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1 Introduction 7
1.1 Origin of word: Algorithm . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
1.2 Algorithm: Informal Definition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
1.3 Algorithms, Programming . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
1.4 Implementation Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
1.5 Course in Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
1.6 Analyzing Algorithms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
1.7 Model of Computation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
1.8 Example: 2-dimension maxima . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
1.9 Brute-Force Algorithm . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
1.10 Running Time Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
1.10.1 Analysis of the brute-force maxima algorithm. . . . . . . . . . . . . . . . . . . . 14
1.11 Analysis: A Harder Example . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
1.11.1 2-dimension Maxima Revisited . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
1.11.2 Plane-sweep Algorithm . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
1.11.3 Analysis of Plane-sweep Algorithm . . . . . . . . . . . . . . . . . . . . . . . . . 21
1.11.4 Comparison of Brute-force and Plane sweep algorithms . . . . . . . . . . . . . . 21
2 Asymptotic Notation 23
3
4 CONTENTS
4 Sorting 39
4.1 Slow Sorting Algorithms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
4.2 Sorting in O(n log n) time . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
4.2.1 Heaps . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
4.2.2 Heapsort Algorithm . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41
4.2.3 Heapify Procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
4.2.4 Analysis of Heapify . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
4.2.5 BuildHeap . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
4.2.6 Analysis of BuildHeap . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44
4.2.7 Analysis of Heapsort . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
4.3 Quicksort . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
4.3.1 Partition Algorithm . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
4.3.2 Quick Sort Example . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
4.3.3 Analysis of Quicksort . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49
4.3.4 Worst Case Analysis of Quick Sort . . . . . . . . . . . . . . . . . . . . . . . . . 49
4.3.5 Average-case Analysis of Quicksort . . . . . . . . . . . . . . . . . . . . . . . . . 50
4.4 In-place, Stable Sorting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
4.5 Lower Bounds for Sorting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
6 Dynamic Programming 73
6.1 Fibonacci Sequence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 73
CONTENTS 5
7 Greedy Algorithms 97
7.1 Example: Counting Money . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
7.1.1 Making Change: Dynamic Programming Solution . . . . . . . . . . . . . . . . . 98
7.1.2 Complexity of Coin Change Algorithm . . . . . . . . . . . . . . . . . . . . . . . 99
7.2 Greedy Algorithm: Huffman Encoding . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99
7.2.1 Huffman Encoding Algorithm . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100
7.2.2 Huffman Encoding: Correctness . . . . . . . . . . . . . . . . . . . . . . . . . . . 102
7.3 Activity Selection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105
7.3.1 Correctness of Greedy Activity Selection . . . . . . . . . . . . . . . . . . . . . . 107
7.4 Fractional Knapsack Problem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109
8 Graphs 113
8.1 Graph Traversal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 116
8.1.1 Breadth-first Search . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117
8.1.2 Depth-first Search . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119
8.1.3 Generic Graph Traversal Algorithm . . . . . . . . . . . . . . . . . . . . . . . . . 119
8.1.4 DFS - Timestamp Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125
8.1.5 DFS - Cycles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130
8.2 Precedence Constraint Graph . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131
8.3 Topological Sort . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133
8.4 Strong Components . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135
8.4.1 Strong Components and DFS . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137
6 CONTENTS
7
8 CHAPTER 1. INTRODUCTION
design is all about the mathematical theory behind the design of good programs.
Why study algorithm design? There are many facets to good program design. Good algorithm design is
one of them (and an important one). To be really complete algorithm designer, it is important to be aware
of programming and machine issues as well. In any important programming project there are two major
types of issues, macro issues and micro issues.
Macro issues involve elements such as how does one coordinate the efforts of many programmers
working on a single piece of software, and how does one establish that a complex programming system
satisfies its various requirements. These macro issues are the primary subject of courses on software
engineering.
A great deal of the programming effort on most complex software systems consists of elements whose
programming is fairly mundane (input and output, data conversion, error checking, report generation).
However, there is often a small critical portion of the software, which may involve only tens to hundreds
of lines of code, but where the great majority of computational time is spent. (Or as the old adage goes:
80% of the execution time takes place in 20% of the code.) The micro issues in programming involve
how best to deal with these small critical sections.
It may be very important for the success of the overall project that these sections of code be written in the
most efficient manner possible. An unfortunately common approach to this problem is to first design an
inefficient algorithm and data structure to solve the problem, and then take this poor design and attempt
to fine-tune its performance by applying clever coding tricks or by implementing it on the most expensive
and fastest machines around to boost performance as much as possible. The problem is that if the
underlying design is bad, then often no amount of fine-tuning is going to make a substantial difference.
Before you implement, first be sure you have a good design. This course is all about how to design good
algorithms. Because the lesson cannot be taught in just one course, there are a number of companion
courses that are important as well. CS301 deals with how to design good data structures. This is not
really an independent issue, because most of the fastest algorithms are fast because they use fast data
structures, and vice versa. In fact, many of the courses in the computer science program deal with
efficient algorithms and data structures, but just as they apply to various applications: compilers,
operating systems, databases, artificial intelligence, computer graphics and vision, etc. Thus, a good
understanding of algorithm design is a central element to a good understanding of computer science and
good programming.
open eye to implementation issues down the line that will be important for final implementation. For
example, we will study three fast sorting algorithms this semester, heap-sort, merge-sort, and quick-sort.
From our mathematical analysis, all have equal running times. However, among the three (barring any
extra considerations) quick sort is the fastest on virtually all modern machines. Why? It is the best from
the perspective of locality of reference. However, the difference is typically small (perhaps 10-20%
difference in running time).
Thus this course is not the last word in good program design, and in fact it is perhaps more accurately just
the first word in good program design. The overall strategy that I would suggest to any programming
would be to first come up with a few good designs from a mathematical and algorithmic perspective.
Next prune this selection by consideration of practical matters (like locality of reference). Finally
prototype (that is, do test implementations) a few of the best designs and run them on data sets that will
arise in your application for the final fine-tuning. Also, be sure to use whatever development tools that
you have, such as profilers (programs which pin-point the sections of the code that are responsible for
most of the running time).
it is often necessary to design algorithms that are simple, and easily modified if problem parameters and
specifications are slightly modified. Fortunately, most of the algorithms that we will discuss in this class
are quite simple, and are easy to modify subject to small problem variations.
• Let a point p in 2-dimensional space be given by its integer coordinates, p = (p.x, p.y).
1.9. BRUTE-FORCE ALGORITHM 11
• Given a set of n points, P = {p1, p2, . . . , pn} in 2-space a point is said to be maximal if it is not
dominated by any other point in P.
The car selection problem can be modelled this way: For each car we associate (x, y) pair where x is the
speed of the car and y is the negation of the price. High y value means a cheap car and low y means
expensive car. Think of y as the money left in your pocket after you have paid for the car. Maximal
points correspond to the fastest and cheapest cars.
The 2-dimensional Maxima is thus defined as
• Given a set of points P = {p1, p2, . . . , pn} in 2-space, output the set of maximal points of P, i.e.,
those points pi such that pi is not dominated by any other point of P.
14
(7,13)
12 (12,12)
(4,11) (9,10)
10 (14,10)
8 (7,7) (15,7)
6 (11,5)
(2,5)
4 (4,4) (13,3)
2
(5,1)
2 4 6 8 10 12 14 16 18
Our description of the problem is at a fairly mathematical level. We have intentionally not discussed how
the points are represented. We have not discussed any input or output formats. We have avoided
programming and other software issues.
This English description is clear enough that any (competent) programmer should be able to implement
it. However, if you want to be a bit more formal, it could be written in pseudocode as follows:
M AXIMA(int n, Point P[1 . . . n])
1 for i ← 1 to n
2 do maximal ← true
3 for j ← 1 to n
4 do
5 if (i 6= j) and (P[i].x ≤ P[j].x) and (P[i].y ≤ P[j].y)
6 then maximal ← false; break
7 if (maximal = true)
8 then output P[i]
There are no formal rules to the syntax of this pseudo code. In particular, do not assume that more detail
is better. For example, I omitted type specifications for the procedure Maxima and the variable maximal,
and I never defined what a Point data type is, since I felt that these are pretty clear from context or just
unimportant details. Of course, the appropriate level of detail is a judgement call. Remember, algorithms
are to be read by people, and so the level of detail depends on your intended audience. When writing
pseudo code, you should omit details that detract from the main ideas of the algorithm, and just go with
the essentials.
You might also notice that I did not insert any checking for consistency. For example, I assumed that the
points in P are all distinct. If there is a duplicate point then the algorithm may fail to output even a single
point. (Can you see why?) Again, these are important considerations for implementation, but we will
often omit error checking because we want to see the algorithm in its simplest form.
Here are a series of figures that illustrate point domination.
14 (7,13) 14 (7,13)
12 (12,12) 12 (12,12)
(4,11) (14,10) (4,11) (14,10)
10 (9,10) 10 (9,10)
8 (7,7) 8 (7,7)
(15,7) (15,7)
6 (11,5) 6 (11,5)
(2,5) (2,5)
4 (4,4) (13,3) 4 (4,4) (13,3)
2 2
(5,1) (5,1)
2 4 6 8 10 12 14 16 18 2 4 6 8 10 12 14 16 18
Figure 1.2: Points that dominate (4, 11) Figure 1.3: Points that dominate (9, 10)
1.10. RUNNING TIME ANALYSIS 13
14 (7,13) 14
(7,13)
12 (12,12) 12 (12,12)
(4,11) (4,11) (9,10)
10 (9,10) (14,10) 10 (14,10)
8 (7,7) 8 (7,7)
(15,7) (15,7)
6 (11,5) 6 (11,5)
(2,5) (2,5)
4 (4,4) (13,3) 4 (4,4) (13,3)
2 2
(5,1) (5,1)
2 4 6 8 10 12 14 16 18 2 4 6 8 10 12 14 16 18
Figure 1.4: Points that dominate (7, 7) Figure 1.5: The maximal points
Worst-case time is the maximum running time over all (legal) inputs of size n. Let I denote an input
instance, let |I| denote its length, and let T (I) denote the running time of the algorithm on input I.
Then
Tworst(n) = max T (I)
|I|=n
Average-case time is the average running time over all inputs of size n. Let p(I) denote the probability
of seeing this input. The average-case time is the weighted sum of running times with weights
14 CHAPTER 1. INTRODUCTION
We will almost always work with worst-case time. Average-case time is more difficult to compute; it is
difficult to specify probability distribution on inputs. Worst-case time will specify an upper limit on the
running time.
Thus we might express the worst-case running time as a pair of nested summations, one for the i-loop
and the other for the j-loop:
Xn Xn
T (n) = 2+ 4
i=1 j=1
Xn
= (4n + 2)
i=1
= (4n + 2)n = 4n2 + 2n
For small values of n, any algorithm is fast enough. What happens when n gets large? Running time
does become an issue. When n is large, n2 term will be much larger than the n term and will dominate
the running time.
We will say that the worst-case running time is Θ(n2). This is called the asymptotic growth rate of the
function. We will discuss this Θ-notation more formally later.
1.10. RUNNING TIME ANALYSIS 15
The analysis involved computing a summation. Summation should be familiar but let us review a bit
here. Given a finite sequence of values a1, a2, . . . , an, their sum a1 + a2 + . . . + an is expressed in
summation notation as
X n
ai
i=1
If n = 0, then the sum is additive identity, 0.
Some facts about summation: If c is a constant
X n n
X
cai = c ai
i=1 i=1
and
n
X n
X n
X
(ai + bi) = ai + bi
i=1 i=1 i=1
Arithmetic series
n
X
i = 1 + 2 + ... + n
i=1
n(n + 1)
= = Θ(n2)
2
Quadratic series
n
X
i2 = 1 + 4 + 9 + . . . + n2
i=1
2n3 + 3n2 + n
= = Θ(n3)
6
Geometric series
n
X
xi = 1 + x + x2 + . . . + xn
i=1
x(n+1) − 1
= = Θ(n2)
x−1
If 0 < x < 1 then this is Θ(1), and if x > 1, then this is Θ(xn).
Harmonic series For n ≥ 0
n
X 1
Hn =
i=1
i
1 1 1
=1+ + + . . . + ≈ ln n
2 3 n
= Θ(ln n)
16 CHAPTER 1. INTRODUCTION
NESTED - LOOPS()
1 for i ← 1 to n
2 do
3 for j ← 1 to 2i
4 do k = j . . .
5 while (k ≥ 0)
6 do k = k − 1 . . .
How do we analyze the running time of an algorithm that has complex nested loop? The answer is we
write out the loops as summations and then solve the summations. To convert loops into summations, we
work from inside-out.
Consider the inner most while loop.
NESTED - LOOPS()
1 for i ← 1 to n
2 do for j ← 1 to 2i
3 do k = j
4 while (k ≥ 0) J
5 do k = k − 1
It is executed for k = j, j − 1, j − 2, . . . , 0. Time spent inside the while loop is constant. Let I() be the
time spent in the while loop. Thus
j
X
I(j) = 1=j+1
k=0
NESTED - LOOPS()
1 for i ← 1 to n
2 do for j ← 1 to 2i J
3 do k = j
4 while (k ≥ 0)
5 do k = k − 1
1.11. ANALYSIS: A HARDER EXAMPLE 17
Its running time is determined by i. Let M() be the time spent in the for loop:
2i
X
M(i) = I(j)
j=1
2i
X
= (j + 1)
j=1
2i
X 2i
X
= j+ 1
j=1 j=1
2i(2i + 1)
= + 2i
2
= 2i2 + 3i
NESTED - LOOPS()
1 for i ← 1 to n J
2 do for j ← 1 to 2i
3 do k = j
4 while (k ≥ 0)
5 do k = k − 1
points, P = {p1, p2, . . . , pn} in 2-space a point is said to be maximal if it is not dominated by any other
point in P. The problem is to output all the maximal points of P. We introduced a brute-force algorithm
that ran in Θ(n2) time. It operated by comparing all pairs of points. Is there an approach that is
significantly better?
The problem with the brute-force algorithm is that it uses no intelligence in pruning out decisions. For
example, once we know that a point pi is dominated by another point pj, we do not need to use pi for
eliminating other points. This follows from the fact that dominance relation is transitive. If pj dominates
pi and pi dominates ph then pj also dominates ph; pi is not needed.
The question is whether we can make an significant improvement in the running time? Here is an idea for
how we might do it. We will sweep a vertical line across the plane from left to right. As we sweep this
line, we will build a structure holding the maximal points lying to the left of the sweep line. When the
sweep line reaches the rightmost point of P , then we will have constructed the complete set of maxima.
This approach of solving geometric problems by sweeping a line across the plane is called plane sweep.
Although we would like to think of this as a continuous process, we need some way to perform the plane
sweep in discrete steps. To do this, we will begin by sorting the points in increasing order of their
x-coordinates. For simplicity, let us assume that no two points have the same y-coordinate. (This limiting
assumption is actually easy to overcome, but it is good to work with the simpler version, and save the
messy details for the actual implementation.) Then we will advance the sweep-line from point to point in
n discrete steps. As we encounter each new point, we will update the current list of maximal points.
We will sweep a vertical line across the 2-d plane from left to right. As we sweep, we will build a
structure holding the maximal points lying to the left of the sweep line. When the sweep line reaches the
rightmost point of P, we will have the complete set of maximal points. We will store the existing
maximal points in a list The points that pi dominates will appear at the end of the list because points are
sorted by x-coordinate. We will scan the list left to right. Every maximal point with y-coordinate less
than pi will be eliminated from computation. We will add maximal points onto the end of a list and
delete from the end of the list. We can thus use a stack to store the maximal points. The point at the top
of the stack will have the highest x-coordinate.
Here are a series of figures that illustrate the plane sweep. The figure also show the content of the stack.
1.11. ANALYSIS: A HARDER EXAMPLE 19
14 14
12 (3,13) (12,12) 12 (3,13) (12,12)
2 4 6 8 10 12 14 16 18 stack 2 4 6 8 10 12 14 16 18 stack
Figure 1.6: Sweep line at (2, 5) Figure 1.7: Sweep line at (3, 13)
14 14
12 (3,13) (12,12) 12 (3,13) (12,12)
2 4 6 8 10 12 14 16 18 stack 2 4 6 8 10 12 14 16 18 stack
Figure 1.8: Sweep line at (4, 11) Figure 1.9: Sweep line at (5, 1)
14 14
12 (3,13) (12,12) 12 (3,13) (12,12)
2 4 6 8 10 12 14 16 18 stack 2 4 6 8 10 12 14 16 18 stack
Figure 1.10: Sweep line at (7, 7) Figure 1.11: Sweep line at (9, 10)
20 CHAPTER 1. INTRODUCTION
14 14
12 (3,13) (12,12) 12 (3,13) (12,12)
2 4 6 8 10 12 14 16 18 stack 2 4 6 8 10 12 14 16 18 stack
Figure 1.12: Sweep line at (10, 5) Figure 1.13: Sweep line at (12, 12)
14
12 (3,13) (12,12)
10 (4,11) (14,10)
(9,10)
8
(15,7) (15,7)
6 (2,5) (7,7)
(14,10)
4 (10,5)
(13,3) (12,12)
2
(5,1) (3,13)
2 4 6 8 10 12 14 16 18 stack
n2 n
=
nlogn log n
n
n logn logn
100 7 15
1000 10 100
10000 13 752
100000 17 6021
1000000 20 50171
For n = 1, 000, 000, if plane-sweep takes 1 second, the brute-force will take about 14 hours!. From this
we get an idea about the importance of asymptotic analysis. It tells us which algorithm is better for large
values of n. As we mentioned before, if n is not very large, then almost any algorithm will be fast. But
efficient algorithm design is most important for large inputs, and the general rule of computing is that
input sizes continue to grow until people can no longer tolerate the running times. Thus, by designing
algorithms efficiently, you make it possible for the user to run large inputs in a reasonable amount of time.
22 CHAPTER 1. INTRODUCTION
Asymptotic Notation
You may be asking that we continue to use the notation Θ() but have never defined it. Let’s remedy this
now. Given any function g(n), we define Θ(g(n)) to be a set of functions that asymptotically equivalent
to g(n). Formally:
This is written as “f(n) ∈ Θ(g(n))” That is, f(n) and g(n) are asymptotically equivalent. This means
that they have essentially the same growth rates for large n. For example, functions like
• 4n2,
• (8n2 + 2n − 3),
√
• (n2/5 + n − 10 log n)
• n(n − 3)
are all asymptotically equivalent. As n becomes large, the dominant (fastest growing) term is some
constant times n2.
Consider the function
f(n) = 8n2 + 2n − 3
Our informal rule of keeping the largest term and ignoring the constant suggests that f(n) ∈ Θ(n2). Let’s
see why this bears out formally. We need to show two things for
f(n) = 8n2 + 2n − 3
23
24 CHAPTER 2. ASYMPTOTIC NOTATION
Lower bound: f(n) grows asymptotically at least as fast as n2. For this, need to show that there exist
positive constants c1 and n0, such that f(n) ≥ c1n2 for all n ≥ n0. Consider the reasoning
f(n) = 8n2 + 2n − 3 ≥ 8n2 − 3 = 7n2 + (n2 − 3) ≥ 7n2
c1 = 7. We implicitly assumed that 2n√≥ 0 and n2 − 3 ≥ 0 These are not true for all n but if
Thus√
n ≥ 3, then both are true. So select n0 ≥ 3. We then have f(n) ≥ c1n2 for all n ≥ n0.
Upper bound: f(n) grows asymptotically no faster than n2. For this, we need to show that there exist
positive constants c2 and n0, such that f(n) ≤ c2n2 for all n ≥ n0. Consider the reasoning
f(n) = 8n2 + 2n − 3 ≤ 8n2 + 2n ≤ 8n2 + 2n2 = 10n2
Thus c2 = 10. We implicitly made the assumption that 2n ≤ 2n2. This is not true for all n but it is true
for all n ≥ 1 So select n0 ≥ 1. We thus have f(n) ≤ c2n2 for all n ≥ n0.
√
From lower bound we have n0√ ≥ 3 From upper bound we have n0 ≥ 1. Combining√ the two, we let n0
be the larger of the two: n0 ≥ 3. In conclusion, if we let c1 = 7, c2 = 10 and n0 ≥ 3, we have
√
7n2 ≤ 8n2 + 2n − 3 ≤ 10n2 for all n ≥ 3
We have thus established
0 ≤ c1g(n) ≤ f(n) ≤ c2g(n) for all n ≥ n0
Asymptotic Notation
1e+11
8n^2+2n-3
7n^2
10n^2
8e+10
6e+10
f(n)
4e+10
2e+10
0
0 20000 40000 60000 80000 100000
n
We have established that f(n) ∈ n2. Let’s show why f(n) is not in some other asymptotic class. First,
let’s show that f(n) 6∈ Θ(n). Show that f(n) 6∈ Θ(n). If this were true, we would have had to satisfy
25
both the upper and lower bounds. The lower bound is satisfied because f(n) = 8n2 + 2n − 3 does grow
at least as fast asymptotically as n. But the upper bound is false. Upper bounds requires that there exist
positive constants c2 and n0 such that f(n) ≤ c2n for all n ≥ n0.
Informally we know that f(n) = 8n2 + 2n − 3 will eventually exceed c2n no matter how large we make
c2. To see this, suppose we assume that constants c2 and n0 did exist such that 8n2 + 2n − 3 ≤ c2n for
all n ≥ n0 Since this is true for all sufficiently large n then it must be true in the limit as n tends to
infinity. If we divide both sides by n, we have
3
lim 8n + 2 − ≤ c2.
n→∞ n
It is easy to see that in the limit, the left side tends to ∞. So, no matter how large c2 is, the statement is
violated. Thus f(n) 6∈ Θ(n).
Let’s show that f(n) 6∈ Θ(n3). The idea would be to show that the lower bound f(n) ≥ c1n3 for all
n ≥ n0 is violated. (c1 and n0 are positive constants). Informally we know this to be true because any
cubic function will overtake a quadratic.
If we divide both sides by n3:
8 2 3
lim + 2− 3 ≥ c1
n→∞ n n n
The left side tends to 0. The only way to satisfy this is to set c1 = 0. But by hypothesis, c1 is positive.
This means that f(n) 6∈ Θ(n3).
The definition of Θ-notation relies on proving both a lower and upper asymptotic bound. Sometimes we
only interested in proving one bound or the other. The O-notation is used to state only the asymptotic
upper bounds.
These definitions suggest an alternative way of showing the asymptotic behavior. We can use limits for
define the asymptotic behavior. Limit rule for Θ-notation:
f(n)
lim = c,
n→∞ g(n)
for some constant c > 0 (strictly positive but not infinity) then f(n) ∈ Θ(g(n)). Similarly, the limit rule
for O-notation is
f(n)
lim = c,
n→∞ g(n)
for some constant c ≥ 0 (nonnegative but not infinite) then f(n) ∈ O(g(n)) and limit rule for
Ω-notation:
f(n)
lim 6= 0,
n→∞ g(n)
• Θ(log n): Inserting into a balanced binary tree; time to find an item in a sorted array of length n
using binary search.
• Θ(n2), Θ(n3): Polynomial time. These running times are acceptable when the exponent of n is
small or n is not to large, e.g., n ≤ 1000.
The ancient Roman politicians understood an important principle of good algorithm design (although
they were probably not thinking about algorithms at the time). You divide your enemies (by getting them
to distrust each other) and then conquer them piece by piece. This is called divide-and-conquer. In
algorithm design, the idea is to take a problem on a large input, break the input into smaller pieces, solve
the problem on each of the small pieces, and then combine the piecewise solutions into a global solution.
But once you have broken the problem into pieces, how do you solve these pieces? The answer is to
apply divide-and-conquer to them, thus further breaking them down. The process ends when you are left
with such tiny pieces remaining (e.g. one or two items) that it is trivial to solve them. Summarizing, the
main elements to a divide-and-conquer solution are
• (Divide:) split A down the middle into two subsequences, each of size roughly n/2
• (Combine:) merge the two sorted subsequences into a single sorted list.
27
28 CHAPTER 3. DIVIDE AND CONQUER STRATEGY
Let’s design the algorithm top-down. We’ll assume that the procedure that merges two sorted list is
available to us. We’ll implement it later. Because the algorithm is called recursively on sublists, in
addition to passing in the array itself, we will pass in two indices, which indicate the first and last indices
of the sub-array that we are to sort. The call MergeSort(A, p, r) will sort the sub-array A[p : r] and
return the sorted result in the same sub-array.Here is the overview. If r = p, then this means that there is
only one element to sort, and we may return immediately. Otherwise if (p 6= r) there are at least two
elements, and we will invoke the divide-and-conquer. We find the index q, midway between p and r,
namely q = (p + r)/2 (rounded down to the nearest integer). Then we split the array into sub-arrays
A[p : q] and A[q + 1 : r]. Call MergeSort recursively to sort each sub-array. Finally, we invoke a
procedure (which we have yet to write) which merges these two sub-arrays into a single sorted array.
Here is the MergeSort algorithm.
MERGE - SORT( array A, int p, int r)
1 if (p < r)
2 then
3 q ← (p + r)/2
4 MERGE - SORT(A, p, q) // sort A[p..q]
5 MERGE - SORT(A, q + 1, r) // sort A[q + 1..r]
6 MERGE(A, p, q, r) // merge the two pieces
7 5 2 4 1 6 3 0
7 5 2 4 1 6 3 0
7 5 2 4 1 6 3 0
7 5 2 4 1 6 3 0
split
Figure 3.1: Merge sort divide phase
Merging: All that is left is to describe the procedure that merges two sorted lists. Merge(A, p, q, r)
assumes that the left sub-array, A[p : q], and the right sub-array, A[q + 1 : r], have already been sorted.
We merge these two sub-arrays by copying the elements to a temporary working array called B. For
convenience, we will assume that the array B has the same index range A, that is, B[p : r]. (One nice
thing about pseudo-code, is that we can make these assumptions, and leave them up to the programmer to
figure out how to implement it.) We have to indices i and j, that point to the current elements of each
3.1. MERGE SORT 29
sub-array. We move the smaller element into the next position of B (indicated by index k) and then
increment the corresponding index (either i or j). When we run out of elements in one array, then we just
copy the rest of the other array into B. Finally, we copy the entire contents of B back into A. (The use of
the temporary array is a bit unpleasant, but this is impossible to overcome entirely. It is one of the
shortcomings of MergeSort, compared to some of the other efficient sorting algorithms.)
Here is the merge algorithm:
MERGE( array A, int p, int q int r)
1 int B[p..r]; int i ← k ← p; int j ← q + 1
2 while (i ≤ q) and (j ≤ r)
3 do if (A[i] ≤ A[j])
4 then B[k++ ] ← A[i++ ]
5 else B[k++ ] ← A[j++ ]
6 while (i ≤ q)
7 do B[k++ ] ← A[i++ ]
8 while (j ≤ r)
9 do B[k++ ] ← A[j++ ]
10 for i ← p to r
11 do A[i] ← B[i]
0 1 2 3 4 5 6 7
2 4 5 7 0 1 3 6
5 7 2 4 1 6 0 3
7 5 2 4 1 6 3 0
merge
Figure 3.2: Merge sort: combine phase
together can only be executed n times in total, because each execution copies one new element to the
array B, and B only has space for n elements.) Thus the running time to Merge n items is Θ(n). Let us
write this without the asymptotic notation, simply as n. (We’ll see later why we do this.)
Now, how do we describe the running time of the entire MergeSort algorithm? We will do this through
the use of a recurrence, that is, a function that is defined recursively in terms of itself. To avoid
circularity, the recurrence for a given value of n is defined in terms of values that are strictly smaller than
n. Finally, a recurrence has some basis values (e.g. for n = 1), which are defined explicitly.
Let T (n) denote the worst case running time of MergeSort on an array of length n. If we call MergeSort
with an array containing a single item (n = 1) then the running time is constant. We can just write
T (n) = 1, ignoring all constants. For n > 1, MergeSort splits into two halves, sorts the two and then
merges them together. The left half is of size dn/2e and the right half is bn/2c. How long does it take to
sort elements in sub array of size dn/2e? We do not know this but because dn/2e < n for n > 1, we can
express this as T (dn/2e). Similarly the time taken to sort right sub array is expressed as T (bn/2c). In
conclusion we have
1 if n = 1,
T (n) =
T (dn/2e) + T (bn/2c) + n otherwise
This is called recurrence relation, i.e., a recursively defined function. Divide-and-conquer is an
important design technique, and it naturally gives rise to recursive algorithms. It is thus important to
develop mathematical techniques for solving recurrences, either exactly or asymptotically.
Let’s expand the terms.
T (1) = 1
T (2) = T (1) + T (1) + 2 = 1 + 1 + 2 = 4
T (3) = T (2) + T (1) + 3 = 4 + 1 + 3 = 8
T (4) = T (2) + T (2) + 4 =4 +4 +4 =12
T (5) = T (3) + T (2) + 5 = 8 + 4 + 5 = 17
...
T (8) = T (4) + T (4) + 8 = 12 + 12 + 8 = 32
...
T (16) = T (8) + T (8) + 16 = 32 + 32 + 16 = 80
...
T (32) = T (16) + T (16) + 32 = 80 + 80 + 32 = 192
What is the pattern here? Let’s consider the ratios T (n)/n for powers of 2:
T (1)/1 = 1 T (8)/8 = 4
T (2)/2 = 2 T (16)/16 = 5
T (4)/4 = 3 T (32)/32 = 6
This suggests T (n)/n = log n + 1 Or, T (n) = n log n + n which is Θ(n log n) (using the limit rule).
3.1. MERGE SORT 31
T (n) = 2T (n/2) + n
= 2(2T (n/4) + n/2) + n
= 4T (n/4) + n + n
= 4(2T (n/8) + n/4) + n + n
= 8T (n/8) + n + n + n
= 8(2T (n/16) + n/8) + n + n + n
= 16T (n/16) + n + n + n + n
Suppose that we draw the recursion tree for MergeSort, but each time we merge two lists, we label that
node of the tree with the time it takes to perform the associated (nonrecursive) merge. Recall that to
32 CHAPTER 3. DIVIDE AND CONQUER STRATEGY
merge two lists of size m/2 to a list of size m takes Θ(m) time, which we will just write as m. Below is
an illustration of the resulting recursion tree.
time to merge
n =n
+
n/2 n/2 2(n/2) = n
+
log(n)+1
n/4 n/4 n/4 n/4 4(n/4) = n levels
+
n/8 n/8 n/8 n/8 n/8 n/8 n/8 n/8 8(n/8) = n
.....
+
1 1 1 1 ...... 1 1 1 1 1 ...... 1 n(n/n) = n
n(log(n)+1)
The merge sort recurrence was too easy. Let’s try a messier recurrence.
1 if n = 1,
T (n) =
3T (n/4) + n otherwise
T (n) = 3T (n/4) + n
= 3(3T (n/16) + (n/4) + n
= 9T (n/16) + 3(n/4) + n
= 27T (n/64) + 9(n/16) + 3(n/4) + n
= ...
n
= 3kT ( k ) + 3k−1(n/4k−1)
4
+ · · · + 9(n/16) + 3(n/4) + n
X 3i k−1
kn
= 3 T ( k) + n
4 i=0
4i
3.1. MERGE SORT 33
X 3i k−1
k n
T (n) = 3 T ( k ) + n
4 i=0
4i
(log4 n)−1
X 3i
log4 n
=3 T (1) + n
i=0
4i
(log4 n)−1
X 3i
= nlog4 3 + n
i=0
4i
We used the formula alogb n = nlogb a. n remains constant throughout the sum and 3i/4i = (3/4)i; we
thus have
(log4 n)−1 i
X 3
log4 3
T (n) = n +n
i=0
4
position 1 2 3 4 5 6 7 8 9
Number 2 5 7 8 10 15 21 37 41
For example, rank of 8 is 4, one plus the number of elements smaller than 8 which is 3.
The selection problem is stated as follows:
Given a set A of n distinct numbers and an integer k, 1 ≤ k ≤ n, output the element of A of rank
k.
Of particular interest in statistics is the median. If n is odd then the median is defined to be element of
rank (n + 1)/2. When n is even, there are two choices: n/2 and (n + 1)/2. In statistics, it is common to
return the average of the two elements.
Medians are useful as a measures of the central tendency of a set especially when the distribution of
values is highly skewed. For example, the median income in a community is a more meaningful measure
than average. Suppose 7 households have monthly incomes 5000, 7000, 2000, 10000, 8000, 15000 and
16000. In sorted order, the incomes are 2000, 5000, 7000, 8000, 10000, 15000, 16000. The median
income is 8000; median is element with rank 4: (7 + 1)/2 = 4. The average income is 9000. Suppose the
income 16000 goes up to 450,000. The median is still 8000 but the average goes up to 71,000. Clearly,
the average is not a good representative of the majority income levels.
The selection problem can be easily solved by simply sorting the numbers of A and returning A[k].
Sorting, however, requires Θ(n log n) time. The question is: can we do better than that? In particular, is
it possible to solve the selections problem in Θ(n) time? The answer is yes. However, the solution is far
from obvious.
know what the desired the item is, but we can identify a large enough number of elements that cannot be
the desired value, and can be eliminated from further consideration. In particular “large enough” means
that the number of items is at least some fixed constant fraction of n (e.g. n/2, n/3). Then we solve the
problem recursively on whatever items remain. Each of the resulting recursive solutions then do the same
thing, eliminating a constant fraction of the remaining set.
2. A[1..q − 1] will contain all the elements that are less than x and
3. A[q + 1..n] will contains all elements that are greater than x.
Within each sub array, the items may appear in any order. The following figure shows a partitioned array:
pivot
p r
5 92 64 1 3 7 Before partitioning
p q r
3 12 4 69 5 7 After partitioning
<x x >x
Figure 3.4: A[p..r] partitioned about the pivot x
1 if (p = r)
2 then return A[p]
3 else x ← CHOOSE PIVOT(A, p, r)
4 q ← PARTITION(A, p, r, x)
5 rank x ← q − p + 1
6 if k = rank x
7 then return x
8 if k < rank x
9 then return SELECT(A, p, q − 1, k)
10 else return SELECT(A, q + 1, r, k − q)
rankx= 4
5 3
9 1
2 2
rankx= 3 rankx= 2
6 4
pivot 4 6 6 6 pivot 6 5
1 9 9 5 5 6
3 5 5 7
7 7 pivot 7 9
initial partition recurse partition recurse partition
k=6 pivot=4 k=(6-4)=2 pivot=7 k=2 pivot=6
DONE!!
Figure 3.5: Sieve example: select 6th smallest element
5, 9, 2, 6, 4, 1 , 3, 7 pivot is 1
1 , 5, 9, 2, 6, 4, 3, 7 after partition
Ideally, x should have a rank that is neither too large or too small.
Suppose we are able to choose a pivot that causes exactly half of the array to be eliminated in each phase.
3.2. SELECTION PROBLEM 37
This means that we recurse on the remaining n/2 elements. This leads to the following recurrence:
1 if n = 1,
T (n) =
T (n/2) + n otherwise
Recall the formula for infinite geometric series; for any |c| < 1,
∞
X 1
ci =
i=0
1−c
Let’s think about how we ended up with a Θ(n) algorithm for selection. Normally, a Θ(n) time
algorithm would make a single or perhaps a constant number of passes of the data set. In this algorithm,
we make a number of passes. In fact it could be as many as log n.
However, because we eliminate a constant fraction of the array with each phase, we get the convergent
geometric series in the analysis. This shows that the total running time is indeed linear in n. This lesson
is well worth remembering. It is often possible to achieve linear running times in ways that you would
not expect.
38 CHAPTER 3. DIVIDE AND CONQUER STRATEGY
Sorting
For the next series of lectures, we will focus on sorting. There a number of reasons for sorting. Here are a
few important ones. Procedures for sorting are parts of many large software systems. Design of efficient
sorting algorithms is necessary to achieve overall efficiency of these systems.
Sorting is well studied problem from the analysis point of view. Sorting is one of the few problems where
provable lower bounds exist on how fast we can sort. In sorting, we are given an array A[1..n] of n
numbers We are to reorder these elements into increasing (or decreasing) order.
More generally, A is an array of objects and we sort them based on one of the attributes - the key value.
The key value need not be a number. It can be any object from a totally ordered domain. Totally ordered
domain means that for any two elements of the domain, x and y, either x < y, x = y or x > y.
Bubble sort: Scan the array. Whenever two consecutive items are found that are out of order, swap
them. Repeat until all consecutive items are in order.
Insertion sort: Assume that A[1..i − 1] have already been sorted. Insert A[i] into its proper position in
this sub array. Create this position by shifting all larger elements to the right.
Selection sort: Assume that A[1..i − 1] contain the i − 1 smallest elements in sorted order. Find the
smallest element in A[i..n] Swap it with A[i].
These algorithms are easy to implement. But they run in Θ(n2) time in the worst case.
39
40 CHAPTER 4. SORTING
4.2.1 Heaps
A heap is a left-complete binary tree that conforms to the heap order. The heap order property: in a
(min) heap, for every node X, the key in the parent is smaller than or equal to the key in X. In other
words, the parent node has key smaller than or equal to both of its children nodes. Similarly, in a max
heap, the parent has a key larger than or equal both of its children Thus the smallest key is in the root in a
min heap; in the max heap, the largest is in the root.
1
13
2 21 3 16
4 24 5 31 6 19 7 68
8 9 26 10 32
65
13 21 16 24 31 19 68 65 26 32
0 1 2 3 4 5 6 7 8 9 10 11 12 13 14
h
X
0 1 2 h
n = 2 + 2 + 2 + ··· + 2 = 2i = 2h+1 − 1
i=0
h in terms of n is
h = (log(n + 1)) − 1 ≈ log n ∈ Θ(log n)
One of the clever aspects of heaps is that they can be stored in arrays without using any pointers. This is
due to the left-complete nature of the binary tree. We store the tree nodes in level-order traversal. Access
4.2. SORTING IN O(N LOG N) TIME 41
We build a max heap out of the given array of numbers A[1..n]. We repeatedly extract the the maximum
item from the heap. Once the max item is removed, we are left with a hole at the root. To fix this, we will
replace it with the last leaf in tree. But now the heap order will very likely be destroyed. We will apply a
heapify procedure to the root to restore the heap. Figure 4.2 shows an array being sorted.
87
13 87
13 23
68
57
21 44
16
57
21 44
16 57
21 44
16
12
24 15
31 19 87
13
12
24 15
31 19 23
68 12
24 15
31 19 23
68
0 1 2 3 4 5 6 7
0 1 2 3 4 5 6 7 0 1 2 3 4 5 6 7
23 57 44 12 15 19 87
87 57 44 12 15 19 23 87 57 44 12 15 19 23
⇒ ⇒ sorted
⇒
heap violated 23
68 57
21 57
21
57
21 44
16 23
68 44
16 23
68 44
16
12
24 15
31 19 12
24 15
31 19 12
24 15
31 19
0 1 2 3 4 5 6 7 0 1 2 3 4 5 6 7 0 1 2 3 4 5 6 7
23 57 44 12 15 19 87 57 23 44 12 15 19 87 57 23 44 12 15 19 87
sorted
⇒ sorted
⇒ sorted
⇒
19 44
16 44
16
23
68 44
16 23
68 19 23
68 19
12
24 15
31 57
21 12
24 15
31 12
24 15
31
0 1 2 3 4 5 6 7 0 1 2 3 4 5 6 7 0 1 2 3 4 5 6 7
19 23 44 12 15 57 87 44 23 19 12 15 57 87 44 23 19 12 15 57 87
sorted
⇒ sorted
⇒ sorted
⇒
15
31 23
68 23
68
23
68 19 15
31 19 15
31 19
12
24 44
16 12
24 12
24
0 1 2 3 4 5 6 7 0 1 2 3 4 5 6 7 0 1 2 3 4 5 6 7
15 23 19 12 44 57 87 23 15 19 12 44 57 87 23 15 19 12 44 57 87
sorted
⇒ sorted
⇒ sorted
⇒
12
24 19 19
15
31 19 15
31 12
24 15
31 12
24
23
68
0 1 2 3 4 5 6 7 0 1 2 3 4 5 6 7 0 1 2 3 4 5 6 7
12 15 19 23 44 57 87 19 15 12 23 44 57 87 19 15 12 23 44 57 87
sorted
⇒ sorted
⇒ sorted
⇒
15
31
12
24
0 1 2 3 4 5 6 7 0 1 2 3 4 5 6 7
15 12 19 23 44 57 87 12 15 19 23 44 57 87
sorted
⇒ sorted
There is one principal operation for maintaining the heap property. It is called Heapify. (In other books it
is sometimes called sifting down.) The idea is that we are given an element of the heap which we suspect
may not be in valid heap order, but we assume that all of other the elements in the subtree rooted at this
element are in heap order. In particular this root element may be too small. To fix this we “sift” it down
the tree by swapping it with one of its children. Which child? We should take the larger of the two
children to satisfy the heap ordering property. This continues recursively until the element is either larger
than both its children or until its falls all the way to the leaf level. Here is the algorithm. It is given the
heap in the array A, and the index i of the suspected element, and m the current active size of the heap.
The element A[max] is set to the maximum of A[i] and it two children. If max 6= i then we swap A[i]
and A[max] and then recurse on A[max].
We call heapify on the root of the tree. The maximum levels an element could move up is Θ(log n) levels.
At each level, we do simple comparison which O(1). The total time for heapify is thus O(log n). Notice
that it is not Θ(log n) since, for example, if we call heapify on a leaf, it will terminate in Θ(1) time.
4.2.5 BuildHeap
We can use Heapify to build a heap as follows. First we start with a heap in which the elements are not in
heap order. They are just in the same order that they were given to us in the array A. We build the heap by
starting at the leaf level and then invoke Heapify on each node. (Note: We cannot start at the top of the
tree. Why not? Because the precondition which Heapify assumes is that the entire tree rooted at node i is
already in heap order, except for i.) Actually, we can be a bit more efficient. Since we know that each
leaf is already in heap order, we may as well skip the leaves and start with the first non-leaf node. This
will be in position n/2. (Can you see why?)
44 CHAPTER 4. SORTING
Here is the code. Since we will work with the entire array, the parameter m for Heapify, which indicates
the current heap size will be equal to n, the size of array A, in all the calls.
3 3x1
2 2 2x2
1 1 1 1 1x4
0 0 0 0 0 0 0 0 0x8
At the bottom most level, there are 2h nodes but we do not heapify these. At the next level up, there are
2h−1 nodes and each might shift down 1. In general, at level j, there are 2h−j nodes and each may shift
down j levels.
So, if count from bottom to top, level-by-level, the total time is
h
X Xh
h−j 2h
T (n) = j2 = j j
j=0 j=0
2
How do we solve this sum? Recall the geometric series, for any constant x < 1
∞
X 1
xj =
j=0
1−x
X∞
j 1/2 1/2
j
= 2
= =2
j=0
2 (1 − (1/2)) 1/4
In our case, we have a bounded sum, but since we the infinite series is bounded, we can use it as an easy
approximation:
Xh
h j
T (n) = 2
j=0
2j
X∞
hj
≤2
j=0
2j
≤ 2h · 2 = 2h+1
T (n) ≤ n + 1 ∈ O(n)
The algorithm takes at least Ω(n) time since it must access every element at once. So the total time for
BuildHeap is Θ(n).
BuildHeap is a relatively complex algorithm. Yet, the analysis yield that it takes Θ(n) time. An intuitive
way to describe why it is so is to observe an important fact about binary trees The fact is that the vast
majority of the nodes are at the lowest level of the tree. For example, in a complete binary tree of height
h, there is a total of n ≈ 2h+1 nodes.
The number of nodes at the bottom three levels alone is
n n n 7n
2h + 2h−1 + 2h−2 = + + = = 0.875n
2 4 8 8
Almost 90% of the nodes of a complete binary tree reside in the 3 lowest levels. Thus, algorithms that
operate on trees should be efficient (as BuildHeap is) on the bottom-most levels since that is where most
of the weight of the tree resides.
46 CHAPTER 4. SORTING
Heapsort calls BuildHeap once. This takes Θ(n). Heapsort then extracts roughly n maximum elements
from the heap. Each extract requires a constant amount of work (swap) and O(log n) heapify. Heapsort
is thus O(n log n).
Is HeapSort Θ(n log n)? The answer is yes. In fact, later we will show that comparison based sorting
algorithms can not run faster than Ω(n log n). Heapsort is such an algorithm and so is Mergesort that we
saw ealier.
4.3 Quicksort
Our next sorting algorithm is Quicksort. It is one of the fastest sorting algorithms known and is the
method of choice in most sorting libraries. Quicksort is based on the divide and conquer strategy. Here is
the algorithm:
Recall that the partition algorithm partitions the array A[p..r] into three sub arrays about a pivot element
x. A[p..q − 1] whose elements are less than or equal to x, A[q] = x, A[q + 1..r] whose elements are
greater than x
We will choose the first element of the array as the pivot, i.e. x = A[p]. If a different rule is used for
selecting the pivot, we can swap the chosen element with the first element. We will choose the pivot
randomly.
The algorithm works by maintaining the following invariant condition. A[p] = x is the pivot value.
A[p..q − 1] contains elements that are less than x, A[q + 1..s − 1] contains elements that are greater than
4.3. QUICKSORT 47
p r p r
5 3 8 6 4 7 3 1 5 3 4 6 8 7 3 1
q s q s
p r p r
5 3 8 6 4 7 3 1 5 3 4 6 8 7 3 1
q s q s
p r p r
5 3 8 6 4 7 3 1 5 3 4 3 8 7 6 1
q s q s
p r p r
5 3 8 6 4 7 3 1 5 3 4 3 1 7 6 8
q s q s
p r
1 3 4 3 5 7 6 8
q s
The Figure 4.5 trace out the quick sort algorithm. The first partition is done using the last element, 10, of
the array. The left portion are then partitioned about 5 while the right portion is partitioned about 13.
Notice that 10 is now at its final position in the eventual sorted order. The process repeats as the
algorithm recursively partitions the array eventually sorting it.
48 CHAPTER 4. SORTING
7 6 12 3 11 8 7 1 15 13 17 5 16 14 9 4 10
⇓
7 6 12 3 11 8 7 1 15 13 17 5 16 14 9 4 10
7 6 4 3 9 8 2 1 5 10 17 15 16 14 11 12 13
⇓
7 6 12 3 11 8 7 1 15 13 17 5 16 14 9 4 10
7 6 4 3 9 8 2 1 5 10 17 15 16 14 11 12 13
⇓
7 6 12 3 11 8 7 1 15 13 17 5 16 14 9 4 10
7 6 4 3 9 8 2 1 5 10 17 15 16 14 11 12 13
1 2 4 3 5 8 6 7 9 10 12 11 13 14 15 17 16
⇓
7 6 12 3 11 8 7 1 15 13 17 5 16 14 9 4 10
7 6 4 3 9 8 2 1 5 10 17 15 16 14 11 12 13
1 2 4 3 5 8 6 7 9 10 12 11 13 14 15 17 16
⇓
7 6 12 3 11 8 7 1 15 13 17 5 16 14 9 4 10
7 6 4 3 9 8 2 1 5 10 17 15 16 14 11 12 13
1 2 4 3 5 8 6 7 9 10 12 11 13 14 15 17 16
1 2 3 4 5 8 6 7 9 10 11 12 13 14 15 16 17
⇓
7 6 12 3 11 8 7 1 15 13 17 5 16 14 9 4 10
7 6 4 3 9 8 2 1 5 10 17 15 16 14 11 12 13
1 2 4 3 5 8 6 7 9 10 12 11 13 14 15 17 16
1 2 3 4 5 8 6 7 9 10 11 12 13 14 15 16 17
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17
⇓
7 6 12 3 11 8 7 1 15 13 17 5 16 14 9 4 10
7 6 4 3 9 8 2 1 5 10 17 15 16 14 11 12 13
1 2 4 3 5 8 6 7 9 10 12 11 13 14 15 17 16
1 2 3 4 5 8 6 7 9 10 11 12 13 14 15 16 17
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17
It is interesting to note (but not surprising) that the pivots form a binary search tree. This is illustrated in
Figure 4.6.
pivot
10
elements
5 13
3 9 11 16
2 4 7 12 15 17
1 6 8 14
Figure 4.6: Quicksort BST
The running time of quicksort depends heavily on the selection of the pivot. If the rank of the pivot is
very large or very small then the partition (BST) will be unbalanced. Since the pivot is chosen randomly
in our algorithm, the expected running time is O(n log n). The worst case time, however, is O(n2).
Luckily, this happens rarely.
Let’s begin by considering the worst-case performance, because it is easier than the average case. Since
this is a recursive program, it is natural to use a recurrence to describe its running time. But unlike
MergeSort, where we had control over the sizes of the recursive calls, here we do not. It depends on how
the pivot is chosen. Suppose that we are sorting an array of size n, A[1 : n], and further suppose that the
pivot that we select is of rank q, for some q in the range 1 to n. It takes Θ(n) time to do the partitioning
and other overhead, and we make two recursive calls. The first is to the subarray A[1 : q − 1] which has
q − 1 elements, and the other is to the subarray A[q + 1 : n] which has n − q elements. So if we ignore
the Θ(n) (as usual) we get the recurrence:
T (n) = T (q − 1) + T (n − q) + n
50 CHAPTER 4. SORTING
This depends on the value of q. To get the worst case, we maximize over all possible values of q. Putting
is together, we get the recurrence
1 if n ≤ 1
T (n) =
max (T (q − 1) + T (n − q) + n) otherwise
1≤q≤n
Recurrences that have max’s and min’s embedded in them are very messy to solve. The key is
determining which value of q gives the maximum. (A rule of thumb of algorithm analysis is that the
worst cases tends to happen either at the extremes or in the middle. So I would plug in the value q = 1,
q = n, and q = n/2 and work each out.) In this case, the worst case happens at either of the extremes. If
we expand the recurrence for q = 1, we get:
T (n) ≤ T (0) + T (n − 1) + n
= 1 + T (n − 1) + n
= T (n − 1) + (n + 1)
= T (n − 2) + n + (n + 1)
= T (n − 3) + (n − 1) + n + (n + 1)
= T (n − 4) + (n − 2) + (n − 1) + n + (n + 1)
k−2
X
= T (n − k) + (n − i)
i=−1
= 1 + (3 + 4 + 5 + · · · + (n − 1) + n + (n + 1))
n+1
X (n + 1)(n + 2)
≤ i= ∈ Θ(n2)
i=1
2
random choices for the pivot element, and each choice has an equal probability of 1/n of occuring. So
we can modify the above recurrence to compute an average rather than a max, giving:
1 if n ≤ 1
T (n) = 1
Pn
n q=1(T (q − 1) + T (n − q) + n) otherwise
The time T (n) is the weighted sum of the times taken for various choices of q. I.e.,
h1
T (n) = (T (0) + T (n − 1) + n)
n
1
+ (T (1) + T (n − 2) + n)
n
1
+ (T (2) + T (n − 3) + n)
n
1 i
+ · · · + (T (n − 1) + T (0) + n)
n
We have not seen such a recurrence before. To solve it, expansion is possible but it is rather tricky. We
will attempt a constructive induction to solve it. We know that we want a Θ(n log n). Let us assume that
T (n) ≤ cn log n for n ≥ 2 where c is a constant.
For the base case n = 2 we have
2
1X
T (n) = (T (q − 1) + T (2 − q) + 2)
2 q=1
1h i
= (T (0) + T (1) + 2) + (T (1) + T (0) + 2)
2
8
= = 4.
2
or
4 ≤ c2 log 2
therefore
c ≥ 4/(2 log 2) ≈ 2.88.
For the induction step, we assume that n ≥ 3 and The induction hypothesis is that for any n 0 < n, we
have T (n 0 ) ≤ cn 0 log n 0 . We want to prove that it is true for T (n). By expanding T (n) and moving the
52 CHAPTER 4. SORTING
n n
1X 1X
T (n) = T (q − 1) + T (n − q) + n
n q=1 n q=1
Observe that the two sums add up the same values T (0) + T (1) + · · · + T (n − 1). One counts up and
Pn−1
other counts down. Thus we can replace them with 2 q=0 T (q). We will extract T (0) and T (1) and treat
them specially. These two do not follow the formula.
n−1
2 X
T (n) = T (q) + n
n q=0
n−1
X
2
= T (0) + T (1) + T (q) + n
n q=2
Recall from calculus that for any monotonically increasing function f(x)
b−1
X Zb
f(i) ≤ f(x)dx
i=a a
4.3. QUICKSORT 53
Zn
x2 x2 n
xln x dx = ln x −
2 2 4 x=2
n2 n2
= ln n − − (2ln 2 − 1)
2 4
n2 n2
≤ ln n −
2 4
We thus have
n−1
X n2 n2
S(n) = (cqln q) ≤ ln n −
q=2
2 4
Plug this back into the expression for T (n) to get
2c n2 n2 4
T (n) = ln n − +n+
n 2 4 n
2c n2 n2 4
T (n) = ln n − +n+
n 2 4 n
cn 4
= cnln n − +n+
2 n
c 4
= cnln n + n 1 − +
2 n
c 4
T (n) = cnln n + n 1 − +
2 n
To finish the proof,we want all of this to be at most cnln n. For this to happen, we will need to select c
such that
c 4
n 1− + ≤0
2 n
If we select c = 3, and use the fact that n ≥ 3 we get
c 4 3 n
n 1− + = −
2 n n 2
3 1
≤ 1 − = − ≤ 0.
2 2
From the basis case we had c ≥ 2.88. Choosing c = 3 satisfies all the constraints. Thus
T (n) = 3nln n ∈ Θ(n log n).
54 CHAPTER 4. SORTING
An in-place sorting algorithm is one that uses no additional array for storage. A sorting algorithm is
stable if duplicate elements remain in the same relative position after sorting.
9 3 3 0 5 6 5 0 2 1 3 00 unsorted
1 2 3 3 0 3 00 5 5 0 6 9 stable sort
1 2 3 0 3 3 00 5 0 5 6 9 unstable
Bubble sort, insertion sort and selection sort are in-place sorting algorithms. Bubble sort and insertion
sort can be implemented as stable algorithms but selection sort cannot (without significant modifications).
Mergesort is a stable algorithm but not an in-place algorithm. It requires extra array storage. Quicksort is
not stable but is an in-place algorithm. Heapsort is an in-place algorithm but is not stable.
The best we have seen so far is O(n log n) algorithms for sorting. Is it possible to do better than
O(n log n)? If a sorting algorithm is solely based on comparison of keys in the array then it is impossible
to sort more efficiently than Ω(n log n) time. All algorithms we have seen so far are comparison-based
sorting algorithms.
Consider sorting three numbers a1, a2, a3. There are 3! = 6 possible combinations:
a1 < a2
YES NO
a2 < a3 a1 < a3
YES NO YES NO
1, 2, 3 a1 < a3 2, 1, 3 a2 < a3
YES NO YES NO
1, 3, 2 3, 1, 2 2, 3, 1 3, 2, 1
For n elements, there will be n! possible permutations. The height of the tree is exactly equal to T (n),
the running time of the algorithm. The height is T (n) because any path from the root to a leaf
corresponds to a sequence of comparisons made by the algorithm.
Any binary tree of height T (n) has at most 2T(n) leaves. Thus a comparison based sorting algorithm can
distinguish between at most 2T(n) different final outcomes. So we have
The lower bound implies that if we hope to sort numbers faster than O(n log n), we cannot do it by
making comparisons alone. Is it possible to sort without making comparisons? The answer is yes, but
only under very restrictive circumstances. Many applications involve sorting small integers (e.g. sorting
characters, exam scores, etc.). We present three algorithms based on the theme of speeding up sorting in
special cases, by not making comparisons.
We will consider three algorithms that are faster and work by not making comparisons. Counting sort
assumes that the numbers to be sorted are in the range 1 to k where k is small. The basic idea is to
determine the rank of each number in final sorted array.
Recall that the rank of an item is the number of elements that are less than or equal to it. Once we know
the ranks, we simply copy numbers to their final position in an output array.
The question is how to find the rank of an element without comparing it to the other elements of the
array?. The algorithm uses three arrays. As usual, A[1..n] holds the initial input, B[1..n] holds the sorted
output and C[1..k] is an array of integers. C[x] is the rank of x in A, where x ∈ [1..k]. The algorithm is
remarkably simple, but deceptively clever. The algorithm operates by first constructing C. This is done in
two steps. First we set C[x] to be the number of elements of A[j] that are equal to x. We can do this
initializing C to zero, and then for each j, from 1 to n, we increment C[A[j]] by 1. Thus, if A[j] = 5, then
the 5th element of C is incremented, indicating that we have seen one more 5. To determine the number
of elements that are less than or equal to x, we replace C[x] with the sum of elements in the sub array
R[1 : x]. This is done by just keeping a running total of the elements of C.
C[x] now contains the rank of x. This means that if x = A[j] then the final position of A[j] should be at
position C[x] in the final sorted array. Thus, we set B[C[x]] = A[j]. Notice We need to be careful if there
are duplicates, since we do not want them to overwrite the same location of B. To do this, we decrement
57
58 CHAPTER 5. LINEAR TIME SORTING
There are four (unnested) loops, executed k times, n times, k − 1 times, and n times, respectively, so the
total running time is Θ(n + k) time. If k = O(n), then the total running time is Θ(n).
Figure 5.1 through 5.19 shows an example of the algorithm. You should trace through the example to
convince yourself how it works.
1 2 3 4 5 6 7 8 9 10 11
Input
A[1..n] 7 1 3 1 2 4 5 7 2 4 3
k=7
1 2 3 4 5 6 7
C[1..k] 0 0 0 0 0 0 0
1 2 3 4 5 6 7 8 9 10 11
Input
A[1..n] 7 1 3 1 2 4 5 7 2 4 3
k
1 2 3 4 5 6 7
C[1..k] 0 0 0 0 0 0 1
1 2 3 4 5 6 7 8 9 10 11
Input
A[1..n] 7 1 3 1 2 4 5 7 2 4 3
k
1 2 3 4 5 6 7
C[1..k] 1 0 0 0 0 0 1
1 2 3 4 5 6 7 8 9 10 11
Input
A[1..n] 7 1 3 1 2 4 5 7 2 4 3
k
1 2 3 4 5 6 7
C[1..k] 1 0 1 0 0 0 1
1 2 3 4 5 6 7 8 9 10 11
Input
A[1..n] 7 1 3 1 2 4 5 7 2 4 3
k
1 2 3 4 5 6 7
C[1..k] 2 0 1 0 0 0 1
1 2 3 4 5 6 7 8 9 10 11
Input
A[1..n] 7 1 3 1 2 4 5 7 2 4 3
k
1 2 3 4 5 6 7
C[1..k] 2 1 1 0 0 0 1
1 2 3 4 5 6 7 8 9 10 11
Input
A[1..n] 7 1 3 1 2 4 5 7 2 4 3
finally
1 2 3 4 5 6 7
C[1..k] 2 2 2 2 1 0 2
1 2 3 4 5 6 7 8 9 10 11
Input
A[1..n] 7 1 3 1 2 4 5 7 2 4 3
1 2 3 4 5 6 7
C[1..k] 2 2 2 2 1 0 2
for i = 2 to 7
do C[i] = C[i] + C[i-1]
1 2 3 4 5 6 7
C 2 4 6 8 9 9 11
6 elements <= 3
Input
7 1 3 1 2 4 5 7 2 4 3
A[1..n]
1 2 3 4 5 6 7 8 9 10 11
Output
B[1..n] 3
C 2 4 6 8 9 9 11
C[A[11]] = C[A[11]] - 1
C 2 4 5 8 9 9 11
Input
7 1 3 1 2 4 5 7 2 4 3
A[1..n]
1 2 3 4 5 6 7 8 9 10 11
Output
B[1..n] 3 4
C 2 4 5 8 9 9 11
C[A[10]] = C[A[10]] - 1
C 2 4 5 7 9 9 11
Input
7 1 3 1 2 4 5 7 2 4 3
A[1..n]
1 2 3 4 5 6 7 8 9 10 11
Output
B[1..n] 2 3 4
C 2 4 5 7 9 9 11
C[A[9]] = C[A[9]] - 1
C 2 3 5 7 9 9 11
Input
7 1 3 1 2 4 5 7 2 4 3
A[1..n]
1 2 3 4 5 6 7 8 9 10 11
Output
B[1..n] 2 3 4 7
C 2 3 5 7 9 9 11
C[A[8]] = C[A[8]] - 1
C 2 3 5 7 9 9 10
Input
7 1 3 1 2 4 5 7 2 4 3
A[1..n]
1 2 3 4 5 6 7 8 9 10 11
Output
B[1..n] 2 3 4 5 7
C 2 3 5 7 9 9 10
C[A[5]] = C[A[5]] - 1
C 2 3 5 7 8 9 10
Input
7 1 3 1 2 4 5 7 2 4 3
A[1..n]
1 2 3 4 5 6 7 8 9 10 11
Output
B[1..n] 2 3 4 4 5 7
C 2 3 5 7 8 9 10
C[A[6]] = C[A[6]] - 1
C 2 3 5 6 8 9 10
Input
7 1 3 1 2 4 5 7 2 4 3
A[1..n]
1 2 3 4 5 6 7 8 9 10 11
Output
B[1..n] 2 2 3 4 4 5 7
C 2 3 5 7 8 9 10
C[A[5]] = C[A[5]] - 1
C 2 2 5 6 8 9 10
Input
7 1 3 1 2 4 5 7 2 4 3
A[1..n]
1 2 3 4 5 6 7 8 9 10 11
Output
B[1..n] 1 2 2 3 4 4 5 7
C 2 2 5 7 8 9 10
C[A[4]] = C[A[4]] - 1
C 1 2 5 6 8 9 10
Input
7 1 3 1 2 4 5 7 2 4 3
A[1..n]
1 2 3 4 5 6 7 8 9 10 11
Output
B[1..n] 1 2 2 3 3 4 4 5 7
C 1 2 5 7 8 9 10
C[A[3]] = C[A[3]] - 1
C 1 2 4 6 8 9 10
Input
7 1 3 1 2 4 5 7 2 4 3
A[1..n]
1 2 3 4 5 6 7 8 9 10 11
Output
B[1..n] 1 1 2 2 3 3 4 4 5 7
C 1 2 4 7 8 9 10
C[A[3]] = C[A[3]] - 1
C 0 2 4 6 8 9 10
Input
7 1 3 1 2 4 5 7 2 4 3
A[1..n]
1 2 3 4 5 6 7 8 9 10 11
Output
B[1..n] 1 1 2 2 3 3 4 4 5 7 7
C 0 2 4 7 8 9 10
C[A[1]] = C[A[1]] - 1
C 0 2 4 6 8 9 9
Counting sort is not an in-place sorting algorithm but it is stable. Stability is important because data are
often carried with the keys being sorted. radix sort (which uses counting sort as a subroutine) relies on it
to work correctly. Stability achieved by running the loop down from n to 1 and not the other way around:
5.1. COUNTING SORT 67
Figure 5.20 illustrates the stability. The numbers 1, 2, 3, 4, and 7, each appear twice. The two 4’s have
been given the superscript “*”. Numbers are placed in the output B array starting from the right. The two
4’s maintain their relative position in the B array. If the sorting algorithm had caused 4∗∗ to end up on the
left of 4∗ , the algorithm would be termed unstable.
Input
7 1 3 1 2 4* 5 7 2 4** 3
A[1..n]
1 2 3 4 5 6 7 8 9 10 11
Output
B[1..n] 3 4**
C 2 4 5 8 9 9 11
C[A[10]] = C[A[10]] - 1
C 2 4 5 7 9 9 11
Input
7 1 3 1 2 4* 5 7 2 4** 3
A[1..n]
1 2 3 4 5 6 7 8 9 10 11
Output
B[1..n] 2 3 4* 4** 5 7
C 2 3 5 7 8 9 10
C[A[6]] = C[A[6]] - 1
C 2 3 5 6 8 9 10
Input
7’ 1^ 3# 1^^ 2+ 4* 5 7” 2++ 4** 3##
A[1..n]
1 2 3 4 5 6 7 8 9 10 11
Output
^ 1^^ 2+ 2++ 3# 3## 4* 4** 7”
B[1..n] 1 5 7’
1. Set up an array of “bins” - one for each value of the key - in order,
2. Examine each item and use the value of the key to place it in the appropriate bin.
Now our collection is sorted and it only took n operations, so this is an O(n) operation. However, note
that it will only work under very restricted conditions. To understand these restrictions, let’s be a little
more precise about the specification of the problem and assume that there are m values of the key. To
recover our sorted collection, we need to examine each bin. This adds a third step to the algorithm above,
and it is strictly O(n + m). If m ≤ n, this is clearly O(n). However if m >> n, then it is O(m). An
implementation of bin sort might look like:
If there are duplicates, then each bin can be replaced by a linked list. The third step then becomes:
We can add an item to a linked list in O(1) time. There are n items requiring O(n) time. Linking a list to
another list simply involves making the tail of one list point to the other, so it is O(1). Linking m such
lists obviously takes O(m) time, so the algorithm is still O(n + m). Figures 5.21 through 5.23 show the
algorithm in action using linked lists.
70 CHAPTER 5. LINEAR TIME SORTING
.78 0
Figure 5.21: Bucket sort: step 1, placing keys in bins in sorted order
.78 0
.78
.17 .12 .17
.39 .21 .23 .26
.26 .39
.72
.94
.21 .68
.12 .72 .78
.23
.68 .94
Dynamic Programming
Suppose we put a pair of rabbits in a place surrounded on all sides by a wall. How many pairs of rabbits
can be produced from that pair in a year if it is supposed that every month each pair begets a new pair
which from the second month on becomes productive? Resulting sequence is
1, 1, 2, 3, 5, 8, 13, 21, 34, 55, . . . where each number is the sum of the two preceding numbers.
This problem was posed by Leonardo Pisano, better known by his nickname Fibonacci (son of Bonacci,
born 1170, died 1250). This problem and many others were in posed in his book Liber abaci, published
in 1202. The book was based on the arithmetic and algebra that Fibonacci had accumulated during his
travels. The book, which went on to be widely copied and imitated, introduced the Hindu-Arabic
place-valued decimal system and the use of Arabic numerals into Europe. The rabbits problem in the
third section of Liber abaci led to the introduction of the Fibonacci numbers and the Fibonacci sequence
for which Fibonacci is best remembered today.
This sequence, in which each number is the sum of the two preceding numbers, has proved extremely
fruitful and appears in many different areas of mathematics and science. The Fibonacci Quarterly is a
modern journal devoted to studying mathematics related to this sequence. The Fibonacci numbers Fn are
defined as follows:
F0 = 0
F1 = 1
Fn = Fn−1 + Fn−2
73
74 CHAPTER 6. DYNAMIC PROGRAMMING
The recursive definition of Fibonacci numbers gives us a recursive algorithm for computing them:
FIB(n)
1 if (n < 2)
2 then return n
3 else return FIB(n − 1) + FIB(n − 2)
fib(8)
fib(7) fib(6)
fib(4) fib(3) fib(3) fib(2) fib(3) fib(2) fib(2) fib(1) fib(3) fib(2) fib(2) fib(1) fib(2) fib(1) fib(1) fib(0)
Figure 6.1: Recursive calls during computation of Fibonacci number
A single recursive call to fib(n) results in one recursive call to fib(n − 1), two recursive calls to
fib(n − 2), three recursive calls to fib(n − 3), five recursive calls to fib(n − 4) and, in general, Fk−1
recursive calls to fib(n − k) For each call, we’re recomputing the same fibonacci number from scratch.
We can avoid this unnecessary repetitions by writing down the results of recursive calls and looking them
up again if we need them later. This process is called memoization. Here is the algorithm with
memoization.
M EMO F IB(n)
1 if (n < 2)
2 then return n
3 if (F[n] is undefined)
4 then F[n] ← M EMO F IB(n − 1) + M EMO F IB(n − 2)
5 return F[n]
If we trace through the recursive calls to M EMO F IB, we find that array F[] gets filled from bottom up. I.e.,
first F[2], then F[3], and so on, up to F[n]. We can replace recursion with a simple for-loop that just fills
up the array F[] in that order.
6.2. DYNAMIC PROGRAMMING 75
I TER F IB(n)
1 F[0] ← 0
2 F[1] ← 1
3 for i ← 2 to n
4 do
5 F[i] ← F[i − 1] + F[i − 2]
6 return F[n]
This algorithm clearly√takes only O(n) time to compute Fn. By contrast, the original recursive algorithm
takes Θ(φn), φ = 1+2 5 ≈ 1.618. I TER F IB achieves an exponential speedup over the original recursive
algorithm.
• Formulate problem recursively. Write down a formula for the whole problem as a simple
combination of answers to smaller subproblems.
• Build solution to recurrence from bottom up. Write an algorithm that starts with base cases and
works its way up to the final solution.
Dynamic programming algorithms need to store the results of intermediate subproblems. This is often
but not always done with some kind of table. We will now cover a number of examples of problems in
which the solution is based on dynamic programming strategy.
• change a letter,
• insert a letter or
76 CHAPTER 6. DYNAMIC PROGRAMMING
• delete a letter
For example, the edit distance between FOOD and MONEY is at most four:
• A-adenine
• G-guanine
• C-cytosine
• T-thymine
Double-helix of DNA molecule with nucleotides Figure of Double-helix of DNA molecule with
nucleotides goes here
The edit distance like algorithms are used to compute a distance between DNA sequences (strings over
A,C,G,T, or protein sequences (over an alphabet of 20 amino acids), for various purposes, e.g.:
Speech Recognition
Algorithms similar to those for the edit-distance problem are used in some speech recognition systems.
Find a close match between a new utterance and one in a library of classified utterances.
S D I
M D M
M A T H S
A R T S
The first word has a gap for every insertion (I) and the second word has a gap for every deletion (D).
Columns with two different characters correspond to substitutions (S). Matches (M) do not count. The
Edit transcript is defined as a string over the alphabet M, S, I, D that describes a transformation of one
string into another. For example
S D I M D M
1+ 1+ 1+ 0+ 1+ 0+ = 4
In general, it is not easy to determine the optimal edit distance. For example, the distance between
ALGORITHM and ALTRUISTIC is at most 6.
A L G O R I T H M
A L T R U I S T I C
Is this optimal?
The edit distance between entire strings A and B is E(m, n). The gap representation for the edit
sequences has a crucial “optimal substructure” property. If we remove the last column, the remaining
columns must represent the shortest edit sequence for the remaining substrings. The edit distance is 6 for
the following two words.
78 CHAPTER 6. DYNAMIC PROGRAMMING
A L G O R I T H M
A L T R U I S T I C
A L G O R I T H
A L T R U I S T I
We can use the optimal substructure property to devise a recursive formulation of the edit distance
problem. There are a couple of obvious base cases:
• The only way to convert an empty string into a string of j characters is by doing j insertions. Thus
E(0, j) = j
• The only way to convert a string of i characters into the empty string is with i deletions:
E(i, 0) = i
There are four possibilities for the last column in the shortest possible edit sequence:
In this case
E(i, j) = E(i − 1, j) + 1
In this case
E(i, j) = E(i, j − 1) + 1
6.3. EDIT DISTANCE 79
E(i, j) = E(i − 1, j − 1) + 1
i=5
z }| {
A L G O R I T H M
A
| L {z T R} U I S T I C
j=4
E(i, j) = E(i − 1, j − 1)
Thus the edit distance E(i, j) is the smallest of the four possibilities:
E(i − 1, j) + 1
E(i, j − 1) + 1
E(i, j) = min E(i − 1, j − 1) + 1 if A[i] 6= B[j]
Consider the example of edit between the words “ARTS” and “MATHS”:
A R T S
M A T H S
The edit distance would be in E(4, 5). If we recursion to compute, we will have
E(3, 5) + 1
E(4, 4) + 1
E(4, 5) = min E(3, 4) + 1 if A[4] 6= B[5]
Recursion clearly leads to the same repetitive call pattern that we saw in Fibonnaci sequence. To avoid
this, we will use the DP approach. We will build the solution bottom-up. We will use the base case
E(0, j) to fill first row and the base case E(i, 0) to fill first column. We will fill the remaining E matrix
row by row.
80 CHAPTER 6. DYNAMIC PROGRAMMING
A R T S A R T S
0 →1 →2 →3 →4 0 →1 →2 →3 →4
↓
M M
1
↓
A A
2
↓
T T
3
↓
H H
4
↓
S S
5
Table 6.1: First row and first column entries using the base cases
We can now fill the second row. The table not only shows the values of the cells E[i, j] but also arrows
that indicate how it was computed using values in E[i − 1, j], E[i, j − 1] and E[i − 1, j − 1]. Thus, if a cell
E[i, j] has a down arrow from E[i − 1, j] then the minimum was found using E[i − 1, j]. For a right arrow,
the minimum was found using E[i, j − 1]. For a diagonal down right arrow, the minimum was found
using E[i − 1, j − 1]. There are certain cells that have two arrows pointed to it. In such a case, the
minimum could be obtained from the diagonal E[i − 1, j − 1] and either of E[i − 1, j] and E[i, j − 1]. We
will use these arrows later to determine the edit script.
A R T S A R T S
0 →1 →2 →3 →4 0 →1 →2 →3 →4
↓ & ↓ & &
M M
1 1 1 1 →2
↓ ↓
A A
2 2
↓ ↓
T T
3 3
↓ ↓
H H
4 4
↓ ↓
S S
5 5
A R T S A R T S
0 →1 →2 →3 →4 0 →1 →2 →3 →4
↓ & & & ↓ & & & &
M M
1 1 →2 →3 1 1 →2 →3 →4
↓ ↓
A A
2 2
↓ ↓
T T
3 3
↓ ↓
H H
4 4
↓ ↓
S S
5 5
An edit script can be extracted by following a unique path from E[0, 0] to E[4, 5]. There are three possible
paths in the current example. Let us follow these paths and compute the edit script. In an actual
implementation of the dynamic programming version of the edit distance algorithm, the arrows would be
recorded using an appropriate data structure. For example, each cell in the matrix could be a record with
fields for the value (numeric) and flags for the three incoming arrows.
82 CHAPTER 6. DYNAMIC PROGRAMMING
A R T S
0 →1 →2 →3 →4
↓ & & & &
M
1 1 →2 →3 →4
↓ & & & &
A
2 1 →2 →3 →4
↓ ↓ & &
T
3 2 2 2 →3
↓ ↓ &↓ &↓ &
H
4 3 3 3 3
↓ ↓ &↓ &↓ &
S
5 4 4 4 3
Table 6.4: The final table with all E[i, j] entries computed
A R T S
0 →1 →2 →3 →4
↓ & & & &
M Solution path 1:
1 1 →2 →3 →4
↓ & & & & 1+ 0+ 1+ 1+ 0 =3
A D M S S M
2 1 →2 →3 →4
↓ ↓ & & M A T H S
T
3 2 2 2 →3 A R T S
↓ ↓ &↓ &↓ &
H
4 3 3 3 3
↓ ↓ &↓ &↓ &
S
5 4 4 4 3
6.3. EDIT DISTANCE 83
A R T S
0 →1 →2 →3 →4
↓ & & & &
M
1 1 →2 →3 →4
↓ & & & &
A
2 1 →2 →3 →4
↓ ↓ & &
T
3 2 2 2 →3
↓ ↓ &↓ &↓ &
H
4 3 3 3 3
↓ ↓ &↓ &↓ &
S
5 4 4 4 3
Table 6.5: Possible edit scripts. The red arrows from E[0, 0] to E[4, 5] show the paths that can be followed
to extract edit scripts.
A R T S
0 →1 →2 →3 →4
↓ & & & &
M Solution path 2:
1 1 →2 →3 →4
↓ & & & & 1+ 1+ 0+ 1+ 0 =3
A S S M D M
2 1 →2 →3 →4
↓ ↓ & & M A T H S
T
3 2 2 2 →3 A R T S
↓ ↓ &↓ &↓ &
H
4 3 3 3 3
↓ ↓ &↓ &↓ &
S
5 4 4 4 3
84 CHAPTER 6. DYNAMIC PROGRAMMING
A R T S
0 →1 →2 →3 →4
↓ & & & &
M Solution path 3:
1 1 →2 →3 →4
↓ & & & & 1+ 0+ 1+ 0+ 1+ 0 =3
A D M I M D M
2 1 →2 →3 →4
↓ ↓ & & M A T H S
T
3 2 2 2 →3 A R T S
↓ ↓ &↓ &↓ &
H
4 3 3 3 3
↓ ↓ &↓ &↓ &
S
5 4 4 4 3
There is considerable savings achieved even for this simple example. In general, however, in what order
should we multiply a series of matrices A1A2 . . . An. Matrix multiplication is an associative but not
commutative operation. We are free to add parenthesis the above multiplication but the order of matrices
can not be changed. The Chain Matrix Multiplication Problem is stated as follows:
Given a sequence A1, A2, . . . , An and dimensions p0, p1, . . . , pn where Ai is of dimension
pi−1 × pi, determine the order of multiplication that minimizes the number of operations.
We could write a procedure that tries all possible parenthesizations. Unfortunately, the number of ways
of parenthesizing an expression is very large. If there are n items, there are n − 1 ways in which outer
most pair of parentheses can placed.
(A1)(A2A3A4 . . . An)
or (A1A2)(A3A4 . . . An)
or (A1A2A3)(A4 . . . An)
... ...
or (A1A2A3A4 . . . An−1)(An)
Once we split just after the kth matrix, we create two sublists to be parethesized, one with k and other
with n − k matrices.
(A1A2 . . . Ak) (Ak+1 . . . An)
We could consider all the ways of parenthesizing these two. Since these are independent choices, if there
are L ways of parenthesizing the left sublist and R ways to parenthesize the right sublist, then the total is
L · R. This suggests the following recurrence for P(n), the number of different ways of parenthesizing n
items:
1 if n = 1,
P(n) = Pn−1
k=1 P(k)P(n − k) if n ≥ 2
This is related to a famous function in combinatorics called the Catalan numbers. Catalan numbers are
related the number of different binary trees on n nodes. Catalan number is given by the formula:
1 2n
C(n) =
n+1 n
In particular, P(n) = C(n − 1) C(n) ∈ Ω(4n/n3/2) The dominating term is the exponential 4n thus
P(n) will grow large very quickly. So this approach is not practical.
The question now is: what is the optimum value of k for the split and how do we parenthesis the
sub-chains A1..k and Ak+1..n. We can not use divide and conquer because we do not know what is the
optimum k. We will have to consider all possible values of k and take the best of them. We will apply
this strategy to solve the subproblems optimally.
We will store the solutions to the subproblem in a table and build the table bottom-up (why)? For
1 ≤ i ≤ j ≤ n, let m[i, j] denote the minimum number of multiplications needed to compute Ai..j. The
optimum can be described by the following recursive formulation.
• If i = j, there is only one matrix and thus m[i, i] = 0 (the diagonal entries).
The optimum time to compute Ai..k is m[i, k] and optimum time for Ak+1..j is in m[k + 1, j]. Since Ai..k
is a pi−1 × pk matrix and Ak+1..j is pk × pj matrix, the time to multiply them is pi−1 × pk × pj. This
suggests the following recursive rule:
m[i, i] = 0
m[i, j] = min (m[i, k] + m[k + 1, j] + pi−1pkpj)
i≤k<j
We do not want to calculate m entries recursively. So how should we proceed? We will fill m along the
diagonals. Here is how. Set all m[i, i] = 0 using the base condition. Compute cost for multiplication of a
sequence of 2 matrices. These are m[1, 2], m[2, 3], m[3, 4], . . . , m[n − 1, n]. m[1, 2], for example is
For example, for m for product of 5 matrices at this stage would be:
←m[1, 2]
m[1, 1]
↓
←m[2, 3]
m[2, 2]
↓
←m[3, 4]
m[3, 3]
↓
←m[4, 5]
m[4, 4]
↓
m[5, 5]
6.4. CHAIN MATRIX MULTIPLY 87
Next, we compute cost of multiplication for sequences of three matrices. These are
m[1, 3], m[2, 4], m[3, 5], . . . , m[n − 2, n]. m[1, 3], for example is
m[1, 1] + m[2, 3] + p0 · p1 · p3
m[1, 3] = min
m[1, 2] + m[3, 3] + p0 · p2 · p3
We repeat the process for sequences of four, five and higher number of matrices. The final result will end
up in m[1, n].
Example: Let us go through an example. We want to find the optimal multiplication order for
A1 · A2 · A3 · A4 · A5
(5×4) (4×6) (6×2) (2×7) (7×3)
We will compute the entries of the m matrix starting with the base condition. We first fill that main
diagonal:
0
0
0
0
0
Next, we compute the entries in the first super diagonal, i.e., the diagonal above the main diagonal:
m[1, 2] = m[1, 1] + m[2, 2] + p0 · p1 · p2 = 0 + 0 + 5 · 4 · 6 = 120
m[2, 3] = m[2, 2] + m[3, 3] + p1 · p2 · p3 = 0 + 0 + 4 · 6 · 2 = 48
m[3, 4] = m[3, 3] + m[4, 4] + p2 · p3 · p4 = 0 + 0 + 6 · 2 · 7 = 84
m[4, 5] = m[4, 4] + m[5, 5] + p3 · p4 · p5 = 0 + 0 + 2 · 7 · 3 = 42
0 120
0 48
0 84
0 42
0
We now proceed to the second super diagonal. This time, however, we will need to try two possible
values for k. For example, there are two possible splits for computing m[1, 3]; we will choose the split
that yields the minimum:
m[1, 3] = m[1, 1] + m[2, 3] + p0 · p1 · p3 == 0 + 48 + 5 · 4 · 2 = 88
m[1, 3] = m[1, 2] + m[3, 3] + p0 · p2 · p3 = 120 + 0 + 5 · 6 · 2 = 180
the minimum m[1, 3] = 88 occurs with k = 1
88 CHAPTER 6. DYNAMIC PROGRAMMING
With the second super diagonal computed, the m matrix looks as follow:
0 120 88
0 48 104
0 84 78
0 42
0
We repeat the process for the remaining diagonals. However, the number of possible splits (values of k)
increases:
0 120 88 158
0 48 104 114
0 84 78
0 42
0
0 1 5 8 10
0 0 2 6 9
0 0 0 3 7
0 0 0 0 4
0 0 0 0 0
0 1 1 3 3
0 2 3 3
0 3 3
0 4
0
90 CHAPTER 6. DYNAMIC PROGRAMMING
Based on the computation, the minimum cost for multiplying the five matrices is 160 and the optimal
order for multiplication is
((A1(A2A3))(A4A5))
1 4
A1 2 A4 A5
A2 A3
Figure 6.2: Optimum matrix multiplication order for the five matrices example
Here is the dynamic programming based algorithm for computing the minimum cost of chain matrix
multiplication.
MATRIX - CHAIN(p, N)
1 for i = 1, N
2 do m[i, i] ← 0
3 for L = 2, N
4 do
5 for i = 1, n − L + 1
6 do j ← i + L − 1
7 m[i, j] ← ∞
8 for k = 1, j − 1
9 do t ← m[i, k] + m[k + 1, j] + pi−1 · pk · pj
10 if (t < m[i, j])
11 then m[i, j] ← t; s[i, j] ← k
Analysis: There are three nested loops. Each loop executes a maximum n times. Total time is thus
Θ(n3).
The s matrix stores the values k. The s matrix can be used to extracting the order in which matrices are to
be multiplied. Here is the algorithm that caries out the matrix multiplication to compute Ai..j:
6.5. 0/1 KNAPSACK PROBLEM 91
MULTIPLY(i, j)
1 if (i = j)
2 then return A[i]
3 else k ← s[i, j]
4 X ← MULTIPLY(i, k)
5 Y ← MULTIPLY(k + 1, j)
6 return X · Y
The problem is called a “0-1” problem, because each item must be entirely accepted or rejected. How do
we solve the problem. We could try the brute-force solution:
• Since there are n items, there are 2n possible combinations of the items (an item either chosen or
not).
• We go through all combinations and find the one with the most total value and with total weight
less or equal to W
Clearly, the running time of such a brute-force algorithm will be O(2n). Can we do better? The answer is
“yes”, with an algorithm based on dynamic programming Let us recap the steps in the dynamic
programming strategy:
1. Simple Subproblems: We should be able to break the original problem to smaller subproblems
that have the same structure
2. Principle of Optimality: Recursively define the value of an optimal solution. Express the solution
of the original problem in terms of optimal solutions for smaller problems.
Let us try this: If items are labelled 1, 2, . . . , n, then a subproblem would be to find an optimal solution
for
Sk = items labelled 1, 2, . . . , k
This is a valid subproblem definition. The question is: can we describe the final solution Sn in terms of
subproblems Sk? Unfortunately, we cannot do that. Here is why. Consider the optimal solution if we can
choose items 1 through 4 only.
Solution S4 Item wi vi
1 2 3
• Items chosen are 1, 2, 3, 4 2 3 4
• Total weight: 2 + 3 + 4 + 5 = 14 3 4 5
4 5 8
• Total value: 3 + 4 + 5 + 8 = 20 5 9 10
Now consider the optimal solution when items 1 through 5 are available.
6.5. 0/1 KNAPSACK PROBLEM 93
Solution S5
Item wi vi
• Items chosen are 1, 3, 4, 5 1 2 3
2 3 4
• Total weight: 2 + 4 + 5 + 9 = 20 3 4 5
• Total value: 3 + 5 + 8 + 10 = 26 4 5 8
5 9 10
S4 is not part of S5!!
The solution for S4 is not part of the solution for S5. So our definition of a subproblem is flawed and we
need another one.
For each i ≤ n and each w ≤ W, solve the knapsack problem for the first i objects when the capacity is
w. Why will this work? Because solutions to larger subproblems can be built up easily from solutions to
smaller ones. We construct a matrix V[0 . . . n, 0 . . . W]. For 1 ≤ i ≤ n, and 0 ≤ j ≤ W, V[i, j] will store
the maximum value of any set of objects {1, 2, . . . , i} that can fit into a knapsack of weight j. V[n, W]
will contain the maximum value of all n objects that can fit into the entire knapsack of weight W.
To compute entries of V we will imply an inductive approach. As a basis, V[0, j] = 0 for 0 ≤ j ≤ W
since if we have no items then we have no value. We consider two cases:
Leave object i: If we choose to not take object i, then the optimal value will come about by considering
how to fill a knapsack of size j with the remaining objects {1, 2, . . . , i − 1}. This is just V[i − 1, j].
Take object i: If we take object i, then we gain a value of vi. But we use up wi of our capacity. With the
remaining j − wi capacity in the knapsack, we can fill it in the best possible way with objects
{1, 2, . . . , i − 1}. This is vi + V[i − 1, j − wi]. This is only possible if wi ≤ j.
V[i, j] = −∞ if j < 0
V[0, j] = 0 if j ≥ 0
V[i − 1, j] if wi > j
V[i, j] =
max V[i − 1, j], vi + V[i − 1, j − wi] if wi ≤ j
A naive evaluation of this recursive definition is exponential. So, as usual, we avoid re-computation by
making a table.
Example: The maximum weight the knapsack can hold is W is 11. There are five items to choose from.
Their weights and values are presented in the following table:
94 CHAPTER 6. DYNAMIC PROGRAMMING
The [i, j] entry here will be V[i, j], the best value obtainable using the first i rows of items if the
maximum capacity were j. We begin by initializating and first row.
Weight limit: 0 1 2 3 4 5 6 7 8 9 10 11
w1 = 1 v1 = 1 0 1 1 1 1 1 1 1 1 1 1 1
w2 = 2 v2 = 6 0
w3 = 5 v3 = 18 0
w4 = 6 v4 = 22 0
w5 = 7 v5 = 28 0
Recall that we take V[i, j] to be 0 if either i or j is ≤ 0. We then proceed to fill in top-down, left-to-right
always using
V[i, j] = max V[i − 1, j], vi + V[i − 1, j − wi]
Weight limit: 0 1 2 3 4 5 6 7 8 9 10 11
w1 = 1 v1 = 1 0 1 1 1 1 1 1 1 1 1 1 1
w2 = 2 v2 = 6 0 1 6 7 7 7 7 7 7 7 7 7
w3 = 5 v3 = 18 0
w4 = 6 v4 = 22 0
w5 = 7 v5 = 28 0
Weight limit: 0 1 2 3 4 5 6 7 8 9 10 11
w1 = 1 v1 = 1 0 1 1 1 1 1 1 1 1 1 1 1
w2 = 2 v2 = 6 0 1 6 7 7 7 7 7 7 7 7 7
w3 = 5 v3 = 18 0 1 6 7 7 18 19 24 25 25 25 25
w4 = 6 v4 = 22 0
w5 = 7 v5 = 28 0
Weight limit: 0 1 2 3 4 5 6 7 8 9 10 11
w1 = 1 v1 = 1 0 1 1 1 1 1 1 1 1 1 1 1
w2 = 2 v2 = 6 0 1 6 7 7 7 7 7 7 7 7 7
w3 = 5 v3 = 18 0 1 6 7 7 18 19 24 25 25 25 25
w4 = 6 v4 = 22 0 1 6 7 7 18 22 24 28 29 29 40
w5 = 7 v5 = 28 0
Finally, we have
Weight limit: 0 1 2 3 4 5 6 7 8 9 10 11
w1 = 1 v1 = 1 0 1 1 1 1 1 1 1 1 1 1 1
w2 = 2 v2 = 6 0 1 6 7 7 7 7 7 7 7 7 7
w3 = 5 v3 = 18 0 1 6 7 7 18 19 24 25 25 25 25
w4 = 6 v4 = 22 0 1 6 7 7 18 22 24 28 29 29 40
w5 = 7 v5 = 28 0 1 6 7 7 18 22 28 29 34 35 40
The maximum value of items in the knapsack is 40, the bottom-right entry). The dynamic programming
approach can now be coded as the following algorithm:
KNAPSACK(n, W)
1 for w = 0, W
2 do V[0, w] ← 0
3 for i = 0, n
4 do V[i, 0] ← 0
5 for w = 0, W
6 do if (wi ≤ w & vi + V[i − 1, w − wi] > V[i − 1, w])
7 then V[i, w] ← vi + V[i − 1, w − wi]
8 else V[i, w] ← V[i − 1, w]
The time complexity is clearly O(n · W). It must be cautioned that as n and W get large, both time and
space complexity become significant.
Constructing the Optimal Solution
The algorithm for computing V[i, j] does not keep record of which subset of items gives the optimal
solution. To compute the actual subset, we can add an auxiliary boolean array keep[i, j] which is 1 if we
decide to take the ith item and 0 otherwise. We will use all the values keep[i, j] to determine the optimal
subset T of items to put in the knapsack as follows:
• If keep[n, W] is 1, then n ∈ T . We can now repeat this argument for keep[n − 1, W − wn].
KNAPSACK(n, W)
1 for w = 0, W
2 do V[0, w] ← 0
3 for i = 0, n
4 do V[i, 0] ← 0
5 for w = 0, W
6 do if (wi ≤ w & vi + V[i − 1, w − wi] > V[i − 1, w])
7 then V[i, w] ← vi + V[i − 1, w − wi]; keep[i, w] ← 1
8 else V[i, w] ← V[i − 1, w]; keep[i, w] ← 0
9 // output the selected items
10 k←W
11 for i = n downto 1
12 do if (keep[i, k] = 1)
13 then output i
14 k ← k − wi
Weight limit: 0 1 2 3 4 5 6 7 8 9 10 11
w1 = 1 v1 = 1 0 1 1 1 1 1 1 1 1 1 1 1
w2 = 2 v2 = 6 0 0 1 1 1 1 1 1 1 1 1 1
w3 = 5 v3 = 18 0 0 0 0 0 1 1 1 1 1 1 1
w4 = 6 v4 = 22 0 0 0 0 0 0 1 0 1 1 1 1
w5 = 7 v5 = 28 0 0 0 0 0 0 0 1 1 1 1 0
When the item selection algorithm is applied, the selected items are 4 and 3. This is indicated by the
boxed entries in the table above.
Greedy Algorithms
An optimization problem is one in which you want to find, not just a solution, but the best solution.
Search techniques look at many possible solutions. E.g. dynamic programming or backtrack search. A “
greedy algorithm” sometimes works well for optimization problems
A greedy algorithm works in phases. At each phase:
• You take the best you can get right now, without regard for future consequences.
• You hope that by choosing a local optimum at each step, you will end up at a global optimum.
For some problems, greedy approach always gets optimum. For others, greedy finds good, but not always
best. If so, it is called a greedy heuristic, or approximation. For still others, greedy approach can do very
poorly.
Consider the currency in U.S.A. There are paper notes for one dollar, five dollars, ten dollars, twenty
dollars, fifty dollars and hundred dollars. The notes are also called “bills”. The coins are one cent, five
cents (called a “nickle”), ten cents (called a “dime”) and twenty five cents (a “quarter”). In Pakistan, the
currency notes are five rupees, ten rupees, fifty rupees, hundred rupees, five hundred rupees and thousand
97
98 CHAPTER 7. GREEDY ALGORITHMS
rupees. The coins are one rupee and two rupees. Suppose you are asked to give change of $6.39 (six
dollars and thirty nine cents), you can choose:
• a $5 note
• a $1 note to make $6
Notice how we started with the highest note, $5, before moving to the next lower denomination.
Formally, the Coin Change problem is: Given k denominations d1, d2, . . . , dk and given N, find a way of
writing
N = i1d1 + i2d2 + · · · + ikdk
such that
i1 + i2 + · · · + ik is minimized.
The “size” of problem is k.
The greedy strategy works for the coin change problem but not always. Here is an example where it fails.
Suppose, in some (fictional) monetary system, “ krons” come in 1 kron, 7 kron, and 10 kron coins Using
a greedy algorithm to count out 15 krons, you would get A 10 kron piece Five 1 kron pieces, for a total of
15 krons This requires six coins. A better solution, however, would be to use two 7 kron pieces and one 1
kron piece This only requires three coins The greedy algorithm results in a solution, but not in an optimal
solution
The greedy approach gives us an optimal solution when the coins are all powers of a fixed denomination.
Note that this is N represented in based D. U.S.A coins are multiples of 5: 5 cents, 10 cents and 25 cents.
2. or chose at least one coin of denomination i, and also pay the amount (j − di).
7.2. GREEDY ALGORITHM: HUFFMAN ENCODING 99
COINS(N)
1 d[1..n] = {1, 4, 6} // (coinage, for example)
2 for i = 1 to k
3 do c[i, 0] ← 0
4 for i = 1 to k
5 do for j = 1 to N
6 do if (i = 1 & j < d[i])
7 then c[i, j] ← ∞
8 else if (i = 1)
9 then c[i, j] ← 1 + c[1, j − d[1]]
10 else if (j < d[i])
11 then c[i, j] ← c[i − 1, j]
12 else c[i, j] ← min (c[i − 1, j], 1 + c[i, j − d[i]])
13 return c[k, N]
Here is how the Huffman encoding algorithm works. Given a message string, determine the frequency of
occurrence (relative probability) of each character in the message. This can be done by parsing the
message and counting how many time each character (or symbol) appears. The probability is the number
of occurrence of a character divided by the total characters in the message. The frequencies and
probabilities for the example string “ abacdaacac” are
character a b c d
frequency 5 1 3 1
probability 0.5 0.1 0.3 0.1
Next, create binary tree (leaf) node for each symbol (character) that occurs with nonzero frequency Set
node weight equal to the frequency of the symbol. Now comes the greedy part: Find two nodes with
smallest frequency. Create a new node with these two nodes as children, and with weight equal to the
sum of the weights of the two children. Continue until we have a single tree.
Finding two nodes with the smallest frequency can be done efficiently by placing the nodes in a
heap-based priority queue. The min-heap is maintained using the frequencies. When a new node is
created by combining two nodes, the new node is placed in the priority queue. Here is the Huffman tree
building algorithm.
Figure 7.1 shows the tree built for the example message “abacdaacac”
7.2. GREEDY ALGORITHM: HUFFMAN ENCODING 101
0 1
a
0 0 1
c
10
0 1
b d
110 111
Prefix Property:
The codewords assigned to characters by the Huffman algorithm have the property that no codeword is a
prefix of any other:
character a b c d
frequency 5 1 3 1
probability 0.5 0.1 0.3 0.1
codeword 0 110 10 111
The prefix property is evident by the fact that codewords are leaves of the binary tree. Decoding a prefix
code is simple. We traverse the root to the leaf letting the input 0 or 1 tell us which branch to take.
Expected encoding length:
If a string of n characters over the alphabet C = {a, b, c, d} is encoded using 8-bit ASCII, the length of
encoded string is 8n. For example, the string “abacdaacac” will require 8 × 10 = 80 bits. The same
string encoded with Huffman codes will yield
a b a c d a a c a c
0 110 0 10 111 0 0 10 0 10
This is just 17 bits, a significant saving!. For a string of n characters over this alphabet, the expected
encoded string length is
n(0.5 · 1 + 0.1 · 3 + 0.3 · 2 + 0.1 · 3) = 1.7n
In general, let p(x) be the probability of occurrence of a character, and let dT (x) denote the length of the
codeword relative to some prefix tree T . The expected number of bits needed to encode a text with n
characters is given by X
B(T ) = n p(x)dT (x)
x∈C
102 CHAPTER 7. GREEDY ALGORITHMS
Our approach to prove the correctness of Huffman Encoding will be to show that any tree that differs
from the one constructed by Huffman algorithm can be converted into one that is equal to Huffman’s tree
without increasing its costs. Note that the binary tree constructed by Huffman algorithm is a full binary
tree.
Claim:
Consider two characters x and y with the smallest probabilities. Then there is optimal code tree in which
these two characters are siblings at the maximum depth in the tree.
Proof:
Let T be any optimal prefix code tree with two siblings b and c at the maximum depth of the tree. Such a
tree is shown in Figure 7.2Assume without loss of generality that
p(b) ≤ p(c) and p(x) ≤ p(y)
x
y
c b
Figure 7.2: Optimal prefix code tree T
Since x and y have the two smallest probabilities (we claimed this), it follows that
p(x) ≤ p(b) and p(y) ≤ p(c)
7.2. GREEDY ALGORITHM: HUFFMAN ENCODING 103
Since b and c are at the deepest level of the tree, we know that
Thus we have
p(b) − p(x) ≥ 0
and
d(b) − d(x) ≥ 0
x
y
c b
Figure 7.3: Swap x and b in tree prefix tree T
T’
b
y
c x
Figure 7.4: Prefix tree T 0 after x and b are swapped
Thus the cost does not increase, implying that T 0 is an optimal tree.
By switching y with c we get the tree T 00 . Using a similar argument, we can show that T 00 is also optimal.
T’ T’’
b =⇒ b
y c
c x y x
The final tree T 00 satisfies the claim we made earlier, i.e., consider two characters x and y with the
7.3. ACTIVITY SELECTION 105
smallest probabilities. Then there is optimal code tree in which these two characters are siblings at the
maximum depth in the tree.
The claim we just proved asserts that the first step of Huffman algorithm is the proper one to perform (the
greedy step). The complete proof of correctness for Huffman algorithm follows by induction on n.
Claim: Huffman algorithm produces the optimal prefix code tree.
Proof: The proof is by induction on n, the number of characters. For the basis case, n = 1, the tree
consists of a single leaf node, which is obviously optimal. We want to show it is true with exactly n
characters.
Suppose we have exactly n characters. The previous claim states that two characters x and y with the
lowest probability will be siblings at the lowest level of the tree. Remove x and y and replace them with a
new character z whose probability is p(z) = p(x) + p(y). Thus n − 1 characters remain.
Consider any prefix code tree T made with this new set of n − 1 characters. We can convert T into prefix
code tree T 0 for the original set of n characters by replacing z with nodes x and y. This is essentially
undoing the operation where x and y were removed an replaced by z. The cost of the new tree T 0 is
The cost changes but the change depends in no way on the structure of the tree T (T is for n − 1
characters). Therefore, to minimize the cost of the final tree T 0 , we need to build the tree T on n − 1
characters optimally. By induction, this is exactly what Huffman algorithm does. Thus the final tree is
optimal.
activities Because they occupy the resource and keep us from honoring other requests. This suggests the
greedy strategy: Repeatedly select the activity with the smallest duration (fi − si) and schedule it,
provided that it does not interfere with any previously scheduled activities. Unfortunately, this turns out
to be non-optimal
Here is a simple greedy algorithm that works: Sort the activities by their finish times. Select the activity
that finishes first and schedule it. Then, among all activities that do not interfere with this first job,
schedule the one that finishes first, and so on.
SCHEDULE(a[1..N])
1 sort a[1..N] by finish times
2 A ← {a[1]}; // schedule activity 1 first
3 prev ← 1; // most recently scheduled
4 for i = 2 to N
5 do if (a[i].start ≥ a[prev].finish)
6 then A ← A ∪ a[i]; prev ← i
Figure 7.5 shows an example of the activity scheduling algorithm. There are eight activities to be
scheduled. Each is represented by a rectangle. The width of a rectangle indicates the duration of an
activity. The eight activities are sorted by their finish times. The eight rectangles are arranged to show the
sorted order. Activity a1 is scheduled first. Activities a2 and a3 interfere with a1 so they ar not selected.
The next to be selected is a4. Activities a5 and a6 interfere with a4 so are not chosen. The last one to be
chosen is a7. Eventually, only three out of the eight are scheduled.
Timing analysis: Time is dominated by sorting of the activities by finish times. Thus the complexity is
O(N log N).
7.3. ACTIVITY SELECTION 107
Input Add a 1
a1 a1
a2 a2
a3 a3
a4 a4
a5 a5
a6 a6
a7 a7
a8 a8
Add a 7 Add a 4
a1 a1
a2 a2
a3 a3
a4 a4
a5 a5
a6 a6
a7 a7
a8 a8
Our proof of correctness is based on showing that the first choice made by the algorithm is the best
possible. And then using induction to show that the algorithm is globally optimal. The proof structure is
noteworthy because many greedy correctness proofs are based on the same idea: Show that any other
solution can be converted into the greedy solution without increasing the cost.
Claim:
Let S = {a1, a2, . . . , an} of n activities, sorted by increasing finish times, that are to be scheduled to use
some resource. Then there is an optimal schedule in which activity a1 is scheduled first.
Proof:
Let A be an optimal schedule. Let x be the activity in A with the smallest finish time. If x = a1 then we
are done. Otherwise, we form a new schedule A 0 by replacing x with activity a1.
108 CHAPTER 7. GREEDY ALGORITHMS
X = a1
X a1
a2 a2
a3 a3
a4 a4
a5 a5
a6 a6
a7 a7
a8 a8
We claim that A 0 = A − {x} ∪ {a1} is a feasible schedule, i.e., it has no interfering activities. This
because A − {x} cannot have any other activities that start before x finishes, since otherwise, these
activities will interfere with x.
A - {X} +{a 1}
a1
X X
a3 a3
a4 a4
a5 a5
a6 a6
a7 a7
a8 a8
Since a1 is by definition the first activity to finish, it has an earlier finish time than x. Thus a1 cannot
interfere with any of the activities in A − {x}. Thus, A 0 is a feasible schedule. Clearly A and A 0 contain
the same number of activities implying that A 0 is also optimal.
Claim:
7.4. FRACTIONAL KNAPSACK PROBLEM 109
The greedy algorithm gives an optimal solution to the activity scheduling problem.
Proof:
The proof is by induction on the number of activities. For the basis case, if there are no activities, then the
greedy algorithm is trivially optimal. For the induction step, let us assume that the greedy algorithm is
optimal on any set of activities of size strictly smaller than |S| and we prove the result for S. Let S 0 be the
set of activities that do not interfere with activity a1, That is
Any solution for S 0 can be made into a solution for S by simply adding activity a1, and vice versa.
Activity a1 is in the optimal schedule (by the above previous claim). It follows that to produce an optimal
schedule for the overall problem, we should first schedule a1 and then append the optimal schedule for
S 0 . But by induction (since |S 0 | < |S|), this exactly what the greedy algorithm does.
Earlier we saw the 0-1 knapsack problem. A knapsack can only carry W total weight. There are n items;
the ith item is worth vi and weighs wi. Items can either be put in the knapsack or not. The goal was to
maximize the value of items without exceeding the total weight limit of W. In contrast, in the fractional
knapsack problem, the setup is exactly the same. But, one is allowed to take fraction of an item for a
fraction of the weight and fraction of value. The 0-1 knapsack problem is hard to solve. However, there is
a simple and efficient greedy algorithm for the fractional knapsack problem.
Let ρi = vi/wi denote the value per unit weight ratio for item i. Sort the items in decreasing order of ρi.
Add items in decreasing order of ρi. If the item fits, we take it all. At some point there is an item that
does not fit in the remaining space. We take as much of this item as possible thus filling the knapsack
completely.
110 CHAPTER 7. GREEDY ALGORITHMS
35 $140
60
40 20 $100
30
20
10 $30
5 5
knapsack $30 $20 $100 $90 $160
$270
6 2 5 3 4
Greedy solution
It is easy to see that the greedy algorithm is optimal for the fractional knapsack problem. Given a room
with sacks of gold, silver and bronze, one (thief?) would probably take as much gold as possible. Then
take as much silver as possible and finally as much bronze as possible. It would never benefit to take a
little less gold so that one could replace it with an equal weight of bronze.
We can also observe that the greedy algorithm is not optimal for the 0-1 knapsack problem. Consider
the example shown in the Figure 7.9. If you were to sort the items by ρi , then you would first take the
items of weight 5, then 20, and then (since the item of weight 40 does not fit) you would settle for the
item of weight 30, for a total value of $30 + $100 + $90 = $220. On the other hand, if you had been less
greedy, and ignored the item of weight 5, then you could take the items of weights 20 and 40 for a total
value of $100+$160 = $260. This is shown in Figure 7.10.
7.4. FRACTIONAL KNAPSACK PROBLEM 111
30 $90
60
40 20 $100
30
20
10 $30
5 5
knapsack $30 $20 $100 $90 $160
$220
6 2 5 3 4 Greedy solution
to 0-1 knapsack
Figure 7.9: Greedy solution for the 0-1 knapsack problem (non-optimal)
$160
40
60
40
30
20 20 $100
10
5
knapsack $30 $20 $100 $90 $160
$260
6 2 5 3 4 Optimal solution
to 0-1 knapsack
Graphs Please Visit my Lecture 27 CS502 Lectures Playlist for clear all Concepts
We begin a major new topic: Graphs. Graphs are important discrete structures because they are a flexible
mathematical model for many application problems. Any time there is a set of objects and there is some
sort of “connection” or “relationship” or “interaction” between pairs of objects, a graph is a good way to
model this. Examples of this can be found in computer and communication networks transportation
networks, e.g., roads VLSI, logic circuits surface meshes for shape description in computer-aided design
and GIS precedence constraints in scheduling systems.
A graph G = (V, E) consists of a finite set of vertices V (or nodes) and E, a binary relation on V called
edges. E is a set of pairs from V. If a pair is ordered, we have a directed graph. For unordered pair, we
have an undirected graph.
directed graph
graph (digraph)
1 3 1 3
2 4 2 4
self-loop
1 1 3
2 4 2 4
digraph multi graph
113
114 CHAPTER 8. GRAPHS
adjacent vertices
1&2
1 3
1&3
1&4
2 4 2&4
Figure 8.2: Adjacent vertices
In an undirected graph, we say that an edge is incident on a vertex if the vertex is an endpoint of the
edge. of the edge
e2
1 3 e1 incident on vertices 1 & 2
In a digraph, the number of edges coming out of a vertex is called the out-degree of that vertex. Number
of edges coming in is the in-degree. In an undirected graph, we just talk of degree of a vertex. It is the
number of edges incident on the vertex.
115
in: 1 in: 1
out: 3 out: 1
1 3
2 4
in: 1 in: 3
out: 2 out: 0
Figure 8.4: In and out degrees of vertices of a graph
X X
in-degree(v) = out-degree(v) = |E|
v∈V v∈V
where |E| means the cardinality of the set E, i.e., the number of edges.
For an undirected graph G = (V, E),
X
degree(v) = 2|E|
v∈V
where |E| means the cardinality of the set E, i.e., the number of edges.
A path in a directed graphs is a sequence of vertices hv0, v1, . . . , vki such that (vi−1, vi) is an edge for
i = 1, 2, . . . , k. The length of the paths is the number of edges, k. A vertex w is reachable from vertex
u is there is a path from u to w. A path is simple if all vertices (except possibly the fist and last) are
distinct.
A cycle in a digraph is a path containing at least one edge and for which v0 = vk. A Hamiltonian cycle
is a cycle that visits every vertex in a graph exactly once. A Eulerian cycle is a cycle that visits every
edge of the graph exactly once. There are also “path” versions in which you do not need return to the
starting vertex.
116 CHAPTER 8. GRAPHS
1 3 cycles:
1-3-4-2-1
1-4-2-1
1-2-1
2 4
Figure 8.5: Cycles in a directed graph
A graph is said to be acyclic if it contains no cycles. A graph is connected if every vertex can reach
every other vertex. A directed graph that is acyclic is called a directed acyclic graph (DAG).
There are two ways of representing graphs: using an adjacency matrix and using an adjacency list. Let
G = (V, E) be a digraph with n = |V| and let e = |E|. We will assume that the vertices of G are indexed
{1, 2, . . . , n}.
An adjacency matrix is a n × n matrix defined for 1 ≤ v, w ≤ n.
1 if (v, w) ∈ E
A[v, w] =
0 otherwise
An adjacency list is an array Adj[1..n] of pointers where for 1 ≤ v ≤ n, Adj[v] points to a linked list
containing the vertices which are adjacent to v
Adjacency matrix requires Θ(n2) storage and adjacency list requires Θ(n + e) storage.
1 2 3 Adj
1 1 1 1 1 1 1 2 3
2 0 0 1 2 3
2 3 3 0 1 0 3 2
the path. We would like to find the shortest path from s to each other vertex in the graph. The final result
will be represented in the following way. For each vertex v ∈ V, we will store d[v] which is the distance
(length of the shortest path) from s to v. Note that d[s] = 0. We will also store a predecessor (or parent)
pointer π[v] which is the first vertex along the shortest path if we walk from v backwards to s. We will set
π[s] = Nil.
There is a simple brute-force strategy for computing shortest paths. We could simply start enumerating
all simple paths starting at s, and keep track of the shortest path arriving at each vertex. However, there
can be as many as n! simple paths in a graph. To see this, consider a fully connected graph shown in
Figure 8.7
s v
u w
Figure 8.7: Fully connected graph
There n choices for source node s, (n − 1) choices for destination node, (n − 2) for first hop (edge) in
the path, (n − 3) for second, (n − 4) for third down to (n − (n − 1)) for last leg. This leads to n! simple
paths. Clearly this is not feasible.
Here is a more efficient algorithm called the breadth-first search (BFS) Start with s and visit its adjacent
nodes. Label them with distance 1. Now consider the neighbors of neighbors of s. These would be at
distance 2. Now consider the neighbors of neighbors of neighbors of s. These would be at distance 3.
Repeat this until no more unvisited neighbors left to visit. The algorithm can be visualized as a wave
front propagating outwards from s visiting the vertices in bands at ever increasing distances from s.
118 CHAPTER 8. GRAPHS
1
s
1
2 2
s
2 1
1
2
2
3 2 3
1
2 2
s
3
2 1
1
2
2
3 3
RECURSIVE DFS(v)
1 if (v is unmarked )
2 then mark v
3 for each edge (v, w)
4 do RECURSIVE DFS(w)
ITERATIVE DFS(s)
1 PUSH(s)
2 while stack not empty
3 do v ← POP()
4 if v is unmarked
5 then mark v
6 for each edge (v, w)
7 do PUSH(w)
T RAVERSE(s)
1 put (∅, s) in bag
2 while bag not empty
3 do take (p, v) from bag
4 if (v is unmarked )
5 then mark v
6 parent (v) ← p
7 for each edge (v, w)
8 do put (v, w) in bag
Notice that we are keeping edges in the bag instead of vertices. This is because we want to remember,
whenever we visit v for the first time, which previously-visited vertex p put v into the bag. The vertex p
is call the parent of v.
The running time of the traversal algorithm depends on how the graph is represented and what data
structure is used for the bag. But we can make a few general observations.
• Since each vertex is visited at most once, the for loop in line 7 is executed at most V times.
• Each edge is put into the bag exactly twice; once as (u, v) and once as (v, u), so line 8 is executed
at most 2E times.
• Finally, since we can’t take out more things out of the bag than we put in, line 3 is executed at most
2E + 1 times.
• Assume that the graph is represented by an adjacency list so the overhead of the for loop in line 7 is
constant per edge.
If we implement the bag by using a stack, we have depth-first search (DFS) or traversal.
T RAVERSE(s)
1 push(∅, s)
2 while stack not empty
3 do pop(p, v)
4 if (v is unmarked )
5 then mark v
6 parent (v) ← p
7 for each edge (v, w)
8 do push(v, w)
Figures 8.12 to 8.20 show a trace of the DFS algorithm applied to a graph. The figures show the content
of the stack during the execution of the algorithm.
8.1. GRAPH TRAVERSAL 121
b e
s
a d g
,s
c f
stack
b e
s
a d g
(a,c)
(a,b)
c f
stack
b e
s (c,f)
a d g (c,a)
(c,d)
(c,b)
(a,b)
c f
stack
(f,g)
b e (f,c)
(f,d)
s (f,e)
a d g (c,a)
(c,d)
(c,b)
(a,b)
c f
stack
(g,e)
(g,f)
b e (f,c)
(f,d)
s (f,e)
a d g (c,a)
(c,d)
(c,b)
c (a,b)
f
stack
(e,b)
(e,g)
b e (e,d)
(e,f)
s (g,f)
a d g (f,c)
(f,d)
(f,e)
c f (c,a)
(c,d)
(c,b)
(a,b)
stack
(e,g)
(e,d)
b e (e,f)
(g,f)
s (f,c)
a d g (f,d)
(f,e)
(c,a)
(c,d)
c f (c,b)
(a,b)
stack
b e
s
a d g
c f
stack
b e
s
a d g
c f
BFS Tree
Figure 8.20: Trace of DFS algorithm: the final DFS tree
Each execution of line 3 or line 8 in the T RAVERSE -DFS algorithm takes constant time. So the overall
running time is O(V + E). Since the graph is connected, V ≤ E + 1, this is O(E).
If we implement the bag by using a queue, we have breadth-first search (BFS). Each execution of line 3
8.1. GRAPH TRAVERSAL 125
or line 8 still takes constant time. So overall running time is still O(E).
T RAVERSE(s)
1 enqueue(∅, s)
2 while queue not empty
3 do dequeue(p, v)
4 if (v is unmarked )
5 then mark v
6 parent (v) ← p
7 for each edge (v, w)
8 do enqueue(v, w)
If the graph is represented using an adjacency matrix, the finding of all the neighbors of vertex in line 7
takes O(V) time. Thus depth-first and breadth-first take O(V 2) time overall.
Either DFS or BFS yields a spanning tree of the graph. The tree visits every vertex in the graph. This fact
is established by the following lemma:
Lemma:
The generic T RAVERSE ( S ) marks every vertex in any connected graph exactly once and the set of edges
(v, parent(v)) with parent(v) 6= ∅ form a spanning tree of the graph.
Proof:
First, it should be obvious that no vertex is marked more than once. Clearly, the algorithm marks s. Let
v 6= s be a vertex and let s → · · · → u → v be a path from s to v with the minimum number of edges.
Since the graph is connected, such a path always exists. If the algorithm marks u, then it must put (u, v)
into the bag, so it must take (u, v) out of the bag at which point v must be marked. Thus, by induction on
the shortest-path distance from s, the algorithm marks every vertex in the graph.
Call an edge (v, parent(v)) with parent(v) 6= ∅, a parent edge. For any node v, the path of parent
edges v → parent(v) → parent(parent(v)) → . . . eventually leads back to s. So the set of parent
edges form a connected graph.
Clearly, both end points of every parent edge are marked, and the number of edges is exactly one less
than the number of vertices. Thus, the parent edges form a spanning tree.
As we traverse the graph in DFS order, we will associate two numbers with each vertex. When we first
discover a vertex u, store a counter in d[u]. When we are finished processing a vertex, we store a counter
in f[u]. These two numbers are time stamps.
Consider the recursive version of depth-first traversal
126 CHAPTER 8. GRAPHS
DFS(G)
1 for (each u ∈ V)
2 do color[u] ← white
3 pred[u] ← nil
4 time ← 0
5 for each u ∈ V
6 do if (color[u] = white)
7 then DFS VISIT(u)
DFS VISIT(u)
1 color[u] ← gray; // mark u visited
2 d[u] ← ++ time
3 for (each v ∈ Adj[u])
4 do if (color[v] = white)
5 then pred[v] ← u
6 DFS VISIT(v)
7 color[u] ← black; // we are done with u
8 f[u] ← ++ time;
Figures 8.21 through 8.25 present a trace of the execution of the time stamping algorithm. Terms like
“2/5” indicate the value of the counter (time). The number before the “/” is the time when a vertex was
discovered (colored gray) and the number after the “/” is the time when the processing of the vertex
finished (colored black).
d e
DFS(a)
DFS(b)
b a f DFS(c) b a
2/.. 1/..
c g c
3/..
Figure 8.21: DFS with time stamps: recursive calls initiated at vertex ‘a’
8.1. GRAPH TRAVERSAL 127
b a b a
2/.. 1/.. 2/5 1/..
return c
c return b c
3/.. 3/4
Figure 8.22: DFS with time stamps: processing of ‘b’ and ‘c’ completed
b a
2/5 1/..
c
b a f
3/4
2/5 1/.. 6/..
DFS(f)
DFS(g)
c g
3/4 7/..
Figure 8.23: DFS with time stamps: recursive processing of ‘f’ and ‘g’
128 CHAPTER 8. GRAPHS
b a f
2/5 1/.. 6/..
c g
3/4 7/..
b a f
2/5 1/10 6/9
return g
return f
return a
c g
3/4 7/8
Figure 8.24: DFS with time stamps: processing of ‘f’ and ‘g’ completed
d e
11/14 12/13
DFS(d)
DFS(e)
return e b a f
return f
2/5 1/10 6/9
c g
3/4 7/8
Figure 8.25: DFS with time stamps: processing of ‘d’ and ‘e’
Notice that the DFS tree structure (actually a collection of trees, or a forest) on the structure of the graph
is just the recursion tree, where the edge (u, v) arises when processing vertex u we call DFSV ISIT ( V ) for
some neighbor v. For directed graphs the edges that are not part of the tree (indicated as dashed edges in
Figures 8.21 through 8.25) edges of the graph can be classified as follows:
Cross edge: (u, v) where u and v are not ancestor or descendent of one another. In fact, the edge may
go between different trees of the forest.
The ancestor and descendent relation can be nicely inferred by the parenthesis lemma. u is a descendent
of v if and only if [d[u], f[u]] ⊆ [d[v], f[v]]. u is a ancestor of v if and only if [d[u], f[u]] ⊇ [d[v], f[v]]. u
is unrelated to v if and only if [d[u], f[u]] and [d[v], f[v]] are disjoint. The is shown in Figure 8.26. The
width of the rectangle associated with a vertex is equal to the time the vertex was discovered till the time
the vertex was completely processed (colored black). Imagine an opening parenthesis ‘(’ at the start of
the rectangle and and closing parenthesis ‘)’ at the end of the rectangle. The rectangle (parentheses) for
vertex ‘b’ is completely enclosed by the rectangle for ‘a’. Rectangle for ‘c’ is completely enclosed by
vertex ‘b’ rectangle.
a d
b f e
c g
1 2 3 4 5 6 7 8 9 10 11 12 13 14
Figure 8.26: Parenthesis lemma
Figure 8.27 shows the classification of the non-tree edges based on the parenthesis lemma. Edges are
labelled ‘F’, ‘B’ and ‘C’ for forward, back and cross edge respectively.
130 CHAPTER 8. GRAPHS
d e
11/14 12/13
C C
b a f
2/5 1/10 6/9
F B
c g
3/4 7/8
C
Figure 8.27: Classfication of non-tree edges in the DFS tree for a graph
For undirected graphs, there is no distinction between forward and back edges. By convention they are
all called back edges. Furthermore, there are no cross edges (can you see why not?)
Lemma: Given a digraph G = (V, E), consider any DFS forest of G and consider any edge (u, v) ∈ E.
If this edge is a tree, forward or cross edge, then f[u] > f[v]. If this edge is a back edge, then
f[u] ≤ f[v].
Proof: For the non-tree forward and back edges the proof follows directly from the parenthesis lemma.
For example, for a forward edge (u, v), v is a descendent of u and so v’s start-finish interval is
contained within u’s implying that v has an earlier finish time. For a cross edge (u, v) we know
that the two time intervals are disjoint. When we were processing u, v was not white (otherwise
(u, v) would be a tree edge), implying that v was started before u. Because the intervals are
disjoint, v must have also finished before u.
8.2. PRECEDENCE CONSTRAINT GRAPH 131
Lemma: Consider a digraph G = (V, E) and any DFS forest for G. G has a cycle if and only if the DFS
forest has a back edge.
Proof: If there is a back edge (u, v) then v is an ancestor of u and by following tree edge from v to u,
we get a cycle.
We show the contrapositive: suppose there are no back edges. By the lemma above, each of the
remaining types of edges, tree, forward, and cross all have the property that they go from vertices
with higher finishing time to vertices with lower finishing time. Thus along any path, finish times
decrease monotonically, implying there can be no cycle.
The DFS forest in Figure 8.27 has a back edge from vertex ‘g’ to vertex ‘a’. The cycle is ‘a-g-f’.
Beware: No back edges means no cycles. But you should not infer that there is some simple relationship
between the number of back edges and the number of cycles. For example, a DFS tree may only have a
single back edge, and there may anywhere from one up to an exponential number of simple cycles in the
graph.
A similar theorem applies to undirected graphs, and is not hard to prove.
A directed acyclic graph (DAG) arise in many applications where there are precedence or ordering
constraints. There are a series of tasks to be performed and certain tasks must precede other tasks. For
example, in construction, you have to build the first floor before the second floor but you can do electrical
work while doors and windows are being installed. In general, a precedence constraint graph is a DAG in
which vertices are tasks and the edge (u, v) means that task u must be completed before task v begins.
For example, consider the sequence followed when one wants to dress up in a suit. One possible order
and its DAG are shown in Figure 8.28. Figure 8.29 shows the DFS with time stamps of the DAG.
132 CHAPTER 8. GRAPHS
underwear socks
pants shoes
shirt
belt tie
coat
4/5 coat
Another example of precedence constraint graph is the sets of prerequisites for CS courses in a typical
undergraduate program.
8.3. TOPOLOGICAL SORT 133
C1 Introduction to Computers
C2 Introduction to Computer Programming
C3 Discrete Mathematics
C4 Data Structures C2
C5 Digital Logic Design C2
C6 Automata Theory C3
C7 Analysis of Algorithms C3, C4
C8 Computer Organization and Assembly C2
C9 Data Base Systems C4, C7
C10 Computer Architecture C4, C5,C8
C11 Computer Graphics C4,C7
C12 Software Engineering C7,C11
C13 Operating System C4,C7,C11
C14 Compiler Construction C4,C6,C8
C15 Computer Networks C4,C7,C10
The prerequisites can be represented with a precedence constraint graph which is shown in Figure 8.30
C1 C10 C12
C4
C7
C2 C5 C8 C11 C13
C3 C6
C9 C14
C15
We run DFS on the DAG and when each vertex is finished, we add it to the front of a linked. Note that in
general, there may be many legal topological orders for a given DAG.
T OPOLOGICAL S ORT(G)
1 for (each u ∈ V)
2 do color[u] ← white
3 L ← new LinkedList()
4 for each u ∈ V
5 do if (color[u] = white)
6 then T OP V ISIT(u)
7 return L
T OP V ISIT(u)
1 color[u] ← gray; // mark u visited
2 for (each v ∈ Adj[u])
3 do if (color[v] = white)
4 then T OP V ISIT(v)
5 Append u to the front of L
Figure 8.31 shows the linear order obtained by the topological sort of the sequence of putting on a suit.
The DAG is still the same; it is only that the order in which the vertices of the graph have been laid out is
special. As a result, all directed edges go from left to right.
underwear socks
pants shoes
shirt
belt tie
coat
This is a typical example of how DFS used in applications. The running time is Θ(V + E).
8.4. STRONG COMPONENTS 135
We consider an important connectivity problem with digraphs. When diagraphs are used in
communication and transportation networks, people want to know that their networks are complete.
Complete in the sense that that it is possible from any location in the network to reach any other location
in the digraph.
A digraph is strongly connected if for every pair of vertices u, v ∈ V, u can reach v and vice versa. We
would like to write an algorithm that determines whether a digraph is strongly connected. In fact, we will
solve a generalization of this problem, of computing the strongly connected components of a digraph.
We partition the vertices of the digraph into subsets such that the induced subgraph of each subset is
strongly connected. We say that two vertices u and v are mutually reachable if u can reach v and vice
versa. Consider the directed graph in Figure 8.32. The strong components are illustrated in Figure 8.33.
A B
D
F H
E
G I
Digraph
Figure 8.32: A directed graph
136 CHAPTER 8. GRAPHS
A B
D
F H
E
G I
It is easy to see that mutual reachability is an equivalence relation. This equivalence relation partitions
the vertices into equivalence classes of mutually reachable vertices and these are the strong components.
If we merge the vertices in each strong component into a single super vertex, and join two super vertices
(A, B) if and only if there are vertices u ∈ A and v ∈ B such that (u, v) ∈ E, then the resulting digraph is
called the component digraph. The component digraph is necessarily acyclic. The is illustrated in Figure
8.34.
A,B,C
D,E
F,G,H,I
Component DAG
Figure 8.34: Component DAG of super vertices
8.4. STRONG COMPONENTS 137
5/6 G B 15/16
fig:dfsofdigraph
Observe that each strong component is a subtree in the DFS forest. Is it always true for any DFS? The
answer is “no”. In general, many strong components may appear in the same DFS tree as illustrated in
Figure 8.36
1/18 A
2/13 B D 14/17
6/11 G
7/10 I
8/9 H
Is there a way to order the DFS such that it true? Fortunately, the answer is “yes”. Suppose that you knew
the component DAG in advance. (This is ridiculous, because you would need to know the strong
components and this is the problem we are trying to solve.) Further, suppose that you computed a
reversed topological order on the component DAG. That is, for edge (u, v) in the component DAG, then
v comes before u. This is presented in Figure 8.37. Recall that the component DAG consists of super
vertices.
Now, run DFS, but every time you need a new vertex to start the search from, select the next available
vertex according to this reverse topological order of the component digraph. Here is an informal
justification. Clearly once the DFS starts within a given strong component, it must visit every vertex
within the component (and possibly some others) before finishing. If we do not start in reverse
topological, then the search may “leak out” into other strong components, and put them in the same DFS
tree. For example, in the Figure 8.36, when the search is started at vertex ‘a’, not only does it visit its
component with ‘b’ and ‘c’, but it also visits the other components as well. However, by visiting
components in reverse topological order of the component tree, each search cannot “leak out” into other
components, because other components would have already have been visited earlier in the search.
This leaves us with the intuition that if we could somehow order the DFS, so that it hits the strong
components according to a reverse topological order, then we would have an easy algorithm for
computing strong components. However, we do not know what the component DAG looks like. (After
all, we are trying to solve the strong component problem in the first place). The trick behind the strong
component algorithm is that we can find an ordering of the vertices that has essentially the necessary
property, without actually computing the component DAG.
We will discuss the algorithm without proof. Define GT to be the digraph with the same vertex set at G
but in which all edges have been reversed in direction. This is shown in Figure 8.38. Given an adjacency
list for G, it is possible to compute GT in Θ(V + E) time.
8.4. STRONG COMPONENTS 139
A B
D
F H
E
G I
Digraph GT
Figure 8.38: The digraph GT
Observe that the strongly connected components are not affected by reversal of all edges. If u and v are
mutually reachable in G, then this is certainly true in GT . All that changes is that the component DAG is
completely reversed. The ordering trick is to order the vertices of G according to their finish times in a
DFS. Then visit the nodes of GT in decreasing order of finish times. All the steps of the algorithm are
quite easy to implement, and all operate in Θ(V + E) time. Here is the algorithm:
S TRONG C OMPONENTS(G)
1 Run DFS(G) computing finish times f[u]
2 Compute GT
3 Sort vertices of GT in decreasing f[u]
4 Run DFS(GT ) using this order
5 Each DFS tree is a strong component
The execution of the algorithm is illustrated in Figures 8.39, 8.40 and 8.41.
140 CHAPTER 8. GRAPHS
1/18 A
2/13 B D 14/17
6/11 G
Note that maximum finish
7/10 I times of components are in
valid topological order
18,17,12
8/9 H
A D E B F G I H C
Figure 8.39: DFS of digraph with vertices in descending order by finish times
Digraph GT
A B
D
F H
E
G I
A D E B F G I H C
T
Run DFS on G in this vertex order
F D A
I E C
G H B
The complete proof for why this algorithm works is in CLR. We will discuss the intuition behind why the
algorithm visits vertices in decreasing order of finish times and why the graph is revered. Recall that the
main intent is to visit the strong components in a reverse topological order. The problem is how to order
the vertices so that this is true. Recall from the topological sorting algorithm, that in a DAG, finish times
occur in reverse topological order (i.e., the first vertex in the topological order is the one with the highest
finish time). So, if we wanted to visit the components in reverse topological order, this suggests that we
should visit the vertices in increasing order of finish time, starting with the lowest finishing time.
This is a good starting idea, but it turns out that it doesn’t work. The reason is that there are many vertices
in each strong component, and they all have different finish times. For example, in Figure 8.36, observe
that in the first DFS, the lowest finish time (of 4) is achieved by vertex ‘c’, and its strong component is
first, not last, in topological order.
However, there is something to notice about the finish times. If we consider the maximum finish time in
each component, then these are related to the topological order of the component graph. In fact it is
possible to prove the following (but we won’t).
Lemma: Consider a digraph G on which DFS has been run. Label each component with the maximum
finish time of all the vertices in the component, and sort these in decreasing order. Then this order
is a topological order for the component digraph.
For example, in Figure 8.36, the maximum finish times for each component are 18 (for {a, b, c}), 17 (for
{d,e}), and 12 (for {f,g,h,i}). The order (18, 17, 12) is a valid topological order for the component
digraph. The problem is that this is not what we wanted. We wanted a reverse topological order for the
component digraph. So, the final trick is to reverse the digraph. This does not change the component
graph, but it reverses the topological order, as desired.
142 CHAPTER 8. GRAPHS
A common problem is communications networks and circuit design is that of connecting together a set of
nodes by a network of total minimum length. The length is the sum of lengths of connecting wires.
Consider, for example, laying cable in a city for cable t.v.
The computational problem is called the minimum spanning tree (MST) problem. Formally, we are given
a connected, undirected graph G = (V, E) Each edge (u, v) has numeric weight of cost. We define the
cost of a spanning tree T to be the sum of the costs of edges in the spanning tree
X
w(T ) = w(u, v)
(u,v)∈T
10 10 10
b e
b e b e
4 8 7 6 4 8 7 6 4 8 7
a d g a d g a 9 d 5
9 5 9 5
8 2 9 2 8 2 9 2 8 2 9
c f c f c f
1 1 1
Figure 8.42: A spanning tree Figure 8.43: A minimum Figure 8.44: Another mini-
that is not MST spanning tree mum spanning tree
We will present two greedy algorithms (Kruskal’s and Prim’s) for computing MST. Recall that a greedy
algorithm is one that builds a solution by repeatedly selecting the cheapest among all options at each
stage. Once the choice is made, it is never undone.
Before presenting the two algorithms, let us review facts about free trees. A free tree is a tree with no
vertex designated as the root vertex. A free tree with n vertices has exactly n − 1 edges. There exists a
unique path between any two vertices of a free tree. Adding any edge to a free tree creates a unique cycle.
Breaking any edge on this cycle restores the free tree. This is illustrated in Figure 8.45. When the edges
(b, e) or (b, d) are added to the free tree, the result is a cycle.
8.5. MINIMUM SPANNING TREES 143
10
b e
4 8 7 6
a 9 d 5 g
Free Tree 10
b e 9
8 2 2
4 8 7 6
c f
a 9 d 5 g
2 9 10
8 2 b e
c f 4 8 7 6
1
Free tree a 9 d 5 g
8 2 9 2
c f
Let G = (V, E) be an undirected, connected graph whose edges have numeric weights. The intuition
behind greedy MST algorithm is simple: we maintain a subset of edges E of the graph . Call this subset
A. Initially, A is empty. We will add edges one at a time until A equals the MST.
A subset A ⊆ E is viable if A is a subset of edges of some MST. An edge (u, v) ∈ E − A is safe if
A ∪ {(u, v)} is viable. In other words, the choice (u, v) is a safe choice to add so that A can still be
extended to form a MST.
Note that if A is viable, it cannot contain a cycle. A generic greedy algorithm operates by repeatedly
adding any safe edge to the current spanning tree.
When is an edge safe? Consider the theoretical issues behind determining whether an edge is safe or not.
Let S be a subset of vertices S ⊆ V. A cut (S, V − S) is just a partition of vertices into two disjoint
subsets. An edge (u, v) crosses the cut if one endpoint is in S and the other is in V − S.
Given a subset of edges A, a cut respects A if no edge in A crosses the cut. It is not hard to see why
respecting cuts are important to this problem. If we have computed a partial MST and we wish to know
which edges can be added that do not induce a cycle in the current MST, any edge that crosses a
respecting cut is a possible candidate.
144 CHAPTER 8. GRAPHS
An edge of E is a light edge crossing a cut if among all edges crossing the cut, it has the minimum
weight. Intuition says that since all the edges that cross a respecting cut do not induce a cycle, then the
lightest edge crossing a cut is a natural choice. The main theorem which drives both algorithms is the
following:
MST Lemma: Let G = (V, E) be a connected, undirected graph with real-valued weights on the edges.
Let A be a viable subset of E (i.e., a subset of some MST). Let (S, V − S) be any cut that respects
A and let (u, v) be a light edge crossing the cut. Then the edge (u, v) is safe for A. This is
illustrated in Figure 8.46.
9
u
4 v
10
x
8 y
MST Proof: It would simplify the proof if we assume that all edge weights are distinct. Let T be any
MST for G. If T contains (u, v) then we are done. This is shown in Figure 8.47 where the lightest
edge (u, v) with cost 4 has been chosen.
8.5. MINIMUM SPANNING TREES 145
u v
4
x
y
Suppose no MST contains (u, v). Such a tree is shown in Figure 8.48. We will derive a
contradiction.
u
4 v
x
8 y
Figure 8.48: MST T which does not contains light edge (u, v)
u v
4
x
8 y
Since u and v are on opposite sides of the cut, and any cycle must cross the cut an even number of
times, there must be at least one other edge (x, y) in T that crosses the cut. The edge (x, y) is not in
A because the cut respects A. By removing (x, y) we restore a spanning tree, call it T 0 . This is
shown in Figure 8.50
u v
4
x
y
We have w(T 0 ) = w(T ) − w(x, y) + w(u, v). Since (u, v) is the lightest edge crossing the cut we
have w(u, v) < w(x, y). Thus w(T 0 ) < w(T ) which contradicts the assumption that T was an
MST.
8.5. MINIMUM SPANNING TREES 147
Kruskal’s algorithm works by adding edges in increasing order of weight (lightest edge first). If the next
edge does not induce a cycle among the current set of edges, then it is added to A. If it does, we skip it
and consider the next in order. As the algorithm runs, the edges in A induce a forest on the vertices. The
trees of this forest are eventually merged until a single tree forms containing all vertices.
The tricky part of the algorithm is how to detect whether the addition of an edge will create a cycle in A.
Suppose the edge being considered has vertices (u, v). We want a fast test that tells us whether u and v
are in the same tree of A. This can be done using the Union-Find data structure which supports the
following O(log n) operations:
Create-set(u): Create a set containing a single item u.
Union(u,v): merge the set containing u and set containing v into a common set.
In Kruskal’s algorithm, the vertices will be stored in sets. The vertices in each tree of A will be a set. The
edges in A can be stored as a simple list. Here is the algorithm: Figures 8.51 through ?? demonstrate the
algorithm applied to a graph.
a a a
8 5 8 5 8 5
10 10 10
b e b e b e
2 3 3
18 d 16 18 d 16 18 d 16
12 30 12 30 12 30
c 14 f c 14 f c 14 f
2 2 2
4 4 4
6 6 6
g g g
a a a
8 5 8 unsafe 8
10 10 10
b e b e b e
18 d 16 18 d 16 18 d 16
12 30 12 30 12 30
c 14 f c 14 f c 14 f
26 26 26
g g g
a a a
10
b e b e b e
unsafe
18 d 16 18 d 16 18 d 16
12 30 12 30 12 30
c 14 f c 14 f c 14 f
26 26 26
g g g
a a a
b e b e b e
18 d 16 18 d 16 18 d
30 30 30
c 14 f c f c f
26 26 26
g g g
a a a
b e b e b e
d d d
30 30
c f c f c f
26
g g g
Figure 8.55: Kruskal algorithm: more unsafe edges and final MST
Analysis:
Since the graph is connected, we may assume that E ≥ V − 1. Sorting edges ( line 4) takes Θ(E log E).
The for loop (line 5) performs O(E) find and O(V) union operations. Total time for union − find is
O(Eα(V)) where α(V) is the inverse Ackerman function. α(V) < 4 for V less the number of atoms in
the entire universe. Thus the time is dominated by sorting. Overall time for Kruskal is
Θ(E log E) = Θ(E log V) if the graph is sparse.
12
10
r 7
11
u
4
Consider the set of vertices S currently part of the tree and its complement (V − S) as shown in Figure
8.56. We have cut of the graph. Which edge should be added next? The greedy strategy would be to add
the lightest edge which in the figure is edge to ’u’. Once u is added, Some edges that crossed the cut are
no longer crossing it and others that were not crossing the cut are as shown in Figure 8.57
12
10
r
7
3
u
9
We need an efficient way to update the cut and determine the light edge quickly. To do this, we will make
use of a priority queue. The question is what do we store in the priority queue? It may seem logical that
edges that cross the cut should be stored since we choose light edges from these. Although possible, there
is more elegant solution which leads to a simpler algorithm.
8.5. MINIMUM SPANNING TREES 151
For each vertex u ∈ (V − S) (not part of the current spanning tree), we associate a key key[u]. The
key[u] is the weight of the lightest edge going from u to any vertex in S. If there is no edge from u to a
vertex in S, we set the key value to ∞. We also store in pred[u] the end vertex of this edge in S. We will
also need to know which vertices are in S and which are not. To do this, we will assign a color to each
vertex. If the color of a vertex is black then it is in S otherwise not. Here is the algorithm:
P RIM((G, w, r))
1 for ( each u ∈ V)
2 do key [u] ← ∞; pq.insert (u, key[u])
3 color [u] ← white
4 key [r] ← 0; pred [r] ← nil; pq.decrease key (r, key [r]);
5 while ( pq.not empty ())
6 do u ← pq.extract min ()
7 for ( each u ∈ adj [u])
8 do if ( color [v] == white )and( w (u, v) < key [v])
9 then key [v] = w (u, v)
10 pq.decrease key (v, key [v])
11 pred [v] = u
12 color [u] = black
Figures 8.58 through 8.60 illustrate the algorithm applied to a graph. The contents of the priority queue
are shown as the algorithm progresses. The arrows indicate the predecessor pointers and the numeric
labels in each vertex is its key value.
4 8 7 6 4 8 7 6
9 ? 5 ? 9 8 5 ?
8 2 9 2 8 2 9 2
8 ? 8 ?
1 1
4 8 7 6 4 8 7 6
9 2 5 ? 9 2 5 2
8 2 9 2 8 2 9 2
1
1 1
4 8 7 6 4 8 7 6
9 5 2 9 5
8 2 9 2 8 2 9 2
1 1
Analysis:
It takes O(log V) to extract a vertex from the priority queue. For each incident edge, we spend potentially
O(log V) time decreasing the key of the neighboring vertex. Thus the total time is
O(log V + deg(u) log V). The other steps of update are constant time.
So the overall running time is
X
T (V, E) = (log V + deg(u) log V)
u∈V
X
= log V (1 + deg(u))
u∈V
= (log V)(V + 2E) = Θ((V + E) log V)
8.6. SHORTEST PATHS 153
Since G is connected, V is asymptotically no greater than E so this is Θ(E log V), same as Kruskal’s
algorithm.
Problems such as shortest route between cities can be solved efficiently by modelling the road map as a
graph. The nodes or vertices represent cities and edges represent roads. Edge weights can be interpreted
as distances. Other metrics can also be used, e.g., time, cost, penalties and loss.
Similar scenarios occur in computer networks like the Internet where data packets have to be routed. The
vertices are routers. Edges are communication links which may be be wire or wireless. Edge weights can
be distance, link speed, link capacity link delays, and link utilization.
The breadth-first-search algorithm we discussed earlier is a shortest-path algorithm that works on
un-weighted graphs. An un-weighted graph can be considered as a graph in which every edge has weight
one unit.
There are a few variants of the shortest path problem. We will cover their definitions and then discuss
algorithms for some.
Important for MCQs & Short
Single-source shortest-path problem: Find shortest paths from a given (single) source vertex s ∈ V to
every other vertex v ∈ V in the graph G.
Single-destination shortest-paths problem: Find a shortest path to a given destination vertex t from
each vertex v. We can reduce the this problem to a single-source problem by reversing the direction
of each edge in the graph.
Single-pair shortest-path problem: Find a shortest path from u to v for given vertices u and v. If we
solve the single-source problem with source vertex u, we solve this problem also. No algorithms
for this problem are known to run asymptotically faster than the best single-source algorithms in
the worst case.
154 CHAPTER 8. GRAPHS
All-pairs shortest-paths problem: Find a shortest path from u to v for every pair of vertices u and v.
Although this problem can be solved by running a single-source algorithm once from each vertex,
it can usually be solved faster.
-8
2
s t
5 3
4 1
The basic structure of Dijkstra’s algorithm is to maintain an estimate of the shortest path from the source
vertex to each vertex in the graph. Call this estimate d[v]. Intuitively, d[v] will the length of the shortest
path that the algorithm knows of from s to v. This value will always be greater than or equal to the true
shortest path distance from s to v. I.e., d[v] ≥ δ(u, v). Initially, we know of no paths, so d[v] = ∞.
Moreover, d[s] = 0 for the source vertex.
As the algorithm goes on and sees more and more vertices, it attempts to update d[v] for each vertex in
the graph. The process of updating estimates is called relaxation. Here is how relaxation works.
Intuitively, if you can see that your solution is not yet reached an optimum value, then push it a little
closer to the optimum. In particular, if you discover a path from s to v shorter than d[v], then you need to
update d[v]. This notion is common to many optimization algorithms.
Consider an edge from a vertex u to v whose weight is w(u, v). Suppose that we have already computed
current estimates on d[u] and d[v]. We know that there is a path from s to u of weight d[u]. By taking
8.6. SHORTEST PATHS 155
this path and following it with the edge (u, v) we get a path to v of length d[u] + w(u, v). If this path is
better than the existing path of length d[v] to v, we should take it. The relaxation process is illustrated in
the following figure. We should also remember that the shortest way back to the source is through u by
updating the predecessor pointer.
d[v]=10 d[v]=d[u]+w(u,v)=6
10 10
s v s v
2 2 2 2
2 2
t u t u
d[u]=4 d[u]=4
Figure 8.62: Vertex u relaxed Figure 8.63: Vertex v relaxed
RELAX((u, v))
1 if (d[u] + w(u, v) < d[v])
2 then d[v] ← d[u] + w(u, v)
3 pred[v] = u
Observe that whenever we set d[v] to a finite value, there is always evidence of a path of that length.
Therefore d[v] ≥ δ(s, v). If d[v] = δ(s, v), then further relaxations cannot change its value.
It is not hard to see that if we perform R ELAX ( U , V ) repeatedly over all edges of the graph, the d[v]
values will eventually converge to the final true distance value from s. The cleverness of any shortest path
algorithm is to perform the updates in a judicious manner, so the convergence is as fast as possible.
Dijkstra’s algorithm is based on the notion of performing repeated relaxations. The algorithm operates by
maintaining a subset of vertices, S ⊆ V, for which we claim we know the true distance, d[v] = δ(s, v).
Initially S = ∅, the empty set. We set d[u] = 0 and all others to ∞. One by one we select vertices from
V − S to add to S.
How do we select which vertex among the vertices of V − S to add next to S? Here is greediness comes
in. For each vertex u ∈ (V − S), we have computed a distance estimate d[u].
The greedy thing to do is to take the vertex for which d[u] is minimum, i.e., take the unprocessed vertex
that is closest by our estimate to s. Later, we justify why this is the proper choice. In order to perform
156 CHAPTER 8. GRAPHS
D IJKSTRA((G, w, s))
1 for ( each u ∈ V)
2 do d[u] ← ∞
3 pq.insert (u, d[u])
4 d[s] ← 0; pred [s] ← nil; pq.decrease key (s, d[s]);
5 while ( pq.not empty ())
6 do u ← pq.extract min ()
7 for ( each v ∈ adj[u])
8 do if (d[u] + w(u, v) < d[v])
9 then d[v] = d[u] + w(u, v)
10 pq.decrease key (v, d[v])
11 pred [v] = u
Note the similarity with Prim’s algorithm, although a different key is used here. Therefore the running
time is the same, i.e., Θ(E log V).
Figures 8.64 through ?? demonstrate the algorithm applied to a directed graph with no negative weight
edges.
select 0
1 1
7
7 7
s 8 0 s 8
0 3 2 4 5 0 3 2 4 5
2 2
2
5 5
Figure 8.64: Dijkstra’s algorithm: select 0
8.6. SHORTEST PATHS 157
select 2
1 1 10
7 5
7 7
s 8 2 s 8
0 3 2 4 5 0 3 2 4 5
2 2
2 2 7
5 5
Figure 8.65: Dijkstra’s algorithm: select 2
select 5
1 10 1 6
5 5
7 7
s 8 5 s 8
0 3 2 4 5 0 3 2 4 5
2 2
2 7 2 7
5 5
Figure 8.66: Dijkstra’s algorithm: select 5
select 6
1 6 1 6
5 5
7 7
s 8 6 s 8
0 3 2 4 5 0 3 2 4 5
2 2
2 7 2 7
5 5
Figure 8.67: Dijkstra’s algorithm: select 6
158 CHAPTER 8. GRAPHS
select 7
1 6
5
7
7 s 8
0 3 2 4 5
2
2 7
5
Figure 8.68: Dijkstra’s algorithm: select 7
fig:dijlast
We will prove the correctness of Dijkstr’s algorithm by Induction. We will use the definition that δ(s, v)
denotes the minimal distance from s to v.
For the base case
1. S = {s}
Assume that d(v) = δ(s, v) for every v ∈ S and all neighbors of v have been relaxed. If d(u) ≤ d(u 0 )
for every u 0 ∈ V then d(u) = δ(s, u), and we can transfer u from V to S, after which d(v) = δ(s, v) for
every v ∈ S.
We do this as a proof by contradiction. Suppose that d(u) > δ(s, u). The shortest path from s to u,
p(s, u), must pass through one or more vertices exterior to S. Let x be the last vertex inside S and y be
the first vertex outside S on this path to u. Then p(s, u) = p(s, x) ∪ {(x, y)} ∪ p(y, u).
8.6. SHORTEST PATHS 159
u
S
s
y
x
Figure 8.69: Correctness of Dijkstra’s algorithm
The length of p(s, u) is δ(s, u) = δ(s, y) + δ(y, u). Because y was relaxed when x was put into S,
d(y) = δ(s, y) by the convergence property. Thus d(y) ≤ δ(s, u) ≤ d(u). But, because d(u) is the
smallest among vertices not in S, d(u) ≤ d(y) . The only possibility is d(u) = d(y), which requires
d(u) = δ(s, u) contradicting the assumption.
By the upper bound property, d(u) ≥ δ(s, u). Since d(u) > δ(s, u) is false, d(u) = δ(s, u), which is
what we wanted to prove. Thus, if we follow the algorithm’s procedure, transferring from V to S, the
vertex in V with the smallest value of d(u) then all vertices in S have d(v) = δ(s, v)
Dijkstra’s single-source shortest path algorithm works if all edges weights are non-negative and there are
no negative cost cycles. Bellman-Ford allows negative weights edges and no negative cost cycles. The
algorithm is slower than Dijkstra’s, running in Θ(VE) time.
Like Dijkstra’s algorithm, Bellman-Ford is based on performing repeated relaxations. Bellman-Ford
applies relaxation to every edge of the graph and repeats this V − 1 times. Here is the algorithm; its is
160 CHAPTER 8. GRAPHS
B ELLMAN -F ORD(G, w, s)
1 for ( each u ∈ V)
2 do d[u] ← ∞
3 pred[u] = nil
4
5 d[s] ← 0;
6 for i = 1 to V − 1
7 do for ( each (u, v) in E )
8 do RELAX(u, v)
8
8 2 8
3
s 0 -6 s 0 -6
4 5 5
4 1 4
4
8 8
8 8
7 9
s 0 -6 s 0 -6
5 5
4 4
2 2
Figure 8.70: The Bellman-Ford algorithm
Claim: We assert that after the ith pass of the “for-i” loop, d[vi] = δ(s, vi).
Proof: The proof is by induction on i. Observe that after the initialization (pass 0), d[v1] = d[s] = 0.
In general, prior to the ith pass through the loop, the induction hypothesis tells us that
d[vi−1] = δ(s, vi−1). After the ith pass, we have done relaxation on the edge (vi−1, vi) (since we do
relaxation along all edges). Thus after the ith pass we have
Recall from Dijkstra’s algorithm that d[vi] is never less than δ(s, vi). Thus, d[vi] is in fact equal to
δ(s, vi). This completes the induction proof.
In summary, after i passes through the for loop, all vertices that are i edges away along the shortest path
tree from the source have the correct values stored in d[u]. Thus, after the (V − 1)st iteration of the for
loop, all vertices u have correct distance values stored in d[u].
The output will be an n × n distance matrix D = dij, where dij = δ(i, j), the shortest path cost from
vertex i to j.
162 CHAPTER 8. GRAPHS
The algorithm dates back to the early 60’s. As with other dynamic programming algorithms, the genius
of the algorithm is in the clever recursive formulation of the shortest path problem. For a path
p = hv1, v2, . . . , vl, we say that the vertices v2, v3, . . . , vl−1 are the intermediate vertices of this path.
(k)
Formulation: Define dij to be the shortest path from i to j such that any intermediate vertices on the
path are chosen from the set {1, 2, . . . , k}. The path is free to visit any subset of these vertices and in any
(k)
order. How do we compute dij assuming we already have the previous matrix d(k−1)? There are two
basic cases:
2. Do go through vertex k.
(k-1)
dij
i j
vertices i to k-1
(k-1)
dik k dkj
(k-1)
1 1
1 4 8 1 4 8
2 2 2 2
4 4
2 1 2 1
3 3
(0) (1)
Figure 8.72: k = 0, d3,2 = ∞ (no path) Figure 8.73: k = 1, d3,2 = 12 (3 → 1 → 2)
1 1
1 4 8 1 4 8
2 2 2 2
4 4
2 1 2 1
3 3
(2) (3)
Figure 8.74: k = 2, d3,2 = 12 (3 → 1 → 2) Figure 8.75: k = 3, d3,2 = 12 (3 → 1 → 2)
164 CHAPTER 8. GRAPHS
1
1 4 8
2 2
4
2 1
3
(4)
Figure 8.76: k = 4, d3,2 = 7 (3 → 1 → 4 → 2)
Clearly, the running time is Θ(n3). The space used by the algorithm is Θ(n2).
Figure 8.77 through 8.81 demonstrate the algorithm when applied to a graph. The matrix to left of the
graph contains the matrix d entries. A circle around an entry di,k indicates that it was updated in the
current k iteration.
Dry Run
8.6. SHORTEST PATHS 165
1
0 8 1 1 8
4
0 1 2
4 2
4 0
2 9 0 9 1
3
d (0)
Figure 8.77: Floyd-Warshall Algorithm example: d(0)
1
0 8 1 1 8
4
0 1 2
4 2
4 12 0 5
2 9 0 9 1
5 3 12
d (1)
Figure 8.78: Floyd-Warshall Algorithm example: d(1)
166 CHAPTER 8. GRAPHS
1
0 8 9 1
1 4
8
0 1 2
4 2
4 12 0 5
5 9
2 3 0 12
3 1
3
d (2)
Figure 8.79: Floyd-Warshall Algorithm example: d(2)
7 1 5
0 8 9 1
1 4
8
5 0 1 6 2
4 2
4 12 0 5 6
5 9 12
7 2 3 0 1
3
3
d (2)
Figure 8.80: Floyd-Warshall Algorithm example: d(3)
8.6. SHORTEST PATHS 167
7 1 5
0 3 4 1
1 4
3
5 0 1 6 2
4 2
4 7 0 5 6
5 4 7
7 2 3 0 1
3
3
d (4)
Figure 8.81: Floyd-Warshall Algorithm example: d(4)
PATH(i, j)
1 if (mid[i, j] == null)
2 then output(i, j)
3 else PATH(i, mid[i, j])
4 PATH(mid[i, j], j)
So far in the course, we have been building up a “bag of tricks” for solving algorithmic problems.
Hopefully you have a better idea of how to go about solving such problems. What sort of design
paradigm should be used: divide-and-conquer, greedy, dynamic programming.
What sort of data structures might be relevant: trees, heaps, graphs. What is the running time of the
algorithm. All of this is fine if it helps you discover an acceptably efficient algorithm to solve your
problem.
The question that often arises in practice is that you have tried every trick in the book and nothing seems
to work. Although your algorithm can solve small problems reasonably efficiently (e.g., n ≤ 20), for the
really large problems you want to solve, your algorithm never terminates.
√
When you analyze its running
n
time, you realize that it is running in exponential time, perhaps n , or 2 , or 22 , or n! or worse!.
n n
By the end of 60’s, there was great success in finding efficient solutions to many combinatorial problems.
But there was also a growing list of problems for which there seemed to be no known efficient
algorithmic solutions.
People began to wonder whether there was some unknown paradigm that would lead to a solution to
there problems. Or perhaps some proof that these problems are inherently hard to solve and no
algorithmic solutions exist that run under exponential time.
Near the end of the 1960’s, a remarkable discovery was made. Many of these hard problems were
interrelated in the sense that if you could solve any one of them in polynomial time, then you could solve
all of them in polynomial time. this discovery gave rise to the notion of NP-completeness.
This area is a radical departure from what we have been doing because the emphasis will change. The
goal is no longer to prove that a problem can be solved efficiently by presenting an algorithm for it.
Instead we will be trying to show that a problem cannot be solved efficiently.
Up until now all algorithms we have seen had the property that their worst-case running time are bounded
above by some polynomial in n. A polynomial time algorithm is any algorithm that runs in O(nk) time.
A problem is solvable in polynomial time if there is a polynomial time algorithm for it.
Some functions that do not look like polynomials (such as O(n log n) are bounded above by polynomials
(such as O(n2)). Some functions that do look like polynomials are not. For example, suppose you have
169
170 CHAPTER 9. COMPLEXITY THEORY
an algorithm that takes as input a graph of size n and an integer k and run in O(nk) time.
Is this a polynomial time algorithm? No, because k is an input to the problem so the user is allowed to
choose k = n, implying that the running time would be O(nn). O(nn) is surely not a polynomial in n.
The important aspect is that the exponent must be a constant independent of n.
Before giving all the technical definitions, let us say a bit about what the general classes look like at an
intuitive level.
Class P: This is the set of all decision problems that can be solved in polynomial time. We will
generally refer to these problems as being “easy” or “efficiently solvable”.
Class NP: This is the set of all decision problems that can be verified in polynomial time. This class
contains P as a subset. It also contains a number of problems that are believed to be very “ hard” to
solve.
Class NP: The term “NP” does not mean “not polynomial”. Originally, the term meant “
non-deterministic polynomial” but it is a bit more intuitive to explain the concept from the
perspective of verification.
Class NP-hard: In spite of its name, to say that a problem is NP-hard does not mean that it is hard to
solve. Rather, it means that if we could solve this problem in polynomial time, then we could solve
all NP problems in polynomial time. Note that for a problem to NP-hard, it does not have to be in
the class NP.
9.3. POLYNOMIAL TIME VERIFICATION 171
The Figure 9.1 illustrates one way that the sets P, NP, NP-hard, and NP-complete (NPC) might look. We
say might because we do not know whether all of these complexity classes are distinct or whether they
are all solvable in polynomial time. The Graph Isomorphism, which asks whether two graphs are
identical up to a renaming of their vertices. It is known that this problem is in NP, but it is not known to
be in P. The other is QBF, which stands for Quantified Boolean Formulas. In this problem you are given a
boolean formula and you want to know whether the formula is true or false.
Quantified Boolean
Formulas
No Hamiltonian cycle
NP-hard
0/1 knapsack
Hamiltonian cycle
NPC Satisfiability
NP Graph Isomorphism
MST
P Strong connectivity
Before talking about the class of NP-complete problems, it is important to introduce the notion of a
verification algorithm. Many problems are hard to solve but they have the property that it easy to verify
the solution if one is provided. Consider the Hamiltonian cycle problem.
Given an undirected graph G, does G have a cycle that visits every vertex exactly once? There is no
known polynomial time algorithm for this problem.
172 CHAPTER 9. COMPLEXITY THEORY
Non-Hamiltonian Hamiltonian
Figure 9.2: Hamiltonian Cycle
However, suppose that a graph did have a Hamiltonian cycle. It would be easy for someone to convince
of this. They would simply say: “the cycle is hv3, v7, v1, . . . , v13i We could then inspect the graph and
check that this is indeed a legal cycle and that it visits all of the vertices of the graph exactly once. Thus,
even though we know of no efficient way to solve the Hamiltonian cycle problem, there is a very efficient
way to verify that a a given cycle is indeed a Hamiltonian cycle.
The piece of information that allows verification is called a certificate. Note that not all problems have
the property that they are easy to verify. For example, consider the following two:
Suppose that a graph G is in UHC. What information would someone give us that would allow us to
verify this? They could give us an example of the unique Hamiltonian cycle and we could verify that it is
a Hamiltonian cycle. But what sort of certificate could they give us to convince us that this is the only
one?
They could give another cycle that is not Hamiltonian. But this does not mean that there is not another
cycle somewhere that is Hamiltonian. They could try to list every other cycle of length n, but this is not
efficient at all since there are n! possible cycles in general. Thus it is hard to imagine that someone could
give us some information that would allow us to efficiently verify that the graph is in UHC.
referred to a program running on a non-deterministic computer that can make guesses. Such a computer
could non-deterministically guess the value of the certificate. and then verify it in polynomial time. We
have avoided introducing non-determinism here; it is covered in other courses such as automata or
complexity theory.
Observe that P ⊆ NP. In other words, if we can solve a problem in polynomial time, we can certainly
verify the solution in polynomial time. More formally, we do not need to see a certificate to solve the
problem; we can solve it in polynomial time anyway.
However, it is not known whether P = NP. It seems unreasonable to think that this should be so. Being
able to verify that you have a correct solution does not help you in finding the actual solution. The belief
is that P 6= NP but no one has a proof for this.
The class NP-complete (NPC) problems consists of a set of decision problems (a subset of class NP) that
no one knows how to solve efficiently. But if there were a polynomial solution for even a single
NP-complete problem, then ever problem in NPC will be solvable in polynomial time. For this, we need
the concept of reductions.
Consider the question: Suppose there are two problems, A and B. You know (or you strongly believe at
least) that it is impossible to solve problem A in polynomial time. You want to prove that B cannot be
solved in polynomial time. We want to show that
(A 6∈ P) ⇒ (B 6∈ P)
How would you do this? Consider an example to illustrate reduction: The following problem is
well-known to be NPC:
3-color: Given a graph G, can each of its vertices be labelled with one of 3 different colors such that two
adjacent vertices have the same label (color).
Coloring arises in various partitioning problems where there is a constraint that two objects cannot be
assigned to the same set of partitions. The term “coloring” comes from the original application which
was in map drawing. Two countries that share a common border should be colored with different colors.
It is well known that planar graphs can be colored (maps) with four colors. There exists a polynomial
time algorithm for this. But determining whether this can be done with 3 colors is hard and there is no
polynomial time algorithm for it. In Figure 9.3, the graph on the left can be colored with 3 colors while
the graph on the right cannot be colored.
174 CHAPTER 9. COMPLEXITY THEORY
These constraints can be displayed as a graph where an edge between two vertices exists if the two
species cannot be together. This is shown in Figure 9.4. For example, A cannot be with B and C; there is
an edge between A and B and between A and C.
Given these constraints, What is the smallest number of tanks needed to keep all the fish? The answer
can be found by coloring the vertices in the graph such that no two adjacent vertices have the same color.
This particular graph is 3-colorable and therefore, 3 fish tanks are enough. This is depicted in Figure 9.5.
The 3 fish tanks will hold fish as follows:
A A
E E
B B
F F
C C
D D
Figure 9.4: Graph representing constraints be- Figure 9.5: Fish tank graph colored with 3 colors
tween fish species
The 3-color (3Col) problem will the play the role of A, which we strongly suspect to not be solvable in
polynomial time. For our problem B, consider the following problem: Given a graph G = (V, E), we say
that a subset of vertices V 0 ⊆ V forms a clique if for every pair of vertices u, v ∈ V 0 , the edge
(u, v) ∈ V 0 That is, the subgraph induced by V 0 is a complete graph.
S Given a graph G and an integer k, can we find k subsets of vertices V1, V2, . . . , Vk, such
Clique Cover:
that i Vi = V, and that each Vi is a clique of G.
The following figure shows a graph that has a clique cover of size 3. There are three subgraphs that are
complete.
The clique cover problem arises in applications of clustering. We put an edge between two nodes if they
are similar enough to be clustered in the same group. We want to know whether it is possible to cluster all
the vertices into k groups.
Suppose that you want to solve the CCov problem. But after a while of fruitless effort, you still cannot
find a polynomial time algorithm for the CCov problem. How can you prove that CCov is likely to not
have a polynomial time solution?
You know that 3Col is NP-complete and hence, experts believe that 3Col 6∈ P. You feel that there is some
connection between the CCov problem and the 3Col problem. Thus, you want to show that
(3Col 6∈ P) ⇒ (CCov 6∈ P)
Both problems involve partitioning the vertices into groups. In the clique cover problem, for two vertices
to be in the same group, they must be adjacent to each other. In the 3-coloring problem, for two vertices
to be in the same color group, they must not be adjacent. In some sense, the problems are almost the
same but the adjacency requirements are exactly reversed.
We claim that we can reduce the 3-coloring problem into the clique cover problem as follows: Given a
graph G for which we want to determine its 3-colorability, output the pair (G, 3) where G denotes the
complement of G. Feed the pair (G, 3) into a routine for clique cover.
For example, the graph G in Figure 9.7 is 3-colorable and its complement (G, 3) is coverable by 3
cliques. The graph G in Figure 9.8 is not 3-colorable; it is also not coverable by cliques.
G G
3-Colorable Coverable by 3
cliques
H H
3Col ≤P CCov
In particular, we have f(G) = (G, 3). It is easy to complement a graph in O(n2) (i.e., polynomial time).
For example, flip the 0’s and 1’s in the adjacency matrix.
The way this is used in NP-completeness is that we have strong evidence that L1 is not solvable in
polynomial time. Hence, the reduction is effectively equivalent to saying that “since L1 is not likely to be
solvable in polynomial time, then L2 is also not likely to be solvable in polynomial time.
The set of NP-complete problems is all problems in the complexity class NP for which it is known that if
any one is solvable in polynomial time, then they all are. Conversely, if any one is not solvable in
polynomial time, then none are.
Definition: L is NP-complete if
1. L ∈ NP and
2. L 0 ≤P L for some known NP-complete problem L 0 .
NP: is the set of decision problems that can be verified in polynomial time.
NP-Hard: L is NP-hard if for all L 0 ∈ NP, L 0 ≤P L. Thus if we could solve L in polynomial time, we
could solve all NP problems in polynomial time.
NP-Complete L is NP-complete if
1. L ∈ NP and
2. L is NP-hard.
The importance of NP-complete problems should now be clear. If any NP-complete problem is solvable
in polynomial time, then every NP-complete problem is also solvable in polynomial time. Conversely, if
we can prove that any NP-complete problem cannot be solved in polynomial time, the every
NP-complete problem cannot be solvable in polynomial time.
1. negation of x: x
2. boolean or: (x ∨ y)
3. boolean and: (x ∧ y)
For a problem to be in NP, it must have an efficient verification procedure. Thus virtually all NP
problems can be stated in the form, “does there exists X such that P(X)”, where X is some structure (e.g.
a set, a path, a partition, an assignment, etc.) and P(X) is some property that X must satisfy (e.g. the set
of objects must fill the knapsack, or the path must visit every vertex, or you may use at most k colors and
no two adjacent vertices can have the same color). In showing that such a problem is in NP, the certificate
consists of giving X, and the verification involves testing that P(X) holds.
9.8. BOOLEAN SATISFIABILITY PROBLEM: COOK’S THEOREM 179
In general, any set X can be described by choosing a set of objects, which in turn can be described as
choosing the values of some boolean variables. Similarly, the property P(X) that you need to satisfy, can
be described as a boolean formula. Stephen Cook was looking for the most general possible property he
could, since this should represent the hardest problem in NP to solve. He reasoned that computers (which
represent the most general type of computational devices known) could be described entirely in terms of
boolean circuits, and hence in terms of boolean formulas. If any problem were hard to solve, it would be
one in which X is an assignment of boolean values (true/false, 0/1) and P(X) could be any boolean
formula. This suggests the following problem, called the boolean satisfiability problem.
SAT: Given a boolean formula, is there some way to assign truth values (0/1, true/false) to the variables
of the formula, so that the formula evaluates to true?
A boolean formula is a logical formula which consists of variables xi , and the logical operations x
meaning the negation of x, boolean-or (x ∨ y) and boolean-and (x ∧ y). Given a boolean formula, we
say that it is satisfiable if there is a way to assign truth values (0 or 1) to the variables such that the final
result is 1. (As opposed to the case where no matter how you assign truth values the result is always 0.)
For example
(x1 ∧ (x2 ∨ x3)) ∧ ((x2 ∧ x3) ∨ x1)
is satisfiable, by the assignment x1 = 1, x2 = 0 and x3 = 0. On the other hand,
(x1 ∨ (x2 ∧ x3)) ∧ (x1 ∨ (x2 ∧ x3)) ∧ (x2 ∨ x3) ∧ (x2 ∨ x3)
is not satisfiable. Such a boolean formula can be represented by a logical circuit made up of OR, AND
and NOT gates. For example, Figure 9.9 shows the circuit for the boolean formula
x1
x2
x3
x4
x5
Independent Set Problem: Given an undirected graph G = (V, E) and an integer k, does G contain a
subset V 0 of k vertices such that no two vertices in V 0 are adjacent to each other.
The independent set problem arises when there is some sort of selection problem where there are mutual
restrictions pairs that cannot both be selected. For example, a company dinner where an employee and
his or her immediate supervisor cannot both be invited.
Claim: IS is NP-complete
The proof involves two parts. First, we need to show that IS ∈ NP. The certificate consists of k vertices
of V 0 . We simply verify that for each pair of vertices u, v ∈ V 0 , there is no edge between them. Clearly,
this can be done in polynomial time, by an inspection of the adjacency matrix.
Second, we need to establish that IS is NP-hard This can be done by showing that some known
NP-compete (3SAT) is polynomial-time reducible to IS. That is, 3SAT ≤P IS.
9.8. BOOLEAN SATISFIABILITY PROBLEM: COOK’S THEOREM 181
An important aspect to reductions is that we do not attempt to solve the satisfiability problem. Remember:
It is NP-complete, and there is not likely to be any polynomial time solution. The idea is to translate the
similar elements of the satisfiable problem to corresponding elements of the independent set problem.
What is to be selected?
3SAT: Which variables are to be assigned the value true, or equivalently, which literals will be true and
which will be false.
Requirements:
3SAT: Each clause must contain at least one true valued literal.
Restrictions:
We want a function which given any 3-CNF boolean formula F , converts it into a pair (G, k) such that
the above elements are translated properly. Our strategy will be to turn each literal into a vertex. The
vertices will be in clause clusters of three, one for each clause. Selecting a true literal from some clause
will correspond to selecting a vertex to add to V 0 . We will set k equal to the number of clauses, to force
the independent set subroutine to select one true literal from each clause. To keep the IS subroutine from
selecting two literals from one clause and none from some other, we will connect all the vertices in each
clause cluster with edges. To keep the IS subroutine from selecting a literal and its complement to be
true, we will put an edge between each literal and its complement.
A formal description of the reduction is given below. The input is a boolean formula F in 3-CNF, and the
output is a graph G and integer k.
3SAT- TO -IS(F)
1 k ← number of clauses in F
2 for ( each clause C in F )
3 do create a clause cluster of
4 3 vertices from literals of C
5 for ( each clause cluster (x1, x2, x3) )
6 do create an edge (xi, xj) between
7 all pairs of vertices in the cluster
8 for ( each vertex xi )
9 do create an edge between xi and
10 all its complement vertices xi
182 CHAPTER 9. COMPLEXITY THEORY
If F has k clauses, then G has exactly 3k vertices. Given any reasonable encoding of F , it is an easy
programming exercise to create G (say as an adjacency matrix) in polynomial time. We claim that F is
satisfiable if and only if G has an independent set of size k.
Example: Suppose that we are given the 3-CNF formula:
The following series of figures show the reduction which produces the graph and sets k = 4. First, each of
the four literals is converted into a three-vertices graph. This is shown in Figure 9.11
x1 x2 x3
x1 x1
x2 x2
x3 x3
x1 x2 x3
Figure 9.11: Four graphs, one for each of the 3-terms literal
Next, each term is connected to its complement. This is shown in Figure 9.12.
9.8. BOOLEAN SATISFIABILITY PROBLEM: COOK’S THEOREM 183
x1 x2 x3
x1 x1
x2 x2
x3 x3
x1 x2 x3
The boolean formula is satisfied by the assignment x1 = 1, x2 = 1 x3 = 0. This implies that the first
literal of the first and last clauses are 1, the second literal of the second clause is 1, and the third literal of
the third clause is 1. By selecting vertices corresponding to true literals in each clause, we get an
independent set of size k = 4. This is shown in Figure 9.13.
x1 x2 x3
x1 x1
x2 x2
x3 x3
x1 x2 x3
Correctness Proof:
We claim that F is satisfiable if and only if G has an independent set of size k. If F is satisfiable, then each
of the k clauses of F must have at least one true literal. Let V 0 denote the corresponding vertices from
each of the clause clusters (one from each cluster). Because we take vertices from each cluster, there are
184 CHAPTER 9. COMPLEXITY THEORY
no inter-cluster edges between them, and because we cannot set a variable and its complement to both be
true, there can be no edge of the form (xi, xi) between the vertices of V 0 . Thus, V 0 is an independent set
of size k.
Conversely, G has an independent set V 0 of size k. First observe that we must select a vertex from each
clause cluster, because there are k clusters, and we cannot take two vertices from the same cluster
(because they are all interconnected). Consider the assignment in which we set all of these literals to 1.
This assignment is logically consistent, because we cannot have two vertices labelled xi and xi in the
same cluster.
Finally the transformation clearly runs in polynomial time. This completes the NP-completeness proof.
Also observe that the the reduction had no knowledge of the solution to either problem. Computing the
solution to either will require exponential time. Instead, the reduction simple translated the input from
one problem into an equivalent input to the other problem.
Use brute-force search: Even on the fastest parallel computers this approach is viable only for the
smallest instance of these problems.
Heuristics: A heuristic is a strategy for producing a valid solution but there are no guarantees how close
it to optimal. This is worthwhile if all else fails.
General search methods: Powerful techniques for solving general combinatorial optimization
problems. Branch-and-bound, A*-search, simulated annealing, and genetic algorithms
Approximation algorithm: This is an algorithm that runs in polynomial time (ideally) and produces a
solution that is within a guaranteed factor of the optimal solution.