On Tree-Growing Search Strategies

Hosam M. Mahmoud

Algorithms Project, INRIA Rocquencourt and The George Washington University

Algorithms Seminar

January 5, 1998

[summary by Michèle Soria]

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Abstract
A search algorithm that adds a key to a sorted file can be represented by a deterministic tree whose external nodes are equally likely targets for insertion. The collection of algorithms that one uses throughout the stages of insertion sort is called a search strategy. Using the concept of ``tree-growing'' strategy, we demonstrate that most practical algorithm have a normal behavior. We present a sufficient condition for normality of tree-growing strategies. The sufficient condition specifies a relationship between the overall variance and the rate of growth in height of the sequence of trees that the search strategy ``grows''.

Insertion sort is a well-known on-line sorting algorithm: at each stage of the sorting, the elements obtained so far make up a sorted array; when reading a new element, the algorithm searches for its proper position in the array and inserts it. The searching may be done by any method (linear, binary, etc) and the methods may be different from one stage to another. At each stage, given a searching strategy, the positions of probes (positions for comparisons between the new element to be inserted and elements of the current array) is represented by a binary decision tree. The first probe is the root of the decision tree, the two positions of the second probe, at most one on each side of the first probe, become the children of the root and all internal nodes are constructed so forth. The leaves of the tree correspond to the places where new elements are to be inserted. The root-to-leaf paths of the tree thus represent the possible probe sequences of the searching algorithm.

## 1   Tree-growing and normal strategies

Let Si denote the searching algorithm at stage i, with corresponding decision tree Ti; the collection of searching algorithms S = {Si}i=1¥, or equivalently the collection of corresponding decision trees T = {Ti}i=1¥, will be called a search strategy. A search strategy is tree-growing if, for each positive integer i, the shape of Ti+1 is obtained by replacing a leaf of Ti by an internal node (with two hanging leaves).

We analyse tree-growing search strategies under the assumption of uniform distribution of the leaves at each stage. Let the random variable Cn be the total number of times S compares a new element to a probe during the sorting of the first n elements. The class of normal search strategies is composed of the strategies for which Cn, once normalized, converges in distribution to the normal law, i.e.
Cn-E[Cn]
(Var[Cn])1/2
®
 D
N(0,1).
The following lemma gives a sufficient condition for a tree-growing strategy to be normal. This condition relates the variance of Cn to the height of the decision trees of the search strategy. We denote by hn the height of tree Tn, and by sn2 the variance of Cn.
Lemma 1   If hn=o(sn) then S is a normal strategy.

Proof. Cn is the sum of n random variables (Xi)i=1,...,n, where Xi denotes the number of comparisons made by Si. Since each insertion is performed independently of all others, we assume the Xi's to be independent random variables. The proof of Lemma 1 is a technical verification of Lindeberg's condition, which ensures normality:
"e>0,
 lim n®¥
1
sn2
 n-1 å i=1
ó
õ
 |Xi|>e sn
Xi2 dF
 Xi
= 0.

Practically for a given strategy, the difficulty lies in computing the variance of Cn, which is the sum of the variances of the Xi's. The most commonly used strategies, linear search and binary search, satisfy the condition of Lemma 1. When linear search is used at every stage, it is easy to show that Cn has average value asymptotic to n2/4, and variance asymptotic to n3/36, whereas hn equals n-1. For binary repeated search strategies, one can easily show that hn is asymptotic to log n and the average value of Cn is equivalent to nlog2 n, but the computation of the variance is more intricate and finally leads to sn2=n A(n) + O(log n), where A(n) is an oscillating function of bounded magnitude.

There exists tree-growing search strategies which are not normal. In , the authors exhibit a strategy that does not satisfy the condition of Lemma 1, and can be shown to be non normal by Feller-Lindeberg condition (see [1, vol. 2, §XV.6]). To ensure normality, some further conditions, which are presented in the next section, are required on the decision trees of the search strategy.

## 2   Normality of consistent strategies

This section identifies a subclass of tree-growing strategies, the consistent strategies, which are proved to be normal.

Let T = {Ti}i=1¥ be the collection of decision trees corresponding to a search strategy S. For each Ti, we denote by TLi its left subtree (with size nLi) and TRi its right subtree (with size nRi). The size of the smaller subtree is noted by g(i)=min(nLi, nRi) . A search strategy S is said to be self-similar if for each decision tree, its left and right subtrees belong to T, that is TLi=TnLi and TRi=TnRi (where trees are considered as equal if they have the same shape). And S is said to be well-proportioned if the proportion of nodes belonging to the smaller subtree approaches a limit as i tends to infinity, that is limi® ¥ g(i)/i exists. Finally we call consistent a strategy which is tree-growing, self-similar and well proportioned. Many usual strategies, such as linear search (g(i)/i® 0) or binary search (g(i)/i® 1/2), are consistent.
Theorem 1   All consistent strategies are normal.

The proof of this theorem relies on three properties of search strategies decision trees that ensure the sufficient condition for normality stated in Lemma 1.

Property 1   For each positive integer i, the decision tree Ti has at least one external node on each unsaturated level.
Property 2   Let mk be the number of decision trees with height k, the sequence {mk}k=1¥ is nondecreasing in k.
For consistent strategies, these two properties result from self-similarity and tree-growing of the decision trees.

Property 3   The variance of Cn satisfies sn2=W (n).
This property holds true for any decision tree, the intuition being that the tree with smallest variance is the complete binary tree (all levels saturated, except possibly the last one), which is the decision tree associated with binary search.

The proof of Theorem 1 considers two cases, g(i)/i® 1/2 and lim g(i)/iÎ [0, 1/2). In the first case the strategy is similar to binary search, hn=o(sn) and the result follows from Property 3. In the second case Properties 1 and 2 are used to show that hn=o(sn).

## 3   Relaxed conditions for normality

The sufficient condition for normality stated in Lemma 1 holds true for some families of tree-growing search strategies that are not consistent. For example, Fibonaccian search, where Fibonacci numbers are used to indicate the next probe, is not consistent since lim g(i)/i does not exist; but it can be shown to be normal with a proof similar to the one of Theorem 1, since liminfn®¥ g(n)/n as well as limsupn®¥ g(n)/n stand in (0,1/2).

More generally, one can exhibit different conditions on search strategies, that lead to normality by showing that the heights of the decision trees grow at a steady rate. For example
Proposition 1   Any tree-growing search strategy S for which liminfn®¥ g(n)/n belongs to (0,1/2) is normal.
Proposition 2   If mk=W (k1+e) for some e >0, and Var[Xn]= W (1), then the corresponding tree-growing search strategy is normal.

## References


Feller (William). -- An introduction to probability theory and its applications. -- John Wiley & Sons Inc., New York, 1971, second edition, vol. II, xxiv+669p.


Lent (Janice) and Mahmoud (Hosam M.). -- On tree-growing search strategies. The Annals of Applied Probability, vol. 6, n°4, 1996, pp. 1284--1302.

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