CSCE 310

Data Structures & Algorithms

0-1 Knapsack problem

Dr. Ying Lu
[email protected]

1
CSCE 310
Data Structures & Algorithms
 Giving credit where credit is due:
» Most of slides for this lecture are based on slides
created by Dr. David Luebke, University of Virginia.
» Some slides are based on lecture notes created by Dr.
Chuck Cusack, Hope College.
» I have modified them and added new slides.

2
Summarizing the Concept of
Dynamic Programming
 Basic idea:
» Optimal substructure: optimal solution to problem
consists of optimal solutions to subproblems
» Overlapping subproblems: few subproblems in total,
many recurring instances of each
» Solve bottom-up, building a table of solved
subproblems that are used to solve larger ones
 Variations:
» “Table” could be 3-dimensional, triangular, a tree, etc.

3
Floyd’s Algorithm for All-Pairs
Shortest-Paths Problem
dij(k)=min (dij(k-1), dik(k-1)+ dkj(k-1)) for k≥1

p
k Vk
p1
Vk-1 p2
i p j

solutions for smaller subproblems  solution for a larger

subproblem
4
Floyd’s Algorithm for All-Pairs
Shortest-Paths Problem
dij(k)=min (dij(k-1), dik(k-1)+ dkj(k-1)) for k≥1
dil(k)=min (dil(k-1), dik(k-1)+ dkl(k-1)) for k≥1
p
k Vk
p1
Vk-1 p2
i j
p3

l
solution for a smaller subproblem is used for getting solutions for
multiple bigger subproblems
5
Knapsack problem
Given some items, pack the knapsack to get
the maximum total value. Each item has some
weight and some value. Total weight that we can
carry is no more than some fixed number W.
So we must consider weights of items as well as
their values.

Item # Weight Value

1 1 8
2 3 6
3 5 5
6
Knapsack problem
There are two versions of the problem:
1. “0-1 knapsack problem” and
2. “Fractional knapsack problem”

1. Items are indivisible; you either take an item or not.

Some special instances can be solved with dynamic
programming

2. Items are divisible: you can take any fraction of an item.

Solved with a greedy algorithm
 We will see this version at a later time

7
0-1 Knapsack problem
 Given a knapsack with maximum capacity W, and
a set S consisting of n items
 Each item i has some weight wi and benefit value
bi (all wi and W are integer values)
 Problem: How to pack the knapsack to achieve
maximum total value of packed items?

8
0-1 Knapsack problem: a
picture
Weight Benefit value
Items
wi bi

2 3
This is a knapsack 3 4
Max weight: W = 20 4 5

5 8
W = 20

9 10
9
0-1 Knapsack problem
 Problem, in other words, is to find
max  bi subject to  wi  W
iT iT

 The problem is called a “0-1” problem,

because each item must be entirely
accepted or rejected.

10
0-1 Knapsack problem:
brute-force approach

Let’s first solve this problem with a

straightforward algorithm
 Since there are n items, there are 2n possible
combinations of items.
 We go through all combinations and find the one
with maximum value and with total weight less or
equal to W
 Running time will be O(2n)

11
0-1 Knapsack problem:
brute-force approach
 We can do better with an algorithm based on
dynamic programming
 We need to carefully identify the subproblems

Let’s try this:

If items are labeled 1..n, then a subproblem
would be to find an optimal solution for
Sk = {items labeled 1, 2, .. k}

12
Defining a Subproblem
If items are labeled 1..n, then a subproblem would be
to find an optimal solution for Sk = {items labeled
1, 2, .. k}

 This is a reasonable subproblem definition.

 The question is: can we describe the final solution
(Sn ) in terms of subproblems (Sk)?
 Unfortunately, we can’t do that.

13
Defining a Subproblem
w1 =2 w2 =4 w3 =5 w4 =3 Weight Benefit
b1 =3 b2 =5 b3 =8 b4 =4
Item wi bi
?
Max weight: W = 20
#
1 2 3
S4 2 4 5
For S4:
S5 3
Total weight: 14 5 8
Maximum benefit: 20 4 3 4
5 9 10
w1 =2 w2 =4 w3 =5 w5 =9
b1 =3 b2 =5 b3 =8 b5 =10

For S5:
Solution for S4 is
Total weight: 20 not part of the
Maximum benefit: 26 solution for S !!! 14
Defining a Subproblem
(continued)
 As we have seen, the solution for S4 is not part of the
solution for S5
 So our definition of a subproblem is flawed and we
need another one!
 Let’s add another parameter: w, which will represent
the maximum weight for each subset of items
 The subproblem then will be to compute V[k,w], i.e.,
to find an optimal solution for Sk = {items labeled 1,
2, .. k} in a knapsack of size w

15
Recursive Formula for
subproblems
 The subproblem then will be to compute V[k,w], i.e.,
to find an optimal solution for Sk = {items labeled 1,
2, .. k} in a knapsack of size w

 Assuming knowing V[i, j], where i=0,1, 2, … k-1,

j=0,1,2, …w, how to derive V[k,w]?

16
Recursive Formula for
subproblems (continued)

Recursive formula for subproblems:

 V [k  1, w] if wk  w
V [ k , w]  
max{V [k  1, w],V [k  1, w  wk ]  bk } else

It means, that the best subset of Sk that has total

weight w is:
1) the best subset of Sk-1 that has total weight  w, or
2) the best subset of Sk-1 that has total weight  w-wk plus
the item k

17
Recursive Formula
 V [k  1, w] if wk  w
V [ k , w]  
max{V [k  1, w],V [k  1, w  wk ]  bk } else

 The best subset of Sk that has the total weight  w,

either contains item k or not.
 First case: wk>w. Item k can’t be part of the solution,
since if it was, the total weight would be > w, which
is unacceptable.
 Second case: wk  w. Then the item k can be in the
solution, and we choose the case with greater value.

18
0-1 Knapsack Algorithm
for w = 0 to W
V[0,w] = 0
for i = 1 to n
V[i,0] = 0
for i = 1 to n
for w = 0 to W
if wi <= w // item i can be part of the solution
if bi + V[i-1,w-wi] > V[i-1,w]
V[i,w] = bi + V[i-1,w- wi]
else
V[i,w] = V[i-1,w]
else V[i,w] = V[i-1,w] // wi > w
19
Running time
for w = 0 to W
O(W)
V[0,w] = 0
for i = 1 to n
V[i,0] = 0
for i = 1 to n Repeat n times
for w = 0 to W O(W)
< the rest of the code >
What is the running time of this
algorithm?
O(n*W)
Remember that the brute-force algorithm
takes O(2n) 20
Example

Let’s run our algorithm on the

following data:

n = 4 (# of elements)
W = 5 (max weight)
Elements (weight, benefit):
(2,3), (3,4), (4,5), (5,6)

21
Example (2)
i\W 0 1 2 3 4 5
0 0 0 0 0 0 0
1
2
3
4

for w = 0 to W
V[0,w] = 0

22
Example (3)
i\W 0 1 2 3 4 5
0 0 0 0 0 0 0
1 0
2 0
3 0
4 0

for i = 1 to n
V[i,0] = 0

23
 Items:
1: (2,3)
Example (4) 2: (3,4)
3: (4,5)
i\W 0 1 2 3 4 5 i=1 4: (5,6)
0 0 0 0 0 0 0
bi=3
1 0 0
wi=2
2 0
3 0 w=1
4 0 w-wi =-1
if wi <= w // item i can be part of the solution
if bi + V[i-1,w-wi] > V[i-1,w]
V[i,w] = bi + V[i-1,w- wi]
else
V[i,w] = V[i-1,w]
else V[i,w] = V[i-1,w] // wi > w
24
 Items:
1: (2,3)
Example (5) 2: (3,4)
3: (4,5)
i\W 0 1 2 3 4 5 i=1 4: (5,6)
0 0 0 0 0 0 0
bi=3
1 0 0 3
wi=2
2 0
3 0 w=2
4 0 w-wi =0
if wi <= w // item i can be part of the solution
if bi + V[i-1,w-wi] > V[i-1,w]
V[i,w] = bi + V[i-1,w- wi]
else
V[i,w] = V[i-1,w]
else V[i,w] = V[i-1,w] // wi > w
25
 Items:
1: (2,3)
Example (6) 2: (3,4)
3: (4,5)
i\W 0 1 2 3 4 5 i=1 4: (5,6)
0 0 0 0 0 0 0
bi=3
1 0 0 3 3
wi=2
2 0
3 0 w=3
4 0 w-wi =1
if wi <= w // item i can be part of the solution
if bi + V[i-1,w-wi] > V[i-1,w]
V[i,w] = bi + V[i-1,w- wi]
else
V[i,w] = V[i-1,w]
else V[i,w] = V[i-1,w] // wi > w
26
 Items:
1: (2,3)
Example (7) 2: (3,4)
3: (4,5)
i\W 0 1 2 3 4 5 i=1 4: (5,6)
0 0 0 0 0 0 0
bi=3
1 0 0 3 3 3
wi=2
2 0
3 0 w=4
4 0 w-wi =2
if wi <= w // item i can be part of the solution
if bi + V[i-1,w-wi] > V[i-1,w]
V[i,w] = bi + V[i-1,w- wi]
else
V[i,w] = V[i-1,w]
else V[i,w] = V[i-1,w] // wi > w
27
 Items:
1: (2,3)
Example (8) 2: (3,4)
3: (4,5)
i\W 0 1 2 3 4 5 i=1 4: (5,6)
0 0 0 0 0 0 0
bi=3
1 0 0 3 3 3 3
wi=2
2 0
3 0 w=5
4 0 w-wi =3
if wi <= w // item i can be part of the solution
if bi + V[i-1,w-wi] > V[i-1,w]
V[i,w] = bi + V[i-1,w- wi]
else
V[i,w] = V[i-1,w]
else V[i,w] = V[i-1,w] // wi > w
28
 Items:
1: (2,3)
Example (9) 2: (3,4)
3: (4,5)
i\W 0 1 2 3 4 5 i=2 4: (5,6)
0 0 0 0 0 0 0
bi=4
1 0 0 3 3 3 3
wi=3
2 0 0
3 0 w=1
4 0 w-wi =-2
if wi <= w // item i can be part of the solution
if bi + V[i-1,w-wi] > V[i-1,w]
V[i,w] = bi + V[i-1,w- wi]
else
V[i,w] = V[i-1,w]
else V[i,w] = V[i-1,w] // wi > w
29
 Items:
1: (2,3)
Example (10) 2: (3,4)
3: (4,5)
i\W 0 1 2 3 4 5 i=2 4: (5,6)
0 0 0 0 0 0 0
bi=4
1 0 0 3 3 3 3
wi=3
2 0 0 3
3 0 w=2
4 0 w-wi =-1
if wi <= w // item i can be part of the solution
if bi + V[i-1,w-wi] > V[i-1,w]
V[i,w] = bi + V[i-1,w- wi]
else
V[i,w] = V[i-1,w]
else V[i,w] = V[i-1,w] // wi > w
30
 Items:
1: (2,3)
Example (11) 2: (3,4)
3: (4,5)
i\W 0 1 2 3 4 5 i=2 4: (5,6)
0 0 0 0 0 0 0
bi=4
1 0 0 3 3 3 3
wi=3
2 0 0 3 4
3 0 w=3
4 0 w-wi =0
if wi <= w // item i can be part of the solution
if bi + V[i-1,w-wi] > V[i-1,w]
V[i,w] = bi + V[i-1,w- wi]
else
V[i,w] = V[i-1,w]
else V[i,w] = V[i-1,w] // wi > w
31
 Items:
1: (2,3)
Example (12) 2: (3,4)
3: (4,5)
i\W 0 1 2 3 4 5 i=2 4: (5,6)
0 0 0 0 0 0 0
bi=4
1 0 0 3 3 3 3
wi=3
2 0 0 3 4 4
3 0 w=4
4 0 w-wi =1
if wi <= w // item i can be part of the solution
if bi + V[i-1,w-wi] > V[i-1,w]
V[i,w] = bi + V[i-1,w- wi]
else
V[i,w] = V[i-1,w]
else V[i,w] = V[i-1,w] // wi > w
32
 Items:
1: (2,3)
Example (13) 2: (3,4)
3: (4,5)
i\W 0 1 2 3 4 5 i=2 4: (5,6)
0 0 0 0 0 0 0
bi=4
1 0 0 3 3 3 3
wi=3
2 0 0 3 4 4 7
3 0 w=5
4 0 w-wi =2
if wi <= w // item i can be part of the solution
if bi + V[i-1,w-wi] > V[i-1,w]
V[i,w] = bi + V[i-1,w- wi]
else
V[i,w] = V[i-1,w]
else V[i,w] = V[i-1,w] // wi > w
33
 Items:
1: (2,3)
Example (14) 2: (3,4)
3: (4,5)
i\W 0 1 2 3 4 5 i=3 4: (5,6)
0 0 0 0 0 0 0
bi=5
1 0 0 3 3 3 3
wi=4
2 0 0 3 4 4 7
3 0 0 3 4 w= 1..3
4 0
if wi <= w // item i can be part of the solution
if bi + V[i-1,w-wi] > V[i-1,w]
V[i,w] = bi + V[i-1,w- wi]
else
V[i,w] = V[i-1,w]
else V[i,w] = V[i-1,w] // wi > w
34
 Items:
1: (2,3)
Example (15) 2: (3,4)
3: (4,5)
i\W 0 1 2 3 4 5 i=3 4: (5,6)
0 0 0 0 0 0 0
bi=5
1 0 0 3 3 3 3
wi=4
2 0 0 3 4 4 7
3 0 0 3 4 5 w= 4
4 0 w- wi=0
if wi <= w // item i can be part of the solution
if bi + V[i-1,w-wi] > V[i-1,w]
V[i,w] = bi + V[i-1,w- wi]
else
V[i,w] = V[i-1,w]
else V[i,w] = V[i-1,w] // wi > w
35
 Items:
1: (2,3)
Example (16) 2: (3,4)
3: (4,5)
i\W 0 1 2 3 4 5 i=3 4: (5,6)
0 0 0 0 0 0 0
bi=5
1 0 0 3 3 3 3
wi=4
2 0 0 3 4 4 7
3 0 0 3 4 5 7 w= 5
4 0 w- wi=1
if wi <= w // item i can be part of the solution
if bi + V[i-1,w-wi] > V[i-1,w]
V[i,w] = bi + V[i-1,w- wi]
else
V[i,w] = V[i-1,w]
else V[i,w] = V[i-1,w] // wi > w
36
 Items:
1: (2,3)
Example (17) 2: (3,4)
3: (4,5)
i\W 0 1 2 3 4 5 i=4 4: (5,6)
0 0 0 0 0 0 0
bi=6
1 0 0 3 3 3 3
wi=5
2 0 0 3 4 4 7
3 0 0 3 4 5 7 w= 1..4
4 0 0 3 4 5
if wi <= w // item i can be part of the solution
if bi + V[i-1,w-wi] > V[i-1,w]
V[i,w] = bi + V[i-1,w- wi]
else
V[i,w] = V[i-1,w]
else V[i,w] = V[i-1,w] // wi > w
37
 Items:
1: (2,3)
Example (18) 2: (3,4)
3: (4,5)
i\W 0 1 2 3 4 5 i=4 4: (5,6)
0 0 0 0 0 0 0
bi=6
1 0 0 3 3 3 3
wi=5
2 0 0 3 4 4 7
3 0 0 3 4 5 7 w= 5
4 0 0 3 4 5 7 w- wi=0
if wi <= w // item i can be part of the solution
if bi + V[i-1,w-wi] > V[i-1,w]
V[i,w] = bi + V[i-1,w- wi]
else
V[i,w] = V[i-1,w]
else V[i,w] = V[i-1,w] // wi > w
38
Exercise
 P303 8.4.1 (a).

 How to find out which items are in the optimal subset?

39
Comments
 This algorithm only finds the max possible value
that can be carried in the knapsack
» i.e., the value in V[n,W]
 To know the items that make this maximum value,
an addition to this algorithm is necessary

40
How to find actual Knapsack
Items
 All of the information we need is in the table.
 V[n,W] is the maximal value of items that can be
placed in the Knapsack.
 Let i=n and k=W
if V[i,k]  V[i1,k] then
mark the ith item as in the knapsack
i = i1, k = k-wi
else
i = i1 // Assume the ith item is not in the knapsack
// Could it be in the optimally packed
knapsack?
41
 Items:
1: (2,3)
Finding the Items 2: (3,4)
3: (4,5)
i\W 0 1 2 3 4 5 i=4 4: (5,6)
0 0 0 0 0 0 0 k= 5
1 0 0 3 3 3 3 bi=6
2 0 0 3 4 4 7 wi=5
3 0 0 3 4 5 7 V[i,k] = 7
4 0 0 3 4 5 7 V[i1,k] =7
i=n, k=W
while i,k > 0
if V[i,k]  V[i1,k] then
mark the ith item as in the knapsack
i = i1, k = k-wi
else
i = i1 42
 Items:
1: (2,3)
Finding the Items (2) 2: (3,4)
3: (4,5)
i\W 0 1 2 3 4 5 i=4 4: (5,6)
0 0 0 0 0 0 0 k= 5
1 0 0 3 3 3 3 bi=6
2 0 0 3 4 4 7 wi=5
3 0 0 3 4 5 7 V[i,k] = 7
4 0 0 3 4 5 7 V[i1,k] =7
i=n, k=W
while i,k > 0
if V[i,k]  V[i1,k] then
mark the ith item as in the knapsack
i = i1, k = k-wi
else
i = i1 43
 Items:
1: (2,3)
Finding the Items (3) 2: (3,4)
3: (4,5)
i\W 0 1 2 3 4 5 i=3 4: (5,6)
0 0 0 0 0 0 0 k= 5
1 0 0 3 3 3 3 bi=5
2 0 0 3 4 4 7 wi=4
3 0 0 3 4 5 7 V[i,k] = 7
4 0 0 3 4 5 7 V[i1,k] =7
i=n, k=W
while i,k > 0
if V[i,k]  V[i1,k] then
mark the ith item as in the knapsack
i = i1, k = k-wi
else
i = i1 44
 Items:
1: (2,3)
Finding the Items (4) 2: (3,4)
3: (4,5)
i\W 0 1 2 3 4 5 i=2 4: (5,6)
0 0 0 0 0 0 0 k= 5
1 0 0 3 3 3 3 bi=4
2 0 0 3 4 4 7 wi=3
3 0 0 3 4 5 7 V[i,k] = 7
4 0 0 3 4 5 7 V[i1,k] =3
i=n, k=W
k  wi=2
while i,k > 0
if V[i,k]  V[i1,k] then
mark the ith item as in the knapsack
i = i1, k = k-wi
else
i = i1 45
 Items:
1: (2,3)
Finding the Items (5) 2: (3,4)
3: (4,5)
i\W 0 1 2 3 4 5 i=1 4: (5,6)
0 0 0 0 0 0 0 k= 2
1 0 0 3 3 3 3 bi=3
2 0 0 3 4 4 7 wi=2
3 0 0 3 4 5 7 V[i,k] = 3
4 0 0 3 4 5 7 V[i1,k] =0
i=n, k=W
k  wi=0
while i,k > 0
if V[i,k]  V[i1,k] then
mark the ith item as in the knapsack
i = i1, k = k-wi
else
i = i1 46
 Items:
1: (2,3)
Finding the Items (6) 2: (3,4)
3: (4,5)
i\W 0 1 2 3 4 5 i=0 4: (5,6)
0 0 0 0 0 0 0 k= 0
1 0 0 3 3 3 3
2 0 0 3 4 4 7
3 0 0 3 4 5 7 The optimal
knapsack
4 0 0 3 4 5 7
should contain
i=n, k=W {1, 2}
while i,k > 0
if V[i,k]  V[i1,k] then
mark the nth item as in the knapsack
i = i1, k = k-wi
else
i = i1 47
 Items:
1: (2,3)
Finding the Items (7) 2: (3,4)
3: (4,5)
i\W 0 1 2 3 4 5 4: (5,6)
0 0 0 0 0 0 0
1 0 0 3 3 3 3
2 0 0 3 4 4 7
3 0 0 3 4 5 7 The optimal
knapsack
4 0 0 3 4 5 7
should contain
i=n, k=W {1, 2}
while i,k > 0
if V[i,k]  V[i1,k] then
mark the nth item as in the knapsack
i = i1, k = k-wi
else
i = i1 48
Memorization (Memory Function Method)
 Goal:
» Solve only subproblems that are necessary and solve it only once
 Memorization is another way to deal with overlapping subproblems
in dynamic programming
 With memorization, we implement the algorithm recursively:
» If we encounter a new subproblem, we compute and store the solution.
» If we encounter a subproblem we have seen, we look up the answer
 Most useful when the algorithm is easiest to implement recursively
» Especially if we do not need solutions to all subproblems.

49
0-1 Knapsack Memory Function Algorithm
for i = 1 to n MFKnapsack(i, w)
for w = 1 to W if V[i,w] < 0
V[i,w] = -1 if w < wi
value = MFKnapsack(i-1, w)
for w = 0 to W else
V[0,w] = 0 value = max(MFKnapsack(i-1, w),
for i = 1 to n bi + MFKnapsack(i-1, w-wi))
V[i,0] = 0 V[i,w] = value
return V[i,w]

50
Conclusion
 Dynamic programming is a useful technique of
solving certain kind of problems
 When the solution can be recursively described in
terms of partial solutions, we can store these
partial solutions and re-use them as necessary
(memorization)
 Running time of dynamic programming algorithm
vs. naïve algorithm:
» 0-1 Knapsack problem: O(W*n) vs. O(2n)

51
In-Class Exercise
 8.4.9
Design a dynamic programming algorithm for the change-
making problem: given an amount n and unlimited
quantities of coins of each of the denominations d 1, d2, d3,
…, dm. find the smallest number of coins that add up to n
or indicate that the problem does not have a solution.
For instance,
 n = 10, d1=1, d2=5, d3=7;

 n = 6, d1=5, d2=7.

52
The Fractional Knapsack Problem
 Fractional knapsack problem: you can take
any fraction of an item.

 Problem, in other words, is to find

n
max  f ibi subject to  f i wi  W
i 1 iT

where 0  fi  1.

53
Knapsack problem: a picture
Weight Benefit Ratio
Items
wi bi bi/wi

2 3 1.5
This is a knapsack 3 4 1.33
Max weight: W = 20 4 5 1.25

5 8 1.6
W = 20

9 10 1.11

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Solving the Fractional Knapsack
Problem
 The optimal solution to the fractional knapsack
problem can be found with a greedy algorithm
» Greedy strategy: take in order of dollars/pound
 The optimal solution to the 0-1 problem cannot be
found with the same greedy strategy
» Example: 3 items weighing 10, 20, and 30 pounds, with
values 80, 100, and 90 dollars, knapsack can hold 50
pounds

55
The Knapsack Problem:
Greedy Vs. Dynamic

 The fractional problem can be solved

greedily
 For the 0-1 problem, some special instances
(i.e., where all wi and W are integer values)
can be solved with a dynamic programming
approach

56
In-Class Exercises

 Given an array a0 a1 ... an-1, where a0 < a1 <

a2 < a3 < … < an-1 , design an efficient
algorithm to tell if there are three items in
the array such that ax + ay = az , what is the
time efficiency of your algorithm?

 Algorithm time complexity should be O(n2)

 Hint: given a value s, how to determine if
there are two items in the array such that
ax+ay=s in O(n) time? 57
57
In-Class Exercises
 How to sort 9000 MB data using only 100 MB of
RAM?

58
In-Class Exercises
 You have an integer array like
ar[]={1,3,2,4,5,4,2}. You need to create another
array ar_low[] such that ar_low[i] = number of
elements lower than or equal to ar[i]. So the output
of above should be {1,4,3,6,7,6,3}.
 Algorithm time complexity should be O(n) and
use of extra space is allowed.

59