SortInsertion Sort

Sorting can be done in expected O(N log N) time by various algorithms (quicksort, mergesort, heapsort, etc.). But for smallish inputs, a simple quadratic-time algorithm such as insertion sort can actually be faster. It's certainly easier to implement -- and to verify.
If you don't recall insertion sort or haven't seen it in a while, see Wikipedia or read any standard textbook; for example:
  • Sections 2.0 and 2.1 of Algorithms, Fourth Edition, by Sedgewick and Wayne, Addison Wesley 2011; or
  • Section 2.1 of Introduction to Algorithms, 3rd Edition, by Cormen, Leiserson, and Rivest, MIT Press 2009.

The Insertion-Sort Program

Insertion sort is usually presented as an imperative program operating on arrays. But it works just as well as a functional program operating on linked lists.
(* insert i l inserts i into its sorted place in list l.
   Precondition: l is sorted. *)

Fixpoint insert (i : nat) (l : list nat) :=
  match l with
  | [][i]
  | h :: tif i <=? h then i :: h :: t else h :: insert i t

Fixpoint sort (l : list nat) : list nat :=
  match l with
  | [][]
  | h :: tinsert h (sort t)

Example sort_pi :
  sort [3;1;4;1;5;9;2;6;5;3;5]
  = [1;1;2;3;3;4;5;5;5;6;9].
Proof. simpl. reflexivity. Qed.
What Sedgewick/Wayne and Cormen/Leiserson/Rivest don't acknowlege is that the arrays-and-swaps model of sorting is not the only one in the world. We are writing functional programs, where our sequences are (typically) represented as linked lists, and where we do not destructively splice elements into those lists.
As usual with functional lists, the output of sort may share memory with the input. For example:
Compute insert 7 [1; 3; 4; 8; 12; 14; 18].
(* = 1; 3; 4; 7; 8; 12; 14; 18 *)
The tail of this list, 12 :: 14 :: 18 :: [], is not disturbed or rebuilt by the insert algorithm. The head 1 :: 3 :: 4 :: 7 :: ... contains new nodes constructed by insert. The first three nodes of the old list, 1 :: 3 :: 4 :: ..., will likely be garbage-collected if no other data structure is still pointing at them. Thus, in this typical case,
  • Time cost = 4X
  • Space cost = (4-3)Y = Y
where X and Y are constants, independent of the length of the tail. The value Y is the number of bytes in one list node: 2 to 4 words, depending on how the implementation handles constructor-tags. We write (4-3) to indicate that four list nodes are constructed, while three list nodes become eligible for garbage collection.
We will not prove such things about the time and space cost, but they are true anyway, and we should keep them in consideration.

Specification of Correctness

A sorting algorithm must rearrange the elements into a list that is totally ordered. There are many ways we might express that idea formally in Coq. One is with an inductively-defined relation that says:
  • The empty list is sorted.
    • Any single-element list is sorted.
    • For any two adjacent elements, they must be in the proper order.
Inductive sorted : list nat Prop :=
| sorted_nil :
    sorted []
| sorted_1 : x,
    sorted [x]
| sorted_cons : x y l,
    x y sorted (y :: l) sorted (x :: y :: l).

This definition might not be the most obvious. Another definition, perhaps more familiar, might be: for any two elements of the list (regardless of whether they are adjacent), they should be in the proper order. Let's try formalizing that.
We can think in terms of indices into a list lst, and say: for any valid indices i and j, if i < j then index lst i index lst j, where index lst n means the element of lst at index n. Unfortunately, formalizing this idea becomes messy, because any Coq function implementing index must be total: it must return some result even if the index is out of range for the list. The Coq standard library contains two such functions:
Check nth : A : Type, nat list A A A.
Check nth_error : A : Type, list A nat option A.
These two functions ensure totality in different ways:
  • nth takes an additional argument of type A --a default value-- to be returned if the index is out of range, whereas
  • nth_error returns Some v if the index is in range and None
    • -an error-- otherwise.
If we use nth, we must ensure that indices are in range:
Definition sorted'' (al : list nat) := i j,
    i < j < length al
    nth i al 0 nth j al 0.
The choice of default value, here 0, is unimportant, because it will never be returned for the i and j we pass.
If we use nth_error, we must add additional antecedents:
Definition sorted' (al : list nat) := i j iv jv,
    i < j
    nth_error al i = Some iv
    nth_error al j = Some jv
    iv jv.
Here, the validity of i and j are implicit in the fact that we get Some results back from each call to nth_error.
All three definitions of sortedness are reasonable. In practice, sorted' is easier to work with than sorted'' because it doesn't need to mention the length function. And sorted is easiest, because it doesn't need to mention indices.
Using sorted, we specify what it means to be a correct sorting algorthm:
Definition is_a_sorting_algorithm (f: list nat list nat) := al,
    Permutation al (f al) sorted (f al).
Function f is a correct sorting algorithm if f al is sorted and is a permutation of its input.

Proof of Correctness

In the following exercises, you will prove the correctness of insertion sort.

Exercise: 3 stars, standard (insert_sorted)

(* Prove that insertion maintains sortedness. Make use of tactic
   bdestruct, defined in Perm. *)

Lemma insert_sorted:
   a l, sorted l sorted (insert a l).
  intros a l S. induction S; simpl.
  (* FILL IN HERE *) Admitted.

Exercise: 2 stars, standard (sort_sorted)

Using insert_sorted, prove that insertion sort makes a list sorted.
Theorem sort_sorted: l, sorted (sort l).
  (* FILL IN HERE *) Admitted.

Exercise: 3 stars, standard (insert_perm)

The following lemma will be useful soon as a helper. Take advantage of helpful theorems from the Permutation library.
Lemma insert_perm: x l,
    Permutation (x :: l) (insert x l).
  (* FILL IN HERE *) Admitted.

Exercise: 3 stars, standard (sort_perm)

Prove that sort is a permutation, using insert_perm.
Theorem sort_perm: l, Permutation l (sort l).
(* FILL IN HERE *) Admitted.

Exercise: 1 star, standard (insertion_sort_correct)

Finish the proof of correctness!
Theorem insertion_sort_correct:
    is_a_sorting_algorithm sort.
  (* FILL IN HERE *) Admitted.

Validating the Specification (Advanced)

You can prove that a program satisfies a specification, but how can you prove you have the right specification? Actually, you cannot. The specification is an informal requirement in your mind. As Alan Perlis quipped, "One can't proceed from the informal to the formal by formal means."
But one way to build confidence in a specification is to state it in two different ways, then prove they are equivalent.

Exercise: 4 stars, advanced (sorted_sorted')

Hint: Instead of doing induction on the list al, do induction on the sortedness of al. This proof is a bit tricky, so you may have to think about how to approach it, and try out one or two different ideas.
(* FILL IN HERE *) Admitted.

Exercise: 3 stars, advanced (sorted'_sorted)

Lemma sorted'_sorted : al, sorted' al sorted al.
Here, you can't do induction on the sortedness of the list, because sorted' is not an inductive predicate. But the proof is less tricky than the previous.
(* FILL IN HERE *) Admitted.

Proving Correctness from the Alternative Spec (Optional)

Depending on how you write the specification of a program, it can be harder or easier to prove correctness. We saw that predicates sorted and sorted' are equivalent. It is significantly harder, though, to prove correctness of insertion sort directly from sorted'.
Give it a try! The best proof we know of makes essential use of the auxiliary lemma nth_error_insert, so you may want to prove that first. And some other auxiliary lemmas may be needed too. But maybe you will find a simpler appraoch!
DO NOT USE sorted_sorted', sorted'_sorted, insert_sorted, or sort_sorted in these proofs. That would defeat the purpose!

Exercise: 5 stars, standard, optional (insert_sorted')

Lemma nth_error_insert : l a i iv,
    nth_error (insert a l) i = Some iv
    a = iv i', nth_error l i' = Some iv.
(* FILL IN HERE *) Admitted.

Lemma insert_sorted':
   a l, sorted' l sorted' (insert a l).
(* FILL IN HERE *) Admitted.
Theorem sort_sorted': l, sorted' (sort l).
  induction l.
  - unfold sorted'. intros. destruct i; inv H0.
  - simpl. apply insert_sorted'. auto.
If you complete the proofs above, you will note that the proof of insert_sorted is relatively easy compared to the proof of insert_sorted', even though sorted al sorted' al. So, suppose someone asked you to prove sort_sorted'. Instead of proving it directly, it would be much easier to design predicate sorted, then prove sort_sorted and sorted_sorted'.
The moral of the story is therefore: Different formulations of the functional specification can lead to great differences in the difficulty of the correctness proofs.
(* 2023-08-23 11:34 *)