In pursuit of the dynamic optimality conjecture

In 1985, Sleator and Tarjan introduced the splay tree, a self-adjusting binary search tree algorithm. Splay trees were conjectured to perform within a constant factor as any offline rotation-based search tree algorithm on every sufficiently long sequence---any binary search tree algorithm that has this property is said to be dynamically optimal. However, currently neither splay trees nor any other tree algorithm is known to be dynamically optimal. Here we survey the progress that has been made in the almost thirty years since the conjecture was first formulated, and present a binary search tree algorithm that is dynamically optimal if any binary search tree algorithm is dynamically optimal.Comment: Preliminary version of paper to appear in the Conference on Space Efficient Data Structures, Streams and Algorithms to be held in August 2013 in honor of Ian Munro's 66th birthda

Optimal Binary Search Trees with Near Minimal Height

Suppose we have n keys, n access probabilities for the keys, and n+1 access probabilities for the gaps between the keys. Let h_min(n) be the minimal height of a binary search tree for n keys. We consider the problem to construct an optimal binary search tree with near minimal height, i.e.\ with height h <= h_min(n) + Delta for some fixed Delta. It is shown, that for any fixed Delta optimal binary search trees with near minimal height can be constructed in time O(n^2). This is as fast as in the unrestricted case. So far, the best known algorithms for the construction of height-restricted optimal binary search trees have running time O(L n^2), whereby L is the maximal permitted height. Compared to these algorithms our algorithm is at least faster by a factor of log n, because L is lower bounded by log n

Subtree weight ratios for optimal binary search trees

For an optimal binary search tree T with a subtree S(d) at a distance d from the root of T, we study the ratio of the weight of S(d) to the weight of T. The maximum possible value, which we call ρ(d), of the ratio of weights, is found to have an upper bound of 2/F_d+3 where F_i is the ith Fibonacci number. For d = 1, 2, 3, and 4, the bound is shown to be tight. For larger d, the Fibonacci bound gives ρ(d) = O(ϕ^d) where ϕ ~ .61803 is the golden ratio. By giving a particular set of optimal trees, we prove ρ(d) = Ω((.58578 ... )^d), and believe a similar proof follows for ρ(d) = Ω((.60179 ... )^d). If we include frequencies for unsuccessful searches in the optimal binary search trees, the Fibonacci bound is found to be tight

Generation of optimal binary split trees

A binary split tree is a search structure combining features of heaps and binary search trees. Building an optimal binary split tree was originally conjectured to be intractable due to difficulties in applying dynamic programming techniques to the problem. However, two algorithms have recently been published which purportedly generate optimal trees in O(n^5) time, for records with distinct access probabilities. An extension allowing non-distinct access probabilities required exponential time. These algorithms consider a range of values when only a single value is possible, and may select an infeasible value which leads to an incorrect result. A dynamic programming method for determining the correct value is given, resulting in an algorithm which builds an optimal binary split tree in O(n^5) time for non-distinct access probabilities and Θ(n^4) time for distinct access probabilities

A subquadratic algorithm for constructing approximately optimal binary search trees

An algorithm is presented which constructs an optimal binary search tree for an ordered list of n items, and which requires subquadratic time if there is no long sublist of very low frequency items. For example, time = O(n^1.6) if the frequency of each item is at least ε/ n for some constant ε &gt; 0.A second algorithm is presented which constructs an approximately optimal binary search tree. This algorithm has one parameter, and exhibits a tradeoff between speed and accuracy. It is possible to choose the parameter such that time = O(n^1.6) and error = o(l)

Dynamic Trees with Almost-Optimal Access Cost

An optimal binary search tree for an access sequence on elements is a static tree that minimizes the total search cost. Constructing perfectly optimal binary search trees is expensive so the most efficient algorithms construct almost optimal search trees. There exists a long literature of constructing almost optimal search trees dynamically, i.e., when the access pattern is not known in advance. All of these trees, e.g., splay trees and treaps, provide a multiplicative approximation to the optimal search cost. In this paper we show how to maintain an almost optimal weighted binary search tree under access operations and insertions of new elements where the approximation is an additive constant. More technically, we maintain a tree in which the depth of the leaf holding an element e_i does not exceed min(log(W/w_i),log n)+O(1) where w_i is the number of times e_i was accessed and W is the total length of the access sequence. Our techniques can also be used to encode a sequence of m symbols with a dynamic alphabetic code in O(m) time so that the encoding length is bounded by m(H+O(1)), where H is the entropy of the sequence. This is the first efficient algorithm for adaptive alphabetic coding that runs in constant time per symbol

Optimal binary search trees with costs depending on the access paths

We describe algorithms for constructing optimal binary search trees, in which the access cost of a key depends on the k preceding keys which were reached in the path to it. This problem has applications to searching on secondary memory and robotics. Two kinds of optimal trees are considered, namely optimal worst case trees and weighted average case trees. The time and space complexities of both algorithms are O(nᵏ+²) and O(nᵏ+¹ ), respectively. The algorithms are based on a convenient decomposition and characterizations of sequences of keys which are paths of special kinds in binary search trees. Finally, using generating funcions, we present an exact analysis of the number of steps performed by the algorithms

Stock Picking via Nonsymmetrically Pruned Binary Decision Trees

Stock picking is the field of financial analysis that is of particular interest for many professional investors and researchers. In this study stock picking is implemented via binary classification trees. Optimal tree size is believed to be the crucial factor in forecasting performance of the trees. While there exists a standard method of tree pruning, which is based on the cost-complexity tradeoff and used in the majority of studies employing binary decision trees, this paper introduces a novel methodology of nonsymmetric tree pruning called Best Node Strategy (BNS). An important property of BNS is proven that provides an easy way to implement the search of the optimal tree size in practice. BNS is compared with the traditional pruning approach by composing two recursive portfolios out of XETRA DAX stocks. Performance forecasts for each of the stocks are provided by constructed decision trees. It is shown that BNS clearly outperforms the traditional approach according to the backtesting results and the Diebold-Mariano test for statistical significance of the performance difference between two forecasting methods.decision tree, stock picking, pruning, earnings forecasting, data mining

Arbitrary weight changes in dynamic trees

We describe an implementation of dynamic weighted trees, called D-trees. Given a set left{ B_{0},...,B_{n}right} of objects and access frequencies q_{0},q_{1},...,q_{n} one wants to store the objects in a binary tree such that average access is nearly optimal and changes of the access frequencies require only small changes of the tree. In D-trees the changes are always limited to the path of search and hence update time is at most proportional to search time