Sorting

Chapter 10: Sorting 1

 Chapter Outline
• How to use standard sorting methods in the Java API
• How to implement these sorting algorithms:
• Selection sort
• Bubble sort
• Insertion sort
• Shell sort
• Merge sort
• Heapsort
• Quicksort

Chapter 10: Sorting 2

 Selection Sort
• A relatively easy to understand algorithm
• Sorts an array in passes
• Each pass selects the next smallest element
• At the end of the pass, places it where it belongs
• Efficiency is O(n2), hence called a quadratic sort
• Performs:
• O(n2) comparisons
• O(n) exchanges (swaps)

Chapter 10: Sorting 3

 Selection Sort Algorithm
1. for fill = 0 to n-2 do // steps 2-6 form a pass
2. set posMin to fill
3. for next = fill+1 to n-1 do
4. if item at next < item at posMin
5. set posMin to next
6. Exchange item at posMin with one at fill

Chapter 10: Sorting 4

 Selection Sort Example
35 65 30 60 20 scan 0-4, smallest 20
swap 35 and 20
20 65 30 60 35 scan 1-4, smallest 30
swap 65 and 30
20 30 65 60 35 scan 2-4, smallest 35
swap 65 and 35
20 30 35 60 65 scan 3-4, smallest 60
swap 60 and 60
20 30 35 60 65 done

Chapter 10: Sorting 5

 Selection Sort Code
public static <T extends Comparable<T>>
void sort (T[] a) {
int n = a.length;
for (int fill = 0; fill < n-1; fill++) {
int posMin = fill;
for (int nxt = fill+1; nxt < n; nxt++)
if (a[nxt].compareTo(a[posMin])<0)
posMin = nxt;
T tmp = a[fill];
a[fill] = a[posMin];
a[posMin] = tmp;
}
}
Chapter 10: Sorting 6
 Bubble Sort

• Compares adjacent array elements

• Exchanges their values if they are out of order

• Smaller values bubble up to the top of the array

• Larger values sink to the bottom

Chapter 10: Sorting 7

Bubble Sort Example

Chapter 10: Sorting 8

 Bubble Sort Algorithm
1. do
2. for each pair of adjacent array elements
3. if values are out of order
4. Exchange the values
5. while the array is not sorted

Chapter 10: Sorting 9

 Bubble Sort Algorithm, Refined
1. do
2. Initialize exchanges to false
3. for each pair of adjacent array elements
4. if values are out of order
5. Exchange the values
6. Set exchanges to true
7. while exchanges

Chapter 10: Sorting 10

 Analysis of Bubble Sort
• Excellent performance in some cases
• But very poor performance in others!
• Works best when array is nearly sorted to begin with
• Worst case number of comparisons: O(n2)
• Worst case number of exchanges: O(n2)
• Best case occurs when the array is already sorted:
• O(n) comparisons
• O(1) exchanges (none actually)

Chapter 10: Sorting 11

 Bubble Sort Code
int pass = 1;
boolean exchanges;
do {
exchanges = false;
for (int i = 0; i < a.length-pass; i++)
if (a[i].compareTo(a[i+1]) > 0) {
T tmp = a[i];
a[i] = a[i+1];
a[i+1] = tmp;
exchanges = true;
}
pass++;
} while (exchanges);
Chapter 10: Sorting 12
 Insertion Sort
• Based on technique of card players to arrange a hand
• Player keeps cards picked up so far in sorted order
• When the player picks up a new card
• Makes room for the new card
• Then inserts it in its proper place

Chapter 10: Sorting 13

 Insertion Sort Algorithm
• For each element from 2nd (nextPos = 1) to last:
• Insert element at nextPos where it belongs
• Increases sorted subarray size by 1

• To make room:
• Hold nextPos value in a variable
• Shuffle elements to the right until gap at right place

Chapter 10: Sorting 14

Insertion Sort Example

Chapter 10: Sorting 15

 Insertion Sort Code
public static <T extends Comparable<T>>
void sort (T[] a) {
for (int nextPos = 1;
nextPos < a.length;
nextPos++) {
insert(a, nextPos);
}
}

Chapter 10: Sorting 16

 Insertion Sort Code (2)
private static <T extends Comparable<T>>
void insert (T[] a, int nextPos) {
T nextVal = a[nextPos];
while
(nextPos > 0 &&
nextVal.compareTo(a[nextPos-1]) < 0){
a[nextPos] = a[nextPos-1];
nextPos--;
}
a[nextPos] = nextVal;
}

Chapter 10: Sorting 17

 Analysis of Insertion Sort

• Maximum number of comparisons: O(n2)

• In the best case, number of comparisons: O(n)
• # shifts for an insertion = # comparisons - 1
• When new value smallest so far, # comparisons
• A shift in insertion sort moves only one item
• Bubble or selection sort exchange: 3 assignments

Chapter 10: Sorting 18

 Comparison of Quadratic Sorts
• None good for large arrays!

Chapter 10: Sorting 19

 Shell Sort: A Better Insertion Sort
• Shell sort is a variant of insertion sort
• It is named after Donald Shell
• Average performance: O(n3/2) or better
• Divide and conquer approach to insertion sort
• Sort many smaller subarrays using insertion sort
• Sort progressively larger arrays
• Finally sort the entire array
• These arrays are elements separated by a gap
• Start with large gap
• Decrease the gap on each “pass”
Chapter 10: Sorting 20
Shell Sort: The Varying Gap

Before and after sorting with gap = 7

Before and after sorting with gap = 3

Chapter 10: Sorting 21

 Analysis of Shell Sort
• Intuition:
Reduces work by moving elements farther earlier
• Its general analysis is an open research problem
• Performance depends on sequence of gap values
• For sequence 2k, performance is O(n2)
• Hibbard’s sequence (2k-1), performance is O(n3/2)
• We start with n/2 and repeatedly divide by 2.2
• Empirical results show this is O(n5/4) or O(n7/6)
• No theoretical basis (proof) that this holds

Chapter 10: Sorting 22

 Shell Sort Algorithm

1. Set gap to n/2

2. while gap > 0
3. for each element from gap to end, by gap
4. Insert element in its gap-separated sub-array
5. if gap is 2, set it to 1
6. otherwise set it to gap / 2.2

Chapter 10: Sorting 23

 Shell Sort Algorithm: Inner Loop

3.1 set nextPos to position of element to insert

3.2 set nextVal to value of that element
3.3 while nextPos > gap and
element at nextPos-gap is > nextVal
3.4 Shift element at nextPos-gap to nextPos
3.5 Decrement nextPos by gap
3.6 Insert nextVal at nextPos

Chapter 10: Sorting 24

 Shell Sort Code
public static <T extends <Comparable<T>>
void sort (T[] a) {
int gap = a.length / 2;
while (gap > 0) {
for (int nextPos = gap;
nextPos < a.length; nextPos++)
insert(a, nextPos, gap);
if (gap == 2)
gap = 1;
else
gap = (int)(gap / 2.2);
}
}

Chapter 10: Sorting 25

 Shell Sort Code (2)
private static <T extends Comparable<T>>
void insert
(T[] a, int NextPos, int gap) {
T val = a[nextPos];
while ((nextPos >= gap) &&
(val.compareTo(a[nextPos-gap])<0)) {
a[nextPos] = a[nextPos-gap];
nextPos -= gap;
}
a[nextPos] = val;
}

Chapter 10: Sorting 26

 Merge Sort
• A merge is a common data processing operation:
• Performed on two sequences of data
• Items in both sequences use same compareTo
• Both sequences in ordered of this compareTo
• Goal: Combine the two sorted sequences in one
larger sorted sequence

• Merge sort merges longer and longer sequences

Chapter 10: Sorting 27

 Merge Algorithm (Two Sequences)

Merging two sequences:

1. Access the first item from both sequences
2. While neither sequence is finished
1. Compare the current items of both
2. Copy smaller current item to the output
3. Access next item from that input sequence
3. Copy any remaining from first sequence to output
4. Copy any remaining from second to output

Chapter 10: Sorting 28

Picture of Merge

Chapter 10: Sorting 29

 Analysis of Merge

• Two input sequences, total length n elements

• Must move each element to the output
• Merge time is O(n)

• Must store both input and output sequences

• An array cannot be merged in place
• Additional space needed: O(n)

Chapter 10: Sorting 30

 Merge Sort Algorithm

Overview:
• Split array into two halves
• Sort the left half (recursively)
• Sort the right half (recursively)
• Merge the two sorted halves

Chapter 10: Sorting 31

 Merge Sort Algorithm (2)
Detailed algorithm:
• if tSize  1, return (no sorting required)
• set hSize to tSize / 2
• Allocate LTab of size hSize
• Allocate RTab of size tSize – hSize
• Copy elements 0 .. hSize – 1 to LTab
• Copy elements hSize .. tSize – 1 to RTab
• Sort LTab recursively
• Sort RTab recursively
• Merge LTab and RTab into a
Chapter 10: Sorting 32
Merge Sort Example

Chapter 10: Sorting 33

 Merge Sort Analysis
• Splitting/copying n elements to subarrays: O(n)
• Merging back into original array: O(n)
• Recursive calls: 2, each of size n/2
• Their total non-recursive work: O(n)
• Next level: 4 calls, each of size n/4
• Non-recursive work again O(n)
• Size sequence: n, n/2, n/4, ..., 1
• Number of levels = log n
• Total work: O(n log n)

Chapter 10: Sorting 34

 Merge Sort Code
public static <T extends Comparable<T>>
void sort (T[] a) {
if (a.length <= 1) return;
int hSize = a.length / 2;
T[] lTab = (T[])new Comparable[hSize];
T[] rTab =
(T[])new Comparable[a.length-hSize];
System.arraycopy(a, 0, lTab, 0, hSize);
System.arraycopy(a, hSize, rTab, 0,
a.length-hSize);
sort(lTab); sort(rTab);
merge(a, lTab, rTab);
}
Chapter 10: Sorting 35
 Merge Sort Code (2)
private static <T extends Comparable<T>>
void merge (T[] a, T[] l, T[] r) {
int i = 0; // indexes l
int j = 0; // indexes r
int k = 0; // indexes a
while (i < l.length && j < r.length)
if (l[i].compareTo(r[j]) < 0)
a[k++] = l[i++];
else
a[k++] = r[j++];
while (i < l.length) a[k++] = l[i++];
while (j < r.length) a[k++] = r[j++];
}
Chapter 10: Sorting 36
 Heapsort
• Merge sort time is O(n log n)
• But requires (temporarily) n extra storage items
• Heapsort
• Works in place: no additional storage
• Offers same O(n log n) performance
• Idea (not quite in-place):
• Insert each element into a priority queue
• Repeatedly remove from priority queue to array
• Array slots go from 0 to n-1

Chapter 10: Sorting 37

Heapsort Picture

Chapter 10: Sorting 38

Heapsort Picture (2)

Chapter 10: Sorting 39

 Algorithm for In-Place Heapsort

• Build heap starting from unsorted array

• While the heap is not empty
• Remove the first item from the heap:
• Swap it with the last item
• Restore the heap property

Chapter 10: Sorting 40

 Heapsort Code
public static <T extends Comparable<T>>
void sort (T[] a) {
buildHp(a);
shrinkHp(a);
}
private static ... void buildHp (T[] a) {
for (int n = 2; n <= a.length; n++) {
int chld = n-1; // add item and reheap
int prnt = (chld-1) / 2;
while (prnt >= 0 &&
a[prnt].compareTo(a[chld])<0) {
swap(a, prnt, chld);
chld = prnt; prnt = (chld-1)/2
} } }
Chapter 10: Sorting 41
 Heapsort Code (2)
private static ... void shrinkHp (T[] a) {
int n = a.length;
for (int n = a.length-1; n > 0; --n) {
swap(a, 0, n); // max -> next posn
int prnt = 0;
while (true) {
int lc = 2 * prnt + 1;
if (lc >= n) break;
int rc = lc + 1;
int maxc = lc;
if (rc < n &&
a[lc].compareTo(a[rc]) < 0)
maxc = rc;
....
Chapter 10: Sorting 42
 Heapsort Code (3)
if (a[prnt].compareTo(a[maxc])<0) {
swap(a, prnt, maxc);
prnt = maxc;
} else {
break;
}
}
}
}
private static ... void swap
(T[] a, int i, int j) {
T tmp = a[i]; a[i] = a[j]; a[j] = tmp;
}

Chapter 10: Sorting 43

 Heapsort Analysis
• Insertion cost is log i for heap of size i
• Total insertion cost = log(n)+log(n-1)+...+log(1)
• This is O(n log n)
• Removal cost is also log i for heap of size i
• Total removal cost = O(n log n)

• Total cost is O(n log n)

Chapter 10: Sorting 44

 Quicksort

• Developed in 1962 by C. A. R. Hoare

• Given a pivot value:
• Rearranges array into two parts:
• Left part  pivot value
• Right part > pivot value
• Average case for Quicksort is O(n log n)
• Worst case is O(n2)

Chapter 10: Sorting 45

Quicksort Example

Chapter 10: Sorting 46

 Algorithm for Quicksort
first and last are end points of region to sort
• if first < last
• Partition using pivot, which ends in pivIndex
• Apply Quicksort recursively to left subarray
• Apply Quicksort recursively to right subarray

Performance: O(n log n) provide pivIndex not always

too close to the end
Performance O(n2) when pivIndex always near end

Chapter 10: Sorting 47

 Quicksort Code
public static <T extends Comparable<T>>
void sort (T[] a) {
qSort(a, 0, a.length-1);
}
private static <T extends Comparable<T>>
void qSort (T[] a, int fst, int lst) {
if (fst < lst) {
int pivIndex = partition(a, fst, lst);
qSort(a, fst, pivIndex-1);
qSort(a, pivIndex+1, lst);
}
}

Chapter 10: Sorting 48

 Algorithm for Partitioning
1. Set pivot value to a[fst]
2. Set up to fst and down to lst
3. do
4. Increment up until a[up] > pivot or up = lst
5. Decrement down until a[down] <= pivot or
down = fst
6. if up < down, swap a[up] and a[down]
7. while up is to the left of down
8. swap a[fst] and a[down]
9. return down as pivIndex
Chapter 10: Sorting 49
Trace of Algorithm for Partitioning

Chapter 10: Sorting 50

 Partitioning Code
private static <T extends Comparable<T>>
int partition
(T[] a, int fst, int lst) {
T pivot = a[fst];
int u = fst;
int d = lst;
do {
while ((u < lst) &&
(pivot.compareTo(a[u]) >= 0))
u++;
while (pivot.compareTo(a[d]) < 0)
d++;
if (u < d) swap(a, u, d);
} while (u < d);
Chapter 10: Sorting 51
 Partitioning Code (2)
swap(a, fst, d);
return d;
}

Chapter 10: Sorting 52

 Revised Partitioning Algorithm
• Quicksort is O(n2) when each split gives 1 empty array
• This happens when the array is already sorted
• Solution approach: pick better pivot values
• Use three “marker” elements: first, middle, last
• Let pivot be one whose value is between the others

Chapter 10: Sorting 53

 Testing Sortiing Algorithms
• Need to use a variety of test cases
• Small and large arrays
• Arrays in random order
• Arrays that are already sorted (and reverse order)
• Arrays with duplicate values
• Compare performance on each type of array

Chapter 10: Sorting 54

 The Dutch National Flag Problem
• Variety of partitioning algorithms have been published
• One that partitions an array into three segments was
introduced by Edsger W. Dijkstra
• Problem: partition a disordered three-color flag into
three contiguous segments
• Segments represent < = > the pivot value

Chapter 10: Sorting 55

The Dutch National Flag Problem

Chapter 10: Sorting 56

 Chapter Summary
• Three quadratic sorting algorithms:
• Selection sort, bubble sort, insertion sort
• Shell sort: good performance for up to 5000 elements
• Quicksort: average-case O(n log n)
• If the pivot is picked poorly, get worst case: O(n2)
• Merge sort and heapsort: guaranteed O(n log n)
• Merge sort: space overhead is O(n)
• Java API has good implementations

Chapter 10: Sorting 57

Chapter Summary (2)

58