On Sackin's original proposal: The variance of the leaves' depths as a phylogenetic balance index

Background. The Sackin index S of a rooted phylogenetic tree, defined as the sum of its leaves' depths, is one of the most popular balance indices in phylogenetics, and Sackin's 1972 paper is usually cited as the source for this index. However, what Sackin actually proposed in his paper as a measure of the imbalance of a rooted tree was not the sum of its leaves' depths, but their ``variation''. This proposal was later implemented as the variance of the leaves' depths by Kirkpatrick and Slatkin in 1993, where they also posed the problem of finding a closed formula for its expected value under the Yule model. Nowadays, Sackin's original proposal seems to have passed into oblivion in the phylogenetics literature, replaced by the index bearing his name, which, in fact, was introduced a decade later by Sokal. Results. In this paper we study the properties of the variance of the leaves' depths, V, as a balance index. Firstly, we prove that the rooted trees with $n$ leaves and maximum V value are exactly the combs with n leaves. But although V achieves its minimum value on every space of bifurcating rooted phylogenetic trees with at most 183 leaves at the so-called ``maximally balanced trees'' with n leaves, this property fails for almost every n larger than 184 We provide then an algorithm that finds the bifurcating rooted trees with n leaves and minimum V value in quasilinear time. Secondly, we obtain closed formulas for the expected V value of a bifurcating rooted tree with any number n of leaves under the Yule and the uniform models and, as a by-product of the computations leading to these formulas, we also obtain closed formulas for the variance under the uniform model of the Sackin index and the total cophenetic index of a bifurcating rooted tree, as well as of their covariance, thus filling this gap in the literature.

On Sackin's original proposal: The variance of the leaves' depths as a phylogenetic balance index

Background. The Sackin index S of a rooted phylogenetic tree, defined as the sum of its leaves' depths, is one of the most popular balance indices in phylogenetics, and Sackin's 1972 paper is usually cited as the source for this index. However, what Sackin actually proposed in his paper as a measure of the imbalance of a rooted tree was not the sum of its leaves' depths, but their ``variation''. This proposal was later implemented as the variance of the leaves' depths by Kirkpatrick and Slatkin in 1993, where they also posed the problem of finding a closed formula for its expected value under the Yule model. Nowadays, Sackin's original proposal seems to have passed into oblivion in the phylogenetics literature, replaced by the index bearing his name, which, in fact, was introduced a decade later by Sokal. Results. In this paper we study the properties of the variance of the leaves' depths, V, as a balance index. Firstly, we prove that the rooted trees with $n$ leaves and maximum V value are exactly the combs with n leaves. But although V achieves its minimum value on every space of bifurcating rooted phylogenetic trees with at most 183 leaves at the so-called ``maximally balanced trees'' with n leaves, this property fails for almost every n larger than 184 We provide then an algorithm that finds the bifurcating rooted trees with n leaves and minimum V value in quasilinear time. Secondly, we obtain closed formulas for the expected V value of a bifurcating rooted tree with any number n of leaves under the Yule and the uniform models and, as a by-product of the computations leading to these formulas, we also obtain closed formulas for the variance under the uniform model of the Sackin index and the total cophenetic index of a bifurcating rooted tree, as well as of their covariance, thus filling this gap in the literature.

On Sackin's original proposal: The variance of the leaves' depths as a phylogenetic balance index

Background: The Sackin index S of a rooted phylogenetic tree, defined as the sum of its leaves' depths, is one of the most popular balance indices in phylogenetics, and Sackin's 1972 paper is usually cited as the source for this index. However, what Sackin actually proposed in his paper as a measure of the imbalance of a rooted tree was not the sum of its leaves' depths, but their "variation". This proposal was later implemented as the variance of the leaves' depths by Kirkpatrick and Slatkin, where moreover they posed the problem of finding a closed formula for its expected value under the Yule model. Nowadays, Sackin's original proposal seems to have passed into oblivion in the phylogenetics literature, replaced by the index bearing his name, which, in fact, was introduced a decade later by Sokal.Results: In this paper we study the properties of the variance of the leaves' depths, V, as a balance index. Firstly, we prove that the rooted trees with n leaves and maximum V value are exactly the combs with n leaves. But although V achieves its minimum value on every space BT_n of bifurcating rooted phylogenetic trees with n< 184 leaves at the so-called "maximally balanced trees" with n leaves, this property fails for almost every n>= 184. We provide then an algorithm that finds in O(n) time the trees in BT_n with minimum V value. Secondly, we obtain closed formulas for the expected V value of a bifurcating rooted tree with any number n of leaves under the Yule and the uniform models and, as a by-product of the computations leading to these formulas, we also obtain closed formulas for the variance of the Sackin index and the total cophenetic indexof a bifurcating rooted tree, as well as of their covariance, under the uniform model, thus filling this gap in the literature.Conclusions: The phylogenetics crowd has been wise in preferring as a balance index the sum S(T) of the leaves’ depths of a phylogenetic tree T over their variance V (T), because the latter does not seem to capture correctly the notion of balance of large bifurcating rooted trees. But for bifurcating trees up to 183 leaves, V is a valid and useful balance index.

New Algorithm for Ink Trapping Ratio Based on Transmittance

To reflect the relationship between the trapping effect and colorimetric value of prints, this paper establishes an algorithm to calculate the ink trapping ratio. The new algorithm assumed that the second ink of two-color overprint solid forms an evenly distributed and thinner ink layer by keeping the total ink volume as constant and it employed the transmittance of single solid ink and overprint solid to compute the ratio of the thickness of the second ink layer printed on the first ink layer and on the blank paper on basis of Lambert's law. Because of the difficulties of measuring the transmittance of prints, it used the Clapper-Yule model to calculate them. To evaluate it, the ink trapping ratio computed by the densitometry method and the new algorithm for two sets of two-color overprint solid were adopted to predict the spectral reflectance of them. By comparing the CIELAB color difference between the calculated and measured value of spectral reflectance, the proposed new algorithm is precisely defined and it improves the calculation accuracy of ink trapping.

Study on Optical Dot Gain Model Based on Point Spread and Probability Methods

Optical dot gain is the key point of halftone reconstruction study, and has always been a meaningful topic of theoretical study. The Yule–Nielsen formula is by far the most widely used research method of optical dot gain. However, solving the Yule–Nielsen parameter n remains a difficult problem. This paper disregards solving for the Yule–Nielsen parameter n, analyzes the light scattering and osmotic effect of halftone presswork, deduces the exact expressions of blank area of presswork, and determines the reflectivity of the dot part and halftone presswork according to the point spread function and probability method. Furthermore, this paper analyzes how the optical dot gain depends on the dot area coverage of presswork, ink layer transmittivity, and paper-based spectral reflectivity. In addition, a new algorithm model for optical dot gain is established. By employing the Clapper–Yule Model to calculate the spectral transmittance of printing ink and comparing it with the practical measured spectral reflectivity of the halftone presswork proof, the accuracy of the model established in this paper is fully verified.