Data Structure & Algorithms in JAVA 5th edition Michael T. Goodrich Roberto Tamassia Chapter 8: Heaps and Priority Queues CPSC 3200 Algorithm Analysis and Advanced Data Structure Chapter Topics The Priority Queue Abstract Data Type. Heaps. Adaptable Priority Queue. CPSC 3200 University of Tennessee at Chattanooga Summer 2013 2010 Goodrich, Tamassia 2 Priority Queue ADT A Additional priority queue methods: stores a collection of entries. Each

min( entry ) is a pair (key, value).but does not remove, an entry with smallest key. returns, Main size( methods of the)Priority Queue ADT: ), isEmpty( insert(k, x) inserts an entry with key k and value x. Applications: removeMin( Standby flyers.) removes Auctions.and returns the entry with smallest key. Stock market. CPSC 3200 University of Tennessee at Chattanooga Summer 2013 2010 Goodrich, Tamassia 3 CPSC 3200 University of Tennessee at Chattanooga Summer 2013

2010 Goodrich, Tamassia 4 Total Order Relations Keys in a priority queue can be arbitrary objects on which an order is defined. Two distinct entries in a priority queue can have the same key. Mathematical concept of total order relation Reflexive property: xx Antisymmetric property: xyyxx=y Transitive property: xyyzxz CPSC 3200 University of Tennessee at Chattanooga Summer 2013 2010 Goodrich, Tamassia 5 Entry ADT

As a Java interface: /** * Interface for a key *value pair entry Priority queues store entries to **/ allow for efficient insertion public interface Entry and removal based on keys. { public K getKey(); Methods: public V getValue(); } getKey: returns the key for An entry in a priority queue is simply a key-value pair. this entry. getValue: returns the value associated with this entry. CPSC 3200 University of Tennessee at Chattanooga Summer 2013 2010 Goodrich, Tamassia 6

Comparator ADT A comparator encapsulates the action of comparing two objects according to a given total order relation. A generic priority queue uses an auxiliary comparator. The comparator is external to the keys being compared. When the priority queue needs to compare two keys, it uses its comparator. CPSC 3200 University of Tennessee at Chattanooga Summer 2013 Primary method of the Comparator ADT compare(x, y): returns an integer i such that i < 0 if a < b, i = 0 if a = b i > 0 if a > b An error occurs if a and b cannot be compared. 2010 Goodrich, Tamassia 7

Priority Queue Sorting We can use a priority queue to sort a set of comparable elements 1. Insert the elements one by one with a series of insert operations. 2. Remove the elements in sorted order with a series of removeMin operations. The running time of this sorting method depends on the priority queue implementation CPSC 3200 University of Tennessee at Chattanooga Summer 2013 Algorithm PQ-Sort(S, C) Input sequence S, comparator C for the elements of S Output sequence S sorted in increasing order according to C P priority queue with comparator C while !S.isEmpty () e S.removeFirst () P.insert (e, ) while !P.isEmpty() e P.removeMin().getKey() S.addLast(e)

2010 Goodrich, Tamassia 8 Sequence-based Priority Queue Implementation with an unsorted list 4 5 2 3 Implementation with a sorted list 1 Performance: insert takes O(1) time since we can insert the item at the beginning or end of the sequence. removeMin and min take O(n) time since we have to traverse the entire sequence to find the smallest key. CPSC 3200 University of Tennessee at Chattanooga Summer 2013

1 2 3 4 5 Performance: insert takes O(n) time since we have to find the place where to insert the item removeMin and min take O(1) time, since the smallest key is at the beginning 2010 Goodrich, Tamassia 9 Selection-Sort Selection-sort is the variation of PQ-sort where the priority queue is implemented with an unsorted sequence. Running time of Selection-sort: 1. Inserting the elements into the priority queue with n insert operations takes O(n) time. 2. Removing the elements in sorted order from the priority

queue with n removeMin operations takes time proportional to 1 + 2 + + n Selection-sort runs in O(n2) time CPSC 3200 University of Tennessee at Chattanooga Summer 2013 2010 Goodrich, Tamassia10 Selection-Sort Example Input: Sequence S (7,4,8,2,5,3,9) Priority Queue P () Phase 1 (a) (b) .. (g) (4,8,2,5,3,9) (7) (8,2,5,3,9) (7,4) .. ..

() (7,4,8,2,5,3,9) Phase 2 (a) (b) (c) (d) (e) (f) (g) (2) (7,4,8,5,3,9) (2,3) (7,4,8,5,9) (2,3,4) (7,8,5,9) (2,3,4,5) (7,8,9) (2,3,4,5,7) (8,9) (2,3,4,5,7,8) (9) (2,3,4,5,7,8,9) () CPSC 3200 University of Tennessee at Chattanooga Summer 2013

2010 Goodrich, Tamassia11 Insertion-Sort Insertion-sort is the variation of PQ-sort where the priority queue is implemented with a sorted sequence. Running time of Insertion-sort: 1. Inserting the elements into the priority queue with n insert operations takes time proportional to 1 + 2 + + n 2. Removing the elements in sorted order from the priority queue with a series of n removeMin operations takes O(n) time. Insertion-sort runs in O(n2) time CPSC 3200 University of Tennessee at Chattanooga Summer 2013 2010 Goodrich, Tamassia12 Insertion-Sort Example Input:

Sequence S Priority queue P (7,4,8,2,5,3,9) () Phase 1 (a) (b) (c) (d) (e) (f) (g) (4,8,2,5,3,9) (7) (8,2,5,3,9) (4,7) (2,5,3,9) (4,7,8) (5,3,9) (2,4,7,8) (3,9) (2,4,5,7,8) (9) (2,3,4,5,7,8) () (2,3,4,5,7,8,9) Phase 2 (a)

(b) .. (g) (2) (3,4,5,7,8,9) (2,3) (4,5,7,8,9) .. .. (2,3,4,5,7,8,9) () CPSC 3200 University of Tennessee at Chattanooga Summer 2013 2010 Goodrich, Tamassia13 Heaps A heap is a binary tree storing The last node of a heap is the keys at its nodes and satisfying the rightmost node of maximum depth. following properties: Heap-Order: for every internal node v other than the root, key(v) key(parent(v)) Complete Binary Tree: let h be the height of the heap for i = 0, , h - 1, there are 2i nodes

of depth i at depth h - 1, the internal nodes are to the left of the external nodes. CPSC 3200 University of Tennessee at Chattanooga Summer 2013 2 5 9 6 7 last node 2010 Goodrich, Tamassia14 Height of a Heap Theorem: A heap storing n keys has height O(log n) Proof: (we apply the complete binary tree property) Let h be the height of a heap storing n keys Since there are 2i keys at depth i = 0, , h - 1 and at least one key at depth h, we have n 1 + 2 + 4 + + 2h-1 + 1 Thus, n 2h , i.e., h log n depth keys 0 1 1

2 h-1 2h-1 h 1 CPSC 3200 University of Tennessee at Chattanooga Summer 2013 2010 Goodrich, Tamassia15 Heaps and Priority Queues We can use a heap to implement a priority queue. We store a (key, element) item at each internal node. We keep track of the position of the last node. (2, Sue) (5, Pat) (9, Jeff) CPSC 3200 University of Tennessee at Chattanooga Summer 2013 (6, Mark) (7, Anna)

2010 Goodrich, Tamassia16 Insertion into a Heap Method insertItem of the priority queue ADT corresponds to the insertion of a key k to the heap. The insertion algorithm consists of three steps: Find the insertion node z (the new last node). Store k at z. Restore the heap-order property (discussed next). CPSC 3200 University of Tennessee at Chattanooga Summer 2013 2 5 9 6 z 7 insertion node 2 5 9

6 7 z 1 2010 Goodrich, Tamassia17 Upheap After the insertion of a new key k, the heap-order property may be violated. Algorithm upheap restores the heap-order property by swapping k along an upward path from the insertion node. Upheap terminates when the key k reaches the root or a node whose parent has a key smaller than or equal to k Since a heap has height O(log n), upheap runs in O(log n) time. 2 1 5 9 1 7 z

6 CPSC 3200 University of Tennessee at Chattanooga Summer 2013 5 9 2 7 z 6 2010 Goodrich, Tamassia18 Removal from a Heap ( 7.3.3) Method removeMin of the priority queue ADT corresponds to the removal of the root key from the heap. The removal algorithm consists of three steps: Replace the root key with the key of the last node w Remove w Restore the heap-order property (discussed next)

2 5 9 6 7 w last node 7 5 6 w 9 new last node CPSC 3200 University of Tennessee at Chattanooga Summer 2013 2010 Goodrich, Tamassia19 Downheap After replacing the root key with the key k of the last node, the heap-order property may be violated. Algorithm downheap restores the heap-order property by swapping key k along a downward path from the root.

Upheap terminates when key k reaches a leaf or a node whose children have keys greater than or equal to k Since a heap has height O(log n), downheap runs in O(log n) time 7 5 w 5 6 9 CPSC 3200 University of Tennessee at Chattanooga Summer 2013 7 w 6 9 2010 Goodrich, Tamassia20 Analysis CPSC 3200 University of Tennessee at Chattanooga Summer 2013

2010 Goodrich, Tamassia21 Heap-Sort Consider a priority queue with n items implemented by means of a heap the space used is O(n) methods insert and removeMin take O(log n) time. methods size, isEmpty, and min take time O(1) time CPSC 3200 University of Tennessee at Chattanooga Summer 2013 Using a heap-based priority queue, we can sort a sequence of n elements in O(n log n) time. The resulting algorithm is called heap-sort Heap-sort is much faster than quadratic sorting algorithms, such as insertion-sort and selection-sort. 2010 Goodrich, Tamassia22

Merging Two Heaps We are given two two heaps and a key k We create a new heap with the root node storing k and with the two heaps as subtrees We perform downheap to restore the heaporder property 3 8 2 5 4 7 3 8 2 5 4 6 2

3 8 CPSC 3200 University of Tennessee at Chattanooga Summer 2013 6 4 5 7 6 2010 Goodrich, Tamassia23 Bottom-up Heap Construction We can construct a heap storing n given keys in using a bottomup construction with log n phases. In phase i, pairs of heaps with 2i 1 keys are merged into heaps with 2i+1-1 keys 2i -1 2i -1 2i+1-1

CPSC 3200 University of Tennessee at Chattanooga Summer 2013 2010 Goodrich, Tamassia24 Example 16 15 4 25 16 12 6 5 15 4 7 23 11

12 CPSC 3200 University of Tennessee at Chattanooga Summer 2013 6 20 27 7 23 20 2010 Goodrich, Tamassia25 Example (contd.) 25 16 5 15 4 15 16

11 12 6 4 25 5 27 9 23 6 12 CPSC 3200 University of Tennessee at Chattanooga Summer 2013 11 20 23 9 27

20 2010 Goodrich, Tamassia26 Example (contd.) 7 8 15 16 4 25 5 6 12 11 20 9 4 5 25

23 6 15 16 27 7 8 12 CPSC 3200 University of Tennessee at Chattanooga Summer 2013 11 20 9 27 23 2010 Goodrich, Tamassia27 Example (end) 10

4 6 15 16 5 25 7 8 12 11 20 9 27 23 4 5 6 15

16 7 25 10 8 12 CPSC 3200 University of Tennessee at Chattanooga Summer 2013 11 20 9 27 23 2010 Goodrich, Tamassia28 Recursive Bottom-Up Heap Construction Algorithm BottomUpHeap(S): Input: A list L storing n = 2h+11 entries Output: A heap T storing the entries in L. if S.isEmpty() then return an empty heap

e L.remove(L.rst()) Split L into two lists, L1 and L2, each of size (n1)/2 T1 BottomUpHeap(L1) T2 BottomUpHeap(L2) Create binary tree T with root r storing e, left subtree T1, and right subtree T2 Perform a down-heap bubbling from the root r of T, if necessary return T CPSC 3200 University of Tennessee at Chattanooga Summer 2013 2010 Goodrich, Tamassia29 Analysis We visualize the worst-case time of a downheap with a proxy path that goes first right and then repeatedly goes left until the bottom of the heap (this path may differ from the actual downheap path) Since each node is traversed by at most two proxy paths, the total number of nodes of the proxy paths is O(n) Thus, bottom-up heap construction runs in O(n) time Bottom-up heap construction is faster than n successive insertions and speeds up the first phase of heap-sort. CPSC 3200 University of Tennessee at Chattanooga Summer 2013 2010 Goodrich, Tamassia30 Entry and Priority Queue ADTs An entry stores a (key, value)

pair Entry ADT methods: getKey( ): returns the key associated with this entry getValue( ): returns the value paired with the key associated with this entry CPSC 3200 University of Tennessee at Chattanooga Summer 2013 Priority Queue ADT: insert(k, x) inserts an entry with key k and value x removeMin( ) removes and returns the entry with smallest key min( ) returns, but does not remove, an entry with smallest key size( ), isEmpty( ) 2010 Goodrich, Tamassia31 Adaptable Priority Queue ADT remove(e): Remove from P and return entry e. replaceKey(e,k): Replace with k and return the key of entry e of P; an error condition occurs if k is invalid (that is, k cannot be compared with other keys).

replaceValue(e,x): Replace with x and return the value of entry e of P. CPSC 3200 University of Tennessee at Chattanooga Summer 2013 2010 Goodrich, Tamassia32 Example Operation insert(5,A) insert(3,B) insert(7,C) min( ) key(e2) remove(e1) replaceKey(e2,9) replaceValue(e3,D) remove(e2) Output P e1 (5,A) e2 (3,B),(5,A) e3 (3,B),(5,A),(7,C) e2 (3,B),(5,A),(7,C)

3 (3,B),(5,A),(7,C) e1 (3,B),(7,C) 3 (7,C),(9,B) C (7,D),(9,B) e2 (7,D) CPSC 3200 University of Tennessee at Chattanooga Summer 2013 2010 Goodrich, Tamassia33 Analysis Running times of the methods of an adaptable priority queue of size n, realized by means of an unsorted list, sorted list, and heap, respectively. The space requirement is O(n) CPSC 3200 University of Tennessee at Chattanooga Summer 2013 2010 Goodrich, Tamassia34 End of Chapter 8 CPSC 3200

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