HEAP SORT

GOALS
To explore the implementation, testing and performance
of heap sort algorithm
HEAP
A heap is a data structure that stores a collection
of objects (with keys), and has the following
properties:
⚫ Complete Binary tree
⚫ Heap Order

It is implemented as an array where each node in

the tree corresponds to an element of the array.
HEAP
The binary heap data structures is an array that can be
viewed as a complete binary tree. Each node of the
binary tree corresponds to an element of the array. The
array is completely filled on all levels except possibly
lowest.
1
9

1 1
2 6

1 4 7

19 12 16 1 4 7

Array A
HEAP
The root of the tree A[1] and given index i of a node, the
indices of its parent, left child and right child can be
computed

PARENT (i)
return floor(i/2)
LEFT (i)
return 2i
RIGHT (i)
return 2i + 1
HEAP ORDER PROPERTY
For every node v, other than the root, the key stored in v
is greater or equal (smaller or equal for max heap) than
the key stored in the parent of v.

In this case the maximum value is stored in the root

DEFINITION
Max Heap
⚫ Store data in ascending order
⚫ Has property of
A[Parent(i)] ≥ A[i]
Min Heap
⚫ Store data in descending order
⚫ Has property of
A[Parent(i)] ≤ A[i]
MAX HEAP EXAMPLE
1
9

1 1
2 6

1 4 7

19 12 16 1 4 7

Array A
MIN HEAP EXAMPLE
1

4 16

7 12 19

1 4 16 7 12 19

Array A
INSERTION
Algorithm
1. Add the new element to the next available position at the
lowest level
2. Restore the max-heap property if violated
General strategy is percolate up (or bubble up): if the parent of
the element is smaller than the element, then interchange the
parent and child.

OR

Restore the min-heap property if violated

General strategy is percolate up (or bubble up): if the parent of
the element is larger than the element, then interchange the
parent and child.
 1 1
9 9

1 1 1 1
2 6 2 6

4 7 1 4 7 17
1
Insert 17
1
9

1 1
2 7 swap

1 4 7 16

Percolate up to maintain the heap

property
DELETION
Delete max
⚫ Copy the last number to the root ( overwrite the maximum
element stored there ).
⚫ Restore the max heap property by percolate down.

Delete min
⚫ Copy the last number to the root ( overwrite the minimum
element stored there ).
⚫ Restore the min heap property by percolate down.
HEAP SORT
A sorting algorithm that works by first organizing the data to
be sorted into a special type of binary tree called a heap
PROCEDURES ON HEAP
Heapify
Build Heap
Heap Sort
HEAPIFY
Heapify picks the largest child key and compare it to the parent key.
If parent key is larger than heapify quits, otherwise it swaps the
parent key with the largest child key. So that the parent is now
becomes larger than its children.
Heapify(A, i)
{
l left(i)
r right(i)
if l <= heapsize[A] and A[l] > A[i]
then largest l
else largest i
if r <= heapsize[A] and A[r] > A[largest]
then largest r
if largest != i
then swap A[i] A[largest]
Heapify(A, largest)
}
BUILD HEAP
We can use the procedure 'Heapify' in a bottom-up fashion to
convert an array A[1 . . n] into a heap. Since the elements in the
subarray A[n/2 +1 . . n] are all leaves, the procedure BUILD_HEAP
goes through the remaining nodes of the tree and runs 'Heapify' on
each one. The bottom-up order of processing node guarantees that
the subtree rooted at children are heap before 'Heapify' is run at their
parent.

Buildheap(A)
{
heapsize[A] length[A]
for i |length[A]/2 //down to 1
do Heapify(A, i)
}
HEAP SORT ALGORITHM
The heap sort algorithm starts by using procedure BUILD-HEAP to
build a heap on the input array A[1 . . n]. Since the maximum
element of the array stored at the root A[1], it can be put into its
correct final position by exchanging it with A[n] (the last element in
A). If we now discard node n from the heap than the remaining
elements can be made into heap. Note that the new element at the
root may violate the heap property. All that is needed to restore the
heap property.

Heapsort(A)
{
Buildheap(A)
for i length[A] //down to 2
do swap A[1] A[i]
heapsize[A] heapsize[A] - 1
Heapify(A, 1)
}
Example: Convert the following array to a heap

16 4 7 1 12 19

Picture the array as a complete binary tree:

1
6

4 7

1 1 1
2 9
 1 1
6 6

4 7 4 1
9 swap

1 1 1 1 7
1
2 9 2

1 1
6 9 swap

1 1 1 1
2 swap 9 2 6

4 7 1 4 7
1
HEAP SORT
The heapsort algorithm consists of two phases:
- build a heap from an arbitrary array
- use the heap to sort the data

To sort the elements in the decreasing order, use a min heap

To sort the elements in the increasing order, use a max heap

1
9

1 1
2 6

1 4 7
EXAMPLE OF HEAP SORT
Take out biggest
19

12 16
Move the last element
to the root

1 4 7

Sorted:
Array A

12 16 1 4 7 19
 7
swap
HEAPIFY()
12 16

1 4

Sorted:
Array A

7 12 16 1 4 19
 16

12 7

1 4

Sorted:
Array A

16 12 7 1 4 19
 Take out biggest
16
Move the last element
to the root
12 7

1 4

Sorted:
Array A

12 7 1 4 16 19
 4

12 7

Sorted:
Array A

4 12 7 1 16 19
 swap 4

HEAPIFY()
12 7

Sorted:
Array A

4 12 7 1 16 19
 12

4 7

Sorted:
Array A

12 4 7 1 16 19
 Take out biggest
12
Move the last
element to the
root 4 7

Sorted:
Array A

4 7 1 12 16 19
 1
swap

4 7

Sorted:
Array A

1 4 7 12 16 19
 7

4 1

Sorted:
Array A

7 4 1 12 16 19
 Take out biggest
7
Move the last
element to the
4 1 root

Sorted:
Array A

1 4 7 12 16 19
 swap 1

HEAPIFY()
4

Sorted:
Array A

4 1 7 12 16 19
 Take out biggest
Move the last 4
element to the
root
1

Sorted:
Array A

1 4 7 12 16 19
 Take out biggest
1

Sorted:
Array A

1 4 7 12 16 19
 Sorted:

1 4 7 12 16 19
TIME ANALYSIS
Build Heap Algorithm will run in O(n) time
There are n-1 calls to Heapify each call requires O(log n)
time
Heap sort program combine Build Heap program and
Heapify, therefore it has the running time of O(n log n)
time
Total time complexity: O(n log n)
COMPARISON WITH QUICK SORT AND
MERGE SORT
Quick sort is typically somewhat faster, due to better cache behavior
and other factors, but the worst-case running time for quick sort is O
(n2), which is unacceptable for large data sets and can be deliberately
triggered given enough knowledge of the implementation, creating a
security risk.

The quick sort algorithm also requires Ω (log n) extra storage space,
making it not a strictly in-place algorithm. This typically does not
pose a problem except on the smallest embedded systems, or on
systems where memory allocation is highly restricted. Constant
space (in-place) variants of quick sort are possible to construct, but
are rarely used in practice due to their extra complexity.
COMPARISON WITH QUICK SORT AND
MERGE SORT (CONT)
Thus, because of the O(n log n) upper bound on heap sort’s running
time and constant upper bound on its auxiliary storage, embedded
systems with real-time constraints or systems concerned with
security often use heap sort.

Heap sort also competes with merge sort, which has the same time
bounds, but requires Ω(n) auxiliary space, whereas heap sort
requires only a constant amount. Heap sort also typically runs more
quickly in practice. However, merge sort is simpler to understand
than heap sort, is a stable sort, parallelizes better, and can be easily
adapted to operate on linked lists and very large lists stored on
slow-to-access media such as disk storage or network attached
storage. Heap sort shares none of these benefits; in particular, it
relies strongly on random access.
POSSIBLE APPLICATION
⚫ When we want to know the task that carry the highest priority
given a large number of things to do

⚫ Interval scheduling, when we have a lists of certain task with

start and finish times and we want to do as many tasks as
possible

⚫ Sorting a list of elements that needs and efficient sorting

algorithm
CONCLUSION
The primary advantage of the heap sort is its efficiency.
The execution time efficiency of the heap sort is O(n log
n). The memory efficiency of the heap sort, unlike the
other n log n sorts, is constant, O(1), because the heap
sort algorithm is not recursive.
The heap sort algorithm has two major steps. The first
major step involves transforming the complete tree into a
heap. The second major step is to perform the actual sort
by extracting the largest element from the root and
transforming the remaining tree into a heap.
REFERENCE
Deitel, P.J. and Deitel, H.M. (2008) “C++ How to
Program”. 6th ed. Upper Saddle River, New Jersey,
Pearson Education, Inc.
Carrano, Frank M. (2007) “Data Abstraction and
problem solving with C++: walls and mirrors”. 5th ed.
Upper Saddle River, New Jersey, Pearson Education,
Inc.