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Approximation lower bounds under distinct selection assumptions

Statement

Assume the Axiom of Choice. Let Fd,n be the unit ball of Wn,∞((0,1)d) for the maximum weak-derivative norm, identified with its continuous representatives on [0,1]d. The following lower bounds have distinct hypotheses. (i) Let W≥1, let η:RW→C([0,1]d) be an approximation map, and suppose a parameter-selection map M:Fd,n→RW, continuous for the uniform norm on Fd,n, satisfies ∥f−η(M(f))∥∞≤ε for every f∈Fd,n. Then W≥cε−d/n. (ii) If one fixed ReLU architecture with W weights approximates every f∈Fd,n within ε, with no continuity assumption on weight selection, then W≥cε−d/(2n); if its depth is at most c1(log⁡(1/ε))p for fixed p≥0 and c1>0, then W≥c2ε−d/n(log⁡(1/ε))−2p−1 for sufficiently small ε. (iii) If L≥3 is fixed and f∈C2([0,1]d) is nonlinear, then every depth-L ReLU network approximating f uniformly within ε has at least c(f,L)ε−1/(2(L−2)) weights and computation units for sufficiently small ε. All constants may depend only on the indicated fixed parameters.

Facts & Assumptions

Given: The Axiom of Choice, integers d,n≥1, the class Fd,n, the parameter-selection hypotheses for clauses (i)–(ii), and the depth and smoothness hypotheses for clause (iii).

[F1]

A scalar-input ReLU network with hidden widths n1,…,nH has at most ∏ℓ=1H(nℓ+1) affine intervals (A univariate ReLU network with H hidden layers has a product bound on affine intervals).

[F2]

Under AC, a uniform-norm continuous selector into RW and arbitrary decoder on the stated Sobolev ball have worst-case error at least cd,n(W+1)−n/d (Sobolev lower bound for continuous parameter selection).

[F3]

For a fixed scalar-output ReLU architecture with W weights, including biases, and depth L, threshold classifiers have VC dimension at most CW2 and at most CL2Wlog⁡(2W) (VC bounds for a fixed ReLU architecture).

Proof

1.1givenF2algebra

By [F2], the hypotheses of clause (i) imply ε≥cd,n(W+1)−n/d. Since W≥1, we have W+1≤2W, hence W≥12cd,nd/nε−d/n. The decoder needs no continuity; exactly the selector topology in the statement is used.

1.2givenconstructalgebra

For clause (ii), write p(t)=(4t(1−t))n+1 on [0,1], extended by zero, and ψ(x)=∏r=1dp(xr). The polynomial has endpoint zeros of order n+1, so its zero extension is Cn. Put B=max⁡∣α∣≤n∥Dαψ∥∞≥1. Partition the cube into Kd cubes of side 1/K, with lower vertices vj, and define ϕj(x)=B−1K−nψ(K(x−vj)). All derivatives through order n vanish at support boundaries, so the weak derivatives of these finite sums are their classical derivatives, as follows by integration by parts with zero boundary terms. Disjoint support interiors imply that every fσ=∑j=1Kdσjϕj, σj∈{−1,1}, belongs to Fd,n, since ∥Dαfσ∥∞≤K∣α∣−n≤1 for ∣α∣≤n. At the center xj of cube j, fσ(xj)=σjB−1K−n.

1.3givenchooseconstruct

For clause (iii), nonlinearity of f implies that its Hessian is nonzero at an interior point; otherwise all first derivatives are constant on the connected cube and f is affine. A symmetric nonzero Hessian has a direction with nonzero second directional derivative. By continuity choose a short interior segment and parameterize it by t∈[0,1], so g(t)=f(a+tv) has either g′′≥c0>0 throughout or g′′≤−c0<0 throughout. The approximating network restricts to a scalar-input network of at most the same depth and unit count.

2.1step 1.2constructalgebra

For sufficiently small ε>0, choose K=⌊(1/(4Bε))1/n⌋≥12(1/(4Bε))1/n. Then the center amplitude B−1K−n is at least 4ε. Every approximant to fσ within ε has positive output at centers with σj=1 and negative output at centers with σj=−1. Thus the threshold classifiers from the one fixed architecture shatter these Kd≥cd,nε−d/n centers.

3.1F3step 2.1algebra

Combining step 2.1 with the first bound in [F3] gives cd,nε−d/n≤CW2, hence W≥cε−d/(2n). Shrinking the constant covers the remaining non-small accuracies, because any scalar-output architecture has W≥1.

3.2F3step 2.1algebra

If L≤c1(log⁡(1/ε))p, the second bound in [F3] gives cd,nε−d/n≤Cc12W(log⁡(1/ε))2plog⁡(2W). For sufficiently small ε, if W≥ε−d/n the desired conclusion follows directly since log⁡(1/ε)≥1. Otherwise log⁡(2W)≤log⁡2+(d/n)log⁡(1/ε)≤Cd,nlog⁡(1/ε), and rearrangement gives W≥c2ε−d/n(log⁡(1/ε))−2p−1. No assumption on continuity of the targetwise weight choices was made in either shattering argument.

4.1F1step 1.3algebra∎

Write H=L−2 and let U be its hidden unit count. Discard units with no path to the output and absorb input-independent units into their downstream biases; this preserves the restricted function and does not increase the remaining hidden unit count. Partition the remaining hidden units by topological rank, where rank is the greatest number of hidden units on an input-to-that-unit path. Every rank is at most H, and every predecessor hidden unit has smaller rank. Let nℓ count rank ℓ, setting nℓ=0 for unused ranks; these are counts in a partition, not inserted computation layers. Maintain a common affine partition for the input and all earlier unit outputs, retaining those outputs when the next rank is processed. Every preactivation at that rank is affine on each existing interval, including all skip-edge terms, so its at most nℓ zeros split that interval into at most nℓ+1 pieces. Thus the interval count in [F1] applies to this rank partition, and ∑ℓnℓ≤U. By AM–GM, the restricted network has at most M≤∏ℓ=1H(nℓ+1)≤(1+U/H)H affine intervals. One has length h≥1/M. On this interval the network output r is affine. If g′′≥c0, midpoint convexity applied to g(t)−c0t2/2 gives g(a)+g(b)−2g((a+b)/2)≥c0h2/4; in the other case apply this to −g. The affine second difference of r is zero; the three uniform errors bound the absolute second difference of g by 4ε. Thus ε≥c0/(16M2). Rearranging gives U≥c(f,L)ε−1/(2H) for small ε. Each hidden unit has a counted bias parameter, so the number of weights is at least U, proving clause (iii). AC and its countable-choice consequence are inherited through the stated Sobolev representative and width suppliers; the finite sign and segment constructions require no additional choice.

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