Charming Python #b1

Iterators and Simple Generators


David Mertz, Ph.D.
Autodidact, Gnosis Software, Inc.
September, 2001

Python 2.2 will introduce a new construct, accompanied by a new keyword. The construct is generators, the keyword is yield. Generators make possible several new, powerful, and expressive programming idioms, but are also a little bit hard to get one's mind around at first glance. This article provides a gentle introduction to generators--and also to the related introduction of iterators.

What Is Python?

Python is a freely available, very-high-level, interpreted language developed by Guido van Rossum. It combines a clear syntax with powerful (but optional) object-oriented semantics. Python is available for almost every computer platform you might find yourself working on, and has strong portability between platforms.

Introduction

Welcome to the world of exotic flow control. With Python 2.2, programmers will get some new options for how to make programs tick that were not available--or at least not as convenient--in earlier Python versions.

While what Python 2.2 gives us is not quite as mind-melting as the full continuations and microthreads that are possible in Stackless Python, generators and iterators do something a bit different from traditional functions and classes.

Let us consider iterators first, since they are simpler to understand. Basically, and iterator is just an object that has a .next() method. Well, that is not quite true; but it is close. Actually, most iterator contexts want an object that will generate an iterator when the new iter() builtin function is applied to it. All one needs to do to have a user defined class (that has the requisite .next() method) return an iterator is to have a __iter__() method return self. The examples will make this all clear. An iterator's .next() method might decide to raise a StopIteration exception if the iteration has a logical termination.

A generator is a little more complicated and general. But the most typical use of generators will be for defining iterators; so some of the subtlety is not always worth worrying about. A generator is a function that remembers the point in the function body where it last returned. Calling a generator function a second (or n'th) time jumps into the middle of the function, with all local variables intact from the last invocation.

In some ways, a generator is like the closures which were discussed in the installments of this column discussing functional programming. Like a closure, a generator "remembers" the state of its data. But a generator goes a bit further than a closure inasmuch as a generator also "remembers" its position within flow-control constructs (which in imperative programming is something more than just data values). Continuations are still move general since they let one jump arbitrarily between execution frames, rather than returning always to the immediate caller's context (as a generator does).

Fortunately, using a generator is much less work than is understanding all the conceptual issues of program flow and state. In fact, after very little practice, generators seem as obvious as ordinary functions.

Taking A Random Walk

For purpose of this explanation, let me pose a fairly simple problem that we can solve in several ways--both new and old. Suppose we want a stream of positive random numbers less than one that obey a backward-looking constraint. Specifically, we want each successive number to be at least 0.4 more or less than the last one. Moreover, the stream itself is not infinite, but rather ends after a random number of steps. For the examples, we will simply end the stream when a number less than 0.1 is produced. The constraints described are a bit like one might find in a "random walk" algorithm, with the end condition resembling a "statisficing" or "local minimum" result--but certainly the requirements are simpler than most real world ones.

In Python 2.1 or earlier, we have a few approaches to solving our problem. One approach is to simply produce and return a list of numbers in the stream. This might look like:

RandomWalk_List.py

import random 
def randomwalk_list(): 
    last, rand = 1, random.random() # init candidate elements 
    nums = []                       # empty list 
    while rand > 0.1:               # threshhold terminator 
        if abs(last-rand) >= 0.4:   # accept the number 
            last = rand 
            nums.append(rand)       # add latest candidate to nums 
        else: 
            print '*',              # display the rejection 
        rand = random.random()      # new candidate 
    nums.append(rand)               # add the final small element 
    return nums

Utilizing this function is as simple as:

Iterate over Random Walk List

 
for num in randomwalk_list(): 
    print num, 
 

There are a few notable limitations to the above approach. The specific example is exceedingly unlikely to produce huge lists; but just by making the threshhold terminator more stringent, we could create arbitrarily large streams (of random exact size, but of anticipatable order-of-magnitude). At a certain point, memory and performance issues can make this approach undesirable and unnecessary. This same concern got xrange() and xreadlines() added to Python in earlier versions. More significantly, many streams depend on external events, and yet should be processed as each element is available. For example, a stream might listen to a port, or wait for user inputs. Trying to create a complete list out of the stream is simply not an option in these cases.

One trick available in Python 2.1 and earlier is to use a "static" function-local variable to remember things about the last invocation of a function. Obviously, global variables could do the same job, but they cause the familiar problems with pollution of the global namespace, and allow mistakes due to non-locality. You might be surprised here if you are unfamiliar with the trick--Python does not have an "official" static scoping declaration. However, if named parameters are given mutable default values, the parameters can act as persistent memories of previous invocations. Lists, specifically, are handy mutable objects that can conveniently even hold multiple values.

Using a "static" approach, we can write a function like:

RandomWalk_Static.py

import random 
def randomwalk_static(last=[1]):    # init the "static" var(s) 
    rand = random.random()          # init a candidate value 
    if last[0] < 0.1:               # threshhold terminator 
        return None                 # end-of-stream flag 
    while abs(last[0]-rand) < 0.4:  # look for usable candidate 
        print '*',                  # display the rejection 
        rand = random.random()      # new candidate 
    last[0] = rand                  # update the "static" var 
    return rand

This function is quite memory-friendly. All it needs to remember is one previous value, and all it returns is a single number (not a big list of them). And a function similar to this could return successive values that depended (partly or wholly) on external events. On the down side, utilizing this function is somewhat less concise, and considerably less elegant:

Iterate over Static Random Walk

 
num = randomwalk_static() 
while num is not None: 
    print num, 
    num = randomwalk_static() 
 
 

New Ways Of Walking

"Under the hood", Python 2.2 sequences are all iterators. The familiar Python idiom for elem in lst: now actually asks lst to produce an iterator. The for loop then repeatedly calls the .next() method of this iterator until it encounters a StopIteration exception. Luckily, Python programmers do not need to know what is happening here, since all the familiar builtin types produce their iterators automatically. In fact, now dictionaries have the methods .iterkeys(), .iteritems() and .itervalues() to produce iterators; the first is what gets used in the new idiom for key in dct:. Likewise, the new idiom for line in file: is supported via an iterator that calls .readline().

But given what is actually happening within the Python interpreter, it becomes obvious to use custom classes that produce their own iterators rather than exclusively use the iterators of builtin types. A custom class that enables both the direct usage of randomwalk_list() and the element-at-a-time parsimony of randomwalk_static is straightforward:

RandomWalk_Iter.py

import random 
class randomwalk_iter: 
    def __init__(self): 
        self.last = 1               # init the prior value 
        self.rand = random.random() # init a candidate value 
    def __iter__(self): 
        return self                 # simplest iterator creation 
    def next(self): 
        if self.rand < 0.1:         # threshhold terminator 
            raise StopIteration     # end of iteration 
        else:                       # look for usable candidate 
            while abs(self.last-self.rand) < 0.4: 
                print '*',          # display the rejection 
                self.rand = random.random() # new candidate 
            self.last = self.rand   # update prior value 
            return self.rand

Use of this custom iterator looks exactly the same as for a true list generated by a function:

Iterate with Random Walk Class

 
for num in randomwalk_iter(): 
    print num, 
 

In fact, even the idiom if elem in iterator is supported, which lazily only tries as many elements of the iterator as are needed to determine the truth value (if it winds up false, it needs to try all the elements, of course).

Leaving A Trail Of Crumbs

The above approaches are fine for the problem at hand. But none of them scale very well to the case where a routine creates a large number of local variables along the way, and winds its way into a nest of loops and conditionals. If an iterator class, or a function with static (or global) variables depends on multiple data states, two problems come up. One is the mundane matter of creating multiple instance attributes or static list elements to hold each of the data values. The far more important problem is figuring out how to get back to exactly the relevant part of the flow logic that corresponds to the data states. It is awfully easy to forget about the interaction and codependence of different data.

Generators simply bypass the whole problem. A generator "returns" with the new keyword yield, but "remembers" the exact point of execution where it returned. Next time the generator is called, it picks up where it left before--both in terms of function flow and in terms of variable values.

One does not directly write a generator in Python 2.2+. Instead, one writes a function that, when called, returns a generator. This might seem odd, but "function factories" are a familiar feature of Python, and "generator factories" are an obvious conceptual extension of this. What makes a function a generator factory in Python 2.2+ is the presence of one or more yield statements somewhere in its body. If yield occurs, return must only occur without any accompanying return value. A better choice, however, is to arrange the function bodies so that execution just "falls off the end" after all the yield's are accomplished. But if a 'return is encountered, it causes the produced generator to raise a StopIteration exception rather than yield further values.

In my own opinion, the choice of syntax for generator factories was somewhat poorly chosen. A yield statment can occur well into the body of a function, and one might be unable to determine that a function is destined to act as a generator factory anywhere within the first N lines of a function. The same thing could, of course, be true of a function factory--but being a function factory doesn't change the actual syntax of a function body (and a function body is allowed to sometimes return a plain value; albeit probably not out of good design). To my mind, a new keyword--such as generator in place of def would have been a better choice.

Quibbles over syntax aside, generators have the good manners to automatically act as iterators when called on to do so. Nothing like the .__iter__() method of classes is needed here. Every yield encountered becomes a return value for generator's .next() method. Let's look at the simplest generator to make things clear:

Simplest Possible Python 2.2 Generator

>>> from __future__ import generators 
>>> def gen(): 
        yield 1 
 
>>> g = gen() 
>>> g.next() 
1 
>>> g.next() 
Traceback (most recent call last): 
  File "<pyshell#15>", line 1, in ? 
    g.next() 
StopIteration

Let us put a generator to work in our sample problem:

RandomWalk_Generator.py

from __future__ import generators   # only needed for Python 2.2 
import random 
def randomwalk_generator(): 
    last, rand = 1, random.random() # initialize candidate elements 
    while rand > 0.1:               # threshhold terminator 
        print '*',                  # display the rejection 
        if abs(last-rand) >= 0.4:   # accept the number 
            last = rand             # update prior value 
            yield rand              # return AT THIS POINT 
        rand = random.random()      # new candidate 
    yield rand                      # return the final small element

The simplicity of this definition is quite appealing. One can utilize the generator either manually, or as an iterator. In the manual case, the generator can be passed around a program, and called wherever and whenever needed (which is quite flexible). A simple example of the manual case is:

Manual use of Random Walk Generator

 
gen = randomwalk_generator() 
try: 
    while 1: print gen.next(), 
except StopIteration: 
    pass 
 

Most frequently, however, one is likely to use a generator as an iterator, which is even more concise (and again looks just like an old-fashioned sequence):

Random Walk Generator as Interator

 
for num in randomwalk_generator(): 
    print_short(num) 
 
 

Yielding

It will take a little while for Python programmers to become familiar with the ins-and-outs of generators. The added power of such a simple construct is surprising at first; and even quite accomplished programmers (like the Python developers themselves) will continue to discover subtle new techniques using generators for some time, I predict.

To close, let me present one more generator example that comes from the test_generators.py module distributed with Python 2.2. Suppose you have a tree object, and want to search its leaves in left-to-right order. Using tradition state-monitoring variables getting a class or function just right is difficult. Using generators makes it almost laughably easy:

>>>> # A recursive generator that generates Tree leaves in in-order. 
>>> def inorder(t): 
...     if t: 
...         for x in inorder(t.left): 
...             yield x 
...         yield t.label 
...         for x in inorder(t.right): 
...             yield x 
 
 

Resources

As for the last several Python versions, Andrew Kuchling has written his usual excellent introduction to the changes in Python 2.2. What's New in Python 2.2 can be found at:

http://www.amk.ca/python/22/

The definitive word on Simple Generators lives in their Python Enhancement Proposal, PEP255:

http://python.sourceforge.net/peps/pep-0255.html

Likewise, the real dirt on Iterators is in PEP234:

http://python.sourceforge.net/peps/pep-0234.html

The code demonstated in this column installment can be found in one source file at:

http://gnosis.cx/download/random_walk.py

About The Author

Picture of Author Since conceptions without intuitions are empty, and intuitions without conceptions, blind, David Mertz wants a cast sculpture of Milton for his office. Start planning for his birthday. David may be reached at mertz@gnosis.cx; his life pored over at http://gnosis.cx/publish/. Suggestions and recommendations on this, past, or future, columns are welcomed.