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arXiv:2305.18757 · IEEE International Conference on Quantum Computing and Engineering (QCE)

Improving Performance in Combinatorial Optimization Problems with Inequality Constraints: An Evaluation of the Unbalanced Penalization Method on D-Wave Advantage

J. A. Montañez-Barrera, Pim van den Heuvel, Dennis Willsch, Kristel F. L. Michielsen

Published Sep 17, 2023• 16 citations
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Abstract

Combinatorial optimization problems are one of the target applications of current quantum technology, mainly because of their industrial relevance, the difficulty of solving large instances of them classically, and their equivalence to Ising Hamiltonians using the quadratic unconstrained binary optimization (QUBO) formulation. Many of these applications have inequality constraints, usually encoded as penalization terms in the QUBO formulation using additional variables known as slack variables. The slack variables have two disadvantages: (i) these variables extend the search space of optimal and suboptimal solutions, and (ii) the variables add extra qubits and connections to the quantum algorithm. Recently, a new method known as unbalanced penalization has been presented to avoid using slack variables. This method offers a trade-off between additional slack variables to ensure that the optimal solution is given by the ground state of the Ising Hamiltonian, and using an unbalanced heuristic function to penalize the region where the inequality constraint is violated with the only certainty that the optimal solution will be in the vicinity of the ground state. This work tests the unbalanced penalization method using real quantum hardware on D-Wave Advantage for the traveling salesman problem (TSP). The results show that the unbalanced penalization method outperforms the solutions found using slack variables and sets a new record for the largest TSP solved with quantum technology.

DOI
10.1109/qce57702.2023.00067

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Combinatorial optimization problems are one of the target applications of current quantum technology, mainly because of their industrial relevance, the difficulty of solving large instances of them classically, and their equivalence to Ising Hamiltonians using the quadratic unconstrained binary optimization (QUBO) formulation. Many of these applications have inequality constraints, usually encoded as penalization terms in the QUBO formulation using additional variables known as slack variables. The slack variables have two disadvantages: (i) these variables extend the search space of optimal and suboptimal solutions, and (ii) the variables add extra qubits and connections to the quantum algorithm. Recently, a new method known as unbalanced penalization has been presented to avoid using slack variables. This method offers a trade-off between additional slack variables to ensure that the optimal solution is given by the ground state of the Ising Hamiltonian, and using an unbalanced heuristic function to penalize the region where the inequality constraint is violated with the only certainty that the optimal solution will be in the vicinity of the ground state. This work tests the unbalanced penalization method using real quantum hardware on D-Wave Advantage for the traveling salesman problem (TSP). The results show that the unbalanced penalization method outperforms the solutions found using slack variables and sets a new record for the largest TSP solved with quantum technology.
Abstract Solving combinatorial optimization problems of the kind that can be codified by quadratic unconstrained binary optimization (QUBO) is a promising application of quantum computation. Some problems of this class suitable for practical applications such as the traveling salesman problem (TSP), the bin packing problem (BPP), or the knapsack problem (KP) have inequality constraints that require a particular cost function encoding. The common approach is the use of slack variables to represent the inequality constraints in the cost function. However, the use of slack variables considerably increases the number of qubits and operations required to solve these problems using quantum devices. In this work, we present an alternative method that does not require extra slack variables and consists of using an unbalanced penalization function to represent the inequality constraints in the QUBO. This function is characterized by larger penalization when the inequality constraint is not achieved than when it is. We evaluate our approach on the TSP, BPP, and KP, successfully encoding the optimal solution of the original optimization problem near the ground state cost Hamiltonian. Additionally, we employ D -Wave Advantage and D -Wave hybrid solvers to solve the BPP, surpassing the performance of the slack variables approach by achieving solutions for up to 29 items, whereas the slack variables approach only handles up to 11 items. This new approach can be used to solve combinatorial problems with inequality constraints with a reduced number of resources compared to the slack variables approach using quantum annealing or variational quantum algorithms.
Quantum computing has emerged as a promising alternative for solving combinatorial optimization problems. The standard approach for encoding optimization problems on quantum processing units (QPUs) involves transforming them into their Quadratic Unconstrained Binary Optimization (QUBO) representation. However, encoding constraints of optimization problems, particularly inequality constraints, into QUBO requires additional variables, which results in more qubits. Considering the limited availability of qubits in NISQ machines, existing encoding methods fail to scale due to their reliance on large numbers of qubits. We propose a generalized exponential penalty framework for QUBO inequality constraints inspired by a class of exponential functions, which we call exponential penalization. This paper presents an encoding strategy for inequality constraints in combinatorial optimization problems, inspired by a class of exponential functions, which we call exponential penalization. The initial idea of using exponential penalties for QUBO formulation was introduced by Montanez-Barrera et al. by applying a specific exponential function to reduce qubit requirements. In this work, we extend that approach by conducting a comprehensive study on a broader class of exponential functions, analyzing their theoretical properties and empirical performance. Our experimental results demonstrate that an exponential penalization achieves 57%, 83% qubit number reduction for Bin Packing Problem (BPP) and Traveling Salesman Problem (TSP), respectively. And we demonstrate comparable solution quality to classical with a probability of 6% and 21% accuracy for BPP with 8 and TSP with 12 qubits, respectively.
Quantum annealing (QA) is used to solve combinatorial optimization problems (COPs). When COPs are implemented on quantum annealers, they are typically encoded as quadratic unconstrained binary optimization (QUBO) problems, but constraint encodings often increase the number of qubits and the embedding overhead. This issue is particularly important for COPs with inequality constraints, where standard slack-variable formulations introduce additional binary variables. Unbalanced penalization (UP) avoids slack variables, but the original UP formulation requires tuning two penalty coefficients and contains a squared residual term that can increase the number of quadratic couplings. In this paper, we propose the unbalanced penalization Ohzeki method (UPOM), which combines UP with the Ohzeki method for inequality-constrained COPs. UPOM replaces the two static penalty coefficients of original UP with an auxiliary-variable update and removes the squared residual term from the Hamiltonian used for sampling. We further propose the deep-unfolded unbalanced penalization Ohzeki method (DU-UPOM), which learns the step-size schedule of the UPOM update from training instances. Numerical experiments on random knapsack problems show that UPOM improves over original UP and that DU-UPOM reaches optimal solutions in fewer iterations than fixed-step UPOM and other baseline. These results demonstrate that the proposed framework reduces the tuning and embedding burdens of UP while making the Ohzeki method trainable for inequality constraints.
Quantum computing approaches, such as Quantum Annealing (QA) and the Quantum Approximate Optimization Algorithm (QAOA), have emerged as promising candidates for solving combinatorial optimization problems. Since these approaches typically work with Quadratic Unconstrained Binary Optimization (QUBO) problems, constraints, when present, are commonly encoded as penalty terms. Conventional approaches to incorporate inequality constraints into QUBO formulations additionally require the introduction of slack variables, increasing the required number of qubits. The Knapsack and Bin Packing problems are optimization problems with such inequality constraints. We show that the number of slack variables required to formulate the Knapsack problem as a QUBO problem can be reduced using certain properties specific to this problem. Moreover, we present two separate strategies for the Knapsack and Bin Packing problems that avoid using the costly slack variables altogether. Instead, both strategies solve several QUBO problems, with varying penalty constants, such that at least one of them is a good representation of the given optimization problem. Numerical simulations of QAOA, as well as experiments on a D-Wave quantum annealer, show that these slack-less approaches can improve performance compared to the conventional slack variable method (in terms of success probability), even when the latter is allowed to vary penalty constants too.
Abstract Quantum computers have strict requirements for the problems that they can efficiently solve. One of the principal limiting factor for the performances of noisy intermediate-scale quantum (NISQ) devices is the number of qubits required by the running algorithm. Several combinatorial optimization problems can be solved with NISQ devices once that a corresponding quadratic unconstrained binary optimization (QUBO) form is derived. Numerous techniques have been proposed to achieve such reformulations and, depending on the method chosen, the number of binary variables required, and therefore of qubits, can vary considerably. The aim of this work is to drastically reduce the variables needed for these QUBO reformulations in order to unlock the possibility to efficiently obtain optimal solutions for a class of optimization problems with NISQ devices. This goal is achieved by introducing novel tools that allow an efficient use of slack variables, even for problems with non-linear constraints, without the need to approximate the starting problem. We divide our new techniques in two independent parts, called the iterative quadratic polynomial and the master-satellite methods. Hence, we show how to apply our techniques in case of an NP-hard optimization problem inspired by a real-world financial scenario called Max-Profit Balance Settlement . We follow by submitting several instances of this problem to two D-wave quantum annealers, comparing the performances of our novel approach with the standard methods used in these scenarios. Moreover, this study allows to appreciate several performance differences between the D-wave Advantage and next-generation Advantage2 quantum annealers. We show that the adoption of our techniques in this context allows to obtain QUBO formulations with significantly fewer slack variables, i.e. around 90% less, and D-wave annealers provide considerably higher correct solution rates, which moreover do not decrease with the input size as fast as when adopting standard techniques.
Constraint handling remains a key bottleneck in quantum combinatorial optimization. While slack-variable-based encodings are straightforward, they significantly increase qubit counts and circuit depth, challenging the scalability of quantum solvers. In this work, we investigate a suite of Lagrangian-based optimization techniques including dual ascent, bundle methods, cutting plane approaches, and augmented Lagrangian formulations for solving constrained combinatorial problems on quantum simulators and hardware. Our framework is applied to three representative NP-hard problems: the Travelling Salesman Problem (TSP), the Multi-Dimensional Knapsack Problem (MDKP), and the Maximum Independent Set (MIS). We demonstrate that MDKP and TSP, with their inequality-based or degree-constrained structures, allow for slack-free reformulations, leading to significant qubit savings without compromising performance. In contrast, MIS does not inherently benefit from slack elimination but still gains in feasibility and objective quality from principled Lagrangian updates. We benchmark these methods across classically hard instances, analyzing trade-offs in qubit usage, feasibility, and optimality gaps. Our results highlight the flexibility of Lagrangian formulations as a scalable alternative to naive QUBO penalization, even when qubit savings are not always achievable. This work provides practical insights for deploying constraint-aware quantum optimization pipelines, with applications in logistics, network design, and resource allocation.