CS514: Design and Analysis

of Algorithms
Heap Sort
Priority Queue
 Heaps

● A heap can be seen as a complete binary tree:

16

14 10

8 7 9 3

2 4 1

■ What makes a binary tree complete?

■ Is the example above complete?
 Heaps

● A heap can be seen as a complete binary tree:

16

14 10

8 7 9 3

2 4 1 1 1 1 1 1

■ The book calls them “nearly complete” binary

trees; can think of unfilled slots as null pointers
 Heaps

● In practice, heaps are usually implemented as

arrays:
16

14 10

8 7 9 3
A = 16 14 10 8 7 9 3 2 4 1 =
2 4 1
 Heaps

● To represent a complete binary tree as an array:

■ The root node is A[1]
■ Node i is A[i]
■ The parent of node i is A[i/2] (note: integer divide)
■ The left child of node i is A[2i]
■ The right child of node i is A[2i + 1]
16

14 10

8 7 9 3
A = 16 14 10 8 7 9 3 2 4 1 =
2 4 1
 Referencing Heap Elements

● So…
Parent(i) { return i/2; }
Left(i) { return 2*i; }
right(i) { return 2*i + 1; }
● An aside: How would you implement this
most efficiently?
 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
■ Where is the largest element in a heap stored?
● Definitions:
■ The height of a node in the tree = the number of
edges on the longest downward path to a leaf
■ The height of a tree = the height of its root
 Heap Height

● What is the height of an n-element heap? Why?

● This is nice: basic heap operations take at most
time proportional to the height of the heap
 Heap Operations: Heapify()

● Heapify(): maintain the heap property

■ Given: a node i in the heap with children l and r
■ Given: two subtrees rooted at l and r, assumed to
be heaps
■ Problem: The subtree rooted at i may violate the
heap property (How?)
■ Action: let the value of the parent node “float
down” so subtree at i satisfies the heap property
○ What do you suppose will be the basic operation
between i, l, and r?
 Heapify() Example

16

4 10

14 7 9 3

2 8 1

A = 16 4 10 14 7 9 3 2 8 1
 Heapify() Example

16

4 10

14 7 9 3

2 8 1

A = 16 4 10 14 7 9 3 2 8 1
 Heapify() Example

16

4 10

14 7 9 3

2 8 1

A = 16 4 10 14 7 9 3 2 8 1
 Heapify() Example

16

14 10

4 7 9 3

2 8 1

A = 16 14 10 4 7 9 3 2 8 1
 Heapify() Example

16

14 10

4 7 9 3

2 8 1

A = 16 14 10 4 7 9 3 2 8 1
 Heapify() Example

16

14 10

4 7 9 3

2 8 1

A = 16 14 10 4 7 9 3 2 8 1
 Heapify() Example

16

14 10

8 7 9 3

2 4 1

A = 16 14 10 8 7 9 3 2 4 1
 Heapify() Example

16

14 10

8 7 9 3

2 4 1

A = 16 14 10 8 7 9 3 2 4 1
 Heapify() Example

16

14 10

8 7 9 3

2 4 1

A = 16 14 10 8 7 9 3 2 4 1
 Heap Operations: Heapify()
Heapify(A, i)
{
l = Left(i); r = Right(i);
if (l <= heap_size(A) && A[l] > A[i])
largest = l;
else
largest = i;
if (r <= heap_size(A) && A[r] > A[largest])
largest = r;
if (largest != i)
Swap(A, i, largest);
Heapify(A, largest);
}
 Analyzing Heapify(): Informal

● 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?
 Analyzing Heapify(): Formal

● Fixing up relationships between i, l, and r

takes (1) time
● If the heap at i has n elements, how many
elements can the subtrees at l or r have?
● Answer: 2n/3 (worst case: bottom row 1/2 full)
● So time taken by Heapify() is given by
T(n)  T(2n/3) + (1)
 Analyzing Heapify(): Formal

● So we have
T(n)  T(2n/3) + (1)
● By case 2 of the Master Theorem,
T(n) = O(lg n)
● Thus, Heapify() takes linear time
 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] are heaps (Why?)
■ 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
 BuildHeap()
// given an unsorted array A, make A a heap
BuildHeap(A)
{
heap_size(A) = length(A);
for (i = length[A]/2 downto 1)
Heapify(A, i);
}
 BuildHeap()
// given an unsorted array A, make A a heap
BuildHeap(A)
{
heap_size(A) = length(A);
for (i = length[A]/2 downto 1)
Heapify(A, i);
}

Correctness??
 BuildHeap() Example

● Work through example

A = {4, 1, 3, 2, 16, 9, 10, 14, 8, 7}

1 3

2 16 9 10

14 8 7
 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?
■ Is this an asymptotically tight bound?
● A tighter bound is O(n)
■ How can this be? Is there a flaw in the above
reasoning?
 Analyzing BuildHeap(): Tighter

● To Heapify() a subtree takes O(h) time

where h is the height of the subtree
■ h = O(lg m), m = # nodes in subtree
■ The height of most subtrees is small

● Fact: an n-element heap has at most n/2h+1

nodes of height h
 Analyzing BuildHeap(): Tighter

● BuildHeap() takes

● BuildHeap() takes O(n) time

 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)]
 Heapsort
Heapsort(A)
{
BuildHeap(A);
for (i = length(A) downto 2)
{
Swap(A[1], A[i]);
heap_size(A) -= 1;
Heapify(A, 1);
}
}
 Heapsort

16

14 10

8 7 9 3

2 4 1

A = 16 14 10 8 7 9 3 2 4 1
 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)
 Priority Queues

● Heapsort is a nice algorithm, but in practice

Quicksort (coming up) usually wins
● But the heap data structure is incredibly useful
for implementing priority queues
■ A data structure for maintaining a set S of
elements, each with an associated value or key
● Supports the operations Insert(),
Increase_key(), Maximum(), and
ExtractMax()…
■ What might a priority queue be useful for?
 Priority Queue Operations

● Insert(S, x) inserts the element x into set S

● Maximum(S) returns the element of S with
the maximum key
● ExtractMax(S) removes and returns the
element of S with the maximum key
● How could we implement these operations
using a heap?