Algoritmos 4 Español

13/1/2017 Cuyovalorptimoesidnticoaldelprogramalinealoriginal.
Cuandosehacereferenciaaprogramaslinealesduales,
Pgina1
880 Captulo29Programacinlineal
Cuyovalorptimoesidnticoaldelprogramalinealoriginal.Cuandose
anilloparaprogramaslinealesduales,quellamamoselprogramalinealoriginaldelaprimitiva.
Dadounprogramalinealprimarioenformaestndar,comoen(29.16)(29.18),definimos
Elprogramalinealdualcomo
xmetro
minimizar biyi (29,83)
ID1
sujetoa
xmetro
aijSI cj ParajD$$2:::N (29,84)
ID1
yi 0paraiD$$2:::M (29,85)
Paraformareldual,cambiamoslamaximizacinaunaminimizacin,cambiamosla
Funcionesdeloscoeficientesenlosladosderechosylafuncinobjetivo,y
Cadaunomenosoigualporunmayorqueoiguala.Cadaunadelasmrestricciones
enelprimaltieneunavariableyasociadoieneldoble,ycadaunadelaslimitacionesden
eneldobletieneunasociadovariableXjenelprimario.Porejemplo,considerela
Linealdadoen(29.53)(29.57).Eldobledeesteprogramalineales
minimizar30y1 C24y2 C36y3 (29,86)
sujetoa
y1
do 2y2 do 4y3 3 (29,87)
y1
do 2y2 do y3 1 (29,88)
3y1 do 5y2 do 2y3 2 (29,89)
y1y2y3 0: (29.90)
Vamosamostrarenelteorema29.10queelvalorptimodeladuallinealpro
Gramoessiempreigualalvalorptimodelprogramalinealprimario.Promover
Ms,elalgoritmosimplexrealmenteimplcitamenteresuelvetantoelprimalcomoeldual
Linealessimultneamente,proporcionandoasunapruebadeoptimalidad.
Comenzamosdemostrandoladualidaddbil,loqueindicaquecualquiersolucinviable
Cinalprogramalinealprimariotieneunvalornomayorqueeldecualquier
Solucinalprogramalineardual.
Lema29.8(Dualidaddeprogramacinlinealdbil)
SeaNxunasolucinfactiblealprogramalinealprimarioen(29.16)(29.18)y
SeaNycualquiersolucinfactiblealprogramalinealdualen(29.83)(29.85).Entonces,
tenemos
xnorte xmetro
cjjaNx biNyi:
JD1 ID1
Pgina2
29.4Dualidad 881
Tenemoslaprueba
!
xnorte x nortexmetro
cNxjj UN aijiNy nxj (Pordesigualdades(29.84))
JD1 JD1 ID1 !
xmetroxnorte
re aijjNx iny
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13/1/2017 Cuyovalorptimoesidnticoaldelprogramalinealoriginal.Cuandosehacereferenciaaprogramaslinealesduales,
xID1
metroJD1
UN biiNy (Pordesigualdades(29.17)).
ID1
Corolario29,9
SeaNxunasolucinfactibleaunprogramalinealprimario.AsegundoC/,yseaNyun
Solucinviablealcorrespondienteprogramalinealdual.Si
xnorte xmetro
cjjDNx biNyi
JD1 ID1
EntoncesNxyNysonsolucionesptimasparalosprogramaslinealesprimarioydual,respectivamente
Tamente.
Porellemapruebade29,8,elvalorobjetivodeunasolucinviablealaprimitiva
Nopuedeexcedereldeunasolucinfactiblealdoble.Elprogramalinealprimales
Unproblemademaximizacinyeldualesunproblemademinimizacin.As,siesfactible
LassolucionesNxyNytienenelmismovalorobjetivo,nisepuedenmejorar.
Antesdeprobarquesiemprehayunasolucindualcuyovaloresiguala
Deunasolucinprimalptima,describimoscmoencontrartalsolucin.Cuando
Corrimoselalgoritmosimplexenelprogramalinealen(29.53)(29.57),elfinal
iteracindiolaformadeholgura(29.72)(29.75)conelobjetivode"D28x3=6
x5=62x6=3,f1BD24g,yf3ND56g.Comoveremosacontinuacin,la
Solucinasociadaconlaformadeholgurafinalesdehechounasolucinptima
ProgramalinealUnasolucinptimaalprogramalineal(29.53)(29.57)esporlotanto
.NX1Nx2Nx3/D0,840/,convalorobjetivo.38/C.14/C.20/D28.Como
Tambinmostramosacontinuacin,podemosleerunasolucindualptima:losnegativosdela
Coeficientesdelafuncinobjetivoprimariosonlosvaloresdelasvariablesduales.
Msprecisamente,supongamosquelaltimaformaholgadadelprimales
x
D 0C cj0xj
J2n
x
xi Db0 yo un
ij0xj Parai_{2}B:
J2n
Pgina3
Entonces,paraproducirunasolucindualptima,
(
cNCi
0 Si.nC$$/2N
NyiD (29,91)
0 Delocontrario:
Porlotanto,unasolucinptimaparaelprogramalinealdualdefinidoen(29.86)(29.90)
esNy1D0(puestonCD142B),Ny2Dc0 5D1=6,yNy3Dc0 6D2=3.
Alevaluarlafuncinobjetivodual(29.86),seobtieneunvalorobjetivode
.300/C.24.1=6//C.36.2=3//D28,loqueconfirmaqueelvalorobjetivo
Delprimarioesciertamenteigualalvalorobjetivodeldual.Combinandoestos
ClculosconelLema29.8daunapruebadequeelvalorobjetivoptimodela
Primallinealprogramaes28.Ahorademostrarqueesteenfoqueseaplicaengeneral:
Podemosencontrarunasolucinptimaaldualydemostrarsimultneamentequeunasolucin
Alptimoesptimo.
Teorema29.10(Dualidaddeprogramacinlineal)
SupongamosqueSIMPLEXdevuelvevaloresNxD.NX1Nx2:::Nxn/linparaelprimal
Odoprograma.Asegundodo/.SeaNyBlasvariablesnobsicasybsicaspara
laformadeholgurafinal,seaC0denotanloscoeficientesenformaholgurafinal,ydejar
NyD.Ny1Ny2:::Nym/serdefinidaporlaecuacin(29.91).EntoncesNxesunptimo,
Cinalprogramalinealprimario,Nyesunasolucinptimaala
Programa,y
xnorte xmetro
cjjDNx biNyi: (29,92)
JD1 ID1
PruebaPorCorolario29.9,sipodemosencontrarsolucionesfactiblesNxyNyquesatisfagan
(29.92),entoncesNxyNydebensersolucionesprimitivasydualesptimas.Nosotros
DemostrarahoraquelassolucionesNxyNydescritasenelenunciadodelteorema
Satisfacerlaecuacin(29.92).
SupongamosquecorremosSIMPLEXenunprogramalinealprimario,comoseindicaenlneas
(29,16)(29,18).Elalgoritmoprocedeatravsdeunaseriedeformasflojashastaque
Terminaconunaformadeholgurafinalconfuncinobjetivo
x
'D0C c0 (29,93)
jxj:
J2n
DesdeSIMPLEXterminaconunasolucin,porlacondicinenlalnea3,sabemosque
cj0a0paratodoj2N: (29,94)
Pgina4
29.4Dualidad 883
Sidefinimos
c0 (29,95)
jD0paratodoj2B
Podemosreescribirlaecuacin(29.93)como
x
'D0C cj0xj
J2n
x x
D0C c0 c0
jjxC jxj(porquec0 jD0sij2B)
J2n J2b
x
Ncm
D0C cj0xj (DebidoaqueN[BDf12:::Cmg).(29,96)
JD1
ParalasolucinbsicaNxasociadaconestaformadeholgurafinal,NxjD0paratodoj2N,
y'D0.Dadoquetodaslasformasholgadassonequivalentes,sievaluamoselobje
EnNx,debemosobtenerelmismovalorobjetivo:
xnorte x
Ncm
cNxjj re 0C cjj
0 (29,97)
Nx
JD1 JD1
x x
re 0C cjj
0 cjj
0
CNx Nx
J2n
x J2b
x
re 0C .cJ0 0/C 0.0Nxj/ (29,98)
J2n J2b
re 0:
VamosademostrarahoraqueNy,definidoporlaecuacin(29.91),esfactibleparaeldual
Pm Pn
Programalinealyquesuvalorobjetivo
ID1biNyiesigual jd1cNxjj. Equa
(29.97)dicequelaprimeraylaltimaformadeholgura,evaluadasenNx,soniguales.Ms
engeneral,laequivalenciadetodaslasformasdeholguraimplicaqueparacualquierconjuntodevalores
xD.x1x2:::xn/,tenemos
xnorte x
Ncm
cjjxD0C c0
jxj:
JD1 JD1
Porlotanto,paracualquierconjuntoparticulardevaloresNxD.NX1Nx2:::Nxn/,tenemos
Pgina5
xnorte
cNxjj
JD1
x
Ncm
re 0C c0
jjNx
JD1
x norte x
Ncm
re 0C cjj
0 cjj
0
CNx Nx
JD1 JDnC1
x norte xmetro
re 0C cjj
0 cnCi
0
CNx NxnCi
JD1 ID1
x norte xmetro
re 0C c0 .Nyi/NxnCi (Porlasecuaciones(29.91)y(29.95))
jjCNx
JD1 ID1 !
x norte xmetro x norte
re 0C cjj
0 .Nyi/ib aijjNx (Porlaecuacin(29.32))
CNx
JD1 ID1 JD1
x norte xmetro xmetro
xnorte
re 0C cjj
0 biiNyC .aijNxj/Nyi
Nx
JD1 ID1 ID1JD1
x norte xmetro x norte
xmetro
re 0C cjj
0 biiNyC .aijNyi/jNx
Nx
JD1 ! ID1 JD1 ID1 !
xmetro xnorte xmetro
re 0 biiNydo cj0C aijiNy Nxj
ID1 JD1 ID1
asqueeso
! !
xnorte xmetro xnorte xmetro
cjjDNx 0 biiNydo c0 aijiNy Nxj: (29,99)
jC
JD1 ID1 JD1 ID1
AplicandoelLema29.3alaecuacin(29.99),obtenemos
xmetro
0 biiNyD$$ (29.100)
ID1
xmetro
cj0C aijiNy Dcj ParajD$$2:::N (29.101)
ID1 Pm
Porlaecuacin(29.100),tenemosque
UN
Pm ID1biNyiD0,yporlotantoelvalorobjetivo
Deldoble esigualaladelaprimitiva
ID1biiNy (0).Quedapormostrar
Pgina6
29.4Dualidad 885
QuelasolucinNyesfactibleparaelproblemadual.Delasdesigualdades(29.94)y
lasecuaciones(29.95),quetienenquec0
ja0paratodojD12:::NMm. Porlotanto,paracualquier
JD$$2:::N,lasecuaciones(29.101)implicanque
xmetro
cj Dc0 jC aijiNy
ID1
xmetro
UN aijNyi
ID1
Quesatisfacelasrestricciones(29.84)deldual.Porltimo,yaquecj0 a0paracada
j2N[B,cuandofijamosNyacuerdoconlaecuacin(29.91),tenemosquecadaNy 0, i
Yporlotantolasrestriccionesdenonegatividadtambinsesatisfacen.
Hemosdemostradoque,dadounprogramalinealfactible,siNITIALIZESIMPLEX
devuelveunasolucinfactible,ysiSIMPLEXterminasindevolver"in
Limitada",entonceslasolucindevueltaesdehechounasolucinptima.Tambintenemos
Semuestracmoconstruirunasolucinptimaparaelprogramalinealdual.
Ceremonias
29.41
Formuleeldualdelprogramalinealdadoenelejercicio29.35.
29,42
Supongamosquetenemosunprogramalinealquenoestenformaestndar.Podramos
Producireldualconvirtindoloprimeroalaformaestndar,yluegotomareldual.
Seramsconveniente,sinembargo,sercapazdeproducireldualdirectamente.
Expliquecmopodemostomardirectamenteeldobledeunprogramalinealarbitrario.
29,43
Anoteeldualdelprogramalinealdeflujomximo,talcomosedaenlneas
(29.47)(29.50)enlapgina860.Expliquecmointerpretarestaformulacincomoun
Problemadecortemnimo.
29,44
Anoteeldualdelprogramalinealdeflujomnimodecoste,talcomosedaenlneas
(29.51)(29.52)enlapgina862.Expliquecmointerpretaresteproblemaentrminosde
Grficosyflujos.
29,45
Demuestrequeeldualdeldualdeunprogramalinealeselprogramalinealprimal.
Pgina7
29,46
QuresultadodelCaptulo26puedeinterpretarsecomodualidaddbilparaelmximo
Problemadeflujo
29.5Lasolucinbsicainicialfactible
Enestaseccin,describiremosprimerocmoprobarsiunprogramalinealesfactible,
Ysiesas,cmoproducirunaformaflojaparalacuallasolucinbsicaesfactible.
Concluimosprobandoelteoremafundamentaldelaprogramacinlineal,que
dicequeelprocedimientoSIMPLEXsiempreproduceelresultadocorrecto.
Encontrarunasolucininicial
EnlaSeccin29.3,hemosasumidoquetuvimosunprocedimientoqueNITIALIZESIMPLEXque
Determinasiunprogramalinealtienealgunasolucinfactible,ysilohace,
Unaformaflojaparalacuallasolucinbsicaesfactible.Describimosesteprocedimiento
aqu.
Unprogramalinealpuedeserfactible,perolasolucinbsicainicialpodranoser
factible.Consideremos,porejemplo,elsiguienteprogramalineal:
maximizar2x1 x2 (29.102)
sujetoa
2x1 x2 UN 2 (29.103)
x1 5x2 4 (29.104)
x1x2 0: (29.105)
Sifuramosaconvertiresteprogramalinealenformaholgada,lasolucinbsicasera
conjuntox1D0yDx20.Estasolucinviolalarestriccin(29.104),yporlotantonoesuna
solucinfactible.Porlotanto,yoNITIALIZESIMPLEXnopuedesimplementedevolverlaholguraobvia
formar.Conelfindedeterminarsiunprogramalinealtienealgunasolucinfactible,
vamosaformularunprogramalinealauxiliar.Paraesteprogramalinealauxiliar,
Podemosencontrar(conunpocodetrabajo)unaformaholgadaparalacuallasolucinbsicaesfactible.
Adems,lasolucindeesteprogramalinealauxiliardeterminasila
Programalinealinicialesfactibleysiesas,proporcionaunasolucinfactibleconlaque
podemosinicializarSIMPLEX.
Lema29.11
SeaLunprogramalinealenformaestndar,dadocomoen(29.16)(29.18).Seax0sea
unanuevavariable,yseaLauxserelsiguienteprogramalinealconnC1Variables:
Pgina8
29.5Lasolucinbsicainicialfactible 887
maximizar x0 (29.106)
sujetoa
xnorte
aijxj x0 ABi ParaiD12:::M (29.107)
JD1
xj 0paraj$_{D0}$1:::N (29.108)
EntoncesLesfactiblesiyslosielvalorobjetivoptimodeLauxes0.
PruebaSupongamosqueLtieneunasolucinfactibleNxD.NX1Nx2:::Nxn/.Entoncesel
solucinNx00DcombinadoconNXesunasolucinfactibleaLauxconelobjetivo
valor0.Comox0 0esunalimitacindelaLauxylafuncinobjetivoes
maximizarx0,estasolucindebeserptimaparaLaux.
Porelcontrario,supongamosqueelvalorobjetivoptimodeLauxes0.EntoncesNx0D0,
YlosvaloresdesolucinrestantesdeNxsatisfacenlasrestriccionesdeL.
Ahoradescribimosnuestraestrategiaparaencontrarunasolucinfactiblebsicainicialparauna
ProgramaLenformaestndar:
MeNITIALIZESIMPLEX.Asegundodo/
1Seakelndicedelamnimabi
2sibk 0 //Esfactiblelasolucinbsicainicial?
3 volver.f12:::NgfnC$$NC$$C$_$mgUNsegundodo0
4formaLauxmediantelaadicindex0enelladoizquierdodecadarestriccin
yelestablecimientodelafuncinobjetivoa0x
5dejeque.NSEGUNDOUNsegundodo/SerlaformadecrecimientoresultantedeLaux
6lDnCk
7//LauxtienenC1mvariablesnobsicasyvariablesbsicas.
8NSEGUNDOUNsegundodo/DPIvot.NSEGUNDOUNsegundodoL0
9//LasolucinbsicaesahorafactibleparaLaux.
10iterarelbuclewhiledelneas312deSIMPLEXhastaunasolucinptima
aLseencuentraaux
11silasolucinptimaparaLauxestableceNx00
12 SiNx0esbsico
13 Realizarunpivote(degenerado)parahacerlonobsico
14 desdelaformadeholgurafinaldeLaux,retirex0ydelaslimitaciones
RestaurarlafuncinobjetivooriginaldeL,peroreemplazarcadafuncinbsica
Variableenestafuncinobjetivoporelladoderechodesu
Restriccinasociada
15 devolverelformularioholguradefinitivamodificada
16oregrese"inviable"
Pgina9
INITIALIZESIMPLEXfuncionacomosigue.Enlaslneas13,probamosimplcitamenteel
SolucinbsicaalaformadeholgurainicialparaLdadaporNDf12:::Ng,BD
F_{n}C_{1}nC2:::nCmg,NxiDBiparatodoi2B,yD0Nxjparatodoj2N.
(Crearlaformaholgadanorequiereningnesfuerzoexplcito,yaquelosvaloresdeA,bycson
Lamismaenambasformasholgadayestndar.)Silalnea2encuentraestasolucinbsicaparaser
viable,esdecir,iNx 0paratodosi2N[Bentonceslalnea3devuelvelaformafloja.
Delocontrario,enlalnea4,formamoselprogramaauxiliarlinealLAUXcomoenelLema29.11.
DadoquelasolucinbsicainicialdeLnoesfactible,lasolucinbsicainicialdel
formulariodeholguraparaLauxnopuedeserfactible,yasea.Paraencontrarunasolucinfactiblebsica,
Realizarunaoperacindepivotenico.Lalnea6seleccionalDnCkcomoelndicedela
Variablebsicaqueserlavariabledesalidaenlaprximaoperacindepivote.
DadoquelasvariablesbsicassonnC1xxNC2:::xNCM,dejandolavariablexlser
Elquetieneelvalormsnegativo.Lalnea8querealizalallamadadePIvot,con
x0xlentradaysalida.Veremosenseguidaquelasolucin
delapresenteconvocatoriadePIvotserfactible.Ahoraquetenemosunaformaflojaparalacual
lasolucinbsicaesfactible,podemos,enlalnea10,enrepetidasocasionesllamaraPIvottotalmente
Resolverelprogramalinealauxiliar.Comodemuestralapruebadelalnea11,siencontramos
unasolucinptimaaLauxconelvalorobjetivo0,acontinuacin,enlaslneas1214,creamos
UnaformaholgadaparaLparalacuallasolucinbsicaesfactible.Paraello,primero,
enlaslneas1213,manejarelcasodegeneradoenlaquex0puedeseguirsiendobsicocon
Nxvalor0D0.Enestecaso,realizamosunpasodepivoteparaeliminarx0delabase,
utilizandocualquiere2Ndetalmaneraqueun0e0comolavariabledeentrada.Lanuevabase
SolucinsiguesiendofactibleElpivotedegeneradonocambiaelvalordeninguna
variable.Acontinuacinborramostodox0trminosdelaslimitacionesyrestaurareloriginal
FuncinobjetivoparaL.Lafuncinobjetivooriginalpuedecontenertanto
Yvariablesnobsicas.Porlotanto,enlafuncinobjetivoreemplazamoscada
Variableporelladoderechodesurestriccinasociada.Lalnea15luegoregresa
Estaformaflojamodificada.Si,porelcontrario,lalnea11descubrequeel
LinealLesinviable,entonceslalnea16devuelveestainformacin.
AhorademuestranelfuncionamientodelaINITIALIZESIMPLEXenelprolineal
Gramo(29.102)(29.105).Esteprogramalinealesfactiblesipodemosencontrarno
Ativevaloresparax1yx2quesatisfacenlasdesigualdades(29.103)y(29.104).Utilizando
Lema29.11,seformulaelprogramalinealauxiliar
maximizar x0 (29.109)
sujetoa
2x1 x2 x0 UN 2 (29.110)
x1 5x2 x0 4 (29.111)
x1x2x0 0:
PorelLema29.11,sielvalorobjetivoptimodeesteprogramalinealauxiliar
Es0,entonceselprogramalinealoriginaltieneunasolucinfactible.Sielobjetivoptimo
Pgina10
Valordeesteprogramalinealauxiliaresnegativo,entonceselprogramalinealoriginal
Notieneunasolucinfactible.
Escribimosesteprogramalinealenformaholgada,obteniendo
D x0
x3 re 2 2x1 do x2 Cx0
x4 D4 x1 C5x2 Cx0:
Noestamosfueradelbosquetodava,porquelasolucinbsica,queestablecera
4x4D,noesfactibleparaesteprogramalinealauxiliar.Sinembargo,podemos
unallamadaaPIvot,convertirestaformaflojaenunaenlaquelasolucinbsicaes
factible.Comoindicalalnea8,elegimosx0aserlavariabledeentrada.Enlalnea6,
elegircomovariabledesalidax4,queeslavariablebsicacuyovalorenel
Lasolucinbsicaesmsnegativa.Despusdepivotar,tenemoslaformafloja
D4 x1 C5x2 x4
x0 re 4Cx1 5x2 Cx4
x3 re 6 x1 4x2 Cx4:
Lasolucinbsicaasociadaes.NX0Nx1Nx2Nx3Nx4/D0,40060/,queesfactible
BleAhorallamamosrepetidamentePIvothastaobtenerunasolucinptimaaLaux.En
estecaso,unallamadaaPIvotconx2x0entradaysalidarendimientos
D x0
4 x0 x1 x4
x2 re do do
5 5 5 5
14 4x0 9x1 x4
x3 re do do :
5 5 5 5
Estaformaholgadaeslasolucinfinalalproblemaauxiliar.Dadoqueestasolucin
xtiene0D0,sabemosquenuestroproblemainicialerafactible.Adems,dadoque
x0D0,podemossimplementeeliminarlodelaseriederestricciones.Luegorestauramosel
Funcinobjetivooriginal,conlassustitucionesapropiadashechasparaincluirsolamente
Variablesnobsicas.Ennuestroejemplo,obtenemoslafuncinobjetivo
UN UN
4 x0 x1 x4
2x1 x2D12x do do :
5 5 5 5
Marcox00Dysimplificando,obtenemoslafuncinobjetivo
4 9x1 x4
do
5 5 5
Ylaformaholgada
Pgina11
4 9x1 x4
D do
5 5 5
4 x1 x4
x2 re do do
5 5 5
14 9x1 x4
x3 re do :
5 5 5
Estaformaholgadatieneunasolucinbsicafactible,ypodemosdevolverlaalprocedimiento
SIMPLEX.
VamosademostrarformalmentelaexactituddeloNITIALIZESIMPLEX.
Lema29.12
SiunprogramalinealLnotienesolucinfactible,entoncesmeNITIALIZEvuelveSIMPLEX
"Inviable".Delocontrario,devuelveunaformadeholguravlidaparalacuallasolucinbsica
Esfactible.
EnprimerlugarlapruebasuponerqueelprogramalinealLnotienesolucinfactible.Entoncespor
Lema29.11,elvalorptimoobjetivodeLaux,definidaen(29.106)(29.108),
esdistintodecero,yporlarestriccindenonegatividadenx0,elvalorobjetivoptimo
Debesernegativo.Adems,estevalorobjetivodebeserfinito,yaque
xiD0,paraiD12:::nyx0DJminm ID1fbiGJesfactible,yestasolucin
tienevalorobjetivoJminm ID1fbiGJ. Porlotanto,lalnea10delaINITIALIZESIMPLEX
Encuentraunasolucinconunvalorobjetivonopositivo.SeaNxlasolucinbsica
Asociadoconlaformadeholgurafinal.NopodemostenerNx0D0,porqueentoncesLaux
Tendraunvalorobjetivo0,loquecontradicequeelvalorobjetivoesnegativo.
Portanto,lapruebadelalnea11dacomoresultadoquelalnea16vuelvaaser"inviable".
SupongamosahoraqueelprogramalinealLtieneunasolucinfactible.De
Ejercicio29,34,sabemosquesibi 0paraiD$$2:::M,entonceslasolucinbsica
Asociadoconlaformaholgadainicialesfactible.Enestecaso,laslneas23devuelvenel
Formaholgadaasociadaconlaentrada.(Conversindelaformaestndaralaformafloja
Esfcil,yaqueA,b,ycsonlosmismosenambos).
Enelrestodelaprueba,manejamoselcasoenelqueelprogramalineales
Peronoregresamosenlalnea3.Argumentamosqueenestecaso,laslneas410encuentranuna
solucinfactibleaLauxconelvalorobjetivo0.Enprimerlugar,porlaslneas12,debemostener
bk<0
y
bKABI Paracadai2B: (29.112)
Enlalnea8,llevamosacabounaoperacindepivoteenelquelavariabledesalidaxl(recurdese
quelDnCk,demodoquebl<0)eselladoizquierdodelaecuacinconmini
bmami,ylavariabledeentradaesx0,lavariableextraaadido.Ahoramostramos
Pgina12
Quedespusdeestepivote,todaslasentradasdebsonnonegativas,yporlotantolasolucinbsica
aLauxesfactible.DejandoNxsealasolucinbsicadespusdelallamadaaPIvot,y
Dejando Y
byYBservaloresdevueltosporP Ivot,Lema29.1implicaque
(
Yuna
bi esdecir,b Sii2yBfeg
correo
NxiD (29.113)
b=lale Siyodi
LallamadaaPIvotenlalnea8tieneeD0.Sivolvemosaescribirlasdesigualdades(29.107),a
incluircoeficientesai0,
xnorte
aijxjaib ParaiD12:::M (29.114)
JD0
entonces
uni0DaDesdecir,1decada2iB: (29.115)
(Tengaencuentaqueunai0eselcoeficientedex0talcomoapareceenlasdesigualdades(29.114),no
lanegacindelcoeficiente,porqueauxLesestndarenlugardeenformafloja.)
Desdel2B,tambintenemosqueleD1.Porlotanto,bl=ale> 0,yasNxe> 0.Por
Lasvariablesbsicasrestantes,tenemos
inx DBI Yuna
b
esdecir, correo (Porlaecuacin(29.113))
DBI un.bl=unfichero/(porlalnea3dePIvot)
esdecir,
DBI bl (porlaecuacin(29.115)yunficheroD1)
0 (Pordesigualdad(29.112)),
Loqueimplicaquecadavariablebsicaesahoranonegativa.Porlotanto,lasolucinbsica
cindespusdelallamadaaPIvotenlalnea8esfactible.Seguidamenteejecutamoslalnea10,que
resuelveLaux.DadoquehemosasumidoqueLtieneunasolucinfactible,elLema29.11
implicaqueLauxtieneunasolucinptimaconelvalorobjetivo0.Dadoquetodalaholgura
formassonequivalentes,lasolucinbsicafinalaLauxdebetenerNx0D0,ydespusde
laeliminacindex0delprogramalineal,seobtieneunaformadeholguraqueesfactibleparaL.
Lalnea15devuelveesteformulariodeholgura.
Teoremafundamentaldelaprogramacinlineal
Concluimosestecaptulo,demostrandoqueelprocedimientoSIMPLEXfunciona.Enpar
Cualquierprogramalinealnoesfactible,notienelmitesotieneunvalorptimo
Solucinconunvalorobjetivofinito.Encadacaso,SIMPLEXactaapropiadamente.
Pgina13
Teorema29.13(Teoremafundamentaldelaprogramacinlineal)
CualquierprogramalinealL,dadoenformaestndar,
1.tieneunasolucinptimaconunvalorobjetivofinito,
2.esimposible,o
3.notienelmites.
SiLnoesfactible,SIMPLEXdevuelve"inviable".SiLesilimitada,SIMPLEX
devuelve"sinlmites".Delocontrario,devuelveSIMPLEXunasolucinptimaconunfinita
Objetivo.
PruebaPorelLema29.12,sielprogramalinealLnoesfactible,entoncesSvuelveIMPLEX
"Imposible".SupongamosahoraqueelprogramalinealLesfactible.PorelLema29.12,
INITIALIZESIMPLEXdevuelveunaformaholguraparaquelasolucinbsicaesfactible.
PorelLema29.7,porlotanto,SIMPLEXobienvuelve"sinlmites"otermine
Conunasolucinfactible.Siterminaconunasolucinfinita,entonceselteorema29.10
Nosdicequeestasolucinesptima.Porotrolado,siSIMPLEXdevuelve"UN
Limitada",elLema29.2nosdicequeelprogramalinealLesrealmenteilimitado.Yaque
SIMPLEXsiempreterminaenunadeestasformas,lapruebaestcompleta.
Ceremonias
29.51
Darpseudocdigodetalladoparaaplicarlaslneas5y14delaINITIALIZESIMPLEX.
29,52
DemostrarquecuandoelbucleprincipaldeSIMPLEXestdirigidoporloNITIALIZESIMPLEX,loquepuede
Nuncavuelva"ilimitado".
29,53
SupongamosquesenosdaunprogramalinealLenformaestndar,ysupongamosque
TantoparaLcomoparaeldualdeL,lassolucionesbsicasasociadasconlaholgurainicial
Formassonfactibles.DemuestrequeelvalorobjetivoptimodeLes0.
29,54
Supongamosquepermitimosdesigualdadesestrictasenunprogramalineal.Mostrarqueeneste
,Elteoremafundamentaldelaprogramacinlinealnosecumple.
Pgina14
29,55
ResolverelsiguienteprogramalinealutilizandoSIMPLEX:
maximizar x1 C3x2
sujetoa
x1 x2 UN 8
x1 x2 3
x1 C4x2 UN 2
x1x2 0:
29.56
maximizar x1 2x2
sujetoa
x1 C2x2 UN 4
2x1 6x2 12
x2 UN 1
x1x2 0:
29,57
maximizar x1 C3x2
sujetoa
x1 do x2 1
x1 x2 3
x1 C4x2 UN 2
x1x2 0:
29,58
Resuelvaelprogramalinealdadoen(29.6)(29.10).
29,59
Considereelsiguienteprogramalinealde1variable,quellamamosP:
maximizar Tx
sujetoa
Rxes
x 0
Donder,sytsonnmerosrealesarbitrarios.SeaDeldobledeP.
Pgina15
Estadoparaculesvaloresder,s,ytpuedeafirmarque
1.TantoPcomoDtienensolucionesptimasconvaloresobjetivosfinitos.
2.Pesfactible,peroDesinviable.
3.Desfactible,peroPesinviable.
4.NiPniDsonfactibles.
Problemas
291Viabilidaddedesigualdadlineal
Dadounconjuntodemdesigualdadeslinealesennvariablesx1,x2:::xn,lalinealidad
problemadeladesigualdaddeviabilidadpreguntasihayunajustedelasvariablesque
Satisfacesimultneamentecadaunadelasdesigualdades.
a.Demuestrequesitenemosunalgoritmoparalaprogramacinlineal,podemosusarlopara
Resolverunproblemadeviabilidaddedesigualdadlineal.Elnmerodevariablesycon
Straintsqueseutilizaenelproblemadeprogramacinlinealdebeserpolinomial
Ennym.
segundo.Demuestrequesitenemosunalgoritmoparaelproblemadeviabilidaddeladesigualdadlineal,
Podemosusarlopararesolverunproblemadeprogramacinlineal.Elnmerodevariables
Ydesigualdadeslinealesqueseutilizanenelproblemadeviabilidaddeladesigualdadlineal
Debeserpolinomialennym,elnmerodevariablesyrestriccionesen
Elprogramalineal.
292Escasezcomplementaria
Holguracomplementariadescribeunarelacinentrelosvaloresdeprimal
Variablesyrestriccionesdoblesyentrelosvaloresdelasvariablesdualesypri
Limitaciones.SeaNxunasolucinfactiblealprogramalinealprimariodado
En(29.16)(29.18),yseaNyunasolucinfactiblealprogramalinealdualdado
En(29,83)(29,85).Laholguracomplementariaestablecequelassiguientescondiciones
SonnecesariosysuficientesparaqueNxyNyseanptimos:
xmetro
un0DijNyiDjcoNxjparajD12:::norte
ID1
y
xnorte
NxaijjDbioNyiD0paraiD12:::M
JD1
Pgina16
ProblemasparaelCaptulo29 895
a.Verificarquelaholguracomplementariasemantieneparaelprogramalinealenlneas
(29,53)(29,57).
segundo.Demuestrequelaholguracomplementariasemantieneparacualquierprogramalinealprimarioy
Sucorrespondientedual.
do.ProbarqueunasolucinfactibleNxaunprogramalinealprimariodadoenlneas
(29.16)(29.18)esptimasiyslosiexistenvaloresNyD.Ny1Ny2:::Nym/
Talque
1.Nyesunasolucinfactiblealprogramalineardualdadoen(29.83)(29.85),
Pm
2. ID1aijNyiDcjparatodojtalqueNx
Pn j>0,y
3.NyiD0paratodoitalque jd1aijjNx<bi.
293Programacinlinealentero
Unproblemalinealenteradeprogramacinesunproblemadeprogramacinlinealcon
Larestriccinadicionalquelasvariablesxdebentomarsobrelosvaloresintegrales.Exer
Cise34.53muestraqueslodeterminarsiunprogramalinealenterotieneun
LasolucinfactibleesNPduro,loquesignificaquenohaypolinomiotiempoconocido
Algoritmoparaesteproblema.
a.Demuestrequeladualidaddbil(Lema29.8)esvlidaparaunprogramalinealentero.
segundo.Demuestrequeladualidad(Teorema29.10)nosiempreesvlidaparaunenterolineal
programa.
do.Dadounprogramalinealprimarioenformaestndar,definamosPcomolaopti
Malobjetivoparaelprogramalinealprimario,Dcomoelobjetivoptimo
valorporsudoble,lapropiedadintelectualeselvalorobjetivoptimoparalaversinnmeroenterode
Elprimal(esdecir,elprimalconlarestriccinaadidaquetomanlasvariables
envaloresenteros),ydeidentificacinparaserelvalorobjetivoptimoparalaversinnmeroentero
Deladualidad.Suponiendoquetantoelprogramaenteroprimalcomoeldual
Sonfactiblesylimitados,muestranque
IPPDDaID:
294EllemadeFarkas
SeaAunamatrizmnycunvectorn.EntoncesellemadeFarkasafirmaque
Exactamenteunodelossistemas
Pgina17
Ax0
cTx>0
y
ATCyD
Y 0
Essoluble,dondexesunnvectoreyesunmvector.ProbarellemadeFarkas.
295Circulacindecostomnimo
Enesteproblema,consideramosunavariantedelproblemadeflujode
Seccin29.2enlacualnosenosdaunademanda,unafuenteounsumidero.Enlugar,
Senosda,comoantes,unareddeflujoycostosdebordeau/.Unflujoesfactible
sisatisfacelarestriccindelacapacidaddeconservacinencadabordeyelflujoencada
vrtice.Elobjetivoesencontrar,entretodoslosflujosposibles,eldecostomnimo.Nosotros
llamaraesteproblemaelproblemadecostomnimocirculacin.
a.Formuleelproblemadecirculacindecostosmnimoscomounprogramalineal.
segundo.Supongamosqueparatodoslosbordes.u/2E,tenemosau/>0.Caracterizarun
Solucinptimaalproblemadelacirculacindecostesmnimos.
do.Formuleelproblemadeflujomximocomounproblemadecirculacindecostosmnimos
Programalineal.SedaunainstanciadeproblemadeflujomximoGD.VE/
Confuentess,sumideroycapacidadesdebordec,creanunacirculacindecostemnimo
problemadandoun(posiblementediferente)alaredG0D0.VE0/conelborde
capacidadesc0yelbordecuestaun0talquesepuedediscernirunasolucinal
Problemadeflujomximodesdeunasolucinalosproblemasdecirculacinde
Lem
re.Formuleelproblemadelatrayectoriamscortadeunasolafuentecomouncostomnimodecircu
Programalinealdeproblemas.
Notasdelcaptulo
Estecaptuloslocomienzaaestudiarelampliocampodelaprogramacinlineal.Unnmero
Millonesdelibrossededicanexclusivamentealaprogramacinlineal,incluidos
Chvtal[69],Gass[130],Karloff[197],Schrijver[303]yVanderbei[344].
Muchosotroslibrosdanunabuenacoberturadelaprogramacinlineal,
PorPapadimitriouySteiglitz[271]yAhuja,MagnantiyOrlin[7].los
LacoberturadeestecaptulosebasaenelenfoqueadoptadoporChvtal.
Pgina18
NotasparaelCaptulo29 897
ElalgoritmosimplexparalaprogramacinlinealfueinventadoporG.Dantzig
En1947.Pocodespus,losinvestigadoresdescubrieroncmoformularunaseriedepro
Problemasenunavariedaddecamposcomoprogramaslinealesyresolverlosconelsimplex
algoritmo.Comoresultado,florecieronlasaplicacionesdelaprogramacinlineal,
Variosalgoritmos.Lasvariantesdelalgoritmosimplexsiguensiendolasmspopulares
Mtodospararesolverproblemasdeprogramacinlineal.Estahistoriaapareceenun
Nmerodelugares,incluidaslasnotasde[69]y[197].
Elalgoritmodelelipsoidefueelprimeralgoritmopolinomialtiempoparaelpro
GramticaysedebeaLGKhachianen1979Sebasentrabajosanterioresde
NZShor,DBJudinyASNemirovskii.Grtschel,LovszySchrijver
[154]describencmousarelalgoritmoelipsoidepararesolverunavariedaddeproblemasen
Optimizacincombinatoria.Hastalafecha,elalgoritmoelipsoidenopareceser
Competitivoconelalgoritmosimplexenlaprctica.
EltrabajodeKarmarkar[198]incluyeunadescripcindelprimer
Rithm.Muchosinvestigadoresposterioresdisearonalgoritmosdepuntosinteriores.Buenasuperficie
VeysaparecenenelartculodeGoldfarbyTodd[141]yellibrodeYe[361].
Elanlisisdelalgoritmosimplexsiguesiendounreaactivadeinvestigacin.V.Klee
YGJMintyconstruyunejemploenelqueelalgoritmosimplexejecuta
atravsde2n 1iteraciones.Elalgoritmosimplexnormalmentefuncionamuybienen
Prcticaymuchosinvestigadoreshantratadodedarunajustificacintericapara
Observacinemprica.UnalneadeinvestigacininiciadaporKHBorgwardty
Pormuchosotros,muestraquebajociertassuposicionesprobabilsticassobre
Put,elalgoritmosimplexconvergeeneltiempopolinomialesperado.Spielmany
Teng[322]avanzenestarea,introduciendoel"anlisissuavizadodealgo
Rithms"yaplicarloalalgoritmosimplex.
Sesabequeelalgoritmosimplexfuncionaeficientementeenciertoscasosespeciales.Par
Elalgoritmoredsimplex,queeselsimplexal
Gorithm,especializadaenproblemasdeflujodered.Paraciertosproblemasdered,
Incluyendoloscaminosmscortos,flujomximoyproblemasdeflujodecostomnimo,
Variantesdelalgoritmoredsimplexejecutadoentiempopolinomial.Vase,porejemplo,
ElartculodeOrlin[268]ysuscitas.
Pgina19
30 PolinomiosylaFFT
Elmtododirectodeaadirdospolinomiosdegradontoma,.n/
tiempo,peroelmtododirectodemultiplicarloslleva,.n2/hora.Enesto
Captulo,mostraremoscmolatransformadarpidadeFourier,oFFT,puedereducireltiempo
Paramultiplicarpolinomiosa,.nlgn/.
ElusomscomnparalastransformadasdeFourier,yporlotantolaFFT,estenlaseal
tratamiento.Unasealsedaeneldominiodeltiempo:comountiempoparacorrelacindefunciones
amplitud.Fourieranalysisallowsustoexpressthesignalasaweightedsumof
phaseshiftedsinusoidsofvaryingfrequencies.Theweightsandphasesassociated
withthefrequenciescharacterizethesignalinthefrequencydomain.Entreel
manyeverydayapplicationsofFFT'sarecompressiontechniquesusedtoencode
digitalvideoandaudioinformation,includingMP3files.Severalfinebooksdelve
intotherichareaofsignalprocessingthechapternotesreferenceafewofthem.
Polynomials
ApolynomialinthevariablexoveranalgebraicfieldFrepresentsafunctionAx/
asaformalsum:
xN1
Ax/D ajxj:
jD0
Wecallthevaluesa0a1:::an1thecoefficientsofthepolynomial.Theco
efficientsaredrawnfromafieldF,typicallythesetCofcomplexnumbers.UN
polynomialAx/hasdegreekifitshighestnonzerocoefficientisakwewrite
thatdegree.A/Dk.Anyintegerstrictlygreaterthanthedegreeofapolynomial
isadegreeboundofthatpolynomial.Therefore,thedegreeofapolynomialof
degreeboundnmaybeanyintegerbetween0andn1,inclusive.
Wecandefineavarietyofoperationsonpolynomials.Forpolynomialaddi
tion,ifAx/andBx/arepolynomialsofdegreeboundn,theirsumisapolyno
Pgina20
Chapter30PolynomialsandtheFFT 899
mialCx/,alsoofdegreeboundn,suchthatCx/DAx/CBx/forallxinthe
underlyingfield.Thatis,if
xN1
Ax/D ajxj
jD0
y
xN1
Bx/D bjxj
jD0
entonces
xN1
Cx/D cjxj
jD0
wherecjDajCbjforjD01:::norte 1.Forexample,ifwehavethe
polynomialsAx/D6x3C7x2 10xC9andBx/D2x3C4x 5,then
Cx/D4x3C7x2 6xC4.
Forpolynomialmultiplication,ifAx/andBx/arepolynomialsofdegree
boundn,theirproductCx/isapolynomialofdegreebound2n1suchthat
Cx/DAx/Bx/forallxintheunderlyingfield.Youprobablyhavemulti
pliedpolynomialsbefore,bymultiplyingeachterminAx/byeachterminBx/
andthencombiningtermswithequalpowers.Forexample,wecanmultiply
Ax/D6x3C7x2 10xC9andBx/D2x3C4x5asfollows:
6x3C7x2 10xC9
2x3 C4x 5
30x3 35x2C50x 45
24x4C28x3 40x2C36x
12x6 14x5C20x4 18x3
12x6 14x5C44x4 20x3 75x2C86x 45
AnotherwaytoexpresstheproductCx/is
x
2n2
Cx/D cjxj (30.1)
jD0
dnde
xJ
cjD akbjk: (30.2)
kD0
Pgina21
900 Chapter30PolynomialsandtheFFT
Notethatdegree.C/Ddegree.A/Cdegree.B/,implyingthatifAisapolyno
mialofdegreeboundnaandBisapolynomialofdegreeboundnb,thenCisa
polynomialofdegreeboundnaCnb 1.Sinceapolynomialofdegreeboundk
isalsoapolynomialofdegreeboundkC1,wewillnormallysaythattheproduct
polynomialCisapolynomialofdegreeboundnaCnb.
Chapteroutline
Section30.1presentstwowaystorepresentpolynomials:thecoefficientrepresen
tationandthepointvaluerepresentation.Thestraightforwardmethodsformulti
plyingpolynomialsequations(30.1)and(30.2)take.n2/timewhenwerep
resentpolynomialsincoefficientform,butonly.n/timewhenwerepresentthem
inpointvalueform.Wecan,however,multiplypolynomialsusingthecoefficient
representationinonly.nlgn/timebyconvertingbetweenthetworepresenta
Ciones.Toseewhythisapproachworks,wemustfirststudycomplexrootsofunity,
whichwedoinSection30.2.Then,weusetheFFTanditsinverse,alsodescribed
inSection30.2,toperformtheconversions.Section30.3showshowtoimplement
theFFTquicklyinbothserialandparallelmodels.
Thischapterusescomplexnumbersextensively,andwithinthischapterweuse
pag
thesymboliexclusivelytodenote 1.
30.1Representingpolynomials
Thecoefficientandpointvaluerepresentationsofpolynomialsareinasenseequiv
alentthatis,apolynomialinpointvalueformhasauniquecounterpartinco
efficientform.Inthissection,weintroducethetworepresentationsandshow
howtocombinethemsothatwecanmultiplytwodegreeboundnpolynomials
in.nlgn/time.
Coefficientrepresentation
Pn1
AcoefficientrepresentationofapolynomialAx/D
jD0ajxjofdegree
boundnisavectorofcoefficientsaD.a0a1:::an1/.Inmatrixequations
inthischapter,weshallgenerallytreatvectorsascolumnvectors.
Thecoefficientrepresentationisconvenientforcertainoperationsonpolyno
mials.Forexample,theoperationofevaluatingthepolynomialAx/atagiven
pointx0consistsofcomputingthevalueofAx0/.Wecanevaluateapolynomial
in.n/timeusingHorner'srule:
Ax0/Da0Cx0.a1Cx0.a2CCx0.an2Cx0.an1////:
Pgina22
30.1Representingpolynomials 901
Similarly,addingtwopolynomialsrepresentedbythecoefficientvectorsaD
.a0a1:::an1/andbD.b0b1:::bn1/takes.n/time:wejustproduce
thecoefficientvectorcD.c0c1:::cn1/,wherecj DajCbjforjD
01:::n1.
Now,considermultiplyingtwodegreeboundnpolynomialsAx/andBx/rep
resentedincoefficientform.Ifweusethemethoddescribedbyequations(30.1)
and(30.2),multiplyingpolynomialstakestime.n2/,sincewemustmultiply
eachcoefficientinthevectorabyeachcoefficientinthevectorb.Laoperacion
ofmultiplyingpolynomialsincoefficientformseemstobeconsiderablymorediffi
cultthanthatofevaluatingapolynomialoraddingtwopolynomials.Laresultante
coefficientvectorc,givenbyequation(30.2),isalsocalledtheconvolutionofthe
inputvectorsaandb,denotedcDab.Sincemultiplyingpolynomialsand
computingconvolutionsarefundamentalcomputationalproblemsofconsiderable
practicalimportance,thischapterconcentratesonefficientalgorithmsforthem.
Pointvaluerepresentation
ApointvaluerepresentationofapolynomialAx/ofdegreeboundnisasetof
npointvaluepairs
fx0y0/.x1y1/:::.xn1yn1/g
suchthatallofthexkaredistinctand
ykDAxk/ (30.3)
forkD01:::n1.Apolynomialhasmanydifferentpointvaluerepresenta
tions,sincewecanuseanysetofndistinctpointsx0x1:::xn1asabasisfor
therepresentation.
Computingapointvaluerepresentationforapolynomialgivenincoefficient
formisinprinciplestraightforward,sinceallwehavetodoisselectndistinct
pointsx0x1:::xn1andthenevaluateAxk/forkD01:::norte 1.With
Horner'smethod,evaluatingapolynomialatnpointstakestime.n2/.Weshall
seelaterthatifwechoosethepointsxkcleverly,wecanacceleratethiscomputation
torunintime.nlgn/.
Theinverseofevaluationdeterminingthecoefficientformofapolynomial
fromapointvaluerepresentationisinterpolation.Thefollowingtheoremshows
thatinterpolationiswelldefinedwhenthedesiredinterpolatingpolynomialmust
haveadegreeboundequaltothegivennumberofpointvaluepairs.
Theorem30.1(Uniquenessofaninterpolatingpolynomial)
Foranysetfx0y0/.x1y1/:::.xn1yn1/gofnpointvaluepairssuchthat
allthexkvaluesaredistinct,thereisauniquepolynomialAx/ofdegreeboundn
suchthatykDAxk/forkD01:::n1.
Pgina23
ProofTheproofreliesontheexistenceoftheinverseofacertainmatrix.Equa
tion(30.3)isequivalenttothematrixequation

1x0 x2 xn1 a0 y0
0 0
1x1 x2 xn1 un1 y1
1 1 re : (30.4)
Unesdoc.unesco.orgunesdoc.unesco.org
1xn1 x2 xn1 an1 yn1
N1 N1
ThematrixontheleftisdenotedV.x0x1:::xn1/andisknownasaVander
mondematrix.ByProblemD1,thismatrixhasdeterminant
Y
.xk xj/
0j<kn1
andtherefore,byTheoremD.5,itisinvertible(thatis,nonsingular)ifthexkare
distinto.Thus,wecansolveforthecoefficientsajuniquelygiventhepointvalue
representacin:
aDV.x0x1:::xn1/1y:
TheproofofTheorem30.1describesanalgorithmforinterpolationbasedon
solvingtheset(30.4)oflinearequations.UsingtheLUdecompositionalgorithms
ofChapter28,wecansolvetheseequationsintimeOn3/.
AfasteralgorithmfornpointinterpolationisbasedonLagrange'sformula:
Y
.xxj/
xN1
Ax/D yk Yjk : (30,5)
kD0 .xk xj/
jk
Youmaywishtoverifythattherighthandsideofequation(30.5)isapolynomial
ofdegreeboundnthatsatisfiesAxk/Dykforallk.Exercise30.15asksyou
howtocomputethecoefficientsofAusingLagrange'sformulaintime.n2/.
Thus,npointevaluationandinterpolationarewelldefinedinverseoperations
thattransformbetweenthecoefficientrepresentationofapolynomialandapoint
valuerepresentation.1 Thealgorithmsdescribedabovefortheseproblemstake
time.n2/.
Thepointvaluerepresentationisquiteconvenientformanyoperationsonpoly
nomials.Foraddition,ifCx/DAx/CBx/,thenCxk/DAxk/CBxk/for
anypointxk.Moreprecisely,ifwehaveapointvaluerepresentationforA,
1Interpolationisanotoriouslytrickyproblemfromthepointofviewofnumericalstability.Apesardeque
theapproachesdescribedherearemathematicallycorrect,smalldifferencesintheinputsorroundoff
errorsduringcomputationcancauselargedifferencesintheresult.
Pgina24
fx0y0/.x1y1/:::.xn1yn1/g
andforB,
fx0y0
0/.x1y1
0/:::.xn1y0n1/g
(notethatAandBareevaluatedatthesamenpoints),thenapointvaluerepre
sentationforCis
fx0y0Cy0
0/.x1y1Cy1
0/:::.xn1yn1Cy0 n1/g:
Thus,thetimetoaddtwopolynomialsofdegreeboundninpointvalueform
is.n/.
Similarly,thepointvaluerepresentationisconvenientformultiplyingpolyno
mials.IfCx/DAx/Bx/,thenCxk/DAxk/Bxk/foranypointxk,and
wecanpointwisemultiplyapointvaluerepresentationforAbyapointvaluerep
resentationforBtoobtainapointvaluerepresentationforC.Wemustfacethe
problem,however,thatdegree.C/Ddegree.A/Cdegree.B/ifAandBareof
degreeboundn,thenCisofdegreebound2n.Astandardpointvaluerepresen
tationforAandBconsistsofnpointvaluepairsforeachpolynomial.Cuandonosotros
multiplythesetogether,wegetnpointvaluepairs,butweneed2npairstointerpo
lateauniquepolynomialCofdegreebound2n.(SeeExercise30.14.)Wemust
thereforebeginwithextendedpointvaluerepresentationsforAandforBcon
sistingof2npointvaluepairseach.Givenanextendedpointvaluerepresentation
forA,
fx0y0/.x1y1/:::.x2n1y2n1/g
andacorrespondingextendedpointvaluerepresentationforB,
fx0y0
0/.x1y1
0/:::.x2n1y02n1/g
thenapointvaluerepresentationforCis
fx0y0y0
0/.x1y11
y0/:::.x2n1y2n1y02n1/g:
Giventwoinputpolynomialsinextendedpointvalueform,weseethatthetimeto
multiplythemtoobtainthepointvalueformoftheresultis.n/,muchlessthan
thetimerequiredtomultiplypolynomialsincoefficientform.
Finally,weconsiderhowtoevaluateapolynomialgiveninpointvalueformata
newpoint.Forthisproblem,weknowofnosimplerapproachthanconvertingthe
polynomialtocoefficientformfirst,andthenevaluatingitatthenewpoint.
Fastmultiplicationofpolynomialsincoefficientform
Canweusethelineartimemultiplicationmethodforpolynomialsinpointvalue
formtoexpeditepolynomialmultiplicationincoefficientform?Theanswerhinges
Pgina25
a a :::a
0 1 n1
Ordinarymultiplication Coeficiente
c c :::c
0 1 2n2
representations
b b :::b
0 1 n1
Time.n / 2
Evaluacin Interpolation
Time.nlgn/ Time.nlgn/
A.!2n/B.!02n/
0 C.! 2n/
0
A.!2n/B.!1
1
2n/ Pointwisemultiplication C.!2n/
1 Pointvalue
Unesdoc.unesco.orgunesdoc.unesco.org Unesdoc.unesco.orgunesdoc.unesco.org
representations
Time.n/
A.!2n /B.!2n /
2n1 2n1 C.!2n /
2n1
Figure30.1Agraphicaloutlineofanefficientpolynomialmultiplicationprocess.Representaciones
onthetopareincoefficientform,whilethoseonthebottomareinpointvalueform.Thearrows
fromlefttorightcorrespondtothemultiplicationoperation.The!2ntermsarecomplex.2n/throots
ofunity.
onwhetherwecanconvertapolynomialquicklyfromcoefficientformtopoint
valueform(evaluate)andviceversa(interpolate).
Wecanuseanypointswewantasevaluationpoints,butbychoosingtheeval
uationpointscarefully,wecanconvertbetweenrepresentationsinonly.nlgn/
hora.AsweshallseeinSection30.2,ifwechoosecomplexrootsofunityas
theevaluationpoints,wecanproduceapointvaluerepresentationbytakingthe
discreteFouriertransform(orDFT)ofacoefficientvector.Wecanperformthe
inverseoperation,interpolation,bytakingtheinverseDFTofpointvaluepairs,
yieldingacoefficientvector.Section30.2willshowhowtheFFTaccomplishes
theDFTandinverseDFToperationsin.nlgn/time.
Figure30.1showsthisstrategygraphically.Oneminordetailconcernsdegree
bounds.Theproductoftwopolynomialsofdegreeboundnisapolynomialof
degreebound2n.BeforeevaluatingtheinputpolynomialsAandB,therefore,
wefirstdoubletheirdegreeboundsto2nbyaddingnhighordercoefficientsof0.
Becausethevectorshave2nelements,weusecomplex.2n/throotsofunity,
whicharedenotedbythe!2ntermsinFigure30.1.
GiventheFFT,wehavethefollowing.nlgn/timeprocedureformultiplying
twopolynomialsAx/andBx/ofdegreeboundn,wheretheinputandoutput
representationsareincoefficientform.Weassumethatnisapowerof2wecan
alwaysmeetthisrequirementbyaddinghighorderzerocoefficients.
1.Doubledegreebound:CreatecoefficientrepresentationsofAx/andBx/as
degreebound2npolynomialsbyaddingnhighorderzerocoefficientstoeach.
Pgina26
2.Evaluate:ComputepointvaluerepresentationsofAx/andBx/oflength2n
byapplyingtheFFToforder2noneachpolynomial.Theserepresentations
containthevaluesofthetwopolynomialsatthe.2n/throotsofunity.
3.Pointwisemultiply:Computeapointvaluerepresentationforthepolynomial
Cx/DAx/Bx/bymultiplyingthesevaluestogetherpointwise.Thisrepre
sentationcontainsthevalueofCx/ateach.2n/throotofunity.
4.Interpolate:CreatethecoefficientrepresentationofthepolynomialCx/by
applyingtheFFTon2npointvaluepairstocomputetheinverseDFT.
Steps(1)and(3)taketime.n/,andsteps(2)and(4)taketime.nlgn/.As,
onceweshowhowtousetheFFT,wewillhaveproventhefollowing.
Theorem30.2
Wecanmultiplytwopolynomialsofdegreeboundnintime.nlgn/,withboth
theinputandoutputrepresentationsincoefficientform.
Exercises
30.11
MultiplythepolynomialsAx/D7x3 x2Cx10andBx/D8x3 6xC3
usingequations(30.1)and(30.2).
30.12
AnotherwaytoevaluateapolynomialAx/ofdegreeboundnatagivenpointx0
istodivideAx/bythepolynomial.xx0/,obtainingaquotientpolynomialqx/
ofdegreeboundn1andaremainderr,suchthat
Ax/Dqx/.xx0/Cr:
Clearly,Ax0/Dr.Showhowtocomputetheremainderrandthecoefficients
ofqx/intime.n/fromx0andthecoefficientsofA.
30.13 Pn1
DeriveapointvaluerepresentationforA
Pn1 rev.x/D
jD0an1jxjfromapoint
valuerepresentationforAx/D jD0ajxj,assumingthatnoneofthepointsis0.
30.14
Provethatndistinctpointvaluepairsarenecessarytouniquelyspecifyapolyno
mialofdegreeboundn,thatis,iffewerthanndistinctpointvaluepairsaregiven,
theyfailtospecifyauniquepolynomialofdegreeboundn.(Hint:UsingTheo
rem30.1,whatcanyousayaboutasetofn1pointvaluepairstowhichyouadd
onemorearbitrarilychosenpointvaluepair?)
Pgina27
30.15
Showhowtouseequation(30.5)tointerpolateintime.n
Q 2/.(Hint:Firstcompute
thecoefficientrepresentationofthepolynomial xj/andthendivideby
j.x
.xxk/asnecessaryforthenumeratorofeachtermseeExercise30.12.Ustedpuede
computeeachofthendenominatorsintimeOn/.)
30.16
Explainwhatiswrongwiththeobviousapproachtopolynomialdivisionusing
apointvaluerepresentation,ie,dividingthecorrespondingyvalues.Discutir
separatelythecaseinwhichthedivisioncomesoutexactlyandthecaseinwhich
itdoesn't.
30.17
ConsidertwosetsAandB,eachhavingnintegersintherangefrom0to10n.Nosotros
wishtocomputetheCartesiansumofAandB,definedby
CDfxCyWx2Aandy2Bg:
NotethattheintegersinCareintherangefrom0to20n.Wewanttofindthe
elementsofCandthenumberoftimeseachelementofCisrealizedasasumof
elementsinAandB.ShowhowtosolvetheprobleminO.nlgn/time.(Hint:
RepresentAandBaspolynomialsofdegreeatmost10n.)
30.2TheDFTandFFT
InSection30.1,weclaimedthatifweusecomplexrootsofunity,wecanevaluate
andinterpolatepolynomialsin.nlgn/time.Inthissection,wedefinecomplex
rootsofunityandstudytheirproperties,definetheDFT,andthenshowhowthe
FFTcomputestheDFTanditsinversein.nlgn/time.
Complexrootsofunity
Acomplexnthrootofunityisacomplexnumber!Talque
!nD1:
Thereareexactlyncomplexnthrootsofunity:e2ik=nforkD01:::n1.
Tointerpretthisformula,weusethedefinitionoftheexponentialofacomplex
nmero:
eiuDcos.u/Cisin.u/:
Figure30.2showsthatthencomplexrootsofunityareequallyspacedaroundthe
circleofunitradiuscenteredattheoriginofthecomplexplane.Elvalor
Pgina28
30.2TheDFTandFFT 907
yo !8 2
!8
3 !8 1
!8
4 !8D!88
0
1 1
!8
5 !8 7
yo !8 6
Figure30.2Thevaluesof!
8!01
8:::!7 8inthecomplexplane,where!8De2i=8istheprin
cipal8throotofunity.
!nDe2i=n (30.6)
istheprincipalnthrootofunity2allothercomplexnthrootsofunityarepowers
of!n.
Thencomplexnthrootsofunity,
!0
n!1n:::!N1norte
formagroupundermultiplication(seeSection31.3).Thisgrouphasthesame
structureastheadditivegroup.ZnC/modulon,since!norte
nD!0nD1impliesthat
!J D!.jCk/modn .Similarly,!1 D!N1 .Thefollowinglemmas
n!K
nD!jCk norte norte norte norte
furnishsomeessentialpropertiesofthecomplexnthrootsofunity.
Lemma30.3(Cancellationlemma)
Foranyintegersn 0,k 0,andd>0,
!Dk
dnD!Kn: (30.7)
ProofThelemmafollowsdirectlyfromequation(30.6),since
!Dk re e2i=dndk
Dn
re e2i=nk
D!K
n:
2Manyotherauthorsdefine!ndifferently:!nDe2i=n.Thisalternativedefinitiontendstobe
usedforsignalprocessingapplications.Theunderlyingmathematicsissubstantiallythesamewith
eitherdefinitionof!n.
Pgina29
Corollary30.4
Foranyevenintegern>0,
!n=2 D!2D1:
norte
ProofTheproofisleftasExercise30.21.
Lemma30.5(Halvinglemma)
Ifn>0iseven,thenthesquaresofthencomplexnthrootsofunityarethen=2
complex.n=2/throotsofunity.
ProofBythecancellationlemma,wehave.!K n/2D!Kn=2,foranynonnegative
integerk.Notethatifwesquareallofthecomplexnthrootsofunity,thenwe
obtaineach.n=2/throotofunityexactlytwice,since
.!kCn=2
norte /2 D!2kCnnorte
D!2k
n!norte
norte
D!2k norte
D.!K
n/2:
Thus,!Knand!kCn=2
norte havethesamesquare.WecouldalsohaveusedCorol
lary30.4toprovethisproperty,since!n=2 norteD1implies!kCn=2 norte D!K n,and
thus.!kCn=2 /2D.!K
norte n/2.
Asweshallsee,thehalvinglemmaisessentialtoourdivideandconquerap
proachforconvertingbetweencoefficientandpointvaluerepresentationsofpoly
nomials,sinceitguaranteesthattherecursivesubproblemsareonlyhalfaslarge.
Lemma30.6(Summationlemma)
Foranyintegern 1andnonzerointegerknotdivisiblebyn,
xN1
J D0:
!Knorte
jD0
ProofEquation(A.5)appliestocomplexvaluesaswellastoreals,andsowe
tener
Pgina30
xN1
.!K 1
!K J re n/n
norte !K 1
jD0 norte
.!norte 1
re n/k
!Knorte1
.1/k 1
re
!K 1
norte
D0:
Becausewerequirethatkisnotdivisiblebyn,andbecause!K
nD1onlywhenk
isdivisiblebyn,weensurethatthedenominatorisnot0.
TheDFT
Recallthatwewishtoevaluateapolynomial
xN1
Ax/D ajxj
jD0
ofdegreeboundnat!0 n!1n!2n:::!N1norte(thatis,atthencomplexnthrootsof
unity).3WeassumethatAisgivenincoefficientform:aD.a0a1:::an1/.Dejar
usdefinetheresultsyk,forkD01:::n1,by
yk DA.!K n/
xN1
re aj!n
Kj
:
(30.8)
jD0
ThevectoryD.y0y1:::yn1/isthediscreteFouriertransform(DFT)ofthe
coefficientvectoraD.a0a1:::an1/.WealsowriteyDDFTn.a/.
TheFFT
ByusingamethodknownasthefastFouriertransform(FFT),whichtakesad
vantageofthespecialpropertiesofthecomplexrootsofunity,wecancompute
DFTn.a/intime.nlgn/,asopposedtothe.n2/timeofthestraightforward
Mtodo.Weassumethroughoutthatnisanexactpowerof2.Althoughstrategies
3Thelengthnisactuallywhatwereferredtoas2ninSection30.1,sincewedoublethedegreebound
weareactuallyworkingwithcomplex.2n/throotsofunity.
ofthegivenpolynomialspriortoevaluation.Inthecontextofpolynomialmultiplication,therefore,
Pgina31
fordealingwithnonpowerof2sizesareknown,theyarebeyondthescopeofthis
libro.
TheFFTmethodemploysadivideandconquerstrategy,usingtheevenindexed
andoddindexedcoefficientsofAx/separatelytodefinethetwonewpolynomials
A0.x/andA1.x/ofdegreeboundn=2:
A0.x/Da0Ca2xCa4x2CCan2xn=21
A1.x/Da1Ca3xCa5x2CCan1xn=21:
NotethatA0containsalltheevenindexedcoefficientsofA(thebinaryrepresen
tationoftheindexendsin0)andA1containsalltheoddindexedcoefficients(the
binaryrepresentationoftheindexendsin1).Resultaque
Ax/DA0.x2/CxA1.x2/ (30,9)
sothattheproblemofevaluatingAx/at!0 n!1n:::!N1nortereducesto
1.evaluatingthedegreeboundn=2polynomialsA0.x/andA1.x/atthepoints
.!0 /2 (30.10)
n/2.!n1/2:::.!N1
norte
yentonces
2.combiningtheresultsaccordingtoequation(30.9).
Bythehalvinglemma,thelistofvalues(30.10)consistsnotofndistinctval
uesbutonlyofthen=2complex.n=2/throotsofunity,witheachrootoccurring
exactlytwice.Therefore,werecursivelyevaluatethepolynomialsA0andA1
ofdegreeboundn=2atthen=2complex.n=2/throotsofunity.Thesesubprob
lemshaveexactlythesameformastheoriginalproblem,butarehalfthesize.
WehavenowsuccessfullydividedannelementDFTncomputationintotwon=2
elementDFTn=2computations.Thisdecompositionisthebasisforthefollow
ingrecursiveFFTalgorithm,whichcomputestheDFTofannelementvector
aD.a0a1:::an1/,wherenisapowerof2.
Pgina32
RECURSIVEFFT.a/
1nDa:length //nisapowerof2
2ifn==1
3 returna
4!nDe2i=n
5!D1
6a0D.a0a2:::an2/
7a1D.a1a3:::an1/
8y0DRECURSIVEFFT.a0/
9y1DRECURSIVEFFT.a1/
10forkD0ton=21
11 ykDy K 0C!Y K
1
12 ykC.n=2/Dy 0 !Y 1
K K
13 !D!!norte
14returny //yisassumedtobeacolumnvector
TheRECURSIVEFFTprocedureworksasfollows.Lines23representthebasis
oftherecursiontheDFTofoneelementistheelementitself,sinceinthiscase
y0 Da0!0
1
Da01
Da0:
Lines67definethecoefficientvectorsforthepolynomialsA0andA1.Lneas
4,5,and13guaranteethat!isupdatedproperlysothatwheneverlines1112
areexecuted,wehave!D!K
n.(Keepingarunningvalueof!fromiteration
toiterationsavestimeovercomputing!K nfromscratcheachtimethroughthefor
loop.)Lines89performtherecursiveDFTn=2computations,setting,forkD
01:::n=21,
Y0 DA0.!K
K n=2/
Y1 DA1.!K
K n=2/
or,since!K bythecancellationlemma,
norte
n=2D!2k
Y0 DA0.!2k
K n/
Y1 DA1.!2k
K n/:
Pgina33
Lines1112combinetheresultsoftherecursiveDFTn=2calculations.Fory0y1
:::yn=21,line11yields
yk Dy 0C!K 1
K nyK
DA0.!2k
n/C!KnA1n
.!2k
/
DA.!K n/ (byequation(30.9)).
Foryn=2yn=2C1:::yn1,lettingkD01:::n=21,line12yields
ykC.n=2/ Dy 0 !K 1
K nyK
Dy 0C!kC.n=2/
norte YK
1
norte D!K n)
(since!kC.n=2/
K
DA0.!2k A1.!2k
n/C!kC.n=2/
norte n/
DA0.!2kCn /C!kC.n=2/ A1.!2kCn /(since!2kCn D!2k
norte norte norte norte n)
DA.!kC.n=2/ / (byequation(30.9)).
norte
Thus,thevectoryreturnedbyRECURSIVEFFTisindeedtheDFToftheinput
vectora.
Lines11and12multiplyeachvaluey 1 K by!Kn,forkD01:::n=2
1.
Line11addsthisproducttoy 0
k,andline12subtractsit.Becauseweuseeach
factor!Kninbothitspositiveandnegativeforms,wecallthefactors!K ntwiddle
factors.
TodeterminetherunningtimeofprocedureRECURSIVEFFT,wenotethat
exclusiveoftherecursivecalls,eachinvocationtakestime.n/,wherenisthe
lengthoftheinputvector.Therecurrencefortherunningtimeistherefore
T.n/D2T.n=2/C.n/
D.nlgn/:
Thus,wecanevaluateapolynomialofdegreeboundnatthecomplexnthrootsof
unityintime.nlgn/usingthefastFouriertransform.
Interpolationatthecomplexrootsofunity
Wenowcompletethepolynomialmultiplicationschemebyshowinghowtoin
terpolatethecomplexrootsofunitybyapolynomial,whichenablesustoconvert
frompointvalueformbacktocoefficientform.WeinterpolatebywritingtheDFT
asamatrixequationandthenlookingattheformofthematrixinverse.
Fromequation(30.4),wecanwritetheDFTasthematrixproductyDVna,
whereVnisaVandermondematrixcontainingtheappropriatepowersof!n:
Pgina34
y0 1 1 1 1 1 a0
y1 1!norte !2norte !3norte !N1
norte un1
y2 1!2 !4 !6 !2.n1/ un2
re norte norte norte norte :
y3 1!3 !6 !9 !3.n1/ a3
norte norte norte norte
yn1 1!N1 !2.n1/ !3.n1/ !.n1/.n1/ an1
norte norte norte norte
The.kj/entryofVnis!Kj n,forjkD01:::norte 1.Theexponentsofthe
entriesofVnformamultiplicationtable.
Fortheinverseoperation,whichwewriteasaDDFT1
n.y/,weproceedby
multiplyingybythematrixV1 ,theinverseofVn.
norte
Theorem30.7
ForjkD01:::n1,the.jk/entryofV1 =n.
is!Kjnorte
norte
ProofWeshowthatV1 VnDIn,thennidentitymatrix.Considerthe.jj0/
norte
entryofV1
nVn:
xN1
V1 re .!Kj =n/.!kj0
nVnjj 0 norte n/
kD0
xN1
re !kj j/ =n:
norte
0
kD0
Thissummationequals1ifj0Dj,anditis0otherwisebythesummationlemma
(Lemma30.6).Notethatwerelyon.n1/j0 jn1,sothatj0 jis
notdivisiblebyn,inorderforthesummationlemmatoapply.
GiventheinversematrixVnorte
1 ,wehavethatDFT1
n.y/isgivenby
xN1
1
ajD yk!norte
Kj (30.11)
norte
kD0
forjD01:::n1.Bycomparingequations(30.8)and(30.11),weseethat
bymodifyingtheFFTalgorithmtoswitchtherolesofaandy,replace!nby!1 n,
anddivideeachelementoftheresultbyn,wecomputetheinverseDFT(seeEx
ercise30.24).Thus,wecancomputeDFT1norte in.nlgn/timeaswell.
Weseethat,byusingtheFFTandtheinverseFFT,wecantransformapoly
nomialofdegreeboundnbackandforthbetweenitscoefficientrepresentation
andapointvaluerepresentationintime.nlgn/.Inthecontextofpolynomial
multiplication,wehaveshownthefollowing.
Pgina35
Theorem30.8(Convolutiontheorem)
Foranytwovectorsaandboflengthn,wherenisapowerof2,
abDDFT1
2n.DFT2n.a/DFT2n.b//
wherethevectorsaandbarepaddedwith0stolength2nanddenotesthecom
ponentwiseproductoftwo2nelementvectors.
Exercises
30.21
ProveCorollary30.4.
30.22
ComputetheDFTofthevector.0123/.
30.23
DoExercise30.11byusingthe.nlgn/timescheme.
30.24
WritepseudocodetocomputeDFT1 in.nlgn/time.
norte
30.25
DescribethegeneralizationoftheFFTproceduretothecaseinwhichnisapower
of3.Givearecurrencefortherunningtime,andsolvetherecurrence.
30.26?
SupposethatinsteadofperformingannelementFFToverthefieldofcomplex
numbers(whereniseven),weusetheringZmofintegersmodulom,where
mD2tn=2C1andtisanarbitrarypositiveinteger.Use!D2tinsteadof!norte
asaprincipalnthrootofunity,modulom.ProvethattheDFTandtheinverseDFT
arewelldefinedinthissystem.
30.27
Givenalistofvalues01:::n1(possiblywithrepetitions),showhowtofind
thecoefficientsofapolynomialPx/ofdegreeboundnC1thathaszerosonly
at01:::n1(possiblywithrepetitions).Yourprocedureshouldrunintime
O.nlg2n/.(Hint:ThepolynomialPx/hasazeroatjifandonlyifPx/isa
multipleof.xj/.)
30.28?
ThechirptransformofavectoraD.a
Pn1 0a1:::an1/isthevectoryD
.y0y1:::yn1/,whereykD
jD0ajkjandisanycomplexnumber. los
Pgina36
30.3EfficientFFTimplementations 915
DFTisthereforeaspecialcaseofthechirptransform,obtainedbytakingD!n.
ShowhowtoevaluatethechirptransformintimeO.nlgn/foranycomplexnum
ber.(Hint:Usetheequation
xN1 UN UN
ykDk =2
2 ajj =2 .kj/ =2
2 2
jD0
toviewthechirptransformasaconvolution.)
30.3EfficientFFTimplementations
SincethepracticalapplicationsoftheDFT,suchassignalprocessing,demandthe
utmostspeed,thissectionexaminestwoefficientFFTimplementations.First,we
shallexamineaniterativeversionoftheFFTalgorithmthatrunsin.nlgn/time
butcanhavealowerconstanthiddeninthenotationthantherecursiveversion
inSection30.2.(Dependingontheexactimplementation,therecursiveversion
mayusethehardwarecachemoreefficiently.)Then,weshallusetheinsightsthat
ledustotheiterativeimplementationtodesignanefficientparallelFFTcircuit.
AniterativeFFTimplementation
Wefirstnotethattheforloopoflines1013ofRECURSIVEFFTinvolvescom
1dosveces.Incompilerterminology,wecallsuchavaluea
putingthevalue!K ny K
commonsubexpression.Wecanchangethelooptocomputeitonlyonce,storing
itinatemporaryvariablet.
forkD0ton=21
tD!Y 1
K
ykDy 0Ct
K
ykC.n=2/Dy 0 T
K
!D!!norte
Theoperationinthisloop,multiplyingthetwiddlefactor!D!K 1
nbyy k,storing
theproductintot,andaddingandsubtractingtfromy 0
k,isknownasabutterfly
operationandisshownschematicallyinFigure30.3.
WenowshowhowtomaketheFFTalgorithmiterativeratherthanrecursive
instructure.InFigure30.4,wehavearrangedtheinputvectorstotherecursive
callsinaninvocationofRECURSIVEFFTinatreestructure,wheretheinitial
callisfornD8.Thetreehasonenodeforeachcalloftheprocedure,labeled
Pgina37
yK
0 + yK C!nyK1
0 K yK0 yK C!nyK
0 K
1
!norte
K !norte
K
yK
1 yK0 !nyK
K
1 yK1 yK0 !nyK
K
1
(un) (segundo)
Figure30.3Abutterflyoperation.(a)Thetwoinputvaluesenterfromtheleft,thetwiddlefac
tor!n 1
K
ismultipliedbyy K ,andthesumanddifferenceareoutputontheright.(b)Asimplified
drawingofabutterflyoperation.WewillusethisrepresentationinaparallelFFTcircuit.
(a0 ,a1 ,a2 ,a3 ,a4 ,a5 ,a6 ,a7 )
(a0 ,a2 ,a4 ,a6 ) (a1 ,a3 ,a5 ,a7 )
(a0 ,a4 ) (a2 ,a6 ) (a1 ,a5 ) (a3 ,a7 )
(a0 ) (a4 ) (a2 ) (a6 ) (a1 ) (a5 ) (a3 ) (a7 )
Figure30.4ThetreeofinputvectorstotherecursivecallsoftheRECURSIVEFFTprocedure.El
initialinvocationisfornD8.
bythecorrespondinginputvector.EachRECURSIVEFFTinvocationmakestwo
recursivecalls,unlessithasreceiveda1elementvector.Thefirstcallappearsin
theleftchild,andthesecondcallappearsintherightchild.
Lookingatthetree,weobservethatifwecouldarrangetheelementsofthe
initialvectoraintotheorderinwhichtheyappearintheleaves,wecouldtrace
theexecutionoftheRECURSIVEFFTprocedure,butbottomupinsteadoftop
abajo.First,wetaketheelementsinpairs,computetheDFTofeachpairusing
onebutterflyoperation,andreplacethepairwithitsDFT.Thevectorthenholds
n=22elementDFTs.Next,wetakethesen=2DFTsinpairsandcomputethe
DFTofthefourvectorelementstheycomefrombyexecutingtwobutterflyoper
ations,replacingtwo2elementDFTswithone4elementDFT.Thevectorthen
holdsn=44elementDFTs.Wecontinueinthismanneruntilthevectorholdstwo
.n=2/elementDFTs,whichwecombineusingn=2butterflyoperationsintothe
finalnelementDFT.
Toturnthisbottomupapproachintocode,weuseanarrayA0::n 1that
initiallyholdstheelementsoftheinputvectoraintheorderinwhichtheyappear
Pgina38
intheleavesofthetreeofFigure30.4.(Weshallshowlaterhowtodeterminethis
order,whichisknownasabitreversalpermutation.)Becausewehavetocombine
DFTsoneachlevelofthetree,weintroduceavariablestocountthelevels,ranging
from1(atthebottom,whenwearecombiningpairstoform2elementDFTs)
tolgn(atthetop,whenwearecombiningtwo.n=2/elementDFTstoproducethe
finalresult).Thealgorithmthereforehasthefollowingstructure:
1forsD1tolgn
2 forkD0ton1by2s
3 combinethetwo2s1elementDFTsin
Ak::kC2s1 1andAkC2s1::kC2s 1
intoone2selementDFTinAk::kC2s 1
Wecanexpressthebodyoftheloop(line3)asmoreprecisepseudocode.Nosotros
copytheforloopfromtheRECURSIVEFFTprocedure,identifyingy0with
Ak::kC2s1 1andy1withAkC2s1::kC2s 1.Thetwiddlefac
torusedineachbutterflyoperationdependsonthevalueofsitisapowerof!m,
wheremD2s.(Weintroducethevariablemsolelyforthesakeofreadability.)
Weintroduceanothertemporaryvariableuthatallowsustoperformthebutterfly
operationinplace.Whenwereplaceline3oftheoverallstructurebytheloop
body,wegetthefollowingpseudocode,whichformsthebasisoftheparallelim
plementationweshallpresentlater.Thecodefirstcallstheauxiliaryprocedure
BITREVERSECOPY.aA/tocopyvectoraintoarrayAintheinitialorderin
whichweneedthevalues.
ITERATIVEFFT.a/
1BITREVERSECOPY.aUN/
2nDa:length //nisapowerof2
3forsD1tolgn
4 mD2s
5 !mDe2i=m
6 forkD0ton1bym
7 !D1
8 forjD0tom=21
9 tD!AkCjCm=2
10 uDAkCj
11 AkCjDuCt
12 AkCjCm=2Dut
13 !D!!metro
14returnA
HowdoesBITREVERSECOPYgettheelementsoftheinputvectoraintothe
desiredorderinthearrayA?TheorderinwhichtheleavesappearinFigure30.4
Pgina39
isabitreversalpermutation.Thatis,ifweletrev.k/bethelgnbitinteger
formedbyreversingthebitsofthebinaryrepresentationofk,thenwewantto
placevectorelementakinarraypositionArev.k/.InFigure30.4,forexam
ple,theleavesappearintheorder04261537thissequenceinbinaryis
000100010110001101011111,andwhenwereversethebitsofeachvalue
wegetthesequence000001010011100101110111.Toseethatwewanta
bitreversalpermutationingeneral,wenotethatatthetoplevelofthetree,indices
whoseloworderbitis0gointotheleftsubtreeandindiceswhoseloworderbit
is1gointotherightsubtree.Strippingofftheloworderbitateachlevel,wecon
tinuethisprocessdownthetree,untilwegettheordergivenbythebitreversal
permutationattheleaves.
Sincewecaneasilycomputethefunctionrev.k/,theBITREVERSECOPYpro
cedureissimple:
BITREVERSECOPY.aUN/
1nDa:length
2forkD0ton1
3 Arev.k/Dak
TheiterativeFFTimplementationrunsintime.nlgn/.ThecalltoB
REVERSE IT
COPY.aA/certainlyrunsinO.nlgn/time,sinceweiteratentimes
andcanreverseanintegerbetween0andn 1,withlgnbits,inO.lgn/time.
(Inpractice,becauseweusuallyknowtheinitialvalueofninadvance,wewould
probablycodeatablemappingktorev.k/,makingBITREVERSECOPYrunin
.n/timewithalowhiddenconstant.Alternatively,wecouldusethecleveramor
tizedreversebinarycounterschemedescribedinProblem171.)Tocompletethe
proofthatITERATIVEFFTrunsintime.nlgn/,weshowthatLn/,thenumber
oftimesthebodyoftheinnermostloop(lines813)executes,is.nlgn/.los
forloopoflines613iteratesn=mDn=2stimesforeachvalueofs,andthe
innermostloopoflines813iteratesm=2D2s1times.Thus,
xlgn
norte
Ln/D 2s1
2s
Sd1
xlgn norte
re
2
Sd1
D.nlgn/:
Pgina40
a 0 y 0
!2
0
un 1 y 1
!4
0
un 2 y 2
!2
0 !4
1
a 3 y 3
!8
0
a 4 y 4
!2
0 !8
1
5
y 5
!4
0 !8
2
un 6 y 6
!2
0 !4
1 !8
3
a 7 y 7
stagesD1 stagesD2 stagesD3
Figure30.5AcircuitthatcomputestheFFTinparallel,hereshownonnD8inputs.Cada
butterflyoperationtakesasinputthevaluesontwowires,alongwithatwiddlefactor,anditproduces
asoutputsthevaluesontwowires.Thestagesofbutterfliesarelabeledtocorrespondtoiterations
oftheoutermostloopoftheITERATIVEFFTprocedure.Onlythetopandbottomwirespassing
throughabutterflyinteractwithitwiresthatpassthroughthemiddleofabutterflydonotaffect
thatbutterfly,noraretheirvalueschangedbythatbutterfly.Forexample,thetopbutterflyinstage2
hasnothingtodowithwire1(thewirewhoseoutputislabeledy1)itsinputsandoutputsareonly
onwires0and2(labeledy0andy2,respectively).Thiscircuithasdepth.lgn/andperforms
.nlgn/butterflyoperationsaltogether.
AparallelFFTcircuit
Wecanexploitmanyofthepropertiesthatallowedustoimplementanefficient
iterativeFFTalgorithmtoproduceanefficientparallelalgorithmfortheFFT.Nosotros
willexpresstheparallelFFTalgorithmasacircuit.Figure30.5showsaparallel
FFTcircuit,whichcomputestheFFTonninputs,fornD8.Thecircuitbegins
withabitreversepermutationoftheinputs,followedbylgnstages,eachstage
consistingofn=2butterfliesexecutedinparallel.Thedepthofthecircuitthe
maximumnumberofcomputationalelementsbetweenanyoutputandanyinput
thatcanreachitistherefore.lgn/.
TheleftmostpartoftheparallelFFTcircuitperformsthebitreversepermuta
tion,andtheremaindermimicstheiterativeITERATIVEFFTprocedure.Porque
eachiterationoftheoutermostforloopperformsn=2independentbutterflyopera
tions,thecircuitperformstheminparallel.Thevalueofsineachiterationwithin
Pgina41
ITERATIVEFFTcorrespondstoastageofbutterfliesshowninFigure30.5.por
sD12:::lgn,stagesconsistsofn=2sgroupsofbutterflies(correspondingto
eachvalueofkinITERATIVEFFT),with2s1butterfliespergroup(corresponding
toeachvalueofjinITERATIVEFFT).ThebutterfliesshowninFigure30.5corre
spondtothebutterflyoperationsoftheinnermostloop(lines912ofITERATIVE
FFT).Notealsothatthetwiddlefactorsusedinthebutterfliescorrespondtothose
usedinITERATIVEFFT:instages,weuse!0 ,wheremD2s.
m!1
m:::!m=21
metro
Exercises
30.31
ShowhowITERATIVEFFTcomputestheDFToftheinputvector.02314
579/.
30.32
ShowhowtoimplementanFFTalgorithmwiththebitreversalpermutationoccur
ringattheend,ratherthanatthebeginning,ofthecomputation.(Hint:Consider
theinverseDFT.)
30.33
HowmanytimesdoesITERATIVEFFTcomputetwiddlefactorsineachstage?
RewriteITERATIVEFFTtocomputetwiddlefactorsonly2s1timesinstages.
30.34?
SupposethattheadderswithinthebutterflyoperationsoftheFFTcircuitsome
timesfailinsuchamannerthattheyalwaysproduceazerooutput,independent
oftheirinputs.Supposethatexactlyoneadderhasfailed,butthatyoudon'tknow
whichone.Describehowyoucanidentifythefailedadderbysupplyinginputsto
theoverallFFTcircuitandobservingtheoutputs.Howefficientisyourmethod?
Problemas
301Divideandconquermultiplication
a.ShowhowtomultiplytwolinearpolynomialsaxCbandcxCdusingonly
threemultiplications.(Hint:Oneofthemultiplicationsis.aCb/.cCd/.)
segundo.Givetwodivideandconqueralgorithmsformultiplyingtwopolynomialsof
degreeboundnin.nlg3/time.Thefirstalgorithmshoulddividetheinput
polynomialcoefficientsintoahighhalfandalowhalf,andthesecondalgorithm
shoulddividethemaccordingtowhethertheirindexisoddoreven.
Pgina42
ProblemsforChapter30 921
do.ShowhowtomultiplytwonbitintegersinOnlg3/steps,whereeachstep
operatesonatmostaconstantnumberof1bitvalues.
302Toeplitzmatrices
AToeplitzmatrixisann nmatrixAD.aij/suchthataijDai1j1for
iD23:::nandjD23:::norte.
a.IsthesumoftwoToeplitzmatricesnecessarilyToeplitz?Whatabouttheprod
uct?
segundo.DescribehowtorepresentaToeplitzmatrixsothatyoucanaddtwon norte
ToeplitzmatricesinOn/time.
do.GiveanO.nlgn/timealgorithmformultiplyingannnToeplitzmatrixbya
vectoroflengthn.Useyourrepresentationfrompart(b).
re.GiveanefficientalgorithmformultiplyingtwonnToeplitzmatrices.Analizar
itsrunningtime.
303MultidimensionalfastFouriertransform
Wecangeneralizethe1dimensionaldiscreteFouriertransformdefinedbyequa
tion(30.8)toddimensions.TheinputisaddimensionalarrayAD.aj j :::j / 1 2 d
whosedimensionsaren1n2:::nd,wheren1n2 ndDn.Wedefinethe
ddimensionaldiscreteFouriertransformbytheequation
x 1 n
n x 1
1 2 x 1
n d
yk k :::k re aj j :::j !j k !j k !j k
n n n
1 2 d 1 2 d 1 1 2 2 d d
1 2 d
j D0j D0 j D0
1 2 d
for0k1<n1,0k2<n2,...,0kd<nd.
a.ShowthatwecancomputeaddimensionalDFTbycomputing1dimensional
DFTsoneachdimensioninturn.Thatis,wefirstcomputen=n1separate
1dimensionalDFTsalongdimension1.Then,usingtheresultoftheDFTs
alongdimension1astheinput,wecomputen=n2separate1dimensionalDFTs
alongdimension2.Usingthisresultastheinput,wecomputen=n3separate
1dimensionalDFTsalongdimension3,andsoon,throughdimensiond.
segundo.Showthattheorderingofdimensionsdoesnotmatter,sothatwecancompute
addimensionalDFTbycomputingthe1dimensionalDFTsinanyorderof
theddimensions.
Pgina43
do.Showthatifwecomputeeach1dimensionalDFTbycomputingthefastFour
iertransform,thetotaltimetocomputeaddimensionalDFTisO.nlgn/,
independentofd.
304Evaluatingallderivativesofapolynomialatapoint
"
GivenapolynomialAx/ofdegreeboundn,wedefineitstthderivativeby
Ax/ iftD0
A.t/.x/D re A.t1/.x/if1tn1
dx
0 ift n:
Fromthecoefficientrepresentation.a0a1:::an1/ofAx/andagivenpointx0,
wewishtodetermineA.t/.x0/fortD01:::n1.
a.Givencoefficientsb0b1:::bn1suchthat
xN1
Ax/D bj.xx0/j
jD0
showhowtocomputeA.t/.x0/,fortD01:::n1,inOn/time.
segundo.Explainhowtofindb0b1:::bn1inO.nlgn/time,givenAx0C!K
n/for
kD01:::n1.
do.Provethat
!
xN1 xN1
!Krnorte
Ax0C!K f.j/grj/
n/D r
rD0 jD0
wheref.j/Daj jand
(
xl
gl/D 0=.l/if.n1/l0
0 if1ln1:
re.ExplainhowtoevaluateAx0C!K 1inO.nlgn/
n/forkD01:::norte
hora.ConcludethatwecanevaluateallnontrivialderivativesofAx/atx0in
O.nlgn/time.
Pgina44
305Polynomialevaluationatmultiplepoints
Wehaveseenhowtoevaluateapolynomialofdegreeboundnatasinglepointin
On/timeusingHorner'srule.Wehavealsodiscoveredhowtoevaluatesucha
polynomialatallncomplexrootsofunityinO.nlgn/timeusingtheFFT.Nosotros
shallnowshowhowtoevaluateapolynomialofdegreeboundnatnarbitrary
pointsinO.nlg2n/time.
Todoso,weshallassumethatwecancomputethepolynomialremainderwhen
onesuchpolynomialisdividedbyanotherinO.nlgn/time,aresultthatwestate
withoutproof.Forexample,theremainderof3x3Cx2 3xC1whendividedby
x2CxC2is
.3x3Cx2 3xC1/mod.x2CxC2/D7xC5:
Pn1
GiventhecoefficientrepresentationofapolynomialAx/D
kD0akxkand
npointsx0x1:::xn1,wewishtocomputethenvaluesAx0/Ax1/:::
Qj
Axn1/.For0ijn1,definethepolynomialsPij.x/D
kDi.xxk/
andQij.x/DAx/modPij.x/.NotethatQij.x/hasdegreeatmostj yo.
a.ProvethatAx/mod.x/DA./foranypoint.
segundo.ProvethatQkk.x/DAxk/andthatQ0n1.x/DAx/.
do.Provethatforikj,wehaveQik.x/DQij.x/modPik.x/and
Qkj.x/DQij.x/modPkj.x/.
re.GiveanO.nlg2n/timealgorithmtoevaluateAx0/Ax1/:::Axn1/.
306FFTusingmodulararithmetic
Asdefined,thediscreteFouriertransformrequiresustocomputewithcomplex
numbers,whichcanresultinalossofprecisionduetoroundofferrors.Paraalgunos
problems,theanswerisknowntocontainonlyintegers,andbyusingavariantof
theFFTbasedonmodulararithmetic,wecanguaranteethattheansweriscalcu
latedexactly.Anexampleofsuchaproblemisthatofmultiplyingtwopolynomials
withintegercoefficients.Exercise30.26givesoneapproach,usingamodulusof
length.n/bitstohandleaDFTonnpoints.Thisproblemgivesanotherap
proach,whichusesamodulusofthemorereasonablelengthO.lgn/itrequires
thatyouunderstandthematerialofChapter31.Letnbeapowerof2.
a.SupposethatwesearchforthesmallestksuchthatpDknC1isprime.Dar
asimpleheuristicargumentwhywemightexpectktobeapproximatelylnn.
(Thevalueofkmightbemuchlargerorsmaller,butwecanreasonablyexpect
toexamineO.lgn/candidatevaluesofkonaverage.)Howdoestheexpected
lengthofpcomparetothelengthofn?
Pgina45
LetgbeageneratorofZp,andletwDgkmodp.
segundo.ArguethattheDFTandtheinverseDFTarewelldefinedinverseoperations
modulop,wherewisusedasaprincipalnthrootofunity.
do.ShowhowtomaketheFFTanditsinverseworkmodulopintimeO.nlgn/,
whereoperationsonwordsofO.lgn/bitstakeunittime.Assumethatthe
algorithmisgivenpandw.
re.ComputetheDFTmodulopD17ofthevector.05377216/.Tengaencuentaque
gD3isageneratorofZ17.
Chapternotes
VanLoan'sbook[343]providesanoutstandingtreatmentofthefastFouriertrans
formar.Press,Teukolsky,Vetterling,andFlannery[283,284]haveagooddescrip
tionofthefastFouriertransformanditsapplications.Foranexcellentintroduction
tosignalprocessing,apopularFFTapplicationarea,seethetextsbyOppenheim
andSchafer[266]andOppenheimandWillsky[267].TheOppenheimandSchafer
bookalsoshowshowtohandlecasesinwhichnisnotanintegerpowerof2.
Fourieranalysisisnotlimitedto1dimensionaldata.Itiswidelyusedinimage
processingtoanalyzedatain2ormoredimensions.ThebooksbyGonzalezand
Woods[146]andPratt[281]discussmultidimensionalFouriertransformsandtheir
useinimageprocessing,andbooksbyTolimieri,An,andLu[338]andVanLoan
[343]discussthemathematicsofmultidimensionalfastFouriertransforms.
CooleyandTukey[76]arewidelycreditedwithdevisingtheFFTinthe1960s.
TheFFThadinfactbeendiscoveredmanytimespreviously,butitsimportancewas
notfullyrealizedbeforetheadventofmoderndigitalcomputers.AlthoughPress,
Teukolsky,Vetterling,andFlanneryattributetheoriginsofthemethodtoRunge
andKnigin1924,anarticlebyHeideman,Johnson,andBurrus[163]tracesthe
historyoftheFFTasfarbackasCFGaussin1805.
FrigoandJohnson[117]developedafastandflexibleimplementationofthe
FFT,calledFFTW(fastestFouriertransformintheWest).FFTWisdesignedfor
situationsrequiringmultipleDFTcomputationsonthesameproblemsize.antesde
actuallycomputingtheDFTs,FFTWexecutesaplanner,which,byaseriesof
trialruns,determineshowbesttodecomposetheFFTcomputationforthegiven
problemsizeonthehostmachine.FFTWadaptstousethehardwarecacheef
ficiently,andoncesubproblemsaresmallenough,FFTWsolvesthemwithopti
mized,straightlinecode.Furthermore,FFTWhastheunusualadvantageoftaking
.nlgn/timeforanyproblemsizen,evenwhennisalargeprime.
Pgina46
NotesforChapter30 925
AlthoughthestandardFouriertransformassumesthattheinputrepresentspoints
thatareuniformlyspacedinthetimedomain,othertechniquescanapproximatethe
FFTonnonequispaceddata.ThearticlebyWare[348]providesanoverview.
Pgina47
31 NumberTheoreticAlgorithms
Numbertheorywasonceviewedasabeautifulbutlargelyuselesssubjectinpure
matemticas.Todaynumbertheoreticalgorithmsareusedwidely,dueinlargepart
totheinventionofcryptographicschemesbasedonlargeprimenumbers.Estas
schemesarefeasiblebecausewecanfindlargeprimeseasily,andtheyaresecure
becausewedonotknowhowtofactortheproductoflargeprimes(orsolverelated
problems,suchascomputingdiscretelogarithms)efficiently.Thischapterpresents
someofthenumbertheoryandrelatedalgorithmsthatunderliesuchapplications.
Section31.1introducesbasicconceptsofnumbertheory,suchasdivisibility,
modularequivalence,anduniquefactorization.Section31.2studiesoneofthe
world'soldestalgorithms:Euclid'salgorithmforcomputingthegreatestcommon
divisoroftwointegers.Section31.3reviewsconceptsofmodulararithmetic.Sec
tion31.4thenstudiesthesetofmultiplesofagivennumbera,modulon,andshows
howtofindallsolutionstotheequationaxb.modn/byusingEuclid'salgo
rithm.TheChineseremaindertheoremispresentedinSection31.5.Section31.6
considerspowersofagivennumbera,modulon,andpresentsarepeatedsquaring
algorithmforefficientlycomputingabmodn,givena,b,andn.Thisoperationis
attheheartofefficientprimalitytestingandofmuchmoderncryptography.Sec
tion31.7thendescribestheRSApublickeycryptosystem.Section31.8examines
arandomizedprimalitytest.Wecanusethistesttofindlargeprimesefficiently,
whichweneedtodoinordertocreatekeysfortheRSAcryptosystem.Finalmente,
Section31.9reviewsasimplebuteffectiveheuristicforfactoringsmallintegers.Eso
isacuriousfactthatfactoringisoneproblempeoplemaywishtobeintractable,
sincethesecurityofRSAdependsonthedifficultyoffactoringlargeintegers.
Sizeofinputsandcostofarithmeticcomputations
Becauseweshallbeworkingwithlargeintegers,weneedtoadjusthowwethink
aboutthesizeofaninputandaboutthecostofelementaryarithmeticoperations.
Inthischapter,alargeinputtypicallymeansaninputcontaininglargein
tegersratherthananinputcontainingmanyintegers(asforsorting).As,
Pgina48
31.1Elementarynumbertheoreticnotions 927
weshallmeasurethesizeofaninputintermsofthenumberofbitsrequiredto
representthatinput,notjustthenumberofintegersintheinput.Analgorithm
withintegerinputsa1a2:::akisapolynomialtimealgorithmifitrunsintime
polynomialinlga1lga2:::lgak,thatis,polynomialinthelengthsofitsbinary
encodedinputs.
Inmostofthisbook,wehavefounditconvenienttothinkoftheelemen
taryarithmeticoperations(multiplications,divisions,orcomputingremainders)
asprimitiveoperationsthattakeoneunitoftime.Bycountingthenumberofsuch
arithmeticoperationsthatanalgorithmperforms,wehaveabasisformakinga
reasonableestimateofthealgorithm'sactualrunningtimeonacomputer.Elemen
taryoperationscanbetimeconsuming,however,whentheirinputsarelarge.Eso
thusbecomesconvenienttomeasurehowmanybitoperationsanumbertheoretic
algorithmrequires.Inthismodel,multiplyingtwobitintegersbytheordinary
methoduses.2/bitoperations.Similarly,wecandivideabitintegerbya
shorterintegerortaketheremainderofabitintegerwhendividedbyashorterin
tegerintime.2/bysimplealgorithms.(SeeExercise31.112.)Fastermethods
areknown.Forexample,asimpledivideandconquermethodformultiplyingtwo
bitintegershasarunningtimeof.lg3/,andthefastestknownmethodhas
arunningtimeof.lglglg/.Forpracticalpurposes,however,the.2/
algorithmisoftenbest,andweshallusethisboundasabasisforouranalyses.
Weshallgenerallyanalyzealgorithmsinthischapterintermsofboththenumber
ofarithmeticoperationsandthenumberofbitoperationstheyrequire.
31.1Elementarynumbertheoreticnotions
Thissectionprovidesabriefreviewofnotionsfromelementarynumbertheory
concerningthesetZDf:::21012:::gofintegersandthesetND
f012:::gofnaturalnumbers.
Divisibilityanddivisors
Thenotionofoneintegerbeingdivisiblebyanotheriskeytothetheoryofnumbers.
Thenotationdja(readddividesa)meansthataDkdforsomeintegerk.
Everyintegerdivides0.Ifa>0anddja,thenjdjjaj.Ifdja,thenwealso
saythataisamultipleofd.Ifddoesnotdividea,wewriteda.
Ifdjaandd 0,wesaythatdisadivisorofa.Notethatdjaifandonly
ifdja,sothatnogeneralityislostbydefiningthedivisorstobenonnegative,
withtheunderstandingthatthenegativeofanydivisorofaalsodividesa.UN
Pgina49
928 Chapter31NumberTheoreticAlgorithms
divisorofanonzerointegeraisatleast1butnotgreaterthanjaj.Porejemplo,el
divisorsof24are1,2,3,4,6,8,12,and24.
Everypositiveintegeraisdivisiblebythetrivialdivisors1anda.Thenontrivial
divisorsofaarethefactorsofa.Forexample,thefactorsof20are2,4,5,and10.
Primeandcompositenumbers
Anintegera>1whoseonlydivisorsarethetrivialdivisors1andaisaprime
numberor,moresimply,aprime.Primeshavemanyspecialpropertiesandplaya
criticalroleinnumbertheory.Thefirst20primes,inorder,are
235711131719232931374143475359616771:
Exercise31.12asksyoutoprovethatthereareinfinitelymanyprimes.Aninteger
a>1thatisnotprimeisacompositenumberor,moresimply,acomposite.por
example,39iscompositebecause3j39.Wecalltheinteger1aunit,anditis
neitherprimenorcomposite.Similarly,theinteger0andallnegativeintegersare
neitherprimenorcomposite.
Thedivisiontheorem,remainders,andmodularequivalence
Givenanintegern,wecanpartitiontheintegersintothosethataremultiplesofn
andthosethatarenotmultiplesofn.Muchnumbertheoryisbaseduponrefining
thispartitionbyclassifyingthenonmultiplesofnaccordingtotheirremainders
whendividedbyn.Thefollowingtheoremprovidesthebasisforthisrefinement.
Weomittheproof(butsee,forexample,NivenandZuckerman[265]).
Theorem31.1(Divisiontheorem)
Foranyintegeraandanypositiveintegern,thereexistuniqueintegersqandr
suchthat0r<nandaDqnCr.
ThevalueqDba=ncisthequotientofthedivision.ThevaluerDamodn
istheremainder(orresidue)ofthedivision.Wehavethatnjaifandonlyif
amodnD0.
Wecanpartitiontheintegersintonequivalenceclassesaccordingtotheirre
maindersmodulon.Theequivalenceclassmoduloncontaininganintegerais
anDfaCknWk2Zg:
Forexample,37Df:::11431017:::gwecanalsodenotethissetby
47and107.Usingthenotationdefinedonpage54,wecansaythatwriting
a2bnisthesameaswritingab.modn/.Thesetofallsuchequivalence
classesis
Pgina50
ZnDfanW0an1g: (31.1)
Whenyouseethedefinition
ZnDf01:::n1g (31.2)
youshouldreaditasequivalenttoequation(31.1)withtheunderstandingthat0
represents0n,1represents1n,andsooneachclassisrepresentedbyitssmallest
nonnegativeelement.Youshouldkeeptheunderlyingequivalenceclassesinmind,
sinembargo.Forexample,ifwereferto1asamemberofZn,wearereallyreferring
ton1n,since1n1.modn/.
Commondivisorsandgreatestcommondivisors
Ifdisadivisorofaanddisalsoadivisorofb,thendisacommondivisorofa
andb.Forexample,thedivisorsof30are1,2,3,5,6,10,15,and30,andsothe
commondivisorsof24and30are1,2,3,and6.Notethat1isacommondivisor
ofanytwointegers.
Animportantpropertyofcommondivisorsisthat
djaanddjbimpliesdj.aCb/anddj.ab/: (31.3)
Moregenerally,wehavethat
djaanddjbimpliesdj.axCby/ (31.4)
foranyintegersxandy.Also,ifajb,theneitherjajjbjorbD0,which
impliesthat
ajbandbjaimpliesaDb: (31.5)
Thegreatestcommondivisoroftwointegersaandb,notbothzero,isthe
largestofthecommondivisorsofaandbwedenoteitbygcd.ab/.Porejemplo,
gcd.2430/D6,gcd.57/D1,andgcd.09/D9.Ifaandbarebothnonzero,
thengcd.ab/isanintegerbetween1andmin.jajjbj/.Wedefinegcd.00/to
be0thisdefinitionisnecessarytomakestandardpropertiesofthegcdfunction
(suchasequation(31.9)below)universallyvalid.
Thefollowingareelementarypropertiesofthegcdfunction:
gcd.ab/ Dgcd.ba/ (31.6)
gcd.ab/ Dgcd.ab/ (31.7)
gcd.ab/ Dgcd.jajjbj/ (31.8)
gcd.a0/ Djaj (31.9)
gcd.aka/Djaj foranyk2Z: (31.10)
Thefollowingtheoremprovidesanalternativeandusefulcharacterizationof
gcd.ab/.
Pgina51
Theorem31.2
Ifaandbareanyintegers,notbothzero,thengcd.ab/isthesmallestpositive
elementofthesetfaxCbyWxy2Zgoflinearcombinationsofaandb.
ProofLetsbethesmallestpositivesuchlinearcombinationofaandb,andlet
sDaxCbyforsomexy2Z.LetqDba=sc.Equation(3.8)thenimplies
amodsDaqs
Daq.axCby/
Da.1qx/Cb.qy/
andsoamodsisalinearcombinationofaandbaswell.But,since0
amods<s,wehavethatamodsD0,becausesisthesmallestpositivesuchlin
earcombination.Therefore,wehavethatsjaand,byanalogousreasoning,sjb.
Thus,sisacommondivisorofaandb,andsogcd.ab/ SEquation(31.4)
impliesthatgcd.ab/js,sincegcd.ab/dividesbothaandbandsisalinear
combinationofaandb.Butgcd.ab/jsands>0implythatgcd.ab/s.
Combininggcd.ab/ sandgcd.ab/syieldsgcd.ab/Ds.Weconclude
thatsisthegreatestcommondivisorofaandb.
Corollary31.3
Foranyintegersaandb,ifdjaanddjb,thendjgcd.ab/.
ProofThiscorollaryfollowsfromequation(31.4),becausegcd.ab/isalinear
combinationofaandbbyTheorem31.2.
Corollary31.4
Forallintegersaandbandanynonnegativeintegern,
gcd.anbn/Dngcd.ab/:
ProofIfnD0,thecorollaryistrivial.Ifn>0,thengcd.anbn/isthesmallest
positiveelementofthesetfanxCbnyWxy2Zg,whichisntimesthesmallest
positiveelementofthesetfaxCbyWxy2Zg.
Corollary31.5
Forallpositiveintegersn,a,andb,ifnjabandgcd.an/D1,thennjb.
ProofWeleavetheproofasExercise31.15.
Pgina52
Relativelyprimeintegers
Twointegersaandbarerelativelyprimeiftheironlycommondivisoris1,that
is,ifgcd.ab/D1.Forexample,8and15arerelativelyprime,sincethedivisors
of8are1,2,4,and8,andthedivisorsof15are1,3,5,and15.Thefollowing
theoremstatesthatiftwointegersareeachrelativelyprimetoanintegerp,then
theirproductisrelativelyprimetop.
Theorem31.6
Foranyintegersa,b,andp,ifbothgcd.ap/D1andgcd.bp/D1,then
gcd.abp/D1.
ProofItfollowsfromTheorem31.2thatthereexistintegersx,y,x0,andy0such
ese
axCpy
bx0Cpy0 D1
D1:
Multiplyingtheseequationsandrearranging,wehave
ab.xx0/Cp.ybx0Cy0axCpyy0/D1:
Since1isthusapositivelinearcombinationofabandp,anappealtoTheo
rem31.2completestheproof.
Integersn1,n2,...,nkarepairwiserelativelyprimeif,wheneverij,we
havegcd.ninj/D1.
Uniquefactorization
Anelementarybutimportantfactaboutdivisibilitybyprimesisthefollowing.
Theorem31.7
Forallprimespandallintegersaandb,ifpjab,thenpjaorpjb(orboth).
ProofAssumeforthepurposeofcontradictionthatpjab,butthatpaand
pb.Thus,gcd.ap/D1andgcd.bp/D1,sincetheonlydivisorsofpare1
andp,andweassumethatpdividesneitheranorb.Theorem31.6thenimplies
thatgcd.abp/D1,contradictingourassumptionthatpjab,sincepjab
impliesgcd.abp/Dp.Thiscontradictioncompletestheproof.
AconsequenceofTheorem31.7isthatwecanuniquelyfactoranycomposite
integerintoaproductofprimes.
Pgina53
Theorem31.8(Uniquefactorization)
Thereisexactlyonewaytowriteanycompositeintegeraasaproductoftheform
aDp e e
1 2
pe
1p 2 R
r
wherethepiareprime,p1<p2< <pr,andtheeiarepositiveintegers.
Asanexample,thenumber6000isuniquelyfactoredintoprimesas24 353.
Exercises
31.11
Provethatifa>b>0andcDaCb,thencmodaDb.
31.12
Provethatthereareinfinitelymanyprimes.(Hint:Showthatnoneoftheprimes
p1p2:::pkdivide.p1p2 pk/C1.)
31.13
Provethatifajbandbjc,thenajc.
31.14
Provethatifpisprimeand0<k<p,thengcd.kp/D1.
31.15
ProveCorollary31.5.
31.16
Provethatifpisprimeand0<k<p,thenpj pag
.Concludethatforallintegers
K
aandbandallprimesp,
.aCb/papCbp .modp/:
31.17
Provethatifaandbareanypositiveintegerssuchthatajb,then
.xmodb/modaDxmoda
foranyx.Prove,underthesameassumptions,that
xy.modb/impliesxy.moda/
foranyintegersxandy.
Pgina54
31.2Greatestcommondivisor 933
31.18
Foranyintegerk>0,anintegernisakthpowerifthereexistsanintegerasuch
thatakDn.Furthermore,n>1isanontrivialpowerifitisakthpowerfor
someintegerk>1.Showhowtodeterminewhetheragivenbitintegernisa
nontrivialpowerintimepolynomialin.
31.19
Proveequations(31.6)(31.10).
31.110
Showthatthegcdoperatorisassociative.Thatis,provethatforallintegersa,b,
andc,
gcd.agcd.bc//Dgcd.gcd.ab/c/:
31.111?
ProveTheorem31.8.
31.112
Giveefficientalgorithmsfortheoperationsofdividingabitintegerbyashorter
integerandoftakingtheremainderofabitintegerwhendividedbyashorter
integer.Youralgorithmsshouldrunintime.2/.
31.113
Giveanefficientalgorithmtoconvertagivenbit(binary)integertoadecimal
representacin.Arguethatifmultiplicationordivisionofintegerswhoselength
isatmosttakestimeM./,thenwecanconvertbinarytodecimalintime
.M./lg/.(Hint:Useadivideandconquerapproach,obtainingthetopand
bottomhalvesoftheresultwithseparaterecursions.)
31.2Greatestcommondivisor
Inthissection,wedescribeEuclid'salgorithmforefficientlycomputingthegreat
estcommondivisoroftwointegers.Whenweanalyzetherunningtime,weshall
seeasurprisingconnectionwiththeFibonaccinumbers,whichyieldaworstcase
inputforEuclid'salgorithm.
Werestrictourselvesinthissectiontononnegativeintegers.Thisrestrictionis
justifiedbyequation(31.8),whichstatesthatgcd.ab/Dgcd.jajjbj/.
Pgina55
Inprinciple,wecancomputegcd.ab/forpositiveintegersaandbfromthe
primefactorizationsofaandb.Indeed,if
aDp e e
1 2
pR
e (31.11)
1p 2 r
bDp f f
1 2
pf (31.12)
1p 2 R
r
withzeroexponentsbeingusedtomakethesetofprimesp1p2:::prthesame
forbothaandb,then,asExercise31.21asksyoutoshow,
gcd.ab/Dpmin.e
1 f / p2min.e f /
1 1 2 2 pR
min.e f / :
r r (31.13)
AsweshallshowinSection31.9,however,thebestalgorithmstodateforfactoring
donotruninpolynomialtime.Thus,thisapproachtocomputinggreatestcommon
divisorsseemsunlikelytoyieldanefficientalgorithm.
Euclid'salgorithmforcomputinggreatestcommondivisorsreliesonthefollow
ingtheorem.
Theorem31.9(GCDrecursiontheorem)
Foranynonnegativeintegeraandanypositiveintegerb,
gcd.ab/Dgcd.bamodb/:
ProofWeshallshowthatgcd.ab/andgcd.bamodb/divideeachother,so
thatbyequation(31.5)theymustbeequal(sincetheyarebothnonnegative).
Wefirstshowthatgcd.ab/jgcd.bamodb/.IfweletdDgcd.ab/,then
djaanddjb.Byequation(3.8),amodbDa qb,whereqDba=bc.
Sinceamodbisthusalinearcombinationofaandb,equation(31.4)impliesthat
dj.amodb/.Therefore,sincedjbanddj.amodb/,Corollary31.3implies
thatdjgcd.bamodb/or,equivalently,that
gcd.ab/jgcd.bamodb/: (31.14)
Showingthatgcd.bamodb/jgcd.ab/isalmostthesame.Ifwenowlet
dDgcd.bamodb/,thendjbanddj.amodb/.SinceaDqbC.amodb/,
whereqDba=bc,wehavethataisalinearcombinationofband.amodb/.Por
equation(31.4),weconcludethatdja.Sincedjbanddja,wehavethat
djgcd.ab/byCorollary31.3or,equivalently,that
gcd.bamodb/jgcd.ab/: (31.15)
Usingequation(31.5)tocombineequations(31.14)and(31.15)completesthe
prueba.
Pgina56
Euclid'salgorithm
TheElementsofEuclid(circa300B.C.)describesthefollowinggcdalgorithm,
althoughitmaybeofevenearlierorigin.WeexpressEuclid'salgorithmasa
recursiveprogrambaseddirectlyonTheorem31.9.Theinputsaandbarearbitrary
nonnegativeintegers.
EUCLID.ab/
1ifb==0
2 returna
3elsereturnEUCLID.bamodb/
AsanexampleoftherunningofEUCLID,considerthecomputationofgcd.3021/:
EUCLID.3021/DEUCLID.219/
DEUCLID.93
DEUCLID.30/
D3:
ThiscomputationcallsEUCLIDrecursivelythreetimes.
ThecorrectnessofEUCLIDfollowsfromTheorem31.9andthepropertythatif
thealgorithmreturnsainline2,thenbD0,sothatequation(31.9)impliesthat
gcd.ab/Dgcd.a0/Da.Thealgorithmcannotrecurseindefinitely,sincethe
secondargumentstrictlydecreasesineachrecursivecallandisalwaysnonnegative.
Therefore,EUCLIDalwaysterminateswiththecorrectanswer.
TherunningtimeofEuclid'salgorithm
WeanalyzetheworstcaserunningtimeofEUCLIDasafunctionofthesizeof
aandb.Weassumewithnolossofgeneralitythata>b 0.Tojustifythis
assumption,observethatifb>a 0,thenEUCLID.ab/immediatelymakesthe
recursivecallEUCLID.ba/.Thatis,ifthefirstargumentislessthanthesecond
argument,EUCLIDspendsonerecursivecallswappingitsargumentsandthenpro
CeedsSimilarly,ifbDa>0,theprocedureterminatesafteronerecursivecall,
sinceamodbD0.
TheoverallrunningtimeofEUCLIDisproportionaltothenumberofrecursive
callsitmakes.OuranalysismakesuseoftheFibonaccinumbersFk,definedby
therecurrence(3.22).
Lemma31.10
Ifa>b 1andthecallEUCLID.ab/performsk 1recursivecalls,then
un FkC2andb FkC1.
Pgina57
ProofTheproofproceedsbyinductiononk.Forthebasisoftheinduction,let
kD1.Then,b 1DF2,andsincea>b,wemusthavea 2DF3.Desde
b>.amodb/,ineachrecursivecallthefirstargumentisstrictlylargerthanthe
secondtheassumptionthata>bthereforeholdsforeachrecursivecall.
Assumeinductivelythatthelemmaholdsifk1recursivecallsaremadenosotros
shallthenprovethatthelemmaholdsforkrecursivecalls.Sincek>0,wehave
b>0,andEUCLID.ab/callsEUCLID.bamodb/recursively,whichinturn
makesk1recursivecalls.Theinductivehypothesisthenimpliesthatb FkC1
(thusprovingpartofthelemma),andamodb Fk.Tenemos
bC.amodb/DbC.abba=bc/
a
sincea>b>0impliesba=bc1.Thus,
un bC.amodb/
FkC1CFk
DFkC2:
Thefollowingtheoremisanimmediatecorollaryofthislemma.
Theorem31.11(Lam'stheorem)
Foranyintegerk 1,ifa>b 1andb<FkC1,thenthecallEUCLID.ab/
makesfewerthankrecursivecalls.
WecanshowthattheupperboundofTheorem31.11isthebestpossibleby
showingthatthecallEUCLID.FkC1Fk/makesexactlyk 1recursivecalls
whenk 2.Weuseinductiononk.Forthebasecase,kD2,andthecall
EUCLID.F3F2/makesexactlyonerecursivecall,toEUCLID.10/.(Wehaveto
startatkD2,becausewhenkD1wedonothaveF2>F1.)Fortheinduc
tivestep,assumethatEUCLID.FkFk1/makesexactlyk2recursivecalls.por
k>2,wehaveFk>Fk1>0andFkC1DFkCFk1,andsobyExercise31.11,
wehaveFkC1modFkDFk1.Thus,wehave
gcd.FkC1Fk/Dgcd.FkFkC1modFk/
Dgcd.FkFk1/:
Therefore,thecallEUCLID.FkC1Fk/recursesonetimemorethanthecall
EUCLID.FkFk1/,orexactlyk 1times,meetingtheupperboundofTheo
rem31.11. pag pag
SinceFkisapproximatelyk= 5,whereisthegoldenratio.1C 5/=2de
finedbyequation(3.24),thenumberofrecursivecallsinEUCLIDisO.lgb/.(See
Pgina58
un segundo
ba=bc re x Y
99 78 1 3 11 14
78 21 3 3 3 11
21 15 1 3 2 3
15 6 2 3 1 2
6 3 2 3 0 1
3 0 3 1 0
Figure31.1HowEXTENDEDEUCLIDcomputesgcd.9978/.Eachlineshowsonelevelofthe
recursion:thevaluesoftheinputsaandb,thecomputedvalueba=bc,andthevaluesd,x,andy
returned.Thetriple.dxy/returnedbecomesthetriple.d0x0y0/usedatthenexthigherlevel
ofrecursion.ThecallEXTENDEDEUCLID.9978/returns.31114/,sothatgcd.9978/D3D
99.11/C7814.
Exercise31.25foratighterbound.)Therefore,ifwecallEUCLIDontwobit
numbers,thenitperformsO./arithmeticoperationsandO.3/bitoperations
(assumingthatmultiplicationanddivisionofbitnumberstakeO.2/bitoper
ations).Problem312asksyoutoshowanO.2/boundonthenumberofbit
Operaciones.
TheextendedformofEuclid'salgorithm
WenowrewriteEuclid'salgorithmtocomputeadditionalusefulinformation.
Specifically,weextendthealgorithmtocomputetheintegercoefficientsxandy
suchthat
dDgcd.ab/DaxCby: (31.16)
Notethatxandymaybezeroornegative.Weshallfindthesecoefficientsuseful
laterforcomputingmodularmultiplicativeinverses.TheprocedureEXTENDED
EUCLIDtakesasinputapairofnonnegativeintegersandreturnsatripleofthe
form.dxy/thatsatisfiesequation(31.16).
EXTENDEDEUCLID.ab/
1ifb==0
2 return.a10/
3else.d0x0y0/DEXTENDEDEUCLID.bamodb/
4 .dxy/D.d0y0x0 ba=bcy0/
5 return.dxy/
Figure31.1illustrateshowEXTENDEDEUCLIDcomputesgcd.9978/.
TheEXTENDEDEUCLIDprocedureisavariationoftheEUCLIDprocedure.
Line1isequivalenttothetestb==0inline1ofEUCLID.IfbD0,then
Pgina59
EXTENDEDEUCLIDreturnsnotonlydDainline2,butalsothecoefficients
xD1andyD0,sothataDaxCby.Ifb0,EXTENDEDEUCLIDfirst
computes.d0x0y0/suchthatd0Dgcd.bamodb/and
d0Dbx0C.amodb/y0: (31.17)
AsforEUCLID,wehaveinthiscasedDgcd.ab/Dd0Dgcd.bamodb/.
ToobtainxandysuchthatdDaxCby,westartbyrewritingequation(31.17)
usingtheequationdDd0andequation(3.8):
dDbx0C.abba=bc/y0
Day0Cbx0 ba=bcy0/:
Thus,choosingxDy0andyDx0 ba=bcy0satisfiestheequationdDaxCby,
provingthecorrectnessofEXTENDEDEUCLID.
SincethenumberofrecursivecallsmadeinEUCLIDisequaltothenumber
ofrecursivecallsmadeinEXTENDEDEUCLID,therunningtimesofEUCLID
andEXTENDEDEUCLIDarethesame,towithinaconstantfactor.Thatis,for
a>b>0,thenumberofrecursivecallsisO.lgb/.
Exercises
31.21
Provethatequations(31.11)and(31.12)implyequation(31.13).
31.22
Computethevalues.dxy/thatthecallEXTENDEDEUCLID.899493/returns.
31.23
Provethatforallintegersa,k,andn,
gcd.an/Dgcd.aCknn/:
31.24
RewriteEUCLIDinaniterativeformthatusesonlyaconstantamountofmemory
(thatis,storesonlyaconstantnumberofintegervalues).
31.25
Ifa>b 0,showthatthecallEUCLID.ab/makesatmost1Clogbrecursive
Llamadas.Improvethisboundto1Clog.b=gcd.ab//.
31.26
WhatdoesEXTENDEDEUCLID.FkC1Fk/return?Proveyouranswercorrect.
Pgina60
31.3Modulararithmetic 939
31.27
Definethegcdfunctionformorethantwoargumentsbytherecursiveequation
gcd.a0a1:::an/Dgcd.a0gcd.a1a2:::an//.Showthatthegcdfunction
returnsthesameanswerindependentoftheorderinwhichitsargumentsarespeci
FiedAlsoshowhowtofindintegersx0x1:::xnsuchthatgcd.a0a1:::an/D
a0x0Ca1x1CCanxn.Showthatthenumberofdivisionsperformedbyyour
algorithmisOnClg.maxfa0a1:::ang//.
31.28
Definelcm.a1a2:::an/tobetheleastcommonmultipleofthenintegers
a1a2:::an,thatis,thesmallestnonnegativeintegerthatisamultipleofeachai.
Showhowtocomputelcm.a1a2:::an/efficientlyusingthe(twoargument)gcd
operationasasubroutine.
31.29
Provethatn1,n2,n3,andn4arepairwiserelativelyprimeifandonlyif
gcd.n1n2n3n4/Dgcd.n1n3n2n4/D1:
Moregenerally,showthatn1n2:::nkarepairwiserelativelyprimeifandonly
ifasetofdlgkepairsofnumbersderivedfromtheniarerelativelyprime.
31.3Modulararithmetic
Informally,wecanthinkofmodulararithmeticasarithmeticasusualoverthe
integers,exceptthatifweareworkingmodulon,theneveryresultxisreplaced
bytheelementoff01:::n1gthatisequivalenttox,modulon(thatis,xis
replacedbyxmodn).Thisinformalmodelsufficesifwesticktotheoperations
ofaddition,subtraction,andmultiplication.Amoreformalmodelformodular
arithmetic,whichwenowgive,isbestdescribedwithintheframeworkofgroup
teora.
Finitegroups
Agroup.S/isasetStogetherwithabinaryoperationdefinedonSfor
whichthefollowingpropertieshold:
1.Closure:Foralla,b2S,wehaveab2S.
2.Identity:Thereexistsanelemente2S,calledtheidentityofthegroup,such
thateaDaeDaforalla2S.
3.Associativity:Foralla,b,c2S,wehave.ab/cDa.bc/.
Pgina61
4.Inverses:Foreacha2S,thereexistsauniqueelementb2S,calledthe
inverseofa,suchthatabDbaDe.
Asanexample,considerthefamiliargroup.ZC/oftheintegersZunderthe
operationofaddition:0istheidentity,andtheinverseofaisa.Ifagroup.S/
satisfiesthecommutativelawabDbaforallab2S,thenitisanabelian
group.Ifagroup.S/satisfiesjSj<1,thenitisafinitegroup.
Thegroupsdefinedbymodularadditionandmultiplication
Wecanformtwofiniteabeliangroupsbyusingadditionandmultiplicationmod
ulon,wherenisapositiveinteger.Thesegroupsarebasedontheequivalence
classesoftheintegersmodulon,definedinSection31.1.
TodefineagrouponZn,weneedtohavesuitablebinaryoperations,which
weobtainbyredefiningtheordinaryoperationsofadditionandmultiplication.
WecaneasilydefineadditionandmultiplicationoperationsforZn,becausethe
equivalenceclassoftwointegersuniquelydeterminestheequivalenceclassoftheir
sumorproduct.Thatis,ifaa0.modn/andbb0.modn/,then
aCba0Cb0.modn/
Ab a0b0 .modn/:
Thus,wedefineadditionandmultiplicationmodulon,denotedCnandn,by
anCnbn DaCbn (31.18)
annbn Dabn:
(WecandefinesubtractionsimilarlyonZnbyan nbnDabn,butdivi
sionismorecomplicated,asweshallsee.)Thesefactsjustifythecommonand
convenientpracticeofusingthesmallestnonnegativeelementofeachequivalence
classasitsrepresentativewhenperformingcomputationsinZn.Weadd,subtract,
andmultiplyasusualontherepresentatives,butwereplaceeachresultxbythe
representativeofitsclass,thatis,byxmodn.
Usingthisdefinitionofadditionmodulon,wedefinetheadditivegroup
modulonas.ZnCn/.ThesizeoftheadditivegroupmodulonisjZnjDn.
Figure31.2(a)givestheoperationtableforthegroup.Z6C6/.
Theorem31.12
Thesystem.ZnCn/isafiniteabeliangroup.
ProofEquation(31.18)showsthat.ZnCn/isclosed.Associativityandcom
mutativityofCnfollowfromtheassociativityandcommutativityofC:
Pgina62
+6 012345 15 1 2 4 7 8111314
0 012345 1 1 2 4 7 8111314
1 12345 0 2 2 4 8141 71113
2 2345 01 4 4 8 113214711
3 345 012 7 714134112 1 8
4 45 0123 8 8 1 211413147
5 5 01234 11 117142131 8 4
13 13117 1148 4 2
14 1413118 7 4 2 1
(un) (segundo)
Figure31.2Twofinitegroups.Equivalenceclassesaredenotedbytheirrepresentativeelements.
(a)Thegroup.Z6C6/.(b)Thegroup.Z1515/.
.anCnbn/Cncn DaCbnCncn
D.aCb/Ccn
DaC.bCc/n
DanCnbCcn
DanCn.bnCncn/
anCnbn DaCbn
DbCan
DbnCnan:
Theidentityelementof.ZnCn/is0(thatis,0n).The(additive)inverseof
anelementa(thatis,ofan)istheelementa(thatis,anornan),since
anCnanDaanD0n.
Usingthedefinitionofmultiplicationmodulon,wedefinethemultiplicative
groupmodulonas.Znn/.TheelementsofthisgrouparethesetZnofelements
inZnthatarerelativelyprimeton,sothateachonehasauniqueinverse,modulon:
ZnDfan2ZnWgcd.an/D1g:
ToseethatZniswelldefined,notethatfor0a<n,wehavea.aCkn/
.modn/forallintegersk.ByExercise31.23,therefore,gcd.an/D1implies
gcd.aCknn/D1forallintegersk.SinceanDfaCknWk2Zg,thesetZn
iswelldefined.Anexampleofsuchagroupis
Z15Df12478111314g
Pgina63
wherethegroupoperationismultiplicationmodulo15.(Herewedenoteanel
ementa15asaforexample,wedenote715as7.)Figure31.2(b)showsthe
group.Z1515/.Forexample,81113.mod15/,workinginZ15.Theiden
tityforthisgroupis1.
Theorem31.13
Thesystem.Znn/isafiniteabeliangroup.
ProofTheorem31.6impliesthat.Znn/isclosed.Associativityandcommu
tativitycanbeprovedfornastheywereforCnintheproofofTheorem31.12.
Theidentityelementis1n.Toshowtheexistenceofinverses,letabeanelement
ofZnandlet.dxy/bereturnedbyEXTENDEDEUCLID.an/.Then,dD1,
sincea2Zn,and
axCnyD1 (31.19)
or,equivalently,
ax1.modn/:
Thus,xnisamultiplicativeinverseofan,modulon.Furthermore,weclaim
thatxn2Zn.Toseewhy,equation(31.19)demonstratesthatthesmallestpos
itivelinearcombinationofxandnmustbe1.Therefore,Theorem31.2implies
thatgcd.xn/D1.Wedefertheproofthatinversesareuniquelydefineduntil
Corollary31.26.
Asanexampleofcomputingmultiplicativeinverses,supposethataD5and
nD11.ThenEXTENDEDEUCLID.an/returns.dxy/D.121/,sothat
1D5.2/C111.Thus,211(ie,911)isthemultiplicativeinverseof511.
Whenworkingwiththegroups.ZnCn/and.Znn/intheremainderofthis
chapter,wefollowtheconvenientpracticeofdenotingequivalenceclassesbytheir
representativeelementsanddenotingtheoperationsCnandnbytheusualarith
meticnotationsCand(orjuxtaposition,sothatabDab)respectively.Also,
equivalencesmodulonmayalsobeinterpretedasequationsinZn.Porejemplo,
thefollowingtwostatementsareequivalent:
axb.modn/
annxn Dbn:
Asafurtherconvenience,wesometimesrefertoagroup.S/merelyasS
whentheoperationisunderstoodfromcontext.Wemaythusrefertothegroups
.ZnCn/and.Znn/asZnandZn,respectively.
Wedenotethe(multiplicative)inverseofanelementaby.a1modn/.Divisin
inZnisdefinedbytheequationa=bab1.modn/.Forexample,inZ15
Pgina64
wehavethat7113.mod15/,since713D911.mod15/,sothat
4=74137.mod15/.
ThesizeofZnisdenoted.n/.Thisfunction,knownasEuler'sphifunction,
satisfiestheequation
UN UN
Y
1
.n/Dn 1 (31.20)
pag
pWpisprimeandpjn
sothatprunsoveralltheprimesdividingn(includingnitself,ifnisprime).
Weshallnotprovethisformulahere.Intuitively,webeginwithalistofthen
remaindersf01:::n1gandthen,foreachprimepthatdividesn,crossout
everymultipleofpinthelist.Forexample,sincetheprimedivisorsof45are3
and5, UN UN
1 1
.45/D45 1 1
UN3 UN 5
2 4
D45
3 5
D24:
Ifpisprime,thenZpDf12:::p1g,and
UN UN
1
.p/Dp 1
pag
Dp1: (31.21)
Ifniscomposite,then.n/<n1,althoughitcanbeshownthat
norte
.n/> (31.22)
elnlnnC3
lnlnn
forn 3,whereD0:5772156649:::isEuler'sconstant.Asomewhatsimpler
(butlooser)lowerboundforn>5is
norte
.n/> : (31.23)
6lnlnn
Thelowerbound(31.22)isessentiallythebestpossible,since
.n/
liminf De: (31.24)
n!1 n=lnlnn
Subgroups
If.S/isagroup,S0S,and.S0/isalsoagroup,then.S0/isasubgroup
of.S/.Forexample,theevenintegersformasubgroupoftheintegersunderthe
operationofaddition.Thefollowingtheoremprovidesausefultoolforrecognizing
subgroups.
Pgina65
Theorem31.14(Anonemptyclosedsubsetofafinitegroupisasubgroup)
If.S/isafinitegroupandS0isanynonemptysubsetofSsuchthatab2S0
forallab2S0,then.S0/isasubgroupof.S/.
Forexample,thesetf0246gformsasubgroupofZ8,sinceitisnonempty
andclosedundertheoperationC(thatis,itisclosedunderC8).
Thefollowingtheoremprovidesanextremelyusefulconstraintonthesizeofa
subgroupweomittheproof.
Theorem31.15(Lagrange'stheorem)
If.S/isafinitegroupand.S0/isasubgroupof.S/,thenjS0jisadivisor
ofjSj.
AsubgroupS0ofagroupSisapropersubgroupifS0S.Weshallusethe
followingcorollaryinouranalysisinSection31.8oftheMillerRabinprimality
testprocedure.
Corollary31.16
IfS0isapropersubgroupofafinitegroupS,thenjS0jjSj=2.
Subgroupsgeneratedbyanelement
Theorem31.14givesusaneasywaytoproduceasubgroupofafinitegroup.S/:
chooseanelementaandtakeallelementsthatcanbegeneratedfromausingthe
groupoperation.Specifically,definea.k/fork 1by
METRO
K
a.k/D aDaaa :
ID1
K
Forexample,ifwetakeaD2inthegroupZ6,thesequencea.1/a.2/a.3/:::is
240240240::::
InthegroupZn,wehavea.k/Dkamodn,andinthegroupZn,wehavea.k/D
akmodn.Wedefinethesubgroupgeneratedbya,denotedhaior.hai/,by
haiDfa.k/Wk 1g:
Wesaythatageneratesthesubgrouphaiorthataisageneratorofhai.SinceSis
finite,haiisafinitesubsetofS,possiblyincludingallofS.Sincetheassociativity
ofimplies
Pgina66
a.i/a.j/Da.iCj/
haiisclosedandtherefore,byTheorem31.14,haiisasubgroupofS.Forexample,
inZ6,wehave
h0iDf0g
h1iDf012345g
h2iDf024g:
Similarly,inZ7,wehave
h1iDf1g
h2iDf124g
h3iDf123456g:
Theorderofa(inthegroupS),denotedord.a/,isdefinedasthesmallestposi
tiveintegertsuchthata.t/De.
Theorem31.17
Foranyfinitegroup.S/andanya2S,theorderofaisequaltothesizeofthe
subgroupitgenerates,orord.a/Djhaij.
ProofLettDord.a/.Sincea.t/Deanda.tCk/Da.t/a.k/Da.k/for
K 1,ifi>t,thena.i/Da.j/forsomej<i.Thus,aswegenerateele
mentsbya,weseenonewelementsaftera.t/.Thus,haiDfa.1/a.2/:::a.t/g,
andsojhaijt.Toshowthatjhaijt,weshowthateachelementofthese
quencea.1/a.2/:::a.t/isdistinct.Supposeforthepurposeofcontradictionthat
a.i/Da.j/forsomeiandjsatisfying1i<jt.Then,a.iCk/Da.jCk/
fork 0.Butthisequalityimpliesthata.iC.tj//Da.jC.tj//De,acontradic
tion,sinceiCtj/<tbuttistheleastpositivevaluesuchthata.t/De.Ah
fore,eachelementofthesequencea.1/a.2/:::a.t/isdistinct,andjhaijt.Nosotros
concludethatord.a/Djhaij.
Corollary31.18
Thesequencea.1/a.2/:::isperiodicwithperiodtDord.a/thatis,a.i/Da.j/
ifandonlyifij.modt/.
Consistentwiththeabovecorollary,wedefinea.0/aseanda.i/asa.imodt/,
wheretDord.a/,forallintegersi.
Corollary31.19
If.S/isafinitegroupwithidentitye,thenforalla2S,
a.jSj/De:
Pgina67
ProofLagrange'stheorem(Theorem31.15)impliesthatord.a/jjSj,andso
jSj0.modt/,wheretDord.a/.Therefore,a.jSj/Da.0/De.
Exercises
31.31
Drawthegroupoperationtablesforthegroups.Z4C4/and.Z55/.Muestraesa
thesegroupsareisomorphicbyexhibitingaonetoonecorrespondencebetween
theirelementssuchthataCbc.mod4/ifandonlyif.a/.b/.c/
.mod5/.
31.32
ListallsubgroupsofZ9andofZ13.
31.33
ProveTheorem31.14.
31.34
Showthatifpisprimeandeisapositiveinteger,then
.pe/Dpe1.p1/:
31.35
Showthatforanyintegern>1andforanya2Zn,thefunctionfaWZn!Zn
definedbyfa.x/DaxmodnisapermutationofZn.
31.4Solvingmodularlinearequations
Wenowconsidertheproblemoffindingsolutionstotheequation
axb.modn/ (31.25)
wherea>0andn>0.Thisproblemhasseveralapplicationsforexample,
weshalluseitaspartoftheprocedureforfindingkeysintheRSApublickey
cryptosysteminSection31.7.Weassumethata,b,andnaregiven,andwewish
tofindallvaluesofx,modulon,thatsatisfyequation(31.25).Theequationmay
havezero,one,ormorethanonesuchsolution.
LethaidenotethesubgroupofZngeneratedbya.SincehaiDfa.x/Wx>0gD
faxmodnWx>0g,equation(31.25)hasasolutionifandonlyifb2hai.La
grange'stheorem(Theorem31.15)tellsusthatjhaijmustbeadivisorofn.los
followingtheoremgivesusaprecisecharacterizationofhai.
Pgina68
31.4Solvingmodularlinearequations 947
Theorem31.20
Foranypositiveintegersaandn,ifdDgcd.an/,then
haiDhdiDf0d2d:::..n=d/1/dg (31.26)
inZn,andthus
jhaijDn=d:
ProofWebeginbyshowingthatd2hai.RecallthatEXTENDEDEUCLID.an/
producesintegersx0andy0suchthatax0Cny0Dd.Thus,ax0d.modn/,so
thatd2hai.Inotherwords,disamultipleofainZn.
Sinced2hai,itfollowsthateverymultipleofdbelongstohai,becauseany
multipleofamultipleofaisitselfamultipleofa.Thus,haicontainseveryelement
inf0d2d:::..n=d/1/dg.Thatis,hdihai.
Wenowshowthathaihdi.Ifm2hai,thenmDaxmodnforsome
integerx,andsomDaxCnyforsomeintegery.However,djaanddjn,and
sodjmbyequation(31.4).Therefore,m2hdi.
Combiningtheseresults,wehavethathaiDhdi.ToseethatjhaijDn=d,
observethatthereareexactlyn=dmultiplesofdbetween0andn1,inclusive.
Corollary31.21
Theequationaxb.modn/issolvablefortheunknownxifandonlyifdjb,
wheredDgcd.an/.
ProofTheequationaxb.modn/issolvableifandonlyifb2hai,which
isthesameassaying
.bmodn/2f0d2d:::..n=d/1/dg
byTheorem31.20.If0b<n,thenb2haiifandonlyifdjb,sincethe
membersofhaiarepreciselythemultiplesofd.Ifb<0orb n,thecorollary
thenfollowsfromtheobservationthatdjbifandonlyifdj.bmodn/,sinceb
andbmodndifferbyamultipleofn,whichisitselfamultipleofd.
Corollary31.22
Theequationaxb.modn/eitherhasddistinctsolutionsmodulon,where
dDgcd.an/,orithasnosolutions.
ProofIfaxb.modn/hasasolution,thenb2hai.ByTheorem31.17,
ord.a/Djhaij,andsoCorollary31.18andTheorem31.20implythatthesequence
aimodn,foriD01:::,isperiodicwithperiodjhaijDn=d.Ifb2hai,thenb
appearsexactlydtimesinthesequenceaimodn,foriD01:::n1,since
Pgina69
thelength.n=d/blockofvalueshairepeatsexactlydtimesasiincreasesfrom0
ton1.TheindicesxofthedpositionsforwhichaxmodnDbarethesolutions
oftheequationaxb.modn/.
Theorem31.23
LetdDgcd.an/,andsupposethatdDax0Cny0forsomeintegersx0andy0
(forexample,ascomputedbyEXTENDEDEUCLID).Ifdjb,thentheequation
axb.modn/hasasoneofitssolutionsthevaluex0,where
x0Dx0.b=d/modn:
ProofWehave
ax0 ax0.b=d/.modn/
db=d/.modn/ (becauseax0d.modn/)
b .modn/
andthusx0isasolutiontoaxb.modn/.
Theorem31.24
Supposethattheequationaxb.modn/issolvable(thatis,djb,where
dDgcd.an/)andthatx0isanysolutiontothisequation.Then,thisequa
tionhasexactlyddistinctsolutions,modulon,givenbyxiDx0Cin=d/for
iD01:::re 1.
ProofBecausen=d>0and0in=d/<nforiD01:::re 1,the
valuesx0x1:::xd1arealldistinct,modulon.Sincex0isasolutionofaxb
.modn/,wehaveax0modnb.modn/.Thus,foriD01:::re 1,we
tener
aximodnDax0Cin=d/modn
D.ax0Cain=d/modn
Dax0modn(becausedjaimpliesthatain=disamultipleofn)
b.modn/
andhenceaxib.modn/,makingxiasolution,too.ByCorollary31.22,the
equationaxb.modn/hasexactlydsolutions,sothatx0x1:::xd1must
beallofthem.
Wehavenowdevelopedthemathematicsneededtosolvetheequationaxb
.modn/thefollowingalgorithmprintsallsolutionstothisequation.Theinputs
aandnarearbitrarypositiveintegers,andbisanarbitraryinteger.
Pgina70
31.4Solvingmodularlinearequations 949
MODULARLINEAREQUATIONSOLVER.abn/
1.dx0y0/DEXTENDEDEUCLID.an/
2ifdjb
3 x0Dx0.b=d/modn
4 foriD0tod 1
5 print.x0Cin=d//modn
6elseprintnosolutions
Asanexampleoftheoperationofthisprocedure,considertheequation14x
30.mod100/(here,aD14,bD30,andnD100).CallingEXTENDED
EUCLIDinline1,weobtain.dx0y0/D.271/.Since2j30,lines35
ejecutar.Line3computesx0D.7/.15/mod100D95.Thelooponlines45
printsthetwosolutions95and45.
TheprocedureMODULARLINEAREQUATIONSOLVERworksasfollows.
Line1computesdDgcd.an/,alongwithtwovaluesx0andy0suchthatdD
ax0Cny0,demonstratingthatx0isasolutiontotheequationax0d.modn/.
Ifddoesnotdivideb,thentheequationaxb.modn/hasnosolution,by
Corollary31.21.Line2checkstoseewhetherdjbifnot,line6reportsthatthere
arenosolutions.Otherwise,line3computesasolutionx0toaxb.modn/,
inaccordancewithTheorem31.23.Givenonesolution,Theorem31.24statesthat
addingmultiplesof.n=d/,modulon,yieldstheotherd 1solutions.Thefor
loopoflines45printsoutalldsolutions,beginningwithx0andspacedn=d
apart,modulon.
MODULARLINEAREQUATIONSOLVERperformsO.lgnCgcd.an//arith
meticoperations,sinceEXTENDEDEUCLIDperformsO.lgn/arithmeticopera
tions,andeachiterationoftheforloopoflines45performsaconstantnumberof
arithmeticoperations.
ThefollowingcorollariesofTheorem31.24givespecializationsofparticular
interesar.
Corollary31.25
Foranyn>1,ifgcd.an/D1,thentheequationaxb.modn/hasaunique
solution,modulon.
IfbD1,acommoncaseofconsiderableinterest,thexwearelookingforisa
multiplicativeinverseofa,modulon.
Corollary31.26
Foranyn>1,ifgcd.an/D1,thentheequationax1.modn/hasaunique
solution,modulon.Otherwise,ithasnosolution.
Pgina71
ThankstoCorollary31.26,wecanusethenotationa1modntorefertothe
multiplicativeinverseofa,modulon,whenaandnarerelativelyprime.Si
gcd.an/D1,thentheuniquesolutiontotheequationax1.modn/isthe
integerxreturnedbyEXTENDEDEUCLID,sincetheequation
gcd.an/D1DaxCny
impliesax1.modn/.Thus,wecancomputea1modnefficientlyusing
EXTENDEDEUCLID.
Exercises
31.41
Findallsolutionstotheequation35x10.mod50/.
31.42
Provethattheequationaxay.modn/impliesxy.modn/whenever
gcd.an/D1.Showthattheconditiongcd.an/D1isnecessarybysupplyinga
counterexamplewithgcd.an/>1.
31.43
Considerthefollowingchangetoline3oftheprocedureMODULARLINEAR
EQUATIONSOLVER:
3 x0Dx0.b=d/mod.n=d/
Willthiswork?Explainwhyorwhynot.
31.44?
Letpbeprimeandf.x/f0Cf1xCCftxt.modp/beapolyno
mialofdegreet,withcoefficientsfidrawnfromZp.Wesaythata2Zp
isazerooffiff.a/0.modp/.Provethatifaisazerooff,then
f.x/.xa/gx/.modp/forsomepolynomialgx/ofdegreet 1.Prove
byinductionontthatifpisprime,thenapolynomialf.x/ofdegreetcanhave
atmosttdistinctzerosmodulop.
31.5TheChineseremaindertheorem
AroundA.D.100,theChinesemathematicianSunTsusolvedtheproblemoffind
ingthoseintegersxthatleaveremainders2,3,and2whendividedby3,5,and7
respectivamente.OnesuchsolutionisxD23allsolutionsareoftheform23C105k
Pgina72
31.5TheChineseremaindertheorem 951
forarbitraryintegersk.TheChineseremaindertheoremprovidesacorrespon
dencebetweenasystemofequationsmoduloasetofpairwiserelativelyprime
moduli(forexample,3,5,and7)andanequationmodulotheirproduct(forexam
ple,105).
TheChineseremaindertheoremhastwomajorapplications.Lettheinte
gernbefactoredasnDn1n2 nk,wherethefactorsniarepairwiserelatively
prime.First,theChineseremaindertheoremisadescriptivestructuretheorem
thatdescribesthestructureofZnasidenticaltothatoftheCartesianproduct
Zn Zn
1 2 Zn withcomponentwiseadditionandmultiplicationmoduloni
k
intheithcomponent.Second,thisdescriptionhelpsustodesignefficientalgo
rithms,sinceworkingineachofthesystemsZn canbemoreefficient(intermsof
i
bitoperations)thanworkingmodulon.
Theorem31.27(Chineseremaindertheorem)
LetnDn1n2 nk,wheretheniarepairwiserelativelyprime.Considerael
correspondence
a$.a1a2:::ak/ (31.27)
wherea2Zn,ai2Zn ,Y
i
aiDamodni
foriD12:::KThen,mapping(31.27)isaonetoonecorrespondence(bijec
tion)betweenZnandtheCartesianproductZn Zn 1
Zn .Operationsper
2 k
formedontheelementsofZncanbeequivalentlyperformedonthecorresponding
ktuplesbyperformingtheoperationsindependentlyineachcoordinatepositionin
theappropriatesystem.Thatis,if
a$.a1a2:::ak/
b$.b1b2:::bk/
entonces
.aCb/modn$..a1Cb1/modn1:::.akCbk/modnk/ (31.28)
.ab/modn$..a1 b1/modn1:::.ak bk/modnk/ (31.29)
.ab/modn $.a1b1modn1:::akbkmodnk/: (31.30)
ProofTransformingbetweenthetworepresentationsisfairlystraightforward.
Goingfromato.a1a2:::ak/isquiteeasyandrequiresonlykmodopera
Ciones.
Computingafrominputs.a1a2:::ak/isabitmorecomplicated.Webegin
bydefiningmiDn=niforiD12:::kthusmiistheproductofallofthenj's
otherthanni:miDn1n2 ni1niC1 nk.Wenextdefine
Pgina73
ciDmi.m1 modni/ (31.31)

yo
foriD12:::KEquation(31.31)isalwayswelldefined:sincemiandniare
relativelyprime(byTheorem31.6),Corollary31.26guaranteesthatm1 modni
yo
exists.Finally,wecancomputeaasafunctionofa1,a2,...,akasfollows:
a.a1c1Ca2c2CCakck/.modn/: (31.32)
Wenowshowthatequation(31.32)ensuresthataai.modni/foriD
12:::KNotethatifji,thenmj0.modni/,whichimpliesthatcj
mj0.modni/.Notealsothatci1.modni/,fromequation(31.31).Nosotros
thushavetheappealingandusefulcorrespondence
ci$.00:::010:::0/
avectorthathas0severywhereexceptintheithcoordinate,whereithasa1theci
thusformabasisfortherepresentation,inacertainsense.Foreachi,therefore,
wehave
aaici .modni/
aimi.m1 modni/.modni/
yo
ai .modni/
whichiswhatwewishedtoshow:ourmethodofcomputingafromtheai'spro
ducesaresultathatsatisfiestheconstraintsaai.modni/foriD12:::K
Thecorrespondenceisonetoone,sincewecantransforminbothdirections.
Finally,equations(31.28)(31.30)followdirectlyfromExercise31.17,since
xmodniD.xmodn/modniforanyxandiD12:::K
Weshallusethefollowingcorollarieslaterinthischapter.
Corollary31.28
Ifn1n2:::nkarepairwiserelativelyprimeandnDn1n2 nk,thenforany
integersa1a2:::ak,thesetofsimultaneousequations
xai .modni/
foriD12:::k,hasauniquesolutionmodulonfortheunknownx.
Corollary31.29
Ifn1n2:::nkarepairwiserelativelyprimeandnDn1n2 nk,thenforall
integersxanda,
xa.modni/
foriD12:::kifandonlyif
xa.modn/:
xa.modn/:
Pgina74
31.5TheChineseremaindertheorem 953
0 1 2 3 4 5 6 7 8 9 10 11 12
0 0 40 15 55 30 5 45 20 60 35 10 50 25
1 26 1 41 diecisis
56 31 6 46 21 61 36 11 51
2 52 27 2 42 17 57 32 7 47 22 62 37 12
3 13 53 28 3 43 18 58 33 8 48 23 63 38
4 39 14 54 29 4 44 19 59 34 9 49 24 64
Figure31.3AnillustrationoftheChineseremaindertheoremforn1D5andn2D13.Forthis
example,c1D26andc2D40.Inrowi,columnjisshownthevalueofa,modulo65,such
thatamod5Diandamod13Dj.Notethatrow0,column0containsa0.Similarly,row4,
column12containsa64(equivalentto1).Sincec1D26,movingdownarowincreasesaby26.
Similarly,c2D40meansthatmovingrightbyacolumnincreasesaby40.Increasingaby1
correspondstomovingdiagonallydownwardandtotheright,wrappingaroundfromthebottomto
thetopandfromtherighttotheleft.
AsanexampleoftheapplicationoftheChineseremaindertheorem,supposewe
aregiventhetwoequations
a2.mod5/
a3.mod13/
sothata1D2,n1Dm2D5,a2D3,andn2Dm1D13,andwewish
tocomputeamod65,sincenDn1n2D65.Because1312.mod5/and
518.mod13/,wehave
c1 D13.2mod5/D26
c2 D5.8mod13/D40
y
a226C340.mod65/
52C120 .mod65/
42 .mod65/:
SeeFigure31.3foranillustrationoftheChineseremaindertheorem,modulo65.
Thus,wecanworkmodulonbyworkingmodulondirectlyorbyworkinginthe
transformedrepresentationusingseparatemodulonicomputations,asconvenient.
Thecomputationsareentirelyequivalent.
Exercises
31.51
Findallsolutionstotheequationsx4.mod5/andx5.mod11/.
Pgina75
31.52
Findallintegersxthatleaveremainders1,2,3whendividedby9,8,7respectively.
31.53
Arguethat,underthedefinitionsofTheorem31.27,ifgcd.an/D1,then
.a1modn/$..a1 modn1/.a1 modn2/:::.a1 modnk//:
1 2 K
31.54
UnderthedefinitionsofTheorem31.27,provethatforanypolynomialf,thenum
berofrootsoftheequationf.x/0.modn/equalstheproductofthenumber
ofrootsofeachoftheequationsf.x/0.modn1/,f.x/0.modn2/,...,
f.x/0.modn /.
f.x/0.modnk/.
31.6Powersofanelement
Justasweoftenconsiderthemultiplesofagivenelementa,modulon,weconsider
thesequenceofpowersofa,modulon,wherea2Zn:
a0a1a2a3::: (31.33)
modulon.Indexingfrom0,the0thvalueinthissequenceisa0modnD1,and
theithvalueisaimodn.Forexample,thepowersof3modulo7are
yo 01234567891011
3imod7 13264513264 5
whereasthepowersof2modulo7are
yo 01234567891011
2imod7 12412412412 4
Inthissection,lethaidenotethesubgroupofZngeneratedbyabyrepeated
multiplication,andletordn.a/(theorderofa,modulon)denotetheorderofa
inZn.Forexample,h2iDf124ginZ7,andord7.2/D3.Usingthedefinitionof
theEulerphifunction.n/asthesizeofZn(seeSection31.3),wenowtranslate
Corollary31.19intothenotationofZntoobtainEuler'stheoremandspecializeit
toZp,wherepisprime,toobtainFermat'stheorem.
Theorem31.30(Euler'stheorem)
Foranyintegern>1,
a.n/1.modn/foralla2Zn:
Pgina76
31.6Powersofanelement 955
Theorem31.31(Fermat'stheorem)
Ifpisprime,then
ap11.modp/foralla2Zp:
ProofByequation(31.21),.p/Dp1ifpisprime.
Fermat'stheoremappliestoeveryelementinZpexcept0,since062Zp.Paratodos
a2Zp,however,wehaveapa.modp/ifpisprime.
Ifordn.g/DjZnj,theneveryelementinZnisapowerofg,modulon,and
gisaprimitiverootorageneratorofZn.Forexample,3isaprimitiveroot,
modulo7,but2isnotaprimitiveroot,modulo7.IfZnpossessesaprimitive
root,thegroupZniscyclic.Weomittheproofofthefollowingtheorem,whichis
provenbyNivenandZuckerman[265].
Theorem31.32
Thevaluesofn>1forwhichZniscyclicare2,4,pe,and2pe,forallprimes
p>2andallpositiveintegerse.
IfgisaprimitiverootofZnandaisanyelementofZn,thenthereexistsasuch
thatga.modn/.Thisisadiscretelogarithmoranindexofa,modulon,
tothebasegwedenotethisvalueasindng.a/.
Theorem31.33(Discretelogarithmtheorem)
IfgisaprimitiverootofZn,thentheequationgxgy.modn/holdsifand
onlyiftheequationxy.mod.n//holds.
ProofSupposefirstthatxy.mod.n//.Then,xDyCk.n/forsome
integerk.Porlotanto,
gx gyCk.n/ .modn/
gy .g.n//k .modn/
gy 1k .modn/ (byEuler'stheorem)
g
gy .modn/:
Conversely,supposethatgxgy.modn/.Becausethesequenceofpowersofg
generateseveryelementofhgiandjhgijD.n/,Corollary31.18impliesthat
thesequenceofpowersofgisperiodicwithperiod.n/.Therefore,ifgxgy
.modn/,thenwemusthavexy.mod.n//.
Wenowturnourattentiontothesquarerootsof1,moduloaprimepower.los
followingtheoremwillbeusefulinourdevelopmentofaprimalitytestingalgo
rithminSection31.8.
Pgina77
Theorem31.34
Ifpisanoddprimeande 1,thentheequation
x21.modpe/ (31.34)
hasonlytwosolutions,namelyxD1andxD1.
ProofEquation(31.34)isequivalentto
pej.x1/.xC1/:
Sincep>2,wecanhavepj.x 1/orpj.xC1/,butnotboth.(Otherwise,
byproperty(31.3),pwouldalsodividetheirdifference.xC1/.x1/D2.)
Ifp.x1/,thengcd.pex 1/D1,andbyCorollary31.5,wewouldhave
pej.xC1/.Thatis,x1.modpe/.Symmetrically,ifp.xC1/,
thengcd.pexC1/D1,andCorollary31.5impliesthatpej.x 1/,sothat
x1.modpe/.Therefore,eitherx1.modpe/orx1.modpe/.
Anumberxisanontrivialsquarerootof1,modulon,ifitsatisfiestheequation
x21.modn/butxisequivalenttoneitherofthetwotrivialsquareroots:
1or1,modulon.Forexample,6isanontrivialsquarerootof1,modulo35.
WeshallusethefollowingcorollarytoTheorem31.34inthecorrectnessproofin
Section31.8fortheMillerRabinprimalitytestingprocedure.
Corollary31.35
Ifthereexistsanontrivialsquarerootof1,modulon,thenniscomposite.
ProofBythecontrapositiveofTheorem31.34,ifthereexistsanontrivialsquare
rootof1,modulon,thenncannotbeanoddprimeorapowerofanoddprime.
Ifx21.mod2/,thenx1.mod2/,andsoallsquarerootsof1,modulo2,
aretrivial.Thus,ncannotbeprime.Finally,wemusthaven>1foranontrivial
squarerootof1toexist.Therefore,nmustbecomposite.
Raisingtopowerswithrepeatedsquaring
Afrequentlyoccurringoperationinnumbertheoreticcomputationsisraisingone
numbertoapowermoduloanothernumber,alsoknownasmodularexponentia
tion.Moreprecisely,wewouldlikeanefficientwaytocomputeabmodn,where
aandbarenonnegativeintegersandnisapositiveinteger.Modularexponenti
ationisanessentialoperationinmanyprimalitytestingroutinesandintheRSA
publickeycryptosystem.Themethodofrepeatedsquaringsolvesthisproblem
efficientlyusingthebinaryrepresentationofb.
Lethbkbk1:::b1b0ibethebinaryrepresentationofb.(Thatis,thebinary
representationiskC1bitslong,bkisthemostsignificantbit,andb0istheleast
Pgina78
31.6Powersofanelement 957
yo 9 8 7 6 5 4 3 2 1 0
bi 1 0 0 0 1 1 0 0 0 0
do 1 2 4 8 17 35 70 140 280 560
re 7 49 157 526 160 241 298 166 67 1
Figure31.4TheresultsofMODULAREXPONENTIATIONwhencomputingab.modn/,where
aD7,bD560Dh1000110000i,andnD561.Thevaluesareshownaftereachexecutionofthe
forloop.Thefinalresultis1.
significantbit.)Thefollowingprocedurecomputesacmodnascisincreasedby
doublingsandincrementationsfrom0tob.
MODULAREXPONENTIATION.abn/
1cD0
2dD1
3lethbkbk1:::b0ibethebinaryrepresentationofb
4foriDkdownto0
5 cD2c
6 dD.dd/modn
7 ifbi==1
8 cDcC1
9 dD.da/modn
10returnd
Theessentialuseofsquaringinline6ofeachiterationexplainsthenamerepeated
squaring.Asanexample,foraD7,bD560,andnD561,thealgorithm
computesthesequenceofvaluesmodulo561showninFigure31.4thesequence
ofexponentsusedappearsintherowofthetablelabeledbyc.
Thevariablecisnotreallyneededbythealgorithmbutisincludedforthefol
lowingtwopartloopinvariant:
Justpriortoeachiterationoftheforloopoflines49,
1.Thevalueofcisthesameastheprefixhbkbk1:::biC1iofthebinary
representationofb,and
2.dDacmodn.
Weusethisloopinvariantasfollows:
Initialization:Initially,iDk,sothattheprefixhbkbk1:::biC1iisempty,
whichcorrespondstocD0.Moreover,dD1Da0modn.
Pgina79
Maintenance:Letc0andd0denotethevaluesofcanddattheendofaniteration
oftheforloop,andthusthevaluespriortothenextiteration.Eachiteration
updatesc0D2c(ifbiD0)orc0D2cC1(ifbiD1),sothatcwillbecorrect
priortothenextiteration.IfbiD0,thend0Dd2modnD.ac/2modnD
a2cmodnDac modn.IfbiD1,thend0Dd2amodnD.ac/2amodnD
0
a2cC1modnDac modn.Ineithercase,dDacmodnpriortothenext
0
iteration.
Termination:Attermination,iD1.Thus,cDb,sincechasthevalueofthe
prefixhbkbk1:::b0iofb'sbinaryrepresentation.HencedDacmodnD
abmodn.
Iftheinputsa,b,andnarebitnumbers,thenthetotalnumberofarith
meticoperationsrequiredisO./andthetotalnumberofbitoperationsrequired
isO.3/.
Exercises
31.61
DrawatableshowingtheorderofeveryelementinZ11.Pickthesmallestprimitive
rootgandcomputeatablegivingind11g.x/forallx2Z11.
31.62
Giveamodularexponentiationalgorithmthatexaminesthebitsofbfromrightto
leftinsteadoflefttoright.
31.63
Assumingthatyouknow.n/,explainhowtocomputea1modnforanya2Zn
usingtheprocedureMODULAREXPONENTIATION.
31.7TheRSApublickeycryptosystem
Withapublickeycryptosystem,wecanencryptmessagessentbetweentwocom
municatingpartiessothataneavesdropperwhooverhearstheencryptedmessages
willnotbeabletodecodethem.Apublickeycryptosystemalsoenablesaparty
toappendanunforgeabledigitalsignaturetotheendofanelectronicmessage.
Suchasignatureistheelectronicversionofahandwrittensignatureonapaperdoc
Cin.Itcanbeeasilycheckedbyanyone,forgedbynoone,yetlosesitsvalidity
ifanybitofthemessageisaltered.Itthereforeprovidesauthenticationofboththe
identityofthesignerandthecontentsofthesignedmessage.Itistheperfecttool
Pgina80
31.7TheRSApublickeycryptosystem 959
forelectronicallysignedbusinesscontracts,electronicchecks,electronicpurchase
orders,andotherelectroniccommunicationsthatpartieswishtoauthenticate.
TheRSApublickeycryptosystemreliesonthedramaticdifferencebetweenthe
easeoffindinglargeprimenumbersandthedifficultyoffactoringtheproductof
twolargeprimenumbers.Section31.8describesanefficientprocedureforfinding
largeprimenumbers,andSection31.9discussestheproblemoffactoringlarge
integers.
Publickeycryptosystems
Inapublickeycryptosystem,eachparticipanthasbothapublickeyandasecret
key.Eachkeyisapieceofinformation.Forexample,intheRSAcryptosystem,
eachkeyconsistsofapairofintegers.TheparticipantsAliceandBobare
traditionallyusedincryptographyexampleswedenotetheirpublicandsecret
keysasPA,SAforAliceandPB,SBforBob.
Eachparticipantcreateshisorherownpublicandsecretkeys.Secretkeysare
keptsecret,butpublickeyscanberevealedtoanyoneorevenpublished.Dehecho,
itisoftenconvenienttoassumethateveryone'spublickeyisavailableinapub
licdirectory,sothatanyparticipantcaneasilyobtainthepublickeyofanyother
participant.
Thepublicandsecretkeysspecifyfunctionsthatcanbeappliedtoanymessage.
LetDdenotethesetofpermissiblemessages.Forexample,Dmightbethesetof
allfinitelengthbitsequences.Inthesimplest,andoriginal,formulationofpublic
keycryptography,werequirethatthepublicandsecretkeysspecifyonetoone
functionsfromDtoitself.WedenotethefunctioncorrespondingtoAlice'spublic
keyPAbyPA./andthefunctioncorrespondingtohersecretkeySAbySA./.El
functionsPA./andSA./arethuspermutationsofD.Weassumethatthefunctions
PA./andSA./areefficientlycomputablegiventhecorrespondingkeyPAorSA.
Thepublicandsecretkeysforanyparticipantareamatchedpairinthatthey
specifyfunctionsthatareinversesofeachother.Thatis,
MDSA.PA.M// (31.35)
MDPA.SA.M// (31.36)
foranymessageM2D.TransformingMwiththetwokeysPAandSAsucces
sively,ineitherorder,yieldsthemessageMback.
Inapublickeycryptosystem,werequirethatnoonebutAlicebeabletocom
putethefunctionSA./inanypracticalamountoftime.Thisassumptioniscrucial
tokeepingencryptedmailsenttoAliceprivateandtoknowingthatAlice'sdigi
talsignaturesareauthentic.AlicemustkeepSAsecretifshedoesnot,sheloses
heruniquenessandthecryptosystemcannotprovideherwithuniquecapabilities.
TheassumptionthatonlyAlicecancomputeSA./mustholdeventhougheveryone
Pgina81
Bob Alicia
communicationchannel
Cifrar decrypt
CDP .M/
A
METRO P A SA METRO
eavesdropper
do
Figure31.5Encryptioninapublickeysystem.BobencryptsthemessageMusingAlice'spublic
keyPAandtransmitstheresultingciphertextCDPA.M/overacommunicationchanneltoAl
ice.AneavesdropperwhocapturesthetransmittedciphertextgainsnoinformationaboutM.Alice
receivesCanddecryptsitusinghersecretkeytoobtaintheoriginalmessageMDSA.C/.
knowsPAandcancomputePA./,theinversefunctiontoSA./,efficiently.Enorden
todesignaworkablepublickeycryptosystem,wemustfigureouthowtocreate
asysteminwhichwecanrevealatransformationPA./withouttherebyrevealing
howtocomputethecorrespondinginversetransformationSA./.Thistaskappears
formidable,butweshallseehowtoaccomplishit.
Inapublickeycryptosystem,encryptionworksasshowninFigure31.5.Sup
poseBobwishestosendAliceamessageMencryptedsothatitwilllooklike
unintelligiblegibberishtoaneavesdropper.Thescenarioforsendingthemessage
goesasfollows.
BobobtainsAlice'spublickeyPA(fromapublicdirectoryordirectlyfrom
Alice).
BobcomputestheciphertextCDPA.M/correspondingtothemessageM
andsendsCtoAlice.
WhenAlicereceivestheciphertextC,sheapplieshersecretkeySAtoretrieve
theoriginalmessage:SA.C/DSA.PA.M//DM.
BecauseSA./andPA./areinversefunctions,AlicecancomputeMfromC.Be
causeonlyAliceisabletocomputeSA./,AliceistheonlyonewhocancomputeM
fromC.BecauseBobencryptsMusingPA./,onlyAlicecanunderstandthetrans
mittedmessage.
Wecanjustaseasilyimplementdigitalsignatureswithinourformulationofa
publickeycryptosystem.(Thereareotherwaysofapproachingtheproblemof
constructingdigitalsignatures,butweshallnotgointothemhere.)Supposenow
thatAlicewishestosendBobadigitallysignedresponseM0.Figure31.6shows
howthedigitalsignaturescenarioproceeds.
Alicecomputesherdigitalsignature forthemessageM0usinghersecret
keySAandtheequationDSA.M0/.
Pgina82
Alicia Bob
firmar verificar
SA
DS .M /
A 0
P A
=? aceptar
.M / M
M
0 0
0
communicationchannel
Figure31.6Digitalsignaturesinapublickeysystem.AlicesignsthemessageM0byappending
herdigitalsignatureDSA.M0/toit.Shetransmitsthemessage/signaturepair.M0/toBob,
whoverifiesitbycheckingtheequationM0DPA./.Iftheequationholds,heaccepts.M0/as
amessagethatAlicehassigned.
Alicesendsthemessage/signaturepair.M0/toBob.
WhenBobreceives.M0/,hecanverifythatitoriginatedfromAlicebyus
ingAlice'spublickeytoverifytheequationM0DPA./.(Presumably,M0
containsAlice'sname,soBobknowswhosepublickeytouse.)Iftheequation
holds,thenBobconcludesthatthemessageM0wasactuallysignedbyAlice.
Iftheequationfailstohold,BobconcludeseitherthatthemessageM0orthe
digitalsignaturewascorruptedbytransmissionerrorsorthatthepair.M0/
isanattemptedforgery.
Becauseadigitalsignatureprovidesbothauthenticationofthesigner'sidentityand
authenticationofthecontentsofthesignedmessage,itisanalogoustoahandwrit
tensignatureattheendofawrittendocument.
Adigitalsignaturemustbeverifiablebyanyonewhohasaccesstothesigners
publickey.Asignedmessagecanbeverifiedbyonepartyandthenpassedonto
otherpartieswhocanalsoverifythesignature.Forexample,themessagemight
beanelectroniccheckfromAlicetoBob.AfterBobverifiesAlice'ssignatureon
thecheck,hecangivethechecktohisbank,whocanthenalsoverifythesignature
andeffecttheappropriatefundstransfer.
Asignedmessageisnotnecessarilyencryptedthemessagecanbeintheclear
andnotprotectedfromdisclosure.Bycomposingtheaboveprotocolsforencryp
tionandforsignatures,wecancreatemessagesthatarebothsignedandencrypted.
Thesignerfirstappendshisorherdigitalsignaturetothemessageandthenen
cryptstheresultingmessage/signaturepairwiththepublickeyoftheintendedre
cipient.Therecipientdecryptsthereceivedmessagewithhisorhersecretkeyto
obtainboththeoriginalmessageanditsdigitalsignature.Therecipientcanthen
verifythesignatureusingthepublickeyofthesigner.Thecorrespondingcom
binedprocessusingpaperbasedsystemswouldbetosignthepaperdocumentand
Pgina83
thensealthedocumentinsideapaperenvelopethatisopenedonlybytheintended
recipiente.
TheRSAcryptosystem
IntheRSApublickeycryptosystem,aparticipantcreateshisorherpublicand
secretkeyswiththefollowingprocedure:
1.Selectatrandomtwolargeprimenumberspandqsuchthatpq.Theprimes
pandqmightbe,say,1024bitseach.
2.ComputenDpq.
3.Selectasmalloddintegerethatisrelativelyprimeto.n/,which,byequa
tion(31.20),equals.p1/.q1/.
4.Computedasthemultiplicativeinverseofe,modulo.n/.(Corollary31.26
guaranteesthatdexistsandisuniquelydefined.Wecanusethetechniqueof
Section31.4tocomputed,giveneand.n/.)
5.PublishthepairPD.en/astheparticipant'sRSApublickey.
6.KeepsecretthepairSD.dn/astheparticipant'sRSAsecretkey.
Forthisscheme,thedomainDisthesetZn.TotransformamessageMasso
ciatedwithapublickeyPD.en/,compute
P.M/DMemodn: (31.37)
TotransformaciphertextCassociatedwithasecretkeySD.dn/,compute
SC/DCdmodn: (31.38)
Theseequationsapplytobothencryptionandsignatures.Tocreateasignature,the
signerapplieshisorhersecretkeytothemessagetobesigned,ratherthantoa
ciphertext.Toverifyasignature,thepublickeyofthesignerisappliedtoit,rather
thantoamessagetobeencrypted.
Wecanimplementthepublickeyandsecretkeyoperationsusingtheprocedure
MODULAREXPONENTIATIONdescribedinSection31.6.Toanalyzetherunning
timeoftheseoperations,assumethatthepublickey.en/andsecretkey.dn/
satisfylgeDO.1/,lgd,andlgn.Then,applyingapublickeyrequires
O.1/modularmultiplicationsandusesO.2/bitoperations.Applyingasecret
keyrequiresO./modularmultiplications,usingO.3/bitoperations.
Theorem31.36(CorrectnessofRSA)
TheRSAequations(31.37)and(31.38)defineinversetransformationsofZnsatis
fyingequations(31.35)and(31.36).
Pgina84
ProofFromequations(31.37)and(31.38),wehavethatforanyM2Zn,
PSM//DSPM//DMed .modn/:
Sinceeanddaremultiplicativeinversesmodulo.n/D.p1/.q1/,
edD1Ckp1/.q1/
forsomeintegerk.Butthen,ifM60.modp/,wehave
Med MMp1/k.q1/ .modp/
M..Mmodp/p1/k.q1/.modp/
M.1/k.q1/ .modp/ (byTheorem31.31)
M .modp/:
Also,MedM.modp/ifM0.modp/.Thus,
MedM.modp/
forallM.Similarly,
MedM.modq/
forallM.Thus,byCorollary31.29totheChineseremaindertheorem,
MedM.modn/
forallM.
ThesecurityoftheRSAcryptosystemrestsinlargepartonthedifficultyoffac
toringlargeintegers.Ifanadversarycanfactorthemodulusninapublickey,then
theadversarycanderivethesecretkeyfromthepublickey,usingtheknowledge
ofthefactorspandqinthesamewaythatthecreatorofthepublickeyusedthem.
Therefore,iffactoringlargeintegersiseasy,thenbreakingtheRSAcryptosystem
iseasy.Theconversestatement,thatiffactoringlargeintegersishard,thenbreak
ingRSAishard,isunproven.Aftertwodecadesofresearch,however,noeasier
methodhasbeenfoundtobreaktheRSApublickeycryptosystemthantofactor
themodulusn.AndasweshallseeinSection31.9,factoringlargeintegersissur
prisinglydifficult.Byrandomlyselectingandmultiplyingtogethertwo1024bit
primes,wecancreateapublickeythatcannotbebrokeninanyfeasibleamount
oftimewithcurrenttechnology.Intheabsenceofafundamentalbreakthroughin
thedesignofnumbertheoreticalgorithms,andwhenimplementedwithcarefol
lowingrecommendedstandards,theRSAcryptosystemiscapableofprovidinga
highdegreeofsecurityinapplications.
InordertoachievesecuritywiththeRSAcryptosystem,however,weshould
useintegersthatarequitelonghundredsorevenmorethanonethousandbits
Pgina85
longtoresistpossibleadvancesintheartoffactoring.Atthetimeofthis
writing(2009),RSAmoduliwerecommonlyintherangeof768to2048bits.
Tocreatemoduliofsuchsizes,wemustbeabletofindlargeprimesefficiently.
Section31.8addressesthisproblem.
Forefficiency,RSAisoftenusedinahybridorkeymanagementmode
withfastnonpublickeycryptosystems.Withsuchasystem,theencryptionand
decryptionkeysareidentical.IfAlicewishestosendalongmessageMtoBob
privately,sheselectsarandomkeyKforthefastnonpublickeycryptosystemand
encryptsMusingK,obtainingciphertextC.Here,CisaslongasM,butK
isquiteshort.Then,sheencryptsKusingBob'spublicRSAkey.SinceKis
short,computingPB.K/isfast(muchfasterthancomputingPB.M/).Ellaentonces
transmits.CPB.K//toBob,whodecryptsPB.K/toobtainKandthenusesK
todecryptC,obtainingM.
Wecanuseasimilarhybridapproachtomakedigitalsignaturesefficiently.
ThisapproachcombinesRSAwithapubliccollisionresistanthashfunctionha
functionthatiseasytocomputebutforwhichitiscomputationallyinfeasibleto
findtwomessagesMandM0suchthathM/DhM0/.ThevaluehM/is
ashort(say,256bit)fingerprintofthemessageM.IfAlicewishestosigna
messageM,shefirstapplieshtoMtoobtainthefingerprinthM/,whichshe
thenencryptswithhersecretkey.Shesends.MSA.hM///toBobashersigned
versionofM.BobcanverifythesignaturebycomputinghM/andverifying
thatPAappliedtoSA.hM//asreceivedequalshM/.Becausenoonecancreate
twomessageswiththesamefingerprint,itiscomputationallyinfeasibletoaltera
signedmessageandpreservethevalidityofthesignature.
Finally,wenotethattheuseofcertificatesmakesdistributingpublickeysmuch
msfcil.Forexample,assumethereisatrustedauthorityTwhosepublickey
isknownbyeveryone.AlicecanobtainfromTasignedmessage(hercertificate)
statingthatAlice'spublickeyisPA.Thiscertificateisselfauthenticatingsince
everyoneknowsPT.Alicecanincludehercertificatewithhersignedmessages,
sothattherecipienthasAlice'spublickeyimmediatelyavailableinordertoverify
hersignature.BecauseherkeywassignedbyT,therecipientknowsthatAlices
keyisreallyAlice's.
Exercises
31.71
ConsideranRSAkeysetwithpD11,qD29,nD319,andeD3.What
valueofdshouldbeusedinthesecretkey?Whatistheencryptionofthemessage
MD100?
Pgina86
31.8Primalitytesting 965
31.72
ProvethatifAlice'spublicexponenteis3andanadversaryobtainsAlice'ssecret
exponentd,where0<d<.n/,thentheadversarycanfactorAlice'smodulusn
intimepolynomialinthenumberofbitsinn.(Althoughyouarenotaskedtoprove
it,youmaybeinterestedtoknowthatthisresultremainstrueevenifthecondition
eD3isremoved.SeeMiller[255].)
31.73?
ProvethatRSAismultiplicativeinthesensethat
PA.M1/PA.M2/PA.M1M2/.modn/:
Usethisfacttoprovethatifanadversaryhadaprocedurethatcouldefficiently
decrypt1percentofmessagesfromZnencryptedwithPA,thenhecouldemploy
aprobabilisticalgorithmtodecrypteverymessageencryptedwithPAwithhigh
probabilidad.
?31.8Primalitytesting
Inthissection,weconsidertheproblemoffindinglargeprimes.Webeginwitha
discussionofthedensityofprimes,proceedtoexamineaplausible,butincomplete,
approachtoprimalitytesting,andthenpresentaneffectiverandomizedprimality
testduetoMillerandRabin.
Thedensityofprimenumbers
Formanyapplications,suchascryptography,weneedtofindlargerandom
primes.Fortunately,largeprimesarenottoorare,sothatitisfeasibletotest
randomintegersoftheappropriatesizeuntilwefindaprime.Theprimedistribu
tionfunction.n/specifiesthenumberofprimesthatarelessthanorequalton.
Forexample,.10/D4,sincethereare4primenumberslessthanorequalto10,
namely,2,3,5,and7.Theprimenumbertheoremgivesausefulapproximation
to.n/.
Theorem31.37(Primenumbertheorem)
.n/
Lim D1:
n!1 n=lnn
Theapproximationn=lnngivesreasonablyaccurateestimatesof.n/even
forsmalln.Forexample,itisoffbylessthan6%atnD109,where.n/D
Pgina87
50,847,534andn=lnn 48,254,942.(Toanumbertheorist,109isasmallnum
ber.)
Wecanviewtheprocessofrandomlyselectinganintegernanddetermining
whetheritisprimeasaBernoullitrial(seeSectionC.4).Bytheprimenumber
theorem,theprobabilityofasuccessthatis,theprobabilitythatnisprimeis
approximately1=lnn.Thegeometricdistributiontellsushowmanytrialsweneed
toobtainasuccess,andbyequation(C.32),theexpectednumberoftrialsisap
proximatelylnn.Thus,wewouldexpecttoexamineapproximatelylnnintegers
chosenrandomlynearninordertofindaprimethatisofthesamelengthasn.
Forexample,weexpectthatfindinga1024bitprimewouldrequiretestingap
proximatelyln21024 710randomlychosen1024bitnumbersforprimality.(Of
course,wecancutthisfigureinhalfbychoosingonlyoddintegers.)
Intheremainderofthissection,weconsidertheproblemofdeterminingwhether
ornotalargeoddintegernisprime.Fornotationalconvenience,weassumethatn
hastheprimefactorization
nDpe pre (31.39)
1pe
2
1 r
2
wherer 1,p1p2:::praretheprimefactorsofn,ande1e2:::erareposi
tiveintegers.TheintegernisprimeifandonlyifrD1ande1D1.
Onesimpleapproachtotheproblemoftestingforprimalityistrialdivision.Nosotros
pag
trydividingnbyeachinteger23:::b nc.(Again,wemayskipevenintegers
greaterthan2.)Itiseasytoseethatnisprimeifandonlyifnoneofthetrialdivi
sorsdividesn.Assumingthateachtrialdivisiontakesconstanttime,theworstcase
pag
runningtimeis. n/,whichisexponentialinthelengthofn.(Recallthatifn
pag
isencodedinbinaryusingbits,thenDdlg.nC1/e,andso nD.2=2/.)
Thus,trialdivisionworkswellonlyifnisverysmallorhappenstohaveasmall
primefactor.Whenitworks,trialdivisionhastheadvantagethatitnotonlyde
termineswhethernisprimeorcomposite,butalsodeterminesoneofn'sprime
factorsifniscomposite.
Inthissection,weareinterestedonlyinfindingoutwhetheragivennumbern
isprimeifniscomposite,wearenotconcernedwithfindingitsprimefactor
Cin.AsweshallseeinSection31.9,computingtheprimefactorizationofa
numberiscomputationallyexpensive.Itisperhapssurprisingthatitismucheasier
totellwhetherornotagivennumberisprimethanitistodeterminetheprime
factorizationofthenumberifitisnotprime.
Pseudoprimalitytesting
Wenowconsideramethodforprimalitytestingthatalmostworksandinfact
isgoodenoughformanypracticalapplications.Lateron,weshallpresentare
Pgina88
finementofthismethodthatremovesthesmalldefect.LetZC ndenotethenonzero
elementsofZn:
ZC
nDf12:::n1g:
Ifnisprime,thenZC
nDZn.
Wesaythatnisabaseapseudoprimeifniscompositeand
an11.modn/: (31.40)
Fermat'stheorem(Theorem31.31)impliesthatifnisprime,thennsatisfiesequa
tion(31.40)foreveryainZC n.Thus,ifwecanfindanya2ZC nsuchthatndoes
notsatisfyequation(31.40),thenniscertainlycomposite.Surprisingly,thecon
versealmostholds,sothatthiscriterionformsanalmostperfecttestforprimality.
Wetesttoseewhethernsatisfiesequation(31.40)foraD2.Ifnot,wedeclaren
tobecompositebyreturningCOMPOSITE.Otherwise,wereturnPRIME,guessing
thatnisprime(when,infact,allweknowisthatniseitherprimeorabase2
pseudoprime).
Thefollowingprocedurepretendsinthismannertobecheckingtheprimality
ofn.ItusestheprocedureMODULAREXPONENTIATIONfromSection31.6.Nosotros
assumethattheinputnisanoddintegergreaterthan2.
PSEUDOPRIME.n/
1ifMODULAREXPONENTIATION.2n1n/61.modn/
2 returnCOMPOSITE //definitely
3elsereturnPRIME //wehope!
Thisprocedurecanmakeerrors,butonlyofonetype.Thatis,ifitsaysthatn
iscomposite,thenitisalwayscorrect.Ifitsaysthatnisprime,however,thenit
makesanerroronlyifnisabase2pseudoprime.
Howoftendoesthisprocedureerr?Surprisinglyrarely.Thereareonly22values
ofnlessthan10,000forwhichiterrsthefirstfoursuchvaluesare341,561,
645,and1105.Wewon'tproveit,buttheprobabilitythatthisprogrammakesan
erroronarandomlychosenbitnumbergoestozeroas!1.Usingmore
preciseestimatesduetoPomerance[279]ofthenumberofbase2pseudoprimesof
agivensize,wemayestimatethatarandomlychosen512bitnumberthatiscalled
primebytheaboveprocedurehaslessthanonechancein1020ofbeingabase2
pseudoprime,andarandomlychosen1024bitnumberthatiscalledprimehasless
thanonechancein1041ofbeingabase2pseudoprime.Soifyouaremerely
tryingtofindalargeprimeforsomeapplication,forallpracticalpurposesyou
almostnevergowrongbychoosinglargenumbersatrandomuntiloneofthem
causesPSEUDOPRIMEtoreturnPRIME.Butwhenthenumbersbeingtestedfor
primalityarenotrandomlychosen,weneedabetterapproachfortestingprimality.
Pgina89
Asweshallsee,alittlemorecleverness,andsomerandomization,willyielda
primalitytestingroutinethatworkswellonallinputs.
Unfortunately,wecannotentirelyeliminatealltheerrorsbysimplychecking
equation(31.40)forasecondbasenumber,sayaD3,becausethereexistcom
positeintegersn,knownasCarmichaelnumbers,thatsatisfyequation(31.40)for
alla2Zn.(Wenotethatequation(31.40)doesfailwhengcd.an/>1that
is,whena62Znbuthopingtodemonstratethatniscompositebyfindingsuch
anacanbedifficultifnhasonlylargeprimefactors.)ThefirstthreeCarmichael
numbersare561,1105,and1729.Carmichaelnumbersareextremelyrareah
are,forexample,only255ofthemlessthan100,000,000.Exercise31.82helps
explainwhytheyaresorare.
Wenextshowhowtoimproveourprimalitytestsothatitwon'tbefooledby
Carmichaelnumbers.
TheMillerRabinrandomizedprimalitytest
TheMillerRabinprimalitytestovercomestheproblemsofthesimpletestPSEU
DOPRIMEwithtwomodifications:
Ittriesseveralrandomlychosenbasevaluesainsteadofjustonebasevalue.
Whilecomputingeachmodularexponentiation,itlooksforanontrivialsquare
rootof1,modulon,duringthefinalsetofsquarings.Ifitfindsone,itstops
andreturnsCOMPOSITE.Corollary31.35fromSection31.6justifiesdetecting
compositesinthismanner.
ThepseudocodefortheMillerRabinprimalitytestfollows.Theinputn>2is
theoddnumbertobetestedforprimality,andsisthenumberofrandomlycho
senbasevaluesfromZCntobetried.Thecodeusestherandomnumbergenerator
RANDOMdescribedonpage117:RANDOM.1n1/returnsarandomlychosen
integerasatisfying1an1.ThecodeusesanauxiliaryprocedureWITNESS
suchthatWITNESS.an/isTRUEifandonlyifaisawitnesstothecomposite
nessofnthatis,ifitispossibleusingatoprove(inamannerthatweshallsee)
thatniscomposite.ThetestWITNESS.an/isanextensionof,butmoreeffective
than,thetest
an161.modn/
thatformedthebasis(usingaD2)forPSEUDOPRIME.Wefirstpresentand
justifytheconstructionofWITNESS,andthenweshallshowhowweuseitinthe
MillerRabinprimalitytest.Letn 1D2tuwheret 1anduisoddesdecir,
thebinaryrepresentationofn1isthebinaryrepresentationoftheoddintegeru
followedbyexactlytzeros.Therefore,an1.au/2 t .modn/,sothatwecan
Pgina90
computean1modnbyfirstcomputingaumodnandthensquaringtheresultt
timessuccessively.
WITNESS.an/
1lettandubesuchthatt 1,uisodd,andn1D2tu
2x0DMODULAREXPONENTIATION.aun/
3foriD1tot
4 xiDx2
i1modn
5 ifxi==1andxi11andxi1n1
6 returnTRUE
7ifxt1
8 returnTRUE
9returnFALSE
ThispseudocodeforWITNESScomputesan1modnbyfirstcomputingthe
valuex0Daumodninline2andthensquaringtheresultttimesinarowinthe
forloopoflines36.Byinductiononi,thesequencex0,x1,...,xtofvalues
computedsatisfiestheequationxia2 u.modn/foriD01:::t,sothatin
i
particularxtan1.modn/.Afterline4performsasquaringstep,however,
theloopmayterminateearlyiflines56detectthatanontrivialsquarerootof1
hasjustbeendiscovered.(Weshallexplainthesetestsshortly.)Ifso,thealgo
rithmstopsandreturnsTRUE.Lines78returnTRUEifthevaluecomputedfor
xtan1.modn/isnotequalto1,justasthePSEUDOPRIMEprocedurereturns
COMPOSITEinthiscase.Line9returnsFALSEifwehaven'treturnedTRUEin
lines6or8.
WenowarguethatifWITNESS.an/returnsTRUE,thenwecanconstructa
proofthatniscompositeusingaasawitness.
IfWITNESSreturnsTRUEfromline8,thenithasdiscoveredthatxt re
an1modn1.Ifnisprime,however,wehavebyFermat'stheorem(Theo
rem31.31)thatan11.modn/foralla2ZC n.Therefore,ncannotbeprime,
andtheequationan1modn1provesthisfact.
IfWITNESSreturnsTRUEfromline6,thenithasdiscoveredthatxi1isanon
trivialsquarerootof1,modulon,sincewehavethatxi161.modn/yet
xix2
i11.modn/.Corollary31.35statesthatonlyifniscompositecan
thereexistanontrivialsquarerootof1modulon,sothatdemonstratingthatxi1
isanontrivialsquarerootof1modulonprovesthatniscomposite.
ThiscompletesourproofofthecorrectnessofWITNESS.Ifwefindthatthecall
WITNESS.an/returnsTRUE,thennissurelycomposite,andthewitnessa,along
withthereasonthattheprocedurereturnsTRUE(diditreturnfromline6orfrom
line8?),providesaproofthatniscomposite.
Pgina91
Atthispoint,webrieflypresentanalternativedescriptionofthebehaviorof
WITNESSasafunctionofthesequenceXDhx0x1:::xti,whichweshallfind
usefullateron,whenweanalyzetheefficiencyoftheMillerRabinprimalitytest.
NotethatifxiD1forsome0i<t,WITNESSmightnotcomputetherest
ofthesequence.Ifitweretodoso,however,eachvaluexiC1xiC2:::xtwould
be1,andweconsiderthesepositionsinthesequenceXasbeingall1s.Tenemos
fourcases:
1.XDh:::di,whered1:thesequenceXdoesnotendin1.ReturnTRUE
inline8aisawitnesstothecompositenessofn(byFermat'sTheorem).
2.XDh11:::1i:thesequenceXisall1s.ReturnFALSEaisnotawitness
tothecompositenessofn.
3.XDh:::11:::1i:thesequenceXendsin1,andthelastnon1isequal
to1.ReturnFALSEaisnotawitnesstothecompositenessofn.
4.XDh:::d1:::1i,whered1:thesequenceXendsin1,butthelast
non1isnot1.ReturnTRUEinline6aisawitnesstothecompositeness
ofn,sincedisanontrivialsquarerootof1.
WenowexaminetheMillerRabinprimalitytestbasedontheuseofWITNESS.
Again,weassumethatnisanoddintegergreaterthan2.
MILLERRABIN.ns/
1forjD1tos
2 aDRANDOM.1n1/
3 ifWITNESS.an/
4 returnCOMPOSITE //definitely
5returnPRIME //almostsurely
TheprocedureMILLERRABINisaprobabilisticsearchforaproofthatnis
compuesto.Themainloop(beginningonline1)picksuptosrandomvaluesofa
fromZC
n(line2).Ifoneofthea'spickedisawitnesstothecompositenessofn,
thenMILLERRABINreturnsCOMPOSITEonline4.Sucharesultisalwayscor
rect,bythecorrectnessofWITNESS.IfMILLERRABINfindsnowitnessins
trials,thentheprocedureassumesthatthisisbecausenowitnessesexist,andthere
foreitassumesthatnisprime.Weshallseethatthisresultislikelytobecorrect
ifsislargeenough,butthatthereisstillatinychancethattheproceduremaybe
unluckyinitschoiceofa'sandthatwitnessesdoexisteventhoughnonehasbeen
encontr.
ToillustratetheoperationofMILLERRABIN,letnbetheCarmichaelnum
ber561,sothatn 1D560D24 35,tD4,anduD35.Ifthepro
cedurechoosesaD7asabase,Figure31.4inSection31.6showsthatWIT
NESScomputesx0a35241.mod561/andthuscomputesthesequence
Page92
XDh241298166671i.Thus,WITNESSdiscoversanontrivialsquareroot
of1inthelastsquaringstep,sincea28067.modn/anda5601.modn/.
Therefore,aD7isawitnesstothecompositenessofn,WITNESS.7n/returns
TRUE,andMILLERRABINreturnsCOMPOSITE.
Ifnisabitnumber,MILLERRABINrequiresO.s/arithmeticoperations
andO.s3/bitoperations,sinceitrequiresasymptoticallynomoreworkthans
modularexponentiations.
ErrorrateoftheMillerRabinprimalitytest
IfMILLERRABINreturnsPRIME,thenthereisaveryslimchancethatithasmade
unerror.UnlikePSEUDOPRIME,however,thechanceoferrordoesnotdepend
onntherearenobadinputsforthisprocedure.Rather,itdependsonthesizeofs
andtheluckofthedrawinchoosingbasevaluesa.Moreover,sinceeachtestis
morestringentthanasimplecheckofequation(31.40),wecanexpectongeneral
principlesthattheerrorrateshouldbesmallforrandomlychosenintegersn.los
followingtheorempresentsamorepreciseargument.
Theorem31.38
Ifnisanoddcompositenumber,thenthenumberofwitnessestothecomposite
nessofnisatleast.n1/=2.
ProofTheproofshowsthatthenumberofnonwitnessesisatmost.n1/=2,
whichimpliesthetheorem.
WestartbyclaimingthatanynonwitnessmustbeamemberofZn.Porqu?
Consideranynonwitnessa.Itmustsatisfyan11.modn/or,equivalently,
aan21.modn/.Thus,theequationax1.modn/hasasolution,
namelyan2.ByCorollary31.21,gcd.an/j1,whichinturnimpliesthat
gcd.an/D1.Therefore,aisamemberofZnallnonwitnessesbelongtoZn.
Tocompletetheproof,weshowthatnotonlyareallnonwitnessescontained
inZn,theyareallcontainedinapropersubgroupBofZn(recallthatwesayB
isapropersubgroupofZnwhenBissubgroupofZnbutBisnotequaltoZn).
ByCorollary31.16,wethenhavejBjjZnj=2.SincejZnjn1,weobtain
jBj.n1/=2.Therefore,thenumberofnonwitnessesisatmost.n1/=2,so
thatthenumberofwitnessesmustbeatleast.n1/=2.
WenowshowhowtofindapropersubgroupBofZncontainingallofthe
nonwitnesses.Webreaktheproofintotwocases.
Case1:Thereexistsanx2Znsuchthat
xn161.modn/:
Pgina93
Inotherwords,nisnotaCarmichaelnumber.Because,aswenotedearlier,
Carmichaelnumbersareextremelyrare,case1isthemaincasethatarisesin
practice(eg,whennhasbeenchosenrandomlyandisbeingtestedforprimal
ity).
LetBDfb2ZnWbn11.modn/g.Clearly,Bisnonempty,since12B.
SinceBisclosedundermultiplicationmodulon,wehavethatBisasubgroup
ofZnbyTheorem31.14.NotethateverynonwitnessbelongstoB,sinceanon
witnessasatisfiesan11.modn/.Sincex2Zn B,wehavethatBisa
propersubgroupofZn.
Case2:Forallx2Zn,
xn11.modn/: (31.41)
Inotherwords,nisaCarmichaelnumber.Thiscaseisextremelyrareinprac
TiceHowever,theMillerRabintest(unlikeapseudoprimalitytest)canefficiently
determinethatCarmichaelnumbersarecomposite,aswenowshow.
Inthiscase,ncannotbeaprimepower.Toseewhy,letussupposetothe
contrarythatnDpe,wherepisaprimeande>1.Wederiveacontradiction
comosigue.Sinceweassumethatnisodd,pmustalsobeodd.Theorem31.32
impliesthatZnisacyclicgroup:itcontainsageneratorgsuchthatordn.g/D
jZnjD.n/Dpe.11=p/D.p1/pe1.(Theformulafor.n/comesfrom
equation(31.20).)Byequation(31.41),wehavegn11.modn/.Thenthe
discretelogarithmtheorem(Theorem31.33,takingyD0)impliesthatn10
.mod.n//,or
.p1/pe1jpe 1
Thisisacontradictionfore>1,since.p 1/pe1isdivisiblebytheprimep
butpe 1isnot.Thus,nisnotaprimepower.
Sincetheoddcompositenumbernisnotaprimepower,wedecomposeitinto
aproductn1n2,wheren1andn2areoddnumbersgreaterthan1thatarerelatively
primetoeachother.(Theremaybeseveralwaystodecomposen,anditdoesnot
matterwhichonewechoose.Forexample,ifnDp e e pe
1 2
1p 2
r
r,thenwecan
choosen1Dp e 1 e e pe
2 3
1andn2Dp 2p 3 r.)
r
Recallthatwedefinetandusothatn1D2tu,wheret 1anduisodd,and
thatforaninputa,theprocedureWITNESScomputesthesequence
XDhaua2ua2 u:::a2 ui
2 t
(allcomputationsareperformedmodulon).
Letuscallapair.j/ofintegersacceptableif2Zn,j2f01:::tg,and
2 u1.modn/:
j
Pgina94
Acceptablepairscertainlyexistsinceuisoddwecanchoose Dn 1y
jD0,sothat.n10/isanacceptablepair.Nowpickthelargestpossiblejsuch
thatthereexistsanacceptablepair.j/,andfixsothat.j/isanacceptable
par.Dejar
BDfx2ZnWx2 u1.modn/g:
j
SinceBisclosedundermultiplicationmodulon,itisasubgroupofZn.ByTheo
rem31.15,therefore,jBjdividesjZnj.EverynonwitnessmustbeamemberofB,
sincethesequenceXproducedbyanonwitnessmusteitherbeall1sorelsecontain
a1nolaterthanthejthposition,bythemaximalityofj.(If.aj0/isacceptable,
whereaisanonwitness,wemusthavej0jbyhowwechosej.)
Wenowusetheexistenceoftodemonstratethatthereexistsaw2Zn SEGUNDO,
andhencethatBisapropersubgroupofZn.Since2 u1.modn/,wehave
j
2 u1.modn1/byCorollary31.29totheChineseremaindertheorem. Por
j
Corollary31.28,thereexistsawsimultaneouslysatisfyingtheequations
w .modn1/
w1.modn2/:
Porlotanto,
w2 u 1.modn1/
j
w2 u UN
j 1.modn2/:
ByCorollary31.29,w2 u61.modn1/impliesw2 u61.modn/,and
j j
w2 u61.modn2/impliesw2 u61.modn/.Hence,weconcludethat
j j
w2 u61.modn/,andsow62B.
j
Itremainstoshowthatw2Zn,whichwedobyfirstworkingseparatelymod
ulon1andmodulon2.Workingmodulon1,weobservethatsince 2Zn,we
havethatgcd.n/D1,andsoalsogcd.n1/D1ifdoesnothaveanycom
mondivisorswithn,thenitcertainlydoesnothaveanycommondivisorswithn1.
Sincew .modn1/,weseethatgcd.wn1/D1.Workingmodulon2,we
observethatw1.modn2/impliesgcd.wn2/D1.Tocombinetheseresults,
weuseTheorem31.6,whichimpliesthatgcd.wn1n2/Dgcd.wn/D1.Thatis,
w2Zn.
Thereforew2Zn B,andwefinishcase2withtheconclusionthatBisa
propersubgroupofZn.
Ineithercase,weseethatthenumberofwitnessestothecompositenessofnis
atleast.n1/=2.
Theorem31.39
Foranyoddintegern>2andpositiveintegers,theprobabilitythatMILLER
RABIN.ns/errsisatmost2s.
Pgina95
ProofUsingTheorem31.38,weseethatifniscomposite,theneachexecutionof
theforloopoflines14hasaprobabilityofatleast1=2ofdiscoveringawitnessx
tothecompositenessofn.MILLERRABINmakesanerroronlyifitissounlucky
astomissdiscoveringawitnesstothecompositenessofnoneachofthesiterations
ofthemainloop.Theprobabilityofsuchasequenceofmissesisatmost2s.
Ifnisprime,MILLERRABINalwaysreportsPRIME,andifniscomposite,the
chancethatMILLERRABINreportsPRIMEisatmost2s.
WhenapplyingMILLERRABINtoalargerandomlychosenintegern,however,
weneedtoconsideraswellthepriorprobabilitythatnisprime,inordertocor
rectlyinterpretMILLERRABINsresult.Supposethatwefixabitlengthand
chooseatrandomanintegernoflengthbitstobetestedforprimality.LetA
denotetheeventthatnisprime.Bytheprimenumbertheorem(Theorem31.37),
theprobabilitythatnisprimeisapproximately
PrfAg1=lnn
1:443=:
NowletBdenotetheeventthatM
ILLERRABINreturnsPRIME.Wehavethat

Pr BjA D0(orequivalently,thatPrfBjAgD1)andPr
BjA 2s(or
equivalently,thatPr BjA >12s).
ButwhatisPrfAjBg,theprobabilitythatnisprime,giventhatMILLER
RABINhasreturnedPRIME?BythealternateformofBayes'stheorem(equa
tion(C.18))wehave
PrfAgPrfBjAg
PrfAjBgD
PrfAgPrfBjAgCPr UNPr BjA
1
:
1C2s.lnn1/
Thisprobabilitydoesnotexceed1=2untilsexceedslg.lnn1/.Intuitively,that
manyinitialtrialsareneededjustfortheconfidencederivedfromfailingtofinda
witnesstothecompositenessofntoovercomethepriorbiasinfavorofnbeing
compuesto.ForanumberwithD1024bits,thisinitialtestingrequiresabout
lg.lnn1/ lg.=1:443/
9
trials.Inanycase,choosingsD50shouldsufficeforalmostanyimaginable
solicitud.
Infact,thesituationismuchbetter.Ifwearetryingtofindlargeprimesby
applyingMILLERRABINtolargerandomlychosenoddintegers,thenchoosing
asmallvalueofs(say3)isveryunlikelytoleadtoerroneousresults,though
Pgina96
31.9Integerfactorization 975
wewon'tproveithere.Thereasonisthatforarandomlychosenoddcomposite
integern,theexpectednumberofnonwitnessestothecompositenessofnislikely
tobeverymuchsmallerthan.n1/=2.
Iftheintegernisnotchosenrandomly,however,thebestthatcanbeprovenis
thatthenumberofnonwitnessesisatmost.n1/=4,usinganimprovedversion
ofTheorem31.38.Furthermore,theredoexistintegersnforwhichthenumberof
nonwitnessesis.n1/=4.
Exercises
31.81
Provethatifanoddintegern>1isnotaprimeoraprimepower,thenthereexists
anontrivialsquarerootof1modulon.
31.82?
ItispossibletostrengthenEuler'stheoremslightlytotheform
a.n/1.modn/foralla2Zn
wherenDp 1e 1
pe and.n/isdefinedby
R
r
.n/Dlcm..p e 1
(31.42)
1/:::.pe r//:
r
Provethat.n/j .n/.AcompositenumbernisaCarmichaelnumberif
.n/jn1.ThesmallestCarmichaelnumberis561D31117aqu,
.n/Dlcm.21016/D80,whichdivides560.ProvethatCarmichaelnum
bersmustbebothsquarefree(notdivisiblebythesquareofanyprime)andthe
productofatleastthreeprimes.(Forthisreason,theyarenotverycommon.)
31.83
Provethatifxisanontrivialsquarerootof1,modulon,thengcd.x 1n/and
gcd.xC1n/arebothnontrivialdivisorsofn.
?31.9Integerfactorization
Supposewehaveanintegernthatwewishtofactor,thatis,todecomposeintoa
productofprimes.Theprimalitytestoftheprecedingsectionmaytellusthatnis
composite,butitdoesnottellustheprimefactorsofn.Factoringalargeintegern
seemstobemuchmoredifficultthansimplydeterminingwhethernisprimeor
compuesto.Evenwithtoday'ssupercomputersandthebestalgorithmstodate,we
cannotfeasiblyfactoranarbitrary1024bitnumber.
Page97
Pollard'srhoheuristic
TrialdivisionbyallintegersuptoRisguaranteedtofactorcompletelyanynumber
uptoR2.Forthesameamountofwork,thefollowingprocedure,POLLARDRHO,
factorsanynumberuptoR4(unlessweareunlucky).Sincetheprocedureisonly
aheuristic,neitheritsrunningtimenoritssuccessisguaranteed,althoughthe
procedureishighlyeffectiveinpractice.AnotheradvantageofthePOLLARD
RHOprocedureisthatitusesonlyaconstantnumberofmemorylocations.(Ifyou
wantedto,youcouldeasilyimplementPOLLARDRHOonaprogrammablepocket
calculatortofindfactorsofsmallnumbers.)
POLLARDRHO.n/
1iD1
2x1DRANDOM.0n1/
3yDx1
4kD2
5whileTRUE
6 Idic1
7 xiD.x2 1/modn
i1
8 dDgcd.yxin/
9 ifd1anddn
10 printd
11 ifi==k
12 yDxi
13 kD2k
Theprocedureworksasfollows.Lines12initializeito1andx1toarandomly
chosenvalueinZn.Thewhileloopbeginningonline5iteratesforever,searching
forfactorsofn.Duringeachiterationofthewhileloop,line7usestherecurrence
xiD.x2 1/modn (31.43)
i1
toproducethenextvalueofxiintheinfinitesequence
x1x2x3x4::: (31.44)
withline6correspondinglyincrementingi.Thepseudocodeiswrittenusingsub
scriptedvariablesxiforclarity,buttheprogramworksthesameifallofthesub
scriptsaredropped,sinceonlythemostrecentvalueofxineedstobemaintained.
Withthismodification,theprocedureusesonlyaconstantnumberofmemorylo
Cationes.
Everysooften,theprogramsavesthemostrecentlygeneratedxivalueinthe
variabley.Specifically,thevaluesthataresavedaretheoneswhosesubscriptsare
powersof2:
Pgina98
x1x2x4x8x16::::
Line3savesthevaluex1,andline12savesxkwheneveriisequaltok.El
variablekisinitializedto2inline4,andline13doublesitwheneverline12
updatesy.Therefore,kfollowsthesequence1248:::andalwaysgivesthe
subscriptofthenextvaluexktobesavediny.
Lines810trytofindafactorofn,usingthesavedvalueofyandthecur
rentvalueofxi.Specifically,line8computesthegreatestcommondivisor
dDgcd.yxin/.Ifline9findsdtobeanontrivialdivisorofn,thenline10
printsd.
Thisprocedureforfindingafactormayseemsomewhatmysteriousatfirst.
Note,however,thatPOLLARDRHOneverprintsanincorrectansweranynum
beritprintsisanontrivialdivisorofn.POLLARDRHOmightnotprintanything
atall,thoughitcomeswithnoguaranteethatitwillprintanydivisors.Weshall
see,however,thatwehavegoodreasontoexpectPOLLARDRHOtoprintafac
pag
torpofnafter. p/iterationsofthewhileloop.Thus,ifniscomposite,we
canexpectthisproceduretodiscoverenoughdivisorstofactorncompletelyafter
approximatelyn1=4updates,sinceeveryprimefactorpofnexceptpossiblythe
pag
largestoneislessthan norte.
Webeginouranalysisofhowthisprocedurebehavesbystudyinghowlong
ittakesarandomsequencemodulontorepeatavalue.SinceZnisfinite,and
sinceeachvalueinthesequence(31.44)dependsonlyonthepreviousvalue,the
sequence(31.44)eventuallyrepeatsitself.OncewereachanxisuchthatxiDxj
forsomej<i,weareinacycle,sincexiC1DxjC1,xiC2DxjC2,andsoon.
Thereasonforthenamerhoheuristicisthat,asFigure31.7shows,wecandraw
thesequencex1x2:::xj1asthetailoftherhoandthecyclexjxjC1:::xi
asthebodyoftherho.
Letusconsiderthequestionofhowlongittakesforthesequenceofxitorepeat.
Thisinformationisnotexactlywhatweneed,butweshallseelaterhowtomodify
theargument.Forthepurposeofthisestimation,letusassumethatthefunction
fn.x/D.x2 1/modn
behaveslikearandomfunction.Ofcourse,itisnotreallyrandom,butthisas
sumptionyieldsresultsconsistentwiththeobservedbehaviorofPOLLARDRHO.
WecanthenconsidereachxitohavebeenindependentlydrawnfromZnaccording
toauniformdistributiononZ
pag n.BythebirthdayparadoxanalysisofSection5.4.1,
weexpect. n/stepstobetakenbeforethesequencecycles.
Nowfortherequiredmodification.Letpbeanontrivialfactorofnsuchthat
gcd.pn=p/D1.Forexample,ifnhasthefactorizationnDp e e pe 1 2
1p 2 r,then
r
wemaytakeptobep 1. e 1
(Ife1D1,thenpisjustthesmallestprimefactorofn,
agoodexampletokeepinmind.)
Pgina99
996 310
814 396
x7
00
x 177 7 84
31
x 1186
6 120 x6 18
00
11
x 1194 339
5 529 x5 26
00
47
595 1053
x 63 x x4 63
6 4
0
4 00
x7
0
x 3 8 x3 0 8 x6
0 x3 00 8
diecisis
x 2 3 x2 0 3 x5
0
x2 00 3
x 1 2 x1 0 2 x1
00 2
mod1387 mod19 mod73
(un) (segundo) (do)
Figure31.7Pollard'srhoheuristic.(a)ThevaluesproducedbytherecurrencexiC1re
.xyo
2 1/mod1387,startingwithx1D2.Theprimefactorizationof1387is1973.Theheavy
arrowsindicatetheiterationstepsthatareexecutedbeforethefactor19isdiscovered.Thelight
arrowspointtounreachedvaluesintheiteration,toillustratetherhoshape.Theshadedvaluesare
theyvaluesstoredbyPOLLARDRHO.Thefactor19isdiscovereduponreachingx7D177,when
gcd.63 1771387/D19iscomputed.Thefirstxvaluethatwouldberepeatedis1186,butthe
factor19isdiscoveredbeforethisvalueisrepeated.(b)Thevaluesproducedbythesamerecurrence,
modulo19.Everyvaluexigiveninpart(a)isequivalent,modulo19,tothevaluex0
Forexample,bothx4D63andx7D177areequivalentto6,modulo19.(c)Thevaluesproducedishownhere.
bythesamerecurrence,modulo73.Everyvaluexigiveninpart(a)isequivalent,modulo73,tothe
valuex
ishownhere.BytheChineseremaindertheorem,eachnodeinpart(a)correspondstoapair
00
ofnodes,onefrompart(b)andonefrompart(c).
Thesequencehxiiinducesacorrespondingsequencehx0
iimodulop,where
x0
iDximodp
foralli.
Furthermore,becausefnisdefinedusingonlyarithmeticoperations(squaring
andsubtraction)modulon,wecancomputex0iC1fromx0 ithemodulopviewof
Pgina100
thesequenceisasmallerversionofwhatishappeningmodulon:
x0 DxiC1modp
iC1
Dfn.xi/modp
D..x2 1/modn/modp
yo
D.x2 1/modp (byExercise31.17)
yo
D..ximodp/2 1/modp
D..x0 1/modp
i/2
Dfp.x0 i/:
Thus,althoughwearenotexplicitlycomputingthesequencehx0ii,thissequenceis
welldefinedandobeysthesamerecurrenceasthesequencehxii.
Reasoningasbefore,wefindthattheexpectednumberofstepsbeforethese
pag
quencehx0 p/.Ifpissmallcomparedton,thesequencehx0
iirepeatsis. iimight
repeatmuchmorequicklythanthesequencehxii.Indeed,asparts(b)and(c)of
Figure31.7show,thehx0
iisequencerepeatsassoonastwoelementsofthese
quencehxiiaremerelyequivalentmodulop,ratherthanequivalentmodulon.
Lettdenotetheindexofthefirstrepeatedvalueinthehx0 iisequence,andlet
u>0denotethelengthofthecyclethathasbeentherebyproduced.Thatis,t
andu>0arethesmallestvaluessuchthatx0 tCiDx0tCuCiforalli 0.Bythe
pag
abovearguments,theexpectedvaluesoftanduareboth. p/.Notethatif
xtCi
0
Dx0tCuCi,thenpj.xtCuCi
xtCi/.Thus,gcd.xtCuCi xtCin/>1.
Therefore,oncePOLLARDRHOhassavedasyanyvaluexksuchthatk T,
thenymodpisalwaysonthecyclemodulop.(Ifanewvalueissavedasy,
thatvalueisalsoonthecyclemodulop.)Eventually,kissettoavaluethat
isgreaterthanu,andtheprocedurethenmakesanentirelooparoundthecycle
modulopwithoutchangingthevalueofy.Theprocedurethendiscoversafactor
ofnwhenxirunsintothepreviouslystoredvalueofy,modulop,thatis,when
xiy.modp/.
Presumably,thefactorfoundisthefactorp,althoughitmayoccasionallyhap
penthatamultipleofpisdiscovered.Sincetheexpectedvaluesofbothtanduare
pag pag
. p/,theexpectednumberofstepsrequiredtoproducethefactorpis. p/.
Thisalgorithmmightnotperformquiteasexpected,fortworeasons.Primeroel
heuristicanalysisoftherunningtimeisnotrigorous,anditispossiblethatthecycle
pag
ofvalues,modulop,couldbemuchlargerthan pag.Inthiscase,thealgorithm
performscorrectlybutmuchmoreslowlythandesired.Inpractice,thisissueseems
tobemoot.Second,thedivisorsofnproducedbythisalgorithmmightalwaysbe
oneofthetrivialfactors1orn.Forexample,supposethatnDpq,wherep
andqareprime.Itcanhappenthatthevaluesoftanduforpareidenticalwith
thevaluesoftanduforq,andthusthefactorpisalwaysrevealedinthesame
gcdoperationthatrevealsthefactorq.Sincebothfactorsarerevealedatthesame
Pgina101
time,thetrivialfactorpqDnisrevealed,whichisuseless.Again,thisproblem
seemstobeinsignificantinpractice.Ifnecessary,wecanrestarttheheuristicwith
adifferentrecurrenceoftheformxiC1D.x2 c/modn.(Weshouldavoidthe
yo
valuescD0andcD2forreasonswewillnotgointohere,butothervaluesare
fine.)
Ofcourse,thisanalysisisheuristicandnotrigorous,sincetherecurrenceis
notreallyrandom.Nonetheless,theprocedureperformswellinpractice,and
itseemstobeasefficientasthisheuristicanalysisindicates.Itisthemethodof
choiceforfindingsmallprimefactorsofalargenumber.Tofactorabitcompos
itenumberncompletely,weonlyneedtofindallprimefactorslessthanbn1=2c,
andsoweexpectPOLLARDRHOtorequireatmostn1=4D2=4arithmeticopera
tionsandatmostn1=42D2=42bitoperations.POLLARDRHOsabilitytofind
pag
asmallfactorpofnwithanexpectednumber. p/ofarithmeticoperationsis
oftenitsmostappealingfeature.
Exercises
31.91
ReferringtotheexecutionhistoryshowninFigure31.7(a),whendoesPOLLARD
RHOprintthefactor73of1387?
31.92
SupposethatwearegivenafunctionfWZn!Znandaninitialvaluex02Zn.
DefinexiDf.xi1/foriD12:::.Lettandu>0bethesmallestvaluessuch
thatxtCiDxtCuCiforiD01:::.IntheterminologyofPollard'srhoalgorithm,
tisthelengthofthetailanduisthelengthofthecycleoftherho.Giveanefficient
algorithmtodeterminetanduexactly,andanalyzeitsrunningtime.
31.93
HowmanystepswouldyouexpectPOLLARDRHOtorequiretodiscoverafactor
oftheformpe,wherepisprimeande>1?
31.94?
OnedisadvantageofPOLLARDRHOaswrittenisthatitrequiresonegcdcompu
tationforeachstepoftherecurrence.Instead,wecouldbatchthegcdcomputa
tionsbyaccumulatingtheproductofseveralxivaluesinarowandthenusingthis
productinsteadofxiinthegcdcomputation.Describecarefullyhowyouwould
implementthisidea,whyitworks,andwhatbatchsizeyouwouldpickasthemost
effectivewhenworkingonabitnumbern.
Pgina102
Problemas
311Binarygcdalgorithm
Mostcomputerscanperformtheoperationsofsubtraction,testingtheparity(odd
oreven)ofabinaryinteger,andhalvingmorequicklythancomputingremainders.
Thisprobleminvestigatesthebinarygcdalgorithm,whichavoidstheremainder
computationsusedinEuclid'salgorithm.
a.Provethatifaandbarebotheven,thengcd.ab/D2gcd.a=2b=2/.
segundo.Provethatifaisoddandbiseven,thengcd.ab/Dgcd.ab=2/.
do.Provethatifaandbarebothodd,thengcd.ab/Dgcd..ab/=2b/.
re.Designanefficientbinarygcdalgorithmforinputintegersaandb,where
un b,thatrunsinO.lga/time.Assumethateachsubtraction,paritytest,
andhalvingtakesunittime.
312AnalysisofbitoperationsinEuclid'salgorithm
a.Considertheordinarypaperandpencilalgorithmforlongdivision:dividing
abyb,whichyieldsaquotientqandremainderr.Showthatthismethod
requiresO..1Clgq/lgb/bitoperations.
segundo.Define.ab/D.1Clga/.1Clgb/.Showthatthenumberofbitoperations
performedbyEUCLIDinreducingtheproblemofcomputinggcd.ab/tothat
ofcomputinggcd.bamodb/isatmostc..ab/ .bamodb//forsome
sufficientlylargeconstantc>0.
do.ShowthatEUCLID.ab/requiresO..ab//bitoperationsingeneraland
O.2/bitoperationswhenappliedtotwobitinputs.
313ThreealgorithmsforFibonaccinumbers
ThisproblemcomparestheefficiencyofthreemethodsforcomputingthenthFi
bonaccinumberFn,givenn.Assumethatthecostofadding,subtracting,ormul
tiplyingtwonumbersisO.1/,independentofthesizeofthenumbers.
a.Showthattherunningtimeofthestraightforwardrecursivemethodforcom
putingFnbasedonrecurrence(3.22)isexponentialinn.(See,forexample,the
FIBprocedureonpage775.)
segundo.ShowhowtocomputeFninOn/timeusingmemoization.
Pgina103
do.ShowhowtocomputeFninO.lgn/timeusingonlyintegeradditionandmul
tiplication.(Hint:Considerthematrix
UN UN
01
11
anditspowers.)
re.Assumenowthataddingtwobitnumberstakes./timeandthatmulti
plyingtwobitnumberstakes.2/time.Whatistherunningtimeofthese
threemethodsunderthismorereasonablecostmeasurefortheelementaryarith
meticoperations?
314Quadraticresidues
Letpbeanoddprime.Anumbera2Zpisaquadraticresidueiftheequation
x2Da.modp/hasasolutionfortheunknownx.
a.Showthatthereareexactly.p1/=2quadraticresidues,modulop.
segundo.Ifpisprime,wedefinetheLegendresymbol.un
p/,fora2Zp,tobe1ifaisa
quadraticresiduemodulopand1otherwise.Provethatifa2Zp,then
UN
un
a.p1/=2.modp/:
pag
Giveanefficientalgorithmthatdetermineswhetheragivennumberaisaqua
draticresiduemodulop.Analyzetheefficiencyofyouralgorithm.
do.Provethatifpisaprimeoftheform4kC3andaisaquadraticresidueinZp,
thenakC1modpisasquarerootofa,modulop.Howmuchtimeisrequired
tofindthesquarerootofaquadraticresidueamodulop?
re.Describeanefficientrandomizedalgorithmforfindinganonquadraticresidue,
moduloanarbitraryprimep,thatis,amemberofZpthatisnotaquadratic
residuo.Howmanyarithmeticoperationsdoesyouralgorithmrequireonaver
age?
Chapternotes
NivenandZuckerman[265]provideanexcellentintroductiontoelementarynum
bertheory.Knuth[210]containsagooddiscussionofalgorithmsforfindingthe
Pgina104
greatestcommondivisor,aswellasotherbasicnumbertheoreticalgorithms.Llevarunavidadesoltero
[30]andRiesel[295]providemorerecentsurveysofcomputationalnumberthe
OryDixon[91]givesanoverviewoffactorizationandprimalitytesting.los
conferenceproceedingseditedbyPomerance[280]containsseveralexcellentsur
veyarticles.Morerecently,BachandShallit[31]haveprovidedanexceptional
overviewofthebasicsofcomputationalnumbertheory.
Knuth[210]discussestheoriginofEuclid'salgorithm.ItappearsinBook7,
Propositions1and2,oftheGreekmathematicianEuclid'sElements,whichwas
writtenaround300B.C.Euclid'sdescriptionmayhavebeenderivedfromanal
gorithmduetoEudoxusaround375B.C.Euclid'salgorithmmayholdthehonor
ofbeingtheoldestnontrivialalgorithmitisrivaledonlybyanalgorithmformul
tiplicationknowntotheancientEgyptians.Shallit[312]chroniclesthehistoryof
theanalysisofEuclid'salgorithm.
KnuthattributesaspecialcaseoftheChineseremaindertheorem(Theo
rem31.27)totheChinesemathematicianSunTsu,wholivedsometimebetween
200B.C.andA.D.200thedateisquiteuncertain.Thesamespecialcasewas
givenbytheGreekmathematicianNichomachusaroundA.D.100.Itwasgener
alizedbyChhinChiuShaoin1247.TheChineseremaindertheoremwasfinally
statedandprovedinitsfullgeneralitybyL.Eulerin1734.
TherandomizedprimalitytestingalgorithmpresentedhereisduetoMiller[255]
andRabin[289]itisthefastestrandomizedprimalitytestingalgorithmknown,
towithinconstantfactors.TheproofofTheorem31.39isaslightadaptationof
onesuggestedbyBach[29].AproofofastrongerresultforMILLERRABIN
wasgivenbyMonier[258,259].Formanyyearsprimalitytestingwastheclassic
exampleofaproblemwhererandomizationappearedtobenecessarytoobtain
anefficient(polynomialtime)algorithm.In2002,however,Agrawal,Kayal,and
Saxema[4]surprisedeveryonewiththeirdeterministicpolynomialtimeprimality
testingalgorithm.Untilthen,thefastestdeterministicprimalitytestingalgorithm
known,duetoCohenandLenstra[73],ranintime.lgn/O.lglglgn/oninputn,which
isjustslightlysuperpolynomial.Nonetheless,forpracticalpurposesrandomized
primalitytestingalgorithmsremainmoreefficientandarepreferred.
Theproblemoffindinglargerandomprimesisnicelydiscussedinanarticle
byBeauchemin,Brassard,Crpeau,Goutier,andPomerance[36].
TheconceptofapublickeycryptosystemisduetoDiffieandHellman[87].
TheRSAcryptosystemwasproposedin1977byRivest,Shamir,andAdleman
[296].Sincethen,thefieldofcryptographyhasblossomed.Ourunderstanding
oftheRSAcryptosystemhasdeepened,andmodernimplementationsusesignif
icantrefinementsofthebasictechniquespresentedhere.Inaddition,manynew
techniqueshavebeendevelopedforprovingcryptosystemstobesecure.Forex
ample,GoldwasserandMicali[142]showthatrandomizationcanbeaneffective
toolinthedesignofsecurepublickeyencryptionschemes.Forsignatureschemes,
Pgina105
Goldwasser,Micali,andRivest[143]presentadigitalsignatureschemeforwhich
everyconceivabletypeofforgeryisprovablyasdifficultasfactoring.Menezes,
vanOorschot,andVanstone[254]provideanoverviewofappliedcryptography.
TherhoheuristicforintegerfactorizationwasinventedbyPollard[277].los
versionpresentedhereisavariantproposedbyBrent[56].
Thebestalgorithmsforfactoringlargenumbershavearunningtimethatgrows
roughlyexponentiallywiththecuberootofthelengthofthenumberntobefac
tored.Thegeneralnumberfieldsievefactoringalgorithm(asdevelopedbyBuh
ler,Lenstra,andPomerance[57]asanextensionoftheideasinthenumberfield
sievefactoringalgorithmbyPollard[278]andLenstraetal.[232]andrefinedby
Coppersmith[77]andothers)isperhapsthemostefficientsuchalgorithmingen
eralforlargeinputs.Althoughitisdifficulttogivearigorousanalysisofthis
algorithm,underreasonableassumptionswecanderivearunningtimeestimateof
L.1=3n/1:902Co.1/,whereL.n/De.lnn/ .lnlnn/
1 .
TheellipticcurvemethodduetoLenstra[233]maybemoreeffectiveforsome
inputsthanthenumberfieldsievemethod,since,likePollard'srhomethod,itcan
findasmallprimefactorpquitequickly.Withthismethod,thetimetofindpis
pag
estimatedtobeL.1=2p/ 2Co.1/.
Pgina106
32 StringMatching
Texteditingprogramsfrequentlyneedtofindalloccurrencesofapatterninthe
text.Typically,thetextisadocumentbeingedited,andthepatternsearchedforisa
particularwordsuppliedbytheuser.Efficientalgorithmsforthisproblemcalled
stringmatchingcangreatlyaidtheresponsivenessofthetexteditingprogram.
Amongtheirmanyotherapplications,stringmatchingalgorithmssearchforpar
ticularpatternsinDNAsequences.Internetsearchenginesalsousethemtofind
Webpagesrelevanttoqueries.
Weformalizethestringmatchingproblemasfollows.Weassumethatthe
textisanarrayT1::noflengthnandthatthepatternisanarrayP1::m
oflengthmn.WefurtherassumethattheelementsofPandTarechar
actersdrawnfromafinitealphabet.Forexample,wemayhaveDf0,1g
orDfab:::zg.ThecharacterarraysPandTareoftencalledstringsof
caracteres.
ReferringtoFigure32.1,wesaythatpatternPoccurswithshiftsintextT
(or,equivalently,thatpatternPoccursbeginningatpositionsC1intextT)if
0snmandTsC1::sCmDP1::m(thatis,ifTsCjDPj,for
1jm).IfPoccurswithshiftsinT,thenwecallsavalidshiftotherwise,
wecallsaninvalidshift.Thestringmatchingproblemistheproblemoffinding
allvalidshiftswithwhichagivenpatternPoccursinagiventextT.
textT abcabaabcabac
s=3
patternP abaa
Figure32.1Anexampleofthestringmatchingproblem,wherewewanttofindalloccurrencesof
thepatternPDabaainthetextTDabcabaabcabac.Thepatternoccursonlyonceinthetext,
atshiftsD3,whichwecallavalidshift.Averticallineconnectseachcharacterofthepatterntoits
matchingcharacterinthetext,andallmatchedcharactersareshaded.
Pgina107
986 Chapter32StringMatching
Algoritmo Preprocessingtime Matchingtime

Ingenuo 0 O..nmC1/m/
RabinKarp .m/ O..nmC1/m/
Finiteautomaton O.mjj/ .n/
KnuthMorrisPratt .m/ .n/
Figure32.2Thestringmatchingalgorithmsinthischapterandtheirpreprocessingandmatching
veces.
Exceptforthenaivebruteforcealgorithm,whichwereviewinSection32.1,
eachstringmatchingalgorithminthischapterperformssomepreprocessingbased
onthepatternandthenfindsallvalidshiftswecallthislatterphasematching.
Figure32.2showsthepreprocessingandmatchingtimesforeachofthealgorithms
inthischapter.Thetotalrunningtimeofeachalgorithmisthesumoftheprepro
cessingandmatchingtimes.Section32.2presentsaninterestingstringmatching
algorithm,duetoRabinandKarp.Althoughthe..n mC1/m/worstcase
runningtimeofthisalgorithmisnobetterthanthatofthenaivemethod,itworks
muchbetteronaverageandinpractice.Italsogeneralizesnicelytootherpattern
matchingproblems.Section32.3thendescribesastringmatchingalgorithmthat
beginsbyconstructingafiniteautomatonspecificallydesignedtosearchforoccur
rencesofthegivenpatternPinatext.ThisalgorithmtakesO.mjj/preprocess
ingtime,butonly.n/matchingtime.Section32.4presentsthesimilar,butmuch
cleverer,KnuthMorrisPratt(orKMP)algorithmithasthesame.n/matching
time,anditreducesthepreprocessingtimetoonly.m/.
Notationandterminology
Wedenoteby(readsigmastar)thesetofallfinitelengthstringsformed
usingcharactersfromthealphabet.Inthischapter,weconsideronlyfinite
lengthstrings.Thezerolengthemptystring,denoted",alsobelongsto.The
lengthofastringxisdenotedjxj.Theconcatenationoftwostringsxandy,
denotedxy,haslengthjxjCjyjandconsistsofthecharactersfromxfollowedby
thecharactersfromy.
Wesaythatastringwisaprefixofastringx,denotedwx,ifxDwyfor
somestringy2.Notethatifwx,thenjwjjxj.Similarly,wesaythata
stringwisasuffixofastringx,denotedwZx,ifxDywforsomey2.Como
withaprefix,wZximpliesjwjjxj.Forexample,wehaveababccaand
ccaZabcca.Theemptystring"isbothasuffixandaprefixofeverystring.For
anystringsxandyandanycharactera,wehavexZyifandonlyifxaZya.
Page108
Chapter32StringMatching 987
x x x
Z Z Z
Y Y Y
x x x
Y Y Y
(un) (segundo) (do)
Figure32.3AgraphicalproofofLemma32.1.Wesupposethatx=andy=.Thethreeparts
ofthefigureillustratethethreecasesofthelemma.Verticallinesconnectmatchingregions(shown
shaded)ofthestrings.(a)Ifjxjjyj,thenx=y.(b)Ifjxjjyj,theny=x.(c)IfjxjDjyj,
thenxDy.
AlsonotethatandZaretransitiverelations.Thefollowinglemmawillbeuseful
luego.
Lemma32.1(Overlappingsuffixlemma)
Supposethatx,y,andarestringssuchthatxZandyZ.Ifjxjjyj,
thenxZy.Ifjxjjyj,thenyZx.IfjxjDjyj,thenxDy.
ProofSeeFigure32.3foragraphicalproof.
Forbrevityofnotation,wedenotethekcharacterprefixP1::kofthepattern
P1::mbyPk.Thus,P0D"andPmDPDP1::m.Similarly,wedenote
thekcharacterprefixofthetextTbyTk.Usingthisnotation,wecanstatethe
stringmatchingproblemasthatoffindingallshiftssintherange0snm
suchthatPZTsCm.
Inourpseudocode,weallowtwoequallengthstringstobecomparedforequal
ityasaprimitiveoperation.Ifthestringsarecomparedfromlefttorightandthe
comparisonstopswhenamismatchisdiscovered,weassumethatthetimetaken
bysuchatestisalinearfunctionofthenumberofmatchingcharactersdiscovered.
Tobeprecise,thetestx==yisassumedtotaketime.tC1/,wheretisthe
lengthofthelongeststringsuchthatxandy.(Wewrite.tC1/
ratherthan.t/tohandlethecaseinwhichtD0thefirstcharacterscompared
donotmatch,butittakesapositiveamountoftimetoperformthiscomparison.)
Page109
32.1Thenaivestringmatchingalgorithm
Thenaivealgorithmfindsallvalidshiftsusingaloopthatchecksthecondition
P1::mDTsC1::sCmforeachofthenmC1possiblevaluesofs.
NAIVESTRINGMATCHER.TP/
1nDT:length
2mDP:length
3forsD0tonm
4 ifP1::m==TsC1::sCm
5 printPatternoccurswithshifts
Figure32.4portraysthenaivestringmatchingprocedureasslidingatemplate
containingthepatternoverthetext,notingforwhichshiftsallofthecharacters
onthetemplateequalthecorrespondingcharactersinthetext.Theforloopof
lines35considerseachpossibleshiftexplicitly.Thetestinline4determines
whetherthecurrentshiftisvalidthistestimplicitlyloopstocheckcorresponding
characterpositionsuntilallpositionsmatchsuccessfullyoramismatchisfound.
Line5printsouteachvalidshifts.
ProcedureNAIVESTRINGMATCHERtakestimeO..nmC1/m/,andthis
boundistightintheworstcase.Forexample,considerthetextstringan(astring
ofna's)andthepatternam.ForeachofthenmC1possiblevaluesoftheshifts,
theimplicitlooponline4tocomparecorrespondingcharactersmustexecutem
timestovalidatetheshift.Theworstcaserunningtimeisthus..nmC1/m/,
whichis.n2/ifmDbn=2c.Becauseitrequiresnopreprocessing,NAIVE
STRINGMATCHERsrunningtimeequalsitsmatchingtime.
acaabc acaabc acaabc acaabc
s=0 s=1 s=2 s=3

aab aab aab aab
(un) (segundo) (do) (re)
Figure32.4TheoperationofthenaivestringmatcherforthepatternPDaabandthetext
TDacaabc.WecanimaginethepatternPasatemplatethatweslidenexttothetext.(a)(d)The
foursuccessivealignmentstriedbythenaivestringmatcher.Ineachpart,verticallinesconnectcor
respondingregionsfoundtomatch(shownshaded),andajaggedlineconnectsthefirstmismatched
characterfound,ifany.Thealgorithmfindsoneoccurrenceofthepattern,atshiftsD2,shownin
part(c).
Pgina110
32.1Thenaivestringmatchingalgorithm 989
Asweshallsee,NAIVESTRINGMATCHERisnotanoptimalprocedureforthis
problema.Indeed,inthischapterweshallseethattheKnuthMorrisPrattalgorithm
ismuchbetterintheworstcase.Thenaivestringmatcherisinefficientbecause
itentirelyignoresinformationgainedaboutthetextforonevalueofswhenit
considersothervaluesofs.Suchinformationcanbequitevaluable,however.por
example,ifPDaaabandwefindthatsD0isvalid,thennoneoftheshifts1,2,
or3arevalid,sinceT4Db.Inthefollowingsections,weexamineseveralways
tomakeeffectiveuseofthissortofinformation.
Exercises
32.11
ShowthecomparisonsthenaivestringmatchermakesforthepatternPD0001
inthetextTD000010001010001.
32.12
SupposethatallcharactersinthepatternParedifferent.Showhowtoaccelerate
NAIVESTRINGMATCHERtorunintimeOn/onanncharactertextT.
32.13
SupposethatpatternPandtextTarerandomlychosenstringsoflengthmandn,
respectively,fromthedaryalphabetdDf01:::re 1g,whered 2.Show
thattheexpectednumberofcharactertocharactercomparisonsmadebytheim
plicitloopinline4ofthenaivealgorithmis
1dm
.nmC1/ 2.nmC1/
1d1
overallexecutionsofthisloop.(Assumethatthenaivealgorithmstopscomparing
charactersforagivenshiftonceitfindsamismatchormatchestheentirepattern.)
Thus,forrandomlychosenstrings,thenaivealgorithmisquiteefficient.
32.14
SupposeweallowthepatternPtocontainoccurrencesofagapcharacter}that
canmatchanarbitrarystringofcharacters(evenoneofzerolength).Porejemplo,
thepatternab}ba}coccursinthetextcabccbacbacabas
' ' ' " '
cab Cc licenciadoenLetras
cba do Ab
Ab } licenciadoenLetras
} do
ycomo
' ' ' '
cab ccbac licenciadoenLetras
do ab:
Ab } licenciadoenLetras
} do
Pgina111
Notethatthegapcharactermayoccuranarbitrarynumberoftimesinthepattern
butnotatallinthetext.Giveapolynomialtimealgorithmtodeterminewhether
suchapatternPoccursinagiventextT,andanalyzetherunningtimeofyour
algoritmo.
32.2TheRabinKarpalgorithm
RabinandKarpproposedastringmatchingalgorithmthatperformswellinprac
ticeandthatalsogeneralizestootheralgorithmsforrelatedproblems,suchas
twodimensionalpatternmatching.TheRabinKarpalgorithmuses.m/prepro
cessingtime,anditsworstcaserunningtimeis..nmC1/m/.Basedoncertain
assumptions,however,itsaveragecaserunningtimeisbetter.
Thisalgorithmmakesuseofelementarynumbertheoreticnotionssuchasthe
equivalenceoftwonumbersmoduloathirdnumber.Youmightwanttoreferto
Section31.1fortherelevantdefinitions.
Forexpositorypurposes,letusassumethatDf012:::9g,sothateach
characterisadecimaldigit.(Inthegeneralcase,wecanassumethateachcharac
terisadigitinradixdnotation,wheredDjj.)Wecanthenviewastringofk
consecutivecharactersasrepresentingalengthkdecimalnumber.Thecharacter
string31415thuscorrespondstothedecimalnumber31,415.Becauseweinter
prettheinputcharactersasbothgraphicalsymbolsanddigits,wefinditconvenient
inthissectiontodenotethemaswewoulddigits,inourstandardtextfont.
GivenapatternP1::m,letpdenoteitscorrespondingdecimalvalue.Inasim
ilarmanner,givenatextT1::n,lettsdenotethedecimalvalueofthelengthm
substringTsC1::sCm,forsD01:::nm.Certainly,tsDpifandonly
ifTsC1::sCmDP1::mthus,sisavalidshiftifandonlyiftsDp.Sinosotros
couldcomputepintime.m/andallthetsvaluesinatotalof.nmC1/time,1
thenwecoulddetermineallvalidshiftssintime.m/C.nmC1/D.n/
bycomparingpwitheachofthetsvalues.(Forthemoment,let'snotworryabout
thepossibilitythatpandthetsvaluesmightbeverylargenumbers.)
Wecancomputepintime.m/usingHorner'srule(seeSection30.1):
pDPmC10.Pm1C10.Pm2CC10.P2C10P1///:
Similarly,wecancomputet0fromT1::mintime.m/.
1Wewrite.nmC1/insteadof.nm/becausestakesonnmC1differentvalues.los
C1issignificantinanasymptoticsensebecausewhenmDn,computingthelonetsvaluetakes
.1/time,not.0/time.
Pgina112
32.2TheRabinKarpalgorithm 991
Tocomputetheremainingvaluest1t2:::tnmintime.nm/,weobserve
thatwecancomputetsC1fromtsinconstanttime,since
tsC1D10.ts 10m1TsC1/CTsCmC1: (32.1)
Subtracting10m1TsC1removesthehighorderdigitfromts,multiplyingthe
resultby10shiftsthenumberleftbyonedigitposition,andaddingTsCmC1
bringsintheappropriateloworderdigit.Forexample,ifmD5andtsD31415,
thenwewishtoremovethehighorderdigitTsC1D3andbringinthenew
loworderdigit(supposeitisTsC5C1D2)toobtain
tsC1 D10.31415100003/C2
D14152:
Ifweprecomputetheconstant10m1(whichwecandointimeO.lgm/usingthe
techniquesofSection31.6,althoughforthisapplicationastraightforwardOm/
timemethodsuffices),theneachexecutionofequation(32.1)takesaconstantnum
berofarithmeticoperations.Thus,wecancomputepintime.m/,andwecan
computealloft0t1:::tnmintime.nmC1/.Therefore,wecanfindall
occurrencesofthepatternP1::minthetextT1::nwith.m/preprocessing
timeand.nmC1/matchingtime.
Untilnow,wehaveintentionallyoverlookedoneproblem:pandtsmaybe
toolargetoworkwithconveniently.IfPcontainsmcharacters,thenwecannot
reasonablyassumethateacharithmeticoperationonp(whichismdigitslong)
takesconstanttime.Fortunately,wecansolvethisproblemeasily,asFigure32.5
shows:computepandthetsvaluesmoduloasuitablemodulusq.Wecancompute
pmoduloqin.m/timeandallthet svaluesmoduloqin.nmC1/time.
Ifwechoosethemodulusqasaprimesuchthat10qjustfitswithinonecomputer
word,thenwecanperformallthenecessarycomputationswithsingleprecision
aritmtica.Ingeneral,withadaryalphabetf01:::re 1g,wechooseqso
thatdqfitswithinacomputerwordandadjusttherecurrenceequation(32.1)to
workmoduloq,sothatitbecomes
tsC1D.dts TsC1h/CTsCmC1/modq (32.2)
wherehdm1.modq/isthevalueofthedigit1inthehighorderposition
ofanmdigittextwindow.
Thesolutionofworkingmoduloqisnotperfect,however:tsp.modq/
doesnotimplythattsDp.Ontheotherhand,ifts6p.modq/,thenwe
definitelyhavethattsp,sothatshiftsisinvalid.Wecanthususethetest
tsp.modq/asafastheuristictesttoruleoutinvalidshiftss.Anyshiftsfor
whichtsp.modq/mustbetestedfurthertoseewhethersisreallyvalidor
wejusthaveaspurioushit.Thisadditionaltestexplicitlychecksthecondition
Page113
2359023141526739921
mod13
7
(un)
1 2 3 4 5 6 7 8 910111213141516171819
2359023141526739921
... ... ...
mod13
8931101 7 8 4 5 10 11 7 911
valid spurious
partido golpear
(segundo)
antiguo nuevo antiguo nuevo

highorder loworder highorder loworder
dgito dgito dgito cambio dgito
314152 14152 (31415310000)10+2(mod13)

(733)10+2(mod13)
8(mod13)
78
(do)
Figure32.5TheRabinKarpalgorithm.Eachcharacterisadecimaldigit,andwecomputevalues
modulo13.(a)Atextstring.Awindowoflength5isshownshaded.Thenumericalvalueofthe
shadednumber,computedmodulo13,yieldsthevalue7.(b)Thesametextstringwithvaluescom
putedmodulo13foreachpossiblepositionofalength5window.AssumingthepatternPD31415,
welookforwindowswhosevaluemodulo13is7,since314157.mod13/.Thealgorithmfinds
twosuchwindows,shownshadedinthefigure.Thefirst,beginningattextposition7,isindeedan
occurrenceofthepattern,whilethesecond,beginningattextposition13,isaspurioushit.(c)How
tocomputethevalueforawindowinconstanttime,giventhevalueforthepreviouswindow.los
firstwindowhasvalue31415.Droppingthehighorderdigit3,shiftingleft(multiplyingby10),and
thenaddingintheloworderdigit2givesusthenewvalue14152.Becauseallcomputationsare
performedmodulo13,thevalueforthefirstwindowis7,andthevalueforthenewwindowis8.
Pgina114
32.2TheRabinKarpalgorithm 993
P1::mDTsC1::sCm.Ifqislargeenough,thenwehopethatspurious
hitsoccurinfrequentlyenoughthatthecostoftheextracheckingislow.
Thefollowingproceduremakestheseideasprecise.Theinputstotheprocedure
arethetextT,thepatternP,theradixdtouse(whichistypicallytakentobejj),
andtheprimeqtouse.
RABINKARPMATCHER.TPdq/
1nDT:length
2mDP:length
3hDdm1modq
4pD0
5t0D0
6foriD1tom //preprocessing
7 pD.dpCPi/modq
8 t0D.dt0CTi/modq
9forsD0tonm //matching
10 ifp==ts
11 ifP1::m==TsC1::sCm
13 ifs<nm
14 tsC1D.dts TsC1h/CTsCmC1/modq
TheprocedureRABINKARPMATCHERworksasfollows.Allcharactersare
interpretedasradixddigits.Thesubscriptsontareprovidedonlyforclarityel
programworkscorrectlyifallthesubscriptsaredropped.Line3initializeshtothe
valueofthehighorderdigitpositionofanmdigitwindow.Lines48computep
asthevalueofP1::mmodqandt0asthevalueofT1::mmodq.Thefor
loopoflines914iteratesthroughallpossibleshiftss,maintainingthefollowing
invariant:
Wheneverline10isexecuted,tsDTsC1::sCmmodq.
IfpDtsinline10(ahit),thenline11checkstoseewhetherP1::mD
TsC1::sCminordertoruleoutthepossibilityofaspurioushit.Line12prints
outanyvalidshiftsthatarefound.Ifs<nm(checkedinline13),thenthefor
loopwillexecuteatleastonemoretime,andsoline14firstexecutestoensurethat
theloopinvariantholdswhenwegetbacktoline10.Line14computesthevalue
oftsC1modqfromthevalueoftsmodqinconstanttimeusingequation(32.2)
directamente.
RABINKARPMATCHERtakes.m/preprocessingtime,anditsmatchingtime
is..nmC1/m/intheworstcase,since(likethenaivestringmatchingalgo
rithm)theRabinKarpalgorithmexplicitlyverifieseveryvalidshift.IfPDam
Pgina115
andTDan,thenverifyingtakestime..nmC1/m/,sinceeachofthenmC1
possibleshiftsisvalid.
Inmanyapplications,weexpectfewvalidshiftsperhapssomeconstantcof
ellos.Insuchapplications,theexpectedmatchingtimeofthealgorithmisonly
O..nmC1/Ccm/DOnCm/,plusthetimerequiredtoprocessspurious
hits.Wecanbaseaheuristicanalysisontheassumptionthatreducingvaluesmod
uloqactslikearandommappingfromtoZq.(Seethediscussionontheuseof
divisionforhashinginSection11.3.1.Itisdifficulttoformalizeandprovesuchan
assumption,althoughoneviableapproachistoassumethatqischosenrandomly
fromintegersoftheappropriatesize.Weshallnotpursuethisformalizationhere.)
WecanthenexpectthatthenumberofspurioushitsisOn=q/,sincewecanes
timatethechancethatanarbitrarytswillbeequivalenttop,moduloq,as1=q.
SincethereareOn/positionsatwhichthetestofline10failsandwespendOm/
timeforeachhit,theexpectedmatchingtimetakenbytheRabinKarpalgorithm
es
On/COmCn=q//
whereisthenumberofvalidshifts.ThisrunningtimeisOn/ifDO.1/and
wechooseq metro.Thatis,iftheexpectednumberofvalidshiftsissmall(O.1/)
andwechoosetheprimeqtobelargerthanthelengthofthepattern,thenwe
canexpecttheRabinKarpproceduretouseonlyOnCm/matchingtime.Yaque
mn,thisexpectedmatchingtimeisOn/.
Exercises
32.21
WorkingmoduloqD11,howmanyspurioushitsdoestheRabinKarpmatcheren
counterinthetextTD3141592653589793whenlookingforthepatternPD26?
32.22
HowwouldyouextendtheRabinKarpmethodtotheproblemofsearchingatext
stringforanoccurrenceofanyoneofagivensetofkpatterns?Startbyassuming
thatallkpatternshavethesamelength.Thengeneralizeyoursolutiontoallowthe
patternstohavedifferentlengths.
32.23
ShowhowtoextendtheRabinKarpmethodtohandletheproblemoflookingfor
agivenmmpatterninannnarrayofcharacters.(Thepatternmaybeshifted
verticallyandhorizontally,butitmaynotberotated.)
Pgina116
32.3Stringmatchingwithfiniteautomata 995
32.24
AlicehasacopyofalongnbitfileADhan1an2:::a0i,andBobsimilarly
hasannbitfileBDhbn1bn2:::b0i.AliceandBobwishtoknowiftheir
filesareidentical.ToavoidtransmittingallofAorB,theyusethefollowingfast
probabilisticcheck.Together,theyselectaprimeq>1000nandrandomlyselect
anintegerxfromf01:::q1g.Then,Aliceevaluates
!
xN1
Ax/D aixi modq
ID0
andBobsimilarlyevaluatesBx/.ProvethatifAB,thereisatmostone
chancein1000thatAx/DBx/,whereasifthetwofilesarethesame,Ax/is
necessarilythesameasBx/.(Hint:SeeExercise31.44.)
32.3Stringmatchingwithfiniteautomata
Manystringmatchingalgorithmsbuildafiniteautomatonasimplemachinefor
processinginformationthatscansthetextstringTforalloccurrencesofthepat
ternP.Thissectionpresentsamethodforbuildingsuchanautomaton.Estas
stringmatchingautomataareveryefficient:theyexamineeachtextcharacterex
actlyonce,takingconstanttimepertextcharacter.Thematchingtimeusedafter
preprocessingthepatterntobuildtheautomatonistherefore.n/.Thetimeto
buildtheautomaton,however,canbelargeifislarge.Section32.4describesa
cleverwayaroundthisproblem.
Webeginthissectionwiththedefinitionofafiniteautomaton.Wethenexamine
aspecialstringmatchingautomatonandshowhowtouseittofindoccurrences
ofapatterninatext.Finally,weshallshowhowtoconstructthestringmatching
automatonforagiveninputpattern.
Finiteautomata
AfiniteautomatonM,illustratedinFigure32.6,isa5tuple.Qq0A/,
dnde
Qisafinitesetofstates,
q02Qisthestartstate,
AQisadistinguishedsetofacceptingstates,
isafiniteinputalphabet,
isafunctionfromQintoQ,calledthetransitionfunctionofM.
Pgina117
un
input segundo
estado Ab 0 1
0 10 un
1 00 segundo
(un) (segundo)
Figure32.6AsimpletwostatefiniteautomatonwithstatesetQDf01g,startstateq0D0,
andinputalphabetDfabg.(a)Atabularrepresentationofthetransitionfunction.(b)An
equivalentstatetransitiondiagram.State1,shownblackend,istheonlyacceptingstate.Directed
edgesrepresenttransitions.Forexample,theedgefromstate1tostate0labeledbindicatesthat
.1b/D0.Thisautomatonacceptsthosestringsthatendinanoddnumberofa's.Moreprecisely,
itacceptsastringxifandonlyifxDy,whereyD"oryendswithab,andDak,wherekis
odd.Forexample,oninputabaaa,includingthestartstate,thisautomatonentersthesequenceof
statesh010101i,andsoitacceptsthisinput.Forinputabbaa,itentersthesequenceofstates
h010010i,andsoitrejectsthisinput.
Thefiniteautomatonbeginsinstateq0andreadsthecharactersofitsinputstring
oneatatime.Iftheautomatonisinstateqandreadsinputcharactera,itmoves
(makesatransition)fromstateqtostate.qa/.Wheneveritscurrentstateqis
amemberofA,themachineMhasacceptedthestringreadsofar.Aninputthat
isnotacceptedisrejected.
AfiniteautomatonMinducesafunction,calledthefinalstatefunction,
fromtoQsuchthat.w/isthestateMendsupinafterscanningthestringw.
Thus,Macceptsastringwifandonlyif.w/2A.Wedefinethefunction
recursively,usingthetransitionfunction:
."/Dq0
.wa/D..w/a/forw2a2.
Stringmatchingautomata
ForagivenpatternP,weconstructastringmatchingautomatoninapreprocess
ingstepbeforeusingittosearchthetextstring.Figure32.7illustrateshowwe
constructtheautomatonforthepatternPDababaca.Fromnowon,weshall
assumethatPisagivenfixedpatternstringforbrevity,weshallnotindicatethe
dependenceuponPinournotation.
Inordertospecifythestringmatchingautomatoncorrespondingtoagivenpat
ternP1::m,wefirstdefineanauxiliaryfunction,calledthesuffixfunction
correspondingtoP.Thefunctionmapstof01:::mgsuchthat.x/isthe
lengthofthelongestprefixofPthatisalsoasuffixofx:
.x/DmaxfkWPkZxg: (32.3)
Pgina118
un un
un un
0 un 1 segundo
2 un 3 segundo
4 un 5 do 6 un 7
segundo
segundo
(un)
input
estadoaBC PAG
0 100 un
1 120 segundo
2 300 un
3 140 segundo
4 500 un
5 146 do yo 1234567891011
6 700 un Ti abababacaba
7 120 state.T /
i 012345456723
(segundo) (do)
Figure32.7(a)Astatetransitiondiagramforthestringmatchingautomatonthatacceptsall
stringsendinginthestringababaca.State0isthestartstate,andstate7(shownblackened)is
theonlyacceptingstate.Adirectededgefromstateitostatejlabeledarepresents.ia/Dj.los
rightgoingedgesformingthespineoftheautomaton,shownheavyinthefigure,correspondto
successfulmatchesbetweenpatternandinputcharacters.Theleftgoingedgescorrespondtofailing
partidos.Someedgescorrespondingtofailingmatchesareomittedbyconvention,ifastateihas
nooutgoingedgelabeledaforsomea2,then.ia/D0.(b)Thecorrespondingtransition
function,andthepatternstringPDababaca.Theentriescorrespondingtosuccessfulmatches
betweenpatternandinputcharactersareshownshaded.(c)Theoperationoftheautomatononthe
textTDabababacaba.UndereachtextcharacterTiappearsthestate.Ti/thattheautoma
tonisinafterprocessingtheprefixTi.Theautomatonfindsoneoccurrenceofthepattern,endingin
position9.
Thesuffixfunction iswelldefinedsincetheemptystringP0D"isasuf
fixofeverystring.Asexamples,forthepatternPDab,wehave."/D0,
.ccaca/D1,and.ccab/D2.ForapatternPoflengthm,wehave
.x/DmifandonlyifPZx.Fromthedefinitionofthesuffixfunction,
xZyimplies.x/.y/.
Wedefinethestringmatchingautomatonthatcorrespondstoagivenpattern
P1::masfollows:
Pgina119
ThestatesetQisf01:::Mg.Thestartstateq0isstate0,andstatemisthe
onlyacceptingstate.
Thetransitionfunctionisdefinedbythefollowingequation,foranystateq
andcharactera:
.qa/D.Pqa/: (32.4)
Wedefine.qa/D.Pqa/becausewewanttokeeptrackofthelongestpre
fixofthepatternPthathasmatchedthetextstringTsofar.Weconsiderthe
mostrecentlyreadcharactersofT.InorderforasubstringofTlet'ssaythe
substringendingatTitomatchsomeprefixPjofP,thisprefixPjmustbea
suffixofTi.SupposethatqD.Ti/,sothatafterreadingTi,theautomatonisin
stateq.Wedesignthetransitionfunctionsothatthisstatenumber,q,tellsusthe
lengthofthelongestprefixofPthatmatchesasuffixofTi.Thatis,instateq,
PqZTiandqD.Ti/.(WheneverqDm,allmcharactersofPmatchasuffix
ofTi,andsowehavefoundamatch.)Thus,since.Ti/and.Ti/bothequalq,
weshallsee(inTheorem32.4,below)thattheautomatonmaintainsthefollowing
invariant:
.Ti/D.Ti/: (32.5)
IftheautomatonisinstateqandreadsthenextcharacterTiC1Da,thenwe
wantthetransitiontoleadtothestatecorrespondingtothelongestprefixofPthat
isasuffixofTia,andthatstateis.Tia/.BecausePqisthelongestprefixofP
thatisasuffixofTi,thelongestprefixofPthatisasuffixofTiaisnotonly.Tia/,
butalso.Pqa/.(Lemma32.3,onpage1000,provesthat.Tia/D.Pqa/.)
Thus,whentheautomatonisinstateq,wewantthetransitionfunctiononcharac
teratotaketheautomatontostate.Pqa/.
Therearetwocasestoconsider.Inthefirstcase,aDPqC1,sothatthe
characteracontinuestomatchthepatterninthiscase,because.qa/DqC1,the
transitioncontinuestogoalongthespineoftheautomaton(theheavyedgesin
Figure32.7).Inthesecondcase,aPqC1,sothatadoesnotcontinuetomatch
thepattern.Here,wemustfindasmallerprefixofPthatisalsoasuffixofTi.
Becausethepreprocessingstepmatchesthepatternagainstitselfwhencreatingthe
stringmatchingautomaton,thetransitionfunctionquicklyidentifiesthelongest
suchsmallerprefixofP.
Let'slookatanexample.ThestringmatchingautomatonofFigure32.7has
.5c/D6,illustratingthefirstcase,inwhichthematchcontinues.Toillus
tratethesecondcase,observethattheautomatonofFigure32.7has.5b/D4.
WemakethistransitionbecauseiftheautomatonreadsabinstateqD5,then
PqbDababab,andthelongestprefixofPthatisalsoasuffixofabababis
P4Dabab.
Page120
Pr1 un
Pr
Figure32.8AnillustrationfortheproofofLemma32.2.Thefigureshowsthatr.x/C1,
whererD.xa/.
Toclarifytheoperationofastringmatchingautomaton,wenowgiveasimple,
efficientprogramforsimulatingthebehaviorofsuchanautomaton(represented
byitstransitionfunction)infindingoccurrencesofapatternPoflengthminan
inputtextT1::n.Asforanystringmatchingautomatonforapatternoflengthm,
thestatesetQisf01:::mg,thestartstateis0,andtheonlyacceptingstateis
statem.
FINITEAUTOMATONMATCHER.Tmetro/
1nDT:length
2qD0
3foriD1ton
4 qD.qTi/
5 ifq==m
6 printPatternoccurswithshiftim
FromthesimpleloopstructureofFINITEAUTOMATONMATCHER,wecaneasily
seethatitsmatchingtimeonatextstringoflengthnis.n/.Thismatching
time,however,doesnotincludethepreprocessingtimerequiredtocomputethe
transitionfunction.Weaddressthisproblemlater,afterfirstprovingthatthe
procedureFINITEAUTOMATONMATCHERoperatescorrectly.
ConsiderhowtheautomatonoperatesonaninputtextT1::n.Weshallprove
thattheautomatonisinstate.Ti/afterscanningcharacterTi.Since.Ti/Dm
ifandonlyifPZTi,themachineisintheacceptingstatemifandonlyifithas
justscannedthepatternP.Toprovethisresult,wemakeuseofthefollowingtwo
lemmasaboutthesuffixfunction.
Lemma32.2(Suffixfunctioninequality)
Foranystringxandcharactera,wehave.xa/.x/C1.
ProofReferringtoFigure32.8,letrD.xa/.IfrD0,thentheconclusion
.xa/Dr.x/C1istriviallysatisfied,bythenonnegativityof.x/.Ahora
assumethatr>0.Then,PrZxa,bythedefinitionof.Thus,Pr1Zx,by
Pgina121
un
Pq un
Pr
Figure32.9AnillustrationfortheproofofLemma32.3.ThefigureshowsthatrD.Pqa/,
whereqD.x/andrD.xa/.
droppingtheafromtheendofPrandfromtheendofxa.Therefore,r1.x/,
since.x/isthelargestksuchthatPkZx,andthus.xa/Dr.x/C1.
Lemma32.3(Suffixfunctionrecursionlemma)
Foranystringxandcharactera,ifqD.x/,then.xa/D.Pqa/.
ProofFromthedefinitionof,wehavePqZx.AsFigure32.9shows,we
alsohavePqaZxa.IfweletrD.xa/,thenPrZxaand,byLemma32.2,
rqC1.Thus,wehavejPrjDrqC1DjPqaj.SincePqaZxa,PrZxa,
andjPrjjPqaj,Lemma32.1impliesthatPrZPqa.Therefore,r.Pqa/,
thatis,.xa/.Pqa/.Butwealsohave.Pqa/.xa/,sincePqaZxa.
Thus,.xa/D.Pqa/.
Wearenowreadytoproveourmaintheoremcharacterizingthebehaviorofa
stringmatchingautomatononagiveninputtext.Asnotedabove,thistheorem
showsthattheautomatonismerelykeepingtrack,ateachstep,ofthelongest
prefixofthepatternthatisasuffixofwhathasbeenreadsofar.Inotherwords,
theautomatonmaintainstheinvariant(32.5).
Theorem32.4
IfisthefinalstatefunctionofastringmatchingautomatonforagivenpatternP
andT1::nisaninputtextfortheautomaton,then
.Ti/D.Ti/
foriD01:::norte.
ProofTheproofisbyinductiononi.ForiD0,thetheoremistriviallytrue,
sinceT0D".Thus,.T0/D0D.T0/.
Page122
Now,weassumethat.Ti/D.Ti/andprovethat.TiC1/D.TiC1/.Letq
denote.Ti/,andletadenoteTiC1.Entonces,
.TiC1/D .Tia/ (bythedefinitionsofTiC1anda)
D..Ti/a/(bythedefinitionof)
D.qa/ (bythedefinitionofq)
re .Pqa/ (bythedefinition(32.4)of)
re .Tia/ (byLemma32.3andinduction)
re .TiC1/ (bythedefinitionofTiC1).
ByTheorem32.4,ifthemachineentersstateqonline4,thenqisthelargest
valuesuchthatPqZTi.Thus,wehaveqDmonline5ifandonlyifthema
chinehasjustscannedanoccurrenceofthepatternP.WeconcludethatFINITE
AUTOMATONMATCHERoperatescorrectly.
Computingthetransitionfunction
Thefollowingprocedurecomputesthetransitionfunctionfromagivenpattern
P1::m.
COMPUTETRANSITIONFUNCTION.P/
1mDP:length
2forqD0tom
3 foreachcharactera2
54 kDmin.mC1qC2/
repetir
6 kDk1
7 untilPkZPqa
8 .qa/Dk
9return
Thisprocedurecomputes.qa/inastraightforwardmanneraccordingtoitsdef
initioninequation(32.4).Thenestedloopsbeginningonlines2and3consider
allstatesqandallcharactersa,andlines48set.qa/tobethelargestksuch
thatPkZPqa.Thecodestartswiththelargestconceivablevalueofk,whichis
min.mqC1/.ItthendecreaseskuntilPkZPqa,whichmusteventuallyoccur,
sinceP0D"isasuffixofeverystring.
TherunningtimeofCOMPUTETRANSITIONFUNCTIONisOm3jj/,be
causetheouterloopscontributeafactorofmjj,theinnerrepeatloopcanrun
atmostmC1times,andthetestPkZPqaonline7canrequirecomparingup
Pgina123
tomcharacters.Muchfasterproceduresexistbyutilizingsomecleverlycom
putedinformationaboutthepatternP(seeExercise32.48),wecanimprovethe
timerequiredtocomputefromPtoO.mjj/.Withthisimprovedprocedurefor
computing,wecanfindalloccurrencesofalengthmpatterninalengthntext
overanalphabetwithO.mjj/preprocessingtimeand.n/matchingtime.
Exercises
32.31
ConstructthestringmatchingautomatonforthepatternPDaababandillustrate
itsoperationonthetextstringTDaaababaabaababaab.
32.32
Drawastatetransitiondiagramforastringmatchingautomatonforthepattern
ababbabbababbababbabboverthealphabetDfabg.
32.33
WecallapatternPnonoverlappableifPkZPqimplieskD0orkDq.De
scribethestatetransitiondiagramofthestringmatchingautomatonforanonover
lappablepattern.
32.34?
GiventwopatternsPandP0,describehowtoconstructafiniteautomatonthat
determinesalloccurrencesofeitherpattern.Trytominimizethenumberofstates
inyourautomaton.
32.35
GivenapatternPcontaininggapcharacters(seeExercise32.14),showhowto
buildafiniteautomatonthatcanfindanoccurrenceofPinatextTinOn/
matchingtime,wherenDjTj.
?32.4TheKnuthMorrisPrattalgorithm
WenowpresentalineartimestringmatchingalgorithmduetoKnuth,Morris,and
Pratt.Thisalgorithmavoidscomputingthetransitionfunctionaltogether,andits
matchingtimeis.n/usingjustanauxiliaryfunction,whichweprecompute
fromthepatternintime.m/andstoreinanarray1::m.Thearrayallows
ustocomputethetransitionfunctionefficiently(inanamortizedsense)onthe
flyasneeded.Looselyspeaking,foranystateqD01:::mandanycharacter
Pgina124
32.4TheKnuthMorrisPrattalgorithm 1003
a2,thevalueqcontainstheinformationweneedtocompute.qa/but
thatdoesnotdependona.Sincethearray hasonlymentries,whereashas
.mjj/entries,wesaveafactorofjjinthepreprocessingtimebycomputing
ratherthan.
Theprefixfunctionforapattern
Theprefixfunction forapatternencapsulatesknowledgeabouthowthepat
ternmatchesagainstshiftsofitself.Wecantakeadvantageofthisinformationto
avoidtestinguselessshiftsinthenaivepatternmatchingalgorithmandtoavoid
precomputingthefulltransitionfunctionforastringmatchingautomaton.
Considertheoperationofthenaivestringmatcher.Figure32.10(a)showsa
particularshiftsofatemplatecontainingthepatternPDababacaagainsta
textT.Forthisexample,qD5ofthecharactershavematchedsuccessfully,but
the6thpatterncharacterfailstomatchthecorrespondingtextcharacter.Lasinformaciones
mationthatqcharactershavematchedsuccessfullydeterminesthecorresponding
textcharacters.Knowingtheseqtextcharactersallowsustodetermineimmedi
atelythatcertainshiftsareinvalid.Intheexampleofthefigure,theshiftsC1is
necessarilyinvalid,sincethefirstpatterncharacter(a)wouldbealignedwithatext
characterthatweknowdoesnotmatchthefirstpatterncharacter,butdoesmatch
thesecondpatterncharacter(b).Theshifts0DsC2showninpart(b)ofthefig
ure,however,alignsthefirstthreepatterncharacterswiththreetextcharactersthat
mustnecessarilymatch.Ingeneral,itisusefultoknowtheanswertothefollowing
question:
GiventhatpatterncharactersP1::qmatchtextcharactersTsC1::sCq,
whatistheleastshifts0>ssuchthatforsomek<q,
P1::kDTs0C1::s0Ck (32.6)
wheres0CkDsCq?
Inotherwords,knowingthatPqZTsCq,wewantthelongestproperprefixPk
ofPqthatisalsoasuffixofTsCq.(Sinces0CkDsCq,ifwearegivens
andq,thenfindingthesmallestshifts0istantamounttofindingthelongestprefix
lengthk.)WeaddthedifferenceqkinthelengthsoftheseprefixesofPtothe
shiftstoarriveatournewshifts0,sothats0DsCqk/.Inthebestcase,kD0,
sothats0DsCq,andweimmediatelyruleoutshiftssC1sC2:::sCq1.
Inanycase,atthenewshifts0wedon'tneedtocomparethefirstkcharactersofP
withthecorrespondingcharactersofT,sinceequation(32.6)guaranteesthatthey
match.
Wecanprecomputethenecessaryinformationbycomparingthepatternagainst
itself,asFigure32.10(c)demonstrates.SinceTs0C1::s0Ckispartofthe
Pgina125
bacbab abaabcbab T
S aba baca PAG

Q
(un)
bacbab abaabcbab T
s=s+2 aba baca PAG

K
(segundo)
Ab aba Pq
aba Pk
(do)
Figure32.10Theprefixfunction.(a)ThepatternPDababacaalignswithatextTsothat
thefirstqD5charactersmatch.Matchingcharacters,shownshaded,areconnectedbyverticallines.
(b)Usingonlyourknowledgeofthe5matchedcharacters,wecandeducethatashiftofsC1is
invalid,butthatashiftofs0DsC2isconsistentwitheverythingweknowaboutthetextandtherefore
ispotentiallyvalid.(c)Wecanprecomputeusefulinformationforsuchdeductionsbycomparingthe
patternwithitself.Here,weseethatthelongestprefixofPthatisalsoapropersuffixofP5isP3.
Werepresentthisprecomputedinformationinthearray,sothat5D3.Giventhatqcharacters
havematchedsuccessfullyatshifts,thenextpotentiallyvalidshiftisats0DsC.qq/asshown
inpart(b).
knownportionofthetext,itisasuffixofthestringPq.Therefore,wecaninterpret
equation(32.6)asaskingforthegreatestk<qsuchthatPkZPq.Then,thenew
shifts0DsC.qk/isthenextpotentiallyvalidshift.Wewillfinditconvenientto
store,foreachvalueofq,thenumberkofmatchingcharactersatthenewshifts0,
ratherthanstoring,say,s0 S
Weformalizetheinformationthatweprecomputeasfollows.Givenapattern
P1::m,theprefixfunctionforthepatternPisthefunctionWf12:::mg!
f01:::m1gsuchthat
qDmaxfkWk<qandPkZPqg:
Thatis,qisthelengthofthelongestprefixofPthatisapropersuffixofPq.
Figure32.11(a)givesthecompleteprefixfunctionforthepatternababaca.
Pgina126
P 5 ababaca
P 3 ababaca 5D3
P 1 ababaca 3D1
yo 1234567
Pi ababaca
P 0 " ababaca 1D0
i 0012301
(un) (segundo)
Figure32.11AnillustrationofLemma32.5forthepatternPDababacaandqD5.(a)The
functionforthegivenpattern.Since5D3,3D1,and1D0,byiterating weobtain
5Df310g.(b)WeslidethetemplatecontainingthepatternPtotherightandnotewhensome
prefixPkofPmatchesupwithsomepropersuffixofP5wegetmatcheswhenkD3,1,and0.In
thefigure,thefirstrowgivesP,andthedottedverticallineisdrawnjustafterP5.Successiverows
showalltheshiftsofPthatcausesomeprefixPkofPtomatchsomesuffixofP5.Successfully
matchedcharactersareshownshaded.Verticallinesconnectalignedmatchingcharacters.As,
fkWk<5andPk=P5gDf310g.Lemma32.5claimsthat qDfkWk<qandPk=Pqg
forallq.
ThepseudocodebelowgivestheKnuthMorrisPrattmatchingalgorithmas
theprocedureKMPMATCHER.Forthemostpart,theprocedurefollowsfrom
FINITEAUTOMATONMATCHER,asweshallsee.KMPMATCHERcallstheaux
iliaryprocedureCOMPUTEPREFIXFUNCTIONtocompute.
KMPMATCHER.TP/
1nDT:length
2mDP:length
3 DCOMPUTEPREFIXFUNCTION.P/
4qD0 //numberofcharactersmatched
5foriD1ton //scanthetextfromlefttoright
6 whileq>0andPqC1Ti
7 qDq //nextcharacterdoesnotmatch
8 ifPqC1==Ti
9 qDqC1 //nextcharactermatches
10 ifq==m //isallofPmatched?
11 printPatternoccurswithshiftim
12 qDq //lookforthenextmatch
Page127
COMPUTEPREFIXFUNCTION.P/
1mDP:length
2let1::mbeanewarray
3 1D0
4kD0
5forqD2tom
6 whilek>0andPkC1Pq
7 kDk
8 ifPkC1==Pq
9 kDkC1
10 qDk
11return
Thesetwoprocedureshavemuchincommon,becausebothmatchastringagainst
thepatternP:KMPMATCHERmatchesthetextTagainstP,andCOMPUTE
PREFIXFUNCTIONmatchesPagainstitself.
Webeginwithananalysisoftherunningtimesoftheseprocedures.Proving
theseprocedurescorrectwillbemorecomplicated.
Runningtimeanalysis
TherunningtimeofCOMPUTEPREFIXFUNCTIONis.m/,whichweshowby
usingtheaggregatemethodofamortizedanalysis(seeSection17.1).Lonico
trickypartisshowingthatthewhileloopoflines67executesOm/timesalto
JuntosWeshallshowthatitmakesatmostm1iterations.Westartbymaking
someobservationsaboutk.First,line4startskat0,andtheonlywaythatk
increasesisbytheincrementoperationinline9,whichexecutesatmostonceper
iterationoftheforloopoflines510.Thus,thetotalincreaseinkisatmostm1.
Second,sincek<quponenteringtheforloopandeachiterationoftheloopin
crementsq,wealwayshavek<q.Therefore,theassignmentsinlines3and10
ensurethatq<qforallqD12:::m,whichmeansthateachiterationof
thewhileloopdecreasesk.Third,kneverbecomesnegative.Puttingthesefacts
together,weseethatthetotaldecreaseinkfromthewhileloopisboundedfrom
abovebythetotalincreaseinkoveralliterationsoftheforloop,whichism1.
Thus,thewhileloopiteratesatmostm1timesinall,andCOMPUTEPREFIX
FUNCTIONrunsintime.m/.
Exercise32.44asksyoutoshow,byasimilaraggregateanalysis,thatthematch
ingtimeofKMPMATCHERis.n/.
ComparedwithFINITEAUTOMATONMATCHER,byusingratherthan,we
havereducedthetimeforpreprocessingthepatternfromO.mjj/to.m/,while
keepingtheactualmatchingtimeboundedby.n/.
Pgina128
Correctnessoftheprefixfunctioncomputation
Weshallseealittlelaterthattheprefixfunctionhelpsussimulatethetransition
functioninastringmatchingautomaton.Butfirst,weneedtoprovethatthe
procedureCOMPUTEPREFIXFUNCTIONdoesindeedcomputetheprefixfunc
tioncorrectly.Inordertodoso,wewillneedtofindallprefixesPkthatareproper
suffixesofagivenprefixPq.Thevalueofqgivesusthelongestsuchprefix,but
thefollowinglemma,illustratedinFigure32.11,showsthatbyiteratingtheprefix
function,wecanindeedenumeratealltheprefixesPkthatarepropersuffixes
ofPq.Dejar
qDfq.2/q.3/q:::.t/qg
where.i/qisdefinedintermsoffunctionaliteration,sothat.0/qDqand
.i/qD.i1/qfori 1,andwherethesequencein qstopsupon
reaching.t/qD0.
Lemma32.5(Prefixfunctioniterationlemma)
LetPbeapatternoflengthmwithprefixfunction.Then,forqD12:::m,
wehave qDfkWk<qandPkZPqg.
ProofWefirstprovethat qfkWk<qandPkZPqgor,equivalently,
i2 qimpliesPiZPq: (32.7)
Ifi2 q,theniD.u/qforsomeu>0.Weproveequation(32.7)by
inductiononu.ForuD1,wehaveiDq,andtheclaimfollowssincei<q
andPqZPqbythedefinitionof.Usingtherelationsi<iandPiZPi
andthetransitivityof<andZestablishestheclaimforalliin q.Porlotanto,
qfkWk<qandPkZPqg.
WenowprovethatfkWk<qandPkZPqg qbycontradiction.Sup
posetothecontrarythatthesetfkWk<qandPkZPqg qisnonempty,
andletjbethelargestnumberintheset.Becauseqisthelargestvaluein
fkWk<qandPkZPqgandq2 q,wemusthavej<q,andsowe
letj0denotethesmallestintegerin qthatisgreaterthanj.(Wecanchoose
j0Dqifnoothernumberin qisgreaterthanj.)WehavePjZPqbecause
j2fkWk<qandPkZPqg,andfromj02 qandequation(32.7),wehave
Pj ZPq.Thus,PjZPj byLemma32.1,andjisthelargestvaluelessthanj0
0 0
withthisproperty.Therefore,wemusthavej0Djand,sincej02 q,we
musthavej2 qaswell.Thiscontradictionprovesthelemma.
ThealgorithmCOMPUTEPREFIXFUNCTIONcomputesq,inorder,forqD
12:::metro.Setting1to0inline3ofCOMPUTEPREFIXFUNCTIONiscer
tainlycorrect,sinceq<qforallq.Weshallusethefollowinglemmaand
Pgina129
itscorollarytoprovethatCOMPUTEPREFIXFUNCTIONcomputesqcorrectly
forq>1.
Lemma32.6
LetPbeapatternoflengthm,andlet betheprefixfunctionforP.ForqD
12:::m,ifq>0,thenq12 q1.
ProofLetrDq>0,sothatr<qandPrZPqthus,r 1<q1and
Pr1ZPq1(bydroppingthelastcharacterfromPrandPq,whichwecando
becauser>0).ByLemma32.5,therefore,r 12 q 1.Thus,wehave
q1Dr12 q1.
ForqD23:::m,definethesubsetEq1 q1by
Eq1Dfk2 q1WPkC1DPqg
DfkWk<q1andPkZPq1andPkC1DPqg(byLemma32.5)
DfkWk<q1andPkC1ZPqg:
ThesetEq1consistsofthevaluesk<q1forwhichPkZPq1andforwhich,
becausePkC1DPq,wehavePkC1ZPq.Thus,Eq1consistsofthose
valuesk2 q1suchthatwecanextendPktoPkC1andgetapropersuffix
ofPq.
Corollary32.7
LetPbeapatternoflengthm,andlet betheprefixfunctionforP.ForqD
23:::m,
(
0 ifEq1D
qD
1Cmaxfk2Eq1gifEq1:
ProofIfEq1isempty,thereisnok2 q1(includingkD0)forwhich
wecanextendPktoPkC1andgetapropersuffixofPq.ThereforeqD0.
IfEq1isnonempty,thenforeachk2Eq1wehavekC1<qandPkC1ZPq.
Therefore,fromthedefinitionofq,wehave
q 1Cmaxfk2Eq1g: (32.8)
Notethatq>0.LetrD q 1,sothatrC1D qandthere
forePrC1ZPq.SincerC1>0,wehavePrC1DPq.Adems,
byLemma32.6,wehaver2 q 1.Therefore,r2Eq1,andsor
maxfk2Eq1gor,equivalently,
q1Cmaxfk2Eq1g: (32,9)
Combiningequations(32.8)and(32.9)completestheproof.
Pgina130
WenowfinishtheproofthatCOMPUTEPREFIXFUNCTIONcomputes cor
Directamente.IntheprocedureCOMPUTEPREFIXFUNCTION,atthestartofeachiter
ationoftheforloopoflines510,wehavethatkDq 1.Thiscondition
isenforcedbylines3and4whentheloopisfirstentered,anditremainstruein
eachsuccessiveiterationbecauseofline10.Lines69adjustksothatitbecomes
thecorrectvalueofq.Thewhileloopoflines67searchesthroughallvalues
k2 q1untilitfindsavalueofkforwhichPkC1DPqatthatpoint,
kisthelargestvalueinthesetEq1,sothat,byCorollary32.7,wecansetq
tokC1.Ifthewhileloopcannotfindak2 q1suchthatPkC1DPq,
thenkequals0atline8.IfP1DPq,thenweshouldsetbothkandqto1
otherwiseweshouldleavekaloneandsetqto0.Lines810setkandq
correctlyineithercase.ThiscompletesourproofofthecorrectnessofCOMPUTE
PREFIXFUNCTION.
CorrectnessoftheKnuthMorrisPrattalgorithm
WecanthinkoftheprocedureKMPMATCHERasareimplementedversionof
theprocedureFINITEAUTOMATONMATCHER,butusingtheprefixfunction
tocomputestatetransitions.Specifically,weshallprovethatintheithiterationof
theforloopsofbothKMPMATCHERandFINITEAUTOMATONMATCHER,the
stateqhasthesamevaluewhenwetestforequalitywithm(atline10inKMP
MATCHERandatline5inFINITEAUTOMATONMATCHER).Oncewehave
arguedthatKMPMATCHERsimulatesthebehaviorofFINITEAUTOMATON
MATCHER,thecorrectnessofKMPMATCHERfollowsfromthecorrectnessof
FINITEAUTOMATONMATCHER(thoughweshallseealittlelaterwhyline12in
KMPMATCHERisnecessary).
BeforeweformallyprovethatKMPMATCHERcorrectlysimulatesFINITE
AUTOMATONMATCHER,let'stakeamomenttounderstandhowtheprefixfunc
Cin replacesthetransitionfunction.Recallthatwhenastringmatching
automatonisinstateqanditscansacharacteraDTi,itmovestoanew
state.qa/.IfaDPqC1,sothatacontinuestomatchthepattern,then
.qa/DqC1.Otherwise,aPqC1,sothatadoesnotcontinuetomatch
thepattern,and0.qa/q.Inthefirstcase,whenacontinuestomatch,
KMPMATCHERmovestostateqC1withoutreferringtothe function:the
whilelooptestinline6comesupfalsethefirsttime,thetestinline8comesup
true,andline9incrementsq.
Thefunctioncomesintoplaywhenthecharacteradoesnotcontinuetomatch
thepattern,sothatthenewstate.qa/iseitherqortotheleftofqalongthespine
oftheautomaton.Thewhileloopoflines67inKMPMATCHERiteratesthrough
thestatesin q,stoppingeitherwhenitarrivesinastate,sayq0,suchthata
matchesPq0C1orq0hasgoneallthewaydownto0.IfamatchesPq0C1,
Pgina131
thenline9setsthenewstatetoq0C1,whichshouldequal.qa/forthesimulation
toworkcorrectly.Inotherwords,thenewstate.qa/shouldbeeitherstate0or
onegreaterthansomestatein q.
Let'slookattheexampleinFigures32.7and32.11,whichareforthepattern
PDababaca.SupposethattheautomatonisinstateqD5thestatesin
5are,indescendingorder,3,1,and0.Ifthenextcharacterscannedisc,then
wecaneasilyseethattheautomatonmovestostate.5c/D6inbothFINITE
AUTOMATONMATCHERandKMPMATCHER.Nowsupposethatthenextchar
acterscannedisinsteadb,sothattheautomatonshouldmovetostate.5b/D4.
ThewhileloopinKMPMATCHERexitshavingexecutedline7once,anditar
rivesinstateq0D5D3.SincePq0C1DP4Db,thetestinline8
comesuptrue,andKMPMATCHERmovestothenewstateq0C1D4D.5b/.
Finally,supposethatthenextcharacterscannedisinsteada,sothattheautoma
tonshouldmovetostate.5a/D1.Thefirstthreetimesthatthetestinline6
executes,thetestcomesuptrue.Thefirsttime,wefindthatP6Dca,and
KMPMATCHERmovestostate5D3(thefirststatein 5).Elsegundo
time,wefindthatP4Dbaandmovetostate3D1(thesecondstate
en 5).Thethirdtime,wefindthatP2Dbaandmovetostate1D0
(thelaststatein 5).Thewhileloopexitsonceitarrivesinstateq0D0.Now,
line8findsthatPq0C1DP1Da,andline9movestheautomatontothenew
stateq0C1D1D.5a/.
Thus,ourintuitionisthatKMPMATCHERiteratesthroughthestatesin qin
decreasingorder,stoppingatsomestateq0andthenpossiblymovingtostateq0C1.
Althoughthatmightseemlikealotofworkjusttosimulatecomputing.qa/,
bearinmindthatasymptotically,KMPMATCHERisnoslowerthanFINITE
AUTOMATONMATCHER.
WearenowreadytoformallyprovethecorrectnessoftheKnuthMorrisPratt
algoritmo.ByTheorem32.4,wehavethatqD.Ti/aftereachtimeweexecute
line4ofFINITEAUTOMATONMATCHER.Therefore,itsufficestoshowthatthe
samepropertyholdswithregardtotheforloopinKMPMATCHER.Theproof
proceedsbyinductiononthenumberofloopiterations.Initially,bothprocedures
setqto0astheyentertheirrespectiveforloopsforthefirsttime.Consideritera
tionioftheforloopinKMPMATCHER,andletq0bestateatthestartofthisloop
iteration.Bytheinductivehypothesis,wehaveq0D.Ti1/.Weneedtoshow
thatqD.Ti/atline10.(Again,weshallhandleline12separately.)
WhenweconsiderthecharacterTi,thelongestprefixofPthatisasuffixofTi
iseitherPq C1(ifPq0C1DTi)orsomeprefix(notnecessarilyproper,and
0
possiblyempty)ofPq .Weconsiderseparatelythethreecasesinwhich.Ti/D0,
0
.Ti/Dq0C1,and0<.Ti/q0.
Page132
If.Ti/D0,thenP0D"istheonlyprefixofPthatisasuffixofTi.Thewhile
loopoflines67iteratesthroughthevaluesin q0,butalthoughPqZTifor
everyq2 q0,theloopneverfindsaqsuchthatPqC1DTi.Theloop
terminateswhenqreaches0,andofcourseline9doesnotexecute.Porlotanto,
qD0atline10,sothatqD.Ti/.
If.Ti/Dq0C1,thenPq0C1DTi,andthewhilelooptestinline6
failsthefirsttimethrough.Line9executes,incrementingqsothatafterward
wehaveqDq0C1D.Ti/.
If0<.Ti/q0,thenthewhileloopoflines67iteratesatleastonce,
checkingindecreasingordereachvalueq2 q0untilitstopsatsomeq<q0.
Thus,PqisthelongestprefixofPq forwhichPqC1DTi,sothatwhenthe
0
whileloopterminates,qC1D.Pq Ti/.Sinceq0D.Ti1/,Lemma32.3
0
impliesthat.Ti1Ti/D.Pq Ti/.Thus,wehave
0
qC1D .Pq Ti/

0
re .Ti1Ti/
re .Ti/
whenthewhileloopterminates.Afterline9incrementsq,wehaveqD.Ti/.
Line12isnecessaryinKMPMATCHER,becauseotherwise,wemightrefer
encePmC1online6afterfindinganoccurrenceofP.(Theargumentthat
qD.Ti1/uponthenextexecutionofline6remainsvalidbythehintgivenin
Exercise32.48:.ma/D.ma/or,equivalently,.Pa/D.Pma/for
anya2.)TheremainingargumentforthecorrectnessoftheKnuthMorris
PrattalgorithmfollowsfromthecorrectnessofFINITEAUTOMATONMATCHER,
sincewehaveshownthatKMPMATCHERsimulatesthebehaviorofFINITE
AUTOMATONMATCHER.
Exercises
32.41
Computetheprefixfunctionforthepatternababbabbabbababbabb.
32.42
Giveanupperboundonthesizeof qasafunctionofq.Giveanexampleto
showthatyourboundistight.
32.43
ExplainhowtodeterminetheoccurrencesofpatternPinthetextTbyexamining
thefunctionforthestringPT(thestringoflengthmCnthatistheconcatenation
ofPandT).
Pgina133
32.44
UseanaggregateanalysistoshowthattherunningtimeofKMPMATCHER
is.n/.
32.45
UseapotentialfunctiontoshowthattherunningtimeofKMPMATCHERis.n/.
32.46
ShowhowtoimproveKMPMATCHERbyreplacingtheoccurrenceofinline7
(butnotline12)by0,where0isdefinedrecursivelyforqD12:::m1by
Un
theequation
0 ifqD0
0qD 0qifq0andPqC1DPqC1
q ifq0andPqC1PqC1:
Explainwhythemodifiedalgorithmiscorrect,andexplaininwhatsensethis
changeconstitutesanimprovement.
32.47
GivealineartimealgorithmtodeterminewhetheratextTisacyclicrotationof
anotherstringT0.Forexample,arcandcararecyclicrotationsofeachother.
32.48?
GiveanO.mjj/timealgorithmforcomputingthetransitionfunctionforthe
stringmatchingautomatoncorrespondingtoagivenpatternP.(Hint:Provethat
.qa/D.qa/ifqDmorPqC1a.)
Problemas
321Stringmatchingbasedonrepetitionfactors
Letyidenotetheconcatenationofstringywithitselfitimes.Porejemplo,
.ab/3Dababab.Wesaythatastringx2hasrepetitionfactorrifxDyr
forsomestringy2andsomer>0.Let.x/denotethelargestrsuchthatx
hasrepetitionfactorr.
a.GiveanefficientalgorithmthattakesasinputapatternP1::mandcomputes
thevalue.Pi/foriD12:::metro.Whatistherunningtimeofyouralgo
rithm?
Pgina134
.Pi/.Provethatif
segundo.ForanypatternP1::m,let.P/bedefinedasmax1im
thepatternPischosenrandomlyfromthesetofallbinarystringsoflengthm,
thentheexpectedvalueof.P/isO.1/.
do.Arguethatthefollowingstringmatchingalgorithmcorrectlyfindsalloccur
rencesofpatternPinatextT1::nintimeO..P/nCm/:
REPETITIONMATCHER.PT/
1mDP:length
2nDT:length
3kD1C.P/
4qD0
5sD0
6whilesnm
7 ifTsCqC1==PqC1
8 qDqC1
9 ifq==m
11 ifq==morTsCqC1PqC1
12 sDsCmax.1dq=ke/
13 qD0
ThisalgorithmisduetoGalilandSeiferas.Byextendingtheseideasgreatly,
theyobtainedalineartimestringmatchingalgorithmthatusesonlyO.1/stor
agebeyondwhatisrequiredforPandT.
Chapternotes
Therelationofstringmatchingtothetheoryoffiniteautomataisdiscussedby
Aho,Hopcroft,andUllman[5].TheKnuthMorrisPrattalgorithm[214]was
inventedindependentlybyKnuthandPrattandbyMorristheypublishedtheir
workjointly.Reingold,Urban,andGries[294]giveanalternativetreatmentofthe
KnuthMorrisPrattalgorithm.TheRabinKarpalgorithmwasproposedbyKarp
andRabin[201].GalilandSeiferas[126]giveaninterestingdeterministiclinear
timestringmatchingalgorithmthatusesonlyO.1/spacebeyondthatrequiredto
storethepatternandtext.
Page135
33 ComputationalGeometry
Computationalgeometryisthebranchofcomputersciencethatstudiesalgorithms
forsolvinggeometricproblems.Inmodernengineeringandmathematics,com
putationalgeometryhasapplicationsinsuchdiversefieldsascomputergraphics,
robotics,VLSIdesign,computeraideddesign,molecularmodeling,metallurgy,
manufacturing,textilelayout,forestry,andstatistics.Theinputtoacomputational
geometryproblemistypicallyadescriptionofasetofgeometricobjects,suchas
asetofpoints,asetoflinesegments,ortheverticesofapolygonincounterclock
wiseorder.Theoutputisoftenaresponsetoaqueryabouttheobjects,suchas
whetheranyofthelinesintersect,orperhapsanewgeometricobject,suchasthe
convexhull(smallestenclosingconvexpolygon)ofthesetofpoints.
Inthischapter,welookatafewcomputationalgeometryalgorithmsintwo
dimensions,thatis,intheplane.Werepresenteachinputobjectbyasetof
pointsfp1p2p3:::g,whereeachpiD.xiyi/andxiyi2R.Forexam
ple,werepresentannvertexpolygonPbyasequencehp0p1p2:::pn1i
ofitsverticesinorderoftheirappearanceontheboundaryofP.Computational
geometrycanalsoapplytothreedimensions,andevenhigherdimensionalspaces,
butsuchproblemsandtheirsolutionscanbeverydifficulttovisualize.Evenin
twodimensions,however,wecanseeagoodsampleofcomputationalgeometry
Tcnicas.
Section33.1showshowtoanswerbasicquestionsaboutlinesegmentseffi
cientlyandaccurately:whetheronesegmentisclockwiseorcounterclockwise
fromanotherthatsharesanendpoint,whichwayweturnwhentraversingtwo
adjoininglinesegments,andwhethertwolinesegmentsintersect.Section33.2
presentsatechniquecalledsweepingthatweusetodevelopanO.nlgn/time
algorithmfordeterminingwhetherasetofnlinesegmentscontainsanyinter
Secciones.Section33.3givestworotationalsweepalgorithmsthatcomputethe
convexhull(smallestenclosingconvexpolygon)ofasetofnpoints:Grahams
scan,whichrunsintimeO.nlgn/,andJarvis'smarch,whichtakesO.nh/time,
wherehisthenumberofverticesoftheconvexhull.Finally,Section33.4gives
Page136
33.1Linesegmentproperties 1015
anO.nlgn/timedivideandconqueralgorithmforfindingtheclosestpairof
pointsinasetofnpointsintheplane.
33.1Linesegmentproperties
Severalofthecomputationalgeometryalgorithmsinthischapterrequireanswers
toquestionsaboutthepropertiesoflinesegments.Aconvexcombinationoftwo
distinctpointsp1D.x1y1/andp2D.x2y2/isanypointp3D.x3y3/such
thatforsomeintherange01,wehavex3Dx1C.1 /x2and
y3Dy1C.1/y2.Wealsowritethatp3Dp1C.1/p2.Intuitively,p3
isanypointthatisonthelinepassingthroughp1andp2andisonorbetweenp1
andp2ontheline.Giventwodistinctpointsp1andp2,thelinesegmentp1p2
isthesetofconvexcombinationsofp1andp2.Wecallp1andp2theendpoints
ofsegmentp1p2.Sometimestheorderingofp1andp2matters,andwespeakof
thedirectedsegment p1p ! 2.Ifp1istheorigin.00/,thenwecantreatthedirected
segmentop1p! 2asthevectorp2.
Inthissection,weshallexplorethefollowingquestions:
! 1and p0p
1.Giventwodirectedsegments p0p ! 2,is p0p
! 1clockwisefrom p0p
! 2
withrespecttotheircommonendpointp0?
2.Giventwolinesegmentsp0p1andp1p2,ifwetraversep0p1andthenp1p2,
dowemakealeftturnatpointp1?
3.Dolinesegmentsp1p2andp3p4intersect?
Therearenorestrictionsonthegivenpoints.
WecananswereachquestioninO.1/time,whichshouldcomeasnosurprise
sincetheinputsizeofeachquestionisO.1/.Moreover,ourmethodsuseonlyad
ditions,subtractions,multiplications,andcomparisons.Weneedneitherdivision
nortrigonometricfunctions,bothofwhichcanbecomputationallyexpensiveand
pronetoproblemswithroundofferror.Forexample,thestraightforwardmethod
ofdeterminingwhethertwosegmentsintersectcomputethelineequationofthe
formyDmxCbforeachsegment(mistheslopeandbistheyintercept),
findthepointofintersectionofthelines,andcheckwhetherthispointisonboth
segmentsusesdivisiontofindthepointofintersection.Whenthesegmentsare
nearlyparallel,thismethodisverysensitivetotheprecisionofthedivisionopera
tiononrealcomputers.Themethodinthissection,whichavoidsdivision,ismuch
moreaccurate.
Page137
1016 Chapter33ComputationalGeometry
Y Y
p1+p2
pag
p2
(0,0)
x
p1
(0,0) x
(un) (segundo)
Figure33.1(a)Thecrossproductofvectorsp1andp2isthesignedareaoftheparallelogram.
(b)Thelightlyshadedregioncontainsvectorsthatareclockwisefromp.Thedarklyshadedregion
containsvectorsthatarecounterclockwisefromp.
Crossproducts
Computingcrossproductsliesattheheartofourlinesegmentmethods.Considerar
vectorsp1andp2,showninFigure33.1(a).Wecaninterpretthecrossproduct
p1 p2asthesignedareaoftheparallelogramformedbythepoints.00/,p1,p2,
andp1Cp2D.x1Cx2y1Cy2/.Anequivalent,butmoreuseful,definitiongives
thecrossproductasthedeterminantofamatrix:1
UN UN
x1 x2
p1 p2 Ddet
y1 y2
Dx1y2 x2y1
Dp2 p1:
Ifp1 p2ispositive,thenp1isclockwisefromp2withrespecttotheorigin.00/
ifthiscrossproductisnegative,thenp1iscounterclockwisefromp2.(SeeExer
cise33.11.)Figure33.1(b)showstheclockwiseandcounterclockwiseregions
relativetoavectorp.Aboundaryconditionarisesifthecrossproductis0enesto
case,thevectorsarecolinear,pointingineitherthesameoroppositedirections.
Todeterminewhetheradirectedsegment ! 1isclosertoadirectedseg
p0p
!
Ment p0p2inaclockwisedirectionorinacounterclockwisedirectionwithrespect
totheircommonendpointp0,wesimplytranslatetousep0astheorigin.Ese
is,weletp1 p0denotethevectorp0 x0and
1D.x0 1y0
1/,wherex01Dx1
y0 y0,andwedefinep2 p0similarly.Wethencomputethecrossproduct
1Dy1
1Actually,thecrossproductisathreedimensionalconcept.Itisavectorthatisperpendicularto
bothp1andp2accordingtotherighthandruleandwhosemagnitudeisjx x2y11j.Enesto
y2
chapter,however,wefinditconvenienttotreatthecrossproductsimplyasthevaluex x2y1. 1y2
Page138
p2 p2
p1 p1
counterclockwise clockwise
p0 p0
(un) (segundo)
Figure33.2Usingthecrossproducttodeterminehowconsecutivelinesegmentsp0p1andp1p2
turnatpointp1.Wecheckwhetherthedirectedsegment! 2isclockwiseorcounterclockwise
p0p
! 1.(a)Ifcounterclockwise,thepointsmakealeftturn.(b)If
p0p
relativetothedirectedsegment
clockwise,theymakearightturn.
.p1 p0/.p2 p0/D.x1 x0/.y2 y0/.x2 x0/.y1 y0/:
Ifthiscrossproductispositive,then p0p
! 1isclockwisefrom p0p
! 2ifnegative,it
iscounterclockwise.
Determiningwhetherconsecutivesegmentsturnleftorright
Ournextquestioniswhethertwoconsecutivelinesegmentsp0p1andp1p2turn
leftorrightatpointp1.Equivalently,wewantamethodtodeterminewhichwaya
givenanglep0p1p2turns.Crossproductsallowustoanswerthisquestionwith
outcomputingtheangle.AsFigure33.2shows,wesimplycheckwhetherdirected
segmentop0p! 2isclockwiseorcounterclockwiserelativetodirectedsegment p0p
! 1.
Todoso,wecomputethecrossproduct.p2 p0/.p1 p0/.Ifthesignof
! 2iscounterclockwisewithrespectto p0p
thiscrossproductisnegative,then p0p ! 1,
andthuswemakealeftturnatp1.Apositivecrossproductindicatesaclockwise
orientationandarightturn.Acrossproductof0meansthatpointsp0,p1,andp2
arecolinear.
Determiningwhethertwolinesegmentsintersect
Todeterminewhethertwolinesegmentsintersect,wecheckwhethereachsegment
straddlesthelinecontainingtheother.Asegmentp1p2straddlesalineifpointp1
liesononesideofthelineandpointp2liesontheotherside.Aboundarycase
arisesifp1orp2liesdirectlyontheline.Twolinesegmentsintersectifandonly
ifeither(orboth)ofthefollowingconditionsholds:
1.Eachsegmentstraddlesthelinecontainingtheother.
2.Anendpointofonesegmentliesontheothersegment.(Thisconditioncomes
fromtheboundarycase.)
Page139
Thefollowingproceduresimplementthisidea.SEGMENTSINTERSECTreturns
TRUEifsegmentsp1p2andp3p4intersectandFALSEiftheydonot.Itcalls
thesubroutinesDIRECTION,whichcomputesrelativeorientationsusingthecross
productmethodabove,andONSEGMENT,whichdetermineswhetherapoint
knowntobecolinearwithasegmentliesonthatsegment.
SEGMENTSINTERSECT.p1p2p3p4/
1d1DDIRECTION.p3p4p1/
5if..d1>0andd2<0/or.d1<0andd2>0//and
..d3>0andd4<0/or.d3<0andd4>0//
6 returnTRUE
7elseifd1==0andONSEGMENT.p3p4p1/
8 returnTRUE
10 returnTRUE
12 returnTRUE
14 returnTRUE
15elsereturnFALSE
DIRECTION.pipjpk/
1return.pk pi/.pj pi/
ONSEGMENT.pipjpk/
1ifmin.xixj/xkmax.xixj/andmin.yiyj/ykmax.yiyj/
2 returnTRUE
3elsereturnFALSE
SEGMENTSINTERSECTworksasfollows.Lines14computetherelativeori
entationdiofeachendpointpiwithrespecttotheothersegment.Ifalltherelative
orientationsarenonzero,thenwecaneasilydeterminewhethersegmentsp1p2
andp3p
mentp 4intersect,asfollows.Segmentp
! 1p!
2straddlesthelinecontainingseg
3p4ifdirectedsegments p3p1and p3p2haveoppositeorientationsrelative
! 4.Inthiscase,thesignsofd1andd2differ.Similarly,p3p4straddles
a p3p
thelinecontainingp1p2ifthesignsofd3andd4differ.Ifthetestofline5is
true,thenthesegmentsstraddleeachother,andSEGMENTSINTERSECTreturns
TRUE.Figure33.3(a)showsthiscase.Otherwise,thesegmentsdonotstraddle
Pgina140
(p1 p3 )(p4 p3 )<0p4 (p1 p3 )(p4 p3 )<0p4

p1 (p4 p1 )(p2 p1 )<0 p1 (p4 p1 )(p2 p1 )<0
p2
(p2 p3 )(p4 p3 )<0
p2
(p3 p1 )(p2 p1 )>0 (p3 p1 )(p2 p1 )>0
p3 (p2 p3 )(p4 p3 )>0 p3
(un) (segundo)
p4 p4
p1 p1
p3
p2 p2
p3
(do) (re)
Figure33.3CasesintheprocedureSEGMENTSINTERSECT.(a)Thesegmentsp1p2andp3p4
straddleeachother'slines.Becausep3p4straddlesthelinecontainingp1p2,thesignsofthecross
products.p3 p1/.p2 p1/and.p4 p1/.p2 p1/differ.Becausep1p2straddlestheline
containingp3p4,thesignsofthecrossproducts.p
p3/.p
1 4 p3/and.p2 p3/.p4 p3/
diferirde.(b)Segmentp3p4straddlesthelinecontainingp1p2,butp1p2doesnotstraddletheline
containingp3p4.Thesignsofthecrossproducts.p
p3/.p1 4 p3/and.p2 p3/.p4 p3/
sonlomismo.(c)Pointp3iscolinearwithp1p2andisbetweenp1andp2.(d)Pointp3iscolinear
withp1p2,butitisnotbetweenp1andp2.Thesegmentsdonotintersect.
eachother'slines,althoughaboundarycasemayapply.Ifalltherelativeorienta
tionsarenonzero,noboundarycaseapplies.Allthetestsagainst0inlines713
thenfail,andSEGMENTSINTERSECTreturnsFALSEinline15.Figure33.3(b)
showsthiscase.
Aboundarycaseoccursifanyrelativeorientationdkis0.Here,weknowthatpk
iscolinearwiththeothersegment.Itisdirectlyontheothersegmentifandonly
ifitisbetweentheendpointsoftheothersegment.TheprocedureONSEGMENT
returnswhetherpkisbetweentheendpointsofsegmentpipj,whichwillbethe
othersegmentwhencalledinlines713theprocedureassumesthatpkiscolinear
withsegmentpipj.Figures33.3(c)and(d)showcaseswithcolinearpoints.En
Figure33.3(c),p3isonp1p2,andsoSEGMENTSINTERSECTreturnsTRUEin
line12.NoendpointsareonothersegmentsinFigure33.3(d),andsoSEGMENTS
INTERSECTreturnsFALSEinline15.
Pgina141
Otherapplicationsofcrossproducts
Latersectionsofthischapterintroduceadditionalusesforcrossproducts.InSec
tion33.3,weshallneedtosortasetofpointsaccordingtotheirpolarangleswith
respecttoagivenorigin.AsExercise33.13asksyoutoshow,wecanusecross
productstoperformthecomparisonsinthesortingprocedure.InSection33.2,we
shalluseredblacktreestomaintaintheverticalorderingofasetoflinesegments.
Ratherthankeepingexplicitkeyvalueswhichwecomparetoeachotherinthe
redblacktreecode,weshallcomputeacrossproducttodeterminewhichoftwo
segmentsthatintersectagivenverticallineisabovetheother.
Exercises
33.11
Provethatifp1 p2ispositive,thenvectorp1isclockwisefromvectorp2with
respecttotheorigin.00/andthatifthiscrossproductisnegative,thenp1is
counterclockwisefromp2.
33.12
ProfessorvanPeltproposesthatonlythexdimensionneedstobetestedinline1
ofONSEGMENT.Showwhytheprofessoriswrong.
33.13
Thepolarangleofapointp1withrespecttoanoriginpointp0istheangleofthe
vectorp1 p0intheusualpolarcoordinatesystem.Forexample,thepolarangle
of.35/withrespectto.24/istheangleofthevector.11/,whichis45degrees
or=4radians.Thepolarangleof.33/withrespectto.24/istheangleofthe
vector.11/,whichis315degreesor7=4radians.Writepseudocodetosorta
sequencehp1p2:::pniofnpointsaccordingtotheirpolarangleswithrespect
toagivenoriginpointp0.YourprocedureshouldtakeO.nlgn/timeandusecross
productstocompareangles.
33.14
ShowhowtodetermineinOn2lgn/timewhetheranythreepointsinasetofn
pointsarecolinear.
33.15
Apolygonisapiecewiselinear,closedcurveintheplane.Thatis,itisacurve
endingonitselfthatisformedbyasequenceofstraightlinesegments,calledthe
sidesofthepolygon.Apointjoiningtwoconsecutivesidesisavertexofthepoly
gon.Ifthepolygonissimple,asweshallgenerallyassume,itdoesnotcrossitself.
Thesetofpointsintheplaneenclosedbyasimplepolygonformstheinteriorof
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33.2Determiningwhetheranypairofsegmentsintersects 1021
thepolygon,thesetofpointsonthepolygonitselfformsitsboundary,andtheset
ofpointssurroundingthepolygonformsitsexterior.Asimplepolygonisconvex
if,givenanytwopointsonitsboundaryorinitsinterior,allpointsontheline
segmentdrawnbetweenthemarecontainedinthepolygon'sboundaryorinterior.
Avertexofaconvexpolygoncannotbeexpressedasaconvexcombinationofany
twodistinctpointsontheboundaryorintheinteriorofthepolygon.
ProfessorAmundsenproposesthefollowingmethodtodeterminewhetherase
quencehp0p1:::pn1iofnpointsformstheconsecutiveverticesofaconvex
polygon.OutputyesifthesetfpipiC1piC2WiD01:::n1g,wheresub
scriptadditionisperformedmodulon,doesnotcontainbothleftturnsandright
turnsotherwise,outputno.Showthatalthoughthismethodrunsinlineartime,
itdoesnotalwaysproducethecorrectanswer.Modifytheprofessor'smethodso
thatitalwaysproducesthecorrectanswerinlineartime.
33.16
Givenapointp0D.x0y0/,therighthorizontalrayfromp0isthesetofpoints
fpiD.xiyi/Wxi x0andyiDy0g,thatis,itisthesetofpointsduerightofp0
alongwithp0itself.Showhowtodeterminewhetheragivenrighthorizontalray
fromp0intersectsalinesegmentp1p2inO.1/timebyreducingtheproblemto
thatofdeterminingwhethertwolinesegmentsintersect.
33.17
Onewaytodeterminewhetherapointp0isintheinteriorofasimple,butnot
necessarilyconvex,polygonPistolookatanyrayfromp0andcheckthattheray
intersectstheboundaryofPanoddnumberoftimesbutthatp0itselfisnoton
theboundaryofP.Showhowtocomputein.n/timewhetherapointp0isin
theinteriorofannvertexpolygonP.(Hint:UseExercise33.16.Makesureyour
algorithmiscorrectwhentherayintersectsthepolygonboundaryatavertexand
whentherayoverlapsasideofthepolygon.)
33.18
Showhowtocomputetheareaofannvertexsimple,butnotnecessarilyconvex,
polygonin.n/time.(SeeExercise33.15fordefinitionspertainingtopolygons.)
33.2Determiningwhetheranypairofsegmentsintersects
Thissectionpresentsanalgorithmfordeterminingwhetheranytwolinesegments
inasetofsegmentsintersect.Thealgorithmusesatechniqueknownassweep
ing,whichiscommontomanycomputationalgeometryalgorithms.Moreover,as
Pgina143
theexercisesattheendofthissectionshow,thisalgorithm,orsimplevariationsof
it,canhelpsolveothercomputationalgeometryproblems.
ThealgorithmrunsinO.nlgn/time,wherenisthenumberofsegmentsweare
dado.Itdeterminesonlywhetherornotanyintersectionexistsitdoesnotprint
alltheintersections.(ByExercise33.21,ittakes.n2/timeintheworstcaseto
findalltheintersectionsinasetofnlinesegments.)
Insweeping,animaginaryverticalsweeplinepassesthroughthegivensetof
geometricobjects,usuallyfromlefttoright.Wetreatthespatialdimensionthat
thesweeplinemovesacross,inthiscasethexdimension,asadimensionof
hora.Sweepingprovidesamethodfororderinggeometricobjects,usuallybyplac
ingthemintoadynamicdatastructure,andfortakingadvantageofrelationships
amongthem.Thelinesegmentintersectionalgorithminthissectionconsidersall
thelinesegmentendpointsinlefttorightorderandchecksforanintersectioneach
timeitencountersanendpoint.
Todescribeandprovecorrectouralgorithmfordeterminingwhetheranytwo
ofnlinesegmentsintersect,weshallmaketwosimplifyingassumptions.First,we
assumethatnoinputsegmentisvertical.Second,weassumethatnothreeinput
segmentsintersectatasinglepoint.Exercises33.28and33.29askyoutoshow
thatthealgorithmisrobustenoughthatitneedsonlyaslightmodificationtowork
evenwhentheseassumptionsdonothold.Indeed,removingsuchsimplifying
assumptionsanddealingwithboundaryconditionsoftenpresentthemostdifficult
challengeswhenprogrammingcomputationalgeometryalgorithmsandproving
theircorrectness.
Orderingsegments
Becauseweassumethattherearenoverticalsegments,weknowthatanyinput
segmentintersectingagivenverticalsweeplineintersectsitatasinglepoint.As,
wecanorderthesegmentsthatintersectaverticalsweeplineaccordingtothey
coordinatesofthepointsofintersection.
Tobemoreprecise,considertwosegmentss1ands2.Wesaythatthesesegments
arecomparableatxiftheverticalsweeplinewithxcoordinatexintersectsbothof
ellos.Wesaythats1isaboves2atx,writtens1<xs2,ifs1ands2arecomparable
atxandtheintersectionofs1withthesweeplineatxishigherthantheintersection
ofs2withthesamesweepline,orifs1ands2intersectatthesweepline.En
Figure33.4(a),forexample,wehavetherelationshipsa<rc,a<tb,b<tc,
a<tc,andb<uc.Segmentdisnotcomparablewithanyothersegment.
Foranygivenx,therelation<xisatotalpreorder(seeSectionB.2)forall
segmentsthatintersectthesweeplineatx.Thatis,therelationistransitive,and
ifsegmentss1ands2eachintersectthesweeplineatx,theneithers1<xs2
ors2<xs1,orboth(ifs1ands2intersectatthesweepline).(Therelation<xis
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Figure33.4Theorderingamonglinesegmentsatvariousverticalsweeplines.(a)Wehavea<rc,
a<tb,b<tc,a<tc,andb<uc.Segmentdiscomparablewithnoothersegmentshown.
(b)Whensegmentseandfintersect,theyreversetheirorders:wehavee<fbutf<we.Alguna
sweepline(suchas)thatpassesthroughtheshadedregionhaseandfconsecutiveintheordering
givenbytherelation<.
alsoreflexive,butneithersymmetricnorantisymmetric.)Thetotalpreordermay
differfordifferingvaluesofx,however,assegmentsenterandleavetheordering.
Asegmententerstheorderingwhenitsleftendpointisencounteredbythesweep,
anditleavestheorderingwhenitsrightendpointisencountered.
Whathappenswhenthesweeplinepassesthroughtheintersectionoftwoseg
ments?AsFigure33.4(b)shows,thesegmentsreversetheirpositionsinthetotal
preorder.Sweeplinesandwaretotheleftandright,respectively,ofthepoint
ofintersectionofsegmentseandf,andwehavee<fandf<we.Nota
thatbecauseweassumethatnothreesegmentsintersectatthesamepoint,there
mustbesomeverticalsweeplinexforwhichintersectingsegmentseandfare
consecutiveinthetotalpreorder<x.Anysweeplinethatpassesthroughtheshaded
regionofFigure33.4(b),suchas,haseandfconsecutiveinitstotalpreorder.
Movingthesweepline
Sweepingalgorithmstypicallymanagetwosetsofdata:
1.Thesweeplinestatusgivestherelationshipsamongtheobjectsthatthesweep
lineintersects.
2.Theeventpointscheduleisasequenceofpoints,calledeventpoints,which
weorderfromlefttorightaccordingtotheirxcoordinates.Asthesweep
progressesfromlefttoright,wheneverthesweeplinereachesthexcoordinate
ofaneventpoint,thesweephalts,processestheeventpoint,andthenresumes.
Changestothesweeplinestatusoccuronlyateventpoints.
Forsomealgorithms(thealgorithmaskedforinExercise33.27,forexample),
theeventpointscheduledevelopsdynamicallyasthealgorithmprogresses.Theal
gorithmathand,however,determinesalltheeventpointsbeforethesweep,based
Pgina145
solelyonsimplepropertiesoftheinputdata.Inparticular,eachsegmentendpoint
isaneventpoint.Wesortthesegmentendpointsbyincreasingxcoordinateand
proceedfromlefttoright.(Iftwoormoreendpointsarecovertical,ie,theyhave
thesamexcoordinate,webreakthetiebyputtingallthecoverticalleftendpoints
beforethecoverticalrightendpoints.Withinasetofcoverticalleftendpoints,we
putthosewithlowerycoordinatesfirst,andwedothesamewithinasetofcover
ticalrightendpoints.)Whenweencounterasegment'sleftendpoint,weinsertthe
segmentintothesweeplinestatus,andwedeletethesegmentfromthesweepline
statusuponencounteringitsrightendpoint.Whenevertwosegmentsfirstbecome
consecutiveinthetotalpreorder,wecheckwhethertheyintersect.
ThesweeplinestatusisatotalpreorderT,forwhichwerequirethefollowing
Operaciones:
INSERT.Ts/:insertsegmentsintoT.
DELETE.Ts/:deletesegmentsfromT.
ABOVE.Ts/:returnthesegmentimmediatelyabovesegmentsinT.
BELOW.Ts/:returnthesegmentimmediatelybelowsegmentsinT.
Itispossibleforsegmentss1ands2tobemutuallyaboveeachotherinthetotal
preorderTthissituationcanoccurifs1ands2intersectatthesweeplinewhose
totalpreorderisgivenbyT.Inthiscase,thetwosegmentsmayappearineither
orderinT.
Iftheinputcontainsnsegments,wecanperformeachoftheoperationsINSERT,
DELETE,ABOVE,andBELOWinO.lgn/timeusingredblacktrees.Recallthat
theredblacktreeoperationsinChapter13involvecomparingkeys.Wecanre
placethekeycomparisonsbycomparisonsthatusecrossproductstodeterminethe
relativeorderingoftwosegments(seeExercise33.22).
Segmentintersectionpseudocode
ThefollowingalgorithmtakesasinputasetSofnlinesegments,returningthe
booleanvalueTRUEifanypairofsegmentsinSintersects,andFALSEotherwise.
AredblacktreemaintainsthetotalpreorderT.
Page146
ANYSEGMENTSINTERSECT.S/
1TD
2sorttheendpointsofthesegmentsinSfromlefttoright,
breakingtiesbyputtingleftendpointsbeforerightendpoints
andbreakingfurthertiesbyputtingpointswithlower
ycoordinatesfirst
3foreachpointpinthesortedlistofendpoints
4 ifpistheleftendpointofasegments
5 INSERT.Ts/
6 if(ABOVE.Ts/existsandintersectss)
or(BELOW.Ts/existsandintersectss)
7 returnTRUE
8 ifpistherightendpointofasegments
9 ifbothABOVE.Ts/andBELOW.Ts/exist
andABOVE.Ts/intersectsBELOW.Ts/
10 returnTRUE
11 DELETE.Ts/
12returnFALSE
Figure33.5illustrateshowthealgorithmworks.Line1initializesthetotalpreorder
tobeempty.Line2determinestheeventpointschedulebysortingthe2nsegment
endpointsfromlefttoright,breakingtiesasdescribedabove.Onewaytoperform
line2isbylexicographicallysortingtheendpointson.xey/,wherexandyare
theusualcoordinates,eD0foraleftendpoint,andeD1forarightendpoint.
Eachiterationoftheforloopoflines311processesoneeventpointp.Ifpis
theleftendpointofasegments,line5addsstothetotalpreorder,andlines67
returnTRUEifsintersectseitherofthesegmentsitisconsecutivewithinthetotal
preorderdefinedbythesweeplinepassingthroughp.(Aboundarycondition
occursifpliesonanothersegments0.Inthiscase,werequireonlythatsands0
beplacedconsecutivelyintoT.)Ifpistherightendpointofasegments,then
weneedtodeletesfromthetotalpreorder.Butfirst,lines910returnTRUEif
thereisanintersectionbetweenthesegmentssurroundingsinthetotalpreorder
definedbythesweeplinepassingthroughp.Ifthesesegmentsdonotintersect,
line11deletessegmentsfromthetotalpreorder.Ifthesegmentssurrounding
segmentsintersect,theywouldhavebecomeconsecutiveafterdeletingshadthe
returnstatementinline10notpreventedline11fromexecuting.Thecorrectness
argument,whichfollows,willmakeitclearwhyitsufficestocheckthesegments
surroundings.Finally,ifweneverfindanyintersectionsafterhavingprocessed
all2neventpoints,line12returnsFALSE.
Pgina147
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Figure33.5TheexecutionofANYSEGMENTSINTERSECT.Eachdashedlineisthesweeplineat
aneventpoint.Exceptfortherightmostsweepline,theorderingofsegmentnamesbeloweachsweep
linecorrespondstothetotalpreorderTattheendoftheforloopprocessingthecorrespondingevent
punto.Therightmostsweeplineoccurswhenprocessingtherightendpointofsegmentcbecause
segmentsdandbsurroundcandintersecteachother,theprocedurereturnsTRUE.
Correctness
ToshowthatANYSEGMENTSINTERSECTiscorrect,wewillprovethatthecall
ANYSEGMENTSINTERSECT.S/returnsTRUEifandonlyifthereisanintersec
tionamongthesegmentsinS.
ItiseasytoseethatANYSEGMENTSINTERSECTreturnsTRUE(onlines7
and10)onlyifitfindsanintersectionbetweentwooftheinputsegments.Porlotanto,
ifitreturnsTRUE,thereisanintersection.
Wealsoneedtoshowtheconverse:thatifthereisanintersection,thenANY
SEGMENTSINTERSECTreturnsTRUE.Letussupposethatthereisatleastone
interseccin.Letpbetheleftmostintersectionpoint,breakingtiesbychoosingthe
pointwiththelowestycoordinate,andletaandbbethesegmentsthatintersect
atp.Sincenointersectionsoccurtotheleftofp,theordergivenbyTiscorrectat
allpointstotheleftofp.Becausenothreesegmentsintersectatthesamepoint,a
andbbecomeconsecutiveinthetotalpreorderatsomesweepline.2Moreover,
istotheleftofporgoesthroughp.Somesegmentendpointqonsweepline
2Ifweallowthreesegmentstointersectatthesamepoint,theremaybeaninterveningsegmentcthat
intersectsbothaandbatpointp.Thatis,wemayhavea<wcandc<wbforallsweeplineswto
theleftofpforwhicha<wb.Exercise33.28asksyoutoshowthatANYSEGMENTSINTERSECT
iscorrectevenifthreesegmentsdointersectatthesamepoint.
Pgina148
istheeventpointatwhichaandbbecomeconsecutiveinthetotalpreorder.Ifp
isonsweepline,thenqDp.Ifpisnotonsweepline,thenqistotheleft
ofp.Ineithercase,theordergivenbyTiscorrectjustbeforeencounteringq.
(Hereiswhereweusethelexicographicorderinwhichthealgorithmprocesses
eventpoints.Becausepisthelowestoftheleftmostintersectionpoints,evenifp
isonsweeplineandsomeotherintersectionpointp0ison,eventpointqDp
isprocessedbeforetheotherintersectionp0caninterferewiththetotalpreorderT.
Moreover,evenifpistheleftendpointofonesegment,saya,andtherightend
pointoftheothersegment,sayb,becauseleftendpointeventsoccurbeforeright
endpointevents,segmentbisinTuponfirstencounteringsegmenta.)Eitherevent
pointqisprocessedbyANYSEGMENTSINTERSECToritisnotprocessed.
IfqisprocessedbyANYSEGMENTSINTERSECT,onlytwopossibleactions
mayoccur:
1.EitheraorbisinsertedintoT,andtheothersegmentisaboveorbelowitin
thetotalpreorder.Lines47detectthiscase.
2.SegmentsaandbarealreadyinT,andasegmentbetweentheminthetotal
preorderisdeleted,makingaandbbecomeconsecutive.Lines811detectthis
case.
Ineithercase,wefindtheintersectionpandANYSEGMENTSINTERSECTreturns
TRUE.
IfeventpointqisnotprocessedbyANYSEGMENTSINTERSECT,theproce
duremusthavereturnedbeforeprocessingalleventpoints.Thissituationcould
haveoccurredonlyifANYSEGMENTSINTERSECThadalreadyfoundaninter
sectionandreturnedTRUE.
Thus,ifthereisanintersection,ANYSEGMENTSINTERSECTreturnsTRUE.
Aswehavealreadyseen,ifANYSEGMENTSINTERSECTreturnsTRUE,thereis
anintersection.Therefore,ANYSEGMENTSINTERSECTalwaysreturnsacorrect
responder.
Runningtime
IfsetScontainsnsegments,thenANYSEGMENTSINTERSECTrunsintime
O.nlgn/.Line1takesO.1/time.Line2takesO.nlgn/time,usingmerge
sortorheapsort.Theforloopoflines311iteratesatmostoncepereventpoint,
andsowith2neventpoints,theloopiteratesatmost2ntimes.Eachiterationtakes
O.lgn/time,sinceeachredblacktreeoperationtakesO.lgn/timeand,usingthe
methodofSection33.1,eachintersectiontesttakesO.1/time.Thetotaltimeis
thusO.nlgn/.
Pgina149
Exercises
33.21
Showthatasetofnlinesegmentsmaycontain.n2/intersections.
33.22
Giventwosegmentsaandbthatarecomparableatx,showhowtodetermine
inO.1/timewhichofa<xborb<xaholds.Assumethatneithersegment
isvertical.(Hint:Ifaandbdonotintersect,youcanjustusecrossproducts.
Ifaandbintersectwhichyoucanofcoursedetermineusingonlycrossprod
uctsyoucanstilluseonlyaddition,subtraction,andmultiplication,avoiding
divisin.Ofcourse,intheapplicationofthe<xrelationusedhere,ifaandb
intersect,wecanjuststopanddeclarethatwehavefoundanintersection.)
33.23
ProfessorMasonsuggeststhatwemodifyANYSEGMENTSINTERSECTsothat
insteadofreturninguponfindinganintersection,itprintsthesegmentsthatinter
sectandcontinuesontothenextiterationoftheforloop.Theprofessorcallsthe
resultingprocedurePRINTINTERSECTINGSEGMENTSandclaimsthatitprints
allintersections,fromlefttoright,astheyoccurinthesetoflinesegments.Pro
fessorDixondisagrees,claimingthatProfessorMason'sideaisincorrect.Cual
professorisright?WillPRINTINTERSECTINGSEGMENTSalwaysfindtheleft
mostintersectionfirst?Willitalwaysfindalltheintersections?
33.24
GiveanO.nlgn/timealgorithmtodeterminewhetherannvertexpolygonis
sencillo.
33.25
GiveanO.nlgn/timealgorithmtodeterminewhethertwosimplepolygonswith
atotalofnverticesintersect.
33.26
Adiskconsistsofacircleplusitsinteriorandisrepresentedbyitscenterpointand
radio.Twodisksintersectiftheyhaveanypointincommon.GiveanO.nlgn/
timealgorithmtodeterminewhetheranytwodisksinasetofnintersect.
33.27
Givenasetofnlinesegmentscontainingatotalofkintersections,showhowto
outputallkintersectionsinO..nCk/lgn/time.
Pgina150
33.3Findingtheconvexhull 1029
33.28
ArguethatANYSEGMENTSINTERSECTworkscorrectlyevenifthreeormore
segmentsintersectatthesamepoint.
33.29
ShowthatANYSEGMENTSINTERSECTworkscorrectlyinthepresenceofverti
calsegmentsifwetreatthebottomendpointofaverticalsegmentasifitwerea
leftendpointandthetopendpointasifitwerearightendpoint.Howdoesyour
answertoExercise33.22changeifweallowverticalsegments?
33.3Findingtheconvexhull
TheconvexhullofasetQofpoints,denotedbyCH.Q/,isthesmallestconvex
polygonPforwhicheachpointinQiseitherontheboundaryofPorinits
interior.(SeeExercise33.15foraprecisedefinitionofaconvexpolygon.)We
implicitlyassumethatallpointsinthesetQareuniqueandthatQcontainsat
leastthreepointswhicharenotcolinear.Intuitively,wecanthinkofeachpoint
inQasbeinganailstickingoutfromaboard.Theconvexhullisthentheshape
formedbyatightrubberbandthatsurroundsallthenails.Figure33.6showsaset
ofpointsanditsconvexhull.
Inthissection,weshallpresenttwoalgorithmsthatcomputetheconvexhull
ofasetofnpoints.Bothalgorithmsoutputtheverticesoftheconvexhullin
counterclockwiseorder.Thefirst,knownasGraham'sscan,runsinO.nlgn/time.
Thesecond,calledJarvis'smarch,runsinO.nh/time,wherehisthenumberof
verticesoftheconvexhull.AsFigure33.6illustrates,everyvertexofCH.Q/isa
p10
p11 p9 p7 p6 p5
p8 p3
p12 p4
p2
p1
p0
Figure33.6AsetofpointsQDfp0p1:::p12gwithitsconvexhullCH.Q/ingray.
Pgina151
pointinQ.Bothalgorithmsexploitthisproperty,decidingwhichverticesinQto
keepasverticesoftheconvexhullandwhichverticesinQtoreject.
WecancomputeconvexhullsinO.nlgn/timebyanyoneofseveralmethods.
BothGraham'sscanandJarvis'smarchuseatechniquecalledrotationalsweep,
processingverticesintheorderofthepolaranglestheyformwithareference
vertex.Othermethodsincludethefollowing:
Intheincrementalmethod,wefirstsortthepointsfromlefttoright,yieldinga
sequencehp1p2:::pni.Attheithstage,weupdatetheconvexhullofthe
yo 1leftmostpoints,CH.fp11p
theleft,thusformingCH.fp p22:::p
:::pig/.Exercise33.36asksyouhowto
i1g/,accordingtotheithpointfrom
implementthismethodtotakeatotalofO.nlgn/time.
Inthedivideandconquermethod,wedividethesetofnpointsin.n/time
intotwosubsets,onecontainingtheleftmostdn=2epointsandonecontaining
therightmostbn=2cpoints,recursivelycomputetheconvexhullsofthesubsets,
andthen,bymeansofaclevermethod,combinethehullsinOn/time.los
runningtimeisdescribedbythefamiliarrecurrenceT.n/D2T.n=2/COn/,
andsothedivideandconquermethodrunsinO.nlgn/time.
Thepruneandsearchmethodissimilartotheworstcaselineartimemedian
algorithmofSection9.3.Withthismethod,wefindtheupperportion(orupper
chain)oftheconvexhullbyrepeatedlythrowingoutaconstantfractionofthe
remainingpointsuntilonlytheupperchainoftheconvexhullremains.Nosotrosentonces
dothesameforthelowerchain.Thismethodisasymptoticallythefastest:if
theconvexhullcontainshvertices,itrunsinonlyO.nlgh/time.
Computingtheconvexhullofasetofpointsisaninterestingprobleminitsown
right.Moreover,algorithmsforsomeothercomputationalgeometryproblemsstart
bycomputingaconvexhull.Consider,forexample,thetwodimensionalfarthest
pairproblem:wearegivenasetofnpointsintheplaneandwishtofindthe
twopointswhosedistancefromeachotherismaximum.AsExercise33.33asks
youtoprove,thesetwopointsmustbeverticesoftheconvexhull.Althoughwe
won'tproveithere,wecanfindthefarthestpairofverticesofannvertexconvex
polygoninOn/time.Thus,bycomputingtheconvexhulloftheninputpoints
inO.nlgn/timeandthenfindingthefarthestpairoftheresultingconvexpolygon
vertices,wecanfindthefarthestpairofpointsinanysetofnpointsinO.nlgn/
hora.
Graham'sscan
Graham'sscansolvestheconvexhullproblembymaintainingastackSofcan
didatepoints.ItpusheseachpointoftheinputsetQontothestackonetime,
Pgina152
anditeventuallypopsfromthestackeachpointthatisnotavertexofCH.Q/.
Whenthealgorithmterminates,stackScontainsexactlytheverticesofCH.Q/,in
counterclockwiseorderoftheirappearanceontheboundary.
TheprocedureGRAHAMSCANtakesasinputasetQofpoints,wherejQj3.
ItcallsthefunctionsTOP.S/,whichreturnsthepointontopofstackSwithout
changingS,andNEXTTOTOP.S/,whichreturnsthepointoneentrybelowthe
topofstackSwithoutchangingS.Asweshallproveinamoment,thestackS
returnedbyGRAHAMSCANcontains,frombottomtotop,exactlythevertices
ofCH.Q/incounterclockwiseorder.
GRAHAMSCAN.Q/
1letp0bethepointinQwiththeminimumycoordinate,
ortheleftmostsuchpointincaseofatie
2lethp1p2:::pmibetheremainingpointsinQ,
sortedbypolarangleincounterclockwiseorderaroundp0
(ifmorethanonepointhasthesameangle,removeallbut
theonethatisfarthestfromp0)
3letSbeanemptystack
4PUSH.p0S/
5PUSH.p1S/
6PUSH.p2S/
7foriD3tom
8 whiletheangleformedbypointsNEXTTOTOP.S/,TOP.S/,
andpimakesanonleftturn
9 POP.S/
10 PUSH.piS/
11returnS
Figure33.7illustratestheprogressofGRAHAMSCAN.Line1choosespointp0
asthepointwiththelowestycoordinate,pickingtheleftmostsuchpointincase
ofatie.SincethereisnopointinQthatisbelowp
thesameycoordinatearetoitsright,p 0andanyotherpointswith
0mustbeavertexofCH.Q/.Line2
sortstheremainingpointsofQbypolaranglerelativetop0,usingthesame
methodcomparingcrossproductsasinExercise33.13.Iftwoormorepoints
havethesamepolaranglerelativetop0,allbutthefarthestsuchpointareconvex
combinationsofp0andthefarthestpoint,andsoweremovethementirelyfrom
consideracin.Weletmdenotethenumberofpointsotherthanp0thatremain.
Thepolarangle,measuredinradians,ofeachpointinQrelativetop0isinthe
halfopeninterval0/.Sincethepointsaresortedaccordingtopolarangles,
theyaresortedincounterclockwiseorderrelativetop0.Wedesignatethissorted
sequenceofpointsbyhp1p2:::pmi.Notethatpointsp1andpmarevertices
Pgina153
p10 p10
p6 p6
p11 p9 p7 p11 p9 p7
p8 p5 p8 p5
p4 p3 p4 p3
p12 p12
p2 p2
p1 p1
p0 (un) p0 (segundo)
p10 p10
p6 p6
p11 p9 p7 p11 p9 p7 p5
p8 p5 p8
p3 p3
p12 p4 p12 p4
p2 p2
p1 p1
p0 (do) p0 (re)
p10 p10
p6 p6
p11 p9 p7 p11 p9 p7
p8 p5 p8 p5
p4 p3 p4 p3
p12 p12
p2 p2
p1 p1
p0 (mi) p0 (f)
Figure33.7TheexecutionofGRAHAMSCANonthesetQofFigure33.6.Thecurrentconvex
hullcontainedinstackSisshowningrayateachstep.(a)Thesequencehp1p2:::p12iofpoints
numberedinorderofincreasingpolaranglerelativetop0,andtheinitialstackScontainingp0,p1,
andp2.(b)(k)StackSaftereachiterationoftheforloopoflines710.Dashedlinesshownonleft
turns,whichcausepointstobepoppedfromthestack.Inpart(h),forexample,therightturnat
anglep7p8p9causesp8tobepopped,andthentherightturnatanglep6p7p9causesp7tobe
popped.
Pgina154
p10 p10
p11 p9 p7 p6 p11 p9 p6
p5 p7 p5
p8 p4 p3 p8 p4 p3
p12 p12
p2 p2
p1 p1
p0 (gramo) p0 (marido)
p10 p10
p11 p9 p7 p6
p9 p7 p6 p5 p11 p8 p5
p8 p4 p3 p4 p3
p12 p12
p2 p2
p1 p1
p0 (yo) p0 (J)
p10 p10
p9 p7 p6 p9 p7 p6
p11 p8 p5 p11 p8 p5
p4 p3 p4 p3
p12 p12
p2 p2
p1 p1
p0 (K) p0 (L)
Figure33.7,continued(l)Theconvexhullreturnedbytheprocedure,whichmatchesthatof
Figure33.6.
Pgina155
ofCH.Q/(seeExercise33.31).Figure33.7(a)showsthepointsofFigure33.6
sequentiallynumberedinorderofincreasingpolaranglerelativetop0.
TheremainderoftheprocedureusesthestackS.Lines36initializethestack
tocontain,frombottomtotop,thefirstthreepointsp0,p1,andp2.Figure33.7(a)
showstheinitialstackS.Theforloopoflines710iteratesonceforeachpoint
inthesubsequencehp3p4:::pmi.Weshallseethatafterprocessingpointpi,
stackScontains,frombottomtotop,theverticesofCH.fp0p1:::pig/incoun
terclockwiseorder.Thewhileloopoflines89removespointsfromthestackif
wefindthemnottobeverticesoftheconvexhull.Whenwetraversetheconvex
hullcounterclockwise,weshouldmakealeftturnateachvertex.Thus,eachtime
thewhileloopfindsavertexatwhichwemakeanonleftturn,wepopthevertex
fromthestack.(Bycheckingforanonleftturn,ratherthanjustarightturn,this
testprecludesthepossibilityofastraightangleatavertexoftheresultingconvex
hull.Wewantnostraightangles,sincenovertexofaconvexpolygonmaybea
convexcombinationofotherverticesofthepolygon.)Afterwepopallvertices
thathavenonleftturnswhenheadingtowardpointpi,wepushpiontothestack.
Figures33.7(b)(k)showthestateofthestackSaftereachiterationofthefor
lazo.Finally,GRAHAMSCANreturnsthestackSinline11.Figure33.7(l)shows
thecorrespondingconvexhull.
ThefollowingtheoremformallyprovesthecorrectnessofGRAHAMSCAN.
Theorem33.1(CorrectnessofGraham'sscan)
IfGRAHAMSCANexecutesonasetQofpoints,wherejQj3,thenattermina
tion,thestackSconsistsof,frombottomtotop,exactlytheverticesofCH.Q/in
counterclockwiseorder.
ProofAfterline2,wehavethesequenceofpointshp1p2:::pmi.Nosdeja
define,foriD23:::m,thesubsetofpointsQiDfp0p1:::pig.El
pointsinQQmarethosethatwereremovedbecausetheyhadthesamepolar
anglerelativetop0assomepointinQmthesepointsarenotinCH.Q/,and
soCH.Qm/DCH.Q/.Thus,itsufficestoshowthatwhenGRAHAMSCAN
terminates,thestackSconsistsoftheverticesofCH.Qm/incounterclockwise
order,whenlistedfrombottomtotop.Notethatjustasp0,p1,andpmarevertices
ofCH.Q/,thepointsp0,p1,andpiareallverticesofCH.Qi/.
Theproofusesthefollowingloopinvariant:
Atthestartofeachiterationoftheforloopoflines710,stackSconsistsof,
frombottomtotop,exactlytheverticesofCH.Qi1/incounterclockwise
orden.
Initialization:Theinvariantholdsthefirsttimeweexecuteline7,sinceatthat
time,stackSconsistsofexactlytheverticesofQ2DQi1,andthissetofthree
Pgina156
pj pk pj
pi pi pr
pt
Qj
p2
p1 p1
p0 p0
(un) (segundo)
Figure33.8TheproofofcorrectnessofGRAHAMSCAN.(a)Becausepi'spolaranglerelative
top0isgreaterthanpj'spolarangle,andbecausetheanglepkpjpimakesaleftturn,addingpi
toCH.Qj/givesexactlytheverticesofCH.Qj[fpig/.(b)Iftheangleprptpimakesanonleft
turn,thenptiseitherintheinteriorofthetriangleformedbyp0,pr,andpioronasideofthe
triangle,whichmeansthatitcannotbeavertexofCH.Qi/.
verticesformsitsownconvexhull.Moreover,theyappearincounterclockwise
orderfrombottomtotop.
Maintenance:Enteringaniterationoftheforloop,thetoppointonstackS
ispi1,whichwaspushedattheendofthepreviousiteration(orbeforethe
firstiteration,wheniD3).LetpjbethetoppointonSafterexecutingthe
whileloopoflines89butbeforeline10pushespi,andletpkbethepoint
justbelowpjonS.AtthemomentthatpjisthetoppointonSandwehave
notyetpushedpi,stackScontainsexactlythesamepointsitcontainedafter
iterationjoftheforloop.Bytheloopinvariant,therefore,Scontainsexactly
theverticesofCH.Qj/atthatmoment,andtheyappearincounterclockwise
orderfrombottomtotop.
Letuscontinuetofocusonthismomentjustbeforepushingpi.Sabemos
thatpi'spolaranglerelativetop0isgreaterthanpj'spolarangleandthat
theanglepkpjpimakesaleftturn(otherwisewewouldhavepoppedpj).
Therefore,becauseScontainsexactlytheverticesofCH.Qj/,weseefrom
Figure33.8(a)thatoncewepushpi,stackSwillcontainexactlythevertices
ofCH.Qj[fpig/,stillincounterclockwiseorderfrombottomtotop.
WenowshowthatCH.Qj[fpig/isthesamesetofpointsasCH.Qi/.Consider
anypointptthatwaspoppedduringiterationioftheforloop,andletprbe
thepointjustbelowptonstackSatthetimeptwaspopped(prmightbepj).
Theangleprptpimakesanonleftturn,andthepolarangleofptrelative
top0isgreaterthanthepolarangleofpr.AsFigure33.8(b)shows,ptmust
Pgina157
beeitherintheinteriorofthetriangleformedbyp0,pr,andpioronasideof
thistriangle(butitisnotavertexofthetriangle).Clearly,sinceptiswithina
triangleformedbythreeotherpointsofQi,itcannotbeavertexofCH.Qi/.
SinceptisnotavertexofCH.Qi/,wehavethat
CH.Qi fptg/DCH.Qi/: (33.1)
LetPibethesetofpointsthatwerepoppedduringiterationioftheforloop.
Sincetheequality(33.1)appliesforallpointsinPi,wecanapplyitrepeatedly
toshowthatCH.Qi Pi/DCH.Qi/.ButQi PiDQj[fpig,andsowe
concludethatCH.Qj[fpig/DCH.Qi Pi/DCH.Qi/.
Wehaveshownthatoncewepushpi,stackScontainsexactlythevertices
ofCH.Qi/incounterclockwiseorderfrombottomtotop.Incrementingiwill
thencausetheloopinvarianttoholdforthenextiteration.
Termination:Whentheloopterminates,wehaveiDmC1,andsotheloop
invariantimpliesthatstackSconsistsofexactlytheverticesofCH.Qm/,which
isCH.Q/,incounterclockwiseorderfrombottomtotop.Thiscompletesthe
prueba.
WenowshowthattherunningtimeofGRAHAMSCANisO.nlgn/,where
nDjQj.Line1takes.n/time.Line2takesO.nlgn/time,usingmergesort
orheapsorttosortthepolaranglesandthecrossproductmethodofSection33.1
tocompareangles.(Wecanremoveallbutthefarthestpointwiththesamepolar
angleintotalofOn/timeoverallnpoints.)Lines36takeO.1/time.Porque
mn1,theforloopoflines710executesatmostn3times.SincePUSH
takesO.1/time,eachiterationtakesO.1/timeexclusiveofthetimespentinthe
whileloopoflines89,andthusoveralltheforlooptakesOn/timeexclusiveof
thenestedwhileloop.
WeuseaggregateanalysistoshowthatthewhilelooptakesOn/timeoverall.
ForiD01:::m,wepusheachpointpiontostackSexactlyonce.Asinthe
analysisoftheMULTIPOPprocedureofSection17.1,weobservethatwecanpopat
mostthenumberofitemsthatwepush.Atleastthreepointsp0,p1,andpmare
neverpoppedfromthestack,sothatinfactatmostm 2POPoperationsare
performedintotal.EachiterationofthewhileloopperformsonePOP,andso
thereareatmostm2iterationsofthewhileloopaltogether.Sincethetestin
line8takesO.1/time,eachcallofPOPtakesO.1/time,andmn1,thetotal
timetakenbythewhileloopisOn/.Thus,therunningtimeofGRAHAMSCAN
isO.nlgn/.
Pgina158
leftchain rightchain
p3
p4 p2
p1
p0
leftchain rightchain
Figure33.9TheoperationofJarvis'smarch.Wechoosethefirstvertexasthelowestpointp0.
Thenextvertex,p1,hasthesmallestpolarangleofanypointwithrespecttop0.Then,p2hasthe
smallestpolaranglewithrespecttop1.Therightchaingoesashighasthehighestpointp3.Entonces,
weconstructtheleftchainbyfindingsmallestpolarangleswithrespecttothenegativexaxis.
Jarvis'smarch
Jarvis'smarchcomputestheconvexhullofasetQofpointsbyatechniqueknown
aspackagewrapping(orgiftwrapping).ThealgorithmrunsintimeO.nh/,
wherehisthenumberofverticesofCH.Q/.Whenhiso.lgn/,Jarvis'smarchis
asymptoticallyfasterthanGraham'sscan.
Intuitively,Jarvis'smarchsimulateswrappingatautpieceofpaperaroundthe
setQ.Westartbytapingtheendofthepapertothelowestpointintheset,thatis,
tothesamepointp0withwhichwestartGraham'sscan.Weknowthatthispoint
mustbeavertexoftheconvexhull.Wepullthepapertotherighttomakeittaut,
andthenwepullithigheruntilittouchesapoint.Thispointmustalsobeavertex
oftheconvexhull.Keepingthepapertaut,wecontinueinthiswayaroundtheset
ofverticesuntilwecomebacktoouroriginalpointp0.
Moreformally,Jarvis'smarchbuildsasequenceHDhp0p1:::ph1iofthe
verticesofCH.Q/.Westartwithp0.AsFigure33.9shows,thenextvertexp1
intheconvexhullhasthesmallestpolaranglewithrespecttop0.(Incaseofties,
wechoosethepointfarthestfromp0.)Similarly,p2hasthesmallestpolarangle
Pgina159
withrespecttop1,andsoon.Whenwereachthehighestvertex,saypk(breaking
tiesbychoosingthefarthestsuchvertex),wehaveconstructed,asFigure33.9
shows,therightchainofCH.Q/.Toconstructtheleftchain,westartatpkand
choosepkC1asthepointwiththesmallestpolaranglewithrespecttopk,butfrom
thenegativexaxis.Wecontinueon,formingtheleftchainbytakingpolarangles
fromthenegativexaxis,untilwecomebacktoouroriginalvertexp0.
WecouldimplementJarvis'smarchinoneconceptualsweeparoundtheconvex
hull,thatis,withoutseparatelyconstructingtherightandleftchains.Suchimple
mentationstypicallykeeptrackoftheangleofthelastconvexhullsidechosenand
requirethesequenceofanglesofhullsidestobestrictlyincreasing(intherange
of0to2radians).Theadvantageofconstructingseparatechainsisthatweneed
notexplicitlycomputeanglesthetechniquesofSection33.1sufficetocompare
anglos.
Ifimplementedproperly,Jarvis'smarchhasarunningtimeofO.nh/.Paracada
ofthehverticesofCH.Q/,wefindthevertexwiththeminimumpolarangle.Cada
comparisonbetweenpolaranglestakesO.1/time,usingthetechniquesofSec
tion33.1.AsSection9.1shows,wecancomputetheminimumofnvaluesinOn/
timeifeachcomparisontakesO.1/time.Thus,Jarvis'smarchtakesO.nh/time.
Exercises
33.31
ProvethatintheprocedureGRAHAMSCAN,pointsp1andpmmustbevertices
ofCH.Q/.
33.32
Consideramodelofcomputationthatsupportsaddition,comparison,andmultipli
cationandforwhichthereisalowerboundof.nlgn/tosortnnumbers.Prove
that.nlgn/isalowerboundforcomputing,inorder,theverticesoftheconvex
hullofasetofnpointsinsuchamodel.
33.33
GivenasetofpointsQ,provethatthepairofpointsfarthestfromeachothermust
beverticesofCH.Q/.
33.34
ForagivenpolygonPandapointqonitsboundary,theshadowofqistheset
ofpointsrsuchthatthesegmentqrisentirelyontheboundaryorintheinterior
ofP.AsFigure33.10illustrates,apolygonPisstarshapedifthereexistsa
pointpintheinteriorofPthatisintheshadowofeverypointontheboundary
ofP.ThesetofallsuchpointspiscalledthekernelofP.Givenannvertex,
Pgina160
33.4Findingtheclosestpairofpoints 1039
pag
Q
(un) (segundo)
Figure33.10Thedefinitionofastarshapedpolygon,foruseinExercise33.34.(a)Astarshaped
polygon.Thesegmentfrompointptoanypointqontheboundaryintersectstheboundaryonlyatq.
(b)Anonstarshapedpolygon.Theshadedregionontheleftistheshadowofq,andtheshaded
regionontherightistheshadowofq0.Sincetheseregionsaredisjoint,thekernelisempty.
starshapedpolygonPspecifiedbyitsverticesincounterclockwiseorder,show
howtocomputeCH.P/inOn/time.
33.35
Intheonlineconvexhullproblem,wearegiventhesetQofnpointsonepointat
atime.Afterreceivingeachpoint,wecomputetheconvexhullofthepointsseen
sofar.Obviously,wecouldrunGraham'sscanonceforeachpoint,withatotal
runningtimeofOn2lgn/.Showhowtosolvetheonlineconvexhullproblemin
atotalofOn2/time.
33.36?
Showhowtoimplementtheincrementalmethodforcomputingtheconvexhull
ofnpointssothatitrunsinO.nlgn/time.
33.4Findingtheclosestpairofpoints
WenowconsidertheproblemoffindingtheclosestpairofpointsinasetQof
norte2points.Closestreferstotheusualeuclideandistance:thedistancebetween
pag
pointsp1D.x1y1/andp2D.x2y2/is .x1 x2/2C.y1 y2/2.Twopoints
insetQmaybecoincident,inwhichcasethedistancebetweenthemiszero.Esta
problemhasapplicationsin,forexample,trafficcontrolsystems.Asystemfor
controllingairorseatrafficmightneedtoidentifythetwoclosestvehiclesinorder
todetectpotentialcollisions.
Abruteforceclosestpairalgorithmsimplylooksatallthe norte
D.n2/pairs
2
ofpoints.Inthissection,weshalldescribeadivideandconqueralgorithmfor
Pgina161
thisproblem,whoserunningtimeisdescribedbythefamiliarrecurrenceT.n/D
2T.n=2/COn/.Thus,thisalgorithmusesonlyO.nlgn/time.
Thedivideandconqueralgorithm
EachrecursiveinvocationofthealgorithmtakesasinputasubsetPQand
arraysXandY,eachofwhichcontainsallthepointsoftheinputsubsetP.
ThepointsinarrayXaresortedsothattheirxcoordinatesaremonotonically
creciente.Similarly,arrayYissortedbymonotonicallyincreasingycoordinate.
NotethatinordertoattaintheO.nlgn/timebound,wecannotaffordtosort
ineachrecursivecallifwedid,therecurrencefortherunningtimewouldbe
T.n/D2T.n=2/CO.nlgn/,whosesolutionisT.n/DO.nlg2n/.(Usethe
versionofthemastermethodgiveninExercise4.62.)Weshallseealittlelater
howtousepresortingtomaintainthissortedpropertywithoutactuallysortingin
eachrecursivecall.
AgivenrecursiveinvocationwithinputsP,X,andYfirstcheckswhether
jPj3.Ifso,theinvocationsimplyperformsthebruteforcemethoddescribed
above:tryall jPj pairsofpointsandreturntheclosestpair.IfjPj>3,the
2
recursiveinvocationcarriesoutthedivideandconquerparadigmasfollows.
Divide:FindaverticallinelthatbisectsthepointsetPintotwosetsPLandPR
suchthatjPLjDdjPj=2e,jPRjDbjPj=2c,allpointsinPLareonortothe
leftoflinel,andallpointsinPRareonortotherightofl.DividethearrayX
intoarraysXLandXR,whichcontainthepointsofPLandPRrespectively,
sortedbymonotonicallyincreasingxcoordinate.Similarly,dividethearrayY
intoarraysYLandYR,whichcontainthepointsofPLandPRrespectively,
sortedbymonotonicallyincreasingycoordinate.
Conquer:HavingdividedPintoPLandPR,maketworecursivecalls,onetofind
theclosestpairofpointsinPLandtheothertofindtheclosestpairofpoints
inPR.TheinputstothefirstcallarethesubsetPLandarraysXLandYLEl
secondcallreceivestheinputsPR,XR,andYR.Lettheclosestpairdistances
returnedforPLandPRbeLandR,respectively,andletDmin.LR/.
Combine:Theclosestpairiseitherthepairwithdistancefoundbyoneofthe
recursivecalls,oritisapairofpointswithonepointinPLandtheotherinPR.
ThealgorithmdetermineswhetherthereisapairwithonepointinPLandthe
otherpointinPRandwhosedistanceislessthan.Observethatifapairof
pointshasdistancelessthan,bothpointsofthepairmustbewithinunits
oflinel.Thus,asFigure33.11(a)shows,theybothmustresideinthe2wide
verticalstripcenteredatlinel.Tofindsuchapair,ifoneexists,wedothe
siguiendo:
Pgina162
1.CreateanarrayY0,whichisthearrayYwithallpointsnotinthe2wide
verticalstripremoved.ThearrayY0issortedbyycoordinate,justasYis.
2.ForeachpointpinthearrayY0,trytofindpointsinY0thatarewithin
unitsofp.Asweshallseeshortly,onlythe7pointsinY0thatfollowpneed
beconsidered.Computethedistancefromptoeachofthese7points,and
keeptrackoftheclosestpairdistance0foundoverallpairsofpointsinY0.
3.If0<,thentheverticalstripdoesindeedcontainacloserpairthanthe
recursivecallsfound.Returnthispairanditsdistance0.Otherwise,return
theclosestpairanditsdistancefoundbytherecursivecalls.
Theabovedescriptionomitssomeimplementationdetailsthatarenecessaryto
achievetheO.nlgn/runningtime.Afterprovingthecorrectnessofthealgorithm,
weshallshowhowtoimplementthealgorithmtoachievethedesiredtimebound.
Correctness
Thecorrectnessofthisclosestpairalgorithmisobvious,exceptfortwoaspects.
First,bybottomingouttherecursionwhenjPj3,weensurethatwenevertryto
solveasubproblemconsistingofonlyonepoint.Thesecondaspectisthatweneed
onlycheckthe7pointsfollowingeachpointpinarrayY0weshallnowprovethis
property.
Supposethatatsomeleveloftherecursion,theclosestpairofpointsispL2PL
andpR2PR.Thus,thedistance0betweenpLandpRisstrictlylessthan.
PointpLmustbeonortotheleftoflinelandlessthanunitsaway.Similarly,pR
isonortotherightoflandlessthanunitsaway.Moreover,pLandpRare
withinunitsofeachothervertically.Thus,asFigure33.11(a)shows,pLandpR
arewithina2rectanglecenteredatlinel.(Theremaybeotherpointswithin
thisrectangleaswell.)
Wenextshowthatatmost8pointsofPcanresidewithinthis2rectangle.
Considerthesquareformingthelefthalfofthisrectangle.Sinceallpoints
withinPLareatleastunitsapart,atmost4pointscanresidewithinthissquare
Figure33.11(b)showshow.Similarly,atmost4pointsinPRcanresidewithin
thesquareformingtherighthalfoftherectangle.Thus,atmost8pointsofP
canresidewithinthe2rectangle.(Notethatsincepointsonlinelmaybein
eitherPLorPR,theremaybeupto4pointsonl.Thislimitisachievedifthereare
twopairsofcoincidentpointssuchthateachpairconsistsofonepointfromPLand
onepointfromPR,onepairisattheintersectionoflandthetopoftherectangle,
andtheotherpairiswherelintersectsthebottomoftherectangle.)
Havingshownthatatmost8pointsofPcanresidewithintherectangle,we
caneasilyseewhyweneedtocheckonlythe7pointsfollowingeachpointinthe
arrayY0.StillassumingthattheclosestpairispLandpR,letusassumewithout
Pgina163
PR
PL
PR
2 PL
pR
coincidentpoints,
pL
oneinPL,
oneinPR
coincidentpoints,
oneinPL,
L L oneinPR
(un) (segundo)
Figure33.11Keyconceptsintheproofthattheclosestpairalgorithmneedstocheckonly7points
followingeachpointinthearrayY0.(a)IfpL2PLandpR2PRarelessthanunitsapart,they
mustresidewithina2rectanglecenteredatlinel.(b)How4pointsthatarepairwiseatleast
unitsapartcanallresidewithinasquare.Ontheleftare4pointsinPL,andontherightare4
pointsinPR.The 2rectanglecancontain8pointsifthepointsshownonlinelareactually
pairsofcoincidentpointswithonepointinPLandoneinPR.
lossofgeneralitythatpLprecedespRinarrayY0.Then,evenifpLoccursasearly
aspossibleinY0andpRoccursaslateaspossible,pRisinoneofthe7positions
followingpL.Thus,wehaveshownthecorrectnessoftheclosestpairalgorithm.
Implementationandrunningtime
Aswehavenoted,ourgoalistohavetherecurrencefortherunningtimebeT.n/D
2T.n=2/COn/,whereT.n/istherunningtimeforasetofnpoints.Elprincipal
difficultycomesfromensuringthatthearraysXL,XR,YL,andYR,whichare
passedtorecursivecalls,aresortedbythepropercoordinateandalsothatthe
arrayY0issortedbyycoordinate.(NotethatifthearrayXthatisreceivedbya
recursivecallisalreadysorted,thenwecaneasilydividesetPintoPLandPRin
lineartime.)
Thekeyobservationisthatineachcall,wewishtoformasortedsubsetofa
sortedarray.Forexample,aparticularinvocationreceivesthesubsetPandthe
arrayY,sortedbyycoordinate.HavingpartitionedPintoPLandPR,itneedsto
formthearraysYLandYR,whicharesortedbyycoordinate,inlineartime.Nosotros
canviewthemethodastheoppositeoftheMERGEprocedurefrommergesortin
Pgina164
Section2.3.1:wearesplittingasortedarrayintotwosortedarrays.Thefollowing
pseudocodegivestheidea.
1letYL1::Y:lengthandYR1::Y:lengthbenewarrays
2YL:lengthDYR:lengthD0
3foriD1toY:length
4 ifYi2PL
5 YL:lengthDYL:lengthC1
6 YLYL:lengthDYi
7 elseYR:lengthDYR:lengthC1
8 YRYR:lengthDYi
WesimplyexaminethepointsinarrayYinorder.IfapointYiisinPL,we
appendittotheendofarrayYLotherwise,weappendittotheendofarrayYR.
SimilarpseudocodeworksforformingarraysXL,XR,andY0.
Theonlyremainingquestionishowtogetthepointssortedinthefirstplace.Nosotros
presortthemthatis,wesortthemonceandforallbeforethefirstrecursivecall.
Wepassthesesortedarraysintothefirstrecursivecall,andfromtherewewhittle
themdownthroughtherecursivecallsasnecessary.Presortingaddsanadditional
O.nlgn/termtotherunningtime,butnoweachstepoftherecursiontakeslinear
timeexclusiveoftherecursivecalls.Thus,ifweletT.n/betherunningtimeof
eachrecursivestepandT0.n/betherunningtimeoftheentirealgorithm,weget
T0.n/DT.n/CO.nlgn/and
(
2T.n=2/COn/ifn>3
T.n/D
O.1/ ifn3:
Thus,T.n/DO.nlgn/andT0.n/DO.nlgn/.
Exercises
33.41
ProfessorWilliamscomesupwithaschemethatallowstheclosestpairalgorithm
tocheckonly5pointsfollowingeachpointinarrayY0.Theideaisalwaystoplace
pointsonlinelintosetPL.Then,therecannotbepairsofcoincidentpointson
linelwithonepointinPLandoneinPR.Thus,atmost6pointscanresidein
the2rectangle.Whatistheflawintheprofessor'sscheme?
33.42
Showthatitactuallysufficestocheckonlythepointsinthe5arraypositionsfol
lowingeachpointinthearrayY0.
Pgina165
33.43
Wecandefinethedistancebetweentwopointsinwaysotherthaneuclidean.En
theplane,theLmdistancebetweenpointsp1andp2isgivenbytheexpres
sion.jx1 x2jmetro / 1=m.Euclideandistance,therefore,isL2distance.
Cjy1 y2jmetro
ModifytheclosestpairalgorithmtousetheL1distance,whichisalsoknownas
theManhattandistance.
33.44
Giventwopointsp1andp2intheplane,theL1distancebetweenthemis
givenbymax.jx1 x2jjy1 y2j/.Modifytheclosestpairalgorithmtousethe
L1distance.
33.45
Supposethat.n/ofthepointsgiventotheclosestpairalgorithmarecovertical.
ShowhowtodeterminethesetsPLandPRandhowtodeterminewhethereach
pointofYisinPLorPRsothattherunningtimefortheclosestpairalgorithm
remainsO.nlgn/.
33.46
SuggestachangetotheclosestpairalgorithmthatavoidspresortingtheYarray
butleavestherunningtimeasO.nlgn/.(Hint:MergesortedarraysYLandYRto
formthesortedarrayY.)
Problemas
331Convexlayers
GivenasetQofpointsintheplane,wedefinetheconvexlayersofQinductively.
ThefirstconvexlayerofQconsistsofthosepointsinQthatareverticesofCH.Q/.
Fori>1,defineQitoconsistofthepointsofQwithallpointsinconvexlayers
12:::i1removed.Then,theithconvexlayerofQisCH.Qi/ifQiY
isundefinedotherwise.
a.GiveanOn2/timealgorithmtofindtheconvexlayersofasetofnpoints.
segundo.Provethat.nlgn/timeisrequiredtocomputetheconvexlayersofasetofn
pointswithanymodelofcomputationthatrequires.nlgn/timetosortnreal
nmeros.
Page166
332Maximallayers
LetQbeasetofnpointsintheplane.Wesaythatpoint.xy/dominates
point.x0y0/ifx x0andy y0.ApointinQthatisdominatedbynoother
pointsinQissaidtobemaximal.NotethatQmaycontainmanymaximalpoints,
whichcanbeorganizedintomaximallayersasfollows.ThefirstmaximallayerL1
isthesetofmaximalpointsofQ.Fori>1,theithmaximallayerL
Si1 iisthesetof
maximalpointsinQ jD1Lj.
SupposethatQhasknonemptymaximallayers,andletyibetheycoordinate
oftheleftmostpointinLiforiD12:::KFornow,assumethatnotwopoints
inQhavethesamexorycoordinate.
a.Showthaty1>y2> >yk.
Considerapoint.xy/thatistotheleftofanypointinQandforwhichyis
distinctfromtheycoordinateofanypointinQ.LetQ0DQ[fxy/g.
segundo.Letjbetheminimumindexsuchthatyj<y,unlessy<yk,inwhichcase
weletjDkC1.ShowthatthemaximallayersofQ0areasfollows:
Ifjk,thenthemaximallayersofQ0arethesameasthemaximallayers
ofQ,exceptthatLjalsoincludes.xy/asitsnewleftmostpoint.
IfjDkC1,thenthefirstkmaximallayersofQ0arethesameasforQ,but
inaddition,Q0hasanonempty.kC1/stmaximallayer:LkC1Dfxy/g.
do.DescribeanO.nlgn/timealgorithmtocomputethemaximallayersofasetQ
ofnpoints.(Hint:Moveasweeplinefromrighttoleft.)
re.Doanydifficultiesariseifwenowallowinputpointstohavethesamexor
ycoordinate?Suggestawaytoresolvesuchproblems.
333Ghostbustersandghosts
AgroupofnGhostbustersisbattlingnghosts.EachGhostbustercarriesaproton
pack,whichshootsastreamataghost,eradicatingit.Astreamgoesinastraight
lineandterminateswhenithitstheghost.TheGhostbustersdecideuponthefol
lowingstrategy.Theywillpairoffwiththeghosts,formingnGhostbusterghost
pairs,andthensimultaneouslyeachGhostbusterwillshootastreamathischo
senghost.Asweallknow,itisverydangeroustoletstreamscross,andsothe
Ghostbustersmustchoosepairingsforwhichnostreamswillcross.
AssumethatthepositionofeachGhostbusterandeachghostisafixedpointin
theplaneandthatnothreepositionsarecolinear.
a.ArguethatthereexistsalinepassingthroughoneGhostbusterandoneghost
suchthatthenumberofGhostbustersononesideofthelineequalsthenumber
ofghostsonthesameside.DescribehowtofindsuchalineinO.nlgn/time.
Page167
segundo.GiveanOn2lgn/timealgorithmtopairGhostbusterswithghostsinsucha
waythatnostreamscross.
334Pickingupsticks
ProfessorCharonhasasetofnsticks,whicharepiledupinsomeconfiguration.
Eachstickisspecifiedbyitsendpoints,andeachendpointisanorderedtriple
givingits.xy/coordinates.Nostickisvertical.Hewishestopickupallthe
sticks,oneatatime,subjecttotheconditionthathemaypickupastickonlyif
thereisnootherstickontopofit.
a.Giveaprocedurethattakestwosticksaandbandreportswhetheraisabove,
below,orunrelatedtob.
segundo.Describeanefficientalgorithmthatdetermineswhetheritispossibletopickup
allthesticks,andifso,providesalegalorderinwhichtopickthemup.
335Sparsehulleddistributions
Considertheproblemofcomputingtheconvexhullofasetofpointsintheplane
thathavebeendrawnaccordingtosomeknownrandomdistribution.Aveces,
thenumberofpoints,orsize,oftheconvexhullofnpointsdrawnfromsucha
distributionhasexpectationOn1/forsomeconstant >0.Wecallsucha
distributionsparsehulled.Sparsehulleddistributionsincludethefollowing:
Pointsdrawnuniformlyfromaunitradiusdisk.Theconvexhullhasexpected
size.n1=3/.
Pointsdrawnuniformlyfromtheinteriorofaconvexpolygonwithksides,for
anyconstantk.Theconvexhullhasexpectedsize.lgn/.
Pointsdrawnaccordingtoatwodimensionalnormaldistribution.Theconvex
pag
hullhasexpectedsize. lgn/.
a.Giventwoconvexpolygonswithn1andn2verticesrespectively,showhowto
computetheconvexhullofalln1Cn2pointsinOn1Cn2/time.(Thepolygons
mayoverlap.)
segundo.Showhowtocomputetheconvexhullofasetofnpointsdrawnindependently
accordingtoasparsehulleddistributioninOn/averagecasetime.(Hint:
Recursivelyfindtheconvexhullsofthefirstn=2pointsandthesecondn=2
points,andthencombinetheresults.)
Pgina168
Chapternotes
Thischapterbarelyscratchesthesurfaceofcomputationalgeometryalgorithms
andtechniques.BooksoncomputationalgeometryincludethosebyPreparataand
Shamos[282],Edelsbrunner[99],andO'Rourke[269].
Althoughgeometryhasbeenstudiedsinceantiquity,thedevelopmentofalgo
rithmsforgeometricproblemsisrelativelynew.PreparataandShamosnotethat
theearliestnotionofthecomplexityofaproblemwasgivenbyE.Lemoinein1902.
Hewasstudyingeuclideanconstructionsthoseusingacompassandarulerand
devisedasetoffiveprimitives:placingonelegofthecompassonagivenpoint,
placingonelegofthecompassonagivenline,drawingacircle,passingtherulers
edgethroughagivenpoint,anddrawingaline.Lemoinewasinterestedinthe
numberofprimitivesneededtoeffectagivenconstructionhecalledthisamount
thesimplicityoftheconstruction.
ThealgorithmofSection33.2,whichdetermineswhetheranysegmentsinter
sect,isduetoShamosandHoey[313].
TheoriginalversionofGraham'sscanisgivenbyGraham[150].Thepackage
wrappingalgorithmisduetoJarvis[189].Usingadecisiontreemodelofcom
putation,Yao[359]provedaworstcaselowerboundof.nlgn/fortherunning
timeofanyconvexhullalgorithm.Whenthenumberofverticeshofthecon
vexhullistakenintoaccount,thepruneandsearchalgorithmofKirkpatrickand
Seidel[206],whichtakesO.nlgh/time,isasymptoticallyoptimal.
TheO.nlgn/timedivideandconqueralgorithmforfindingtheclosestpairof
pointsisbyShamosandappearsinPreparataandShamos[282].Preparataand
Shamosalsoshowthatthealgorithmisasymptoticallyoptimalinadecisiontree
modelo.
Pgina169
34 NPCompleteness
Almostallthealgorithmswehavestudiedthusfarhavebeenpolynomialtimeal
gorithms:oninputsofsizen,theirworstcaserunningtimeisOnk/forsomecon
stantk.Youmightwonderwhetherallproblemscanbesolvedinpolynomialtime.
Theanswerisno.Forexample,thereareproblems,suchasTuring'sfamousHalt
ingProblem,thatcannotbesolvedbyanycomputer,nomatterhowmuchtimewe
allow.Therearealsoproblemsthatcanbesolved,butnotintimeOnk/forany
constantk.Generally,wethinkofproblemsthataresolvablebypolynomialtime
algorithmsasbeingtractable,oreasy,andproblemsthatrequiresuperpolynomial
timeasbeingintractable,orhard.
Thesubjectofthischapter,however,isaninterestingclassofproblems,called
theNPcompleteproblems,whosestatusisunknown.Nopolynomialtimeal
gorithmhasyetbeendiscoveredforanNPcompleteproblem,norhasanyoneyet
beenabletoprovethatnopolynomialtimealgorithmcanexistforanyoneofthem.
ThissocalledPNPquestionhasbeenoneofthedeepest,mostperplexingopen
researchproblemsintheoreticalcomputersciencesinceitwasfirstposedin1971.
SeveralNPcompleteproblemsareparticularlytantalizingbecausetheyseem
onthesurfacetobesimilartoproblemsthatweknowhowtosolveinpolynomial
hora.Ineachofthefollowingpairsofproblems,oneissolvableinpolynomial
timeandtheotherisNPcomplete,butthedifferencebetweenproblemsappearsto
beslight:
Shortestvs.longestsimplepaths:InChapter24,wesawthatevenwithnegative
edgeweights,wecanfindshortestpathsfromasinglesourceinadirected
graphGD.VE/inO.VE/time.Findingalongestsimplepathbetweentwo
verticesisdifficult,however.Merelydeterminingwhetheragraphcontainsa
simplepathwithatleastagivennumberofedgesisNPcomplete.
Eulertourvs.hamiltoniancycle:AnEulertourofaconnected,directedgraph
GD.VE/isacyclethattraverseseachedgeofGexactlyonce,although
itisallowedtovisiteachvertexmorethanonce.ByProblem223,wecan
determinewhetheragraphhasanEulertourinonlyOE/timeand,infact,
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Chapter34NPCompleteness 1049
wecanfindtheedgesoftheEulertourinOE/time.Ahamiltoniancycleof
adirectedgraphGD.VE/isasimplecyclethatcontainseachvertexinV.
DeterminingwhetheradirectedgraphhasahamiltoniancycleisNPcomplete.
(Laterinthischapter,weshallprovethatdeterminingwhetheranundirected
graphhasahamiltoniancycleisNPcomplete.)
2CNFsatisfiabilityvs.3CNFsatisfiability:Abooleanformulacontainsvari
ableswhosevaluesare0or1booleanconnectivessuchas^(AND),_(OR),
and:(NOT)andparentheses.Abooleanformulaissatisfiableifthereexists
someassignmentofthevalues0and1toitsvariablesthatcausesittoevaluate
to1.Weshalldefinetermsmoreformallylaterinthischapter,butinformally,a
booleanformulaisinkconjunctivenormalform,orkCNF,ifitistheAND
ofclausesofORsofexactlykvariablesortheirnegations.Porejemplo,el
booleanformula.x1_:x2/^.:x1_x3/^.:x2_:x3/isin2CNF.(Ithas
thesatisfyingassignmentx1D1x2D0x3D1.)Althoughwecandeter
mineinpolynomialtimewhethera2CNFformulaissatisfiable,weshallsee
laterinthischapterthatdeterminingwhethera3CNFformulaissatisfiableis
NPcomplete.
NPcompletenessandtheclassesPandNP
Throughoutthischapter,weshallrefertothreeclassesofproblems:P,NP,and
NPC,thelatterclassbeingtheNPcompleteproblems.Wedescribetheminfor
mallyhere,andweshalldefinethemmoreformallylateron.
TheclassPconsistsofthoseproblemsthataresolvableinpolynomialtime.
Morespecifically,theyareproblemsthatcanbesolvedintimeOnk/forsome
constantk,wherenisthesizeoftheinputtotheproblem.Mostoftheproblems
examinedinpreviouschaptersareinP.
TheclassNPconsistsofthoseproblemsthatareverifiableinpolynomialtime.
Whatdowemeanbyaproblembeingverifiable?Ifweweresomehowgivena
certificateofasolution,thenwecouldverifythatthecertificateiscorrectintime
polynomialinthesizeoftheinputtotheproblem.Forexample,inthehamiltonian
cycleproblem,givenadirectedgraphGD.VE/,acertificatewouldbease
quenceh123:::jVjiofjVjvertices.Wecouldeasilycheckinpolynomial
timethat.iiC1/2EforiD123:::jVj1andthat.jVj1/2Easwell.
Asanotherexample,for3CNFsatisfiability,acertificatewouldbeanassignment
ofvaluestovariables.Wecouldcheckinpolynomialtimethatthisassignment
satisfiesthebooleanformula.
AnyprobleminPisalsoinNP,sinceifaproblemisinPthenwecansolveit
inpolynomialtimewithoutevenbeingsuppliedacertificate.Weshallformalize
thisnotionlaterinthischapter,butfornowwecanbelievethatPNP.Laapertura
questioniswhetherornotPisapropersubsetofNP.
Pgina171
1050 Chapter34NPCompleteness
Informally,aproblemisintheclassNPCandwerefertoitasbeingNP
completeifitisinNPandisashardasanyprobleminNP.Weshallformally
definewhatitmeanstobeashardasanyprobleminNPlaterinthischapter.
Inthemeantime,wewillstatewithoutproofthatifanyNPcompleteproblem
canbesolvedinpolynomialtime,theneveryprobleminNPhasapolynomial
timealgorithm.MosttheoreticalcomputerscientistsbelievethattheNPcomplete
problemsareintractable,sincegiventhewiderangeofNPcompleteproblems
thathavebeenstudiedtodatewithoutanyonehavingdiscoveredapolynomial
timesolutiontoanyofthemitwouldbetrulyastoundingifallofthemcould
besolvedinpolynomialtime.Yet,giventheeffortdevotedthusfartoproving
thatNPcompleteproblemsareintractablewithoutaconclusiveoutcomewe
cannotruleoutthepossibilitythattheNPcompleteproblemsareinfactsolvable
inpolynomialtime.
Tobecomeagoodalgorithmdesigner,youmustunderstandtherudimentsofthe
theoryofNPcompleteness.IfyoucanestablishaproblemasNPcomplete,you
providegoodevidenceforitsintractability.Asanengineer,youwouldthendo
bettertospendyourtimedevelopinganapproximationalgorithm(seeChapter35)
orsolvingatractablespecialcase,ratherthansearchingforafastalgorithmthat
solvestheproblemexactly.Moreover,manynaturalandinterestingproblemsthat
onthesurfaceseemnoharderthansorting,graphsearching,ornetworkfloware
infactNPcomplete.Therefore,youshouldbecomefamiliarwiththisremarkable
classofproblems.
OverviewofshowingproblemstobeNPcomplete
ThetechniquesweusetoshowthataparticularproblemisNPcompletediffer
fundamentallyfromthetechniquesusedthroughoutmostofthisbooktodesign
andanalyzealgorithms.WhenwedemonstratethataproblemisNPcomplete,
wearemakingastatementabouthowharditis(oratleasthowhardwethinkit
is),ratherthanabouthoweasyitis.Wearenottryingtoprovetheexistenceof
anefficientalgorithm,butinsteadthatnoefficientalgorithmislikelytoexist.En
thisway,NPcompletenessproofsbearsomesimilaritytotheproofinSection8.1
ofan.nlgn/timelowerboundforanycomparisonsortalgorithmthespecific
techniquesusedforshowingNPcompletenessdifferfromthedecisiontreemethod
usedinSection8.1,however.
WerelyonthreekeyconceptsinshowingaproblemtobeNPcomplete:
Decisionproblemsvs.optimizationproblems
Manyproblemsofinterestareoptimizationproblems,inwhicheachfeasible(ie,
legal)solutionhasanassociatedvalue,andwewishtofindafeasiblesolution
withthebestvalue.Forexample,inaproblemthatwecallSHORTESTPATH,
Pgina172
Chapter34NPCompleteness 1051
wearegivenanundirectedgraphGandverticesuand,andwewishtofinda
pathfromutothatusesthefewestedges.Inotherwords,SHORTESTPATH
isthesinglepairshortestpathprobleminanunweighted,undirectedgraph.NP
completenessappliesdirectlynottooptimizationproblems,however,buttodeci
sionproblems,inwhichtheanswerissimplyyesorno(or,moreformally,1
or0).
AlthoughNPcompleteproblemsareconfinedtotherealmofdecisionproblems,
wecantakeadvantageofaconvenientrelationshipbetweenoptimizationproblems
anddecisionproblems.Weusuallycancastagivenoptimizationproblemasare
lateddecisionproblembyimposingaboundonthevaluetobeoptimized.por
example,adecisionproblemrelatedtoSHORTESTPATHisPATH:givenadi
rectedgraphG,verticesuand,andanintegerk,doesapathexistfromuto
consistingofatmostkedges?
Therelationshipbetweenanoptimizationproblemanditsrelateddecisionprob
lemworksinourfavorwhenwetrytoshowthattheoptimizationproblemis
hard.Thatisbecausethedecisionproblemisinasenseeasier,oratleastno
harder.Asaspecificexample,wecansolvePATHbysolvingSHORTESTPATH
andthencomparingthenumberofedgesintheshortestpathfoundtothevalue
ofthedecisionproblemparameterk.Inotherwords,ifanoptimizationprob
lemiseasy,itsrelateddecisionproblemiseasyaswell.Statedinawaythathas
morerelevancetoNPcompleteness,ifwecanprovideevidencethatadecision
problemishard,wealsoprovideevidencethatitsrelatedoptimizationproblemis
hard.Thus,eventhoughitrestrictsattentiontodecisionproblems,thetheoryof
NPcompletenessoftenhasimplicationsforoptimizationproblemsaswell.
Reductions
Theabovenotionofshowingthatoneproblemisnoharderornoeasierthanan
otherappliesevenwhenbothproblemsaredecisionproblems.Wetakeadvantage
ofthisideainalmosteveryNPcompletenessproof,asfollows.Letusconsidera
decisionproblemA,whichwewouldliketosolveinpolynomialtime.Wecallthe
inputtoaparticularproblemaninstanceofthatproblemforexample,inPATH,
aninstancewouldbeaparticulargraphG,particularverticesuandofG,anda
particularintegerk.Nowsupposethatwealreadyknowhowtosolveadifferent
decisionproblemBinpolynomialtime.Finally,supposethatwehaveaprocedure
thattransformsanyinstanceofAintosomeinstanceofBwiththefollowing
Caractersticas:
Thetransformationtakespolynomialtime.
Theanswersarethesame.Thatis,theanswerforisyesifandonlyifthe
answerforisalsoyes.
Pgina173
instance polynomialtime instance polynomialtime s s

ofA reductionalgorithm ofB algorithmtodecideBno no
polynomialtimealgorithmtodecideA
Figure34.1HowtouseapolynomialtimereductionalgorithmtosolveadecisionproblemAin
polynomialtime,givenapolynomialtimedecisionalgorithmforanotherproblemB.Inpolynomial
time,wetransformaninstanceofAintoaninstanceofB,wesolveBinpolynomialtime,and
weusetheanswerforastheanswerfor.
Wecallsuchaprocedureapolynomialtimereductionalgorithmand,asFig
ure34.1shows,itprovidesusawaytosolveproblemAinpolynomialtime:
1.GivenaninstanceofproblemA,useapolynomialtimereductionalgorithm
totransformittoaninstanceofproblemB.
2.RunthepolynomialtimedecisionalgorithmforBontheinstance.
3.Usetheanswerforastheanswerfor.
Aslongaseachofthesestepstakespolynomialtime,allthreetogetherdoalso,and
sowehaveawaytodecideoninpolynomialtime.Inotherwords,byreducing
solvingproblemAtosolvingproblemB,weusetheeasinessofBtoprovethe
easinessofA.
RecallingthatNPcompletenessisaboutshowinghowhardaproblemisrather
thanhoweasyitis,weusepolynomialtimereductionsintheoppositewaytoshow
thataproblemisNPcomplete.Letustaketheideaastepfurther,andshowhowwe
couldusepolynomialtimereductionstoshowthatnopolynomialtimealgorithm
canexistforaparticularproblemB.SupposewehaveadecisionproblemAfor
whichwealreadyknowthatnopolynomialtimealgorithmcanexist.(Letusnot
concernourselvesfornowwithhowtofindsuchaproblemA.)Supposefurther
thatwehaveapolynomialtimereductiontransforminginstancesofAtoinstances
ofB.Nowwecanuseasimpleproofbycontradictiontoshowthatnopolynomial
timealgorithmcanexistforB.Supposeotherwiseie,supposethatBhasa
polynomialtimealgorithm.Then,usingthemethodshowninFigure34.1,we
wouldhaveawaytosolveproblemAinpolynomialtime,whichcontradictsour
assumptionthatthereisnopolynomialtimealgorithmforA.
ForNPcompleteness,wecannotassumethatthereisabsolutelynopolynomial
timealgorithmforproblemA.Theproofmethodologyissimilar,however,inthat
weprovethatproblemBisNPcompleteontheassumptionthatproblemAisalso
NPcomplete.
Pgina174
34.1Polynomialtime 1053
AfirstNPcompleteproblem
Becausethetechniqueofreductionreliesonhavingaproblemalreadyknownto
beNPcompleteinordertoproveadifferentproblemNPcomplete,weneeda
firstNPcompleteproblem.Theproblemweshalluseisthecircuitsatisfiability
problem,inwhichwearegivenabooleancombinationalcircuitcomposedofAND,
OR,andNOTgates,andwewishtoknowwhetherthereexistssomesetofboolean
inputstothiscircuitthatcausesitsoutputtobe1.Weshallprovethatthisfirst
problemisNPcompleteinSection34.3.
Chapteroutline
ThischapterstudiestheaspectsofNPcompletenessthatbearmostdirectlyonthe
analysisofalgorithms.InSection34.1,weformalizeournotionofproblemand
definethecomplexityclassPofpolynomialtimesolvabledecisionproblems.Nosotros
alsoseehowthesenotionsfitintotheframeworkofformallanguagetheory.Sec
tion34.2definestheclassNPofdecisionproblemswhosesolutionsareverifiable
inpolynomialtime.ItalsoformallyposesthePNPquestion.
Section34.3showswecanrelateproblemsviapolynomialtimereductions.
ItdefinesNPcompletenessandsketchesaproofthatoneproblem,calledcircuit
satisfiability,isNPcomplete.HavingfoundoneNPcompleteproblem,weshow
inSection34.4howtoproveotherproblemstobeNPcompletemuchmoresimply
bythemethodologyofreductions.Weillustratethismethodologybyshowingthat
twoformulasatisfiabilityproblemsareNPcomplete.Withadditionalreductions,
weshowinSection34.5avarietyofotherproblemstobeNPcomplete.
34.1Polynomialtime
WebeginourstudyofNPcompletenessbyformalizingournotionofpolynomial
timesolvableproblems.Wegenerallyregardtheseproblemsastractable,butfor
philosophical,notmathematical,reasons.Wecanofferthreesupportingargu
Mentos.
First,althoughwemayreasonablyregardaproblemthatrequirestime.n100/
tobeintractable,veryfewpracticalproblemsrequiretimeontheorderofsucha
highdegreepolynomial.Thepolynomialtimecomputableproblemsencountered
inpracticetypicallyrequiremuchlesstime.Experiencehasshownthatoncethe
firstpolynomialtimealgorithmforaproblemhasbeendiscovered,moreefficient
algorithmsoftenfollow.Evenifthecurrentbestalgorithmforaproblemhasa
runningtimeof.n100/,analgorithmwithamuchbetterrunningtimewilllikely
soonbediscovered.
Pgina175
Second,formanyreasonablemodelsofcomputation,aproblemthatcanbe
solvedinpolynomialtimeinonemodelcanbesolvedinpolynomialtimeinan
other.Forexample,theclassofproblemssolvableinpolynomialtimebytheserial
randomaccessmachineusedthroughoutmostofthisbookisthesameastheclass
ofproblemssolvableinpolynomialtimeonabstractTuringmachines.1Itisalso
thesameastheclassofproblemssolvableinpolynomialtimeonaparallelcom
puterwhenthenumberofprocessorsgrowspolynomiallywiththeinputsize.
Third,theclassofpolynomialtimesolvableproblemshasniceclosureproper
ties,sincepolynomialsareclosedunderaddition,multiplication,andcomposition.
Forexample,iftheoutputofonepolynomialtimealgorithmisfedintotheinputof
another,thecompositealgorithmispolynomial.Exercise34.15asksyoutoshow
thatifanalgorithmmakesaconstantnumberofcallstopolynomialtimesubrou
tinesandperformsanadditionalamountofworkthatalsotakespolynomialtime,
thentherunningtimeofthecompositealgorithmispolynomial.
Abstractproblems
Tounderstandtheclassofpolynomialtimesolvableproblems,wemustfirsthave
aformalnotionofwhataproblemis.WedefineanabstractproblemQtobea
binaryrelationonasetIofprobleminstancesandasetSofproblemsolutions.
Forexample,aninstanceforSHORTESTPATHisatripleconsistingofagraph
andtwovertices.Asolutionisasequenceofverticesinthegraph,withperhaps
theemptysequencedenotingthatnopathexists.TheproblemSHORTESTPATH
itselfistherelationthatassociateseachinstanceofagraphandtwoverticeswith
ashortestpathinthegraphthatconnectsthetwovertices.Sinceshortestpathsare
notnecessarilyunique,agivenprobleminstancemayhavemorethanonesolution.
Thisformulationofanabstractproblemismoregeneralthanweneedforour
Lospropsitos.Aswesawabove,thetheoryofNPcompletenessrestrictsattentionto
decisionproblems:thosehavingayes/nosolution.Inthiscase,wecanviewan
abstractdecisionproblemasafunctionthatmapstheinstancesetItothesolution
setf01g.Forexample,adecisionproblemrelatedtoSHORTESTPATHisthe
problemPATHthatwesawearlier.IfiDhGukiisaninstanceofthedecision
problemPATH,thenPATH.i/D1(yes)ifashortestpathfromuto hasat
mostkedges,andPATH.i/D0(no)otherwise.Manyabstractproblemsarenot
decisionproblems,butratheroptimizationproblems,whichrequiresomevalueto
beminimizedormaximized.Aswesawabove,however,wecanusuallyrecastan
optimizationproblemasadecisionproblemthatisnoharder.
1SeeHopcroftandUllman[180]orLewisandPapadimitriou[236]forathoroughtreatmentofthe
Turingmachinemodel.
Pgina176
Encodings
Inorderforacomputerprogramtosolveanabstractproblem,wemustrepresent
probleminstancesinawaythattheprogramunderstands.AnencodingofasetS
ofabstractobjectsisamappingefromStothesetofbinarystrings.2Forexample,
weareallfamiliarwithencodingthenaturalnumbersNDf01234:::gas
thestringsf011011100:::g.Usingthisencoding,e.17/D10001.Ifyou
havelookedatcomputerrepresentationsofkeyboardcharacters,youprobablyhave
seentheASCIIcode,where,forexample,theencodingofAis1000001.Wecan
encodeacompoundobjectasabinarystringbycombiningtherepresentationsof
itsconstituentparts.Polygons,graphs,functions,orderedpairs,programsallcan
beencodedasbinarystrings.
Thus,acomputeralgorithmthatsolvessomeabstractdecisionproblemactu
allytakesanencodingofaprobleminstanceasinput.Wecallaproblemwhose
instancesetisthesetofbinarystringsaconcreteproblem.Wesaythatanalgo
rithmsolvesaconcreteproblemintimeOT.n//if,whenitisprovidedaproblem
instanceioflengthnDjij,thealgorithmcanproducethesolutioninOT.n//
hora.3Aconcreteproblemispolynomialtimesolvable,therefore,ifthereexists
analgorithmtosolveitintimeOnk/forsomeconstantk.
WecannowformallydefinethecomplexityclassPasthesetofconcretedeci
sionproblemsthatarepolynomialtimesolvable.
Wecanuseencodingstomapabstractproblemstoconcreteproblems.Dado
anabstractdecisionproblemQmappinganinstancesetItof01g,anencoding
eWI!f01gcaninducearelatedconcretedecisionproblem,whichwedenote
byeQ/.4Ifthesolutiontoanabstractprobleminstancei2IisQi/2f01g,
thenthesolutiontotheconcreteprobleminstanceei/2f01gisalsoQi/.Comoun
technicality,somebinarystringsmightrepresentnomeaningfulabstractproblem
ejemplo.Forconvenience,weshallassumethatanysuchstringmapsarbitrarily
to0.Thus,theconcreteproblemproducesthesamesolutionsastheabstractprob
lemonbinarystringinstancesthatrepresenttheencodingsofabstractproblem
instancias.
Wewouldliketoextendthedefinitionofpolynomialtimesolvabilityfromcon
creteproblemstoabstractproblemsbyusingencodingsasthebridge,butwewould
2Thecodomainofeneednotbebinarystringsanysetofstringsoverafinitealphabethavingat
least2symbolswilldo.
3Weassumethatthealgorithm'soutputisseparatefromitsinput.Becauseittakesatleastonetime
steptoproduceeachbitoftheoutputandthealgorithmtakesOT.n//timesteps,thesizeofthe
outputisOT.n//.
4Wedenotebyf01gthesetofallstringscomposedofsymbolsfromthesetf01g.
Pgina177
likethedefinitiontobeindependentofanyparticularencoding.Thatis,theef
ficiencyofsolvingaproblemshouldnotdependonhowtheproblemisencoded.
Unfortunately,itdependsquiteheavilyontheencoding.Forexample,supposethat
anintegerkistobeprovidedasthesoleinputtoanalgorithm,andsupposethat
therunningtimeofthealgorithmis.k/.Iftheintegerkisprovidedinunarya
stringofk1sthentherunningtimeofthealgorithmisOn/onlengthninputs,
whichispolynomialtime.Ifweusethemorenaturalbinaryrepresentationofthe
integerk,however,thentheinputlengthisnDblgkcC1.Inthiscase,therun
ningtimeofthealgorithmis.k/D.2n/,whichisexponentialinthesizeofthe
entrada.Thus,dependingontheencoding,thealgorithmrunsineitherpolynomial
orsuperpolynomialtime.
Howweencodeanabstractproblemmattersquiteabittohowweunderstand
polynomialtime.Wecannotreallytalkaboutsolvinganabstractproblemwithout
firstspecifyinganencoding.Nevertheless,inpractice,ifweruleoutexpensive
encodingssuchasunaryones,theactualencodingofaproblemmakeslittledif
ferencetowhethertheproblemcanbesolvedinpolynomialtime.Porejemplo,
representingintegersinbase3insteadofbinaryhasnoeffectonwhetheraprob
lemissolvableinpolynomialtime,sincewecanconvertanintegerrepresentedin
base3toanintegerrepresentedinbase2inpolynomialtime.
WesaythatafunctionfWf01g!f01gispolynomialtimecomputable
ifthereexistsapolynomialtimealgorithmAthat,givenanyinputx2f01g,
producesasoutputf.x/.ForsomesetIofprobleminstances,wesaythattwoen
codingse1ande2arepolynomiallyrelatedifthereexisttwopolynomialtimecom
putablefunctionsf12andf21suchthatforanyi2I,wehavef12.e1.i//De2.i/
andf21.e2.i//De1.i/.5Thatis,apolynomialtimealgorithmcancomputetheen
codinge2.i/fromtheencodinge1.i/,andviceversa.Iftwoencodingse1ande2of
anabstractproblemarepolynomiallyrelated,whethertheproblemispolynomial
timesolvableornotisindependentofwhichencodingweuse,asthefollowing
lemmashows.
Lemma34.1
LetQbeanabstractdecisionproblemonaninstancesetI,andlete1ande2be
polynomiallyrelatedencodingsonI.Then,e1.Q/2Pifandonlyife2.Q/2P.
5Technically,wealsorequirethefunctionsf12andf21tomapnoninstancestononinstances.
Anoninstanceofanencodingeisastringx2f01gsuchthatthereisnoinstanceiforwhich
ei/Dx.Werequirethatf12.x/Dyforeverynoninstancexofencodinge1,whereyissomenon
instanceofe2,andthatf21.x0/Dy0foreverynoninstancex0ofe2,wherey0issomenoninstance
ofe1.
Pgina178
ProofWeneedonlyprovetheforwarddirection,sincethebackwarddirectionis
symmetric.Suppose,therefore,thate1.Q/canbesolvedintimeOnk/forsome
constantk.Further,supposethatforanyprobleminstancei,theencodinge1.i/
canbecomputedfromtheencodinge2.i/intimeOnc/forsomeconstantc,where
nDje2.i/j.Tosolveprobleme2.Q/,oninpute2.i/,wefirstcomputee1.i/and
thenrunthealgorithmfore1.Q/one1.i/.Howlongdoesthistake?Mudado
encodingstakestimeOnc/,andthereforeje1.i/jDOnc/,sincetheoutputof
aserialcomputercannotbelongerthanitsrunningtime.Resolviendoelproblema
one1.i/takestimeO.je1.i/jk/DOnck/,whichispolynomialsincebothcandk
areconstants.
Thus,whetheranabstractproblemhasitsinstancesencodedinbinaryorbase3
doesnotaffectitscomplexity,thatis,whetheritispolynomialtimesolvableor
notbutifinstancesareencodedinunary,itscomplexitymaychange.Afindeque
beabletoconverseinanencodingindependentfashion,weshallgenerallyassume
thatprobleminstancesareencodedinanyreasonable,concisefashion,unlesswe
specificallysayotherwise.Tobeprecise,weshallassumethattheencodingofan
integerispolynomiallyrelatedtoitsbinaryrepresentation,andthattheencodingof
afinitesetispolynomiallyrelatedtoitsencodingasalistofitselements,enclosed
inbracesandseparatedbycommas.(ASCIIisonesuchencodingscheme.)With
suchastandardencodinginhand,wecanderivereasonableencodingsofother
mathematicalobjects,suchastuples,graphs,andformulas.Todenotethestandard
encodingofanobject,weshallenclosetheobjectinanglebraces.Thus,hGi
denotesthestandardencodingofagraphG.
Aslongasweimplicitlyuseanencodingthatispolynomiallyrelatedtothis
standardencoding,wecantalkdirectlyaboutabstractproblemswithoutreference
toanyparticularencoding,knowingthatthechoiceofencodinghasnoeffecton
whethertheabstractproblemispolynomialtimesolvable.Henceforth,weshall
generallyassumethatallprobleminstancesarebinarystringsencodedusingthe
standardencoding,unlessweexplicitlyspecifythecontrary.Weshallalsotypically
neglectthedistinctionbetweenabstractandconcreteproblems.Youshouldwatch
outforproblemsthatariseinpractice,however,inwhichastandardencodingis
notobviousandtheencodingdoesmakeadifference.
Aformallanguageframework
Byfocusingondecisionproblems,wecantakeadvantageofthemachineryof
formallanguagetheory.Let'sreviewsomedefinitionsfromthattheory.Un
alphabetisafinitesetofsymbols.AlanguageLoverisanysetof
stringsmadeupofsymbolsfrom.Forexample,ifDf01g,theset
LDf10111011111011110110001:::gisthelanguageofbinaryrepresen
Pgina179
tationsofprimenumbers.Wedenotetheemptystringby",theemptylanguage
by,andthelanguageofallstringsoverby.Forexample,ifDf01g,
thenDf"0100011011000:::gisthesetofallbinarystrings.Every
languageLoverisasubsetof.
Wecanperformavarietyofoperationsonlanguages.Settheoreticoperations,
suchasunionandintersection,followdirectlyfromthesettheoreticdefinitions.
WedefinethecomplementofLbyLD L.TheconcatenationL1L2oftwo
languagesL1andL2isthelanguage
LDfx1x2Wx12L1andx22L2g:
TheclosureorKleenestarofalanguageListhelanguage
LDf"g[L[L2[L3[
whereLkisthelanguageobtainedbyconcatenatingLtoitselfktimes.
Fromthepointofviewoflanguagetheory,thesetofinstancesforanydecision
problemQissimplytheset,whereDf01g.SinceQisentirelycharacter
izedbythoseprobleminstancesthatproducea1(yes)answer,wecanviewQas
alanguageLoverDf01g,where
LDfx2WQx/D1g:
Forexample,thedecisionproblemPATHhasthecorrespondinglanguage
PATHDfhGukiWGD.VE/isanundirectedgraph,
u2V
K 0isaninteger,and
thereexistsapathfromutoinG
consistingofatmostkedgesg:
(Whereconvenient,weshallsometimesusethesamenamePATHinthiscase
torefertobothadecisionproblemanditscorrespondinglanguage.)
Theformallanguageframeworkallowsustoexpressconciselytherelationbe
tweendecisionproblemsandalgorithmsthatsolvethem.Wesaythatanal
gorithmAacceptsastringx2f01gif,giveninputx,thealgorithm'sout
putAx/is1.ThelanguageacceptedbyanalgorithmAisthesetofstrings
LDfx2f01gWAx/D1g,thatis,thesetofstringsthatthealgorithmaccepts.
AnalgorithmArejectsastringxifAx/D0.
EveniflanguageLisacceptedbyanalgorithmA,thealgorithmwillnotneces
sarilyrejectastringx62Lprovidedasinputtoit.Forexample,thealgorithmmay
loopforever.AlanguageLisdecidedbyanalgorithmAifeverybinarystring
inLisacceptedbyAandeverybinarystringnotinLisrejectedbyA.Alan
guageLisacceptedinpolynomialtimebyanalgorithmAifitisacceptedbyA
andifinadditionthereexistsaconstantksuchthatforanylengthnstringx2L,
Pgina180
algorithmAacceptsxintimeOnk/.AlanguageLisdecidedinpolynomial
timebyanalgorithmAifthereexistsaconstantksuchthatforanylengthnstring
x2f01g,thealgorithmcorrectlydecideswhetherx2LintimeOnk/.Thus,
toacceptalanguage,analgorithmneedonlyproduceananswerwhenprovideda
stringinL,buttodecidealanguage,itmustcorrectlyacceptorrejecteverystring
inf01g.
Asanexample,thelanguagePATHcanbeacceptedinpolynomialtime.Uno
polynomialtimeacceptingalgorithmverifiesthatGencodesanundirectedgraph,
verifiesthatuandareverticesinG,usesbreadthfirstsearchtocomputeashort
estpathfromutoinG,andthencomparesthenumberofedgesontheshortest
pathobtainedwithk.IfGencodesanundirectedgraphandthepathfoundfromu
tohasatmostkedges,thealgorithmoutputs1andhalts.Otherwise,thealgo
rithmrunsforever.ThisalgorithmdoesnotdecidePATH,however,sinceitdoes
notexplicitlyoutput0forinstancesinwhichashortestpathhasmorethankedges.
AdecisionalgorithmforPATHmustexplicitlyrejectbinarystringsthatdonotbe
longtoPATH.ForadecisionproblemsuchasPATH,suchadecisionalgorithmis
easytodesign:insteadofrunningforeverwhenthereisnotapathfromutowith
atmostkedges,itoutputs0andhalts.(Itmustalsooutput0andhaltiftheinput
encodingisfaulty.)Forotherproblems,suchasTuring'sHaltingProblem,there
existsanacceptingalgorithm,butnodecisionalgorithmexists.
Wecaninformallydefineacomplexityclassasasetoflanguages,membership
inwhichisdeterminedbyacomplexitymeasure,suchasrunningtime,ofan
algorithmthatdetermineswhetheragivenstringxbelongstolanguageL.The
actualdefinitionofacomplexityclassissomewhatmoretechnical.6
Usingthislanguagetheoreticframework,wecanprovideanalternativedefini
tionofthecomplexityclassP:
PDfLf01gWthereexistsanalgorithmAthatdecidesL
inpolynomialtimeg:
Infact,Pisalsotheclassoflanguagesthatcanbeacceptedinpolynomialtime.
Theorem34.2
PDfLWLisacceptedbyapolynomialtimealgorithmg:
ProofBecausetheclassoflanguagesdecidedbypolynomialtimealgorithmsis
asubsetoftheclassoflanguagesacceptedbypolynomialtimealgorithms,we
needonlyshowthatifLisacceptedbyapolynomialtimealgorithm,itisde
cidedbyapolynomialtimealgorithm.LetLbethelanguageacceptedbysome
6Formoreoncomplexityclasses,seetheseminalpaperbyHartmanisandStearns[162].
Pgina181
polynomialtimealgorithmA.Weshalluseaclassicsimulationargumentto
constructanotherpolynomialtimealgorithmA0thatdecidesL.BecauseAac
ceptsLintimeOnk/forsomeconstantk,therealsoexistsaconstantcsuch
thatAacceptsLinatmostcnksteps.Foranyinputstringx,thealgorithmA0
simulatescnkstepsofA.Aftersimulatingcnksteps,algorithmA0inspectsthebe
haviorofA.IfAhasacceptedx,thenA0acceptsxbyoutputtinga1.IfAhasnot
acceptedx,thenA0rejectsxbyoutputtinga0.TheoverheadofA0simulatingA
doesnotincreasetherunningtimebymorethanapolynomialfactor,andthusA0
isapolynomialtimealgorithmthatdecidesL.
NotethattheproofofTheorem34.2isnonconstructive.Foragivenlanguage
L2P,wemaynotactuallyknowaboundontherunningtimeforthealgorithmA
thatacceptsL.Nevertheless,weknowthatsuchaboundexists,andtherefore,that
analgorithmA0existsthatcancheckthebound,eventhoughwemaynotbeable
tofindthealgorithmA0easily.
Exercises
34.11
DefinetheoptimizationproblemLONGESTPATHLENGTHastherelationthat
associateseachinstanceofanundirectedgraphandtwoverticeswiththenum
berofedgesinalongestsimplepathbetweenthetwovertices.Definethede
cisionproblemLONGESTPATHDfhGukiWGD.VE/isanundi
rectedgraph,u2V,k 0isaninteger,andthereexistsasimplepath
fromutoinGconsistingofatleastkedgesg.Showthattheoptimizationprob
lemLONGESTPATHLENGTHcanbesolvedinpolynomialtimeifandonlyif
LONGESTPATH2P.
34.12
Giveaformaldefinitionfortheproblemoffindingthelongestsimplecycleinan
undirectedgraph.Givearelateddecisionproblem.Givethelanguagecorrespond
ingtothedecisionproblem.
34.13
Giveaformalencodingofdirectedgraphsasbinarystringsusinganadjacency
matrixrepresentation.Dothesameusinganadjacencylistrepresentation.Argue
thatthetworepresentationsarepolynomiallyrelated.
34.14
Isthedynamicprogrammingalgorithmforthe01knapsackproblemthatisasked
forinExercise16.22apolynomialtimealgorithm?Explicaturespuesta.
Pgina182
34.2Polynomialtimeverification 1061
34.15
Showthatifanalgorithmmakesatmostaconstantnumberofcallstopolynomial
timesubroutinesandperformsanadditionalamountofworkthatalsotakespolyno
mialtime,thenitrunsinpolynomialtime.Alsoshowthatapolynomialnumberof
callstopolynomialtimesubroutinesmayresultinanexponentialtimealgorithm.
34.16
ShowthattheclassP,viewedasasetoflanguages,isclosedunderunion,inter
section,concatenation,complement,andKleenestar.Thatis,ifL1L22P,then
L1[L22P,L1\L22P,L1L22P,L12P,andL12P.
34.2Polynomialtimeverification
Wenowlookatalgorithmsthatverifymembershipinlanguages.Porejemplo,
supposethatforagiveninstancehGukiofthedecisionproblemPATH,we
arealsogivenapathpfromuto.WecaneasilycheckwhetherpisapathinG
andwhetherthelengthofpisatmostk,andifso,wecanviewpasacertificate
thattheinstanceindeedbelongstoPATH.ForthedecisionproblemPATH,this
certificatedoesn'tseemtobuyusmuch.Afterall,PATHbelongstoPinfact,
wecansolvePATHinlineartimeandsoverifyingmembershipfromagiven
certificatetakesaslongassolvingtheproblemfromscratch.Weshallnowexamine
aproblemforwhichweknowofnopolynomialtimedecisionalgorithmandyet,
givenacertificate,verificationiseasy.
Hamiltoniancycles
Theproblemoffindingahamiltoniancycleinanundirectedgraphhasbeenstud
iedforoverahundredyears.Formally,ahamiltoniancycleofanundirectedgraph
GD.VE/isasimplecyclethatcontainseachvertexinV.Agraphthatcon
tainsahamiltoniancycleissaidtobehamiltonianotherwise,itisnonhamilto
nian.ThenamehonorsWRHamilton,whodescribedamathematicalgameon
thedodecahedron(Figure34.2(a))inwhichoneplayersticksfivepinsinanyfive
consecutiveverticesandtheotherplayermustcompletethepathtoformacycle
Pgina183
(un) (segundo)
Figure34.2(a)Agraphrepresentingthevertices,edges,andfacesofadodecahedron,witha
hamiltoniancycleshownbyshadededges.(b)Abipartitegraphwithanoddnumberofvertices.
Anysuchgraphisnonhamiltonian.
containingallthevertices.7Thedodecahedronishamiltonian,andFigure34.2(a)
showsonehamiltoniancycle.Notallgraphsarehamiltonian,however.Forex
ample,Figure34.2(b)showsabipartitegraphwithanoddnumberofvertices.
Exercise34.22asksyoutoshowthatallsuchgraphsarenonhamiltonian.
Wecandefinethehamiltoniancycleproblem,DoesagraphGhaveahamil
toniancycle?asaformallanguage:
HAMCYCLEDfhGiWGisahamiltoniangraphg:
HowmightanalgorithmdecidethelanguageHAMCYCLE?Givenaproblem
instancehGi,onepossibledecisionalgorithmlistsallpermutationsofthevertices
ofGandthencheckseachpermutationtoseeifitisahamiltonianpath.Whatis
therunningtimeofthisalgorithm?Ifweusethereasonableencodingofagraph
pag
asitsadjacencymatrix,thenumbermofverticesinthegraphis. n/,where
nDjhGijisthelengthoftheencodingofG.Therearempossiblepermutations
7Inaletterdated17October1856tohisfriendJohnT.Graves,Hamilton[157,p.624]wrote,I
havefoundthatsomeyoungpersonshavebeenmuchamusedbytryinganewmathematicalgame
whichtheIcosionfurnishes,onepersonstickingfivepinsinanyfiveconsecutivepoints...andthe
otherplayerthenaimingtoinsert,whichbythetheoryinthislettercanalwaysbedone,fifteenother
pins,incyclicalsuccession,soastocoveralltheotherpoints,andtoendinimmediateproximityto
thepinwherewithhisantagonisthadbegun.
Page184
pag pag
ofthevertices,andthereforetherunningtimeis.m/D. n/D.2 n/,
whichisnotOnk/foranyconstantk.Thus,thisnaivealgorithmdoesnotrun
inpolynomialtime.Infact,thehamiltoniancycleproblemisNPcomplete,aswe
shallproveinSection34.5.
Verificationalgorithms
Consideraslightlyeasierproblem.Supposethatafriendtellsyouthatagiven
graphGishamiltonian,andthenofferstoproveitbygivingyoutheverticesin
orderalongthehamiltoniancycle.Itwouldcertainlybeeasyenoughtoverifythe
proof:simplyverifythattheprovidedcycleishamiltonianbycheckingwhether
itisapermutationoftheverticesofVandwhethereachoftheconsecutiveedges
alongthecycleactuallyexistsinthegraph.Youcouldcertainlyimplementthis
verificationalgorithmtoruninOn2/time,wherenisthelengthoftheencoding
ofG.Thus,aproofthatahamiltoniancycleexistsinagraphcanbeverifiedin
polynomialtime.
WedefineaverificationalgorithmasbeingatwoargumentalgorithmA,where
oneargumentisanordinaryinputstringxandtheotherisabinarystringycalled
acertificate.AtwoargumentalgorithmAverifiesaninputstringxifthereexists
acertificateysuchthatAxy/D1.Thelanguageverifiedbyaverification
algorithmAis
LDfx2f01gWthereexistsy2f01gsuchthatAxy/D1g:
Intuitively,analgorithmAverifiesalanguageLifforanystringx2L,there
existsacertificateythatAcanusetoprovethatx2L.Moreover,foranystring
x62L,theremustbenocertificateprovingthatx2L.Forexample,inthe
hamiltoniancycleproblem,thecertificateisthelistofverticesinsomehamilto
niancycle.Ifagraphishamiltonian,thehamiltoniancycleitselfoffersenough
informationtoverifythisfact.Conversely,ifagraphisnothamiltonian,there
canbenolistofverticesthatfoolstheverificationalgorithmintobelievingthatthe
graphishamiltonian,sincetheverificationalgorithmcarefullycheckstheproposed
cycletobesure.
Pgina185
ThecomplexityclassNP
ThecomplexityclassNPistheclassoflanguagesthatcanbeverifiedbyapoly
nomialtimealgorithm.8Moreprecisely,alanguageLbelongstoNPifandonlyif
thereexistatwoinputpolynomialtimealgorithmAandaconstantcsuchthat
LDfx2f01gWthereexistsacertificateywithjyjDO.jxjc/
suchthatAxy/D1g:
WesaythatalgorithmAverifieslanguageLinpolynomialtime.
Fromourearlierdiscussiononthehamiltoniancycleproblem,wenowseethat
HAMCYCLE2NP.(Itisalwaysnicetoknowthatanimportantsetisnonempty.)
Moreover,ifL2P,thenL2NP,sinceifthereisapolynomialtimealgorithm
todecideL,thealgorithmcanbeeasilyconvertedtoatwoargumentverification
algorithmthatsimplyignoresanycertificateandacceptsexactlythoseinputstrings
itdeterminestobeinL.Thus,PNP.
ItisunknownwhetherPDNP,butmostresearchersbelievethatPandNPare
notthesameclass.Intuitively,theclassPconsistsofproblemsthatcanbesolved
conrapidez.TheclassNPconsistsofproblemsforwhichasolutioncanbeverified
conrapidez.Youmayhavelearnedfromexperiencethatitisoftenmoredifficultto
solveaproblemfromscratchthantoverifyaclearlypresentedsolution,especially
whenworkingundertimeconstraints.Theoreticalcomputerscientistsgenerally
believethatthisanalogyextendstotheclassesPandNP,andthusthatNPincludes
languagesthatarenotinP.
Thereismorecompelling,thoughnotconclusive,evidencethatPNPthe
existenceoflanguagesthatareNPcomplete.WeshallstudythisclassinSec
tion34.3.
ManyotherfundamentalquestionsbeyondthePNPquestionremainunre
ResueltoFigure34.3showssomepossiblescenarios.Despitemuchworkbymany
researchers,nooneevenknowswhethertheclassNPisclosedundercomple
Cin.Thatis,doesL2NPimplyL2NP?Wecandefinethecomplexityclass
coNPasthesetoflanguagesLsuchthatL2NP.Wecanrestatethequestion
ofwhetherNPisclosedundercomplementaswhetherNPDcoNP.SincePis
closedundercomplement(Exercise34.16),itfollowsfromExercise34.29that
PNP\coNP.Onceagain,however,nooneknowswhetherPDNP\coNP
orwhetherthereissomelanguageinNP\coNPP.
8ThenameNPstandsfornondeterministicpolynomialtime.TheclassNPwasoriginallystudied
inthecontextofnondeterminism,butthisbookusesthesomewhatsimpleryetequivalentnotionof
verificacin.HopcroftandUllman[180]giveagoodpresentationofNPcompletenessintermsof
nondeterministicmodelsofcomputation.
Page186
NP=coNP
P=NP=coNP
PAG
(un) (segundo)
coNP notariopblicocoNP NPcoNP notariopblico

P=NPcoNP
PAG
(do) (re)
Figure34.3Fourpossibilitiesforrelationshipsamongcomplexityclasses.Ineachdiagram,one
regionenclosinganotherindicatesapropersubsetrelation.(a)PDNPDcoNP.Mostresearchers
regardthispossibilityasthemostunlikely.(b)IfNPisclosedundercomplement,thenNPDcoNP,
butitneednotbethecasethatPDNP.(c)PDNP\coNP,butNPisnotclosedundercomplement.
(d)NPcoNPandPNP\coNP.Mostresearchersregardthispossibilityasthemostlikely.
Thus,ourunderstandingofthepreciserelationshipbetweenPandNPiswoe
fullyincomplete.Nevertheless,eventhoughwemightnotbeabletoprovethata
particularproblemisintractable,ifwecanprovethatitisNPcomplete,thenwe
havegainedvaluableinformationaboutit.
Exercises
34.21
ConsiderthelanguageGRAPHISOMORPHISMDfhG1G2iWG1andG2are
isomorphicgraphsg.ProvethatGRAPHISOMORPHISM2NPbydescribinga
polynomialtimealgorithmtoverifythelanguage.
34.22
ProvethatifGisanundirectedbipartitegraphwithanoddnumberofvertices,
thenGisnonhamiltonian.
34.23
ShowthatifHAMCYCLE2P,thentheproblemoflistingtheverticesofa
hamiltoniancycle,inorder,ispolynomialtimesolvable.
Page187
34.24
ProvethattheclassNPoflanguagesisclosedunderunion,intersection,concate
nation,andKleenestar.DiscusstheclosureofNPundercomplement.
34.25
ShowthatanylanguageinNPcanbedecidedbyanalgorithmrunningin
time2O.n /forsomeconstantk.
k
34.26
Ahamiltonianpathinagraphisasimplepaththatvisitseveryvertexexactly
unavez.ShowthatthelanguageHAMPATHDfhGuiWthereisahamiltonian
pathfromutoingraphGgbelongstoNP.
34.27
ShowthatthehamiltonianpathproblemfromExercise34.26canbesolvedin
polynomialtimeondirectedacyclicgraphs.Giveanefficientalgorithmforthe
problema.
34.28
Dejar beabooleanformulaconstructedfromthebooleaninputvariablesx1x2
:::xk,negations(:),ANDs(^),ORs(_),andparentheses.Theformulaisa
tautologyifitevaluatesto1foreveryassignmentof1and0totheinputvariables.
DefineTAUTOLOGYasthelanguageofbooleanformulasthataretautologies.
ShowthatTAUTOLOGY2coNP.
34.29
ProvethatPcoNP.
34.210
ProvethatifNPcoNP,thenPNP.
34.211
LetGbeaconnected,undirectedgraphwithatleast3vertices,andletG3bethe
graphobtainedbyconnectingallpairsofverticesthatareconnectedbyapathinG
oflengthatmost3.ProvethatG3ishamiltonian.(Hint:Constructaspanningtree
forG,anduseaninductiveargument.)
Pgina188
34.3NPcompletenessandreducibility 1067
34.3NPcompletenessandreducibility
Perhapsthemostcompellingreasonwhytheoreticalcomputerscientistsbelieve
thatPNPcomesfromtheexistenceoftheclassofNPcompleteproblems.
ThisclasshastheintriguingpropertythatifanyNPcompleteproblemcanbe
solvedinpolynomialtime,theneveryprobleminNPhasapolynomialtimesolu
tion,thatis,PDNP.Despiteyearsofstudy,though,nopolynomialtimealgorithm
haseverbeendiscoveredforanyNPcompleteproblem.
ThelanguageHAMCYCLEisoneNPcompleteproblem.Ifwecoulddecide
HAMCYCLEinpolynomialtime,thenwecouldsolveeveryprobleminNPin
polynomialtime.Infact,ifNPPshouldturnouttobenonempty,wecouldsay
withcertaintythatHAMCYCLE2NPP.
TheNPcompletelanguagesare,inasense,thehardestlanguagesinNP.En
thissection,weshallshowhowtocomparetherelativehardnessoflanguages
usingaprecisenotioncalledpolynomialtimereducibility.Thenweformally
definetheNPcompletelanguages,andwefinishbysketchingaproofthatone
suchlanguage,calledCIRCUITSAT,isNPcomplete.InSections34.4and34.5,
weshallusethenotionofreducibilitytoshowthatmanyotherproblemsareNP
complete.
Reducibility
Intuitively,aproblemQcanbereducedtoanotherproblemQ0ifanyinstanceofQ
canbeeasilyrephrasedasaninstanceofQ0,thesolutiontowhichprovidesa
solutiontotheinstanceofQ.Forexample,theproblemofsolvinglinearequations
inanindeterminatexreducestotheproblemofsolvingquadraticequations.Dado
aninstanceaxCbD0,wetransformitto0x2CaxCbD0,whosesolution
providesasolutiontoaxCbD0.Thus,ifaproblemQreducestoanother
problemQ0,thenQis,inasense,nohardertosolvethanQ0.
Returningtoourformallanguageframeworkfordecisionproblems,wesaythat
alanguageL1ispolynomialtimereducibletoalanguageL2,writtenL1PL2,
ifthereexistsapolynomialtimecomputablefunctionfWf01g!f01gsuch
thatforallx2f01g,
x2L1ifandonlyiff.x/2L2: (34,1)
Wecallthefunctionfthereductionfunction,andapolynomialtimealgorithmF
thatcomputesfisareductionalgorithm.
Figure34.4illustratestheideaofapolynomialtimereductionfromalan
guageL1toanotherlanguageL2.Eachlanguageisasubsetoff01g.El
reductionfunctionfprovidesapolynomialtimemappingsuchthatifx2L1,
Pgina189
{0,1}* F {0,1}*
L2
L1
Figure34.4AnillustrationofapolynomialtimereductionfromalanguageL1toalanguageL2
viaareductionfunctionf.Foranyinputx2f01g,thequestionofwhetherx2L1hasthesame
answerasthequestionofwhetherf.x/2L2.
thenf.x/2L2.Moreover,ifx62L1,thenf.x/62L2.Thus,thereductionfunc
tionmapsanyinstancexofthedecisionproblemrepresentedbythelanguageL1
toaninstancef.x/oftheproblemrepresentedbyL2.Providingananswerto
whetherf.x/2L2directlyprovidestheanswertowhetherx2L1.
Polynomialtimereductionsgiveusapowerfultoolforprovingthatvariouslan
guagesbelongtoP.
Lemma34.3
IfL1L2f01garelanguagessuchthatL1PL2,thenL22Pimplies
L12P.
ProofLetA2beapolynomialtimealgorithmthatdecidesL2,andletFbea
polynomialtimereductionalgorithmthatcomputesthereductionfunctionf.Nosotros
shallconstructapolynomialtimealgorithmA1thatdecidesL1.
Figure34.5illustrateshowweconstructA1.Foragiveninputx2f01g,
algorithmA1usesFtotransformxintof.x/,andthenitusesA2totestwhether
f.x/2L2.AlgorithmA1takestheoutputfromalgorithmA2andproducesthat
answerasitsownoutput.
ThecorrectnessofA1followsfromcondition(34.1).Thealgorithmrunsinpoly
nomialtime,sincebothFandA2runinpolynomialtime(seeExercise34.15).
NPcompleteness
Polynomialtimereductionsprovideaformalmeansforshowingthatoneprob
lemisatleastashardasanother,towithinapolynomialtimefactor.Thatis,if
L1PL2,thenL1isnotmorethanapolynomialfactorharderthanL2,whichis
Pgina190
yes,f.x/2L 2 yes,x2L 1
x f.x/
F A2
no,f.x/62L 2 no,x62L 1
A
1
Figure34.5TheproofofLemma34.3.ThealgorithmFisareductionalgorithmthatcomputesthe
reductionfunctionffromL1toL2inpolynomialtime,andA2isapolynomialtimealgorithmthat
decidesL2.AlgorithmA1decideswhetherx2L1byusingFtotransformanyinputxintof.x/
andthenusingA2todecidewhetherf.x/2L2.
whythelessthanorequaltonotationforreductionismnemonic.Wecannow
definethesetofNPcompletelanguages,whicharethehardestproblemsinNP.
AlanguageLf01gisNPcompleteif
1.L2NP,and
2.L0PLforeveryL02NP.
IfalanguageLsatisfiesproperty2,butnotnecessarilyproperty1,wesaythatL
isNPhard.WealsodefineNPCtobetheclassofNPcompletelanguages.
Asthefollowingtheoremshows,NPcompletenessisatthecruxofdeciding
whetherPisinfactequaltoNP.
Theorem34.4
IfanyNPcompleteproblemispolynomialtimesolvable,thenPDNP.Equiva
lently,ifanyprobleminNPisnotpolynomialtimesolvable,thennoNPcomplete
problemispolynomialtimesolvable.
ProofSupposethatL2PandalsothatL2NPC.ForanyL02NP,we
haveL0PLbyproperty2ofthedefinitionofNPcompleteness.Thus,by
Lemma34.3,wealsohavethatL02P,whichprovesthefirststatementofthe
teorema.
Toprovethesecondstatement,notethatitisthecontrapositiveofthefirststate
Cin.
ItisforthisreasonthatresearchintothePNPquestioncentersaroundthe
NPcompleteproblems.MosttheoreticalcomputerscientistsbelievethatPNP,
whichleadstotherelationshipsamongP,NP,andNPCshowninFigure34.6.
But,forallweknow,someonemayyetcomeupwithapolynomialtimealgo
rithmforanNPcompleteproblem,thusprovingthatPDNP.Nevertheless,since
nopolynomialtimealgorithmforanyNPcompleteproblemhasyetbeendiscov
Pgina191
notariopblico
NPC
PAG
Figure34.6HowmosttheoreticalcomputerscientistsviewtherelationshipsamongP,NP,
andNPC.BothPandNPCarewhollycontainedwithinNP,andP\NPCD.
ered,aproofthataproblemisNPcompleteprovidesexcellentevidencethatitis
intractable.
Circuitsatisfiability
WehavedefinedthenotionofanNPcompleteproblem,butuptothispoint,we
havenotactuallyprovedthatanyproblemisNPcomplete.Onceweprovethatat
leastoneproblemisNPcomplete,wecanusepolynomialtimereducibilityasa
tooltoproveotherproblemstobeNPcomplete.Thus,wenowfocusondemon
stratingtheexistenceofanNPcompleteproblem:thecircuitsatisfiabilityprob
Lem
Unfortunately,theformalproofthatthecircuitsatisfiabilityproblemisNP
completerequirestechnicaldetailbeyondthescopeofthistext.Instead,weshall
informallydescribeaproofthatreliesonabasicunderstandingofbooleancombi
nationalcircuits.
Booleancombinationalcircuitsarebuiltfrombooleancombinationalelements
thatareinterconnectedbywires.Abooleancombinationalelementisanycircuit
elementthathasaconstantnumberofbooleaninputsandoutputsandthatperforms
awelldefinedfunction.Booleanvaluesaredrawnfromthesetf01g,where0
representsFALSEand1representsTRUE.
Thebooleancombinationalelementsthatweuseinthecircuitsatisfiabilityprob
lemcomputesimplebooleanfunctions,andtheyareknownaslogicgates.Fig
ure34.7showsthethreebasiclogicgatesthatweuseinthecircuitsatisfiability
problem:theNOTgate(orinverter),theANDgate,andtheORgate.TheNOT
gatetakesasinglebinaryinputx,whosevalueiseither0or1,andproducesa
binaryoutputwhosevalueisoppositethatoftheinputvalue.Eachoftheother
twogatestakestwobinaryinputsxandyandproducesasinglebinaryoutput.
Wecandescribetheoperationofeachgate,andofanybooleancombinational
element,byatruthtable,shownundereachgateinFigure34.7.Atruthtablegives
theoutputsofthecombinationalelementforeachpossiblesettingoftheinputs.por
Pgina192
x x
x Z Z Z
Y Y
x :x x Y x^y x Y x_y
0 1 00 0 00 0
1 0 01 0 01 1
10 0 10 1
11 1 11 1
(un) (segundo) (do)
Figure34.7Threebasiclogicgates,withbinaryinputsandoutputs.Undereachgateisthetruth
tablethatdescribesthegate'soperation.(a)TheNOTgate.(b)TheANDgate.(c)TheORgate.
example,thetruthtablefortheORgatetellsusthatwhentheinputsarexD0
andyD1,theoutputvalueisD1.Weusethesymbols:todenotetheNOT
function,^todenotetheANDfunction,and_todenotetheORfunction.As,
forexample,0_1D1.
WecangeneralizeANDandORgatestotakemorethantwoinputs.AnAND
gate'soutputis1ifallofitsinputsare1,anditsoutputis0otherwise.AnORgates
outputis1ifanyofitsinputsare1,anditsoutputis0otherwise.
Abooleancombinationalcircuitconsistsofoneormorebooleancombinational
elementsinterconnectedbywires.Awirecanconnecttheoutputofoneelement
totheinputofanother,therebyprovidingtheoutputvalueofthefirstelementasan
inputvalueofthesecond.Figure34.8showstwosimilarbooleancombinational
circuits,differinginonlyonegate.Part(a)ofthefigurealsoshowsthevalueson
theindividualwires,giventheinputhx1D1x2D1x3D0i.Althoughasingle
wiremayhavenomorethanonecombinationalelementoutputconnectedtoit,it
canfeedseveralelementinputs.Thenumberofelementinputsfedbyawireis
calledthefanoutofthewire.Ifnoelementoutputisconnectedtoawire,thewire
isacircuitinput,acceptinginputvaluesfromanexternalsource.Ifnoelement
inputisconnectedtoawire,thewireisacircuitoutput,providingtheresultsof
thecircuit'scomputationtotheoutsideworld.(Aninternalwirecanalsofanout
toacircuitoutput.)Forthepurposeofdefiningthecircuitsatisfiabilityproblem,
welimitthenumberofcircuitoutputsto1,thoughinactualhardwaredesign,a
booleancombinationalcircuitmayhavemultipleoutputs.
Booleancombinationalcircuitscontainnocycles.Inotherwords,supposewe
createadirectedgraphGD.VE/withonevertexforeachcombinationalelement
andwithkdirectededgesforeachwirewhosefanoutiskthegraphcontains
adirectededge.u/ifawireconnectstheoutputofelementutoaninputof
element.ThenGmustbeacyclic.
Pgina193
x1 1 1 x1
x2 1 1
1 x2
0
1
0 1
1 1
1 1 1
x3 0 1 x3
1
(un) (segundo)
Figure34.8Twoinstancesofthecircuitsatisfiabilityproblem.(a)Theassignmenthx1D1
x2D1x3D0itotheinputsofthiscircuitcausestheoutputofthecircuittobe1.Thecircuit
isthereforesatisfiable.(b)Noassignmenttotheinputsofthiscircuitcancausetheoutputofthe
circuittobe1.Thecircuitisthereforeunsatisfiable.
Atruthassignmentforabooleancombinationalcircuitisasetofbooleaninput
valores.Wesaythataoneoutputbooleancombinationalcircuitissatisfiableifit
hasasatisfyingassignment:atruthassignmentthatcausestheoutputofthecircuit
tobe1.Forexample,thecircuitinFigure34.8(a)hasthesatisfyingassignment
hx1D1x2D1x3D0i,andsoitissatisfiable.AsExercise34.31asksyouto
show,noassignmentofvaluestox1,x2,andx3causesthecircuitinFigure34.8(b)
toproducea1outputitalwaysproduces0,andsoitisunsatisfiable.
Thecircuitsatisfiabilityproblemis,Givenabooleancombinationalcircuit
composedofAND,OR,andNOTgates,isitsatisfiable?Inordertoposethis
questionformally,however,wemustagreeonastandardencodingforcircuits.
Thesizeofabooleancombinationalcircuitisthenumberofbooleancombina
tionalelementsplusthenumberofwiresinthecircuit.Wecoulddeviseagraphlike
encodingthatmapsanygivencircuitCintoabinarystringhCiwhoselengthis
polynomialinthesizeofthecircuititself.Asaformallanguage,wecantherefore
definir
CIRCUITSATDfhCiWCisasatisfiablebooleancombinationalcircuitg:
Thecircuitsatisfiabilityproblemarisesintheareaofcomputeraidedhardware
optimization.Ifasubcircuitalwaysproduces0,thatsubcircuitisunnecessary
thedesignercanreplaceitbyasimplersubcircuitthatomitsalllogicgatesand
providestheconstant0valueasitsoutput.Youcanseewhywewouldliketohave
apolynomialtimealgorithmforthisproblem.
GivenacircuitC,wemightattempttodeterminewhetheritissatisfiableby
simplycheckingallpossibleassignmentstotheinputs.Unfortunately,ifthecircuit
haskinputs,thenwewouldhavetocheckupto2kpossibleassignments.Cuando
Pgina194
thesizeofCispolynomialink,checkingeachonetakes.2k/time,whichis
superpolynomialinthesizeofthecircuit.9Infact,aswehaveclaimed,thereis
strongevidencethatnopolynomialtimealgorithmexiststhatsolvesthecircuit
satisfiabilityproblembecausecircuitsatisfiabilityisNPcomplete.Webreakthe
proofofthisfactintotwoparts,basedonthetwopartsofthedefinitionofNP
locompleto.
Lemma34.5
ThecircuitsatisfiabilityproblembelongstotheclassNP.
ProofWeshallprovideatwoinput,polynomialtimealgorithmAthatcanverify
CIRCUITSAT.OneoftheinputstoAis(astandardencodingof)abooleancom
binationalcircuitC.Theotherinputisacertificatecorrespondingtoanassignment
ofbooleanvaluestothewiresinC.(SeeExercise34.34forasmallercertificate.)
WeconstructthealgorithmAasfollows.Foreachlogicgateinthecircuit,it
checksthatthevalueprovidedbythecertificateontheoutputwireiscorrectly
computedasafunctionofthevaluesontheinputwires.Then,iftheoutputofthe
entirecircuitis1,thealgorithmoutputs1,sincethevaluesassignedtotheinputs
ofCprovideasatisfyingassignment.Otherwise,Aoutputs0.
WheneverasatisfiablecircuitCisinputtoalgorithmA,thereexistsacertificate
whoselengthispolynomialinthesizeofCandthatcausesAtooutputa1.When
everanunsatisfiablecircuitisinput,nocertificatecanfoolAintobelievingthat
thecircuitissatisfiable.AlgorithmArunsinpolynomialtime:withagoodimple
mentation,lineartimesuffices.Thus,wecanverifyCIRCUITSATinpolynomial
time,andCIRCUITSAT2NP.
ThesecondpartofprovingthatCIRCUITSATisNPcompleteistoshowthat
thelanguageisNPhard.Thatis,wemustshowthateverylanguageinNPis
polynomialtimereducibletoCIRCUITSAT.Theactualproofofthisfactisfull
oftechnicalintricacies,andsoweshallsettleforasketchoftheproofbasedon
someunderstandingoftheworkingsofcomputerhardware.
Acomputerprogramisstoredinthecomputermemoryasasequenceofin
structions.Atypicalinstructionencodesanoperationtobeperformed,addresses
ofoperandsinmemory,andanaddresswheretheresultistobestored.Aspe
cialmemorylocation,calledtheprogramcounter,keepstrackofwhichinstruc
9Ontheotherhand,ifthesizeofthecircuitCis.2 k/,thenanalgorithmwhoserunningtime
isO.2k/hasarunningtimethatispolynomialinthecircuitsize.EvenifPNP,thissitua
tionwouldnotcontradicttheNPcompletenessoftheproblemtheexistenceofapolynomialtime
algorithmforaspecialcasedoesnotimplythatthereisapolynomialtimealgorithmforallcases.
Pgina195
tionistobeexecutednext.Theprogramcounterautomaticallyincrementsupon
fetchingeachinstruction,therebycausingthecomputertoexecuteinstructionsse
quentially.Theexecutionofaninstructioncancauseavaluetobewrittentothe
programcounter,however,whichaltersthenormalsequentialexecutionandallows
thecomputertoloopandperformconditionalbranches.
Atanypointduringtheexecutionofaprogram,thecomputer'smemoryholds
theentirestateofthecomputation.(Wetakethememorytoincludetheprogram
itself,theprogramcounter,workingstorage,andanyofthevariousbitsofstate
thatacomputermaintainsforbookkeeping.)Wecallanyparticularstateofcom
putermemoryaconfiguration.Wecanviewtheexecutionofaninstructionas
mappingoneconfigurationtoanother.Thecomputerhardwarethataccomplishes
thismappingcanbeimplementedasabooleancombinationalcircuit,whichwe
denotebyMintheproofofthefollowinglemma.
Lemma34.6
ThecircuitsatisfiabilityproblemisNPhard.
ProofLetLbeanylanguageinNP.Weshalldescribeapolynomialtimealgo
rithmFcomputingareductionfunctionfthatmapseverybinarystringxtoa
circuitCDf.x/suchthatx2LifandonlyifC2CIRCUITSAT.
SinceL2NP,theremustexistanalgorithmAthatverifiesLinpolynomial
hora.ThealgorithmFthatweshallconstructusesthetwoinputalgorithmAto
computethereductionfunctionf.
LetT.n/denotetheworstcaserunningtimeofalgorithmAonlengthninput
strings,andletk 1beaconstantsuchthatT.n/DOnk/andthelengthofthe
certificateisOnk/.(TherunningtimeofAisactuallyapolynomialinthetotal
inputsize,whichincludesbothaninputstringandacertificate,butsincethelength
ofthecertificateispolynomialinthelengthnoftheinputstring,therunningtime
ispolynomialinn.)
ThebasicideaoftheproofistorepresentthecomputationofAasasequence
ofconfigurations.AsFigure34.9illustrates,wecanbreakeachconfigurationinto
partsconsistingoftheprogramforA,theprogramcounterandauxiliarymachine
state,theinputx,thecertificatey,andworkingstorage.Thecombinationalcir
cuitM,whichimplementsthecomputerhardware,mapseachconfigurationcito
thenextconfigurationciC1,startingfromtheinitialconfigurationc0.AlgorithmA
writesitsoutput0or1tosomedesignatedlocationbythetimeitfinishesex
ecuting,andifweassumethatthereafterAhalts,thevalueneverchanges.As,
ifthealgorithmrunsforatmostT.n/steps,theoutputappearsasoneofthebits
incT.n/.
ThereductionalgorithmFconstructsasinglecombinationalcircuitthatcom
putesallconfigurationsproducedbyagiveninitialconfiguration.Theideaisto
Page196
c0 UN ordenadorpersonal
auxmachinestate x Y workingstorage
METRO
METRO
METRO
...
METRO
cT(n ) UN ordenadorpersonal
0/1output
Figure34.9ThesequenceofconfigurationsproducedbyanalgorithmArunningonaninputxand
certificatey.Eachconfigurationrepresentsthestateofthecomputerforonestepofthecomputation
and,besidesA,x,andy,includestheprogramcounter(PC),auxiliarymachinestate,andworking
almacenamiento.Exceptforthecertificatey,theinitialconfigurationc0isconstant.Abooleancombinational
circuitMmapseachconfigurationtothenextconfiguration.Theoutputisadistinguishedbitinthe
workingstorage.
Pgina197
pastetogetherT.n/copiesofthecircuitM.Theoutputoftheithcircuit,which
producesconfigurationci,feedsdirectlyintotheinputofthe.iC1/stcircuit.Thus,
theconfigurations,ratherthanbeingstoredinthecomputer'smemory,simplyre
sideasvaluesonthewiresconnectingcopiesofM.
RecallwhatthepolynomialtimereductionalgorithmFmustdo.Givenanin
putx,itmustcomputeacircuitCDf.x/thatissatisfiableifandonlyifthere
existsacertificateysuchthatAxy/D1.WhenFobtainsaninputx,itfirst
computesnDjxjandconstructsacombinationalcircuitC0consistingofT.n/
copiesofM.TheinputtoC0isaninitialconfigurationcorrespondingtoacompu
tationonAxy/,andtheoutputistheconfigurationcT.n/.
AlgorithmFmodifiescircuitC0slightlytoconstructthecircuitCDf.x/.
First,itwirestheinputstoC0correspondingtotheprogramforA,theinitialpro
gramcounter,theinputx,andtheinitialstateofmemorydirectlytotheseknown
valores.Thus,theonlyremaininginputstothecircuitcorrespondtothecertifi
catey.Second,itignoresalloutputsfromC0,exceptfortheonebitofcT.n/
correspondingtotheoutputofA.ThiscircuitC,soconstructed,computes
Cy/DAxy/foranyinputyoflengthOnk/.ThereductionalgorithmF,
whenprovidedaninputstringx,computessuchacircuitCandoutputsit.
Weneedtoprovetwoproperties.First,wemustshowthatFcorrectlycomputes
areductionfunctionf.Thatis,wemustshowthatCissatisfiableifandonlyif
thereexistsacertificateysuchthatAxy/D1.Second,wemustshowthatF
runsinpolynomialtime.
ToshowthatFcorrectlycomputesareductionfunction,letussupposethatthere
existsacertificateyoflengthOnk/suchthatAxy/D1.Then,ifweapplythe
bitsofytotheinputsofC,theoutputofCisCy/DAxy/D1.Thus,ifa
certificateexists,thenCissatisfiable.Fortheotherdirection,supposethatCis
satisfiable.Hence,thereexistsaninputytoCsuchthatCy/D1,fromwhich
weconcludethatAxy/D1.Thus,Fcorrectlycomputesareductionfunction.
Tocompletetheproofsketch,weneedonlyshowthatFrunsintimepolynomial
innDjxj.Thefirstobservationwemakeisthatthenumberofbitsrequiredto
representaconfigurationispolynomialinn.TheprogramforAitselfhasconstant
size,independentofthelengthofitsinputx.Thelengthoftheinputxisn,and
thelengthofthecertificateyisOnk/.SincethealgorithmrunsforatmostOnk/
steps,theamountofworkingstoragerequiredbyAispolynomialinnaswell.
(WeassumethatthismemoryiscontiguousExercise34.35asksyoutoextend
theargumenttothesituationinwhichthelocationsaccessedbyAarescattered
acrossamuchlargerregionofmemoryandtheparticularpatternofscatteringcan
differforeachinputx.)
ThecombinationalcircuitMimplementingthecomputerhardwarehassize
polynomialinthelengthofaconfiguration,whichisOnk/hence,thesizeofM
ispolynomialinn.(Mostofthiscircuitryimplementsthelogicofthememory
Page198
system.)ThecircuitCconsistsofatmosttDOnk/copiesofM,andhenceit
hassizepolynomialinn.ThereductionalgorithmFcanconstructCfromxin
polynomialtime,sinceeachstepoftheconstructiontakespolynomialtime.
ThelanguageCIRCUITSATisthereforeatleastashardasanylanguageinNP,
andsinceitbelongstoNP,itisNPcomplete.
Theorem34.7
ThecircuitsatisfiabilityproblemisNPcomplete.
ProofImmediatefromLemmas34.5and34.6andfromthedefinitionofNP
locompleto.
Exercises
34.31
VerifythatthecircuitinFigure34.8(b)isunsatisfiable.
34.32
ShowthatthePrelationisatransitiverelationonlanguages.Thatis,showthatif
L1PL2andL2PL3,thenL1PL3.
34.33
ProvethatLPLifandonlyifLPL.
34.34
Showthatwecouldhaveusedasatisfyingassignmentasacertificateinanalter
nativeproofofLemma34.5.Whichcertificatemakesforaneasierproof?
34.35
TheproofofLemma34.6assumesthattheworkingstorageforalgorithmAoccu
piesacontiguousregionofpolynomialsize.Whereintheproofdoweexploitthis
assumption?Arguethatthisassumptiondoesnotinvolveanylossofgenerality.
34.36
AlanguageLiscompleteforalanguageclassCwithrespecttopolynomialtime
reductionsifL2CandL0PLforallL02C.Showthatandf01garethe
onlylanguagesinPthatarenotcompleteforPwithrespecttopolynomialtime
reductions.
Pgina199
34.37
Showthat,withrespecttopolynomialtimereductions(seeExercise34.36),Lis
completeforNPifandonlyifLiscompleteforcoNP.
34.38
ThereductionalgorithmFintheproofofLemma34.6constructsthecircuit
CDf.x/basedonknowledgeofx,A,andk.ProfessorSartreobservesthat
thestringxisinputtoF,butonlytheexistenceofA,k,andtheconstantfactor
implicitintheOnk/runningtimeisknowntoF(sincethelanguageLbelongs
toNP),nottheiractualvalues.Thus,theprofessorconcludesthatFcan'tpossi
blyconstructthecircuitCandthatthelanguageCIRCUITSATisnotnecessarily
NPhard.Explaintheflawintheprofessor'sreasoning.
34.4NPcompletenessproofs
WeprovedthatthecircuitsatisfiabilityproblemisNPcompletebyadirectproof
thatLPCIRCUITSATforeverylanguageL2NP.Inthissection,weshall
showhowtoprovethatlanguagesareNPcompletewithoutdirectlyreducingevery
languageinNPtothegivenlanguage.Weshallillustratethismethodologyby
provingthatvariousformulasatisfiabilityproblemsareNPcomplete.Section34.5
providesmanymoreexamplesofthemethodology.
Thefollowinglemmaisthebasisofourmethodforshowingthatalanguageis
NPcomplete.
Lemma34.8
IfLisalanguagesuchthatL0PLforsomeL02NPC,thenLisNPhard.If,in
addition,L2NP,thenL2NPC.
ProofSinceL0isNPcomplete,forallL002NP,wehaveL00PL0.Bysup
position,L0PL,andthusbytransitivity(Exercise34.32),wehaveL00PL,
whichshowsthatLisNPhard.IfL2NP,wealsohaveL2NPC.
Inotherwords,byreducingaknownNPcompletelanguageL0toL,weimplic
itlyreduceeverylanguageinNPtoL.Thus,Lemma34.8givesusamethodfor
provingthatalanguageLisNPcomplete:
1.ProveL2NP.
2.SelectaknownNPcompletelanguageL0.
Pgina200
34.4NPcompletenessproofs 1079
3.Describeanalgorithmthatcomputesafunctionfmappingeveryinstance
x2f01gofL0toaninstancef.x/ofL.
4.Provethatthefunctionfsatisfiesx2L0ifandonlyiff.x/2Lforall
x2f01g.
5.Provethatthealgorithmcomputingfrunsinpolynomialtime.
(Steps25showthatLisNPhard.)Thismethodologyofreducingfromasin
gleknownNPcompletelanguageisfarsimplerthanthemorecomplicatedpro
cessofshowingdirectlyhowtoreducefromeverylanguageinNP.Proving
CIRCUITSAT2NPChasgivenusafootinthedoor.Becauseweknowthatthe
circuitsatisfiabilityproblemisNPcomplete,wenowcanprovemuchmoreeasily
thatotherproblemsareNPcomplete.Moreover,aswedevelopacatalogofknown
NPcompleteproblems,wewillhavemoreandmorechoicesforlanguagesfrom
whichtoreduce.
Formulasatisfiability
WeillustratethereductionmethodologybygivinganNPcompletenessprooffor
theproblemofdeterminingwhetherabooleanformula,notacircuit,issatisfiable.
Thisproblemhasthehistoricalhonorofbeingthefirstproblemevershowntobe
NPcomplete.
Weformulatethe(formula)satisfiabilityproblemintermsofthelanguageSAT
comosigue.AninstanceofSATisabooleanformulacomposedof
1.nbooleanvariables:x1x2:::xn
2.mbooleanconnectives:anybooleanfunctionwithoneortwoinputsandone
output,suchas^(AND),_(OR),:(NOT),!(implication),$(ifandonly
if)y
3.parentheses.(Withoutlossofgenerality,weassumethattherearenoredundant
parentheses,ie,aformulacontainsatmostonepairofparenthesesperboolean
connective.)
WecaneasilyencodeabooleanformulainalengththatispolynomialinnCm.
Asinbooleancombinationalcircuits,atruthassignmentforabooleanformula
isasetofvaluesforthevariablesof,andasatisfyingassignmentisatruth
assignmentthatcausesittoevaluateto1.Aformulawithasatisfyingassignment
isasatisfiableformula.Thesatisfiabilityproblemaskswhetheragivenboolean
formulaissatisfiableinformallanguageterms,
SATDfhiWisasatisfiablebooleanformulag:
Asanexample,theformula
Pgina201
D..x1!x2/_:..:x1$x3/_x4//^:x2
hasthesatisfyingassignmenthx1D0x2D0x3D1x4D1i,since
D..0!0/_:..:0$1/_1//^:0 (34.2)
D.1_:.1_1//^1
D.1_0/^1
D1
andthusthisformulabelongstoSAT.
Thenaivealgorithmtodeterminewhetheranarbitrarybooleanformulaissatis
fiabledoesnotruninpolynomialtime.Aformulawithnvariableshas2npossible
assignments.Ifthelengthofhiispolynomialinn,thencheckingeveryassign
mentrequires.2n/time,whichissuperpolynomialinthelengthofhi.Asthe
followingtheoremshows,apolynomialtimealgorithmisunlikelytoexist.
Theorem34.9
SatisfiabilityofbooleanformulasisNPcomplete.
ProofWestartbyarguingthatSAT2NP.ThenweprovethatSATisNPhardby
showingthatCIRCUITSATPSATbyLemma34.8,thiswillprovethetheorem.
ToshowthatSATbelongstoNP,weshowthatacertificateconsistingofa
satisfyingassignmentforaninputformulacanbeverifiedinpolynomialtime.
Theverifyingalgorithmsimplyreplaceseachvariableintheformulawithitscor
respondingvalueandthenevaluatestheexpression,muchaswedidinequa
tion(34.2)above.Thistaskiseasytodoinpolynomialtime.Iftheexpression
evaluatesto1,thenthealgorithmhasverifiedthattheformulaissatisfiable.As,
thefirstconditionofLemma34.8forNPcompletenessholds.
ToprovethatSATisNPhard,weshowthatCIRCUITSATPSAT.Inother
words,weneedtoshowhowtoreduceanyinstanceofcircuitsatisfiabilitytoan
instanceofformulasatisfiabilityinpolynomialtime.Wecanuseinductionto
expressanybooleancombinationalcircuitasabooleanformula.Wesimplylook
atthegatethatproducesthecircuitoutputandinductivelyexpresseachofthe
gate'sinputsasformulas.Wethenobtaintheformulaforthecircuitbywritingan
expressionthatappliesthegate'sfunctiontoitsinputs'formulas.
Unfortunately,thisstraightforwardmethoddoesnotamounttoapolynomial
timereduction.AsExercise34.41asksyoutoshow,sharedsubformulaswhich
arisefromgateswhoseoutputwireshavefanoutof2ormorecancausethe
sizeofthegeneratedformulatogrowexponentially.Thus,thereductionalgorithm
mustbesomewhatmoreclever.
Figure34.10illustrateshowweovercomethisproblem,usingasanexample
thecircuitfromFigure34.8(a).ForeachwirexiinthecircuitC,theformula
Pgina202
x1 x5
x2
x8
x6
x9 x10
x4 x7
x3
Figure34.10Reducingcircuitsatisfiabilitytoformulasatisfiability.Theformulaproducedbythe
reductionalgorithmhasavariableforeachwireinthecircuit.
hasavariablexi.Wecannowexpresshoweachgateoperatesasasmallformula
involvingthevariablesofitsincidentwires.Forexample,theoperationofthe
outputANDgateisx10$.x7^x8^x9/.Wecalleachofthesesmallformulasa
clause.
TheformulaproducedbythereductionalgorithmistheANDofthecircuit
outputvariablewiththeconjunctionofclausesdescribingtheoperationofeach
portn.Forthecircuitinthefigure,theformulais
Dx10^.x4$:x3/
^.x5$.x1_x2//
^.x6$:x4/
^.x7$.x1^x2^x4//
^.x8$.x5_x6//
^.x9$.x6_x7//
^.x10$.x7^x8^x9//:
GivenacircuitC,itisstraightforwardtoproducesuchaformulainpolynomial
hora.
WhyisthecircuitCsatisfiableexactlywhentheformulaissatisfiable?IfC
hasasatisfyingassignment,theneachwireofthecircuithasawelldefinedvalue,
andtheoutputofthecircuitis1.Therefore,whenweassignwirevaluesto
variablesin,eachclauseof evaluatesto1,andthustheconjunctionofall
evaluatesto1.Conversely,ifsomeassignmentcauses toevaluateto1,the
circuitCissatisfiablebyananalogousargument.Thus,wehaveshownthat
CIRCUITSATPSAT,whichcompletestheproof.
Pgina203
3CNFsatisfiability
WecanprovemanyproblemsNPcompletebyreducingfromformulasatisfiability.
Thereductionalgorithmmusthandleanyinputformula,though,andthisrequire
mentcanleadtoahugenumberofcasesthatwemustconsider.Weoftenprefer
toreducefromarestrictedlanguageofbooleanformulas,sothatweneedtocon
siderfewercases.Ofcourse,wemustnotrestrictthelanguagesomuchthatit
becomespolynomialtimesolvable.Oneconvenientlanguageis3CNFsatisfiabil
ity,or3CNFSAT.
Wedefine3CNFsatisfiabilityusingthefollowingterms.Aliteralinaboolean
formulaisanoccurrenceofavariableoritsnegation.Abooleanformulaisin
conjunctivenormalform,orCNF,ifitisexpressedasanANDofclauses,each
ofwhichistheORofoneormoreliterals.Abooleanformulaisin3conjunctive
normalform,or3CNF,ifeachclausehasexactlythreedistinctliterals.
Forexample,thebooleanformula
.x1_:x1_:x2/^.x3_x2_x4/^.:x1_:x3_:x4/
isin3CNF.Thefirstofitsthreeclausesis.x1_:x1_:x2/,whichcontainsthe
threeliteralsx1,:x1,and:x2.
In3CNFSAT,weareaskedwhetheragivenbooleanformula in3CNFis
satisfiable.Thefollowingtheoremshowsthatapolynomialtimealgorithmthat
candeterminethesatisfiabilityofbooleanformulasisunlikelytoexist,evenwhen
theyareexpressedinthissimplenormalform.
Theorem34.10
Satisfiabilityofbooleanformulasin3conjunctivenormalformisNPcomplete.
ProofTheargumentweusedintheproofofTheorem34.9toshowthatSAT2
NPappliesequallywellheretoshowthat3CNFSAT2NP.ByLemma34.8,
therefore,weneedonlyshowthatSATP3CNFSAT.
Webreakthereductionalgorithmintothreebasicsteps.Eachstepprogressively
transformstheinputformulaclosertothedesired3conjunctivenormalform.
ThefirststepissimilartotheoneusedtoproveCIRCUITSATPSATin
Theorem34.9.First,weconstructabinaryparsetreefortheinputformula,
withliteralsasleavesandconnectivesasinternalnodes.Figure34.11showssuch
aparsetreefortheformula
D..x1!x2/_:..:x1$x3/_x4//^:x2: (34.3)
ShouldtheinputformulacontainaclausesuchastheORofseveralliterals,weuse
associativitytoparenthesizetheexpressionfullysothateveryinternalnodeinthe
resultingtreehas1or2children.Wecannowthinkofthebinaryparsetreeasa
circuitforcomputingthefunction.
Pgina204
y1
^
y
2
_ :x 2
y 3 y4
! :
y5
x1 x2 _
y 6
ps x 4
:x 1 x 3
Figure34.11ThetreecorrespondingtotheformulaD..x1!x2/_:..:x1$x3/_x4//^:x2:
MimickingthereductionintheproofofTheorem34.9,weintroduceavari
ableyifortheoutputofeachinternalnode.Then,werewritetheoriginalfor
mulaastheANDoftherootvariableandaconjunctionofclausesdescribingthe
operationofeachnode.Fortheformula(34.3),theresultingexpressionis
0Dy1^.y1$.y2^:x2//
^.y2$.y3_y4//
^.y3$.x1!x2//
^.y4$:y5/
^.y5$.y6_x4//
^.y6$.:x1$x3//:
Observethattheformula0thusobtainedisaconjunctionofclauses0
i,eachof
whichhasatmost3literals.Theonlyrequirementthatwemightfailtomeetis
thateachclausehastobeanORof3literals.
Thesecondstepofthereductionconvertseachclause0 iintoconjunctivenormal
formar.Weconstructatruthtablefor0
ibyevaluatingallpossibleassignmentsto
itsvariables.Eachrowofthetruthtableconsistsofapossibleassignmentofthe
variablesoftheclause,togetherwiththevalueoftheclauseunderthatassignment.
Usingthetruthtableentriesthatevaluateto0,webuildaformulaindisjunctive
normalform(orDNF)anORofANDsthatisequivalentto:0 i. Nosotrosentonces
negatethisformulaandconvertitintoaCNFformula00 ibyusingDeMorgans
Pgina205
y1 y2 x2 .y1$.y2^:x2//
1 1 1 0
1 1 0 1
1 0 1 0
1 0 0 0
0 1 1 1
0 1 0 0
0 0 1 1
0 0 0 1
Figure34.12Thetruthtablefortheclause.y1$.y2^:x2//.
lawsforpropositionallogic,
:.a^b/D:a_:b
:.a_b/D:a^:b
tocomplementallliterals,changeORsintoANDs,andchangeANDsintoORs.
Inourexample,weconverttheclause0 1D.y1$.y2^:x2//intoCNF
comosigue.Thetruthtablefor0
1appearsinFigure34.12.TheDNFformula
equivalentto:0 1is
.y1^y2^x2/_.y1^:y2^x2/_.y1^:y2^:x2/_.:y1^y2^:x2/:
NegatingandapplyingDeMorgan'slaws,wegettheCNFformula
00 D.:y1_:y2_:x2/^.:y1_y2_:x2/
1
^.:y1_y2_x2/^.y1_:y2_x2/
whichisequivalenttotheoriginalclause0 1.
Atthispoint,wehaveconvertedeachclause0 ioftheformula0intoaCNF
formula00 i,andthus0isequivalenttotheCNFformula00consistingofthe
conjunctionofthe00
i. Moreover,eachclauseof00hasatmost3literals.
Thethirdandfinalstepofthereductionfurthertransformstheformulasothat000
eachclausehasexactly3distinctliterals.Weconstructthefinal3CNFformula
fromtheclausesoftheCNFformula00.Theformula000alsousestwoauxiliary
variablesthatweshallcallpandq.ForeachclauseCiof00,weincludethe
followingclausesin000:
IfCihas3distinctliterals,thensimplyincludeCiasaclauseof000.
IfCihas2distinctliterals,thatis,ifCiD.l1_l2/,wherel1andl2areliterals,
theninclude.l1_l2_p/^.l1_l2_:p/asclausesof000.Theliterals
pand:pmerelyfulfillthesyntacticrequirementthateachclauseof000has
Pgina206
exactly3distinctliterals.WhetherpD0orpD1,oneoftheclausesis
equivalenttol1_l2,andtheotherevaluatesto1,whichistheidentityforAND.
IfCihasjust1distinctliterall,theninclude.l_p_q/^.l_p_:q/^
.l_:p_q/^.l_:p_:q/asclausesof000.Regardlessofthevaluesofp
andq,oneofthefourclausesisequivalenttol,andtheother3evaluateto1.
Wecanseethatthe3CNFformula000issatisfiableifandonlyifissatisfiable
byinspectingeachofthethreesteps.LikethereductionfromCIRCUITSATto
SAT,theconstructionof0from inthefirststeppreservessatisfiability.los
secondstepproducesaCNFformula00thatisalgebraicallyequivalentto0.El
thirdstepproducesa3CNFformula000thatiseffectivelyequivalentto00,since
anyassignmenttothevariablespandqproducesaformulathatisalgebraically
equivalentto00.
Wemustalsoshowthatthereductioncanbecomputedinpolynomialtime.Estafa
structing0fromintroducesatmost1variableand1clauseperconnectivein.
Constructing00from0canintroduceatmost8clausesinto00foreachclause
from0,sinceeachclauseof0hasatmost3variables,andthetruthtablefor
eachclausehasatmost23D8rows.Theconstructionof000from00introduces
atmost4clausesinto000foreachclauseof00.Thus,thesizeoftheresulting
formula000ispolynomialinthelengthoftheoriginalformula.Eachofthecon
structionscaneasilybeaccomplishedinpolynomialtime.
Exercises
34.41
Considerthestraightforward(nonpolynomialtime)reductionintheproofofThe
orem34.9.Describeacircuitofsizenthat,whenconvertedtoaformulabythis
method,yieldsaformulawhosesizeisexponentialinn.
34.42
Showthe3CNFformulathatresultswhenweusethemethodofTheorem34.10
ontheformula(34.3).
34.43
ProfessorJaggerproposestoshowthatSATP3CNFSATbyusingonlythe
truthtabletechniqueintheproofofTheorem34.10,andnottheothersteps.Ese
is,theprofessorproposestotakethebooleanformula,formatruthtablefor
itsvariables,derivefromthetruthtableaformulain3DNFthatisequivalent
to:,andthennegateandapplyDeMorgan'slawstoproducea3CNFformula
equivalentto.Showthatthisstrategydoesnotyieldapolynomialtimereduction.
Pgina207
34.44
Showthattheproblemofdeterminingwhetherabooleanformulaisatautologyis
completeforcoNP.(Hint:SeeExercise34.37.)
34.45
Showthattheproblemofdeterminingthesatisfiabilityofbooleanformulasindis
junctivenormalformispolynomialtimesolvable.
34.46
Supposethatsomeonegivesyouapolynomialtimealgorithmtodecideformula
satisfiability.Describehowtousethisalgorithmtofindsatisfyingassignmentsin
polynomialtime.
34.47
Let2CNFSATbethesetofsatisfiablebooleanformulasinCNFwithexactly2
literalsperclause.Showthat2CNFSAT2P.Makeyouralgorithmasefficientas
posible.(Hint:Observethatx_yisequivalentto:x!y.Reduce2CNFSAT
toanefficientlysolvableproblemonadirectedgraph.)
34.5NPcompleteproblems
NPcompleteproblemsariseindiversedomains:booleanlogic,graphs,arithmetic,
networkdesign,setsandpartitions,storageandretrieval,sequencingandschedul
ing,mathematicalprogramming,algebraandnumbertheory,gamesandpuzzles,
automataandlanguagetheory,programoptimization,biology,chemistry,physics,
yms.Inthissection,weshallusethereductionmethodologytoprovideNP
completenessproofsforavarietyofproblemsdrawnfromgraphtheoryandset
partitioning.
Figure34.13outlinesthestructureoftheNPcompletenessproofsinthissection
andSection34.4.WeproveeachlanguageinthefiguretobeNPcompleteby
reductionfromthelanguagethatpointstoit.AttherootisCIRCUITSAT,which
weprovedNPcompleteinTheorem34.7.
34.5.1Thecliqueproblem
AcliqueinanundirectedgraphGD.VE/isasubsetV0Vofvertices,each
pairofwhichisconnectedbyanedgeinE.Inotherwords,acliqueisacomplete
subgraphofG.Thesizeofacliqueisthenumberofverticesitcontains.El
cliqueproblemistheoptimizationproblemoffindingacliqueofmaximumsizein
Pgina208
34.5NPcompleteproblems 1087
CIRCUITSAT
SAT
3CNFSAT
CLIQUE SUBSETSUM
VERTEXCOVER
HAMCYCLE
TSP
Figure34.13ThestructureofNPcompletenessproofsinSections34.4and34.5.Allproofsulti
matelyfollowbyreductionfromtheNPcompletenessofCIRCUITSAT.
agraph.Asadecisionproblem,weasksimplywhetheracliqueofagivensizek
existsinthegraph.Theformaldefinitionis
CLIQUEDfhGkiWGisagraphcontainingacliqueofsizekg:
AnaivealgorithmfordeterminingwhetheragraphGD.VE/withjVjver
ticeshasacliqueofsizekistolistallksubsetsofV,andcheckeachoneto
seewhetheritformsaclique.Therunningtimeofthisalgorithmis.k2jVj /,
whichispolynomialifkisaconstant.Ingeneral,however,kcouldbenearjVj=2,
K
inwhichcasethealgorithmrunsinsuperpolynomialtime.Indeed,anefficient
algorithmforthecliqueproblemisunlikelytoexist.
Theorem34.11
ThecliqueproblemisNPcomplete.
ProofToshowthatCLIQUE2NP,foragivengraphGD.VE/,weusethe
setV0VofverticesinthecliqueasacertificateforG.WecancheckwhetherV0
isacliqueinpolynomialtimebycheckingwhether,foreachpairu2V0,the
edge.u/belongstoE.
Wenextprovethat3CNFSATPCLIQUE,whichshowsthatthecliqueprob
lemisNPhard.Youmightbesurprisedthatweshouldbeabletoprovesucha
result,sinceonthesurfacelogicalformulasseemtohavelittletodowithgraphs.
Thereductionalgorithmbeginswithaninstanceof3CNFSAT.Dejar re
C1^C2^^Ckbeabooleanformulain3CNFwithkclauses.ForrD
Pgina209
C Dx _:x _:x
1 1 2 3
x 1 :x 2 :x 3
:x
1 x1
C D:x _x _x
2 1 2 3 x 2 x 2 C Dx _x _x
3 1 2 3
x 3 x 3
Figure34.14ThegraphGderivedfromthe3CNFformula DC1^C2^C3,whereC1D
.x1_:x2_:x3/,C2D.:x1_x2_x3/,andC3D.x1_x2_x3/,inreducing3CNFSATto
CLIQUE.Asatisfyingassignmentoftheformulahasx2D0,x3D1,andx1either0or1.This
assignmentsatisfiesC1with:x2,anditsatisfiesC2andC3withx3,correspondingtotheclique
withlightlyshadedvertices.
12:::k,eachclauseCrhasexactlythreedistinctliteralslr 1,l2
r,andlr
3. Weshall
constructagraphGsuchthatissatisfiableifandonlyifGhasacliqueofsizek.
WeconstructthegraphGD.VE/asfollows.ForeachclauseCr re
.l1
r
_lr2_lr3/in,weplaceatripleofverticesr 1, r2,andr 3intoV.Weput
anedgebetweentwoverticesr iands jifbothofthefollowinghold:
R
iands jareindifferenttriples,thatis,rs,and
theircorrespondingliteralsareconsistent,thatis,lriisnotthenegationofls j.
Wecaneasilybuildthisgraphfrominpolynomialtime.Asanexampleofthis
construction,ifwehave
D.x1_:x2_:x3/^.:x1_x2_x3/^.x1_x2_x3/
thenGisthegraphshowninFigure34.14.
WemustshowthatthistransformationofintoGisareduction.First,suppose
ese hasasatisfyingassignment.TheneachclauseCrcontainsatleastone
literallr
ithatisassigned1,andeachsuchliteralcorrespondstoavertexr i. Picking
onesuchtrueliteralfromeachclauseyieldsasetV0ofkvertices.Weclaimthat
V0isaclique.Foranytwoverticesr iSj2V0,wherers,bothcorresponding
literalslr
iandlsjmapto1bythegivensatisfyingassignment,andthustheliterals
Pgina210
cannotbecomplements.Thus,bytheconstructionofG,theedge.R iSj/belongs
toE.
Conversely,supposethatGhasacliqueV0ofsizek.NoedgesinGconnect
verticesinthesametriple,andsoV0containsexactlyonevertexpertriple.Podemos
assign1toeachliterallr isuchthatr i2V0withoutfearofassigning1tobotha
literalanditscomplement,sinceGcontainsnoedgesbetweeninconsistentliterals.
Eachclauseissatisfied,andsoissatisfied.(Anyvariablesthatdonotcorrespond
toavertexinthecliquemaybesetarbitrarily.)
IntheexampleofFigure34.14,asatisfyingassignmentof hasx2D0and
x3D1.AcorrespondingcliqueofsizekD3consistsoftheverticescorrespond
ingto:x2fromthefirstclause,x3fromthesecondclause,andx3fromthethird
clause.Becausethecliquecontainsnoverticescorrespondingtoeitherx1or:x1,
wecansetx1toeither0or1inthissatisfyingassignment.
ObservethatintheproofofTheorem34.11,wereducedanarbitraryinstance
of3CNFSATtoaninstanceofCLIQUEwithaparticularstructure.Youmight
thinkthatwehaveshownonlythatCLIQUEisNPhardingraphsinwhichthe
verticesarerestrictedtooccurintriplesandinwhichtherearenoedgesbetween
verticesinthesametriple.Indeed,wehaveshownthatCLIQUEisNPhardonly
inthisrestrictedcase,butthisproofsufficestoshowthatCLIQUEisNPhardin
generalgraphs.Porqu?IfwehadapolynomialtimealgorithmthatsolvedCLIQUE
ongeneralgraphs,itwouldalsosolveCLIQUEonrestrictedgraphs.
Theoppositeapproachreducinginstancesof3CNFSATwithaspecialstruc
turetogeneralinstancesofCLIQUEwouldnothavesufficed,however.Porqu
no?Perhapstheinstancesof3CNFSATthatwechosetoreducefromwere
easy,andsowewouldnothavereducedanNPhardproblemtoCLIQUE.
Observealsothatthereductionusedtheinstanceof3CNFSAT,butnotthe
solucin.Wewouldhaveerredifthepolynomialtimereductionhadreliedon
knowingwhethertheformulaissatisfiable,sincewedonotknowhowtodecide
whetherissatisfiableinpolynomialtime.
34.5.2Thevertexcoverproblem
AvertexcoverofanundirectedgraphGD.VE/isasubsetV0Vsuchthat
if.u/2E,thenu2V0or2V0(orboth).Thatis,eachvertexcoversits
incidentedges,andavertexcoverforGisasetofverticesthatcoversalltheedges
inE.Thesizeofavertexcoveristhenumberofverticesinit.Forexample,the
graphinFigure34.15(b)hasavertexcoverfwgofsize2.
Thevertexcoverproblemistofindavertexcoverofminimumsizeinagiven
grafico.Restatingthisoptimizationproblemasadecisionproblem,wewishto
Page211
Usted V Usted V
Z W Z W
Y x Y x
(un) (segundo)
Figure34.15ReducingCLIQUEtoVERTEXCOVER.(a)AnundirectedgraphGD.VE/with
cliqueV0Dfuxyg.(b)ThegraphGproducedbythereductionalgorithmthathasvertexcover
V V0Dfwg.
determinewhetheragraphhasavertexcoverofagivensizek.Asalanguage,we
definir
VERTEXCOVERDfhGkiWgraphGhasavertexcoverofsizekg:
ThefollowingtheoremshowsthatthisproblemisNPcomplete.
Theorem34.12
ThevertexcoverproblemisNPcomplete.
ProofWefirstshowthatVERTEXCOVER2NP.Supposewearegivenagraph
GD.VE/andanintegerk.ThecertificatewechooseisthevertexcoverV0V
smismo.TheverificationalgorithmaffirmsthatjV0jDk,andthenitchecks,foreach
edge.u/2E,thatu2V0or 2V0.Wecaneasilyverifythecertificatein
polynomialtime.
WeprovethatthevertexcoverproblemisNPhardbyshowingthatCLIQUEP
VERTEXCOVER.Thisreductionreliesonthenotionofthecomplementofa
grafico.GivenanundirectedgraphGD.VE/,wedefinethecomplementofG
asGD.VE/,whereEDfu/Wu2Vuand.u/62Eg.Inother
words,GisthegraphcontainingexactlythoseedgesthatarenotinG.Figure34.15
showsagraphanditscomplementandillustratesthereductionfromCLIQUEto
VERTEXCOVER.
ThereductionalgorithmtakesasinputaninstancehGkiofthecliqueproblem.
ItcomputesthecomplementG,whichwecaneasilydoinpolynomialtime.los
outputofthereductionalgorithmistheinstancehGjVjkiofthevertexcover
problema.Tocompletetheproof,weshowthatthistransformationisindeeda
Pgina212
reduction:thegraphGhasacliqueofsizekifandonlyifthegraphGhasavertex
coverofsizejVjk.
SupposethatGhasacliqueV0VwithjV0jDk.WeclaimthatV V0isa
vertexcoverinG.Let.u/beanyedgeinE.Then,.u/62E,whichimplies
thatatleastoneofuordoesnotbelongtoV0,sinceeverypairofverticesinV0is
connectedbyanedgeofE.Equivalently,atleastoneofuorisinVV0,which
meansthatedge.u/iscoveredbyV V0.Since.u/waschosenarbitrarily
fromE,everyedgeofEiscoveredbyavertexinV V0.Hence,thesetV V0,
whichhassizejVjk,formsavertexcoverforG.
Conversely,supposethatGhasavertexcoverV0V,wherejV0jDjVjk.
Then,forallu2V,if.u/2E,thenu2V0or 2V0orboth.El
contrapositiveofthisimplicationisthatforallu2V,ifu62V0and62V0,
then.u/2E.Inotherwords,VV0isaclique,andithassizejVjjV0jDk.
SinceVERTEXCOVERisNPcomplete,wedon'texpecttofindapolynomial
timealgorithmforfindingaminimumsizevertexcover.Section35.1presentsa
polynomialtimeapproximationalgorithm,however,whichproducesapproxi
matesolutionsforthevertexcoverproblem.Thesizeofavertexcoverproduced
bythealgorithmisatmosttwicetheminimumsizeofavertexcover.
Thus,weshouldn'tgiveuphopejustbecauseaproblemisNPcomplete.Nosotros
maybeabletodesignapolynomialtimeapproximationalgorithmthatobtains
nearoptimalsolutions,eventhoughfindinganoptimalsolutionisNPcomplete.
Chapter35givesseveralapproximationalgorithmsforNPcompleteproblems.
34.5.3Thehamiltoniancycleproblem
WenowreturntothehamiltoniancycleproblemdefinedinSection34.2.
Theorem34.13
ThehamiltoniancycleproblemisNPcomplete.
ProofWefirstshowthatHAMCYCLEbelongstoNP.GivenagraphGD
.VE/,ourcertificateisthesequenceofjVjverticesthatmakesupthehamiltonian
ciclo.Theverificationalgorithmchecksthatthissequencecontainseachvertex
inVexactlyonceandthatwiththefirstvertexrepeatedattheend,itformsacycle
inG.Thatis,itchecksthatthereisanedgebetweeneachpairofconsecutive
verticesandbetweenthefirstandlastvertices.Wecanverifythecertificatein
polynomialtime.
WenowprovethatVERTEXCOVERPHAMCYCLE,whichshowsthat
HAMCYCLEisNPcomplete.GivenanundirectedgraphGD.VE/andan
Pgina213
[u,v,1] [v,u,1] [u,v,1] [v,u,1] [u,v,1] [v,u,1] [u,v,1] [v,u,1]

[u,v,2] [v,u,2]
[u,v,3]
Wuv [v,u,3] Wuv Wuv Wuv
[u,v,4] [v,u,4]
[u,v,5] [v,u,5]
[u,v,6] [v,u,6] [u,v,6] [v,u,6] [u,v,6] [v,u,6] [u,v,6] [v,u,6]
(un) (segundo) (do) (re)
Figure34.16Thewidgetusedinreducingthevertexcoverproblemtothehamiltoniancycleprob
LemAnedge.u/ofgraphGcorrespondstowidgetWuinthegraphG0createdinthereduction.
(a)Thewidget,withindividualverticeslabeled.(b)(d)Theshadedpathsaretheonlypossibleones
throughthewidgetthatincludeallvertices,assumingthattheonlyconnectionsfromthewidgetto
theremainderofG0arethroughverticesu1,u6,u1,andu6.
integerk,weconstructanundirectedgraphG0D.V0E0/thathasahamiltonian
cycleifandonlyifGhasavertexcoverofsizek.
Ourconstructionusesawidget,whichisapieceofagraphthatenforcescertain
properties.Figure34.16(a)showsthewidgetweuse.Foreachedge.u/2E,the
graphG0thatweconstructwillcontainonecopyofthiswidget,whichwedenote
byWu.WedenoteeachvertexinWubyuiorui,where1i6,so
thateachwidgetWucontains12vertices.WidgetWualsocontainsthe14edges
showninFigure34.16(a).
Alongwiththeinternalstructureofthewidget,weenforcethepropertieswe
wantbylimitingtheconnectionsbetweenthewidgetandtheremainderofthe
graphG0thatweconstruct.Inparticular,onlyverticesu1,u6,u1,
andu6willhaveedgesincidentfromoutsideWu.Anyhamiltoniancycle
ofG0musttraversetheedgesofWuinoneofthethreewaysshowninFig
ures34.16(b)(d).Ifthecycleentersthroughvertexu1,itmustexitthrough
vertexu6,anditeithervisitsall12ofthewidget'svertices(Figure34.16(b))
orthesixverticesu1throughu6(Figure34.16(c)).Inthelattercase,
thecyclewillhavetoreenterthewidgettovisitverticesu1throughu6.
Similarly,ifthecycleentersthroughvertexu1,itmustexitthroughver
texu6,anditeithervisitsall12ofthewidget'svertices(Figure34.16(d))or
thesixverticesu1throughu6(Figure34.16(c)).Nootherpathsthrough
thewidgetthatvisitall12verticesarepossible.Inparticular,itisimpossibleto
constructtwovertexdisjointpaths,oneofwhichconnectsu1tou6y
theotherofwhichconnectsu1tou6,suchthattheunionofthetwopaths
containsallofthewidget'svertices.
Pgina214
W x
(un)
Z Y
s1
s2
(segundo)
[w,x,1] [x,w,1]
[x,y,1] [y,x,1][w,y,1] [y,w,1] [w,z,1] [z,w,1]
Wwx Wxy Wwy Wwz
[w,x,6] [x,w,6]
[x,y,6] [y,x,6][w,y,6] [y,w,6] [w,z,6] [z,w,6]
Figure34.17Reducinganinstanceofthevertexcoverproblemtoaninstanceofthehamiltonian
cycleproblem.(a)AnundirectedgraphGwithavertexcoverofsize2,consistingofthelightly
shadedverticeswandy.(b)TheundirectedgraphG0producedbythereduction,withthehamilto
nianpathcorrespondingtothevertexcovershaded.Thevertexcoverfwygcorrespondstoedges
.s1wx1/and.s2yx1/appearinginthehamiltoniancycle.
TheonlyotherverticesinV0otherthanthoseofwidgetsareselectorvertices
s1s2:::sk.WeuseedgesincidentonselectorverticesinG0toselectthek
verticesofthecoverinG.
Inadditiontotheedgesinwidgets,E0containstwoothertypesofedges,which
Figure34.17shows.First,foreachvertexu2V,weaddedgestojoinpairs
ofwidgetsinordertoformapathcontainingallwidgetscorrespondingtoedges
incidentonuinG.Wearbitrarilyordertheverticesadjacenttoeachvertex
u2Vasu.1/u.2/:::u.degree.u//,wheredegree.u/isthenumberofvertices
adjacenttou.WecreateapathinG0throughallthewidgetscorresponding
toedgesincidentonubyaddingtoE0theedgesf.uu.i/6uu.iC1/1/W
1idegree.u/1g.InFigure34.17,forexample,weordertheverticesad
jacenttowasxy,andsographG0inpart(b)ofthefigureincludestheedges
Pgina215
.wx6wy1/and.wy6w1/.Foreachvertexu2V,theseedges
inG0fillinapathcontainingallwidgetscorrespondingtoedgesincidentonu
inG.
Theintuitionbehindtheseedgesisthatifwechooseavertexu2Vinthevertex
coverofG,wecanconstructapathfromuu.1/1touu.degree.u//6inG0that
coversallwidgetscorrespondingtoedgesincidentonu.Thatis,foreachofthese
widgets,sayWuu ,thepatheitherincludesall12vertices(ifuisinthevertex
.i/
coverbutu.i/isnot)orjustthesixverticesuu.i/1uu.i/2:::uu.i/6(if
bothuandu.i/areinthevertexcover).
ThefinaltypeofedgeinE0joinsthefirstvertexuu.1/1andthelastvertex
uu.degree.u//6ofeachofthesepathstoeachoftheselectorvertices.Thatis,we
includetheedges
fsjuu.1/1/Wu2Vand1jkg
[fsjuu.degree.u//6/Wu2Vand1jkg:
Next,weshowthatthesizeofG0ispolynomialinthesizeofG,andhencewe
canconstructG0intimepolynomialinthesizeofG.TheverticesofG0arethose
inthewidgets,plustheselectorvertices.With12verticesperwidget,pluskjVj
selectorvertices,wehaveatotalof
jV0jD12jEjCk
12jEjCjVj
VrticesTheedgesofG0arethoseinthewidgets,thosethatgobetweenwidgets,
andthoseconnectingselectorverticestowidgets.Eachwidgetcontains14edges,
totaling14jEjinallwidgets.Foreachvertexu2V,graphG0hasdegree.u/1
edgesgoingbetweenwidgets,sothatsummedoverallverticesinV,
x
.degree.u/1/D2jEjjVj
u2V
edgesgobetweenwidgets.Finally,G0hastwoedgesforeachpairconsistingofa
selectorvertexandavertexofV,totaling2kjVjsuchedges.Thetotalnumberof
edgesofG0istherefore
jE0jD.14jEj/C.2jEjjVj/C.2kjVj/
D16jEjC.2k1/jVj
16jEjC.2jVj1/jVj:
NowweshowthatthetransformationfromgraphGtoG0isareduction.Esdecir,
wemustshowthatGhasavertexcoverofsizekifandonlyifG0hasahamiltonian
ciclo.
Pgina216
SupposethatGD.VE/hasavertexcoverV Vofsizek.Dejar
V Dfu1u2:::ukg.AsFigure34.17shows,weformahamiltoniancy
cleinG
0byincludingthefollowingedges10foreachvertexuj2V.Include
Bordes .uju.i/ .iC1/1/W1idegree.uj/1 ,whichconnectall
j6uju J
widgetscorrespondingtoedgesincidentonuj.Wealsoincludetheedgeswithin
thesewidgetsasFigures34.16(b)(d)show,dependingonwhethertheedgeiscov
eredbyoneortwoverticesinV.Thehamiltoniancyclealsoincludestheedges
fsjujuj.1/
1/W1jkg
[fsjC1uju .degree.u6/W1jk1g
j //
J
[fs1uku.degree.u6/g:
k //
K
ByinspectingFigure34.17,youcanverifythattheseedgesformacycle.Thecycle
startsats1,visitsallwidgetscorrespondingtoedgesincidentonu1,thenvisitss2,
visitsallwidgetscorrespondingtoedgesincidentonu2,andsoon,untilitreturns
tos1.Thecyclevisitseachwidgeteitheronceortwice,dependingonwhetherone
ortwoverticesofVcoveritscorrespondingedge.BecauseVisavertexcover
forG,eachedgeinEisincidentonsomevertexinV,andsothecyclevisitseach
vertexineachwidgetofG0.Becausethecyclealsovisitseveryselectorvertex,it
ishamiltonian.
Conversely,supposethatG0D.V0E0/hasahamiltoniancycleCE0.Nosotros
claimthattheset
VDfu2VW.sjuu.1/1/2Cforsome1jkg (34.4)
isavertexcoverforG.Toseewhy,partitionCintomaximalpathsthatstartat
someselectorvertexsi,traverseanedge.siuu.1/1/forsomeu2V,andend
ataselectorvertexsjwithoutpassingthroughanyotherselectorvertex.Letuscall
eachsuchpathacoverpath.FromhowG0isconstructed,eachcoverpathmust
startatsomesi,taketheedge.siuu.1/1/forsomevertexu2V,passthrough
allthewidgetscorrespondingtoedgesinEincidentonu,andthenendatsome
selectorvertexsj.Werefertothiscoverpathaspu,andbyequation(34.4),we
putuintoV.EachwidgetvisitedbypumustbeWuorWuforsome2V.
Foreachwidgetvisitedbypu,itsverticesarevisitedbyeitheroneortwocover
caminos.Iftheyarevisitedbyonecoverpath,thenedge.u/2EiscoveredinG
byvertexu.Iftwocoverpathsvisitthewidget,thentheothercoverpathmust
bep,whichimpliesthat2V,andedge.u/2Eiscoveredbybothuand.
10Technically,wedefineacycleintermsofverticesratherthanedges(seeSectionB.4).Enel
interestofclarity,weabusenotationhereanddefinethehamiltoniancycleintermsofedges.
Pgina217
Usted 4 V
1
3 2
1
x W
5
Figure34.18Aninstanceofthetravelingsalesmanproblem.Shadededgesrepresentaminimum
costtour,withcost7.
Becauseeachvertexineachwidgetisvisitedbysomecoverpath,weseethateach
edgeinEiscoveredbysomevertexinV.
34.5.4Thetravelingsalesmanproblem
Inthetravelingsalesmanproblem,whichiscloselyrelatedtothehamiltonian
cycleproblem,asalesmanmustvisitncities.Modelingtheproblemasacomplete
graphwithnvertices,wecansaythatthesalesmanwishestomakeatour,or
hamiltoniancycle,visitingeachcityexactlyonceandfinishingatthecityhestarts
de.Thesalesmanincursanonnegativeintegercostcij/totravelfromcityi
tocityj,andthesalesmanwishestomakethetourwhosetotalcostisminimum,
wherethetotalcostisthesumoftheindividualcostsalongtheedgesofthetour.
Forexample,inFigure34.18,aminimumcosttourishuwxui,withcost7.
Theformallanguageforthecorrespondingdecisionproblemis
TSPDfhGckiWGD.VE/isacompletegraph
cisafunctionfromV V!Z
k2Z,and
Ghasatravelingsalesmantourwithcostatmostkg:
Thefollowingtheoremshowsthatafastalgorithmforthetravelingsalesman
problemisunlikelytoexist.
Theorem34.14
ThetravelingsalesmanproblemisNPcomplete.
ProofWefirstshowthatTSPbelongstoNP.Givenaninstanceoftheproblem,
weuseasacertificatethesequenceofnverticesinthetour.Theverification
algorithmchecksthatthissequencecontainseachvertexexactlyonce,sumsupthe
edgecosts,andcheckswhetherthesumisatmostk.Thisprocesscancertainlybe
doneinpolynomialtime.
Pgina218
ToprovethatTSPisNPhard,weshowthatHAMCYCLEPTSP.Dejar
GD.VE/beaninstanceofHAMCYCLE.WeconstructaninstanceofTSPas
Sigue.WeformthecompletegraphG0D.VE0/,whereE0Dfij/Wij2V
andijg,andwedefinethecostfunctioncby
(
0if.ij/2E
cij/D
1if.ij/62E:
(NotethatbecauseGisundirected,ithasnoselfloops,andsoc./D1forall
vertices2V.)TheinstanceofTSPisthenhG0c0i,whichwecaneasilycreate
inpolynomialtime.
WenowshowthatgraphGhasahamiltoniancycleifandonlyifgraphG0hasa
tourofcostatmost0.SupposethatgraphGhasahamiltoniancycleh.Eachedge
inhbelongstoEandthushascost0inG0.Thus,hisatourinG0withcost0.
Conversely,supposethatgraphG0hasatourh0ofcostatmost0.Sincethecosts
oftheedgesinE0are0and1,thecostoftourh0isexactly0andeachedgeonthe
tourmusthavecost0.Therefore,h0containsonlyedgesinE.Weconcludethath0
isahamiltoniancycleingraphG.
34.5.5Thesubsetsumproblem
WenextconsideranarithmeticNPcompleteproblem.Inthesubsetsumproblem,
wearegivenafinitesetSofpositiveintegersandanintegertargett>0.Weask
whetherthereexistsasubsetS0Swhoseelementssumtot.Porejemplo,
ifSDf127144998343686240927931680817206117705117993g
andtD138457,thenthesubsetS0Df12798343686240917206117705g
isasolution.
Asusual,wedefinetheproblemasalanguage: PAG
SUBSETSUMDfhStiWthereexistsasubsetS0SsuchthattD s2S sg: 0
Aswithanyarithmeticproblem,itisimportanttorecallthatourstandardencoding
assumesthattheinputintegersarecodedinbinary.Withthisassumptioninmind,
wecanshowthatthesubsetsumproblemisunlikelytohaveafastalgorithm.
Theorem34.15
ThesubsetsumproblemisNPcomplete.
ProofToshowthatSUBSETSUMisinNP,foraninstancehStioftheproblem,
weletthesubsetS
PAG 0bethecertificate.Averificationalgorithmcancheckwhether
tD
s2S sinpolynomialtime.
0
Wenowshowthat3CNFSATPSUBSETSUM.Givena3CNFformula
overvariablesx1x2:::xnwithclausesC1C2:::Ck,eachcontainingexactly
Page219
threedistinctliterals,thereductionalgorithmconstructsaninstancehStiofthe
subsetsumproblemsuchthat issatisfiableifandonlyifthereexistsasubset
ofSwhosesumisexactlyt.Withoutlossofgenerality,wemaketwosimplifying
assumptionsabouttheformula.First,noclausecontainsbothavariableandits
negation,forsuchaclauseisautomaticallysatisfiedbyanyassignmentofvalues
tothevariables.Second,eachvariableappearsinatleastoneclause,becauseit
doesnotmatterwhatvalueisassignedtoavariablethatappearsinnoclauses.
ThereductioncreatestwonumbersinsetSforeachvariablexiandtwonumbers
inSforeachclauseCj.Weshallcreatenumbersinbase10,whereeachnumber
containsnCkdigitsandeachdigitcorrespondstoeitheronevariableoroneclause.
Base10(andotherbases,asweshallsee)hasthepropertyweneedofpreventing
carriesfromlowerdigitstohigherdigits.
AsFigure34.19shows,weconstructsetSandtargettasfollows.Welabel
eachdigitpositionbyeitheravariableoraclause.Theleastsignificantkdigitsare
labeledbytheclauses,andthemostsignificantndigitsarelabeledbyvariables.
Thetargetthasa1ineachdigitlabeledbyavariableanda4ineachdigit
labeledbyaclause.
Foreachvariablexi,setScontainstwointegersiand0 i. Eachofiand0 yo
hasa1inthedigitlabeledbyxiand0sintheothervariabledigits.Ifliteralxi
appearsinclauseCj,thenthedigitlabeledbyCjinicontainsa1.Iflit
eral:xiappearsinclauseCj,thenthedigitlabeledbyCjin0 icontainsa1.
Allotherdigitslabeledbyclausesiniand0 iare0.
Alliand0 ivaluesinsetSareunique. Porqu?Forli,nolor0
lvaluescan
equaliand0
iinthemostsignificantndigits.Furthermore,byoursimplifying
assumptionsabove,noiand0
icanbeequalinallkleastsignificantdigits.
Ifiand0 iwereequal,thenxiand:xiwouldhavetoappearinexactlythe
samesetofclauses.Butweassumethatnoclausecontainsbothxiand:xi
andthateitherxior:xiappearsinsomeclause,andsotheremustbesome
clauseCjforwhichiand0
idiffer.
ForeachclauseCj,setScontainstwointegerssjands0
j. Eachofsjands0 jhas
0sinalldigitsotherthantheonelabeledbyCj.Forsj,thereisa1intheCj
digit,andsj0 hasa2inthisdigit.Theseintegersareslackvariables,whichwe
usetogeteachclauselabeleddigitpositiontoaddtothetargetvalueof4.
SimpleinspectionofFigure34.19demonstratesthatallsjands0 jvaluesinS
areuniqueinsetS.
Notethatthegreatestsumofdigitsinanyonedigitpositionis6,whichoccursin
thedigitslabeledbyclauses(three1sfromtheiand0 ivalues,plus1and2from
Pgina220
x 1 x
2 x3 C1 C C
2 3 C 4
1 Significadodelapalabra
1 0 0 1 0 0 1
1 0 0 0 1 1 0
1
0 1 0 0 0 0 1
0 1 0 1 1 1 0
2
0 0 1 0 0 1 1
0 0 1 1 1 0 0
3
s1 Significadodelapalabra
0 0 0 1 0 0 0
s1
0 0 0 2 0 0 0
0 0 0 0 1 0 0
s2
0 0 0 0 2 0 0
0 0 0 0 0 1 0
s3
0 0 0 0 0 2 0
0 0 0 0 0 0 1
s4
0 0 0 0 0 0 2
T Significadodelapalabra
1 1 1 4 4 4 4
Figure34.19Thereductionof3CNFSATtoSUBSETSUM.Theformulain3CNFis re
C1^C2^C3^C4,whereC1D.x1_:x2_:x3/,C2D.:x1_:x2_:x3/,C3D.:x1_:x2_x3/,
andC4D.x1_x2_x3/.Asatisfyingassignmentofishx1D0x2D0x3D1i.ThesetS
producedbythereductionconsistsofthebase10numbersshownreadingfromtoptobottom,SD
f10010011000110100001101110100111110010002000100200102012g.Thetargett
is1114444.ThesubsetS0Sislightlyshaded,anditcontains
1,02,and 3
0
,correspondingtothe
satisfyingassignment.Italsocontainsslackvariabless
1,s2 1,s0
0,s3,s4,ands
4toachievethetarget
0
valueof4inthedigitslabeledbyC1throughC4.
thesjands0
jvalues).Interpretingthesenumbersinbase10,therefore,nocarries
canoccurfromlowerdigitstohigherdigits.11
Wecanperformthereductioninpolynomialtime.ThesetScontains2nC2k
values,eachofwhichhasnCkdigits,andthetimetoproduceeachdigitispoly
nomialinnCk.ThetargetthasnCkdigits,andthereductionproduceseachin
constanttime.
Wenowshowthatthe3CNFformulaissatisfiableifandonlyifthereexists
asubsetS0Swhosesumist.First,supposethathasasatisfyingassignment.
ForiD12:::n,ifxiD1inthisassignment,thenincludeiinS0.Deotramanera,
include0
i. Inotherwords,weincludeinS0exactlytheiand0 ivaluesthatcor
11Infact,anybaseb,whereb 7,wouldwork.Theinstanceatthebeginningofthissubsectionis
thesetSandtargettinFigure34.19interpretedinbase7,withSlistedinsortedorder.
Pgina221
respondtoliteralswiththevalue1inthesatisfyingassignment.Havingincluded
eitherior0
i,butnotboth,foralli,andhavingput0inthedigitslabeledby
variablesinallsjandsj0 ,weseethatforeachvariablelabeleddigit,thesumofthe
valuesofS0mustbe1,whichmatchesthosedigitsofthetargett.Becauseeach
clauseissatisfied,theclausecontainssomeliteralwiththevalue1.Therefore,
eachdigitlabeledbyaclausehasatleastone1contributedtoitssumbyaior0 yo
valueinS0.Infact,1,2,or3literalsmaybe1ineachclause,andsoeachclause
labeleddigithasasumof1,2,or3fromtheiand0 ivaluesinS0.InFigure34.19
forexample,literals:x1,:x2,andx3havethevalue1inasatisfyingassignment.
EachofclausesC1andC4containsexactlyoneoftheseliterals,andsotogether0 1,
0
2,and3contribute1tothesuminthedigitsforC1andC4.ClauseC2contains
twooftheseliterals,and0 1, 02,and3contribute2tothesuminthedigitforC2.
ClauseC3containsallthreeoftheseliterals,and0 1, 02,and3contribute3tothe
suminthedigitforC3.Weachievethetargetof4ineachdigitlabeledbyclauseCj
byincludinginS0theappropriatenonemptysubsetofslackvariablesfsjs0 jg. En
Figure34.19,S0includess1,s 10,s20,s3,s4,ands
4. Sincewehavematchedthetarget
0
inalldigitsofthesum,andnocarriescanoccur,thevaluesofS0sumtot.
Now,supposethatthereisasubsetS0Sthatsumstot.ThesubsetS0must
includeexactlyoneofiand0 iforeachiD12:::n,forotherwisethedigits
labeledbyvariableswouldnotsumto1.Ifi2S0,wesetxiD1.Otherwise,
i02S0,andwesetxiD0.WeclaimthateveryclauseCj,forjD12:::k,is
satisfiedbythisassignment.Toprovethisclaim,notethattoachieveasumof4in
thedigitlabeledbyCj,thesubsetS0mustincludeatleastoneior0 ivaluethat
hasa1inthedigitlabeledbyCj,sincethecontributionsoftheslackvariablessj
andsj0 togethersumtoatmost3.IfS0includesaithathasa1inCj'sposition,
thentheliteralxiappearsinclauseCj.SincewehavesetxiD1wheni2S0,
clauseCjissatisfied.IfS0includesa0 ithathasa1inthatposition,thenthe
literal:xiappearsinCj.SincewehavesetxiD0when0 i2S0,clauseCjis
againsatisfied.Thus,allclausesofaresatisfied,whichcompletestheproof.
Exercises
34.51
ThesubgraphisomorphismproblemtakestwoundirectedgraphsG1andG2,and
itaskswhetherG1isisomorphictoasubgraphofG2.Showthatthesubgraph
isomorphismproblemisNPcomplete.
34.52
Givenanintegerm nmatrixAandanintegermvectorb,the01integer
programmingproblemaskswhetherthereexistsanintegernvectorxwithele
Pgina222
mentsinthesetf01gsuchthatAxb.Provethat01integerprogrammingis
NPcomplete.(Hint:Reducefrom3CNFSAT.)
34.53
Theintegerlinearprogrammingproblemislikethe01integerprogramming
problemgiveninExercise34.52,exceptthatthevaluesofthevectorxmaybe
anyintegersratherthanjust0or1.Assumingthatthe01integerprogramming
problemisNPhard,showthattheintegerlinearprogrammingproblemisNP
complete.
34.54
Showhowtosolvethesubsetsumprobleminpolynomialtimeifthetargetvaluet
isexpressedinunary.
34.55
ThesetpartitionproblemtakesasinputasetSofnumbers.Thequestionis
whetherthenumberscanbepartitionedintotwosetsAandADS
PAG PAG Asuch
ese
x2AxD x2Ax.ShowthatthesetpartitionproblemisNPcomplete.
34.56
ShowthatthehamiltonianpathproblemisNPcomplete.
34.57
Thelongestsimplecycleproblemistheproblemofdeterminingasimplecycle
(norepeatedvertices)ofmaximumlengthinagraph.Formulatearelateddecision
problem,andshowthatthedecisionproblemisNPcomplete.
34.58
Inthehalf3CNFsatisfiabilityproblem,wearegivena3CNFformulawithn
variablesandmclauses,wheremiseven.Wewishtodeterminewhetherthere
existsatruthassignmenttothevariablesof suchthatexactlyhalftheclauses
evaluateto0andexactlyhalftheclausesevaluateto1.Provethatthehalf3CNF
satisfiabilityproblemisNPcomplete.
Problemas
341Independentset
AnindependentsetofagraphGD.VE/isasubsetV0Vofverticessuch
thateachedgeinEisincidentonatmostonevertexinV0.Theindependentset
problemistofindamaximumsizeindependentsetinG.
Pgina223
a.Formulatearelateddecisionproblemfortheindependentsetproblem,and
provethatitisNPcomplete.(Hint:Reducefromthecliqueproblem.)
segundo.Supposethatyouaregivenablackboxsubroutinetosolvethedecisionprob
lemyoudefinedinpart(a).Giveanalgorithmtofindanindependentsetofmax
imumsize.TherunningtimeofyouralgorithmshouldbepolynomialinjVj
andjEj,countingqueriestotheblackboxasasinglestep.
AlthoughtheindependentsetdecisionproblemisNPcomplete,certainspecial
casesarepolynomialtimesolvable.
do.Giveanefficientalgorithmtosolvetheindependentsetproblemwheneachver
texinGhasdegree2.Analyzetherunningtime,andprovethatyouralgorithm
workscorrectly.
re.GiveanefficientalgorithmtosolvetheindependentsetproblemwhenGis
bipartite.Analyzetherunningtime,andprovethatyouralgorithmworkscor
Directamente.(Hint:UsetheresultsofSection26.3.)
342BonnieandClyde
BonnieandClydehavejustrobbedabank.Theyhaveabagofmoneyandwant
todivideitup.Foreachofthefollowingscenarios,eithergiveapolynomialtime
algorithm,orprovethattheproblemisNPcomplete.Theinputineachcaseisa
listofthenitemsinthebag,alongwiththevalueofeach.
a.Thebagcontainsncoins,butonly2differentdenominations:somecoinsare
worthxdollars,andsomeareworthydollars.BonnieandClydewishtodivide
themoneyexactlyevenly.
segundo.Thebagcontainsncoins,withanarbitrarynumberofdifferentdenominations,
buteachdenominationisanonnegativeintegerpowerof2,ie,thepossible
denominationsare1dollar,2dollars,4dollars,etc.BonnieandClydewishto
dividethemoneyexactlyevenly.
do.Thebagcontainsnchecks,whichare,inanamazingcoincidence,madeoutto
BonnieorClyde.Theywishtodividethecheckssothattheyeachgetthe
exactsameamountofmoney.
re.Thebagcontainsnchecksasinpart(c),butthistimeBonnieandClydeare
willingtoacceptasplitinwhichthedifferenceisnolargerthan100dollars.
Page224
343Graphcoloring
Mapmakerstrytouseasfewcolorsaspossiblewhencoloringcountriesonamap,
aslongasnotwocountriesthatshareaborderhavethesamecolor.Wecanmodel
thisproblemwithanundirectedgraphGD.VE/inwhicheachvertexrepre
sentsacountryandverticeswhoserespectivecountriesshareaborderareadjacent.
Then,akcoloringisafunctioncWV!f12:::kgsuchthatcu/c./for
everyedge.u/2E.Inotherwords,thenumbers12:::krepresentthekcol
ors,andadjacentverticesmusthavedifferentcolors.Thegraphcoloringproblem
istodeterminetheminimumnumberofcolorsneededtocoloragivengraph.
a.Giveanefficientalgorithmtodeterminea2coloringofagraph,ifoneexists.
segundo.Castthegraphcoloringproblemasadecisionproblem.Showthatyourdeci
sionproblemissolvableinpolynomialtimeifandonlyifthegraphcoloring
problemissolvableinpolynomialtime.
do.Letthelanguage3COLORbethesetofgraphsthatcanbe3colored.Mostrar
thatif3COLORisNPcomplete,thenyourdecisionproblemfrompart(b)is
NPcomplete.
Toprovethat3COLORisNPcomplete,weuseareductionfrom3CNFSAT.
Givenaformulaofmclausesonnvariablesx1,x2,...,xn,weconstructagraph
GD.VE/asfollows.ThesetVconsistsofavertexforeachvariable,avertex
forthenegationofeachvariable,5verticesforeachclause,and3specialvertices:
TRUE, FALSE,andRED.Theedgesofthegraphareoftwotypes:literaledges
thatareindependentoftheclausesandclauseedgesthatdependontheclauses.
Theliteraledgesformatriangleonthespecialverticesandalsoformatriangleon
xi,:xi,andREDforiD12:::norte.
re.Arguethatinany3coloringcofagraphcontainingtheliteraledges,exactly
oneofavariableanditsnegationiscoloredc.TRUE/andtheotheriscolored
do.FALSE/.Arguethatforanytruthassignmentfor,thereexistsa3coloring
ofthegraphcontainingjusttheliteraledges.
ThewidgetshowninFigure34.20helpstoenforcetheconditioncorrespondingto
aclause.x_y_/.Eachclauserequiresauniquecopyofthe5verticesthatare
heavilyshadedinthefiguretheyconnectasshowntotheliteralsoftheclauseand
thespecialvertexTRUE.
mi.Arguethatifeachofx,y,andiscoloredc.TRUE/orc.FALSE/,thenthe
widgetis3colorableifandonlyifatleastoneofx,y,oriscoloredc.TRUE/.
f.Completetheproofthat3COLORisNPcomplete.
Pgina225
Y
CIERTO
Figure34.20Thewidgetcorrespondingtoaclause.x_y_/,usedinProblem343.
344Schedulingwithprofitsanddeadlines
Supposethatwehaveonemachineandasetofntasksa1a2:::an,eachof
whichrequirestimeonthemachine.Eachtaskajrequirestjtimeunitsonthe
machine(itsprocessingtime),yieldsaprofitofpj,andhasadeadlinedj.El
machinecanprocessonlyonetaskatatime,andtaskajmustrunwithoutinter
ruptionfortjconsecutivetimeunits.Ifwecompletetaskajbyitsdeadlinedj,we
receiveaprofitpj,butifwecompleteitafteritsdeadline,wereceivenoprofit.Como
anoptimizationproblem,wearegiventheprocessingtimes,profits,anddeadlines
forasetofntasks,andwewishtofindaschedulethatcompletesallthetasksand
returnsthegreatestamountofprofit.Theprocessingtimes,profits,anddeadlines
areallnonnegativenumbers.
a.Statethisproblemasadecisionproblem.
segundo.ShowthatthedecisionproblemisNPcomplete.
do.Giveapolynomialtimealgorithmforthedecisionproblem,assumingthatall
processingtimesareintegersfrom1ton.(Hint:Usedynamicprogramming.)
re.Giveapolynomialtimealgorithmfortheoptimizationproblem,assumingthat
allprocessingtimesareintegersfrom1ton.
Chapternotes
ThebookbyGareyandJohnson[129]providesawonderfulguidetoNPcomplete
ness,discussingthetheoryatlengthandprovidingacatalogueofmanyproblems
thatwereknowntobeNPcompletein1979.TheproofofTheorem34.13is
adaptedfromtheirbook,andthelistofNPcompleteproblemdomainsatthebegin
ningofSection34.5isdrawnfromtheirtableofcontents.Johnsonwroteaseries
Pgina226
of23columnsintheJournalofAlgorithmsbetween1981and1992reportingnew
developmentsinNPcompleteness.Hopcroft,Motwani,andUllman[177],Lewis
andPapadimitriou[236],Papadimitriou[270],andSipser[317]havegoodtreat
mentsofNPcompletenessinthecontextofcomplexitytheory.NPcompleteness
andseveralreductionsalsoappearinbooksbyAho,Hopcroft,andUllman[5]
Dasgupta,Papadimitriou,andVazirani[82]JohnsonbaughandSchaefer[193]
andKleinbergandTardos[208].
TheclassPwasintroducedin1964byCobham[72]and,independently,in1965
byEdmonds[100],whoalsointroducedtheclassNPandconjecturedthatPNP.
ThenotionofNPcompletenesswasproposedin1971byCook[75],whogave
thefirstNPcompletenessproofsforformulasatisfiabilityand3CNFsatisfiabil
ity.Levin[234]independentlydiscoveredthenotion,givinganNPcompleteness
proofforatilingproblem.Karp[199]introducedthemethodologyofreductions
in1972anddemonstratedtherichvarietyofNPcompleteproblems.Karp'spa
perincludedtheoriginalNPcompletenessproofsoftheclique,vertexcover,and
hamiltoniancycleproblems.Sincethen,thousandsofproblemshavebeenproven
tobeNPcompletebymanyresearchers.InatalkatameetingcelebratingKarps
60thbirthdayin1995,Papadimitriouremarked,about6000paperseachyearhave
theterm'NPcomplete'ontheirtitle,abstract,orlistofkeywords.Thisismore
thaneachoftheterms'compiler,''database,''expert,''neuralnetwork,'or'oper
atingsystem.'"
Recentworkincomplexitytheoryhasshedlightonthecomplexityofcomputing
approximatesolutions.ThisworkgivesanewdefinitionofNPusingprobabilis
ticallycheckableproofs.Thisnewdefinitionimpliesthatforproblemssuchas
clique,vertexcover,thetravelingsalesmanproblemwiththetriangleinequality,
andmanyothers,computinggoodapproximatesolutionsisNPhardandhenceno
easierthancomputingoptimalsolutions.Anintroductiontothisareacanbefound
inArora'sthesis[20]achapterbyAroraandLundinHochbaum[172]asurvey
articlebyArora[21]abookeditedbyMayr,Prmel,andSteger[246]Yun
surveyarticlebyJohnson[191].
Pgina227
35 ApproximationAlgorithms
ManyproblemsofpracticalsignificanceareNPcomplete,yettheyaretooimpor
tanttoabandonmerelybecausewedon'tknowhowtofindanoptimalsolutionin
polynomialtime.EvenifaproblemisNPcomplete,theremaybehope.Wehaveat
leastthreewaystogetaroundNPcompleteness.First,iftheactualinputsaresmall,
analgorithmwithexponentialrunningtimemaybeperfectlysatisfactory.Second,
wemaybeabletoisolateimportantspecialcasesthatwecansolveinpolynomial
hora.Third,wemightcomeupwithapproachestofindnearoptimalsolutionsin
polynomialtime(eitherintheworstcaseortheexpectedcase).Inpractice,near
optimalityisoftengoodenough.Wecallanalgorithmthatreturnsnearoptimal
solutionsanapproximationalgorithm.Thischapterpresentspolynomialtimeap
proximationalgorithmsforseveralNPcompleteproblems.
Performanceratiosforapproximationalgorithms
Supposethatweareworkingonanoptimizationprobleminwhicheachpotential
solutionhasapositivecost,andwewishtofindanearoptimalsolution.Dependiente
ontheproblem,wemaydefineanoptimalsolutionasonewithmaximumpossi
blecostoronewithminimumpossiblecostthatis,theproblemmaybeeithera
maximizationoraminimizationproblem.
Wesaythatanalgorithmforaproblemhasanapproximationratioof.n/if,
foranyinputofsizen,thecostCofthesolutionproducedbythealgorithmis
withinafactorof.n/ofthecostCofanoptimalsolution:
UN UN
do do
Mximo .n/: (35.1)
do do
Ifanalgorithmachievesanapproximationratioof.n/,wecallita.n/approx
imationalgorithm.Thedefinitionsoftheapproximationratioandofa.n/
approximationalgorithmapplytobothminimizationandmaximizationproblems.
Foramaximizationproblem,0<CC,andtheratioC=Cgivesthefactor
bywhichthecostofanoptimalsolutionislargerthanthecostoftheapproximate
Pgina228
Chapter35ApproximationAlgorithms 1107
solucin.Similarly,foraminimizationproblem,0<CC,andtheratioC=C
givesthefactorbywhichthecostoftheapproximatesolutionislargerthanthe
costofanoptimalsolution.Becauseweassumethatallsolutionshavepositive
cost,theseratiosarealwayswelldefined.Theapproximationratioofanapprox
imationalgorithmisneverlessthan1,sinceC=C1impliesC=C 1.
Therefore,a1approximationalgorithm1producesanoptimalsolution,andanap
proximationalgorithmwithalargeapproximationratiomayreturnasolutionthat
ismuchworsethanoptimal.
Formanyproblems,wehavepolynomialtimeapproximationalgorithmswith
smallconstantapproximationratios,althoughforotherproblems,thebestknown
polynomialtimeapproximationalgorithmshaveapproximationratiosthatgrow
asfunctionsoftheinputsizen.Anexampleofsuchaproblemisthesetcover
problempresentedinSection35.3.
SomeNPcompleteproblemsallowpolynomialtimeapproximationalgorithms
thatcanachieveincreasinglybetterapproximationratiosbyusingmoreandmore
Tiempodecomputacin.Thatis,wecantradecomputationtimeforthequalityofthe
approximation.AnexampleisthesubsetsumproblemstudiedinSection35.5.
Thissituationisimportantenoughtodeserveanameofitsown.
Anapproximationschemeforanoptimizationproblemisanapproximational
gorithmthattakesasinputnotonlyaninstanceoftheproblem,butalsoavalue
>0suchthatforanyfixed,theschemeisa.1C/approximationalgorithm.
Wesaythatanapproximationschemeisapolynomialtimeapproximationscheme
ifforanyfixed>0,theschemerunsintimepolynomialinthesizenofitsinput
ejemplo.
Therunningtimeofapolynomialtimeapproximationschemecanincreasevery
rapidlyasdecreases.Forexample,therunningtimeofapolynomialtimeap
proximationschememightbeOn2= /.Ideally,ifdecreasesbyaconstantfactor,
therunningtimetoachievethedesiredapproximationshouldnotincreasebymore
thanaconstantfactor(thoughnotnecessarilythesameconstantfactorbywhich
decreased).
Wesaythatanapproximationschemeisafullypolynomialtimeapproximation
schemeifitisanapproximationschemeanditsrunningtimeispolynomialin
both1=andthesizenoftheinputinstance.Forexample,theschememighthave
arunningtimeofO..1=/2n3/.Withsuchascheme,anyconstantfactordecrease
incomeswithacorrespondingconstantfactorincreaseintherunningtime.
1Whentheapproximationratioisindependentofn,weusethetermsapproximationratioofand
approximationalgorithm,indicatingnodependenceonn.
Page229
1108 Chapter35ApproximationAlgorithms
Chapteroutline
Thefirstfoursectionsofthischapterpresentsomeexamplesofpolynomialtime
approximationalgorithmsforNPcompleteproblems,andthefifthsectionpresents
afullypolynomialtimeapproximationscheme.Section35.1beginswithastudy
ofthevertexcoverproblem,anNPcompleteminimizationproblemthathasan
approximationalgorithmwithanapproximationratioof2.Section35.2presents
anapproximationalgorithmwithanapproximationratioof2forthecaseofthe
travelingsalesmanprobleminwhichthecostfunctionsatisfiesthetrianglein
igualdad.Italsoshowsthatwithoutthetriangleinequality,foranyconstant 1,
aapproximationalgorithmcannotexistunlessPDNP.InSection35.3,we
showhowtouseagreedymethodasaneffectiveapproximationalgorithmforthe
setcoveringproblem,obtainingacoveringwhosecostisatworstalogarithmic
factorlargerthantheoptimalcost.Section35.4presentstwomoreapproximation
AlgoritmosFirstwestudytheoptimizationversionof3CNFsatisfiabilityand
giveasimplerandomizedalgorithmthatproducesasolutionwithanexpectedap
proximationratioof8=7.Thenweexamineaweightedvariantofthevertexcover
problemandshowhowtouselinearprogrammingtodevelopa2approximation
algoritmo.Finally,Section35.5presentsafullypolynomialtimeapproximation
schemeforthesubsetsumproblem.
35.1Thevertexcoverproblem
Section34.5.2definedthevertexcoverproblemandproveditNPcomplete.Recordar
thatavertexcoverofanundirectedgraphGD.VE/isasubsetV0Vsuch
thatif.u/isanedgeofG,theneitheru2V0or2V0(orboth).Thesizeofa
vertexcoveristhenumberofverticesinit.
Thevertexcoverproblemistofindavertexcoverofminimumsizeinagiven
undirectedgraph.Wecallsuchavertexcoveranoptimalvertexcover.Thisprob
lemistheoptimizationversionofanNPcompletedecisionproblem.
Eventhoughwedon'tknowhowtofindanoptimalvertexcoverinagraphG
inpolynomialtime,wecanefficientlyfindavertexcoverthatisnearoptimal.
ThefollowingapproximationalgorithmtakesasinputanundirectedgraphGand
returnsavertexcoverwhosesizeisguaranteedtobenomorethantwicethesize
ofanoptimalvertexcover.
Pgina230
35.1Thevertexcoverproblem 1109
segundo do re segundo do re
un mi F gramo un mi F gramo
(un) (segundo)
(do) (re)
(mi) (f)
Figure35.1TheoperationofAPPROXVERTEXCOVER.(a)TheinputgraphG,whichhas7
verticesand8edges.(b)Theedge.bc/,shownheavy,isthefirstedgechosenbyAPPROXVERTEX
COVER.Verticesbandc,shownlightlyshaded,areaddedtothesetCcontainingthevertexcover
beingcreated.Edges.ab/,.ce/,and.cd/,showndashed,areremovedsincetheyarenowcovered
bysomevertexinC.(c)Edge.ef/ischosenverticeseandfareaddedtoC.(d)Edge.dg/
ischosenverticesdandgareaddedtoC.(e)ThesetC,whichisthevertexcoverproducedby
APPROXVERTEXCOVER,containsthesixverticesbcdefg.(f)Theoptimalvertexcoverfor
thisproblemcontainsonlythreevertices:b,d,ande.
APPROXVERTEXCOVER.G/
1CD
2E0DG:E
3whileE0
4 let.u/beanarbitraryedgeofE0
5 CDC[fugramo
6 removefromE0everyedgeincidentoneitheruor
7returnC
Figure35.1illustrateshowAPPROXVERTEXCOVERoperatesonanexample
grafico.ThevariableCcontainsthevertexcoverbeingconstructed.Line1ini
tializesCtotheemptyset.Line2setsE0tobeacopyoftheedgesetG:Eof
thegraph.Theloopoflines36repeatedlypicksanedge.u/fromE0,addsits
Pgina231
endpointsuandtoC,anddeletesalledgesinE0thatarecoveredbyeitheru
or.Finally,line7returnsthevertexcoverC.Therunningtimeofthisalgorithm
isOVCE/,usingadjacencyliststorepresentE0.
Theorem35.1
APPROXVERTEXCOVERisapolynomialtime2approximationalgorithm.
ProofWehavealreadyshownthatAPPROXVERTEXCOVERrunsinpolyno
mialtime.
ThesetCofverticesthatisreturnedbyAPPROXVERTEXCOVERisavertex
cover,sincethealgorithmloopsuntileveryedgeinG:Ehasbeencoveredbysome
vertexinC.
ToseethatAPPROXVERTEXCOVERreturnsavertexcoverthatisatmosttwice
thesizeofanoptimalcover,letAdenotethesetofedgesthatline4ofAPPROX
VERTEXCOVERpicked.InordertocovertheedgesinA,anyvertexcoverin
particular,anoptimalcoverCmustincludeatleastoneendpointofeachedge
inA.NotwoedgesinAshareanendpoint,sinceonceanedgeispickedinline4,
allotheredgesthatareincidentonitsendpointsaredeletedfromE0inline6.Thus,
notwoedgesinAarecoveredbythesamevertexfromC,andwehavethelower
bound
jCjjAj (35.2)
onthesizeofanoptimalvertexcover.Eachexecutionofline4picksanedgefor
whichneitherofitsendpointsisalreadyinC,yieldinganupperbound(anexact
upperbound,infact)onthesizeofthevertexcoverreturned:
jCjD2jAj: (35.3)
Combiningequations(35.2)and(35.3),weobtain
jCjD2jAj
2jCj
therebyprovingthetheorem.
Letusreflectonthisproof.Atfirst,youmightwonderhowwecanpossibly
provethatthesizeofthevertexcoverreturnedbyAPPROXVERTEXCOVERisat
mosttwicethesizeofanoptimalvertexcover,whenwedonotevenknowthesize
ofanoptimalvertexcover.Insteadofrequiringthatweknowtheexactsizeofan
optimalvertexcover,werelyonalowerboundonthesize.AsExercise35.12asks
youtoshow,thesetAofedgesthatline4ofAPPROXVERTEXCOVERselectsis
actuallyamaximalmatchinginthegraphG.(Amaximalmatchingisamatching
thatisnotapropersubsetofanyothermatching.)Thesizeofamaximalmatching
Pgina232
35.2Thetravelingsalesmanproblem 1111
is,aswearguedintheproofofTheorem35.1,alowerboundonthesizeofan
optimalvertexcover.Thealgorithmreturnsavertexcoverwhosesizeisatmost
twicethesizeofthemaximalmatchingA.Byrelatingthesizeofthesolution
returnedtothelowerbound,weobtainourapproximationratio.Wewillusethis
methodologyinlatersectionsaswell.
Exercises
35.11
GiveanexampleofagraphforwhichAPPROXVERTEXCOVERalwaysyieldsa
suboptimalsolution.
35.12
Provethatthesetofedgespickedinline4ofAPPROXVERTEXCOVERformsa
maximalmatchinginthegraphG.
35.13?
ProfessorBndchenproposesthefollowingheuristictosolvethevertexcover
problema.Repeatedlyselectavertexofhighestdegree,andremoveallofitsin
cidentedges.Giveanexampletoshowthattheprofessor'sheuristicdoesnothave
anapproximationratioof2.(Hint:Tryabipartitegraphwithverticesofuniform
degreeontheleftandverticesofvaryingdegreeontheright.)
35.14
Giveanefficientgreedyalgorithmthatfindsanoptimalvertexcoverforatreein
lineartime.
35.15
FromtheproofofTheorem34.12,weknowthatthevertexcoverproblemandthe
NPcompletecliqueproblemarecomplementaryinthesensethatanoptimalvertex
coveristhecomplementofamaximumsizecliqueinthecomplementgraph.Hace
thisrelationshipimplythatthereisapolynomialtimeapproximationalgorithm
withaconstantapproximationratioforthecliqueproblem?Justificaturespuesta.
35.2Thetravelingsalesmanproblem
InthetravelingsalesmanproblemintroducedinSection34.5.4,wearegivena
completeundirectedgraphGD.VE/thathasanonnegativeintegercostcu/
associatedwitheachedge.u/2E,andwemustfindahamiltoniancycle(a
tour)ofGwithminimumcost.Asanextensionofournotation,letcA/denote
thetotalcostoftheedgesinthesubsetAE:
Pgina233
x
cA/D cu/:
.u/2A
Inmanypracticalsituations,theleastcostlywaytogofromaplaceutoaplacew
istogodirectly,withnointermediatesteps.Putanotherway,cuttingoutaninter
mediatestopneverincreasesthecost.Weformalizethisnotionbysayingthatthe
costfunctioncsatisfiesthetriangleinequalityif,forallverticesuw2V,
cuw/cu/Cc.w/:
Thetriangleinequalityseemsasthoughitshouldnaturallyhold,anditisau
tomaticallysatisfiedinseveralapplications.Forexample,iftheverticesofthe
grapharepointsintheplaneandthecostoftravelingbetweentwoverticesisthe
ordinaryeuclideandistancebetweenthem,thenthetriangleinequalityissatisfied.
Furthermore,manycostfunctionsotherthaneuclideandistancesatisfythetriangle
desigualdad.
AsExercise35.22shows,thetravelingsalesmanproblemisNPcompleteeven
ifwerequirethatthecostfunctionsatisfythetriangleinequality.Thus,weshould
notexpecttofindapolynomialtimealgorithmforsolvingthisproblemexactly.
Instead,welookforgoodapproximationalgorithms.
InSection35.2.1,weexaminea2approximationalgorithmforthetraveling
salesmanproblemwiththetriangleinequality.InSection35.2.2,weshowthat
withoutthetriangleinequality,apolynomialtimeapproximationalgorithmwitha
constantapproximationratiodoesnotexistunlessPDNP.
35.2.1Thetravelingsalesmanproblemwiththetriangleinequality
Applyingthemethodologyoftheprevioussection,weshallfirstcomputeastruc
tureaminimumspanningtreewhoseweightgivesalowerboundonthelength
ofanoptimaltravelingsalesmantour.Weshallthenusetheminimumspanning
treetocreateatourwhosecostisnomorethantwicethatoftheminimumspanning
tree'sweight,aslongasthecostfunctionsatisfiesthetriangleinequality.Thefol
lowingalgorithmimplementsthisapproach,callingtheminimumspanningtree
algorithmMSTPRIMfromSection23.2asasubroutine.TheparameterGisa
completeundirectedgraph,andthecostfunctioncsatisfiesthetriangleinequality.
APPROXTSPTOUR.Gc/
1selectavertexr2G:Vtobearootvertex
2computeaminimumspanningtreeTforGfromrootr
usingMSTPRIM.Gcr/
3letHbealistofvertices,orderedaccordingtowhentheyarefirstvisited
inapreordertreewalkofT
4returnthehamiltoniancycleH
Pgina234
un re un re un re
mi mi mi
segundo F gramo segundo F gramo segundo F gramo
do do do
marido marido marido
(un) (segundo) (do)
un re un re
mi mi
segundo F gramo segundo F gramo
do do
marido marido
(re) (mi)
Figure35.2TheoperationofAPPROXTSPTOUR.(a)Acompleteundirectedgraph.Verticeslie
onintersectionsofintegergridlines.Forexample,fisoneunittotherightandtwounitsupfromh.
Thecostfunctionbetweentwopointsistheordinaryeuclideandistance.(b)Aminimumspanning
treeTofthecompletegraph,ascomputedbyMSTPRIM.Vertexaistherootvertex.Onlyedges
intheminimumspanningtreeareshown.Theverticeshappentobelabeledinsuchawaythatthey
areaddedtothemaintreebyMSTPRIMinalphabeticalorder.(c)AwalkofT,startingata.UN
fullwalkofthetreevisitstheverticesintheorderasegundocsegundomaridosegundoadmifmi
walkofTlistsavertexjustwhenitisfirstencountered,asindicatedbythedotnexttoeachvertex,
gramomida.Apreorder
yieldingtheorderingasegundocmaridodmifgramo.(d)Atourobtainedbyvisitingtheverticesinthe
givenbythepreorderwalk,whichisthetourHreturnedbyA
order PPROXTSPTOUR.Itstotalcost
isapproximately19:074.(e)AnoptimaltourHfortheoriginalcompletegraph.Itstotalcostis
approximately14:715.
RecallfromSection12.1thatapreordertreewalkrecursivelyvisitseveryvertex
inthetree,listingavertexwhenitisfirstencountered,beforevisitinganyofits
nios.
Figure35.2illustratestheoperationofAPPROXTSPTOUR.Part(a)ofthefig
ureshowsacompleteundirectedgraph,andpart(b)showstheminimumspanning
treeTgrownfromrootvertexabyMSTPRIM.Part(c)showshowapreorder
walkofTvisitsthevertices,andpart(d)displaysthecorrespondingtour,whichis
thetourreturnedbyAPPROXTSPTOUR.Part(e)displaysanoptimaltour,which
isabout23%shorter.
Pgina235
ByExercise23.22,evenwithasimpleimplementationofMSTPRIM,therun
ningtimeofAPPROXTSPTOURis.V2/.Wenowshowthatifthecostfunction
foraninstanceofthetravelingsalesmanproblemsatisfiesthetriangleinequality,
thenAPPROXTSPTOURreturnsatourwhosecostisnotmorethantwicethecost
ofanoptimaltour.
Theorem35.2
APPROXTSPTOURisapolynomialtime2approximationalgorithmforthe
travelingsalesmanproblemwiththetriangleinequality.
ProofWehavealreadyseenthatAPPROXTSPTOURrunsinpolynomialtime.
LetHdenoteanoptimaltourforthegivensetofvertices.Weobtainaspanning
treebydeletinganyedgefromatour,andeachedgecostisnonnegative.Porlotanto,
theweightoftheminimumspanningtreeTcomputedinline2ofAPPROXTSP
TOURprovidesalowerboundonthecostofanoptimaltour:
cT/cH/: (35.4)
AfullwalkofTliststheverticeswhentheyarefirstvisitedandalsowhenever
theyarereturnedtoafteravisittoasubtree.LetuscallthisfullwalkW.Thefull
walkofourexamplegivestheorder
asegundocsegundomaridosegundoadmifmigramomida:
SincethefullwalktraverseseveryedgeofTexactlytwice,wehave(extending
ourdefinitionofthecostcinthenaturalmannertohandlemultisetsofedges)
cW/D2c.T/: (35,5)
Inequality(35.4)andequation(35.5)implythat
cW/2c.H/ (35.6)
andsothecostofWiswithinafactorof2ofthecostofanoptimaltour.
Unfortunately,thefullwalkWisgenerallynotatour,sinceitvisitssomever
ticesmorethanonce.Bythetriangleinequality,however,wecandeleteavisitto
anyvertexfromWandthecostdoesnotincrease.(IfwedeleteavertexfromW
betweenvisitstouandw,theresultingorderingspecifiesgoingdirectlyfromu
tow.)Byrepeatedlyapplyingthisoperation,wecanremovefromWallbutthe
firstvisittoeachvertex.Inourexample,thisleavestheordering
asegundocmaridodmifg:
ThisorderingisthesameasthatobtainedbyapreorderwalkofthetreeT.LetH
bethecyclecorrespondingtothispreorderwalk.Itisahamiltoniancycle,sinceev
Pgina236
eryvertexisvisitedexactlyonce,andinfactitisthecyclecomputedbyAPPROX
TSPTOUR.SinceHisobtainedbydeletingverticesfromthefullwalkW,we
tener
cH/cW/: (35.7)
Combininginequalities(35.6)and(35.7)givescH/2c.H/,whichcompletes
theproof.
InspiteoftheniceapproximationratioprovidedbyTheorem35.2,APPROX
TSPTOURisusuallynotthebestpracticalchoiceforthisproblem.Thereareother
approximationalgorithmsthattypicallyperformmuchbetterinpractice.(Seethe
referencesattheendofthischapter.)
35.2.2Thegeneraltravelingsalesmanproblem
Ifwedroptheassumptionthatthecostfunctioncsatisfiesthetriangleinequality,
thenwecannotfindgoodapproximatetoursinpolynomialtimeunlessPDNP.
Theorem35.3
IfPNP,thenforanyconstant 1,thereisnopolynomialtimeapproximation
algorithmwithapproximationratioforthegeneraltravelingsalesmanproblem.
ProofTheproofisbycontradiction.Supposetothecontrarythatforsomenum
Ber 1,thereisapolynomialtimeapproximationalgorithmAwithapprox
imationratio.Withoutlossofgenerality,weassumethat isaninteger,by
roundingitupifnecessary.WeshallthenshowhowtouseAtosolveinstances
ofthehamiltoniancycleproblem(definedinSection34.2)inpolynomialtime.
SinceTheorem34.13tellsusthatthehamiltoniancycleproblemisNPcomplete,
Theorem34.4impliesthatifwecansolveitinpolynomialtime,thenPDNP.
LetGD.VE/beaninstanceofthehamiltoniancycleproblem.Deseamos
determineefficientlywhetherGcontainsahamiltoniancyclebymakinguseof
thehypothesizedapproximationalgorithmA.WeturnGintoaninstanceofthe
travelingsalesmanproblemasfollows.LetG0D.VE0/bethecompletegraph
onVesdecir,
E0Dfu/Wu2Vandug:
AssignanintegercosttoeachedgeinE
( 0asfollows:
1 if.u/2E
cu/D
jVjC1otherwise:
WecancreaterepresentationsofG0andcfromarepresentationofGintimepoly
nomialinjVjandjEj.
Pgina237
Now,considerthetravelingsalesmanproblem.G0c/.IftheoriginalgraphG
hasahamiltoniancycleH,thenthecostfunctioncassignstoeachedgeofHa
costof1,andso.G0c/containsatourofcostjVj.Ontheotherhand,ifGdoes
notcontainahamiltoniancycle,thenanytourofG0mustusesomeedgenotinE.
ButanytourthatusesanedgenotinEhasacostofatleast
.jVjC1/C.jVj1/D jVjCjVj
>jVj:
BecauseedgesnotinGaresocostly,thereisagapofatleastjVjbetweenthecost
ofatourthatisahamiltoniancycleinG(costjVj)andthecostofanyothertour
(costatleastjVjCjVj).Therefore,thecostofatourthatisnotahamiltonian
cycleinGisatleastafactorofC1greaterthanthecostofatourthatisa
hamiltoniancycleinG.
Now,supposethatweapplytheapproximationalgorithmAtothetraveling
salesmanproblem.G0c/.BecauseAisguaranteedtoreturnatourofcostno
morethantimesthecostofanoptimaltour,ifGcontainsahamiltoniancycle,
thenAmustreturnit.IfGhasnohamiltoniancycle,thenAreturnsatourofcost
morethanjVj.Therefore,wecanuseAtosolvethehamiltoniancycleproblem
inpolynomialtime.
TheproofofTheorem35.3servesasanexampleofageneraltechniquefor
provingthatwecannotapproximateaproblemverywell.Supposethatgivenan
NPhardproblemX,wecanproduceinpolynomialtimeaminimizationprob
lemYsuchthatyesinstancesofXcorrespondtoinstancesofYwithvalueat
mostk(forsomek),butthatnoinstancesofXcorrespondtoinstancesofY
withvaluegreaterthank.Then,wehaveshownthat,unlessPDNP,thereisno
polynomialtimeapproximationalgorithmforproblemY.
Exercises
35.21
SupposethatacompleteundirectedgraphGD.VE/withatleast3verticeshas
acostfunctioncthatsatisfiesthetriangleinequality.Provethatcu/ 0forall
u2V.
35.22
Showhowinpolynomialtimewecantransformoneinstanceofthetraveling
salesmanproblemintoanotherinstancewhosecostfunctionsatisfiesthetriangle
desigualdad.Thetwoinstancesmusthavethesamesetofoptimaltours.Explique
whysuchapolynomialtimetransformationdoesnotcontradictTheorem35.3,as
sumingthatPNP.
Pgina238
35.3Thesetcoveringproblem 1117
35.23
Considerthefollowingclosestpointheuristicforbuildinganapproximatetrav
elingsalesmantourwhosecostfunctionsatisfiesthetriangleinequality.Empezar
withatrivialcycleconsistingofasinglearbitrarilychosenvertex.Ateachstep,
identifythevertexuthatisnotonthecyclebutwhosedistancetoanyvertexonthe
cycleisminimum.Supposethatthevertexonthecyclethatisnearestuisvertex.
Extendthecycletoincludeubyinsertingujustafter.Repeatuntilallvertices
areonthecycle.Provethatthisheuristicreturnsatourwhosetotalcostisnotmore
thantwicethecostofanoptimaltour.
35.24
Inthebottlenecktravelingsalesmanproblem,wewishtofindthehamiltoniancy
clethatminimizesthecostofthemostcostlyedgeinthecycle.Suponiendoqueel
costfunctionsatisfiesthetriangleinequality,showthatthereexistsapolynomial
timeapproximationalgorithmwithapproximationratio3forthisproblem.(Hint:
Showrecursivelythatwecanvisitallthenodesinabottleneckspanningtree,as
discussedinProblem233,exactlyoncebytakingafullwalkofthetreeandskip
pingnodes,butwithoutskippingmorethantwoconsecutiveintermediatenodes.
Showthatthecostliestedgeinabottleneckspanningtreehasacostthatisatmost
thecostofthecostliestedgeinabottleneckhamiltoniancycle.)
35.25
Supposethattheverticesforaninstanceofthetravelingsalesmanproblemare
pointsintheplaneandthatthecostcu/istheeuclideandistancebetween
pointsuand.Showthatanoptimaltournevercrossesitself.
35.3Thesetcoveringproblem
Thesetcoveringproblemisanoptimizationproblemthatmodelsmanyproblems
thatrequireresourcestobeallocated.Itscorrespondingdecisionproblemgeneral
izestheNPcompletevertexcoverproblemandisthereforealsoNPhard.Theap
proximationalgorithmdevelopedtohandlethevertexcoverproblemdoesn'tapply
here,however,andsoweneedtotryotherapproaches.Weshallexamineasimple
greedyheuristicwithalogarithmicapproximationratio.Thatis,asthesizeofthe
instancegetslarger,thesizeoftheapproximatesolutionmaygrow,relativetothe
sizeofanoptimalsolution.Becausethelogarithmfunctiongrowsratherslowly,
however,thisapproximationalgorithmmaynonethelessgiveusefulresults.
Pgina239
S1
S2
S6
S3 S4 S5
Figure35.3Aninstance.XF/ofthesetcoveringproblem,whereXconsistsofthe12black
pointsandFDfS1S2S3S4S5S6g.AminimumsizesetcoverisCDfS3S4S5g,with
size3.Thegreedyalgorithmproducesacoverofsize4byselectingeitherthesetsS1,S4,S5,
andS3orthesetsS1,S4,S5,andS6,inorder.
Aninstance.XF/ofthesetcoveringproblemconsistsofafinitesetXand
afamilyFofsubsetsofX,suchthateveryelementofXbelongstoatleastone
subsetinF:
[
XD S:
S2F
WesaythatasubsetS2Fcoversitselements.Theproblemistofindaminimum
sizesubsetCFwhosememberscoverallofX:
[
XD S: (35.8)
S2C
WesaythatanyCsatisfyingequation(35.8)coversX.Figure35.3illustratesthe
setcoveringproblem.ThesizeofCisthenumberofsetsitcontains,ratherthan
thenumberofindividualelementsinthesesets,sinceeverysubsetCthatcoversX
mustcontainalljXjindividualelements.InFigure35.3,theminimumsetcover
hassize3.
Thesetcoveringproblemabstractsmanycommonlyarisingcombinatorialprob
ProblemasAsasimpleexample,supposethatXrepresentsasetofskillsthatareneeded
tosolveaproblemandthatwehaveagivensetofpeopleavailabletoworkonthe
problema.Wewishtoformacommittee,containingasfewpeopleaspossible,
suchthatforeveryrequisiteskillinX,atleastonememberofthecommitteehas
thatskill.Inthedecisionversionofthesetcoveringproblem,weaskwhethera
coveringexistswithsizeatmostk,wherekisanadditionalparameterspecified
intheprobleminstance.ThedecisionversionoftheproblemisNPcomplete,as
Exercise35.32asksyoutoshow.
Pgina240
35.3Thesetcoveringproblem 1119.
Agreedyapproximationalgorithm
Thegreedymethodworksbypicking,ateachstage,thesetSthatcoversthegreat
estnumberofremainingelementsthatareuncovered.
GREEDYSETCOVER.XF/
1UDX
2CD
3whileU
4 selectanS2FthatmaximizesjS\Uj
5 UDU S
6 CDC[fSg
7returnC
IntheexampleofFigure35.3,GREEDYSETCOVERaddstoC,inorder,thesets
S1,S4,andS5,followedbyeitherS3orS6.
Thealgorithmworksasfollows.ThesetUcontains,ateachstage,thesetof
remaininguncoveredelements.ThesetCcontainsthecoverbeingconstructed.
Line4isthegreedydecisionmakingstep,choosingasubsetSthatcoversasmany
uncoveredelementsaspossible(breakingtiesarbitrarily).AfterSisselected,
line5removesitselementsfromU,andline6placesSintoC.Whenthealgorithm
terminates,thesetCcontainsasubfamilyofFthatcoversX.
WecaneasilyimplementGREEDYSETCOVERtorunintimepolynomialinjXj
andjFj.Sincethenumberofiterationsofthelooponlines36isboundedfrom
abovebymin.jXjjFj/,andwecanimplementtheloopbodytorunintime
O.jXjjFj/,asimpleimplementationrunsintimeO.jXjjFjmin.jXjjFj//.Ex
ercise35.33asksforalineartimealgorithm.
Anlisis
Wenowshowthatthegreedyalgorithmreturnsasetcoverthatisnottoomuch
largerthananoptimalsetcover.Forconvenience,inthischapterwedenotethedth
Pd
harmonicnumberHdD
iD11=i(seeSectionA.1)byHd/.Asaboundary
condition,wedefineH.0/D0.
Theorem35.4
GREEDYSETCOVERisapolynomialtime.n/approximationalgorithm,where
.n/DH.maxfjSjWS2Fg/:
ProofWehavealreadyshownthatGREEDYSETCOVERrunsinpolynomial
hora.
Page241
ToshowthatGREEDYSETCOVERisa.n/approximationalgorithm,weas
signacostof1toeachsetselectedbythealgorithm,distributethiscostover
theelementscoveredforthefirsttime,andthenusethesecoststoderivethede
siredrelationshipbetweenthesizeofanoptimalsetcoverCandthesizeofthe
setcoverCreturnedbythealgorithm.LetSidenotetheithsubsetselectedby
GREEDYSETCOVERthealgorithmincursacostof1whenitaddsSitoC.We
spreadthiscostofselectingSievenlyamongtheelementscoveredforthefirsttime
bySi.Letcxdenotethecostallocatedtoelementx,foreachx2X.Eachelement
isassignedacostonlyonce,whenitiscoveredforthefirsttime.Ifxiscovered
forthefirsttimebySi,then
1
cxD :
jSi .S1[S2[[Si1/j
Eachstepofthealgorithmassigns1unitofcost,andso
x
jCjD cx: (35.9)
x2X
Eachelementx2XisinatleastonesetintheoptimalcoverC,andsowehave
x x x
cx cx: (35.10)
S2C x2S x2X
Combiningequation(35.9)andinequality(35.10),wehavethat
x x
jCj cx: (35.11)
S2C x2S
Theremainderoftheproofrestsonthefollowingkeyinequality,whichweshall
proveshortly.ForanysetSbelongingtothefamilyF,
x
cxH.jSj/: (35.12)
x2S
Frominequalities(35.11)and(35.12),itfollowsthat
x
jCj H.jSj/
S2C
jCjH.maxfjSjWS2Fg/
thusprovingthetheorem.
Allthatremainsistoproveinequality(35.12).ConsideranysetS2Fandany
iD12:::jCj,andlet
uiDjS.S1[S2[[Si/j
bethenumberofelementsinSthatremainuncoveredafterthealgorithmhas
selectedsetsS1S2:::Si.Wedefineu0DjSjtobethenumberofelements
Pgina242
35.3Thesetcoveringproblem 1121
ofS,whichareallinitiallyuncovered.LetkbetheleastindexsuchthatukD0,
sothateveryelementinSiscoveredbyatleastoneofthesetsS1S2:::Skand
someelementinSisuncoveredbyS1[S2[[Sk1.Then,ui1 ui,and
ui1 uielementsofSarecoveredforthefirsttimebySi,foriD12:::K
As,
x xK
1
cx re .ui1 ui/ :
jSi .S1[S2[[Si1/j
x2S ID1
Observaeso
jSi .S1[S2[[Si1/jjS.S1[S2[[Si1/j
Dui1
becausethegreedychoiceofSiguaranteesthatScannotcovermorenewele
mentsthanSidoes(otherwise,thealgorithmwouldhavechosenSinsteadofSi).
Consequently,weobtain
x xK
1
cx UN .ui1 ui/ :
ui1
x2S ID1
Wenowboundthisquantityasfollows:
x xK 1
cx UN .ui1 ui/
ui1
x2S ID1
x K u
x i1
1
re
ui1
ID1jDu C1 i
x K u x i1
1
UN (becausejui1)
J
ID1jDu C1 i
!
x K u x 1 xu 1
i1 i
re
J J
ID1 jD1 jD1
xK
re .Hui1/Hui//
ID1
DHu0/Huk/ (becausethesumtelescopes)
DHu0/H.0/
DHu0/ (becauseH.0/D0)
DH.jSj/
whichcompletestheproofofinequality(35.12).
Pgina243
Corollary35.5
GREEDYSETCOVERisapolynomialtime.lnjXjC1/approximationalgorithm.
ProofUseinequality(A.14)andTheorem35.4.
Insomeapplications,maxfjSjWS2Fgisasmallconstant,andsothesolution
returnedbyGREEDYSETCOVERisatmostasmallconstanttimeslargerthan
ptimoOnesuchapplicationoccurswhenthisheuristicfindsanapproximate
vertexcoverforagraphwhoseverticeshavedegreeatmost3.Inthiscase,the
solutionfoundbyGREEDYSETCOVERisnotmorethanH.3/D11=6timesas
largeasanoptimalsolution,aperformanceguaranteethatisslightlybetterthan
thatofAPPROXVERTEXCOVER.
Exercises
35.31
Considereachofthefollowingwordsasasetofletters:fariddashdrain
heardlostnoseshunslatesnarethreadg.Showwhichsetcover
GREEDYSETCOVERproduceswhenwebreaktiesinfavorofthewordthatap
pearsfirstinthedictionary.
35.32
ShowthatthedecisionversionofthesetcoveringproblemisNPcompleteby
reducingitfromthevertexcoverproblem.
35.33
ShowhowtoimplementG
PAG UN REEDYSETCOVERinsuchawaythatitrunsintime
O jSj .
S2F
35.34
ShowthatthefollowingweakerformofTheorem35.4istriviallytrue:
jCjjCjmaxfjSjWS2Fg:
35.35
GREEDYSETCOVERcanreturnanumberofdifferentsolutions,dependingon
howwebreaktiesinline4.GiveaprocedureBADSETCOVERINSTANCE.n/
thatreturnsannelementinstanceofthesetcoveringproblemforwhich,depend
ingonhowwebreaktiesinline4,GREEDYSETCOVERcanreturnanumberof
differentsolutionsthatisexponentialinn.
Pgina244
35.4Randomizationandlinearprogramming 1123
35.4Randomizationandlinearprogramming
Inthissection,westudytwousefultechniquesfordesigningapproximationalgo
rithms:randomizationandlinearprogramming.Weshallgiveasimplerandomized
algorithmforanoptimizationversionof3CNFsatisfiability,andthenweshalluse
linearprogrammingtohelpdesignanapproximationalgorithmforaweightedver
sionofthevertexcoverproblem.Thissectiononlyscratchesthesurfaceofthese
twopowerfultechniques.Thechapternotesgivereferencesforfurtherstudyof
theseareas.
ArandomizedapproximationalgorithmforMAX3CNFsatisfiability
Justassomerandomizedalgorithmscomputeexactsolutions,somerandomized
algorithmscomputeapproximatesolutions.Wesaythatarandomizedalgorithm
foraproblemhasanapproximationratioof.n/if,foranyinputofsizen,the
expectedcostCofthesolutionproducedbytherandomizedalgorithmiswithina
factorof.n/ofthecostCofanoptimalsolution:
UN UN
do do
Mximo .n/: (35.13)
do do
Wecallarandomizedalgorithmthatachievesanapproximationratioof.n/a
randomized.n/approximationalgorithm.Inotherwords,arandomizedap
proximationalgorithmislikeadeterministicapproximationalgorithm,exceptthat
theapproximationratioisforanexpectedcost.
Aparticularinstanceof3CNFsatisfiability,asdefinedinSection34.4,mayor
maynotbesatisfiable.Inordertobesatisfiable,theremustexistanassignmentof
thevariablessothateveryclauseevaluatesto1.Ifaninstanceisnotsatisfiable,we
maywanttocomputehowclosetosatisfiableitis,thatis,wemaywishtofindan
assignmentofthevariablesthatsatisfiesasmanyclausesaspossible.Wecallthe
resultingmaximizationproblemMAX3CNFsatisfiability.TheinputtoMAX3
CNFsatisfiabilityisthesameasfor3CNFsatisfiability,andthegoalistoreturn
anassignmentofthevariablesthatmaximizesthenumberofclausesevaluating
to1.Wenowshowthatrandomlysettingeachvariableto1withprobability1=2
andto0withprobability1=2yieldsarandomized8=7approximationalgorithm.
Accordingtothedefinitionof3CNFsatisfiabilityfromSection34.4,werequire
eachclausetoconsistofexactlythreedistinctliterals.Wefurtherassumethat
noclausecontainsbothavariableanditsnegation.(Exercise35.41asksyouto
removethislastassumption.)
Pgina245
Theorem35.6
GivenaninstanceofMAX3CNFsatisfiabilitywithnvariablesx1x2:::xn
andmclauses,therandomizedalgorithmthatindependentlysetseachvari
ableto1withprobability1=2andto0withprobability1=2isarandomized
8=7approximationalgorithm.
ProofSupposethatwehaveindependentlyseteachvariableto1withprobabil
ity1=2andto0withprobability1=2.ForiD12:::m,wedefinetheindicator
randomvariable
YiDIfclauseiissatisfiedg
sothatYiD1aslongaswehavesetatleastoneoftheliteralsintheithclause
to1.Sincenoliteralappearsmorethanonceinthesameclause,andsincewehave
assumedthatnovariableanditsnegationappearinthesameclause,thesettingsof
thethreeliteralsineachclauseareindependent.Aclauseisnotsatisfiedonlyifall
threeofitsliteralsaresetto0,andsoPrfclauseiisnotsatisfiedgD.1=2/3D1=8.
Thus,wehavePrfclauseiissatisfiedgD1 1=8D7=8,andbyLemma5.1,
wehaveEYiD7=8.LetYbethenumberofsatisfiedclausesoverall,sothat
YDY1CY2CCYm.Then,wehave
"m #
x
EYDE Yi
ID1
xmetro
re EYi (bylinearityofexpectation)
ID1
xmetro
re 7=8
ID1
D7m=8:
Clearly,misanupperboundonthenumberofsatisfiedclauses,andhencethe
approximationratioisatmostm=.7m=8/D8=7.
Approximatingweightedvertexcoverusinglinearprogramming
Intheminimumweightvertexcoverproblem,wearegivenanundirectedgraph
GD.VE/inwhicheachvertex2Vhasanassociatedpositiveweightw./.
ForanyvertexcoverV0V,wedefinetheweightofthevertexcoverwV0/D
PAG
2V w./.Thegoalistofindavertexcoverofminimumweight.
0
Wecannotapplythealgorithmusedforunweightedvertexcover,norcanweuse
arandomsolutionbothmethodsmayreturnsolutionsthatarefarfromoptimal.
Weshall,however,computealowerboundontheweightoftheminimumweight
Pgina246
vertexcover,byusingalinearprogram.Weshallthenroundthissolutionand
useittoobtainavertexcover.
Supposethatweassociateavariablex./witheachvertex 2V,andletus
requirethatx./equalseither0or1foreach2V.Weputintothevertexcover
ifandonlyifx./D1.Then,wecanwritetheconstraintthatforanyedge.u/,
atleastoneofuandmustbeinthevertexcoverasxu/Cx./ 1.Thisview
givesrisetothefollowing01integerprogramforfindingaminimumweight
vertexcover:
x
minimize w./x./ (35.14)
2V
sujetoa
xu/Cx./ 1 foreach.u/2E (35.15)
x./2f01gforeach2V: (35.16)
Inthespecialcaseinwhichalltheweightsw./areequalto1,thisformu
lationistheoptimizationversionoftheNPhardvertexcoverproblem.Sup
pose,however,thatweremovetheconstraintthatx./2f01gandreplaceit
by0x./1.Wethenobtainthefollowinglinearprogram,whichisknownas
thelinearprogrammingrelaxation:
x
minimize w./x./ (35.17)
2V
sujetoa
xu/Cx./ 1foreach.u/2E (35.18)
x./1foreach2V (35.19)
x./ 0foreach2V: (35.20)
Anyfeasiblesolutiontothe01integerprograminlines(35.14)(35.16)isalso
afeasiblesolutiontothelinearprograminlines(35.17)(35.20).Porlotanto,la
valueofanoptimalsolutiontothelinearprogramgivesalowerboundonthevalue
ofanoptimalsolutiontothe01integerprogram,andhencealowerboundonthe
optimalweightintheminimumweightvertexcoverproblem.
Thefollowingprocedureusesthesolutiontothelinearprogrammingrelaxation
toconstructanapproximatesolutiontotheminimumweightvertexcoverproblem:
Pgina247
APPROXMINWEIGHTVC.Gw/
1CD
2computeNx,anoptimalsolutiontothelinearprograminlines(35.17)(35.20)
3foreach2V
4 ifNx./ 1=2
5 CDC[fg
6returnC
TheAPPROXMINWEIGHTVCprocedureworksasfollows.Line1initial
izesthevertexcovertobeempty.Line2formulatesthelinearprogramin
lines(35.17)(35.20)andthensolvesthislinearprogram.Anoptimalsolution
giveseachvertexanassociatedvalueNx./,where0Nx./1.Weusethis
valuetoguidethechoiceofwhichverticestoaddtothevertexcoverCinlines35.
IfNx./ 1=2,weaddtoCotherwisewedonot.Ineffect,wearerounding
eachfractionalvariableinthesolutiontothelinearprogramto0or1inorderto
obtainasolutiontothe01integerprograminlines(35.14)(35.16).Finally,line6
returnsthevertexcoverC.
Theorem35.7
AlgorithmAPPROXMINWEIGHTVCisapolynomialtime2approximational
gorithmfortheminimumweightvertexcoverproblem.
ProofBecausethereisapolynomialtimealgorithmtosolvethelinearprogram
inline2,andbecausetheforloopoflines35runsinpolynomialtime,APPROX
MINWEIGHTVCisapolynomialtimealgorithm.
NowweshowthatAPPROXMINWEIGHTVCisa2approximationalgo
rithm.LetCbeanoptimalsolutiontotheminimumweightvertexcoverprob
lem,andletbethevalueofanoptimalsolutiontothelinearprogramin
lines(35.17)(35.20).Sinceanoptimalvertexcoverisafeasiblesolutiontothe
linearprogram,mustbealowerboundonwC/,thatis,
wC/: (35.21)
Next,weclaimthatbyroundingthefractionalvaluesofthevariablesNx./,we
produceasetCthatisavertexcoverandsatisfieswC/2.ToseethatCis
avertexcover,consideranyedge.u/2E.Byconstraint(35.18),weknowthat
xu/Cx./ 1,whichimpliesthatatleastoneofNx.u/andNx./isatleast1=2.
Therefore,atleastoneofuandisincludedinthevertexcover,andsoeveryedge
iscovered.
Now,weconsidertheweightofthecover.Tenemos
Pgina248
x
re w./Nx./
2Vx
w./Nx./
2VWNx./1=2
x 1
w./
2
2VWNx./1=2
x 1
re w./
2
2C
1x
re w./
2
2C
1
re wC/: (35.22)
2
Combininginequalities(35.21)and(35.22)gives
wC/22w.C/
andhenceAPPROXMINWEIGHTVCisa2approximationalgorithm.
Exercises
35.41
Showthatevenifweallowaclausetocontainbothavariableanditsnegation,ran
domlysettingeachvariableto1withprobability1=2andto0withprobability1=2
stillyieldsarandomized8=7approximationalgorithm.
35.42
TheMAXCNFsatisfiabilityproblemisliketheMAX3CNFsatisfiabilityprob
lem,exceptthatitdoesnotrestricteachclausetohaveexactly3literals.Givea
randomized2approximationalgorithmfortheMAXCNFsatisfiabilityproblem.
35.43
IntheMAXCUTproblem,wearegivenanunweightedundirectedgraphGD
.VE/.Wedefineacut.SV S/asinChapter23andtheweightofacutasthe
numberofedgescrossingthecut.Thegoalistofindacutofmaximumweight.
Supposethatforeachvertex,werandomlyandindependentlyplaceinSwith
probability1=2andinV Swithprobability1=2.Showthatthisalgorithmisa
randomized2approximationalgorithm.
Pgina249
35.44
Showthattheconstraintsinline(35.19)areredundantinthesensethatifwere
movethemfromthelinearprograminlines(35.17)(35.20),anyoptimalsolution
totheresultinglinearprogrammustsatisfyx./1foreach2V.
35.5Thesubsetsumproblem
RecallfromSection34.5.5thataninstanceofthesubsetsumproblemisa
pair.St/,whereSisasetfx1x2:::xngofpositiveintegersandtisaposi
tiveinteger.ThisdecisionproblemaskswhetherthereexistsasubsetofSthat
addsupexactlytothetargetvaluet.AswesawinSection34.5.5,thisproblemis
NPcomplete.
Theoptimizationproblemassociatedwiththisdecisionproblemarisesinprac
ticalapplications.Intheoptimizationproblem,wewishtofindasubsetof
fx1x2:::xngwhosesumisaslargeaspossiblebutnotlargerthant.Porejemplo,
ample,wemayhaveatruckthatcancarrynomorethantpounds,andndifferent
boxestoship,theithofwhichweighsxipounds.Wewishtofillthetruckwithas
heavyaloadaspossiblewithoutexceedingthegivenweightlimit.
Inthissection,wepresentanexponentialtimealgorithmthatcomputestheop
timalvalueforthisoptimizationproblem,andthenweshowhowtomodifythe
algorithmsothatitbecomesafullypolynomialtimeapproximationscheme.(Re
callthatafullypolynomialtimeapproximationschemehasarunningtimethatis
polynomialin1=aswellasinthesizeoftheinput.)
Anexponentialtimeexactalgorithm
Supposethatwecomputed,foreachsubsetS0ofS,thesumoftheelements
inS0,andthenweselected,amongthesubsetswhosesumdoesnotexceedt,
theonewhosesumwasclosesttot.Clearlythisalgorithmwouldreturntheop
timalsolution,butitcouldtakeexponentialtime.Toimplementthisalgorithm,
wecoulduseaniterativeprocedurethat,initerationi,computesthesumsof
allsubsetsoffx1x2:::xig,usingasastartingpointthesumsofallsubsets
offx1x2:::xi1g.Indoingso,wewouldrealizethatonceaparticularsubsetS0
hadasumexceedingt,therewouldbenoreasontomaintainit,sincenosuper
setofS0couldbetheoptimalsolution.Wenowgiveanimplementationofthis
estrategia.
TheprocedureEXACTSUBSETSUMtakesaninputsetSDfx1x2:::xng
andatargetvaluetwe'llseeitspseudocodeinamoment.Thisprocedureit
Pgina250
35.5Thesubsetsumproblem 1129
erativelycomputesLi,thelistofsumsofallsubsetsoffx1:::xigthatdonot
exceedt,andthenitreturnsthemaximumvalueinLn.
IfLisalistofpositiveintegersandxisanotherpositiveinteger,thenwelet
LCxdenotethelistofintegersderivedfromLbyincreasingeachelementofL
byx.Forexample,ifLDh12359i,thenLC2Dh345711i.Wealsouse
thisnotationforsets,sothat
SCxDfsCxWs2Sg:
WealsouseanauxiliaryprocedureMERGELISTS.LL0/,whichreturnsthe
sortedlistthatisthemergeofitstwosortedinputlistsLandL0withduplicate
valuesremoved.LiketheMERGEprocedureweusedinmergesort(Section2.3.1),
MERGELISTSrunsintimeO.jLjCjL0j/.WeomitthepseudocodeforMERGE
LISTS.
EXACTSUBSETSUM.St/
1nDjSj
2L0Dh0i
3foriD1ton
4 LiDMERGELISTS.Li1Li1Cxi/
5 removefromLieveryelementthatisgreaterthant
6returnthelargestelementinLn
ToseehowEXACTSUBSETSUMworks,letPidenotethesetofallvalues
obtainedbyselectinga(possiblyempty)subsetoffx1x2:::xigandsumming
itsmembers.Forexample,ifSDf145g,then
P1 Df01g
P2 Df0145g
P3 Df01456910g:
Giventheidentity
PiDPi1[.Pi1Cxi/ (35.23)
wecanprovebyinductiononi(seeExercise35.51)thatthelistLiisasortedlist
containingeveryelementofPiwhosevalueisnotmorethant.Sincethelength
ofLicanbeasmuchas2i,EXACTSUBSETSUMisanexponentialtimealgorithm
ingeneral,althoughitisapolynomialtimealgorithminthespecialcasesinwhicht
ispolynomialinjSjorallthenumbersinSareboundedbyapolynomialinjSj.
Afullypolynomialtimeapproximationscheme
Wecanderiveafullypolynomialtimeapproximationschemeforthesubsetsum
problembytrimmingeachlistLiafteritiscreated.Theideabehindtrimmingis
Pgina251
thatiftwovaluesinLareclosetoeachother,thensincewewantjustanapproxi
matesolution,wedonotneedtomaintainbothofthemexplicitly.Moreprecisely,
weuseatrimmingparametersuchthat0<<1.WhenwetrimalistLby,
weremoveasmanyelementsfromLaspossible,insuchawaythatifL0isthe
resultoftrimmingL,thenforeveryelementythatwasremovedfromL,thereis
anelementstillinL0thatapproximatesy,thatis,
Y
y: (35.24)
1C
WecanthinkofsuchaasrepresentingyinthenewlistL0.Eachremoved
elementyisrepresentedbyaremainingelementsatisfyinginequality(35.24).
Forexample,ifD0:1and
LDh10111215202122232429i
thenwecantrimLtoobtain
L0Dh101215202329i
wherethedeletedvalue11isrepresentedby10,thedeletedvalues21and22
arerepresentedby20,andthedeletedvalue24isrepresentedby23.Because
everyelementofthetrimmedversionofthelistisalsoanelementoftheoriginal
versionofthelist,trimmingcandramaticallydecreasethenumberofelementskept
whilekeepingaclose(andslightlysmaller)representativevalueinthelistforeach
deletedelement.
ThefollowingproceduretrimslistLDhy1y2:::ymiintime.m/,givenL
and,andassumingthatLissortedintomonotonicallyincreasingorder.los
outputoftheprocedureisatrimmed,sortedlist.
TRIM.L/
1letmbethelengthofL
2L0Dhy1i
3lastDy1
4foriD2tom
5 ifyi>last.1C/ //yi lastbecauseLissorted
6 appendyiontotheendofL0
7 lastDyi
8returnL0
TheprocedurescanstheelementsofLinmonotonicallyincreasingorder.Anum
berisappendedontothereturnedlistL0onlyifitisthefirstelementofLorifit
cannotberepresentedbythemostrecentnumberplacedintoL0.
GiventheprocedureTRIM,wecanconstructourapproximationschemeasfol
lows.ThisproceduretakesasinputasetSDfx1x2:::xngofnintegers(in
arbitraryorder),atargetintegert,andanapproximationparameter,where
Pgina252
0<<1: (35.25)
Itreturnsavaluewhosevalueiswithina1Cfactoroftheoptimalsolution.
APPROXSUBSETSUM.St/
1nDjSj
2L0Dh0i
3foriD1ton
4 LiDMERGELISTS.Li1Li1Cxi/
5 LiDTRIM.Li=2n/
6 removefromLieveryelementthatisgreaterthant
7letbethelargestvalueinLn
8return
Line2initializesthelistL0tobethelistcontainingjusttheelement0.Thefor
loopinlines36computesLiasasortedlistcontainingasuitablytrimmedver
sionofthesetPi,withallelementslargerthantremoved.SincewecreateLi
fromLi1,wemustensurethattherepeatedtrimmingdoesn'tintroducetoomuch
compoundedinaccuracy.Inamoment,weshallseethatAPPROXSUBSETSUM
returnsacorrectapproximationifoneexists.
Asanexample,supposewehavetheinstance
SDh104102201101i
withtD308andD0:40.Thetrimmingparameteris=8D0:05.APPROX
SUBSETSUMcomputesthefollowingvaluesontheindicatedlines:
line2: L0 Dh0i
line4: L1 Dh0104i
line5: L1 Dh0104i
line6: L1 Dh0104i
line4: L2 Dh0102104206i
line5: L2 Dh0102206i
line6: L2 Dh0102206i
line4: L3 Dh0102201206303407i
line5: L3 Dh0102201303407i
line6: L3 Dh0102201303i
line4: L4 Dh0101102201203302303404i
line5: L4 Dh0101201302404i
line6: L4 Dh0101201302i:
Pgina253
ThealgorithmreturnsD302asitsanswer,whichiswellwithinD40%of
theoptimalanswer307D104C102C101infact,itiswithin2%.
Theorem35.8
APPROXSUBSETSUMisafullypolynomialtimeapproximationschemeforthe
subsetsumproblem.
ProofTheoperationsoftrimmingLiinline5andremovingfromLieveryele
mentthatisgreaterthantmaintainthepropertythateveryelementofLiisalsoa
memberofPi.Therefore,thevaluereturnedinline8isindeedthesumofsome
subsetofS.Lety2Pndenoteanoptimalsolutiontothesubsetsumproblem.
Then,fromline6,weknowthaty.Byinequality(35.1),weneedtoshow
thaty=1C.Wemustalsoshowthattherunningtimeofthisalgorithmis
polynomialinboth1=andthesizeoftheinput.
AsExercise35.52asksyoutoshow,foreveryelementyinPithatisatmostt,
thereexistsanelement2Lisuchthat
Y
y: (35.26)
.1C=2n/i
Inequality(35.26)mustholdfory2Pn,andthereforethereexistsanelement
2Lnsuchthat
Y
y
.1C=2n/n
yporlotanto
n
Y
1C : (35.27)
2n
Sincethereexistsanelement2Lnfulfillinginequality(35.27),theinequality
mustholdfor,whichisthelargestvalueinLnesdecir,
n
Y
1C : (35.28)
2n
Now,weshowthaty=1C.Wedosobyshowingthat.1C=2n/ n
1C.Byequation(3.14),wehavelimn!1.1C=2n/nDe=2.Exercise35.53
asksyoutoshowthat
n
re
1C >0: (35.29)
Dn 2n
Therefore,thefunction.1C=2n/ norte
increaseswithnasitapproachesitslimit
ofe=2,andwehave
Pgina254
n
1C e=2
2n
1C=2C.=2/2 (byinequality(3.13))
1C (byinequality(35.25)). (35.30)
Combininginequalities(35.28)and(35.30)completestheanalysisoftheapproxi
mationratio.
ToshowthatAPPROXSUBSETSUMisafullypolynomialtimeapproximation
scheme,wederiveaboundonthelengthofLi.Aftertrimming,successiveele
mentsand0ofLimusthavetherelationship0=>1C=2n.Thatis,theymust
differbyafactorofatleast1C=2n.Eachlist,therefore,containsthevalue0,

possiblythevalue1,anduptolog1C=2nt additionalvalues.Elnmerode
elementsineachlistLiisatmost
lnt
log1C=2ntC2D C2
ln.1C=2n/
2n.1C=2n/lnt
UN C2(byinequality(3.17))
3nlnt
< C2 (byinequality(35.25)).
Thisboundispolynomialinthesizeoftheinputwhichisthenumberofbitslgt
neededtorepresenttplusthenumberofbitsneededtorepresentthesetS,whichis
inturnpolynomialinnandin1=.SincetherunningtimeofAPPROXSUBSET
SUMispolynomialinthelengthsoftheLi,weconcludethatAPPROXSUBSET
SUMisafullypolynomialtimeapproximationscheme.
Exercises
35.51
Proveequation(35.23).Thenshowthatafterexecutingline5ofEXACTSUBSET
SUM,LiisasortedlistcontainingeveryelementofPiwhosevalueisnotmore
thant.
35.52
Usinginductiononi,proveinequality(35.26).
35.53
Proveinequality(35.29).
Pgina255
35.54
Howwouldyoumodifytheapproximationschemepresentedinthissectiontofind
agoodapproximationtothesmallestvaluenotlessthantthatisasumofsome
subsetofthegiveninputlist?
35.55
ModifytheAPPROXSUBSETSUMproceduretoalsoreturnthesubsetofSthat
sumstothevalue.
Problemas
351Binpacking
Supposethatwearegivenasetofnobjects,wherethesizesioftheithobject
satisfies0<si<1.Wewishtopackalltheobjectsintotheminimumnumberof
unitsizebins.Eachbincanholdanysubsetoftheobjectswhosetotalsizedoes
notexceed1.
a.Provethattheproblemofdeterminingtheminimumnumberofbinsrequiredis
NPhard.(Hint:Reducefromthesubsetsumproblem.)
Thefirstfitheuristictakeseachobjectinturnandplacesitintothefirstbinthat
Pn
canaccommodateit.LetSD iD1si.
segundo.ArguethattheoptimalnumberofbinsrequiredisatleastdSe.
do.Arguethatthefirstfitheuristicleavesatmostonebinlessthanhalffull.
re.Provethatthenumberofbinsusedbythefirstfitheuristicisnevermore
thand2Se.
mi.Proveanapproximationratioof2forthefirstfitheuristic.
f.Giveanefficientimplementationofthefirstfitheuristic,andanalyzeitsrunning
hora.
352Approximatingthesizeofamaximumclique
LetGD.VE/beanundirectedgraph.Foranyk 1,defineG.k/tobetheundi
rectedgraph.V.k/E.k//,whereV.k/isthesetofallorderedktuplesofvertices
fromVandE.k/isdefinedsothat.12:::k/isadjacentto.w1w2:::wk/
ifandonlyifforiD12:::k,eithervertexiisadjacenttowiinG,orelse
iDwi.
Pgina256
a.ProvethatthesizeofthemaximumcliqueinG.k/isequaltothekthpowerof
thesizeofthemaximumcliqueinG.
segundo.Arguethatifthereisanapproximationalgorithmthathasaconstantapproxi
mationratioforfindingamaximumsizeclique,thenthereisapolynomialtime
approximationschemefortheproblem.
353Weightedsetcoveringproblem
SupposethatwegeneralizethesetcoveringproblemsothateachsetSiinthe
PAG
familyFhasanassociatedweightwiandtheweightofacoverCis S 2Cwi.
i
Wewishtodetermineaminimumweightcover.(Section35.3handlesthecasein
whichwiD1foralli.)
Showhowtogeneralizethegreedysetcoveringheuristicinanaturalmanner
toprovideanapproximatesolutionforanyinstanceoftheweightedsetcovering
problema.ShowthatyourheuristichasanapproximationratioofHd/,wheredis
themaximumsizeofanysetSi.
354Maximummatching
RecallthatforanundirectedgraphG,amatchingisasetofedgessuchthatno
twoedgesinthesetareincidentonthesamevertex.InSection26.3,wesawhow
tofindamaximummatchinginabipartitegraph.Inthisproblem,wewilllookat
matchingsinundirectedgraphsingeneral(ie,thegraphsarenotrequiredtobe
bipartite).
a.Amaximalmatchingisamatchingthatisnotapropersubsetofanyother
pareo.Showthatamaximalmatchingneednotbeamaximummatchingby
exhibitinganundirectedgraphGandamaximalmatchingMinGthatisnota
maximummatching.(Hint:Youcanfindsuchagraphwithonlyfourvertices.)
segundo.ConsideranundirectedgraphGD.VE/.GiveanOE/timegreedyalgo
rithmtofindamaximalmatchinginG.
Inthisproblem,weshallconcentrateonapolynomialtimeapproximationalgo
rithmformaximummatching.Whereasthefastestknownalgorithmformaximum
matchingtakessuperlinear(butpolynomial)time,theapproximationalgorithm
herewillruninlineartime.Youwillshowthatthelineartimegreedyalgorithm
formaximalmatchinginpart(b)isa2approximationalgorithmformaximum
pareo.
do.ShowthatthesizeofamaximummatchinginGisalowerboundonthesize
ofanyvertexcoverforG.
Pgina257
re.ConsideramaximalmatchingMinGD.VE/.Dejar
TDf2VWsomeedgeinMisincidentong:
WhatcanyousayaboutthesubgraphofGinducedbytheverticesofGthat
arenotinT?
mi.Concludefrompart(d)that2jMjisthesizeofavertexcoverforG.
f.Usingparts(c)and(e),provethatthegreedyalgorithminpart(b)isa2approx
imationalgorithmformaximummatching.
355Parallelmachinescheduling
Intheparallelmachineschedulingproblem,wearegivennjobs,J1J2:::Jn,
whereeachjobJkhasanassociatednonnegativeprocessingtimeofpk.Weare
alsogivenmidenticalmachines,M1M2:::Mm.Anyjobcanrunonanyma
chine.Aschedulespecifies,foreachjobJk,themachineonwhichitrunsand
thetimeperiodduringwhichitruns.EachjobJkmustrunonsomemachineMi
forpkconsecutivetimeunits,andduringthattimeperiodnootherjobmayrun
onMi.LetCkdenotethecompletiontimeofjobJk,thatis,thetimeatwhich
jobJkcompletesprocessing.Givenaschedule,wedefineCmaxDmax1jnCjto
bethemakespanoftheschedule.Thegoalistofindaschedulewhosemakespan
isminimum.
Forexample,supposethatwehavetwomachinesM1andM2andthatwehave
fourjobsJ1J2J3J4,withp1D2,p2D12,p3D4,andp4D5.Thenone
possiblescheduleruns,onmachineM1,jobJ1followedbyjobJ2,andonma
chineM2,itrunsjobJ4followedbyjobJ3.Forthisschedule,C1D2,C2D14,
C3D9,C4D5,andCmaxD14.AnoptimalschedulerunsJ2onmachineM1,and
itrunsjobsJ1,J3,andJ4onmachineM2.Forthisschedule,C1D2,C2D12,
C3D6,C4D11,andCmaxD12.
Givenaparallelmachineschedulingproblem,weletCmaxdenotethemakespan
ofanoptimalschedule.
a.Showthattheoptimalmakespanisatleastaslargeasthegreatestprocessing
time,thatis,
Cmax Mximo
pk:
1kn
segundo.Showthattheoptimalmakespanisatleastaslargeastheaveragemachineload,
esdecir,
1 x
Cmax pk:
metro
1kn
Pgina258
Supposethatweusethefollowinggreedyalgorithmforparallelmachineschedul
ing:wheneveramachineisidle,scheduleanyjobthathasnotyetbeenscheduled.
do.Writepseudocodetoimplementthisgreedyalgorithm.Whatistherunning
timeofyouralgorithm?
re.Fortheschedulereturnedbythegreedyalgorithm,showthat
1 x
Cmax pkCmax pk:
metro 1kn
1kn
Concludethatthisalgorithmisapolynomialtime2approximationalgorithm.
356Approximatingamaximumspanningtree
LetGD.VE/beanundirectedgraphwithdistinctedgeweightswu/oneach
edge.u/2E.Foreachvertex2V,letmax./Dmax.u/2Efw.u/gbe
themaximumweightedgeincidentonthatvertex.LetSGDfmax./W2Vg
bethesetofmaximumweightedgesincidentoneachvertex,andletTGbethe
maximumweightspanningtreeofG,thatis,thespanningtreeofmaximumtotal
PAG
peso.ForanysubsetofedgesE0E,definewE0/D .u/2E wu/.
0
a.Giveanexampleofagraphwithatleast4verticesforwhichSGDTG.
segundo.Giveanexampleofagraphwithatleast4verticesforwhichSGTG.
do.ProvethatSGTGforanygraphG.
re.ProvethatwTG/ wSG/=2foranygraphG.
mi.GiveanOVCE/timealgorithmtocomputea2approximationtothemaxi
mumspanningtree.
357Anapproximationalgorithmforthe01knapsackproblem
RecalltheknapsackproblemfromSection16.2.Therearenitems,wheretheith
itemisworthidollarsandweighswipounds.Wearealsogivenaknapsack
thatcanholdatmostWpounds.Here,weaddthefurtherassumptionsthateach
weightwiisatmostWandthattheitemsareindexedinmonotonicallydecreasing
orderoftheirvalues:1 2 n.
Inthe01knapsackproblem,wewishtofindasubsetoftheitemswhosetotal
weightisatmostWandwhosetotalvalueismaximum.Thefractionalknapsack
problemislikethe01knapsackproblem,exceptthatweareallowedtotakea
fractionofeachitem,ratherthanbeingrestrictedtotakingeitherallornoneof
Pgina259
eachitem.Ifwetakeafractionxiofitemi,where0xi1,wecontribute
xiwitotheweightoftheknapsackandreceivevaluexii.Ourgoalistodevelop
apolynomialtime2approximationalgorithmforthe01knapsackproblem.
Inordertodesignapolynomialtimealgorithm,weconsiderrestrictedinstances
ofthe01knapsackproblem.GivenaninstanceIoftheknapsackproblem,we
formrestrictedinstancesIj,forjD12:::n,byremovingitems12:::j1
andrequiringthesolutiontoincludeitemj(allofitemjinboththefractional
and01knapsackproblems).NoitemsareremovedininstanceI1.ForinstanceIj,
letPjdenoteanoptimalsolutiontothe01problemandQjdenoteanoptimal
solutiontothefractionalproblem.
a.ArguethatanoptimalsolutiontoinstanceIofthe01knapsackproblemisone
offP1P2:::Png.
segundo.ProvethatwecanfindanoptimalsolutionQjtothefractionalproblemforin
stanceIjbyincludingitemjandthenusingthegreedyalgorithminwhich
ateachstep,wetakeasmuchaspossibleoftheunchosenitemintheset
fjC1jC2:::ngwithmaximumvalueperpoundi=wi.
do.ProvethatwecanalwaysconstructanoptimalsolutionQjtothefractional
problemforinstanceIjthatincludesatmostoneitemfractionally.Thatis,for
allitemsexceptpossiblyone,weeitherincludealloftheitemornoneofthe
itemintheknapsack.
re.GivenanoptimalsolutionQjtothefractionalproblemforinstanceIj,form
solutionRjfromQjbydeletinganyfractionalitemsfromQj.Let.S/denote
thetotalvalueofitemstakeninasolutionS.Provethat.Rj/ .Qj/=2
.Pj/=2.
mi.Giveapolynomialtimealgorithmthatreturnsamaximumvaluesolutionfrom
thesetfR1R2:::Rng,andprovethatyouralgorithmisapolynomialtime
2approximationalgorithmforthe01knapsackproblem.
Chapternotes
Althoughmethodsthatdonotnecessarilycomputeexactsolutionshavebeen
knownforthousandsofyears(forexample,methodstoapproximatethevalue
of),thenotionofanapproximationalgorithmismuchmorerecent.Hochbaum
[172]creditsGarey,Graham,andUllman[128]andJohnson[190]withformal
izingtheconceptofapolynomialtimeapproximationalgorithm.Thefirstsuch
algorithmisoftencreditedtoGraham[149].
Pgina260
Sincethisearlywork,thousandsofapproximationalgorithmshavebeende
signedforawiderangeofproblems,andthereisawealthofliteratureonthis
campo.RecenttextsbyAusielloetal.[26],Hochbaum[172],andVazirani[345]
dealexclusivelywithapproximationalgorithms,asdosurveysbyShmoys[315]
andKleinandYoung[207].Severalothertexts,suchasGareyandJohnson[129]
andPapadimitriouandSteiglitz[271],havesignificantcoverageofapproximation
algorithmsaswell.Lawler,Lenstra,RinnooyKan,andShmoys[225]providean
extensivetreatmentofapproximationalgorithmsforthetravelingsalesmanprob
Lem
PapadimitriouandSteiglitzattributethealgorithmAPPROXVERTEXCOVER
toF.GavrilandM.Yannakakis.Thevertexcoverproblemhasbeenstudiedexten
sively(Hochbaum[172]lists16differentapproximationalgorithmsforthisprob
lem),butalltheapproximationratiosareatleast2o.1/.
ThealgorithmAPPROXTSPTOURappearsinapaperbyRosenkrantz,Stearns,
andLewis[298].Christofidesimprovedonthisalgorithmandgavea3=2approx
imationalgorithmforthetravelingsalesmanproblemwiththetriangleinequality.
Arora[22]andMitchell[257]haveshownthatifthepointsareintheeuclidean
plane,thereisapolynomialtimeapproximationscheme.Theorem35.3isdueto
SahniandGonzalez[301].
Theanalysisofthegreedyheuristicforthesetcoveringproblemismodeled
aftertheproofpublishedbyChvtal[68]ofamoregeneralresultthebasicresult
aspresentedhereisduetoJohnson[190]andLovsz[238].
ThealgorithmAPPROXSUBSETSUManditsanalysisarelooselymodeledafter
relatedapproximationalgorithmsfortheknapsackandsubsetsumproblemsby
IbarraandKim[187].
Problem357isacombinatorialversionofamoregeneralresultonapproximat
ingknapsacktypeintegerprogramsbyBienstockandMcClosky[45].
TherandomizedalgorithmforMAX3CNFsatisfiabilityisimplicitinthework
ofJohnson[190].TheweightedvertexcoveralgorithmisbyHochbaum[171].
Section35.4onlytouchesonthepowerofrandomizationandlinearprogram
minginthedesignofapproximationalgorithms.Acombinationofthesetwoideas
yieldsatechniquecalledrandomizedrounding,whichformulatesaproblemas
anintegerlinearprogram,solvesthelinearprogrammingrelaxation,andinterprets
thevariablesinthesolutionasprobabilities.Theseprobabilitiesthenhelpguide
thesolutionoftheoriginalproblem.ThistechniquewasfirstusedbyRaghavan
andThompson[290],andithashadmanysubsequentuses.(SeeMotwani,Naor,
andRaghavan[261]forasurvey.)Severalothernotablerecentideasinthefield
ofapproximationalgorithmsincludetheprimaldualmethod(seeGoemansand
Williamson[135]forasurvey),findingsparsecutsforuseindivideandconquer
algorithms[229],andtheuseofsemidefiniteprogramming[134].
Pgina261
AsmentionedinthechapternotesforChapter34,recentresultsinprobabilisti
callycheckableproofshaveledtolowerboundsontheapproximabilityofmany
problems,includingseveralinthischapter.Inadditiontothereferencesthere,
thechapterbyAroraandLund[23]containsagooddescriptionoftherelation
shipbetweenprobabilisticallycheckableproofsandthehardnessofapproximating
variousproblems.
Pgina263
Pgina262
VIIIAppendix:MathematicalBackground
Pgina264
Introduccin
Whenweanalyzealgorithms,weoftenneedtodrawuponabodyofmathematical
herramientas.Someofthesetoolsareassimpleashighschoolalgebra,butothersmaybe
newtoyou.InPartI,wesawhowtomanipulateasymptoticnotationsandsolve
Recurrencias.Thisappendixcomprisesacompendiumofseveralotherconceptsand
methodsweusetoanalyzealgorithms.AsnotedintheintroductiontoPartI,you
mayhaveseenmuchofthematerialinthisappendixbeforehavingreadthisbook
(althoughthespecificnotationalconventionsweusemightoccasionallydifferfrom
thoseyouhaveseenelsewhere).Hence,youshouldtreatthisappendixasreference
material.Asintherestofthisbook,however,wehaveincludedexercisesand
problems,inorderforyoutoimproveyourskillsintheseareas.
AppendixAoffersmethodsforevaluatingandboundingsummations,which
occurfrequentlyintheanalysisofalgorithms.Manyoftheformulashereappear
inanycalculustext,butyouwillfinditconvenienttohavethesemethodscompiled
inoneplace.
AppendixBcontainsbasicdefinitionsandnotationsforsets,relations,functions,
graphs,andtrees.Italsogivessomebasicpropertiesofthesemathematicalobjects.
AppendixCbeginswithelementaryprinciplesofcounting:permutations,com
binations,andthelike.Theremaindercontainsdefinitionsandpropertiesofbasic
probabilidad.Mostofthealgorithmsinthisbookrequirenoprobabilityfortheir
analysis,andthusyoucaneasilyomitthelattersectionsofthechapteronafirst
reading,evenwithoutskimmingthem.Later,whenyouencounteraprobabilistic
analysisthatyouwanttounderstandbetter,youwillfindAppendixCwellorga
nizedforreferencepurposes.
Pgina265
1144 PartVIIIAppendix:MathematicalBackground
AppendixDdefinesmatrices,theiroperations,andsomeoftheirbasicprop
erties.Youhaveprobablyseenmostofthismaterialalreadyifyouhavetakena
courseinlinearalgebra,butyoumightfindithelpfultohaveoneplacetolookfor
ournotationanddefinitions.
Pgina266
UN Summations
Whenanalgorithmcontainsaniterativecontrolconstructsuchasawhileorfor
loop,wecanexpressitsrunningtimeasthesumofthetimesspentoneachexe
cutionofthebodyoftheloop.Forexample,wefoundinSection2.2thatthejth
iterationofinsertionsorttooktimeproportionaltojintheworstcase.Byadding
upthetimespentoneachiteration,weobtainedthesummation(orseries)
xnorte
j:
jD2
Whenweevaluatedthissummation,weattainedaboundof.n2/ontheworst
caserunningtimeofthealgorithm.Thisexampleillustrateswhyyoushouldknow
howtomanipulateandboundsummations.
SectionA.1listsseveralbasicformulasinvolvingsummations.SectionA.2of
fersusefultechniquesforboundingsummations.WepresenttheformulasinSec
tionA.1withoutproof,thoughproofsforsomeofthemappearinSectionA.2to
illustratethemethodsofthatsection.Youcanfindmostoftheotherproofsinany
calculustext.
A.1Summationformulasandproperties
Givenasequencea1a2:::anofnumbers,wherenisanonnegativeinteger,we
canwritethefinitesuma1Ca2CCanas
xnorte
ak:
kD1
IfnD0,thevalueofthesummationisdefinedtobe0.Thevalueofafiniteseries
isalwayswelldefined,andwecanadditstermsinanyorder.
Givenaninfinitesequencea1a2:::ofnumbers,wecanwritetheinfinitesum
a1Ca2Cas
Pgina267
1146 AppendixASummations
x1
ak
kD1
whichweinterprettomean
xnorte
Lim ak:
n!1
kD1
Ifthelimitdoesnotexist,theseriesdivergesotherwise,itconverges.Lostrminos
ofaconvergentseriescannotalwaysbeaddedinanyorder.Wecan,however, P1
rearrangethetermsofanabsolutelyconvergentseries,thatis,aseries
P1 kD1ak
forwhichtheseries kD1jakjalsoconverges.
Linealidad
Foranyrealnumbercandanyfinitesequencesa1a2:::anandb1b2:::bn,
xnorte x norte xnorte
.cakCbk/Dc akC bk:
kD1 kD1 kD1
Thelinearitypropertyalsoappliestoinfiniteconvergentseries.
Wecanexploitthelinearitypropertytomanipulatesummationsincorporating
asymptoticnotation.Porejemplo,
!
xnorte xnorte
.f.k//D f.k/ :
kD1 kD1
Inthisequation,thenotationonthelefthandsideappliestothevariablek,but
ontherighthandside,itapplieston.Wecanalsoapplysuchmanipulationsto
infiniteconvergentseries.
Arithmeticseries
Thesummation
xnorte
kD1C2CCn
kD1
isanarithmeticseriesandhasthevalue
xnorte 1
kD nnC1/ (A.1)
2
kD1
D.n2/: (A.2)
Pgina268
A.1Summationformulasandproperties 1147
Sumsofsquaresandcubes
Wehavethefollowingsummationsofsquaresandcubes:
xnorte nnC1/.2nC1/
k2 re (A.3)
6
kD0
xnorte n2.nC1/2
k3 re : (A.4)
4
kD0
Geometricseries
Forrealx1,thesummation
xnorte
xkD1CxCx2CCxn
kD0
isageometricorexponentialseriesandhasthevalue
xnorte xnC1 1
xkD : (A.5)
x1
kD0
Whenthesummationisinfiniteandjxj<1,wehavetheinfinitedecreasinggeo
metricseries
x1
1
xkD : (A.6)
1x
kD0
Harmonicseries
Forpositiveintegersn,thenthharmonicnumberis
1 1 1 1
Hn D1C do do CC
2 3 4 norte
xnorte
1
re
K
kD1
DlnnCO.1/: (A.7)
(WeshallprovearelatedboundinSectionA.2.)
Integratinganddifferentiatingseries
Byintegratingordifferentiatingtheformulasabove,additionalformulasarise.por
example,bydifferentiatingbothsidesoftheinfinitegeometricseries(A.6)and
multiplyingbyx,weget
Pgina269
x1 x
kxkD (A.8)
.1x/2
kD0
forjxj<1.
Telescopingseries
Foranysequencea0a1:::an,
xnorte
.ak ak1/Dan a0 (A.9)
kD1
sinceeachofthetermsa1a2:::an1isaddedinexactlyonceandsubtractedout
exactlyonce.Wesaythatthesumtelescopes.Similar,
xN1
.ak akC1/Da0 an:
kD0
Asanexampleofatelescopingsum,considertheseries
xN1 1
:
kkC1/
kD1
Sincewecanrewriteeachtermas
1 1 1
re
kkC1/ K kC1
obtenemos
xN1 xN1 UN UN
1 1 1
re
kkC1/ K kC1
kD1 kD1
1
D1 :
norte
Productos
Wecanwritethefiniteproducta1a2 anas
Ynorte
ak:
kD1
IfnD0,thevalueoftheproductisdefinedtobe1.Wecanconvertaformulawith
aproducttoaformulawithasummationbyusingtheidentity
!
Ynorte xnorte
Lg ak re lgak:
kD1 kD1
Pgina270
A.2Boundingsummations 1149
Exercises
A.11 Pn
Findasimpleformulafor
kD1.2k1/.
A.12? Pn pag
Showthat 1/Dln. n/CO.1/bymanipulatingtheharmonic
kD11=.2k
serie.
A.13 P1
Showthat kD0k2xkDx.1Cx/=.1x/3for0<jxj<1.
A.14? P1
Showthat kD0.k1/=2kD0.
A.15? P1
Evaluatethesum kD1.2kC1/x2k.
A.16 Pn Pn
Provethat kD1Ofk.i//DO kD1fk.i/byusingthelinearitypropertyof
summations.
A.17 Qn
Evaluatetheproduct kD124k.
A.18? Qn
Evaluatetheproduct kD2.11=k2/.
A.2Boundingsummations
Wehavemanytechniquesatourdisposalforboundingthesummationsthatde
scribetherunningtimesofalgorithms.Herearesomeofthemostfrequentlyused
Mtodos.
Mathematicalinduction
Themostbasicwaytoevaluateaseriesistousemathematicalinduction.Comoun
Pn
example,letusprovethatthearithmeticseries kD1kevaluatesto12n.nC1/.Nosotros
caneasilyverifythisassertionfornD1.Wemaketheinductiveassumptionthat
Pgina271
itholdsforn,andweprovethatitholdsfornC1.Wehave
xnC1 xnorte
kD kC.nC1/
kD1 kD1
1
re nnC1/C.nC1/
2
re 1 .nC1/.nC2/:
2
Youdon'talwaysneedtoguesstheexactvalueofasummationinordertouse
mathematicalinduction.Instead,youcanuseinductiontoproveaboundonasum
Pn
Macin.Asanexample,letusprovethatthegeometricseries
Pn kD03kisO.3n/.
Morespecifically,letusprovethatP0 kD03kc3nforsomeconstantc. Parael
initialconditionnD0,wehave 1.Assuming
kD03kD1c1aslongasc
thattheboundholdsforn,letusprovethatitholdsfornC1.Wehave
x
nC1 x norte
3k re 3kC3nC1
kD0 kD0
c3UN
nC3nC1
UN (bytheinductivehypothesis)
1 1
re do c3nC1
3 do
c3nC1
Pn
aslongas.1=3C1=c/1or,equivalently,c 3=2.As,
kD03kDO.3n/,
aswewishedtoshow.
Wehavetobecarefulwhenweuseasymptoticnotationtoproveboundsbyin
Pn
duction.Considerthefollowingfallaciousproofthat
P1 kD1kDOn/.Certainly,
kD1kDO.1/.Assumingthattheboundholdsforn,wenowproveitfornC1:
xnC1 xnorte
kD kC.nC1/
kD1 kD1
DOn/C.nC1/ wrong!!
DOnC1/:
Thebugintheargumentisthattheconstanthiddenbythebigohgrowswithn
andthusisnotconstant.Wehavenotshownthatthesameconstantworksforalln.
Boundingtheterms
Wecansometimesobtainagoodupperboundonaseriesbyboundingeachterm
oftheseries,anditoftensufficestousethelargesttermtoboundtheothers.por
Pgina272
example,aquickupperboundonthearithmeticseries(A.1)is
xnorte xnorte
k norte
kD1 kD1
Dn2:
Pn
Ingeneral,foraseries kD1ak,ifweletamaxDmax1knak,then
xnorte
aknamax:
kD1
Thetechniqueofboundingeachterminaseriesbythelargesttermisaweak
methodwhentheseriescaninfactbeboundedbyageometricseries.Dadoque
Pn
serie kD0ak,supposethatakC1=akrforallk 0,where0<r<1isa
constante.Wecanboundthesumbyaninfinitedecreasinggeometricseries,since
aka0rk,andthus
xnorte x1
ak UN a0rk
kD0 kD0
x1
Da0 rk
kD0
1
Da0 :
1r
P1
Wecanapplythismethodtoboundthesummation P1 kD1.k=3k/. Afindeque
startthesummationatkD0,werewriteitas kD0..kC1/=3kC1/. Elprimero
term(a0)is1=3,andtheratio(r)ofconsecutivetermsis
.kC2/=3kC2 re 1 kC2
.kC1/=3kC1 3 kC1
2
UN
3
forallk 0.Thus,wehave
x1 K x1 kC1
re
3k 3kC1
kD1 kD0
1 1
UN
3 12=3
D1:
Pgina273
Acommonbuginapplyingthismethodistoshowthattheratioofconsecu
tivetermsislessthan1andthentoassumethatthesummationisboundedbya
geometricseries.Anexampleistheinfiniteharmonicseries,whichdivergessince
x1 1 xnorte
1
Dlim
K n!1 K
kD1 kD1
Dlim .lgn/
n!1
D1:
Theratioofthe.kC1/standkthtermsinthisseriesisk=.kC1/<1,buttheseries
isnotboundedbyadecreasinggeometricseries.Toboundaseriesbyageometric
series,wemustshowthatthereisanr<1,whichisaconstant,suchthattheratio
ofallpairsofconsecutivetermsneverexceedsr.Intheharmonicseries,nosuchr
existsbecausetheratiobecomesarbitrarilycloseto1.
Splittingsummations
Onewaytoobtainboundsonadifficultsummationistoexpresstheseriesasthe
sumoftwoormoreseriesbypartitioningtherangeoftheindexandthentobound
eachoftheresultingseries.Forexample,supposewetrytofindalowerbound
Pn
onthearithmeticseries kD1k,whichwehavealreadyseenhasanupperbound
ofn2.Wemightattempttoboundeachterminthesummationbythesmallestterm,
butsincethattermis1,wegetalowerboundofnforthesummationfarofffrom
ourupperboundofn2.
Wecanobtainabetterlowerboundbyfirstsplittingthesummation.Assumefor
conveniencethatniseven.Tenemos
xnorte xn=2 xnorte
kD kC K
kD1 kD1 kDn=2C1
xn=2 xnorte
0C .n=2/
kD1 kDn=2C1
D.n=2/2
re .n2/
Pn
whichisanasymptoticallytightbound,since kD1kDOn2/.
Forasummationarisingfromtheanalysisofanalgorithm,wecanoftensplit
thesummationandignoreaconstantnumberoftheinitialterms.Generally,this
Pn
techniqueapplieswheneachtermakinasummation kD0akisindependentofn.
Pgina274
Thenforanyconstantk0>0,wecanwrite
xnorte x 1
k 0 xnorte
ak re akC ak
kD0 kD0 kDk 0
xnorte
D.1/C ak
kDk 0
sincetheinitialtermsofthesummationareallconstantandthereareaconstant
Pn
numberofthem.Wecanthenuseothermethodstobound ak.Thistech
kDk 0
niqueappliestoinfinitesummationsaswell.Forexample,tofindanasymptotic
upperboundon
x1 k2

2k
kD0
weobservethattheratioofconsecutivetermsis
.kC1/2=2kC1 .kC1/2
re
k2=2k 2k2
8
UN
9
ifk 3.Thus,thesummationcanbesplitinto
x1 k2 x 2 k2 x1 k2
re do
2k 2k 2k
kD0 kD0 kD3 UNk
x 2 k2 9 x1 8
UN do
2k 8 9
kD0 kD0
DO.1/
sincethefirstsummationhasaconstantnumberoftermsandthesecondsummation
isadecreasinggeometricseries.
Thetechniqueofsplittingsummationscanhelpusdetermineasymptoticbounds
inmuchmoredifficultsituations.Forexample,wecanobtainaboundofO.lgn/
ontheharmonicseries(A.7):
xnorte
1
HnD :
K
kD1
Wedosobysplittingtherange1tonintoblgncC1piecesandupperbounding
thecontributionofeachpieceby1.ForiD01:::blgnc,theithpiececonsists
Pgina275
ofthetermsstartingat1=2iandgoinguptobutnotincluding1=2iC1.Thelast
piecemightcontaintermsnotintheoriginalharmonicseries,andthuswehave
xnorte
1 x 2 x 1
blgnc i
1
UN
K 2iCj
kD1 ID0 jD0
x 2 x 11
blgnc i
UN
2i
ID0 jD0
x
blgnc
re 1
ID0
lgnC1: (A.10)
Approximationbyintegrals
Pn
Whenasummationhastheform kDmf.k/,wheref.k/isamonotonicallyin
creasingfunction,wecanapproximateitbyintegrals:
Zn xnorte Z nC1
fx/dx f.k/ f.x/dx: (A.11)

m1 kDm metro
FigureA.1justifiesthisapproximation.Thesummationisrepresentedasthearea
oftherectanglesinthefigure,andtheintegralistheshadedregionunderthecurve.
Whenf.k/isamonotonicallydecreasingfunction,wecanuseasimilarmethod
toprovidethebounds
ZnC1 xnorte Zn
fx/dx f.k/ f.x/dx: (A.12)
metro kDm m1
Theintegralapproximation(A.12)givesatightestimateforthenthharmonic
nmero.Foralowerbound,weobtain
xnorte ZnC1
1 dx
K 1 x
kD1
Dln.nC1/: (A.13)
Fortheupperbound,wederivetheinequality
xnorte Zn
1 dx
UN
K 1 x
kD2
Dlnn
Pgina276
f(x)
F
(metro F F
F (metro (norte F
( F
(metro +1)
) +2) ... ... 2) norte
1) (norte
)
x
m1 metrom+1 m+2 ... ... n2 n1 norten+1
(un)
f(x)
F F F F F
(metro (metro
+1)
(metro
+2) ...
(norte
2)
(norte
1)
F
(norte
) ... )
x
m1 metrom+1 m+2 ... ... n2 n1 norten+1
(segundo)
Pn
FigureA.1Approximationof kDmf.k/byintegrals.Theareaofeachrectangleisshown
withintherectangle,andthetotalrectanglearearepresentsthevalueofthesummation.Elin
tegralisrepresentedbytheshadedareaunderthecurve.Bycomparingareasin(a),weget
Rn Pn
Pm1
n fx/dx RnC1 kDmf.k/,andthenbyshiftingtherectanglesoneunittotheright,weget
kDmf.k/ metro fx/dxin(b).
Pgina277
whichyieldsthebound
xnorte
1
lnnC1: (A.14)
K
kD1
Exercises
A.21 Pn
Showthat kD11=k2isboundedabovebyaconstant.
A.22
Findanasymptoticupperboundonthesummation
x
blgnc
n=2k :
kD0
A.23
Showthatthenthharmonicnumberis.lgn/bysplittingthesummation.
A.24 Pn
Aproximado
kD1k3withanintegral.
A.25 Pn
Whydidn'tweusetheintegralapproximation(A.12)directlyon
kD11=kto
obtainanupperboundonthenthharmonicnumber?
Problemas
A1Boundingsummations
Giveasymptoticallytightboundsonthefollowingsummations.Assumethatr 0
ands 0areconstants.
x norte
a. kr.
kD1
x norte
segundo.
lgsk.
kD1
Pgina278
NotesforAppendixA 1157
x norte
do. krlgsk.
kD1
Appendixnotes
Knuth[209]providesanexcellentreferenceforthematerialpresentedhere.Usted
canfindbasicpropertiesofseriesinanygoodcalculusbook,suchasApostol[18]
orThomasetal.[334].
Page279
segundo Sets,Etc.
Manychaptersofthisbooktouchontheelementsofdiscretemathematics.Esta
appendixreviewsmorecompletelythenotations,definitions,andelementaryprop
ertiesofsets,relations,functions,graphs,andtrees.Ifyouarealreadywellversed
inthismaterial,youcanprobablyjustskimthischapter.
B.1Sets
Asetisacollectionofdistinguishableobjects,calleditsmembersorelements.Si
anobjectxisamemberofasetS,wewritex2S(readxisamemberofS
or,morebriefly,xisinS).IfxisnotamemberofS,wewritex62S.We
candescribeasetbyexplicitlylistingitsmembersasalistinsidebraces.por
example,wecandefineasetStocontainpreciselythenumbers1,2,and3by
writingSDf123g.Since2isamemberofthesetS,wecanwrite22S,and
since4isnotamember,wehave4S.Asetcannotcontainthesameobjectmore
thanonce,1anditselementsarenotordered.TwosetsAandBareequal,written
ADB,iftheycontainthesameelements.Forexample,f1231gDf123gD
f321g.
Weadoptspecialnotationsforfrequentlyencounteredsets:
denotestheemptyset,thatis,thesetcontainingnomembers.
Zdenotesthesetofintegers,thatis,thesetf:::21012:::g.
Rdenotesthesetofrealnumbers.
Ndenotesthesetofnaturalnumbers,thatis,thesetf012:::g.2
1Avariationofaset,whichcancontainthesameobjectmorethanonce,iscalledamultiset.
2Someauthorsstartthenaturalnumberswith1insteadof0.Themoderntrendseemstobetostart
with0.
Pgina280
B.1Sets 1159
IfalltheelementsofasetAarecontainedinasetB,thatis,ifx2Aimplies
x2B,thenwewriteABandsaythatAisasubsetofB.AsetAisa
propersubsetofB,writtenA B,ifABbutAB.(Someauthorsusethe
symboltodenotetheordinarysubsetrelation,ratherthanthepropersubset
relation.)ForanysetA,wehaveAA.FortwosetsAandB,wehaveADB
ifandonlyifABandBA.ForanythreesetsA,B,andC,ifAB
andBC,thenAC.ForanysetA,wehaveA.
Wesometimesdefinesetsintermsofothersets.GivenasetA,wecandefinea
setBAbystatingapropertythatdistinguishestheelementsofB.Forexample,
wecandefinethesetofevenintegersbyfxWx2Zandx=2isanintegerg.los
coloninthisnotationisreadsuchthat.(Someauthorsuseaverticalbarinplace
ofthecolon.)
GiventwosetsAandB,wecanalsodefinenewsetsbyapplyingsetoperations:
TheintersectionofsetsAandBistheset
A\BDfxWx2Aandx2Bg:
TheunionofsetsAandBistheset
A[BDfxWx2Aorx2Bg:
ThedifferencebetweentwosetsAandBistheset
ABDfxWx2AandxBg:
Setoperationsobeythefollowinglaws:
Emptysetlaws:
A\D
A[DA:
Idempotencylaws:
A\ADA
A[ADA:
Commutativelaws:
A\BDB\A
A[BDB[A:
Page281
1160 AppendixBSets,Etc.
UN segundo UN segundo UN segundo UN segundo UN segundo

re re [
do do do do do
UN .B\C/ re A.B\C/ re .AB/ [ .AC/
andCisrepresentedasacircle.
FigureB.1AVenndiagramillustratingthefirstofDeMorgan'slaws(B.2).EachofthesetsA,B,
Associativelaws:
A\.B\C/D.A\B/\C
A[.B[C/D.A[B/[C:
Distributivelaws:
A\.B[C/D.A\B/[.A\C/
(B.1)
A[.B\C/D.A[B/\.A[C/:
Absorptionlaws:
A\.A[B/DA
A[.A\B/DA:
DeMorgan'slaws:
A.B\C/D.AB/[.AC/
(B.2)
A.B[C/D.AB/\.AC/:
FigureB.1illustratesthefirstofDeMorgan'slaws,usingaVenndiagram:agraph
icalpictureinwhichsetsarerepresentedasregionsoftheplane.
Often,allthesetsunderconsiderationaresubsetsofsomelargersetUcalledthe
universe.Forexample,ifweareconsideringvarioussetsmadeuponlyofintegers,
thesetZofintegersisanappropriateuniverse.GivenauniverseU,wedefinethe
complementofasetAasADU ADfxWx2Uandx62Ag.Foranyset
AU,wehavethefollowinglaws:
ADA
A\AD
A[ADU:
Pgina282
B.1Sets 1161
WecanrewriteDeMorgan'slaws(B.2)withsetcomplements.Foranytwosets
BCU,wehave
B\CDB[C
B[CDB\C:
TwosetsAandBaredisjointiftheyhavenoelementsincommon,thatis,if
A\BD.AcollectionSDfSigofnonemptysetsformsapartitionofasetSif
thesetsarepairwisedisjoint,thatis,SiSj2SandijimplySi\SjD,
y
theirunionisS,thatis,
[
SD Si:
S 2S
i
Inotherwords,SformsapartitionofSifeachelementofSappearsinexactly
oneSi2S.
Thenumberofelementsinasetisthecardinality(orsize)oftheset,denotedjSj.
Twosetshavethesamecardinalityiftheirelementscanbeputintoaonetoone
correspondencia.ThecardinalityoftheemptysetisjjD0.Ifthecardinalityofa
setisanaturalnumber,wesaythesetisfiniteotherwise,itisinfinite.Aninfinite
setthatcanbeputintoaonetoonecorrespondencewiththenaturalnumbersNis
countablyinfiniteotherwise,itisuncountable.Forexample,theintegersZare
countable,buttherealsRareuncountable.
ForanytwofinitesetsAandB,wehavetheidentity
jA[BjDjAjCjBjjA\Bj (B.3)
fromwhichwecanconcludethat
jA[BjjAjCjBj:
IfAandBaredisjoint,thenjA\BjD0andthusjA[BjDjAjCjBj.Si
AB,thenjAjjBj.
Afinitesetofnelementsissometimescalledannset.A1setiscalleda
singleton.Asubsetofkelementsofasetissometimescalledaksubset.
WedenotethesetofallsubsetsofasetS,includingtheemptysetandSitself,
by2Swecall2SthepowersetofS.Forexample,2fabgDffagfbgfabgg.
ThepowersetofafinitesetShascardinality2jSj(seeExerciseB.15).
Wesometimescareaboutsetlikestructuresinwhichtheelementsareordered.
Anorderedpairoftwoelementsaandbisdenoted.ab/andisdefinedformally
astheset.ab/Dfafabgg.Thus,theorderedpair.ab/isnotthesameasthe
orderedpair.ba/.
Pgina283
TheCartesianproductoftwosetsAandB,denotedAB,isthesetofall
orderedpairssuchthatthefirstelementofthepairisanelementofAandthe
secondisanelementofB.Moreformally,
ABDfab/Wa2Aandb2Bg:
Forexample,fabgfasegundocgDf.aa/.ab/.ac/.ba/.bb/.bc/g.Cuando
AandBarefinitesets,thecardinalityoftheirCartesianproductis
jABjDjAjjBj: (B.4)
TheCartesianproductofnsetsA1A2:::Anisthesetofntuples
A1 A2 AnDfa1a2:::an/Wai2AiforiD12:::ng
whosecardinalityis
jA1 A2 AnjDjA1jjA2jjAnj
ifallsetsarefinite.WedenoteannfoldCartesianproductoverasinglesetAby
theset
AnDAA A
whosecardinalityisjAnjDjAj norte
ifAisfinite.Wecanalsoviewanntupleasa
finitesequenceoflengthn(seepage1166).
Exercises
B.11
DrawVenndiagramsthatillustratethefirstofthedistributivelaws(B.1).
B.12
ProvethegeneralizationofDeMorgan'slawstoanyfinitecollectionofsets:
A1\A2\\An DA1[A2[[An
A1[A2[[An DA1\A2\\An:
Page284
B.2Relations 1163
B.13?
Provethegeneralizationofequation(B.3),whichiscalledtheprincipleofinclu
sionandexclusion:
jA1[A2[[AnjD
jA1jCjA2jCCjAnj
jA1\A2jjA1\A3j (allpairs)
CjA1\A2\A3jC (alltriples)
C.1/n1jA1\A2\\Anj:
B.14
Showthatthesetofoddnaturalnumbersiscountable.
B.15
ShowthatforanyfinitesetS,thepowerset2Shas2jSjelements(thatis,there
are2jSjdistinctsubsetsofS).
B.16
Giveaninductivedefinitionforanntuplebyextendingthesettheoreticdefinition
foranorderedpair.
B.2Relations
AbinaryrelationRontwosetsAandBisasubsetoftheCartesianproductAB.
If.ab/2R,wesometimeswriteaRb.WhenwesaythatRisabinaryrelation
onasetA,wemeanthatRisasubsetofAA.Forexample,thelessthan
relationonthenaturalnumbersisthesetfab/Wab2Nanda<bg.Annary
relationonsetsA1A2:::AnisasubsetofA1 A2 An.
AbinaryrelationRAAisreflexiveif
aRa
foralla2A.Forexample,DandarereflexiverelationsonN,but<is
no.TherelationRissymmetricif
aRbimpliesbRa
forallab2A.Forexample,Dissymmetric,but<andarenot.los
relationRistransitiveif
aRbandbRcimplyaRc
Pgina285
forallasegundoc2A.Forexample,therelations<,,andDaretransitive,but
therelationRDfab/Wab2NandaDb1gisnot,since3R4and4R5
donotimply3R5.
Arelationthatisreflexive,symmetric,andtransitiveisanequivalencerelation.
Forexample,Disanequivalencerelationonthenaturalnumbers,but<isnot.
IfRisanequivalencerelationonasetA,thenfora2A,theequivalenceclass
ofaisthesetaDfb2AWaRbg,thatis,thesetofallelementsequivalenttoa.
Forexample,ifwedefineRDfab/Wab2NandaCbisanevennumberg,
thenRisanequivalencerelation,sinceaCaiseven(reflexive),aCbiseven
impliesbCaiseven(symmetric),andaCbisevenandbCcisevenimply
aCciseven(transitive).Theequivalenceclassof4is4Df0246:::g,and
theequivalenceclassof3is3Df1357:::g.Abasictheoremofequivalence
classesisthefollowing.
TheoremB.1(Anequivalencerelationisthesameasapartition)
TheequivalenceclassesofanyequivalencerelationRonasetAformapartition
ofA,andanypartitionofAdeterminesanequivalencerelationonAforwhichthe
setsinthepartitionaretheequivalenceclasses.
ProofForthefirstpartoftheproof,wemustshowthattheequivalenceclasses
ofRarenonempty,pairwisedisjointsetswhoseunionisA.BecauseRisreflex
ive,a2a,andsotheequivalenceclassesarenonemptymoreover,sinceevery
elementa2Abelongstotheequivalenceclassa,theunionoftheequivalence
classesisA.Itremainstoshowthattheequivalenceclassesarepairwisedisjoint,
thatis,iftwoequivalenceclassesaandbhaveanelementcincommon,then
theyareinfactthesameset.SupposethataRcandbRc.Bysymmetry,cRb,
andbytransitivity,aRb.Thus,foranyarbitraryelementx2a,wehavexRa
and,bytransitivity,xRb,andthusab.Similarly,ba,andthus
aDb.
Forthesecondpartoftheproof,letADfAigbeapartitionofA,anddefine
RDfab/Wthereexistsisuchthata2Aiandb2Aig.WeclaimthatRisan
equivalencerelationonA.Reflexivityholds,sincea2AiimpliesaRa.Symme
tryholds,becauseifaRb,thenaandbareinthesamesetAi,andhencebRa.
IfaRbandbRc,thenallthreeelementsareinthesamesetAi,andthusaRc
andtransitivityholds.Toseethatthesetsinthepartitionaretheequivalence
classesofR,observethatifa2Ai,thenx2aimpliesx2Ai,andx2Ai
impliesx2a.
AbinaryrelationRonasetAisantisymmetricif
aRbandbRaimplyaDb:
Pgina286
B.2Relations 1165
Forexample,therelationonthenaturalnumbersisantisymmetric,sinceab
andbaimplyaDb.Arelationthatisreflexive,antisymmetric,andtransitive
isapartialorder,andwecallasetonwhichapartialorderisdefinedapartially
orderedset.Forexample,therelationisadescendantofisapartialorderonthe
setofallpeople(ifweviewindividualsasbeingtheirowndescendants).
InapartiallyorderedsetA,theremaybenosinglemaximumelementasuch
thatbRaforallb2A.Instead,thesetmaycontainseveralmaximalelementsa
suchthatfornob2A,whereba,isitthecasethataRb.Porejemplo,un
collectionofdifferentsizedboxesmaycontainseveralmaximalboxesthatdon't
fitinsideanyotherbox,yetithasnosinglemaximumboxintowhichanyother
boxwillfit.3
ArelationRonasetAisatotalrelationifforallab2A,wehaveaRb
orbRa(orboth),thatis,ifeverypairingofelementsofAisrelatedbyR.A
partialorderthatisalsoatotalrelationisatotalorderorlinearorder.Porejemplo,
therelationisatotalorderonthenaturalnumbers,buttheisadescendant
ofrelationisnotatotalorderonthesetofallpeople,sincethereareindividuals
neitherofwhomisdescendedfromtheother.Atotalrelationthatistransitive,but
notnecessarilyreflexiveandantisymmetric,isatotalpreorder.
Exercises
B.21
ProvethatthesubsetrelationonallsubsetsofZisapartialorderbutnota
totalorder.
B.22
Showthatforanypositiveintegern,therelationequivalentmodulonisanequiv
alencerelationontheintegers.(Wesaythatab.modn/ifthereexistsan
integerqsuchthatabDqn.)Intowhatequivalenceclassesdoesthisrelation
partitiontheintegers?
B.23
Giveexamplesofrelationsthatare
a.reflexiveandsymmetricbutnottransitive,
segundo.reflexiveandtransitivebutnotsymmetric,
do.symmetricandtransitivebutnotreflexive.
3Tobeprecise,inorderforthefitinsiderelationtobeapartialorder,weneedtoviewaboxas
fittinginsideitself.
Pgina287
B.24
LetSbeafiniteset,andletRbeanequivalencerelationonS S.Showthatif
inadditionRisantisymmetric,thentheequivalenceclassesofSwithrespecttoR
aresingletons.
B.25
ProfessorNarcissusclaimsthatifarelationRissymmetricandtransitive,thenitis
alsoreflexive.Heoffersthefollowingproof.Bysymmetry,aRbimpliesbRa.
Transitivity,therefore,impliesaRa.Istheprofessorcorrect?
B.3Functions
GiventwosetsAandB,afunctionfisabinaryrelationonAandBsuchthat
foralla2A,thereexistspreciselyoneb2Bsuchthat.ab/2f.ThesetAis
calledthedomainoff,andthesetBiscalledthecodomainoff.Wesometimes
writefWA!Bandif.ab/2f,wewritebDf.a/,sincebisuniquely
determinedbythechoiceofa.
Intuitively,thefunctionfassignsanelementofBtoeachelementofA.No
elementofAisassignedtwodifferentelementsofB,butthesameelementofB
canbeassignedtotwodifferentelementsofA.Forexample,thebinaryrelation
fDfab/Wab2NandbDamod2g
isafunctionfWN!f01g,sinceforeachnaturalnumbera,thereisexactlyone
valuebinf01gsuchthatbDamod2.Forthisexample,0Df.0/,1Df.1/,
0Df.2/,etc.Incontrast,thebinaryrelation
gDfab/Wab2NandaCbiseveng
isnotafunction,since.13/and.15/arebothing,andthusforthechoiceaD1,
thereisnotpreciselyonebsuchthat.ab/2g.
GivenafunctionfWA!B,ifbDf.a/,wesaythataistheargumentoff
andthatbisthevalueoffata.Wecandefineafunctionbystatingitsvaluefor
everyelementofitsdomain.Forexample,wemightdefinef.n/D2nforn2N,
whichmeansfDfn2n/Wn2Ng.Twofunctionsfandgareequalifthey
havethesamedomainandcodomainandif,forallainthedomain,f.a/Dga/.
Afinitesequenceoflengthnisafunctionfwhosedomainisthesetofn
integersf01:::n1g.Weoftendenoteafinitesequencebylistingitsvalues:
hf.0/f.1/:::f.n1/i.Aninfinitesequenceisafunctionwhosedomainis
thesetNofnaturalnumbers.Forexample,theFibonaccisequence,definedby
recurrence(3.22),istheinfinitesequenceh01123581321:::i.
Pgina288
B.3Functions 1167
WhenthedomainofafunctionfisaCartesianproduct,weoftenomittheextra
parenthesessurroundingtheargumentoff.Forexample,ifwehadafunction
fWA1 A2 An!B,wewouldwritebDf.a1a2:::an/instead
ofbDf..a1a2:::an//.Wealsocalleachaianargumenttothefunctionf,
thoughtechnicallythe(single)argumenttofisthentuple.a1a2:::an/.
IffWA!BisafunctionandbDf.a/,thenwesometimessaythatbisthe
imageofaunderf.TheimageofasetA0Aunderfisdefinedby
f.A0/Dfb2BWbDf.a/forsomea2A0g:
Therangeoffistheimageofitsdomain,thatis,f.A/.Forexample,therange
ofthefunctionfWN!Ndefinedbyf.n/D2nisfN/DfmWmD2nfor
somen2Ng,inotherwords,thesetofnonnegativeevenintegers.
Afunctionisasurjectionifitsrangeisitscodomain.Forexample,thefunction
f.n/Dbn=2cisasurjectivefunctionfromNtoN,sinceeveryelementinN
appearsasthevalueoffforsomeargument.Incontrast,thefunctionf.n/D2n
isnotasurjectivefunctionfromNtoN,sincenoargumenttofcanproduce3asa
valor.Thefunctionf.n/D2nis,however,asurjectivefunctionfromthenatural
numberstotheevennumbers.AsurjectionfWA!Bissometimesdescribedas
mappingAontoB.Whenwesaythatfisonto,wemeanthatitissurjective.
AfunctionfWA!Bisaninjectionifdistinctargumentstofproduce
distinctvalues,thatis,ifaa0impliesf.a/f.a0/.Forexample,thefunction
f.n/D2nisaninjectivefunctionfromNtoN,sinceeachevennumberbisthe
imageunderfofatmostoneelementofthedomain,namelyb=2.Thefunction
f.n/Dbn=2cisnotinjective,sincethevalue1isproducedbytwoarguments:2
and3.Aninjectionissometimescalledaonetoonefunction.
AfunctionfWA!Bisabijectionifitisinjectiveandsurjective.Porejemplo,
thefunctionf.n/D.1/ndn=2eisabijectionfromNtoZ:
0!0
1! 1
2!1
3! 2
4!2
Thefunctionisinjective,sincenoelementofZistheimageofmorethanone
elementofN.Itissurjective,sinceeveryelementofZappearsastheimageof
someelementofN.Hence,thefunctionisbijective.Abijectionissometimes
calledaonetoonecorrespondence,sinceitpairselementsinthedomainand
codomain.AbijectionfromasetAtoitselfissometimescalledapermutation.
Whenafunctionfisbijective,wedefineitsinversef1as
f1.b/Daifandonlyiff.a/Db:
Pgina289
Forexample,theinverseofthefunctionf.n/D.1/ndn=2eis
(
2m ifm 0
f1.m/D
2m1ifm<0:
Exercises
B.31
LetAandBbefinitesets,andletfWA!Bbeafunction.Showthat
a.iffisinjective,thenjAjjBj
segundo.iffissurjective,thenjAjjBj.
B.32
Isthefunctionf.x/DxC1bijectivewhenthedomainandthecodomainareN?
IsitbijectivewhenthedomainandthecodomainareZ?
B.33
Giveanaturaldefinitionfortheinverseofabinaryrelationsuchthatifarelation
isinfactabijectivefunction,itsrelationalinverseisitsfunctionalinverse.
B.34?
GiveabijectionfromZtoZZ.
B.4Graphs
Thissectionpresentstwokindsofgraphs:directedandundirected.Certaindef
initionsintheliteraturedifferfromthosegivenhere,butforthemostpart,the
differencesareslight.Section22.1showshowwecanrepresentgraphsincom
putermemory.
Adirectedgraph(ordigraph)Gisapair.VE/,whereVisafinitesetandE
isabinaryrelationonV.ThesetViscalledthevertexsetofG,anditselements
arecalledvertices(singular:vertex).ThesetEiscalledtheedgesetofG,andits
elementsarecallededges.FigureB.2(a)isapictorialrepresentationofadirected
graphonthevertexsetf123456g.Verticesarerepresentedbycirclesinthe
figure,andedgesarerepresentedbyarrows.Notethatselfloopsedgesfroma
vertextoitselfarepossible.
InanundirectedgraphGD.VE/,theedgesetEconsistsofunordered
pairsofvertices,ratherthanorderedpairs.Thatis,anedgeisasetfug,where
Pgina290
B.4Graphs 1169
1 2 3 1 2 3 1 2 3
4 5 6 4 5 6 6
(un) (segundo) (do)
FigureB.2Directedandundirectedgraphs.(a)AdirectedgraphGD.VE/,whereVD
f123456gandEDf.12/.22/.24/.25/.41/.45/.54/.63/g.Theedge.22
isaselfloop.(b)AnundirectedgraphGD.VE/,whereVDf123456gandED
f.12/.15/.25/.36/g.Thevertex4isisolated.(c)Thesubgraphofthegraphinpart(a)
inducedbythevertexsetf1236g.
u2Vandu.Byconvention,weusethenotation.u/foranedge,rather
thanthesetnotationfug,andweconsider.u/and.u/tobethesameedge.
Inanundirectedgraph,selfloopsareforbidden,andsoeveryedgeconsistsoftwo
distinctvertices.FigureB.2(b)isapictorialrepresentationofanundirectedgraph
onthevertexsetf123456g.
Manydefinitionsfordirectedandundirectedgraphsarethesame,althoughcer
taintermshaveslightlydifferentmeaningsinthetwocontexts.If.u/isanedge
inadirectedgraphGD.VE/,wesaythat.u/isincidentfromorleaves
vertexuandisincidenttoorentersvertex.Forexample,theedgesleavingver
tex2inFigureB.2(a)are.22/,.24/,and.25/.Theedgesenteringvertex2are
.12/and.22/.If.u/isanedgeinanundirectedgraphGD.VE/,wesay
that.u/isincidentonverticesuand.InFigureB.2(b),theedgesincidenton
vertex2are.12/and.25/.
If.u/isanedgeinagraphGD.VE/,wesaythatvertexisadjacentto
vertexu.Whenthegraphisundirected,theadjacencyrelationissymmetric.Cuando
thegraphisdirected,theadjacencyrelationisnotnecessarilysymmetric.Ifis
adjacenttouinadirectedgraph,wesometimeswriteu!.Inparts(a)and(b)
ofFigureB.2,vertex2isadjacenttovertex1,sincetheedge.12/belongstoboth
Grficos.Vertex1isnotadjacenttovertex2inFigureB.2(a),sincetheedge.21/
doesnotbelongtothegraph.
Thedegreeofavertexinanundirectedgraphisthenumberofedgesincidenton
eso.Forexample,vertex2inFigureB.2(b)hasdegree2.Avertexwhosedegreeis0,
suchasvertex4inFigureB.2(b),isisolated.Inadirectedgraph,theoutdegree
ofavertexisthenumberofedgesleavingit,andtheindegreeofavertexisthe
numberofedgesenteringit.Thedegreeofavertexinadirectedgraphisitsin
Page291
degreeplusitsoutdegree.Vertex2inFigureB.2(a)hasindegree2,outdegree3,
anddegree5.
Apathoflengthkfromavertexutoavertexu0inagraphGD.VE/
isasequenceh012:::kiofverticessuchthatuD0,u0Dk,and
.i1i/2EforiD12:::KThelengthofthepathisthenumberof
edgesinthepath.Thepathcontainsthevertices01:::kandtheedges
.01/.12/:::.k1k/.(Thereisalwaysa0lengthpathfromutou.)If
thereisapathpfromutou0,wesaythatu0isreachablefromuviap,whichwe
sometimeswriteasu u pag0ifGisdirected.Apathissimple4ifallverticesinthe
patharedistinct.InFigureB.2(a),thepathh1254iisasimplepathoflength3.
Thepathh2545iisnotsimple.
AsubpathofpathpDh01:::kiisacontiguoussubsequenceofitsver
TicesThatis,forany0ijk,thesubsequenceofverticeshiiC1:::ji
isasubpathofp.
Inadirectedgraph,apathh01:::kiformsacycleif0Dkandthe
pathcontainsatleastoneedge.Thecycleissimpleif,inaddition,12:::K
aredistinct.Aselfloopisacycleoflength1.Twopathsh012:::k10i
andh000102:::0
k10 0iformthesamecycleifthereexistsanintegerjsuch
that0 iD.iCj/modkforiD01:::k1.InFigureB.2(a),thepathh1241i
formsthesamecycleasthepathsh2412iandh4124i.Thiscycleissimple,
butthecycleh124541iisnot.Thecycleh22iformedbytheedge.22/is
aselfloop.Adirectedgraphwithnoselfloopsissimple.Inanundirectedgraph,
apathh01:::kiformsacycleifk 3and0Dkthecycleissimpleif
12:::karedistinct.Forexample,inFigureB.2(b),thepathh1251iisa
simplecycle.Agraphwithnocyclesisacyclic.
Anundirectedgraphisconnectedifeveryvertexisreachablefromallother
VrticesTheconnectedcomponentsofagrapharetheequivalenceclassesof
verticesundertheisreachablefromrelation.ThegraphinFigureB.2(b)has
threeconnectedcomponents:f125g,f36g,andf4g.Everyvertexinf125gis
reachablefromeveryothervertexinf125g.Anundirectedgraphisconnected
ifithasexactlyoneconnectedcomponent.Theedgesofaconnectedcomponent
arethosethatareincidentononlytheverticesofthecomponentinotherwords,
edge.u/isanedgeofaconnectedcomponentonlyifbothuandarevertices
ofthecomponent.
Adirectedgraphisstronglyconnectedifeverytwoverticesarereachablefrom
Elunoalotro.Thestronglyconnectedcomponentsofadirectedgrapharetheequiv
4Someauthorsrefertowhatwecallapathasawalkandtowhatwecallasimplepathasjusta
path.Weusethetermspathandsimplepaththroughoutthisbookinamannerconsistentwith
theirdefinitions.
Pgina292
B.4Graphs 1171
1 2 1 2
GRAMO 6 3
5 3
5 4 4
G Usted V W x Y Z Usted V W x Y
(un) (segundo)
FigureB.3(a)Apairofisomorphicgraphs.Theverticesofthetopgrapharemappedtothe
verticesofthebottomgraphbyf.1/Duf.2/Df.3/Dwf.4/Dxf.5/Dyf.6/D.
(b)Twographsthatarenotisomorphic,sincethetopgraphhasavertexofdegree4andthebottom
graphdoesnot.
alenceclassesofverticesunderthearemutuallyreachablerelation.Adirected
graphisstronglyconnectedifithasonlyonestronglyconnectedcomponent.los
graphinFigureB.2(a)hasthreestronglyconnectedcomponents:f1245g,f3g,
andf6g.Allpairsofverticesinf1245garemutuallyreachable.Thever
ticesf36gdonotformastronglyconnectedcomponent,sincevertex6cannot
bereachedfromvertex3.
TwographsGD.VE/andG0D.V0E0/areisomorphicifthereexistsa
bijectionfWV!V0suchthat.u/2Eifandonlyif.f.u/F.//2E0.
Inotherwords,wecanrelabeltheverticesofGtobeverticesofG0,maintain
ingthecorrespondingedgesinGandG0.FigureB.3(a)showsapairofiso
morphicgraphsGandG0withrespectivevertexsetsVDf123456gand
V0Dfuwxyg.ThemappingfromVtoV0givenbyf.1/Duf.2/D
f.3/Dwf.4/Dxf.5/Dyf.6/Dprovidestherequiredbijectivefunc
Cin.ThegraphsinFigureB.3(b)arenotisomorphic.Althoughbothgraphshave
5verticesand7edges,thetopgraphhasavertexofdegree4andthebottomgraph
doesnot.
WesaythatagraphG0D.V0E0/isasubgraphofGD.VE/ifV0V
andE0E.GivenasetV0V,thesubgraphofGinducedbyV0isthegraph
G0D.V0E0/,where
E0Dfu/2EWu2V0g:
Pgina293
Thesubgraphinducedbythevertexsetf1236ginFigureB.2(a)appearsin
FigureB.2(c)andhastheedgesetf.12/.22/.63/g.
GivenanundirectedgraphGD.VE/,thedirectedversionofGisthedirected
graphG0D.VE0/,where.u/2E0ifandonlyif.u/2E.Thatis,we
replaceeachundirectededge.u/inGbythetwodirectededges.u/and.u/
inthedirectedversion.GivenadirectedgraphGD.VE/,theundirectedversion
ofGistheundirectedgraphG0D.VE0/,where.u/2E0ifandonlyifu
and.u/2E.Thatis,theundirectedversioncontainstheedgesofGwith
theirdirectionsremovedandwithselfloopseliminated.(Since.u/and.u/
arethesameedgeinanundirectedgraph,theundirectedversionofadirected
graphcontainsitonlyonce,evenifthedirectedgraphcontainsbothedges.u/
Y.u/.)InadirectedgraphGD.VE/,aneighborofavertexuisanyvertex
thatisadjacenttouintheundirectedversionofG.Thatis,isaneighborofuif
uandeither.u/2Eor.u/2E.Inanundirectedgraph,uandare
neighborsiftheyareadjacent.
Severalkindsofgraphshavespecialnames.Acompletegraphisanundirected
graphinwhicheverypairofverticesisadjacent.Abipartitegraphisanundirected
graphGD.VE/inwhichVcanbepartitionedintotwosetsV1andV2suchthat
.u/2Eimplieseitheru2V1and2V2oru2V2and2V1.Thatis,all
edgesgobetweenthetwosetsV1andV2.Anacyclic,undirectedgraphisaforest,
andaconnected,acyclic,undirectedgraphisa(free)tree(seeSectionB.5).Nosotros
oftentakethefirstlettersofdirectedacyclicgraphandcallsuchagraphadag.
Therearetwovariantsofgraphsthatyoumayoccasionallyencounter.Amulti
graphislikeanundirectedgraph,butitcanhavebothmultipleedgesbetweenver
ticesandselfloops.Ahypergraphislikeanundirectedgraph,buteachhyperedge,
ratherthanconnectingtwovertices,connectsanarbitrarysubsetofvertices.Muchos
algorithmswrittenforordinarydirectedandundirectedgraphscanbeadaptedto
runonthesegraphlikestructures.
ThecontractionofanundirectedgraphGD.VE/byanedgeeD.u/isa
graphG0D.V0E0/,whereV0DV fug[fxgandxisanewvertex.Theset
ofedgesE0isformedfromEbydeletingtheedge.u/and,foreachvertexw
incidentonuor,deletingwhicheverof.uw/and.w/isinEandaddingthe
newedge.xw/.Ineffect,uandarecontractedintoasinglevertex.
Exercises
B.41
Attendeesofafacultypartyshakehandstogreeteachother,andeachprofessor
remembershowmanytimesheorsheshookhands.Attheendoftheparty,the
departmentheadaddsupthenumberoftimesthateachprofessorshookhands.
Page294
B.5Trees 1173
Showthattheresultisevenbyprovingthehandshakinglemma:ifGD.VE/is
anundirectedgraph,then
x
degree./D2jEj:
2V
B.42
Showthatifadirectedorundirectedgraphcontainsapathbetweentwoverticesu
and,thenitcontainsasimplepathbetweenuand.Showthatifadirectedgraph
containsacycle,thenitcontainsasimplecycle.
B.43
Showthatanyconnected,undirectedgraphGD.VE/satisfiesjEjjVj1.
B.44
Verifythatinanundirectedgraph,theisreachablefromrelationisanequiv
alencerelationontheverticesofthegraph.Whichofthethreepropertiesofan
equivalencerelationholdingeneralfortheisreachablefromrelationonthe
verticesofadirectedgraph?
B.45
WhatistheundirectedversionofthedirectedgraphinFigureB.2(a)?Culesel
directedversionoftheundirectedgraphinFigureB.2(b)?
B.46?
Showthatwecanrepresentahypergraphbyabipartitegraphifweletincidencein
thehypergraphcorrespondtoadjacencyinthebipartitegraph.(Hint:Letoneset
ofverticesinthebipartitegraphcorrespondtoverticesofthehypergraph,andlet
theothersetofverticesofthebipartitegraphcorrespondtohyperedges.)
B.5Trees
Aswithgraphs,therearemanyrelated,butslightlydifferent,notionsoftrees.Esta
sectionpresentsdefinitionsandmathematicalpropertiesofseveralkindsoftrees.
Sections10.4and22.1describehowwecanrepresenttreesincomputermemory.
B.5.1Freetrees
AsdefinedinSectionB.4,afreetreeisaconnected,acyclic,undirectedgraph.Nosotros
oftenomittheadjectivefreewhenwesaythatagraphisatree.Ifanundirected
graphisacyclicbutpossiblydisconnected,itisaforest.Manyalgorithmsthatwork
Pgina295
(un) (segundo) (do)
FigureB.4(a)Afreetree.(b)Aforest.(c)Agraphthatcontainsacycleandisthereforeneither
atreenoraforest.
fortreesalsoworkforforests.FigureB.4(a)showsafreetree,andFigureB.4(b)
showsaforest.TheforestinFigureB.4(b)isnotatreebecauseitisnotconnected.
ThegraphinFigureB.4(c)isconnectedbutneitheratreenoraforest,becauseit
containsacycle.
Thefollowingtheoremcapturesmanyimportantfactsaboutfreetrees.
TheoremB.2(Propertiesoffreetrees)
LetGD.VE/beanundirectedgraph.Thefollowingstatementsareequivalent.
1.Gisafreetree.
2.AnytwoverticesinGareconnectedbyauniquesimplepath.
3.Gisconnected,butifanyedgeisremovedfromE,theresultinggraphisdis
conectado.
4.Gisconnected,andjEjDjVj1.
5.Gisacyclic,andjEjDjVj1.
6.Gisacyclic,butifanyedgeisaddedtoE,theresultinggraphcontainsacycle.
Proof(1))(2):Sinceatreeisconnected,anytwoverticesinGareconnected
byatleastonesimplepath.Suppose,forthesakeofcontradiction,thatverticesu
andareconnectedbytwodistinctsimplepathsp1andp2,asshowninFigureB.5.
Letwbethevertexatwhichthepathsfirstdivergethatis,wisthefirstvertex
onbothp1andp2whosesuccessoronp1isxandwhosesuccessoronp2isy,
wherexy.Letbethefirstvertexatwhichthepathsreconvergethatis,is
thefirstvertexfollowingwonp1thatisalsoonp2.Letp0bethesubpathofp1
fromwthroughxto,andletp00bethesubpathofp2fromwthroughyto.
Pathsp0andp00sharenoverticesexcepttheirendpoints.Thus,thepathobtainedby
concatenatingp0andthereverseofp00isacycle,whichcontradictsourassumption
Pgina296
B.5Trees 1175
x
W V
Y Z
Usted
p
FigureB.5AstepintheproofofTheoremB.2:if(1)Gisafreetree,then(2)anytwovertices
inGareconnectedbyauniquesimplepath.Assumeforthesakeofcontradictionthatverticesu
andareconnectedbytwodistinctsimplepathsp1andp2.Thesepathsfirstdivergeatvertexw,
andtheyfirstreconvergeatvertex.Thepathp0concatenatedwiththereverseofthepathp00forms
acycle,whichyieldsthecontradiction.
thatGisatree.Thus,ifGisatree,therecanbeatmostonesimplepathbetween
twovertices.
(2))(3):IfanytwoverticesinGareconnectedbyauniquesimplepath,
thenGisconnected.Let.u/beanyedgeinE.Thisedgeisapathfromuto,
andsoitmustbetheuniquepathfromuto.Ifweremove.u/fromG,there
isnopathfromuto,andhenceitsremovaldisconnectsG.
(3))(4):Byassumption,thegraphGisconnected,andbyExerciseB.43,we
havejEjjVj1.WeshallprovejEjjVj1byinduction.Aconnected
graphwithnD1ornD2verticeshasn1edges.SupposethatGhasn 3
verticesandthatallgraphssatisfying(3)withfewerthannverticesalsosatisfy
jEjjVj1.RemovinganarbitraryedgefromGseparatesthegraphintok 2
connectedcomponents(actuallykD2).Eachcomponentsatisfies(3),orelseG
wouldnotsatisfy(3).IfwevieweachconnectedcomponentVi,withedgesetEi,
asitsownfreetree,thenbecauseeachcomponenthasfewerthanjVjvertices,by
theinductivehypothesiswehavejEijjVij1.Thus,thenumberofedgesinall
componentscombinedisatmostjVjkjVj2.Addingintheremovededge
yieldsjEjjVj1.
(4))(5):SupposethatGisconnectedandthatjEjDjVj1.Wemustshow
thatGisacyclic.SupposethatGhasacyclecontainingkvertices12:::k,
andwithoutlossofgeneralityassumethatthiscycleissimple.LetGkD.VkEk/
bethesubgraphofGconsistingofthecycle.NotethatjVkjDjEkjDk.
Ifk<jVj,theremustbeavertexkC12V Vkthatisadjacenttosomever
texi2Vk,sinceGisconnected.DefineGkC1D.VkC1EkC1/tobethesub
graphofGwithVkC1DVk[fkC1gandEkC1DEk[f.ikC1/g.Tengaencuentaque
jVkC1jDjEkC1jDkC1.IfkC1<jVj,wecancontinue,definingGkC2in
thesamemanner,andsoforth,untilweobtainGnD.VnEn/,wherenDjVj,
Page297
VnDV,andjEnjDjVnjDjVj.SinceGnisasubgraphofG,wehaveEnE,
andhencejEjjVj,whichcontradictstheassumptionthatjEjDjVj1.Thus,
Gisacyclic.
(5))(6):SupposethatGisacyclicandthatjEjDjVj1.Letkbethe
numberofconnectedcomponentsofG.Eachconnectedcomponentisafreetree
bydefinition,andsince(1)implies(5),thesumofalledgesinallconnectedcom
ponentsofGisjVjk.Consequently,wemusthavekD1,andGisinfacta
rbol.Since(1)implies(2),anytwoverticesinGareconnectedbyauniquesimple
camino.Thus,addinganyedgetoGcreatesacycle.
(6))(1):SupposethatGisacyclicbutthataddinganyedgetoEcreatesa
ciclo.WemustshowthatGisconnected.LetuandbearbitraryverticesinG.
Ifuandarenotalreadyadjacent,addingtheedge.u/createsacycleinwhich
alledgesbut.u/belongtoG.Thus,thecycleminusedge.u/mustcontaina
pathfromuto,andsinceuandwerechosenarbitrarily,Gisconnected.
B.5.2Rootedandorderedtrees
Arootedtreeisafreetreeinwhichoneoftheverticesisdistinguishedfromthe
otros.Wecallthedistinguishedvertextherootofthetree.Weoftenrefertoa
vertexofarootedtreeasanode5ofthetree.FigureB.6(a)showsarootedtreeon
asetof12nodeswithroot7.
ConsideranodexinarootedtreeTwithrootr.Wecallanynodeyonthe
uniquesimplepathfromrtoxanancestorofx.Ifyisanancestorofx,thenxis
adescendantofy.(Everynodeisbothanancestorandadescendantofitself.)Ify
isanancestorofxandxy,thenyisaproperancestorofxandxisaproper
descendantofy.Thesubtreerootedatxisthetreeinducedbydescendantsofx,
rootedatx.Forexample,thesubtreerootedatnode8inFigureB.6(a)contains
nodes8,6,5,and9.
IfthelastedgeonthesimplepathfromtherootrofatreeTtoanodexis.yx/,
thenyistheparentofx,andxisachildofy.TherootistheonlynodeinTwith
noparent.Iftwonodeshavethesameparent,theyaresiblings.Anodewithno
childrenisaleaforexternalnode.Anonleafnodeisaninternalnode.
5Thetermnodeisoftenusedinthegraphtheoryliteratureasasynonymforvertex.Wereserve
thetermnodetomeanavertexofarootedtree.
Pgina298
B.5Trees 1177
7 depth0 7
3 10 4 depth1 3 10 4
height=4 8 12 11 2 depth2 12 8 11 2
6 5 1 depth3 1 6 5
9 Profundidad4 9
(un) (segundo)
FigureB.6Rootedandorderedtrees.(a)Arootedtreewithheight4.Thetreeisdrawnina
standardway:theroot(node7)isatthetop,itschildren(nodeswithdepth1)arebeneathit,their
children(nodeswithdepth2)arebeneaththem,andsoforth.Ifthetreeisordered,therelativeleft
torightorderofthechildrenofanodemattersotherwiseitdoesn't.(b)Anotherrootedtree.Comoun
rootedtree,itisidenticaltothetreein(a),butasanorderedtreeitisdifferent,sincethechildrenof
node3appearinadifferentorder.
ThenumberofchildrenofanodexinarootedtreeTequalsthedegreeofx.6
ThelengthofthesimplepathfromtherootrtoanodexisthedepthofxinT.
Alevelofatreeconsistsofallnodesatthesamedepth.Theheightofanodeina
treeisthenumberofedgesonthelongestsimpledownwardpathfromthenodeto
aleaf,andtheheightofatreeistheheightofitsroot.Theheightofatreeisalso
equaltothelargestdepthofanynodeinthetree.
Anorderedtreeisarootedtreeinwhichthechildrenofeachnodeareordered.
Thatis,ifanodehaskchildren,thenthereisafirstchild,asecondchild,...,
andakthchild.ThetwotreesinFigureB.6aredifferentwhenconsideredtobe
orderedtrees,butthesamewhenconsideredtobejustrootedtrees.
B.5.3Binaryandpositionaltrees
Wedefinebinarytreesrecursively.AbinarytreeTisastructuredefinedonafinite
setofnodesthateither
containsnonodes,or
6NoticethatthedegreeofanodedependsonwhetherweconsiderTtobearootedtreeorafreetree.
Thedegreeofavertexinafreetreeis,asinanyundirectedgraph,thenumberofadjacentvertices.
Inarootedtree,however,thedegreeisthenumberofchildrentheparentofanodedoesnotcount
towarditsdegree.
Pgina299
3 3 3
2 7 2 7 2 7
4 1 5 4 1 5 4 1 5
6 6 6
(un) (segundo) (do)
FigureB.7Binarytrees.(a)Abinarytreedrawninastandardway.Theleftchildofanodeis
drawnbeneaththenodeandtotheleft.Therightchildisdrawnbeneathandtotheright.(b)Abinary
treedifferentfromtheonein(a).In(a),theleftchildofnode7is5andtherightchildisabsent.
In(b),theleftchildofnode7isabsentandtherightchildis5.Asorderedtrees,thesetreesare
thesame,butasbinarytrees,theyaredistinct.(c)Thebinarytreein(a)representedbytheinternal
nodesofafullbinarytree:anorderedtreeinwhicheachinternalnodehasdegree2.Theleavesin
thetreeareshownassquares.
iscomposedofthreedisjointsetsofnodes:arootnode,abinarytreecalledits
leftsubtree,andabinarytreecalleditsrightsubtree.
Thebinarytreethatcontainsnonodesiscalledtheemptytreeornulltree,some
timesdenotedNIL.Iftheleftsubtreeisnonempty,itsrootiscalledtheleftchildof
therootoftheentiretree.Likewise,therootofanonnullrightsubtreeistheright
childoftherootoftheentiretree.IfasubtreeisthenulltreeNIL,wesaythatthe
childisabsentormissing.FigureB.7(a)showsabinarytree.
Abinarytreeisnotsimplyanorderedtreeinwhicheachnodehasdegreeat
most2.Forexample,inabinarytree,ifanodehasjustonechild,theposition
ofthechildwhetheritistheleftchildortherightchildmatters.Inanor
deredtree,thereisnodistinguishingasolechildasbeingeitherleftorright.Higo
ureB.7(b)showsabinarytreethatdiffersfromthetreeinFigureB.7(a)becauseof
thepositionofonenode.Consideredasorderedtrees,however,thetwotreesare
idntico.
Wecanrepresentthepositioninginformationinabinarytreebytheinternal
nodesofanorderedtree,asshowninFigureB.7(c).Theideaistoreplaceeach
missingchildinthebinarytreewithanodehavingnochildren.Theseleafnodes
aredrawnassquaresinthefigure.Thetreethatresultsisafullbinarytree:each
nodeiseitheraleaforhasdegreeexactly2.Therearenodegree1nodes.Conse
quently,theorderofthechildrenofanodepreservesthepositioninformation.
Wecanextendthepositioninginformationthatdistinguishesbinarytreesfrom
orderedtreestotreeswithmorethan2childrenpernode.Inapositionaltree,the
Pgina300
B.5Trees 1179
depth0
depth1
height=3
depth2
depth3
FigureB.8Acompletebinarytreeofheight3with8leavesand7internalnodes.
childrenofanodearelabeledwithdistinctpositiveintegers.Theithchildofa
nodeisabsentifnochildislabeledwithintegeri.Akarytreeisapositionaltree
inwhichforeverynode,allchildrenwithlabelsgreaterthankaremissing.As,
abinarytreeisakarytreewithkD2.
Acompletekarytreeisakarytreeinwhichallleaveshavethesamedepth
andallinternalnodeshavedegreek.FigureB.8showsacompletebinarytreeof
height3.Howmanyleavesdoesacompletekarytreeofheighthhave?Theroot
haskchildrenatdepth1,eachofwhichhaskchildrenatdepth2,etc.Thus,the
numberofleavesatdepthhiskh.Consequently,theheightofacompletekary
treewithnleavesislogkn.Thenumberofinternalnodesofacompletekarytree
ofheighthis
xH1
1CkCk2CCkh1 re ki
ID0
kh 1
re
k1
byequation(A.5).Thus,acompletebinarytreehas2h 1internalnodes.
Exercises
B.51
Drawallthefreetreescomposedofthethreeverticesx,y,and.Drawallthe
rootedtreeswithnodesx,y,andwithxastheroot.Drawalltheorderedtrees
withnodesx,y,andwithxastheroot.Drawallthebinarytreeswithnodesx,
y,andwithxastheroot.
Page301
B.52
LetGD.VE/beadirectedacyclicgraphinwhichthereisavertex02V
suchthatthereexistsauniquepathfrom0toeveryvertex2V.Provethatthe
undirectedversionofGformsatree.
B.53
Showbyinductionthatthenumberofdegree2nodesinanynonemptybinarytree
is1fewerthanthenumberofleaves.Concludethatthenumberofinternalnodes
inafullbinarytreeis1fewerthanthenumberofleaves.
B.54
Useinductiontoshowthatanonemptybinarytreewithnnodeshasheightat
leastblgnc.
B.55?
Theinternalpathlengthofafullbinarytreeisthesum,takenoverallinternal
nodesofthetree,ofthedepthofeachnode.Likewise,theexternalpathlengthis
thesum,takenoverallleavesofthetree,ofthedepthofeachleaf.Considerafull
binarytreewithninternalnodes,internalpathlengthi,andexternalpathlengthe.
ProvethateDiC2n.
B.56?
Letusassociateaweightwx/D2dwitheachleafxofdepthdinabinary
PAG
treeT,andletLbethesetofleavesofT.Provethat
x2Lwx/1.(Thisis
knownastheKraftinequality.)
B.57?
ShowthatifL 2,theneverybinarytreewithLleavescontainsasubtreehaving
betweenL=3and2L=3leaves,inclusive.
Problemas
B1Graphcoloring
GivenanundirectedgraphGD.VE/,akcoloringofGisafunctioncWV!
f01:::k1gsuchthatcu/c./foreveryedge.u/2E.Inotherwords,
thenumbers01:::k1representthekcolors,andadjacentverticesmusthave
differentcolors.
a.Showthatanytreeis2colorable.
Pgina302
ProblemsforAppendixB 1181
segundo.Showthatthefollowingareequivalent:
1.Gisbipartite.
2.Gis2colorable.
3.Ghasnocyclesofoddlength.
do.LetdbethemaximumdegreeofanyvertexinagraphG.Provethatwecan
colorGwithdC1colors.
pag
re.ShowthatifGhasO.jVj/edges,thenwecancolorGwithO. jVj/colors.
B2Friendlygraphs
Rewordeachofthefollowingstatementsasatheoremaboutundirectedgraphs,
andthenproveit.Assumethatfriendshipissymmetricbutnotreflexive.
a.Anygroupofatleasttwopeoplecontainsatleasttwopeoplewiththesame
numberoffriendsinthegroup.
segundo.Everygroupofsixpeoplecontainseitheratleastthreemutualfriendsoratleast
threemutualstrangers.
do.Anygroupofpeoplecanbepartitionedintotwosubgroupssuchthatatleast
halfthefriendsofeachpersonbelongtothesubgroupofwhichthatpersonis
notamember.
re.Ifeveryoneinagroupisthefriendofatleasthalfthepeopleinthegroup,then
thegroupcanbeseatedaroundatableinsuchawaythateveryoneisseated
betweentwofriends.
B3Bisectingtrees
Manydivideandconqueralgorithmsthatoperateongraphsrequirethatthegraph
bebisectedintotwonearlyequalsizedsubgraphs,whichareinducedbyapartition
ofthevertices.Thisprobleminvestigatesbisectionsoftreesformedbyremovinga
smallnumberofedges.Werequirethatwhenevertwoverticesendupinthesame
subtreeafterremovingedges,thentheymustbeinthesamepartition.
a.Showthatwecanpartitiontheverticesofanynvertexbinarytreeintotwo
setsAandB,suchthatjAj3n=4andjBj3n=4,byremovingasingle
borde.
segundo.Showthattheconstant3=4inpart(a)isoptimalintheworstcasebygiving
anexampleofasimplebinarytreewhosemostevenlybalancedpartitionupon
removalofasingleedgehasjAjD3n=4.
Pgina303
do.ShowthatbyremovingatmostO.lgn/edges,wecanpartitionthevertices
ofanynvertexbinarytreeintotwosetsAandBsuchthatjAjDbn=2c
andjBjDdn=2e.
Appendixnotes
G.Boolepioneeredthedevelopmentofsymboliclogic,andheintroducedmanyof
thebasicsetnotationsinabookpublishedin1854.Modernsettheorywascreated
byG.Cantorduringtheperiod18741895.Cantorfocusedprimarilyonsetsof
infinitecardinality.ThetermfunctionisattributedtoGWLeibniz,whousedit
torefertoseveralkindsofmathematicalformulas.Hislimiteddefinitionhasbeen
generalizedmanytimes.Graphtheoryoriginatedin1736,whenL.Eulerproved
thatitwasimpossibletocrosseachofthesevenbridgesinthecityofKnigsberg
exactlyonceandreturntothestartingpoint.
ThebookbyHarary[160]providesausefulcompendiumofmanydefinitions
andresultsfromgraphtheory.
Pgina304
do CountingandProbability
Thisappendixreviewselementarycombinatoricsandprobabilitytheory.Situ
haveagoodbackgroundintheseareas,youmaywanttoskimthebeginningofthis
appendixlightlyandconcentrateonthelatersections.Mostofthisbook'schapters
donotrequireprobability,butforsomechaptersitisessential.
SectionC.1reviewselementaryresultsincountingtheory,includingstandard
formulasforcountingpermutationsandcombinations.Theaxiomsofprobability
andbasicfactsconcerningprobabilitydistributionsformSectionC.2.Aleatorio
variablesareintroducedinSectionC.3,alongwiththepropertiesofexpectation
andvariance.SectionC.4investigatesthegeometricandbinomialdistributions
thatarisefromstudyingBernoullitrials.Thestudyofthebinomialdistribution
continuesinSectionC.5,anadvanceddiscussionofthetailsofthedistribution.
C.1Counting
CountingtheorytriestoanswerthequestionHowmany?withoutactuallyenu
meratingallthechoices.Forexample,wemightask,Howmanydifferentnbit
numbersarethere?orHowmanyorderingsofndistinctelementsarethere?In
thissection,wereviewtheelementsofcountingtheory.Sincesomeofthematerial
assumesabasicunderstandingofsets,youmightwishtostartbyreviewingthe
materialinSectionB.1.
Rulesofsumandproduct
Wecansometimesexpressasetofitemsthatwewishtocountasaunionofdisjoint
setsorasaCartesianproductofsets.
Theruleofsumsaysthatthenumberofwaystochooseoneelementfromone
oftwodisjointsetsisthesumofthecardinalitiesofthesets.Thatis,ifAandB
aretwofinitesetswithnomembersincommon,thenjA[BjDjAjCjBj,which
Pgina305
1184 AppendixCCountingandProbability
followsfromequation(B.3).Forexample,eachpositiononacar'slicenseplate
isaletteroradigit.Thenumberofpossibilitiesforeachpositionistherefore
26C10D36,sincethereare26choicesifitisaletterand10choicesifitisa
dgito.
Theruleofproductsaysthatthenumberofwaystochooseanorderedpairisthe
numberofwaystochoosethefirstelementtimesthenumberofwaystochoosethe
secondelement.Thatis,ifAandBaretwofinitesets,thenjABjDjAjjBj,
whichissimplyequation(B.4).Forexample,ifanicecreamparloroffers28
flavorsoficecreamand4toppings,thenumberofpossiblesundaeswithonescoop
oficecreamandonetoppingis284D112.
Strings
AstringoverafinitesetSisasequenceofelementsofS.Forexample,thereare8
binarystringsoflength3:
000001010011100101110111:
Wesometimescallastringoflengthkakstring.Asubstrings0ofastrings
isanorderedsequenceofconsecutiveelementsofs.Aksubstringofastring
isasubstringoflengthk.Forexample,010isa3substringof01101001(the
3substringthatbeginsinposition4),but111isnotasubstringof01101001.
WecanviewakstringoverasetSasanelementoftheCartesianproductSk
ofktuplesthus,therearejSj Kstringsoflengthk.Forexample,thenumberof
binarykstringsis2k.Intuitively,toconstructakstringoverannset,wehaven
waystopickthefirstelementforeachofthesechoices,wehavenwaystopickthe
secondelementandsoforthktimes.Thisconstructionleadstothekfoldproduct
nnnDnkasthenumberofkstrings.
Permutations
ApermutationofafinitesetSisanorderedsequenceofalltheelementsofS,
witheachelementappearingexactlyonce.Forexample,ifSDfasegundocg,thenS
has6permutations:
abcacbbacbcacabcba:
Therearenpermutationsofasetofnelements,sincewecanchoosethefirst
elementofthesequenceinnways,thesecondinn1ways,thethirdinn2
ways,andsoon.
AkpermutationofSisanorderedsequenceofkelementsofS,withnoele
mentappearingmorethanonceinthesequence.(Thus,anordinarypermutationis
annpermutationofannset.)Thetwelve2permutationsofthesetfabcdgare
Pgina306
C.1Counting 1185
abacadbabcbdcacbcddadbdc:
Thenumberofkpermutationsofannsetis
n
nn1/.n2/.nkC1/D (C.1)
.nk/
sincewehavenwaystochoosethefirstelement,n1waystochoosethesecond
element,andsoon,untilwehaveselectedkelements,thelastbeingaselection
fromtheremainingnkC1elements.
Combinaciones
AkcombinationofannsetSissimplyaksubsetofS.Forexample,the4set
fabcdghassix2combinations:
abacadbcbdcd:
(Hereweusetheshorthandofdenotingthe2subsetfabgbyab,andsoon.)
Wecanconstructakcombinationofannsetbychoosingkdistinct(different)
elementsfromthenset.Theorderinwhichweselecttheelementsdoesnotmatter.
Wecanexpressthenumberofkcombinationsofannsetintermsofthenumber
ofkpermutationsofannset.Everykcombinationhasexactlykpermutations
ofitselements,eachofwhichisadistinctkpermutationofthenset.Porlotanto,la
numberofkcombinationsofannsetisthenumberofkpermutationsdivided
bykfromequation(C.1),thisquantityis
n
: (C.2)
k.nk/
ForkD0,thisformulatellsusthatthenumberofwaystochoose0elementsfrom
annsetis1(not0),since0D1.
Binomialcoefficients
Thenotation norte (readnchoosek)denotesthenumberofkcombinationsof

K
annset.Fromequation(C.2),wehave
!
norte n
re :
K k.nk/
Thisformulaissymmetricinkandnk:
! !
norte norte
re : (C.3)
K nk
Page307
Thesenumbersarealsoknownasbinomialcoefficients,duetotheirappearancein
thebinomialexpansion:
!
xnortenorte
.xCy/nD xkynk: (C.4)
K
kD0
AspecialcaseofthebinomialexpansionoccurswhenxDyD1:
!
x nortenorte
2nD :
K
kD0
Thisformulacorrespondstocountingthe2nbinarynstringsbythenumberof1s
theycontain: nortebinarynstringscontainexactlyk1s,sincewehave nortewaysto
K K
choosekoutofthenpositionsinwhichtoplacethe1s.
Manyidentitiesinvolvebinomialcoefficients.Theexercisesattheendofthis
sectiongiveyoutheopportunitytoproveafew.
Binomialbounds
Wesometimesneedtoboundthesizeofabinomialcoefficient.For1kn,
wehavethelowerbound
!
norte nn1/.nkC1/
re
K kk1/1
UN UN UN
norte n1 nkC1
re
K k1 1
k
norte
:
K
Takingadvantageoftheinequalityk .k=e/kderivedfromStirling'sapproxi
mation(3.18),weobtaintheupperbounds
!
norte nn1/.nkC1/
re
K kk1/1
nk
UN
k k
En
UN : (C.5)
K
Forallintegersksuchthat0kn,wecanuseinduction(seeExerciseC.112)
toprovethebound
Pgina308
C.1Counting 1187
!
norte nn
UN (C.6)
K kk.nk/nk
whereforconvenienceweassumethat00D1.ForkDn,where01,we
canrewritethisboundas
!
norte nn
UN
norte .n/n..1 /n/.1/n
UN 1 !norte
1 1
re
1
D2nH./
dnde
H./Dlg.1 /lg.1 / (C.7)
isthe(binary)entropyfunctionandwhere,forconvenience,weassumethat
0lg0D0,sothatH.0/DH.1/D0.
Exercises
C.11
Howmanyksubstringsdoesannstringhave?(Consideridenticalksubstringsat
differentpositionstobedifferent.)Howmanysubstringsdoesannstringhavein
total?
C.12
Anninput,moutputbooleanfunctionisafunctionfromfTRUEFALSEg norte
a
fTRUEFALSEg metro
.Howmanyninput,1outputbooleanfunctionsarethere?Cmo
manyninput,moutputbooleanfunctionsarethere?
C.13
Inhowmanywayscannprofessorssitaroundacircularconferencetable?Estafa
sidertwoseatingstobethesameifonecanberotatedtoformtheother.
C.14
Inhowmanywayscanwechoosethreedistinctnumbersfromthesetf12:::99g
sothattheirsumiseven?
Pgina309
C.15
Probarlaidentidad
! !
norte norte n1
re (C.8)
K K k1
for0<kn.
C.16
Probarlaidentidad
! !
norte norte n1
re
K nk K
for0k<n.
C.17
Tochoosekobjectsfromn,youcanmakeoneoftheobjectsdistinguishedand
considerwhetherthedistinguishedobjectischosen.Usethisapproachtoprove
ese ! ! !
norte n1 n1
re do :
K K k1
C.18
UsingtheresultofExerciseC.17,makeatablefornD01:::6and0kn
ofthebinomialcoefficients norte
con 0 atthetop, 1 y 1 onthenextline,and
K 0 0 1
soforth.SuchatableofbinomialcoefficientsiscalledPascal'striangle.
C.19
Provethat !
xnorte nC1
iD :
2
ID1
C.110
Showthatforanyintegersn 0and0kn,theexpressionn achievesits
K
maximumvaluewhenkDbn=2corkDdn=2e.
C.111?
Arguethatforanyintegersn 0,j 0,k 0,andjCkn,
! ! !
norte norteNuevaJersey
UN : (C.9)
jCk J K
Pgina310
C.2Probability 1189
Providebothanalgebraicproofandanargumentbasedonamethodforchoosing
jCkitemsoutofn.Giveanexampleinwhichequalitydoesnothold.
C.112?
Useinductiononallintegersksuchthat0kn=2toproveinequality(C.6),
anduseequation(C.3)toextendittoallintegersksuchthat0kn.
C.113?
UseStirling'sapproximationtoprovethat
!
2n 22n
re pag .1CO.1=n//: (C.10)
norte norte
C.114?
BydifferentiatingtheentropyfunctionH./,showthatitachievesitsmaximum
valueatD1=2.WhatisH.1=2/?
C.115?
Showthatforanyintegern 0,
!
xnortenorte
kDn2n1: (C.11)
K
kD0
C.2Probability
Probabilityisanessentialtoolforthedesignandanalysisofprobabilisticandran
domizedalgorithms.Thissectionreviewsbasicprobabilitytheory.
WedefineprobabilityintermsofasamplespaceS,whichisasetwhoseele
mentsarecalledelementaryevents.Wecanthinkofeachelementaryeventasa
possibleoutcomeofanexperiment.Fortheexperimentofflippingtwodistinguish
ablecoins,witheachindividualflipresultinginahead(H)oratail(T),wecanview
thesamplespaceasconsistingofthesetofallpossible2stringsoverfHTg:
SDfHHHTTHTTg:
Pgina311
Aneventisasubset1ofthesamplespaceS.Forexample,intheexperimentof
flippingtwocoins,theeventofobtainingoneheadandonetailisfHTTHg.El
eventSiscalledthecertainevent,andtheeventiscalledthenullevent.Wesay
thattwoeventsAandBaremutuallyexclusiveifA\BD.Wesometimestreat
anelementaryevents2Sastheeventfsg.Bydefinition,allelementaryevents
aremutuallyexclusive.
Axiomsofprobability
AprobabilitydistributionPrfgonasamplespaceSisamappingfromeventsofS
torealnumberssatisfyingthefollowingprobabilityaxioms:
1.PrfAg0foranyeventA.
2.PrfSgD1.
3.PrfA[BgDPrfAgCPrfBgforanytwomutuallyexclusiveeventsA
andB.Moregenerally,forany(finiteorcountablyinfinite)sequenceofevents
A1A2:::thatarepairwisemutuallyexclusive,
( )
[ x
Pr Ai re PrfAig:
yo yo
WecallPrfAgtheprobabilityoftheeventA.Wenoteherethataxiom2isa
normalizationrequirement:thereisreallynothingfundamentalaboutchoosing1
astheprobabilityofthecertainevent,exceptthatitisnaturalandconvenient.
Severalresultsfollowimmediatelyfromtheseaxiomsandbasicsettheory(see
SectionB.1).ThenulleventhasprobabilityPrfgD0.IfAB,then
PrfAgPrfBg.UsingAtodenotetheeventS
A(thecomplementofA),
wehavePr UN D1PrfAg.ForanytwoeventsAandB,
PrfA[BgDPrfAgCPrfBgPrfA\Bg (C.12)
PrfAgCPrfBg: (C.13)
1Forageneralprobabilitydistribution,theremaybesomesubsetsofthesamplespaceSthatarenot
consideredtobeevents.Thissituationusuallyariseswhenthesamplespaceisuncountablyinfinite.
Themainrequirementforwhatsubsetsareeventsisthatthesetofeventsofasamplespacebeclosed
undertheoperationsoftakingthecomplementofanevent,formingtheunionofafiniteorcountable
numberofevents,andtakingtheintersectionofafiniteorcountablenumberofevents.Lamayorade
theprobabilitydistributionsweshallseeareoverfiniteorcountablesamplespaces,andweshall
generallyconsiderallsubsetsofasamplespacetobeevents.Anotableexceptionisthecontinuous
uniformprobabilitydistribution,whichweshallseeshortly.
Pgina312
C.2Probability 1191
Inourcoinflippingexample,supposethateachofthefourelementaryevents
hasprobability1=4.Thentheprobabilityofgettingatleastoneheadis
PrfHHHTTHgDPrfHHgCPrfHTgCPrfTHg
D3=4:
Alternatively,sincetheprobabilityofgettingstrictlylessthanoneheadis
PrfTTgD1=4,theprobabilityofgettingatleastoneheadis11=4D3=4.
Discreteprobabilitydistributions
Aprobabilitydistributionisdiscreteifitisdefinedoverafiniteorcountablyinfinite
samplespace.LetSbethesamplespace.ThenforanyeventA,
x
PrfAgD Prfsg
s2A
sinceelementaryevents,specificallythoseinA,aremutuallyexclusive.IfSis
finiteandeveryelementaryevents2Shasprobability
PrfsgD1=jSj
thenwehavetheuniformprobabilitydistributiononS.Insuchacasetheexperi
mentisoftendescribedaspickinganelementofSatrandom.
Asanexample,considertheprocessofflippingafaircoin,oneforwhichthe
probabilityofobtainingaheadisthesameastheprobabilityofobtainingatail,that
is,1=2.Ifweflipthecoinntimes,wehavetheuniformprobabilitydistribution
definedonthesamplespaceSDfHTg norte
,asetofsize2n.Wecanrepresenteach
elementaryeventinSasastringoflengthnoverfHTg,eachstringoccurringwith
probability1=2n.Theevent
ADfexactlykheadsandexactlynktailsoccurg
isasubsetofSofsizejAjD norte,since norte
K kstringsoflengthnoverfHTgcontain
exactlykHs.TheprobabilityofeventAisthusPrfAgD norte =2n.
K
Continuousuniformprobabilitydistribution
Thecontinuousuniformprobabilitydistributionisanexampleofaprobability
distributioninwhichnotallsubsetsofthesamplespaceareconsideredtobe
eventos.Thecontinuousuniformprobabilitydistributionisdefinedoveraclosed
intervalabofthereals,wherea<b.Ourintuitionisthateachpointinthein
tervalabshouldbeequallylikely.Thereareanuncountablenumberofpoints,
however,soifwegiveallpointsthesamefinite,positiveprobability,wecannotsi
multaneouslysatisfyaxioms2and3.Forthisreason,wewouldliketoassociatea
Pgina313
probabilityonlywithsomeofthesubsetsofS,insuchawaythattheaxiomsare
satisfiedfortheseevents.
Foranyclosedintervalcd,whereacdb,thecontinuousuniform
probabilitydistributiondefinestheprobabilityoftheeventcdtobe
re do
PrfcdgD :
licenciadoenLetras
NotethatforanypointxDxx,theprobabilityofxis0.Ifweremove
theendpointsofanintervalcd,weobtaintheopeninterval.cd/.Yaque
cdDcc[.cd/[dd,axiom3givesusPrfcdgDPrf.cd/g.Gen
erally,thesetofeventsforthecontinuousuniformprobabilitydistributioncontains
anysubsetofthesamplespaceabthatcanbeobtainedbyafiniteorcountable
unionofopenandclosedintervals,aswellascertainmorecomplicatedsets.
Conditionalprobabilityandindependence
Sometimeswehavesomepriorpartialknowledgeabouttheoutcomeofanexper
iment.Forexample,supposethatafriendhasflippedtwofaircoinsandhastold
youthatatleastoneofthecoinsshowedahead.Whatistheprobabilitythatboth
coinsareheads?Theinformationgiveneliminatesthepossibilityoftwotails.los
threeremainingelementaryeventsareequallylikely,soweinferthateachoccurs
withprobability1=3.Sinceonlyoneoftheseelementaryeventsshowstwoheads,
theanswertoourquestionis1=3.
Conditionalprobabilityformalizesthenotionofhavingpriorpartialknowledge
oftheoutcomeofanexperiment.TheconditionalprobabilityofaneventAgiven
thatanothereventBoccursisdefinedtobe
PrfA\Bg
PrfAjBgD (C.14)
PrfBg
wheneverPrfBg0.(WereadPrfAjBgastheprobabilityofAgivenB.)
Intuitively,sincewearegiventhateventBoccurs,theeventthatAalsooccurs
isA\B.Thatis,A\BisthesetofoutcomesinwhichbothAandBoccur.
BecausetheoutcomeisoneoftheelementaryeventsinB,wenormalizetheprob
abilitiesofalltheelementaryeventsinBbydividingthembyPrfBg,sothatthey
sumto1.TheconditionalprobabilityofAgivenBis,therefore,theratioofthe
probabilityofeventA\BtotheprobabilityofeventB.Intheexampleabove,A
istheeventthatbothcoinsareheads,andBistheeventthatatleastonecoinisa
cabeza.Thus,PrfAjBgD.1=4/=.3=4/D1=3.
Twoeventsareindependentif
PrfA\BgDPrfAgPrfBg (C.15)
whichisequivalent,ifPrfBg0,tothecondition
Pgina314
C.2Probability 1193
PrfAjBgDPrfAg:
Forexample,supposethatwefliptwofaircoinsandthattheoutcomesareinde
pendent.Thentheprobabilityoftwoheadsis.1=2/.1=2/D1=4.Nowsuppose
thatoneeventisthatthefirstcoincomesupheadsandtheothereventisthatthe
coinscomeupdifferently.Eachoftheseeventsoccurswithprobability1=2,and
theprobabilitythatbotheventsoccuris1=4thus,accordingtothedefinitionof
independence,theeventsareindependenteventhoughyoumightthinkthatboth
eventsdependonthefirstcoin.Finally,supposethatthecoinsareweldedto
gethersothattheybothfallheadsorbothfalltailsandthatthetwopossibilitiesare
equallylikely.Thentheprobabilitythateachcoincomesupheadsis1=2,butthe
probabilitythattheybothcomeupheadsis1=2.1=2/.1=2/.Consequently,the
eventthatonecomesupheadsandtheeventthattheothercomesupheadsarenot
independent.
AcollectionA1A2:::Anofeventsissaidtobepairwiseindependentif
PrfAi\AjgDPrfAigPrfAjg
forall1i<jn.Wesaythattheeventsofthecollectionare(mutually)
independentifeveryksubsetAi Ai :::Ai ofthecollection,where2kn
1 2 k
and1i1<i2< <ikn,satisfies
PrfAi \Ai \\Ai gDPrfAi gPrfAi gPrfAi g:

1 2 k 1 2 k
Forexample,supposewefliptwofaircoins.LetA1betheeventthatthefirstcoin
isheads,letA2betheeventthatthesecondcoinisheads,andletA3betheevent
thatthetwocoinsaredifferent.Tenemos
PrfA1gD1=2
PrfA2gD1=2
PrfA3gD1=2
PrfA1\A2gD1=4
PrfA1\A3gD1=4
PrfA2\A3gD1=4
PrfA1\A2\A3gD0:
Sincefor1i<j3,wehavePrfAi\AjgDPrfAigPrfAjgD1=4,the
eventsA1,A2,andA3arepairwiseindependent.Theeventsarenotmutuallyinde
pendent,however,becausePrfA1\A2\A3gD0andPrfA1gPrfA2gPrfA3gD
1=80.
Page315
Bayes'stheorem
Fromthedefinitionofconditionalprobability(C.14)andthecommutativelaw
A\BDB\A,itfollowsthatfortwoeventsAandB,eachwithnonzero
probability,
PrfA\BgDPrfBgPrfAjBg (C.16)
DPrfAgPrfBjAg:
SolvingforPrfAjBg,weobtain
PrfAgPrfBjAg
PrfAjBgD (C.17)
PrfBg
whichisknownasBayes'stheorem.ThedenominatorPrfBgisanormalizing
constant,whichwecanreformulateasfollows.SinceBD.B\A/[.B\A/,
andsinceB\AandB\Aaremutuallyexclusiveevents,

PrfBgDPrfB\AgCPr B\A

DPrfAgPrfBjAgCPr UNPr BjA :
Substitutingintoequation(C.17),weobtainanequivalentformofBayes'stheo
rem:
PrfAgPrfBjAg
:
PrfAjBgD (C.18)
PrfAgPrfBjAgCPr UNPr BjA
Bayes'stheoremcansimplifythecomputingofconditionalprobabilities.por
example,supposethatwehaveafaircoinandabiasedcointhatalwayscomesup
heads.Werunanexperimentconsistingofthreeindependentevents:wechoose
oneofthetwocoinsatrandom,weflipthatcoinonce,andthenweflipitagain.
Supposethatthecoinwehavechosencomesupheadsbothtimes.Culesel
probabilitythatitisbiased?
WesolvethisproblemusingBayes'stheorem.LetAbetheeventthatwechoose
thebiasedcoin,andletBbetheeventthatthechosencoincomesupheadsboth
veces.WewishtodeterminePrfAjBg.WehavePrfAgD1=2,PrfBjAgD1,

Pr UN D1=2,andPr BjA D1=4hence,
.1=2/1
PrfAjBgD
.1=2/1C.1=2/.1=4/
D4=5:
Exercises
C.21
ProfessorRosencrantzflipsafaircoinonce. ProfessorGuildensternflipsafair
cointwice.WhatistheprobabilitythatProfessorRosencrantzobtainsmoreheads
thanProfessorGuildenstern ?
Pgina316
C.2Probability 1195
C.22
ProveBoole'sinequality:Foranyfiniteorcountablyinfinitesequenceofevents
A1A2:::,
PrfA1[A2[gPrfA1gCPrfA2gC: (C.19)
C.23
Supposeweshuffleadeckof10cards,eachbearingadistinctnumberfrom1to10,
tomixthecardsthoroughly.Wethenremovethreecards,oneatatime,fromthe
cubierta.Whatistheprobabilitythatweselectthethreecardsinsorted(increasing)
order?
C.24
Provethat

PrfAjBgCPr AjB D1:
C.25
ProvethatforanycollectionofeventsA1A2:::An,
PrfA1\A2\\AngDPrfA1gPrfA2jA1gPrfA3jA1\A2g
PrfAnjA1\A2\\An1g:
C.26?
Describeaprocedurethattakesasinputtwointegersaandbsuchthat0<a<b
and,usingfaircoinflips,producesasoutputheadswithprobabilitya=bandtails
withprobability.b a/=b.Giveaboundontheexpectednumberofcoinflips,
whichshouldbeO.1/.(Hint:Representa=binbinary.)
C.27?
Showhowtoconstructasetofneventsthatarepairwiseindependentbutsuchthat
nosubsetofk>2ofthemismutuallyindependent.
C.28?
TwoeventsAandBareconditionallyindependent,givenC,if
PrfA\BjCgDPrfAjCgPrfBjCg:
Giveasimplebutnontrivialexampleoftwoeventsthatarenotindependentbutare
conditionallyindependentgivenathirdevent.
C.29?
Youareacontestantinagameshowinwhichaprizeishiddenbehindoneof
threecurtains.Youwillwintheprizeifyouselectthecorrectcurtain.Despusdeti
Pgina317
havepickedonecurtainbutbeforethecurtainislifted,theemceeliftsoneofthe
othercurtains,knowingthatitwillrevealanemptystage,andasksifyouwould
liketoswitchfromyourcurrentselectiontotheremainingcurtain.Howwould
yourchanceschangeifyouswitch?(ThisquestionisthecelebratedMontyHall
problem,namedafteragameshowhostwhooftenpresentedcontestantswithjust
thisdilemma.)
C.210?
Aprisonwardenhasrandomlypickedoneprisoneramongthreetogofree.los
othertwowillbeexecuted.Theguardknowswhichonewillgofreebutisforbid
dentogiveanyprisonerinformationregardinghisstatus.Letuscalltheprisoners
X,Y,andZ.PrisonerXaskstheguardprivatelywhichofYorZwillbeexe
cuted,arguingthatsincehealreadyknowsthatatleastoneofthemmustdie,the
guardwon'tberevealinganyinformationabouthisownstatus.TheguardtellsX
thatYistobeexecuted.PrisonerXfeelshappiernow,sincehefiguresthateither
heorprisonerZwillgofree,whichmeansthathisprobabilityofgoingfreeis
now1=2.Isheright,orarehischancesstill1=3?Explique.
C.3Discreterandomvariables
A(discrete)randomvariableXisafunctionfromafiniteorcountablyinfinite
samplespaceStotherealnumbers.Itassociatesarealnumberwitheachpossible
outcomeofanexperiment,whichallowsustoworkwiththeprobabilitydistribu
tioninducedontheresultingsetofnumbers.Randomvariablescanalsobedefined
foruncountablyinfinitesamplespaces,buttheyraisetechnicalissuesthatareun
necessarytoaddressforourpurposes.Henceforth,weshallassumethatrandom
variablesarediscrete.
ForarandomvariableXandarealnumberx,wedefinetheeventXDxtobe
fs2SWXs/Dxgas,
x
PrfXDxgD Prfsg:
s2SWX.s/Dx
Thefunction
f.x/DPrfXDxg
istheprobabilitydensityfunctionoftherandomvariableX.Fromtheprobability
PAG
axioms,PrfXDxg0and xPrfXDxgD1.
Asanexample,considertheexperimentofrollingapairofordinary,6sided
dice.Thereare36possibleelementaryeventsinthesamplespace.Weassume
Pgina318
C.3Discreterandomvariables 1197
thattheprobabilitydistributionisuniform,sothateachelementaryevents2Sis
equallylikely:PrfsgD1=36.DefinetherandomvariableXtobethemaximumof
thetwovaluesshowingonthedice.WehavePrfXD3gD5=36,sinceXassigns
avalueof3to5ofthe36possibleelementaryevents,namely,.13/,.23/,.33/,
.32/,and.31/.
Weoftendefineseveralrandomvariablesonthesamesamplespace.IfXandY
arerandomvariables,thefunction
fxy/DPrfXDxandYDyg
isthejointprobabilitydensityfunctionofXandY.Forafixedvaluey,
x
PrfYDygD PrfXDxandYDyg
x
andsimilarly,forafixedvaluex,
x
PrfXDxgD PrfXDxandYDyg:
Y
Usingthedefinition(C.14)ofconditionalprobability,wehave
PrfXDxandYDyg
PrfXDxjYDygD :
PrfYDyg
WedefinetworandomvariablesXandYtobeindependentifforallxandy,the
eventsXDxandYDyareindependentor,equivalently,ifforallxandy,we
havePrfXDxandYDygDPrfXDxgPrfYDyg.
Givenasetofrandomvariablesdefinedoverthesamesamplespace,wecan
definenewrandomvariablesassums,products,orotherfunctionsoftheoriginal
Variables.
Expectedvalueofarandomvariable
Thesimplestandmostusefulsummaryofthedistributionofarandomvariableis
theaverageofthevaluesittakeson.Theexpectedvalue(or,synonymously,
expectationormean)ofadiscreterandomvariableXis
x
EXD xPrfXDxg (C.20)
x
whichiswelldefinedifthesumisfiniteorconvergesabsolutely.Avecesel
expectationofXisdenotedbyXor,whentherandomvariableisapparentfrom
context,simplyby.
Consideragameinwhichyoufliptwofaircoins.Youearn$3foreachheadbut
lose$2foreachtail.TheexpectedvalueoftherandomvariableXrepresenting
Pgina319
yourearningsis
EXD6Prf2H'sgC1Prf1H,1Tg4Prf2T'sg
D6.1=4/C1.1=2/4.1=4/
D1:
Theexpectationofthesumoftworandomvariablesisthesumoftheirexpecta
tions,thatis,
EXCYDEXCEY (C.21)
wheneverEXandEYaredefined.Wecallthispropertylinearityofexpecta
tion,anditholdsevenifXandYarenotindependent.Italsoextendstofiniteand
absolutelyconvergentsummationsofexpectations.Linearityofexpectationisthe
keypropertythatenablesustoperformprobabilisticanalysesbyusingindicator
randomvariables(seeSection5.2).
IfXisanyrandomvariable,anyfunctiongx/definesanewrandomvari
ablegX/.IftheexpectationofgX/isdefined,then
x
Eg.X/D gx/PrfXDxg:
x
Lettinggx/Dax,wehaveforanyconstanta,
EaXDaEX: (C.22)
Consequently,expectationsarelinear:foranytworandomvariablesXandYand
anyconstanta,
EaXCYDaEXCEY: (C.23)
WhentworandomvariablesXandYareindependentandeachhasadefined
expectation,
x x
EXYD xyPrfXDxandYDyg
xx xY
re xyPrfXDxgPrfYDyg
x Y ! !
x x
re xPrfXDxg yPrfYDyg
x Y
DEXEY:
Ingeneral,whennrandomvariablesX1X2:::Xnaremutuallyindependent,
EX1X2 XnDEX1EX2EXn: (C.24)
Pgina320
C.3Discreterandomvariables 1199
WhenarandomvariableXtakesonvaluesfromthesetofnaturalnumbers
NDf012:::g,wehaveaniceformulaforitsexpectation:
x1
EXD iPrfXDig
ID0
x1
re i.PrfX igPrfX iC1g/
ID0
x1
re PrfX ig (C.25)
ID1
sinceeachtermPrfX igisaddedinitimesandsubtractedouti 1times
(exceptPrfX 0g,whichisaddedin0timesandnotsubtractedoutatall).
Whenweapplyaconvexfunctionf.x/toarandomvariableX,Jensen'sin
equalitygivesus
Ef.X/ f.EX/ (C.26)

providedthattheexpectationsexistandarefinite.(Afunctionf.x/isconvex
ifforallxandyandforall0 1,wehavef.xC.1 /y/
f.x/C.1 /f.y/.)
Varianceandstandarddeviation
Theexpectedvalueofarandomvariabledoesnottellushowspreadoutthe
variable'svaluesare.Forexample,ifwehaverandomvariablesXandYforwhich
PrfXD1=4gDPrfXD3=4gD1=2andPrfYD0gDPrfYD1gD1=2,
thenbothEXandEYare1=2,yettheactualvaluestakenonbyYarefarther
fromthemeanthantheactualvaluestakenonbyX.
Thenotionofvariancemathematicallyexpresseshowfarfromthemeanaran
domvariable'svaluesarelikelytobe.ThevarianceofarandomvariableXwith
meanEXis
VarXDE.XEX/2
DEX2 2XEXCE2X
DEX2 2EXEXCE2X
DEX2 2E2XCE2X
DEX2 E2X: (C.27)
TojustifytheequalityEE2XDE2X,notethatbecauseEXisarealnum
berandnotarandomvariable,soisE2X.TheequalityEXEXDE2X
Pgina321
followsfromequation(C.22),withaDEX.Rewritingequation(C.27)yields
anexpressionfortheexpectationofthesquareofarandomvariable:
EX2DVarXCE2X: (C.28)
ThevarianceofarandomvariableXandthevarianceofaXarerelated(see
ExerciseC.310):
VaraXDa2VarX:
WhenXandYareindependentrandomvariables,
VarXCYDVarXCVarY:
Ingeneral,ifnrandomvariablesX1X2:::Xnarepairwiseindependent,then
"n #
x xnorte
Var Xi re VarXi: (C.29)
ID1 ID1
ThestandarddeviationofarandomvariableXisthenonnegativesquareroot
ofthevarianceofX.ThestandarddeviationofarandomvariableXissometimes
denotedXorsimplywhentherandomvariableXisunderstoodfromcontext.
Withthisnotation,thevarianceofXisdenoted2.
Exercises
C.31
Supposewerolltwoordinary,6sideddice.Whatistheexpectationofthesum
ofthetwovaluesshowing?Whatistheexpectationofthemaximumofthetwo
valuesshowing?
C.32
AnarrayA1::ncontainsndistinctnumbersthatarerandomlyordered,witheach
permutationofthennumbersbeingequallylikely.Whatistheexpectationofthe
indexofthemaximumelementinthearray?Whatistheexpectationoftheindex
oftheminimumelementinthearray?
C.33
Acarnivalgameconsistsofthreediceinacage.Aplayercanbetadollaronany
ofthenumbers1through6.Thecageisshaken,andthepayoffisasfollows.Siel
player'snumberdoesn'tappearonanyofthedice,heloseshisdollar.Deotramanera,
ifhisnumberappearsonexactlykofthethreedice,forkD123,hekeepshis
dollarandwinskmoredollars.Whatishisexpectedgainfromplayingthecarnival
gameonce?
Pgina322
C.4Thegeometricandbinomialdistributions 1201
C.34
ArguethatifXandYarenonnegativerandomvariables,then
Emax.XY/EXCEY:
C.35?
LetXandYbeindependentrandomvariables.Provethatf.X/andgY/are
independentforanychoiceoffunctionsfandg.
C.36?
LetXbeanonnegativerandomvariable,andsupposethatEXiswelldefined.
ProveMarkov'sinequality:
PrfX tgEX=t (C.30)

forallt>0.
C.37?
LetSbeasamplespace,andletXandX0berandomvariablessuchthat
Xs/ X0.s/foralls2S.Provethatforanyrealconstantt,
PrfX tgPrfX0 tg:
C.38
Whichislarger:theexpectationofthesquareofarandomvariable,orthesquare
ofitsexpectation?
C.39
ShowthatforanyrandomvariableXthattakesononlythevalues0and1,wehave
VarXDEXE1X.
C.310
ProvethatVaraXDa2VarXfromthedefinition(C.27)ofvariance.
C.4Thegeometricandbinomialdistributions
WecanthinkofacoinflipasaninstanceofaBernoullitrial,whichisanexperi
mentwithonlytwopossibleoutcomes:success,whichoccurswithprobabilityp,
andfailure,whichoccurswithprobabilityqD1p.WhenwespeakofBernoulli
trialscollectively,wemeanthatthetrialsaremutuallyindependentand,unlesswe
specificallysayotherwise,thateachhasthesameprobabilitypforsuccess.Dos
Pgina323
UN UN
k1
2 1
3 3
0,35
0,30
0,25
0,20
0.15
0,10
0,05
K
123456789101112131415
FigureC.1AgeometricdistributionwithprobabilitypD1=3ofsuccessandaprobability
qD1poffailure.Theexpectationofthedistributionis1=pD3.
importantdistributionsarisefromBernoullitrials:thegeometricdistributionand
thebinomialdistribution.
Thegeometricdistribution
SupposewehaveasequenceofBernoullitrials,eachwithaprobabilitypofsuc
cessandaprobabilityqD1poffailure.Howmanytrialsoccurbeforeweobtain
asuccess?LetusdefinetherandomvariableXbethenumberoftrialsneededto
obtainasuccess.ThenXhasvaluesintherangef12:::g,andfork 1,
PrfXDkgDqk1p (C.31)
sincewehavek1failuresbeforetheonesuccess.Aprobabilitydistributionsat
isfyingequation(C.31)issaidtobeageometricdistribution.FigureC.1illustrates
suchadistribution.
Pgina324
Assumingthatq<1,wecancalculatetheexpectationofageometricdistribu
tionusingidentity(A.8):
x1
EXD kqk1p
kD1
pagx1
re kqk
Q
kD0
re pag Q
Q .1q/2
pag Q
re
Q p2
D1=p: (C.32)
Thus,onaverage,ittakes1=ptrialsbeforeweobtainasuccess,anintuitiveresult.
Thevariance,whichcanbecalculatedsimilarly,butusingExerciseA.13,is
VarXDq=p2: (C.33)
Asanexample,supposewerepeatedlyrolltwodiceuntilweobtaineithera
sevenoraneleven.Ofthe36possibleoutcomes,6yieldasevenand2yieldan
once.Thus,theprobabilityofsuccessispD8=36D2=9,andwemustroll
1=pD9=2D4:5timesonaveragetoobtainasevenoreleven.
Thebinomialdistribution
HowmanysuccessesoccurduringnBernoullitrials,whereasuccessoccurswith
probabilitypandafailurewithprobabilityqD1p?Definetherandomvari
ableXtobethenumberofsuccessesinntrials.ThenXhasvaluesintherange
f01:::ng,andforkD01:::n,
!
norte
PrfXDkgD pkqnk (C.34)
K
sincethereare norte waystopickwhichkofthentrialsaresuccesses,andthe
K
probabilitythateachoccursispkqnk.Aprobabilitydistributionsatisfyingequa
tion(C.34)issaidtobeabinomialdistribution.Forconvenience,wedefinethe
familyofbinomialdistributionsusingthenotation
!
norte
b.kInp/D pk.1p/nk: (C.35)
K
FigureC.2illustratesabinomialdistribution.Thenamebinomialcomesfromthe
righthandsideofequation(C.34)beingthekthtermoftheexpansionof.pCq/n.
Consequently,sincepCqD1,
Pgina325
b(k15,1/3)
0,25
0,20
0.15
0,10
0,05
K
0123456789101112131415
FigureC.2Thebinomialdistributionb.kI151=3/resultingfromnD15Bernoullitrials,each
withprobabilitypD1=3ofsuccess.TheexpectationofthedistributionisnpD5.
xnorte
b.kInp/D1 (C.36)
kD0
asaxiom2oftheprobabilityaxiomsrequires.
Wecancomputetheexpectationofarandomvariablehavingabinomialdistri
butionfromequations(C.8)and(C.36).LetXbearandomvariablethatfollows
thebinomialdistributionb.kInp/,andletqD1p.Bythedefinitionofexpec
tation,wehave
xnorte
EXD kPrfXDkg
kD0
xnorte
re kb.kInp/
kD0 !
xnorte norte
re K pkqnk
K
kD1 !
xnorten1
Dnp pk1qnk (byequation(C.8))
k1
kD1 !
xN1 n1
Dnp pkq.n1/k
K
kD0
Pgina326
xN1
Dnp b.kIn1p/
kD0
Dnp (byequation(C.36)). (C.37)
Byusingthelinearityofexpectation,wecanobtainthesameresultwithsub
stantiallylessalgebra.LetXibetherandomvariabledescribingthenumberof
successesintheithtrial.ThenEXiDp1Cq0Dp,andbylinearityof
expectation(equation(C.21)),theexpectednumberofsuccessesforntrialsis
"n #
x
EXDE Xi
ID1
xnorte
re EXi
ID1
xnorte
re pag
ID1
Dnp: (C.38)
Wecanusethesameapproachtocalculatethevarianceofthedistribution.Utilizando
equation(C.27),wehaveVarXiDEXi2E2Xi.SinceXionlytakesonthe
values0and1,wehaveX2
iDXi,whichimpliesEX2 iDEXiDp. Porlotanto,
VarXiDpp2Dp.1p/Dpq: (C.39)
TocomputethevarianceofX,wetakeadvantageoftheindependenceofthen
trialsthus,byequation(C.29),
"n #
x
VarXDVar Xi
ID1
xnorte
re VarXi
ID1
xnorte
re Pq
ID1
Dnpq: (C.40)
AsFigureC.2shows,thebinomialdistributionb.kInp/increaseswithkuntil
itreachesthemeannp,andthenitdecreases.Wecanprovethatthedistribution
alwaysbehavesinthismannerbylookingattheratioofsuccessiveterms:
Pgina327
b.kInp/ norte
pkqnk
bk1Inp/ re norte
Kpk1qnkC1
K1
n.k1/.nkC1/p
re
k.nk/nq
.nkC1/p
re (C.41)
Kq
.nC1/pk
D1C :
Kq
Thisratioisgreaterthan1preciselywhen.nC1/p kispositive.Conse
quently,b.kInp/>bk1Inp/fork<.nC1/p(thedistributionincreases),
andb.kInp/<bk 1Inp/fork>.nC1/p(thedistributiondecreases).
IfkD.nC1/pisaninteger,thenb.kInp/Dbk1Inp/,andsothedistri
butionthenhastwomaxima:atkD.nC1/pandatk1D.nC1/p1Dnpq.
Otherwise,itattainsamaximumattheuniqueintegerkthatliesintherange
npq<k<.nC1/p.
Thefollowinglemmaprovidesanupperboundonthebinomialdistribution.
LemmaC.1
Letn 0,let0<p<1,letqD1p,andlet0kn.Then
k nk
np nq
b.kInp/ :
K nk
ProofUsingequation(C.6),wehave
!
norte
b.kInp/D pkqnk
K
k nk
norte norte
UN pkqnk
K k nk nk
np nq
re :
K nk
Exercises
C.41
Verifyaxiom2oftheprobabilityaxiomsforthegeometricdistribution.
C.42
Howmanytimesonaveragemustweflip6faircoinsbeforeweobtain3heads
and3tails?
Pgina328
C.43
Showthatb.kInp/DbnkInq/,whereqD1p.
C.44
Showthatvalueofthemaximumofthebinomialdistributionb.kInp/isapprox
pag
imately1= 2npq,whereqD1p.
C.45?
ShowthattheprobabilityofnosuccessesinnBernoullitrials,eachwithprobability
pD1=n,isapproximately1=e.Showthattheprobabilityofexactlyonesuccess
isalsoapproximately1=e.
C.46?
ProfessorRosencrantzflipsafaircoinntimes,andsodoesProfessorGuildenstern.
Showthattheprobabilitythattheygetthesamenumberofheadsis 2n =4n.(Hint:
norte
ForProfessorRosencrantz,callaheadasuccessforProfessorGuildenstern,call
atailasuccess.)Useyourargumenttoverifytheidentity
!2 !
xnortenorte 2n
re :
K norte
kD0
C.47?
Showthatfor0kn,
b.kIn1=2/2nHk=n/n
whereHx/istheentropyfunction(C.7).
C.48?
ConsidernBernoullitrials,whereforiD12:::n,theithtrialhasprobabil
itypiofsuccess,andletXbetherandomvariabledenotingthetotalnumberof
successes.Letp piforalliD12:::norte.Provethatfor1kn,
xK1
PrfX<kg b.iInp/:
ID0
C.49?
LetXbetherandomvariableforthetotalnumberofsuccessesinasetAofn
Bernoullitrials,wheretheithtrialhasaprobabilitypiofsuccess,andletX0
betherandomvariableforthetotalnumberofsuccessesinasecondsetA0ofn
Bernoullitrials,wheretheithtrialhasaprobabilityp0 yo piofsuccess.Provethat
for0kn,
Pgina329
PrfX0 kgPrfX kg:

(Hint:ShowhowtoobtaintheBernoullitrialsinA0byanexperimentinvolving
thetrialsofA,andusetheresultofExerciseC.37.)
?C.5Thetailsofthebinomialdistribution
Theprobabilityofhavingatleast,oratmost,ksuccessesinnBernoullitrials,
eachwithprobabilitypofsuccess,isoftenofmoreinterestthantheprobabilityof
havingexactlyksuccesses.Inthissection,weinvestigatethetailsofthebinomial
distribution:thetworegionsofthedistributionb.kInp/thatarefarfromthe
meannp.Weshallproveseveralimportantboundson(thesumofalltermsin)a
cola.
Wefirstprovideaboundontherighttailofthedistributionb.kInp/.Podemos
determineboundsonthelefttailbyinvertingtherolesofsuccessesandfailures.
TheoremC.2
ConsiderasequenceofnBernoullitrials,wheresuccessoccurswithprobabilityp.
LetXbetherandomvariabledenotingthetotalnumberofsuccesses.Thenfor
0kn,theprobabilityofatleastksuccessesis
xnorte
PrfX kgD b.iInp/
iDk!
norte
UN pk:
K
ProofForSf12:::ng,weletASdenotetheeventthattheithtrialisa
successforeveryi2S.ClearlyPrfASgDpkifjSjDk.Tenemos
PrfX kgDPrfthereexistsSf12:::ngWjSjDkandA
[ Sg
DPr A S
Sf12:::ngWjSjDk
x
UN PrfASg (byinequality(C.19))
Sf12:::ngWjSjDk
!
norte
re pk:
K
Pgina330
C.5Thetailsofthebinomialdistribution 1209
Thefollowingcorollaryrestatesthetheoremforthelefttailofthebinomial
distribucin.Ingeneral,weshallleaveittoyoutoadapttheproofsfromonetailto
elotro.
CorollaryC.3
ConsiderasequenceofnBernoullitrials,wheresuccessoccurswithprobabil
ityp.IfXistherandomvariabledenotingthetotalnumberofsuccesses,thenfor
0kn,theprobabilityofatmostksuccessesis
xK
PrfXkgD b.iInp/
ID0 !
norte
UN .1p/nk
nk
!
norte
re .1p/nk:
K
Ournextboundconcernsthelefttailofthebinomialdistribution.Itscorollary
showsthat,farfromthemean,thelefttaildiminishesexponentially.
TheoremC.4
ConsiderasequenceofnBernoullitrials,wheresuccessoccurswithprobabilityp
andfailurewithprobabilityqD1p.LetXbetherandomvariabledenotingthe
totalnumberofsuccesses.Thenfor0<k<np,theprobabilityoffewerthank
successesis
xK1
PrfX<kgD b.iInp/
ID0
Kq
< b.kInp/:
npk
Pk1
ProofWeboundtheseries iD0b.iInp/byageometricseriesusingthetech
niquefromSectionA.2,page1151.ForiD12:::k,wehavefromequa
tion(C.41),
bi1Inp/ Iq
re
b.iInp/ .niC1/p
Iq
<
.ni/p
Kq
UN :
.nk/p
Pgina331
Ifwelet
Kq
xD
.nk/p
Kq
<
.nnp/p
Kq
re
nqp
K
re
np
<1
itfollowsthat
bi1Inp/<xb.iInp/
for0<ik.Iterativelyapplyingthisinequalitykitimes,weobtain
b.iInp/<xkib.kInp/
for0i<k,andhence
xK1 xK1
b.iInp/< xkib.kInp/
ID0 ID0
x1
<b.kInp/ xi
ID0
x
re b.kInp/
1x
Kq
re b.kInp/:
npk
CorollaryC.5
andfailurewithprobabilityqD1p.Thenfor0<knp=2,theprobabilityof
fewerthanksuccessesislessthanonehalfoftheprobabilityoffewerthankC1
successes.
ProofBecauseknp=2,wehave
Kq .np=2/q
UN
npk np.np=2/
Pgina332
.np=2/q
re
np=2
1 (C.42)
sinceq1.LettingXbetherandomvariabledenotingthenumberofsuccesses,
TheoremC.4andinequality(C.42)implythattheprobabilityoffewerthanksuc
cessesis
xK1
PrfX<kgD b.iInp/<b.kInp/:
ID0
Thuswehave
Pk1
PrfX<kg
re PkiD0b.iInp/
PrfX<kC1g
iD0P
b.iInp/
k1
re Pk1 iD0b.iInp/
iD0b.iInp/Cb.kInp/
<1=2
Pk1
yaque
iD0b.iInp/<b.kInp/.
Boundsontherighttailfollowsimilarly.ExerciseC.52asksyoutoprovethem.
CorollaryC.6
ConsiderasequenceofnBernoullitrials,wheresuccessoccurswithprobabilityp.
LetXbetherandomvariabledenotingthetotalnumberofsuccesses.Thenfor
np<k<n,theprobabilityofmorethanksuccessesis
xnorte
PrfX>kgD b.iInp/
iDkC1
.nk/p
< b.kInp/:
knp
CorollaryC.7
andfailurewithprobabilityqD1 pag.Thenfor.npCn/=2<k<n,the
probabilityofmorethanksuccessesislessthanonehalfoftheprobabilityof
morethank1successes.
ThenexttheoremconsidersnBernoullitrials,eachwithaprobabilitypiof
success,foriD12:::norte.Asthesubsequentcorollaryshows,wecanusethe
Pgina333
theoremtoprovideaboundontherighttailofthebinomialdistributionbysetting
piDpforeachtrial.
TheoremC.8
ConsiderasequenceofnBernoullitrials,whereintheithtrial,foriD12:::n,
successoccurswithprobabilitypiandfailureoccurswithprobabilityqiD1pi.
LetXbetherandomvariabledescribingthetotalnumberofsuccesses,andlet
DEX.Thenforr>,
r
mi
PrfX rg :
R
ProofSinceforany>0,thefunctione
xisstrictlyincreasinginx,
PrfX rgDPr e.X/ er (C.43)

wherewewilldeterminelater.UsingMarkov'sinequality(C.30),weobtain

Pr e.X/ er Ee.X/er: (C.44)
ThebulkoftheproofconsistsofboundingEe.X/ andsubstitutingasuit
ablevalueforininequality(C.44).First,weevaluateEe.X/.Utilizandoel
techniqueofindicatorrandomvariables(seeSection5.2),letXiDIftheith
BernoullitrialisasuccessgforiD12:::nortethatis,Xiistherandomvari
ablethatis1iftheithBernoullitrialisasuccessand0ifitisafailure.As,
xnorte
XD Xi
ID1
andbylinearityofexpectation,
"n #
x xnorte x norte
DEXDE Xi re EXiD pi
ID1 ID1 ID1
whichimplies
xnorte
x re .Xi pi/:
ID1
ToevaluateEe.X/,wesubstituteforX ,obtaining
P n
Ee.X/ DEe .X p /
"n ID1
i i
#
Y
Delaware e.X p / i i
ID1
Ynorte
re Ee.X i
p /
i
ID1
Pgina334
whichfollowsfrom(C.24),sincethemutualindependenceoftherandomvari
ablesXiimpliesthemutualindependenceoftherandomvariablese.X p /(see
i i
ExerciseC.35).Bythedefinitionofexpectation,
Ee.Xi
p /
i De.1p /piCe.0p /qi
i i
Dpieq Cqiep
i i
pieC1 (C.45)
exp.pie/
whereexp.x/denotestheexponentialfunction:exp.x/De
followsfromtheinequalities>0,qi1,eq e,andexp.(Inequality(C.45)
i i 1,andthelast
linefollowsfrominequality(3.12).)Consequently,
Ynorte
Ee.X/ re Ee.X p /
i i
ID1
Ynorte
UN exp.pie/
ID1 !
x norte
Dexp pie
ID1
Dexp.e/ (C.46)
Pn
yaque re
iD1pi.Therefore,fromequation(C.43)andinequalities(C.44)
and(C.46),itfollowsthat
PrfX rgexp.e r/: (C.47)
ChoosingDln.r=/(seeExerciseC.57),weobtain
PrfX rgexp.eln.r=/ rln.r=//
Dexp.rrln.r=//
er
re
.r=/
r
r
mi
re :
R
WhenappliedtoBernoullitrialsinwhicheachtrialhasthesameprobabilityof
success,TheoremC.8yieldsthefollowingcorollaryboundingtherighttailofa
binomialdistribution.
Pgina335
CorollaryC.9
ConsiderasequenceofnBernoullitrials,whereineachtrialsuccessoccurswith
probabilitypandfailureoccurswithprobabilityqD1p.Thenforr>np,
x norte
PrfXnp rgD b.kInp/
kDdnpCre
r
npe
UN :
R
ProofByequation(C.37),wehaveDEXDnp.
Exercises
C.51?
Whichislesslikely:obtainingnoheadswhenyouflipafaircoinntimes,or
obtainingfewerthannheadswhenyouflipthecoin4ntimes?
C.52?
ProveCorollariesC.6andC.7.
C.53?
Showthat
!
xK1
norte K
ai<.aC1/n b.kIna=.aC1//
yo nakaC1/
ID0
foralla>0andallksuchthat0<k<na=.aC1/.
C.54?
Provethatif0<k<np,where0<p<1andqD1p,then
xK1 k nk
Kq np nq
piqni< :
ID0 npk K nk
C.55?
ShowthattheconditionsofTheoremC.8implythat
UN r
.norte /mi
PrfX rg :
R
Similarly,showthattheconditionsofCorollaryC.9implythat
r
nqe
PrfnpX rg :
R
Pgina336
ProblemsforAppendixC 1215
C.56?
ConsiderasequenceofnBernoullitrials,whereintheithtrial,foriD12:::n,
successoccurswithprobabilitypiandfailureoccurswithprobabilityqiD1pi.
LetXbetherandomvariabledescribingthetotalnumberofsuccesses,andlet
DEX.Showthatforr 0,
PrfX rger =2n:

2
(Hint:Provethatpieq Cqiep e =2.Thenfollowtheoutlineoftheproof

i i 2
ofTheoremC.8,usingthisinequalityinplaceofinequality(C.45).)
C.57?
ShowthatchoosingDln.r=/minimizestherighthandsideofinequal
ity(C.47).
Problemas
C1Ballsandbins
Inthisproblem,weinvestigatetheeffectofvariousassumptionsonthenumberof
waysofplacingnballsintobdistinctbins.
a.Supposethatthenballsaredistinctandthattheirorderwithinabindoesnot
importar.Arguethatthenumberofwaysofplacingtheballsinthebinsisbn.
segundo.Supposethattheballsaredistinctandthattheballsineachbinareordered.
Provethatthereareexactly.bCn1/=.b1/waystoplacetheballsinthe
bins.(Hint:Considerthenumberofwaysofarrangingndistinctballsandb1
indistinguishablesticksinarow.)
do.Supposethattheballsareidentical,andhencetheirorderwithinabindoesnot
importar.ShowthatthenumberofwaysofplacingtheballsinthebinsisbCn1 .
norte
(Hint:Ofthearrangementsinpart(b),howmanyarerepeatediftheballsare
madeidentical?)
re.Supposethattheballsareidenticalandthatnobinmaycontainmorethanone
ball,sothatnb.Showthatthenumberofwaysofplacingtheballsis segundo
.
norte
mi.Supposethattheballsareidenticalandthatnobinmaybeleftempty.Assuming
thatn b,showthatthenumberofwaysofplacingtheballsisn1 .
B1
Pgina337
Appendixnotes
Thefirstgeneralmethodsforsolvingprobabilityproblemswerediscussedina
famouscorrespondencebetweenB.PascalandP.deFermat,whichbeganin1654,
andinabookbyC.Huygensin1657.Rigorousprobabilitytheorybeganwiththe
workofJ.Bernoulliin1713andA.DeMoivrein1730.Furtherdevelopmentsof
thetheorywereprovidedbyP.S.Laplace,S.D.Poisson,andCFGauss.
SumsofrandomvariableswereoriginallystudiedbyPLChebyshevandAA
Markov.ANKolmogorovaxiomatizedprobabilitytheoryin1933.Chernoff[66]
andHoeffding[173]providedboundsonthetailsofdistributions.Seminalwork
inrandomcombinatorialstructureswasdonebyP.Erds.
Knuth[209]andLiu[237]aregoodreferencesforelementarycombinatorics
andcounting.StandardtextbookssuchasBillingsley[46],Chung[67],Drake[95],
Feller[104],andRozanov[300]offercomprehensiveintroductionstoprobability.
Pgina338
re Matrices
Matricesariseinnumerousapplications,including,butbynomeanslimitedto,
scientificcomputing.Ifyouhaveseenmatricesbefore,muchofthematerialinthis
appendixwillbefamiliartoyou,butsomeofitmightbenew.SectionD.1covers
basicmatrixdefinitionsandoperations,andSectionD.2presentssomebasicmatrix
properties.
D.1Matricesandmatrixoperations
Inthissection,wereviewsomebasicconceptsofmatrixtheoryandsomefunda
mentalpropertiesofmatrices.
Matricesandvectors
Amatrixisarectangulararrayofnumbers.Porejemplo,
UN UN
a11 a12 a13
ANUNCIO
a21 a22 a23
UN UN
123
re (D.1)
456
isa23matrixAD.aij/,whereforiD12andjD123,wedenotethe
elementofthematrixinrowiandcolumnjbyaij.Weuseuppercaseletters
todenotematricesandcorrespondingsubscriptedlowercaseletterstodenotetheir
elementos.WedenotethesetofallmnmatriceswithrealvaluedentriesbyRmn
and,ingeneral,thesetofmnmatriceswithentriesdrawnfromasetSbySmn.
ThetransposeofamatrixAisthematrixATobtainedbyexchangingtherows
andcolumnsofA.ForthematrixAofequation(D.1),
Pgina339
1218 AppendixDMatrices
14
ATD 25 :
36
Avectorisaonedimensionalarrayofnumbers.Porejemplo,
2
xD 3
5
isavectorofsize3.Wesometimescallavectoroflengthnannvector.Nosotros
uselowercaseletterstodenotevectors,andwedenotetheithelementofasizen
vectorxbyxi,foriD12:::norte.Wetakethestandardformofavectortobe
asacolumnvectorequivalenttoann1matrixthecorrespondingrowvectoris
obtainedbytakingthetranspose:
xTD.235/:
Theunitvectoreiisthevectorwhoseithelementis1andallofwhoseother
elementsare0.Usually,thesizeofaunitvectorisclearfromthecontext.
Azeromatrixisamatrixallofwhoseentriesare0.Suchamatrixisoften
denoted0,sincetheambiguitybetweenthenumber0andamatrixof0sisusually
easilyresolvedfromcontext.Ifamatrixof0sisintended,thenthesizeofthe
matrixalsoneedstobederivedfromthecontext.
Squarematrices
Squarennmatricesarisefrequently.Severalspecialcasesofsquarematrices
areofparticularinterest:
1.AdiagonalmatrixhasaijD0wheneverij.Becausealloftheoffdiagonal
elementsarezero,wecanspecifythematrixbylistingtheelementsalongthe
diagonal:
a11 0:::0
0a22 :::0
diag.a11a22:::ann/D :
0 0:::ann
2.ThennidentitymatrixInisadiagonalmatrixwith1salongthediagonal:

En Ddiag.11:::1/
10:::0
01:::0
re :::::::::::: :
00:::1
Pgina340
D.1Matricesandmatrixoperations 1219
WhenIappearswithoutasubscript,wederiveitssizefromthecontext.Theith
columnofanidentitymatrixistheunitvectorei.
3.AtridiagonalmatrixTisoneforwhichtijD0ifjijj>1.Nonzeroentries
appearonlyonthemaindiagonal,immediatelyabovethemaindiagonal(tiiC1

foriD12:::norte 1),orimmediatelybelowthemaindiagonal(tiC1ifor
iD12:::n1):
t11 t12 0 0::: 0 0 0

t21 t22 t23 0::: 0 0 0
0t32 t33 t34 Unesdoc.unesco.orgunesdoc.unesco.org
0 0 0
TD :
0 0 0 0:::tn2n2 tn2n1 0
0 0 0 0:::tn1n2 tn1n1 tn1n
0 0 0 0::: 0 tnn1 tnn
4.AnuppertriangularmatrixUisoneforwhichuijD0ifi>j.Allentries
belowthediagonalarezero:

u11 u12 :::u1n

0u22 :::u2n
UD :
0 0:::unn
Anuppertriangularmatrixisunituppertriangularifithasall1salongthe
diagonal.
5.AlowertriangularmatrixLisoneforwhichlijD0ifi<j.Allentries
abovethediagonalarezero:

l11 0:::0
l21 l22 :::0
LD :
ln1 ln2 :::lnn
Alowertriangularmatrixisunitlowertriangularifithasall1salongthe
diagonal.
Pgina341
6.ApermutationmatrixPhasexactlyone1ineachroworcolumn,and0s
enotraparte.Anexampleofapermutationmatrixis

01000
00010
PD 10000 :
00001
00100
Suchamatrixiscalledapermutationmatrixbecausemultiplyingavectorx
byapermutationmatrixhastheeffectofpermuting(rearranging)theelements
ofx.ExerciseD.14exploresadditionalpropertiesofpermutationmatrices.
7.AsymmetricmatrixAsatisfiestheconditionADAT.Porejemplo,
123
264
345
isasymmetricmatrix.
Basicmatrixoperations
Theelementsofamatrixorvectorarenumbersfromanumbersystem,suchas
therealnumbers,thecomplexnumbers,orintegersmoduloaprime.Elnmero
systemdefineshowtoaddandmultiplynumbers.Wecanextendthesedefinitions
toencompassadditionandmultiplicationofmatrices.
Wedefinematrixadditionasfollows.IfAD.aij/andBD.bij/aremn
matrices,thentheirmatrixsumCD.cij/DACBisthemnmatrixdefinedby
cijDaijCbij
foriD12:::mandjD12:::norte.Thatis,matrixadditionisperformed
componentwise.Azeromatrixistheidentityformatrixaddition:
AC0DAD0CA:
Si isanumberandAD.aij/isamatrix,thenAD.aij/isthescalar
multipleofAobtainedbymultiplyingeachofitselementsby.Asaspecialcase,
wedefinethenegativeofamatrixAD.aij/tobe1ADA,sothattheijth
entryofAisaij.Thus,
AC.A/D0D.A/CA:
Pgina342
D.1Matricesandmatrixoperations 1221
Weusethenegativeofamatrixtodefinematrixsubtraction:ABDAC.B/.
Wedefinematrixmultiplicationasfollows.WestartwithtwomatricesAandB
thatarecompatibleinthesensethatthenumberofcolumnsofAequalsthenumber
ofrowsofB.(Ingeneral,anexpressioncontainingamatrixproductABisalways
assumedtoimplythatmatricesAandBarecompatible.)IfAD.aik/isanmn
matrixandBD.bkj/isannpmatrix,thentheirmatrixproductCDABisthe
mpmatrixCD.cij/,where
x norte
cijD aikbkj (D.2)
kD1
foriD12:::mandjD12:::pag.TheprocedureSQUAREMATRIX
MULTIPLYinSection4.2implementsmatrixmultiplicationinthestraightfor
wardmannerbasedonequation(D.2),assumingthatthematricesaresquare:
mDnDp.Tomultiplyn nmatrices,SQUAREMATRIXMULTIPLYper
formsn3multiplicationsandn2.n1/additions,andsoitsrunningtimeis.n3/.
Matriceshavemany(butnotall)ofthealgebraicpropertiestypicalofnumbers.
Identitymatricesareidentitiesformatrixmultiplication:
ImADAInDA
foranymnmatrixA.Multiplyingbyazeromatrixgivesazeromatrix:
A0D0:
Matrixmultiplicationisassociative:
A.BC/D.AB/C
forcompatiblematricesA,B,andC.Matrixmultiplicationdistributesoveraddi
tion:
ABCC/DABCAC
.BCC/DDBDCCD:
Forn>1,multiplicationofnnmatricesisnotcommutative.Forexample,if
UN UN UN UN
01 00
ANUNCIO andBD ,then
00 10
UN UN
10
ABD
00
y
UN UN
BAD 00 :
01
Page343
Wedefinematrixvectorproductsorvectorvectorproductsasifthevectorwere
theequivalentn1matrix(ora1nmatrix,inthecaseofarowvector).As,
ifAisanmnmatrixandxisannvector,thenAxisanmvector.Ifxandy
arenvectors,then
xnorte
xTyD xiyi
ID1
isanumber(actuallya11matrix)calledtheinnerproductofxandy.Elma
trixxyTisannnmatrixZcalledtheouterproductofxandy,withijDxiyj.
The(euclidean)normkxkofannvectorxisdefinedby
kxkD.x2
1Cx22CCx2 n/1=2
D.xTx/1=2:
Thus,thenormofxisitslengthinndimensionaleuclideanspace.
Exercises
D.11
ShowthatifAandBaresymmetricnnmatrices,thensoareACBandAB.
D.12
Provethat.AB/TDBTATandthatATAisalwaysasymmetricmatrix.
D.13
Provethattheproductoftwolowertriangularmatricesislowertriangular.
D.14
ProvethatifPisannnpermutationmatrixandAisannnmatrix,thenthe
matrixproductPAisAwithitsrowspermuted,andthematrixproductAPisA
withitscolumnspermuted.Provethattheproductoftwopermutationmatricesis
apermutationmatrix.
D.2Basicmatrixproperties
Inthissection,wedefinesomebasicpropertiespertainingtomatrices:inverses,
lineardependenceandindependence,rank,anddeterminants.Wealsodefinethe
classofpositivedefinitematrices.
Pgina344
D.2Basicmatrixproperties 1223
Matrixinverses,ranks,anddeterminants
WedefinetheinverseofannnmatrixAtobethennmatrix,denotedA1(if
itexists),suchthatAA1DInDA1A.Forexample,
UN 1 UN UN
11 0 1
re :
10 1 1
Manynonzeronnmatricesdonothaveinverses.Amatrixwithoutaninverseis
callednoninvertible,orsingular.Anexampleofanonzerosingularmatrixis
UN UN
10
:
10
Ifamatrixhasaninverse,itiscalledinvertible,ornonsingular.Matrixinverses,
whentheyexist,areunique.(SeeExerciseD.21.)IfAandBarenonsingular
nnmatrices,then
.BA/1DA1B1:
Theinverseoperationcommuteswiththetransposeoperation:
.A1/TD.AT/1:
Thevectorsx1x2:::xnarelinearlydependentifthereexistcoefficients
c1c2:::cn,notallofwhicharezero,suchthatc1x1Cc2x2CCcnxnD0.
Therowvectorsx1D.123/,x2D.264/,andx3D.4119/are
linearlydependent,forexample,since2x1C3x2 2x3D0.Ifvectorsarenot
linearlydependent,theyarelinearlyindependent.Forexample,thecolumnsofan
identitymatrixarelinearlyindependent.
Thecolumnrankofanonzerom nmatrixAisthesizeofthelargestset
oflinearlyindependentcolumnsofA.Similarly,therowrankofAisthesize
ofthelargestsetoflinearlyindependentrowsofA.Afundamentalpropertyof
anymatrixAisthatitsrowrankalwaysequalsitscolumnrank,sothatwecan
simplyrefertotherankofA.Therankofanmnmatrixisanintegerbetween0
andmin.mn/,inclusive.(Therankofazeromatrixis0,andtherankofannn
identitymatrixisn.)Analternate,butequivalentandoftenmoreuseful,definition
isthattherankofanonzeromnmatrixAisthesmallestnumberrsuchthat
thereexistmatricesBandCofrespectivesizesmrandrnsuchthat
ADBC:
Asquarennmatrixhasfullrankifitsrankisn.Anmnmatrixhasfull
columnrankifitsrankisn.Thefollowingtheoremgivesafundamentalproperty
ofranks.
Pgina345
TheoremD.1
Asquarematrixhasfullrankifandonlyifitisnonsingular.
AnullvectorforamatrixAisanonzerovectorxsuchthatAxD0.The
followingtheorem(whoseproofisleftasExerciseD.27)anditscorollaryrelate
thenotionsofcolumnrankandsingularitytonullvectors.
TheoremD.2
AmatrixAhasfullcolumnrankifandonlyifitdoesnothaveanullvector.
CorollaryD.3
AsquarematrixAissingularifandonlyifithasanullvector.
TheijthminorofannnmatrixA,forn>1,isthe.n1/.n1/matrixAij
obtainedbydeletingtheithrowandjthcolumnofA.Wedefinethedeterminant

ofannnmatrixArecursivelyintermsofitsminorsby
a11 ifnD1
det.A/D xnorte
.1/1Cja1jdet.A1j/ifn>1:
jD1
Theterm.1/iCjdet.Aij/isknownasthecofactoroftheelementaij.
Thefollowingtheorems,whoseproofsareomittedhere,expressfundamental
propertiesofthedeterminant.
TheoremD.4(Determinantproperties)
ThedeterminantofasquarematrixAhasthefollowingproperties:
IfanyroworanycolumnofAiszero,thendet.A/D0.
ThedeterminantofAismultipliedbyiftheentriesofanyonerow(orany
onecolumn)ofAareallmultipliedby.
ThedeterminantofAisunchangediftheentriesinonerow(respectively,col
umn)areaddedtothoseinanotherrow(respectively,column).
ThedeterminantofAequalsthedeterminantofAT.
ThedeterminantofAismultipliedby1ifanytworows(oranytwocolumns)
areexchanged.
Also,foranysquarematricesAandB,wehavedet.AB/Ddet.A/det.B/.
Pgina346
D.2Basicmatrixproperties 1225
TheoremD.5
AnnnmatrixAissingularifandonlyifdet.A/D0.
Positivedefinitematrices
Positivedefinitematricesplayanimportantroleinmanyapplications.Annn
matrixAispositivedefiniteifxTAx>0forallnvectorsx0.For
example,theidentitymatrixispositivedefinite,sinceforanynonzerovector
xD.x1 x2 xn/T,
xTInxDxTx
xnorte
re x2
yo
ID1
>0:
Matricesthatariseinapplicationsareoftenpositivedefiniteduetothefollowing
teorema.
TheoremD.6
ForanymatrixAwithfullcolumnrank,thematrixATAispositivedefinite.
ProofWemustshowthatxT.ATA/x>0foranynonzerovectorx.Paracualquier
vectorx,
xT.ATA/xD.Ax/T.Ax/(byExerciseD.12)
DkAxk 2 :
NotethatkAxk 2 isjustthesumofthesquaresoftheelementsofthevectorAx.
Therefore,kAxk 2 0.IfkAxk 2 D0,everyelementofAxis0,whichistosay
AxD0.SinceAhasfullcolumnrank,AxD0impliesxD0,byTheoremD.2.
Hence,ATAispositivedefinite.
Section28.3exploresotherpropertiesofpositivedefinitematrices.
Exercises
D.21
Provethatmatrixinversesareunique,thatis,ifBandCareinversesofA,then
BDC.
D.22
Provethatthedeterminantofalowertriangularoruppertriangularmatrixisequal
totheproductofitsdiagonalelements.Provethattheinverseofalowertriangular
matrix,ifitexists,islowertriangular.
Pgina347
D.23
ProvethatifPisapermutationmatrix,thenPisinvertible,itsinverseisPT,
andPTisapermutationmatrix.
D.24
LetAandBbennmatricessuchthatABDI.ProvethatifA0isobtained
fromAbyaddingrowjintorowi,thensubtractingcolumnifromcolumnjofB
yieldstheinverseB0ofA0.
D.25
LetAbeanonsingularnnmatrixwithcomplexentries.Showthateveryentry
ofA1isrealifandonlyifeveryentryofAisreal.
D.26
ShowthatifAisanonsingular,symmetric,nnmatrix,thenA1issymmetric.
ShowthatifBisanarbitrarymnmatrix,thenthemmmatrixgivenbythe
productBABTissymmetric.
D.27
ProveTheoremD.2.Thatis,showthatamatrixAhasfullcolumnrankifandonly
ifAxD0impliesxD0.(Hint:Expressthelineardependenceofonecolumnon
theothersasamatrixvectorequation.)
D.28
ProvethatforanytwocompatiblematricesAandB,
rank.AB/min.rank.A/rank.B//
whereequalityholdsifeitherAorBisanonsingularsquarematrix.(Hint:Use
thealternatedefinitionoftherankofamatrix.)
Problemas
D1Vandermondematrix
Givennumbersx0x1:::xn1,provethatthedeterminantoftheVandermonde
matrix
1x0 x2 xn1
0 0
1x1 x2 xn1
V.x0x1:::xn1/D 1 1Unesdoc.unesco.orgunesdoc.unesco.org
1xn1 x2 xn1
N1 N1
Pgina348
ProblemsforAppendixD 1227
es
Y
det.V.x0x1:::xn1//D .xk xj/:
0j<kn1
(Hint:Multiplycolumnibyx0andaddittocolumniC1foriDn 1
n2:::1,andthenuseinduction.)
D2PermutationsdefinedbymatrixvectormultiplicationoverGF.2/
OneclassofpermutationsoftheintegersinthesetSnDf012:::2n 1gis
definedbymatrixmultiplicationoverGF.2/.ForeachintegerxinSn,weviewits
binaryrepresentationasannbitvector
x0
x1
x2
xn1
Pn1
wherexD
iD0xi2i.IfAisannnmatrixinwhicheachentryiseither0
or1,thenwecandefineapermutationmappingeachvaluexinSntothenumber
whosebinaryrepresentationisthematrixvectorproductAx.Here,weperform
allarithmeticoverGF.2/:allvaluesareeither0or1,andwithoneexceptionthe
usualrulesofadditionandmultiplicationapply.Theexceptionisthat1C1D0.
YoucanthinkofarithmeticoverGF.2/asbeingjustlikeregularintegerarithmetic,
exceptthatyouuseonlytheleastsignificantbit.
Asanexample,forS
UN UN 2Df0123g,thematrix
10
ANUNCIO
11
definesthefollowingpermutationA:A.0/D0,A.1/D3,A.2/D2,
A.3/D1.ToseewhyA.3/D1,observethat,workinginGF.2/,
UN UN
10 1
A.3/D 11 1
UN UN
11C01
re
11C11
UN UN
1
re
0
whichisthebinaryrepresentationof1.
Pgina349
Fortheremainderofthisproblem,weworkoverGF.2/,andallmatrixand
vectorentriesare0or1.Wedefinetherankofa01matrix(amatrixforwhich
eachentryiseither0or1)overGF.2/thesameasforaregularmatrix,butwithall
arithmeticthatdetermineslinearindependenceperformedoverGF.2/.Wedefine
therangeofannn01matrixAby
RA/DfyWyDAxforsomex2Sng
sothatRA/isthesetofnumbersinSnthatwecanproducebymultiplyingeach
valuexinSnbyA.
a.IfristherankofmatrixA,provethatjR.A/jD2r.ConcludethatAdefinesa
permutationonSnonlyifAhasfullrank.
ForagivennnmatrixAandagivenvaluey2RA/,wedefinethepreimage
ofyby
P.Ay/DfxWAxDyg
sothatP.Ay/isthesetofvaluesinSnthatmaptoywhenmultipliedbyA.
segundo.IfristherankofnnmatrixAandy2RA/,provethatjP.Ay/jD2nr.
Let0mn,andsupposewepartitionthesetSnintoblocksofconsec
utivenumbers,wheretheithblockconsistsofthe2mnumbersi2mi2mC1
i2mC2:::.iC1/2m 1.ForanysubsetSSn,defineBSm/tobethe
setofsize2mblocksofSncontainingsomeelementofS.Asanexample,when
nD3,mD1,andSDf145g,thenBSm/consistsofblocks0(since1isin
the0thblock)and2(sinceboth4and5areinblock2).
do.Letrbetherankofthelowerleft.n m/msubmatrixofA,thatis,the
matrixformedbytakingtheintersectionofthebottomn mrowsandthe
leftmostmcolumnsofA.LetSbeanysize2mblockofSn,andletS0D
fyWyDAxforsomex2Sg.ProvethatjB.S0m/jD2randthatforeach
blockinBS0m/,exactly2mrnumbersinSmaptothatblock.
Becausemultiplyingthezerovectorbyanymatrixyieldsazerovector,theset
ofpermutationsofSndefinedbymultiplyingbynn01matriceswithfullrank
overGF.2/cannotincludeallpermutationsofSn.Letusextendtheclassofper
mutationsdefinedbymatrixvectormultiplicationtoincludeanadditiveterm,so
thatx2SnmapstoAxCc,wherecisannbitvectorandadditionisperformed
overGF.2/.Porejemplo,cuando
UN UN
10
ANUNCIO
11
Pgina350
NotesforAppendixD 1229
y
UN UN
0
cD
1
wegetthefollowingpermutationAc:Ac.0/D2,Ac.1/D1,Ac.2/D0,
Ac.3/D3.Wecallanypermutationthatmapsx2SntoAxCc,forsomenn
01matrixAwithfullrankandsomenbitvectorc,alinearpermutation.
re.UseacountingargumenttoshowthatthenumberoflinearpermutationsofSn
ismuchlessthanthenumberofpermutationsofSn.
mi.GiveanexampleofavalueofnandapermutationofSnthatcannotbeachieved
byanylinearpermutation.(Hint:Foragivenpermutation,thinkabouthow
multiplyingamatrixbyaunitvectorrelatestothecolumnsofthematrix.)
Appendixnotes
Linearalgebratextbooksprovideplentyofbackgroundinformationonmatrices.
ThebooksbyStrang[323,324]areparticularlygood.
Pgina352
Pgina351
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ndice
Thisindexusesthefollowingconventions.Numbersarealphabetizedasifspelled
outforexample,234treeisindexedasifitweretwothreefourtree.When
anentryreferstoaplaceotherthanthemaintext,thepagenumberisfollowedby
atag:ex.forexercise,pr.forproblem,fig.forfigure,andn.forfootnote.Atagged
pagenumberoftenindicatesthefirstpageofanexerciseorproblem,whichisnot
necessarilythepageonwhichthereferenceactuallyappears.
.n/,574 (setdifference),1159
(goldenratio),59,108pr. jj
y(conjugateofthegoldenratio),59 (flowvalue),710
.n/(Euler'sphifunction),943 (lengthofastring),986
.n/approximationalgorithm,1106,1123 (setcardinality),1161
onotation,5051,64
Onotation,45fig.,4748,64 (Cartesianproduct),1162
O0notation,62pr. (crossproduct),1016
eOnotation,62pr. hi
!notation,51 (sequence),1166
notation,45fig.,4849,64 (standardencoding),1057
1 norte
notation,62pr. k(choose),1185
enotation,62pr. kk(euclideannorm),1222
notation,4447,45fig.,64 (factorial),57
enotation,62pr. de(ceiling),54
fg(set),1158 bc(floor),54
pag (lowersquareroot),546
2(setmember),1158 #
pag
62(notasetmember),1158 "PAG(uppersquareroot),546
Q (sum),1145
(emptylanguage),1058 (product),1148
(emptyset),1158 !(adjacencyrelation),1169
(subset),1159 (reachabilityrelation),1170
(propersubset),1159 ^(AND),697,1071
W(suchthat),1159 :(NOT),1071
\(setintersection),1159 _(OR),697,1071
[(setunion),1159 (groupoperator),939
(convolutionoperator),901
Pgina373
1252 ndice
(closureoperator),1058 ADDSUBARRAY,805pr.
j(dividesrelation),927 adjacencylistrepresentation,590
(doesnotdividerelation),927 replacedbyahashtable,593ex.
(equivalentmodulon),54,1165ex. adjacencymatrixrepresentation,591
6(notequivalentmodulon),54 adjacencyrelation(!),1169
an(equivalenceclassmodulon),928 adjacentvertices,1169
Cn(additionmodulon),940 admissibleedge,749
n(multiplicationmodulon),940 admissiblenetwork,749750
.p
un
/(Legendresymbol),982pr.
adversary,190
"(emptystring),986,1058 aggregateanalysis,452456
<(prefixrelation),986 forbinarycounters,454455
=(suffixrelation),986 forbreadthfirstsearch,597
<x(aboverelation),1022 fordepthfirstsearch,606
//(commentsymbol),21 forDijkstra'salgorithm,661
(muchgreaterthanrelation),574 fordisjointsetdatastructures,566567,
(muchlessthanrelation),783 568ex.
P(polynomialtimereducibilityrelation), fordynamictables,465
1067,1077ex. forFibonacciheaps,518,522ex.
forGraham'sscan,1036
AAtree,338 fortheKnuthMorrisPrattalgorithm,1006
abeliangroup,940 forPrim'salgorithm,636
ABOVE,1024 forrodcutting,367
aboverelation(<x),1022 forshortestpathsinadag,655
absentchild,1178 forstackoperations,452454
absolutelyconvergentseries,1146 aggregateflow,863
absorptionlawsforsets,1160 AkraBazzimethodforsolvingarecurrence,
abstractproblem,1054 112113
acceptablepairofintegers,972 algorithm,5
acceptance correctnessof,6
byanalgorithm,1058 originofword,42
byafiniteautomaton,996 runningtimeof,25
acceptingstate,995 asatechnology,13
accountingmethod,456459 Alice,959
forbinarycounters,458 ALLOCATENODE,492
fordynamictables,465466 UN
forstackoperations,457458,458ex.
Ackermann'sfunction,585
activityselectionproblem,415422,450
acyclicgraph,1170
relationtomatroids,448pr.
addinstruction,23
adicin
ofbinaryintegers,22ex.
ofmatrices,1220
modulon(Cn),940
ofpolynomials,898
additivegroupmodulon,940
addressing,open,seeopenaddresshashtable

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13/1/2017 Cuyovalorptimoesidnticoaldelprogramalinealoriginal.

(a0 ,a1 ,a2 ,a3 ,a4 ,a5 ,a6 ,a7 )

(a0 ,a2 ,a4 ,a6 ) (a1 ,a3 ,a5 ,a7 )

(a0 ,a4 ) (a2 ,a6 ) (a1 ,a5 ) (a3 ,a7 )

(a0 ) (a4 ) (a2 ) (a6 ) (a1 ) (a5 ) (a3 ) (a7 )

stagesD1 stagesD2 stagesD3

ciDmi.m1 modni/ (31.31)

Algoritmo Preprocessingtime Matchingtime

acaabc acaabc acaabc acaabc

s=0 s=1 s=2 s=3

(un) (segundo) (do) (re)

antiguo nuevo antiguo nuevo

314152 14152 (31415310000)10+2(mod13)

S aba baca PAG

s=s+2 aba baca PAG

qC1D .Pq Ti/

.p1 p0/.p2 p0/D.x1 x0/.y2 y0/.x2 x0/.y1 y0/:

(p1 p3 )(p4 p3 )<0p4 (p1 p3 )(p4 p3 )<0p4

CH.Qi fptg/DCH.Qi/: (33.1)

instance polynomialtime instance polynomialtime s s

coNP notariopblicocoNP NPcoNP notariopblico

[u,v,1] [v,u,1] [u,v,1] [v,u,1] [u,v,1] [v,u,1] [u,v,1] [v,u,1]

Wwx Wxy Wwy Wwz

fx/dx f.k/ f.x/dx: (A.11)

UN segundo UN segundo UN segundo UN segundo UN segundo

(un) (segundo) (do)

(un) (segundo) (do)

Thenotation norte (readnchoosek)denotesthenumberofkcombinationsof

PrfAi \Ai \\Ai gDPrfAi gPrfAi gPrfAi g:

Ef.X/ f.EX/ (C.26)

PrfX tgEX=t (C.30)

PrfX0 kgPrfX kg:

PrfX rgDPr e.X/ er (C.43)

PrfX rger =2n:

(Hint:Provethatpieq Cqiep e =2.Thenfollowtheoutlineoftheproof

t11 t12 0 0::: 0 0 0

u11 u12 :::u1n

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