the end of the incubation in order to remove any residual mineral N. Active N was then quantified as the total mass of mineral N leached and extracted. Mineral N in leached and extracted solutions was detected as NH_4-N and NO_2-N + NO_3-N via colorimetry as above. This incubation technique precludes new C and N inputs and persistently leaches mineral N, forcing microorganisms to meet demand by mineralizing existing pools, and thereby directly assays the potential activity of soil organic C and N pools present at the time of soil sampling. Because this analysis commences with disrupting soil physical structure, it is biased toward higher estimates of active fractions. Calculations. Non-mobile C and N fractions were computed as total C and N concentrations minus the extractable and active fractions of each element. This data package reports surface-soil constituents (moisture, fines, SOM, and C and N pools and fractions) in both gravimetric units (mass constituent / mass soil) and areal units (mass constituent / soil surface area integrated through 7.6 cm soil depth, the depth of sampling). Areal concentrations were computed as X × D × 7.6, where X is the gravimetric concentration of a soil constituent, D is soil bulk density (g dry soil / cm^3), and 7.6 is the sampling depth in cm.
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3. Smoothed analysis for low-rank solutions to semidefinite programs in quadratic penalty form

   Bhojanapalli, Srinadh ; Boumal, Nicolas ; Jain, Prateek ; Netrapalli, Praneeth ( January 2018 , Proceedings of the 31st Conference On Learning Theory, PMLR)

   Semidefinite programs (SDP) are important in learning and combinatorial optimization with numerous applications. In pursuit of low-rank solutions and low complexity algorithms, we consider the Burer–Monteiro factorization approach for solving SDPs. For a large class of SDPs, upon random perturbation of the cost matrix, with high probability, we show that all approximate second-order stationary points are approximate global optima for the penalty formulation of appropriately rank-constrained SDPs, as long as the number of constraints scales sub-quadratically with the desired rank. Our result is based on a simple penalty function formulation of the rank-constrained SDP along with a smoothed analysis to avoid worst-case cost matrices. We particularize our results to two applications, namely, Max-Cut and matrix completion.
4. Batched Predecessor and Sorting with Size-Priced Information in External Memory

   Bender, Michael ; Goswami, Mayank ; Medjedovic, Dzejla ; Montes, Pablo ; Tsichlas, Kostas ( January 2021 , Latin American Theoretical Informatics Symposium)

   In the unit-cost comparison model, a black box takes an input two items and outputs the result of the comparison. Problems like sorting and searching have been studied in this model, and it has been general- ized to include the concept of priced information, where different pairs of items (say database records) have different comparison costs. These comparison costs can be arbitrary (in which case no algorithm can be close to optimal (Charikar et al. STOC 2000)), structured (for exam- ple, the comparison cost may depend on the length of the databases (Gupta et al. FOCS 2001)), or stochastic (Angelov et al. LATIN 2008). Motivated by the database setting where the cost depends on the sizes of the items, we consider the problems of sorting and batched predecessor where two non-uniform sets of items A and B are given as input. (1) In the RAM setting, we consider the scenario where both sets have n keys each. The cost to compare two items in A is a, to compare an item of A to an item of B is b, and to compare two items in B is c. We give upper and lower bounds for the case a ≤more »b ≤ c, the case that serves as a warmup for the generalization to the external-memory model. Notice that the case b = 1,a = c = ∞ is the famous “nuts and bolts” problem. ) In the Disk-Access Model (DAM), where transferring elements between disk and internal memory is the main bottleneck, we con- sider the scenario where elements in B are larger than elements in A. The larger items take more I/Os to be brought into memory, consume more space in internal memory, and are required in their entirety for comparisons. A key observation is that the complexity of sorting depends heavily on the interleaving of the small and large items in the final sorted order. If all large elements come after all small elements in the final sorted order, sorting each type separately and concatenating is optimal. However, if the set of predecessors of B in A has size k ≪ n, one must solve an associated batched predecessor problem in order to achieve optimality. We first give output-sensitive lower and upper bounds on the batched predecessor problem, and use these to derive bounds on the complexity of sorting in the two models. Our bounds are tight in most cases, and require novel generalizations of the classical lower bound techniques in external memory to accommodate the non-uniformity of keys.« less
5. Set Cover in Sub-linear Time

   Indyk, Piotr ; Mahabadi, Sepideh ; Rubinfeld, Ronitt ; Vakilian, Ali ; Yodpinyanee, Anak ( January 2018 , Annual ACM-SIAM Symposium on Discrete Algorithms)

   We study the classic set cover problem from the perspective of sub-linear algorithms. Given access to a collection of m sets over n elements in the query model, we show that sub-linear algorithms derived from existing techniques have almost tight query complexities. On one hand, first we show an adaptation of the streaming algorithm presented in [17] to the sub-linear query model, that returns an α-approximate cover using Õ(m(n/k)^1/(α–1) + nk) queries to the input, where k denotes the value of a minimum set cover. We then complement this upper bound by proving that for lower values of k, the required number of queries is , even for estimating the optimal cover size. Moreover, we prove that even checking whether a given collection of sets covers all the elements would require Ω(nk) queries. These two lower bounds provide strong evidence that the upper bound is almost tight for certain values of the parameter k. On the other hand, we show that this bound is not optimal for larger values of the parameter k, as there exists a (1 + ε)-approximation algorithm with Õ(mn/kε^2) queries. We show that this bound is essentially tight for sufficiently small constant ε, by establishing amore »lower bound of query complexity. Our lower-bound results follow by carefully designing two distributions of instances that are hard to distinguish. In particular, our first lower bound involves a probabilistic construction of a certain set system with a minimum set cover of size αk, with the key property that a small number of “almost uniformly distributed” modifications can reduce the minimum set cover size down to k. Thus, these modifications are not detectable unless a large number of queries are asked. We believe that our probabilistic construction technique might find applications to lower bounds for other combinatorial optimization problems.« less