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Chapter 8: Sorting

• One of the most important concepts and


common applications in computing.

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1
General Sort Concepts
• Internal sort: all data are held in primary
memory during the sorting process.

• External sort: primary memory for data


currently being sorted and secondary
storage for data that do not fit in primary
memory.

2
General Sort Concepts
Sorts

Internal External
• Natural
• Balanced
Insertion Selection Exchange • Polyphas
e
• Insertion • Selection • Bubble
• Shell • Heap • Quick

3
General Sort Concepts
• Sort stability: data with equal keys maintain
their relative input order in the output.

78 8 45 8 32 56

8 8 32 45 56 78

4
General Sort Concepts
• Sort efficiency: a measure of the relative
efficiency of a sort = number of comparisons +
number of moves

5
General Sort Concepts
• Sort pass: each traversal of the data being
sorted.

6
Insertion Sorts
• In each pass, one or more pieces of data
are inserted into their correct location in an
ordered list.

7
Straight Insertion Sort
• The list is divided into two parts: sorted and
unsorted.

• In each pass, the first element of the unsorted


sublist is inserted into the sorted sublist.

unsorte
d

8
Straight Insertion Sort
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9
Straight Insertion Sort
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23 78 45 8 32 56

10
Straight Insertion Sort
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23 78 45 8 32 56

23 45 78 8 32 56

11
Straight Insertion Sort
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23 78 45 8 32 56

23 45 78 8 32 56

8 23 45 78 32 56

12
Straight Insertion Sort
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23 78 45 8 32 56

23 45 78 8 32 56

8 23 45 78 32 56

8 23 32 45 78 56
13
23 78 45 8 32 56

23 78 45 8 32 56

23 45 78 8 32 56

8 23 45 78 32 56

8 23 32 45 78 56

8 23 32 45 56 78
14
Straight Insertion Sort
Algorithm insertionSort (ref list <array>, val last <index>)
Sorts list[1..last] using straight insertion sort
Pre list contains at least one element
last is index to last element in the list
Post list has been rearranged
1 current = 2
2 loop (current <= last)
1 hold = list[current]
2 walker = current - 1
3 loop (walker >= 1 AND hold.key < list[walker].key)
1 list[walker + 1] = list[walker]
2 walker = walker - 1
4 list[walker + 1] = hold
5 current = current + 1
3 return
End insertionSort 15
Shell Sort
• Named after its creator Donald L. Shell
(1959).

• Given a list of N elements, the list is divided


into K segments (K is called the increment).

• Each segment contains N/K or more


elements.

• Segments are dispersed throughout the


list.
16
Shell Sort
[1 [2 [3 [4 [5 [6 [7 [8 [9 [10]
] ] ] ] ] ] ] ] ]
K=3

[1 [1 + K] [1 + [1 +
] 2*K] 3*K]
Segment
1
[2 [2 + K] [2 +
] 2*K]
Segment
2
[3 [3 + K] [3 +
] 2*K]
Segment
3
17
Shell Sort

23 78 45 8 32 56

18
Shell Sort
• For the value of K in each iteration, sort the
K segments.

• After each iteration, K is reduced until it is 1


in the final iteration.

19
Shell Sort
Algorithm shellSort (ref list <array>, val last <index>)
Sorts list[1..last] using shell sort
Pre list must contain at least one element
last is index to last element in the list
Post list has been rearranged
1 K = last/2
2 loop (K not 0)
1 seg = 1
2 loop (seg <= K)
1 sortSegment (seg)
2 seg = seg + 1
3 K = K/2
3 return
End shellSort

20
Shell Sort
Algorithm shellSort (ref list <array>, val last <index>)
Sorts list[1..last] using shell sort
Pre list must contain at least one element
last is index to last element in the list
Post list has been rearranged
1 K = last/2
2 loop (K not 0)
1 seg = 1
2 loop (seg <= K)
1 current = seg + K
2 loop (current <= last)
1 hold = list[current]
2 walker = current - K
3 loop (walker >= 1 AND hold.key < list[walker].key)
1 list[walker + K] = list [walker]
2 walker = walker - K
4 list[walker + K] = hold
5 current = current + K
3 seg = seg + 1
3 K = K/2
3 return
End shellSort 21
Shell Sort
Algorithm shellSort (ref list <array>, val last <index>)
Sorts list[1..last] using shell sort
Pre list must contain at least one element
last is index to last element in the list
Post list has been rearranged
1 incre = last/2
2 loop (incre not 0)
1 current = 1 + incre
2 loop (current <= last)
1 hold = list[current]
2 walker = current - incre
3 loop (walker >= 1 AND hold.key < list[walker].key)
1 list[walker + incre] = list [walker]
2 walker = walker - incre
4 list[walker + incre] = hold
5 current = current + 1
3 incre = incre/2
3 return
End shellSort
22
Insertion Sort Efficiency
• Straight insertion sort:
f(n) = n(n + 1)/2 = O(n2)

23
Insertion Sort Efficiency
• Shell sort:
O(n1.25) Empirical study

24
General Sort Concepts
Sorts

Internal External
• Natural
• Balanced
Insertion Selection Exchange • Polyphas
e
• Insertion • Selection • Bubble
• Shell • Heap • Quick

25
Selection Sorts
• In each pass, the smallest/largest item is
selected and placed in a sorted list.

26
Straight Selection Sort
• The list is divided into two parts: sorted and
unsorted.

• In each pass, in the unsorted sublist, the


smallest element is selected and
exchanged with the first element.

unsorte
d
27
Straight Selection Sort

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28
Straight Selection Sort
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8 78 45 23 32 56

29
Straight Selection Sort
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8 23 45 78 32 56

30
Straight Selection Sort
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8 78 45 23 32 56

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8 23 32 78 45 56

31
Straight Selection Sort
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8 78 45 23 32 56

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8 23 32 78 45 56

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32
23 78 45 8 32 56

8 78 45 23 32 56

8 23 45 78 32 56

8 23 32 78 45 56

8 23 32 45 78 56

8 23 32 45 56 78

33
Straight Selection Sort
Algorithm selectionSort (ref list <array>, val last <index>)
Sorts list[1..last] using straight selection sort
Pre list contains at least one element
last is index to last element in the list
Post list has been rearranged
1 current = 1
2 loop (current < last)
1 smallest = current
2 walker = current + 1
3 loop (walker <= last)
1 if (list[walker] < list[smallest])
1 smallest = walker
2 walker = walker + 1
4 exchange (list, current, smallest)
5 current = current + 1
3 return
End selectionSort
34
Heap Sort
• The unsorted sublist is organized into a
heap.

• In each pass, in the unsorted sublist, the


largest element is selected and exchanged
with the last element.
Then the heap is reheaped.

heap

35
Heap Sort

23 78 45 8 32 56

23

78
[0 45
]
[1 [2
8 32 56
] ]
[3 [4 [5
] ] ]

36
Heap Sort

23 78 45 8 32 56 78 32 56 8 23 45

build
23 heap 78

78
[0 45 32
[0 56
] ]
[1 [2 [1 [2
8 32 56 8 23 45
] ] ] ]
[3 [4 [5 [3 [4 [5
] ] ] ] ] ]

37
Heap Sort

78 32 56 8 23 45 45 32 56 8 23 78

78 45

[0 32
[0 56
32 56
] ]
[1 [2 [1 [2
8 23 45 8 23 78
] ] ] ]
[3 [4 [5 [3 [4 [5
] ] ] ] ] ]

38
Heap Sort
Algorithm heapSort (ref heap <array>, val last <index>)
Sorts list[0..last] using heap sort
Pre array is filled
last is index to last element in the list
Post array has been sorted
Creat a heap
1 walker = 1
2 loop (walker <= last)
1 reheapUp (heap, walker)
2 walker = walker + 1
Sort the list
3 sorted = last
4 loop (sorted > 0)
1 exchange (heap, 0, sorted)
2 sorted = sorted - 1
3 reheapDown (heap, 0, sorted)
5 return
End heapSort
39
Selection Sort Efficiency
• Straight selection sort:
O(n2)

40
Selection Sort Efficiency
• Heap sort:
O(n log2n)

41
General Sort Concepts
Sorts

Internal External
• Natural
• Balanced
Insertion Selection Exchange • Polyphas
e
• Insertion • Selection • Bubble
• Shell • Heap • Quick

42
Exchange Sorts
• In each pass, elements that are out of order
are exchanged, until the entire list is
sorted.

• Exchange is extensively used.

43
Bubble Sort
• The list is divided into two parts: sorted and
unsorted.

• In each pass, the smallest element is


bubbled from the unsorted sublist and
moved to the sorted sublist.

unsorte
d

44
Bubble Sort

23 78 45 8 56 32

45
Bubble Sort
23 78 45 8 56 32

23 78 45 8 32 56

23 78 45 8 32 56

23 78 8 45 32 56

23 8 78 45 32 56

8 23 78 45 32 56
46
Bubble Sort
Algorithm bubbleSort (ref list <array>, val last <index>)
Sorts list[1..last] using bubble sort
Pre list must contain at least one element
last is index to last element in the list
Post list has been rearranged
1 current = 1
2 sorted = false
3 loop (current <= last AND sorted false)
1 walker = last
2 sorted = true
3 loop (walker > current)
1 if (list[walker] < list[walker - 1])
1 sorted = false
2 exchange (list, walker, walker - 1)
2 walker = walker -1
4 current = current + 1
4 return
End bubbleSort
47
Quick Sort
• Developed by C. A. Hoare (1962).

• In each pass, a pivot element is selected and


the list is divided into three groups:
< pivot, = pivot, > pivot

Quick sort is continued for the first and third


groups. pivo
t
k

<k >k
48
Quick Sort
• Pivot selection:
– C. A. Hoare (1962): the first element in the list.
– R. C. Singleton (1969): the median of the left,
right and middle elements of the list.

• Pivot location:
– Use left and right walls.
– Exchange the two elements at the left and right
wall positions if they are out of order with
respect to the pivot.

49
Quick Sort

pivo
t

pivo
t

50
Quick Sort

78 21 14 97 87 62 74 85 76 45 84 22

51
78 21 14 97 87 62 74 85 76 45 84 22

78 21 14 97 87 62 74 85 76 45 84 22

78 21 14 22 87 62 74 85 76 45 84 97

78 21 14 22 87 62 74 85 76 45 84 97

78 21 14 22 45 62 74 85 76 87 84 97

78 21 14 22 45 62 74 85 76 87 84 97

78 21 14 22 45 62 74 76 85 87 84 97 52
Quick Sort
• D.E. Knuth suggested that when the sort
partitions becomes small, straight insertion
sort should be used to complete the sorting.

pivo
t
k

<k >k

53
Quick Sort
Algorithm quickSort (ref list <array>, val left <index>, val right <index>)
Sorts list[left..right] using quick sort
Pre list must contain at least one element
left and right are indices to first and last elements in the list
Post list has been rearranged
1 if (right - left > minsize)
quick sort
1 medianLeft (list, left, right)
2 pivot = list[left]
3 sortLeft = left + 1
4 sortRight = right
5 loop (sortLeft <= sortRight)
Find key on left that belongs on right
1 loop (list[sortLeft].key < pivot.key)
1 sortLeft = sortLeft + 1
Find key on right that belongs on left
1 loop (list[sortRight].key >= pivot.key)
1 sortRight = sortRight - 1
54
Quick Sort
Find key on left that belongs on right
1 loop (list[sortLeft].key < pivot.key)
1 sortLeft = sortLeft + 1
Find key on right that belongs on left
2 loop (list[sortRight].key >= pivot.key)
1 sortRight = sortRight - 1
3 if (sortLeft <= sortRight)
1 exchange (list, sortLeft, sortRight)
2 sortLeft = sortLeft + 1
3 sortRight = sortRight - 1
Prepare for next phase
6 list[left] = list[sortLeft - 1]
7 list[sortLeft - 1] = pivot
8 if (left < sortRight)
1 quickSort (list, left, sortRight - 1)
9 if (sortLeft < right)
1 quickSort (list, sortLeft, right )
2 else
1 insertionSort (list, left, right)
End quickSort 55
Quick Sort
Algorithm medianLeft (ref sortData <array>, val left <index>, val right
<index>)
Finds the median of an array sortData[left..right], and places it in the location
sortData[left]
Pre sortData is an array of at least three elements
left and right are the boundaries of the array
Post median value located and placed at sortData[left]
1 mid = (left + right)/2
2 if (sortData[left].key > sortData[mid].key)
1 exchange (sortData, left, mid)
3 if (sortData[left].key > sortData[right].key)
1 exchange (sortData, left, right)
4 if (sortData[mid].key > sortData[right].key)
1 exchange (sortData, mid, right)
5 exchange (sortData, left, mid)
6 return
End medianLeft
56
Exchange Sort Efficiency
• Bubble sort:
f(n) = n(n + 1)/2 = O(n2)

57
Exchange Sort Efficiency
• Quick sort:
O(n log2n)

58
General Sort Concepts
Sorts

Internal External
• Natural
• Balanced
Insertion Selection Exchange • Polyphas
e
• Insertion • Selection • Bubble
• Shell • Heap • Quick

59
External Sorts
• Sorts that allow portions of the data to be
stored in secondary memory during the
sorting process.

• Most of the work spent ordering files is not


sorting but merging.

60
Merging Ordered Files

1
1 2 2
3 3 4
5 4 6
5 8
6 10
8
10

61
Merging Ordered Files
Algorithm mergeFiles
Merges two files into one file
Pre Input files are ordered
Post Input files sequentially combined in output file
1 open files
2 read (file1 into record1)
3 read (file2 into record2)
4 loop (not end file1 OR not end file2)
1 if (record1.key <= record2.key)
1 write (file3 from record1)
2 read (file1 into record1)
3 if (end of file1)
1 record1.key = +∝
2 else
1 write (file3 from record2)
2 read (file2 into record2)
3 if (end of file2)
1 record2.key = +∝
5 close files
End mergeFiles 62
File Sorting Process
• Sort phase.

• Merge phase.

63
Sort Phase
2,300 records

Input
file
Sort

records 1-500 1,001-1,500 2,001-2,300

Merge 1
501-1,000 1,501-2,000

Merge 2 64
Merge Phase
• Natural merge

• Balanced merge

• Polyphase merge

65
natural two-way input

merge
records 1-500 sort phase records 501-1000
mrg mrg
records 1,001- 2 records 1,501-
1
1,500 merge 2000
records 2.001-
2,300 records 1-1000
mrg
3 records 1,001-
2000
records 2.001-
distribution
records 1-1000 2,300
mrg records 1,001-
mrg
records 2,001- 1 2 2,000
merge
2,300

mrg records 1-2000


3 records 2,001-
2,300
distribution
mrg mrg
records 1-2,000 2 records 2,001-
1 2,300
merge

mrg
3 records 1-2,300 66
balanced two-way
merge
input

records 1-500 sort phase records 501-1000


mrg mrg
records 1,001- 2 records 1,501-
1
1,500 merge 2000
records 2.001-
records 1-1000 mrg mrg records 1,001-
2,300 2
records 2,001- 1 2,000
merge
2,300
mrg mrg
records 1-2,000 2 records 2,001-
1 2,300
merge

mrg
3 records 1-2,300

67
polyphase merge input

records 1-500 sort phase records 501-1000


mrg mrg
records 1,001- 2 records 1,501-
1
1,500 merge 2000
records 2.001-
2,300 records 1-1000
mrg
3 records 1,001-
2000

mrg mrg records 1-1,000


records 2,001- 1 2 2,001-
2,300 merge
2,300

mrg records 1-1000


3 records 1,001-
2,000

mrg mrg records 1-1,000


records 1-2,300 1 2 2,001-
merge
2,300

mrg
3 records 1,001- 68
2,000

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