# 基础数据结构和算法十：2-3 search tree

Binary search tree works well for a wide variety of applications, but they have poor worst-case performance. Now we introduce a type of binary search tree where costs are guaranteed to be logarithmic, no matter what sequence of keys is used to construct them. Ideally, we would like to keep our binary search trees perfectly balanced. In an N-node tree, we would like the height to be ~lg N so that we can guarantee that all searches can be completed in ~lg N compares, just as for binary search. Unfortunately, maintaining perfect balance for dynamic insertions is too expensive. In this section, we consider a data structure that slightly relaxes the perfect balance requirement to provide guaranteed logarithmic performance not just for the insert and search operations in our symbol-table API but also for all of the ordered operations (except range search).

The primary step to get the flexibility that we need to guarantee balance in search trees is to allow the nodes in our trees to hold more than one key. Specifically, referring to the nodes in a standard BST as 2-nodes (they hold two links and one key), we now also allow 3-nodes, which hold three links and two keys. Both 2-nodes and 3-nodes have one link for each of the intervals subtended by its keys. A 2-3 search tree is a tree that is either empty or

■ A 2-node, with one key (and associated value) and two links, a left link to a 2-3 search tree with smaller keys, and a right link to a 2-3 search tree with larger keys

■ A 3-node, with two keys (and associated values) and three links, a left link to a 2-3 search tree with smaller keys, a middle link to a 2-3 search tree with keys between the node’s keys, and a right link to a 2-3 search tree with larger keys

As usual, we refer to a link to an empty tree as a null link. A perfectly balanced 2-3 search tree is one whose null links are all the same distance from the root.

Search. The search algorithm for keys in a 2-3 tree directly generalizes the search al- gorithm for BSTs. To determine whether a key is in the tree, we compare it against the keys at the root. If it is equal to any of them, we have a search hit; otherwise, we follow the link from the root to the subtree corresponding to the interval of key values that could contain the search key. If that link is null, we have a search miss; otherwise we recursively search in that subtree.

Insert into a 2-node. To insert a new node in a 2-3 tree, we might do an unsuccessful search and then hook on the node at the bottom, as we did with BSTs, but the new tree would not remain perfectly balanced. The primary reason that 2-3 trees are useful is that we can do insertions and still main- tain perfect balance. It is easy to accomplish this task if the node at which the search terminates is a 2-node: we just replace the node with a 3-node containing its key and the new key to be inserted. If the node where the search terminates is a 3-node, we have more work to do.

Insert into a tree consisting of a single 3-node. As a first warmup before considering the general case, suppose that we want to insert into a tiny 2-3 tree consisting of just a single 3-node. Such a tree has two keys, but no room for a new key in its one node. To be able to perform the insertion, we temporarily put the new key into a 4-node, a natural extension of our node type that has three keys and four links. Creating the 4-node is convenient because it is easy to convert it into a 2-3 tree made up of three 2-nodes, one with the middle key (at the root), one with the smallest of the three keys (pointed to by the left link of the root), and one with the largest of the three keys (pointed to by the right link of the root). Such a tree is a 3-node BST and also a perfectly balanced 2-3 search tree, with all the null links at the same distance from the root. Before the insertion, the height of the tree is 0; after the insertion, the height of the tree is 1. This case is simple, but it is worth considering because it illustrates height growth in 2-3 trees.

Insert into a 3-node whose parent is a 2-node. As a second warmup,suppose that the search ends at a 3-node at the bottom whose parent is a 2-node. In this case, we can still make room for the new key while maintaining perfect balance in the tree, by making a temporary 4-node as just described, then splitting the 4-node as just described, but then, instead of creating a new node to hold the middle key, moving the middle key to the node’s parent. You can think of the transformation as replacing the link to the old 3-node in the parent by the middle key with links on either side to the new 2-nodes. By our assumption, there is room for doing so in the parent: the parent was a 2-node (with one key and two links) and becomes a 3-node (with two keys and three links). Also, this transformation does not affect the defining properties of (perfectly balanced) 2-3 trees. The tree remains or- dered because the middle key is moved to the parent, and it remains perfectly balanced: if all null links are the same distance from the root before the insertion, they are all the same distance from the root after the insertion. Be certain that you understand this transformation—it is the crux of 2-3 tree dynamics.

Insert into a 3-node whose parent is a 3-node. Now suppose that the search ends at a node whose parent is a 3-node. Again, we make a temporary 4-node as just described, then split it and insert its middle key into the parent. The parent was a 3-node, so we replace it with a temporary new 4-node containing the middle key from the 4-node split. Then, we perform precisely the same transformation on that node. That is, we split the new 4-node and insert its middle key into its parent. Extending to the general case is clear: we continue up the tree, splitting 4-nodes and inserting their middle keys in their parents until reaching a 2-node, which we replace with a 3-node that does not need to be further split, or until reaching a 3-node at the root.

Splitting the root. If we have 3-nodes along the whole path from the insertion point to the root, we end up with a temporary 4-node at the root. In this case we can proceed in precisely the same way as for insertion into a tree consisting of a single 3-node. We split the temporary 4-node into three 2-nodes, increasing the height of the tree by 1. Note that this last transformation preserves perfect balance because it is performed at the root.

Local transformations. Splitting a temporary 4-node in a 2-3 tree involves one of six transformations, summarized at the bottom of the next page. The 4-node may be the root; it may be the left child or the right child of a 2-node; or it may be the left child, middle child, or right child of a 3-node. The basis of the 2-3 tree insertion algorithm is that all of these transformations are purely local: no part of the tree needs to be examined or modified other than the specified nodes and links. The number of links changed for each transformation is bounded by a small constant. In particular, the transformations are effective when we find the specified patterns anywhere in the tree, not just at the bottom. Each of the transformations passes up one of the keys from a 4-node to that node’s parent in the tree and then restructures links accordingly, without touching any other part of the tree.

Global properties. Moreover, these local transformations preserve the global properties that the tree is ordered and perfectly balanced: the number of links on the path from the root to any null link is the same. For reference, a complete diagram illustrating this point for the case that the 4-node is the middle child of a 3-node is shown above. If the length of every path from a root to a null link is h before the transformation, then it is h after the transformation. Each transformation preserves this property, even while splitting the 4-node into two 2-nodes and while changing the parent from a 2-node to a 3-node or from a 3-node into a temporary 4-node. When the root splits into three 2-nodes, the length of every path from the root to a null link increases by 1. Another important properties of 2-3 search tree is, unlike standard BSTs, which grow down from the top, 2-3 trees grow up from the bottom. Search and insert operations in a 2-3 tree with N keys are guaranteed to visit at most lg N nodes.

Thus, we can guarantee good worst-case performance with 2-3 trees. The amount of time required at each node by each of the operations is bounded by a constant, and both operations examine nodes on just one path, so the total cost of any search or insert is guaranteed to be logarithmic.

However, we are only part of the way to an implementation. Although it is possible to write code that performs transformations on distinct data types representing 2- and 3-nodes, most of the tasks that we have described are inconvenient to implement in this direct representation because there are numerous different cases to be handled. We would need to maintain two different types of nodes, compare search keys against each of the keys in the nodes, copy links and other information from one type of node to another, convert nodes from one type to another, and so forth. Not only is there a substantial amount of code involved, but the overhead incurred could make the algorithms slower than standard BST search and insert. The primary purpose of balancing is to provide insurance against a bad worst case, but we would prefer the overhead cost for that insurance to be low. Fortunately, as you will see, we can do the transformations in a uniform way using little overhead with Red-Black tree.

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