RAIK 283: Data Structures & Algorithms

Transform and Conquer

(Heaps and Heapsort)
Dr. Ying Lu
ylu@cse.unl.edu

Design and Analysis of Algorithms Chapter 6

RAIK 283: Data Structures & Algorithms

Giving credit where credit is due:

Most of the lecture notes are based on the slides from
the Textbooks companion website

http://www.aw-bc.com/info/levitin
Some examples and slides are based on lecture notes
created by Dr. Ben Choi, Louisiana Technical University
and Dr. Chuck Cusack, Hope College and Dr. Ellen
Walker from Hiram College
I have modified many of their slides and added new
slides.
Design and Analysis of Algorithms Chapter 6

Heapsort
Definition:
A heap is a binary tree with the following conditions:

it is essentially complete: (all levels are full except possibly the last level, where
only some rightmost leaves may be missing.)

the key at each node is keys at its children --- parental

dominance
Design and Analysis of Algorithms Chapter 6

Heaps (or not)?

9

9
5
4

7
2

tree 1

7
2

tree 2

9
5

7
2

tree 3
Design and Analysis of Algorithms Chapter 6

Definition implies:

There exists a uniquely structured binary tree with n nodes

that is essentially complete, with h= lg n

The root has the largest key

The subtree rooted at any node of a heap is also a heap

Partial order tree property

Design and Analysis of Algorithms Chapter 6

Priority queues

A priority queue is the abstract data type (ADT) of

an ordered set with the operations:

find element with highest priority

delete element with highest priority
insert element with assigned priority

Heaps are very good for implementing priority

queues

Design and Analysis of Algorithms Chapter 6

Bottom-up vs. Top-down heap construction

Bottom-up: Put everything in and then fix it

Top down: Heaps can be constructed by

successively inserting elements into an (initially)
empty heap

Design and Analysis of Algorithms Chapter 6

Bottom-up construction

Insert elements in the order given breadth-first in

a binary tree

Starting with the last (rightmost) parental node,

fix the heap rooted at it, if it does not satisfy the
heap condition:
1. exchange it with its largest child
2. fix the subtree rooted at it (now in the childs position)

Example: 2 9 7 6 5 8 10
Efficiency:
Design and Analysis of Algorithms Chapter 6

Bottom-up heap construction analysis

For parental node at level i it does 2(h-i)

comparisons in the worst case

Total:
h-1

i=0

2(h-i) 2i

= 2 ( n lg (n + 1)) = (n)
# nodes at level i

Design and Analysis of Algorithms Chapter 6

Top-down heap construction

Top down: Heaps can be constructed by

successively inserting elements into an (initially)
empty heap

Design and Analysis of Algorithms Chapter 6

10

Top-down construction: Insertion of a new element

Insert element at last position in heap

Compare with its parent and if it violates heap
condition exchange them
Continue comparing the new element with nodes
up the tree until the heap condition is satisfied

Example: 2 9 7 6 5 8 10
Efficiency:

Design and Analysis of Algorithms Chapter 6

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Top-down construction: Insertion of a new element

Insert element at last position in heap.

Compare with its parent and if it violates heap
condition exchange them
Continue comparing the new element with nodes
up the tree until the heap condition is satisfied

Efficiency: log(i) n log(n)

Design and Analysis of Algorithms Chapter 6

12

Bottom-up vs. Top-down heap construction

Bottom-up: Put everything in and then fix it

Top down: Heaps can be constructed by

successively inserting elements into an (initially)
empty heap

Which one is better?

Design and Analysis of Algorithms Chapter 6

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In-class exercise

Page 233 Exercise 6.4.1

a. Construct a heap for the list 1, 8, 6, 5, 3, 7, 4 by the
bottom-up algorithm.
b. Construct a heap for the list 1, 8, 6, 5, 3, 7, 4 by
successive key insertions (top-down algorithm).
c. Is it always true that the bottom-up and top-down
algorithms yield the same heap for the same input?

Design and Analysis of Algorithms Chapter 6

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Heapsort Strategy

If the elements to be sorted are arranged in a heap,

how can we build a sorted sequence from it?

Design and Analysis of Algorithms Chapter 6

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Heapsort Strategy

If the elements to be sorted are arranged in a heap,

we can build a sorted sequence in reverse order by
repeatedly removing the element from the root,
rearranging the remaining elements to reestablish the
partial order tree property,
and so on.

Design and Analysis of Algorithms Chapter 6

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Heapsort Algorithm:
1.

Build heap

2.

Remove root exchange with last (rightmost) leaf

3.

Fix up heap (excluding last leaf)

Repeat 2, 3 until heap contains just one node.

Design and Analysis of Algorithms Chapter 6

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Root deletion and Heap fix up

The root of a heap can be deleted and the heap fixed
up as follows:

exchange the root with the last leaf

compare the new root (formerly the leaf) with each of its
children and, if one of them is larger than the root,
exchange it with the larger of the two.
continue the comparison/exchange with its current children
until it reaches a level of the tree where it is larger than
both its children
Design and Analysis of Algorithms Chapter 6

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deleteMax()
in action

Design and Analysis of Algorithms Chapter 6

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Analysis of Heapsort (continued)

Recall algorithm:
1. Build heap
2. Remove root exchange with last (rightmost) leaf
3. Fix up heap (excluding last leaf)

Repeat 2, 3 until heap contains just one node.

Design and Analysis of Algorithms Chapter 6

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Analysis of Heapsort (continued)

Recall algorithm:
(n) 1. Build heap
2. Remove root exchange with last (rightmost) leaf
3. Fix up heap (excluding last leaf)

(log k)

Repeat 2, 3 until heap contains just one node.

k=n 1, n-2, 1

Total: (n) + ( n log n) = (n log n)

Note: this is the worst case. Average case also (n log n).
Design and Analysis of Algorithms Chapter 6

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Analysis of Heapsort (continued)

Is HeapSort an in-place sorting algorithm?

How to store/represent a Heap in an array?

Design and Analysis of Algorithms Chapter 6

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Representation

Use an array to store breadth-first traversal of heap tree:

Example:
9
5
1

1 2 3 4 5 6

3
4

9 5 3 1 4 2

Left child of node j is at 2j

Right child of node j is at 2j+1
Parent of node j is at j/2
Parental nodes are represented in the first n/2 locations
Using array: simpler and efficient implementation of heaps
Design and Analysis of Algorithms Chapter 6

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Bottom-up heap construction algorithm

Design and Analysis of Algorithms Chapter 6

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Heapsort example

Sorting the array 2 9 7 6 5 8 10

Design and Analysis of Algorithms Chapter 6

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In-class exercises (I)

Exercise 6.4.7 (a) (c)

Sort the following lists by heapsort by using the array
representation of heaps:
a) 1, 2, 3, 4, 5 (in increasing order)
c) S, O, R, T, I, N, G (in alphabetical order)

Design a heap construction algorithm by applying

divide and conquer strategy

Design and Analysis of Algorithms Chapter 6

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