Chapter 6
Heap Sort
6 -- 1
Outlines: Heap Sort
Input: One-Dimension Array
Advantages of Insertion Sort and Merge Sort
Heap Sort:
The Heap Property
Heapify Function
Build Heap Function
Heap Sort Function
6 -- 2
1
1D Array
Memory
a y f k
start
1-dimensional array x = [a, y, f, k]
x[1] = a; x[2] = y; x[3] = f; x[4] = k
6 -- 3
Sorting Revisited
So far we’ve talked about two algorithms to sort an array of
numbers
What is the advantage of merge sort?
Answer: good worst-case running time O(n lg n)
Conceptually easy, Divide-and-Conquer
What is the advantage of insertion sort?
Answer: sorts in place: only a constant number of array
elements are stored outside the input array at any time
Easy to code, When array “nearly sorted”, runs fast in practice
avg case worst case
Insertion sort n 2 n2
Merge sort n log n n log n
Next on the agenda: Heapsort
Combines advantages of both previous algorithms
6 -- 4
2
Heaps
A heap can be seen as a complete binary tree
In practice, heaps are usually implemented as arrays
An array A that represent a heap is an object with two
attributes: A[1 .. length[A]]
length[A]: # of elements in the array
heap-size[A]: # of elements in the heap stored within
array A, where heap-size[A] ≤ length[A]
No element past A[heap-size[A]] is an element of the
heap
A = 16 14 10 8 7 9 3 2 4 1
6 -- 5
Heaps
For example, heap-size of the following heap = 10
Also, length[A] = 10
A = 16 14 10 8 7 9 3 2 4 1 =
16
14 10
8 7 9 3
2 4 1
6 -- 6
3
Referencing Heap Elements
The root node is A[1]
Node i is A[i]
Parent(i)
return i/2
Left(i)
return 2*i
Right(i)
return 2*i + 1
1 2 3 4 5 6 7 8 9 10
16 15 10 8 7 9 3 2 4 1
Level: 3 2 1 0
6 -- 7
The Heap Property
Heaps also satisfy the heap property:
A[Parent(i)] A[i] for all nodes i > 1
In other words, the value of a node is at most
the value of its parent
The largest value in a heap is at its root (A[1])
and subtrees rooted at a specific node contain
values no larger than that node’s value
6 -- 8
4
Heap Operations: Heapify()
Heapify(): maintain the heap property
Given: a node i in the heap with children L and R
two subtrees rooted at L and R, assumed to be
heaps
Problem: The subtree rooted at i may violate the
heap property (How?)
A[i] may be smaller than its children value
Action: let the value of the parent node “float
down” so subtree at i satisfies the heap property
If A[i] < A[L] or A[i] < A[R], swap A[i] with the
largest of A[L] and A[R]
Recurse on that subtree
6 -- 9
Heap Operations: Heapify()
Heapify(A, i)
{
1. L left(i)
2. R right(i)
3. if L heap-size[A] and A[L] > A[i]
4. then largest L
5. else largest i
6. if R heap-size[A] and A[R] > A[largest]
7. then largest R
8. if largest i
9. then exchange A[i] A[largest]
10. Heapify(A, largest)
}
6 -- 10
5
Heapify() Example
16
4 10
14 7 9 3
2 8 1
A = 16 4 10 14 7 9 3 2 8 1
6 -- 11
Heapify() Example
16
4 10
14 7 9 3
2 8 1
A = 16 4 10 14 7 9 3 2 8 1
6 -- 12
6
Heapify() Example
16
4 10
14 7 9 3
2 8 1
A = 16 4 10 14 7 9 3 2 8 1
6 -- 13
Heapify() Example
16
14 10
4 7 9 3
2 8 1
A = 16 14 10 4 7 9 3 2 8 1
6 -- 14
7
Heapify() Example
16
14 10
4 7 9 3
2 8 1
A = 16 14 10 4 7 9 3 2 8 1
6 -- 15
Heapify() Example
16
14 10
4 7 9 3
2 8 1
A = 16 14 10 4 7 9 3 2 8 1
6 -- 16
8
Heapify() Example
16
14 10
8 7 9 3
2 4 1
A = 16 14 10 8 7 9 3 2 4 1
6 -- 17
Heapify() Example
16
14 10
8 7 9 3
2 4 1
A = 16 14 10 8 7 9 3 2 4 1
6 -- 18
9
Heapify() Example
16
14 10
8 7 9 3
2 4 1
A = 16 14 10 8 7 9 3 2 4 1
6 -- 19
Heap Height
Definitions:
The height of a node in the tree = the number of
edges on the longest downward path to a leaf
What is the height of an n-element heap? Why?
The height of a tree for a heap is (lg n)
Because the heap is a binary tree, the height of
any node is at most (lg n)
Thus, the basic operations on heap runs in O(lg n)
6 -- 20
10
# of nodes in each level
Fact: an n-element heap has at most 2h-k nodes of
level k, where h is the height of the tree
for k = h (root level) 2h-h = 20 =1
for k = h-1 2h-(h-1) = 21 =2
for k = h-2 2h-(h-2) = 22 =4
for k = h-3 2h-(h-3) = 23 =8
…
for k = 1 2h-1 = 2h-1
for k = 0 (leaves level) 2h-0 = 2h
6 -- 21
Heap Height
A heap storing n keys has height h = lg n = (lg n)
Due to heap being complete, we know:
The maximum # of nodes in a heap of height h
2h + 2h-1 + … + 22 + 21 + 20 =
i=0 to h 2i=(2h+1–1)/(2–1) = 2h+1 - 1
The minimum # of nodes in a heap of height h
1 + 2h-1 + … + 22 + 21 + 20 =
i=0 to h-1 2i + 1 = [(2h-1+1–1)/(2–1)] + 1 = 2h
Therefore
2h n 2h+1 - 1
h lg n & lg(n+1) – 1 h
lg(n+1) – 1 h lg n
which in turn implies:
h = lg n = (lg n)
6 -- 22
11
Analyzing Heapify()
Aside from the recursive call, what is the
running time of Heapify()?
How many times can Heapify() recursively
call itself?
What is the worst-case running time of
Heapify() on a heap of size n?
6 -- 23
Analyzing Heapify()
The running time at any given node i is
(1) time to fix up the relationships among
A[i], A[Left(i)] and A[Right(i)]
plus the time to call Heapify recursively on a
sub-tree rooted at one of the children of node i
And, the children’s subtrees each have size at most
2n/3
The worst case occurs when the last row of the
tree is exactly half full
Blue =Yellow = Black = Red = ¼ n
Blue + Black = ½ n
Yellow + Red= ½ n
Level 0: leave level = Blue +Yellow = ½ n = 2h
6 -- 24
12
Analyzing Heapify()
So we have
T(n) T(2n/3) + (1)
Heapify takes T(n) = Θ(h)
h = height of heap = lg n
T(n) = Θ(lg n)
6 -- 25
Heap Operations: BuildHeap()
We can build a heap in a bottom-up manner by
running Heapify() on successive subarrays
Fact: for array of length n, all elements in range
A[n/2 + 1, n/2 + 2 .. n] are heaps (Why?)
These elements are leaves, they do not have children
We know that
2h+1-1 = n 2.2h = n + 1
2h = (n + 1)/2 = n/2 + 1 = n/2
We also know that the leave-level has at most
2h nodes = n/2 + 1 = n/2 nodes
and other levels have a total of n/2 nodes
n/2 + 1 + n/2 = n/2 + n/2 = n
6 -- 26
13
Heap Operations: BuildHeap()
So:
Walk backwards through the array from n/2 to 1,
calling Heapify() on each node.
Order of processing guarantees that the children of
node i are heaps when i is processed
6 -- 27
BuildHeap()
// given an unsorted array A, make A a heap
BuildHeap(A)
{
1. heap-size[A] length[A]
2. for i length[A]/2 downto 1
3. do Heapify(A, i)
}
The Build Heap procedure, which runs in linear time,
produces a max-heap from an unsorted input array.
However, the Heapify procedure, which runs in
O(lg n) time, is the key to maintaining the heap property.
6 -- 28
14
BuildHeap() Example
Work through example
A = {4, 1, 3, 2, 16, 9, 10, 14, 8, 7}
n=10, n/2=5
1
4
2 3
1 3
4 5
6 7
2 16 9 10
8 9 10
14 8 7
6 -- 29
BuildHeap() Example
A = {4, 1, 3, 2, 16, 9, 10, 14, 8, 7}
1
4
2 3
1 3
4 i=5 6 7
2 16 9 10
8 9 10
14 8 7
6 -- 30
15
BuildHeap() Example
A = {4, 1, 3, 2, 16, 9, 10, 14, 8, 7}
1
4
2 3
1 3
i=4 5 6 7
2 16 9 10
8 9 10
14 8 7
6 -- 31
BuildHeap() Example
A = {4, 1, 3, 14, 16, 9, 10, 2, 8, 7}
1
4
2 i=3
1 3
4 5 6 7
14 16 9 10
8 9 10
2 8 7
6 -- 32
16
BuildHeap() Example
A = {4, 1, 10, 14, 16, 9, 3, 2, 8, 7}
1
4
i=2 3
1 10
4 5 6 7
14 16 9 3
8 9 10
2 8 7
6 -- 33
BuildHeap() Example
A = {4, 16, 10, 14, 7, 9, 3, 2, 8, 1}
i=1
4
2 3
16 10
4 5 6 7
14 7 9 3
8 9 10
2 8 1
6 -- 34
17
BuildHeap() Example
A = {16, 14, 10, 8, 7, 9, 3, 2, 4, 1}
1
16
2 3
14 10
4 5 6 7
8 7 9 3
8 9 10
2 4 1
6 -- 35
Analyzing BuildHeap()
Each call to Heapify() takes O(lg n) time
There are O(n) such calls (specifically, n/2)
Thus the running time is O(n lg n)
Is this a correct asymptotic upper bound?
YES
Is this an asymptotically tight bound?
NO
A tighter bound is O(n)
How can this be? Is there a flow in the above reasoning?
We can derive a tighter bound by observing that the time
for Heapify to run at a node varies with the height of the
node in the tree, and the heights of most nodes are small.
Fact: an n-element heap has at most 2h-k nodes of level k,
where h is the height of the tree.
6 -- 36
18
Analyzing BuildHeap(): Tight
The time required by Heapify on a node of height k is O(k).
So we can express the total cost of BuildHeap as
k=0 to h 2h-k O(k)= O(2h k=0 to h k/2k)
= O(n k=0 to h k(½)k)
From: k=0 to ∞ k xk = x/(1-x)2 where x =1/2
So, k=0 to k/2k = (1/2)/(1 - 1/2)2 = 2
Therefore, O(n k=0 to h k/2k) = O(n)
So, we can bound the running time for building a heap
from an unordered array in linear time.
6 -- 37
Heapsort
Given BuildHeap(), an in-place sorting
algorithm is easily constructed:
Maximum element is at A[1]
Discard by swapping with element at A[n]
Decrement heap_size[A]
A[n] now contains correct value
Restore heap property at A[1] by calling
Heapify()
Repeat, always swapping A[1] for
A[heap_size(A)]
6 -- 38
19
Heapsort
Heapsort(A)
{
1. Build-Heap(A)
2. for i length[A] downto 2
3. do exchange A[1] A[i]
4. heap-size[A] heap-size[A] - 1
5. Heapify(A, 1)
}
6 -- 39
HeapSort() Example
A = {16, 14, 10, 8, 7, 9, 3, 2, 4, 1}
1
16
2 3
14 10
4 5 6 7
8 7 9 3
8 9 10
2 4 1
6 -- 40
20
HeapSort() Example
A = {14, 8, 10, 4, 7, 9, 3, 2, 1, 16}
1
14
2 3
8 10
4 5 6 7
4 7 9 3
8 9
2 1 16
i = 10
6 -- 41
HeapSort() Example
A = {10, 8, 9, 4, 7, 1, 3, 2, 14, 16}
1
10
2 3
8 9
4 5 6 7
4 7 1 3
8
2 14 16
i=9 10
6 -- 42
21
HeapSort() Example
A = {9, 8, 3, 4, 7, 1, 2, 10, 14, 16}
1
9
2 3
8 3
4 5 6 7
4 7 1 2
10 14 16
i=8 9 10
6 -- 43
HeapSort() Example
A = {8, 7, 3, 4, 2, 1, 9, 10, 14, 16}
1
8
2 3
7 3
4 5 6
4 2 1 9
i=7
10 14 16
8 9 10
6 -- 44
22
HeapSort() Example
A = {7, 4, 3, 1, 2, 8, 9, 10, 14, 16}
1
7
2 3
4 3
4 5
1 2 8 9
i=6 7
10 14 16
8 9 10
6 -- 45
HeapSort() Example
A = {4, 2, 3, 1, 7, 8, 9, 10, 14, 16}
1
4
2 3
2 3
4 i=5
1 7 8 9
6 7
10 14 16
8 9 10
6 -- 46
23
HeapSort() Example
A = {3, 2, 1, 4, 7, 8, 9, 10, 14, 16}
1
3
2 3
2 1
i=4 4 7 8 9
5 6 7
10 14 16
8 9 10
6 -- 47
HeapSort() Example
A = {2, 1, 3, 4, 7, 8, 9, 10, 14, 16}
1
2
2 i=3
1 3
4
4 7 8 9
5 6 7
10 14 16
8 9 10
6 -- 48
24
HeapSort() Example
A = {1, 2, 3, 4, 7, 8, 9, 10, 14, 16}
1
1
i =2 3
2 3
4
4 7 8 9
5 6 7
10 14 16
8 9 10
6 -- 49
Analyzing Heapsort
The call to BuildHeap() takes O(n) time
Each of the n - 1 calls to Heapify() takes O(lg n) time
Thus the total time taken by HeapSort()
= O(n) + (n - 1) O(lg n)
= O(n) + O(n lg n)
= O(n lg n)
6 -- 50
25
Analyzing Heapsort
The O(n log n) run time of heap-sort is much
better than the O(n2) run time of selection and
insertion sort
Although, it has the same run time as Merge sort,
but it is better than Merge Sort regarding memory
space
Heap sort is in-place sorting algorithm
But not stable
Does not preserve the relative order of elements
with equal keys
6 -- 51
26
