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# Heaps (Min-heap)

## Heaps Complete binary tree that stores a collection of keys

(or key-element pairs) at its internal nodes and that satisfies
• Properties REMEMBER: key(parent) ≤ key(child)
• Deletion, Insertion, Construction complete binary tree 4
all levels are full, except the
• Implementation of the Heap last one, which is left-filled 5 6

## • Implementation of Priority Queue

15 9 7 20
using a Heap
• An application: HeapSort 16 25 14 12 11 8

1 2

Max-heap
We store the keys in the internal nodes only
key(parent) ≥ key(child)
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40
15 9

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16

15 19 17 20

1 13 14 12 11 8

## After adding the leaves the resulting tree is full

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Height of a Heap Notice that ….

## • We could use a heap to implement a priority queue

• Theorem: A heap storing n keys has height O (log n) • We store a (key, element) item at each internal
Proof: node
– Let h be the height of a heap storing n keys
removeMin():
– Since there are 2i keys at depth i = 0, … , h - 2 and at least one  Remove the root
key at depth h - 1, we have n ≥ 1 + 2 + 4 + … + 2h-2 + 1
– Thus, n ≥ 2h-1 , i.e., h ≤ log n + 1  Re-arrange the heap!
depth keys
0 1 (2, Sue)

## 1 2 (5, Pat) (6, Mark)

h-2 2h-2
(9, Jeff) (7, Anna)
h-1 at least 1
h
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Downheap
Removal From a Heap

## • The removal of the

top key leaves a hole

heap

## • First, replace the hole

with the last key in
the heap

## • Then, begin Downheap

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• Downheap compares the parent with the smallest 8
… child. If the child is smaller, it switches the two.

2
Downheap Continues Downheap Continues

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## • Downheap terminates when the key is greater than the

keys of both its children or the bottom of the heap is
reached. 11 12

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Heap Insertion
Upheap
• Swap parent-child keys out of order

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## • Upheap terminates when new key is greater than the key

15 of its parent or the top of the heap is reached 16

## • (total #swaps) ≤ (h - 1), which is O(log n)

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Heap Construction Bottom-up Heap
Construction
We could insert the Items one at the time with
a sequence of Heap Insertions:
n • We can construct a heap
Σ log k = O(n log n) storing n given keys using
k=1
a bottom-up construction

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## --- keys already in the tree ---

Idea: Recursively re-arrange each sub- 4 5

1 9 6 3

## I am now drawing the

6th 5th 3↔6 leaves anymore here
begin here
4th 3rd 2nd 1st
begin here

2 2 2

 
4 5 4 5 4 10

 
7 6 10 8 9  6 10 8 9  6 5 8

HEAP 1 9 3 1 7 3 1 7 3
HEAP
7↔9 5 ↔ 10
HEAP

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Example 1
2 Example 1
 2
4 10
! !

9 10
9  6 5 8
10
7 6 5 8
1 7 3 2
Finally: 2 ↔ 10
9 1 4 3
9 8
5
4↔9
4
7
This is not a heap ! 4↔7 10
1 7
1 4
2↔8
2

5 8

10
2
! ! 9 8
9 10

7 6 5 2
7 6 5 8
21 1 4 3
22
1 4 3

## --- keys given one at a time --- Example 2

Example 2 (min-heap) 20,23,7,6,12,4,15,16,27,11,5,25,8,7,10]
[20,23,7,6,12,4,15,16,27,11,5,25,8,7,10]

25 5 11 27

16 15 4 12 6 7 23 20 16 15 4 12 6 9 23 20

25 5 11 27 15 4 6 23

16 15 4 12 6 7 23 20 16 25 5 12 11 9 27 20

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Example 2 Example 2
20,23,7,6,12,4,15,16,27,11,5,25,8,7,10]
20,23,7,6,12,4,15,16,27,11,5,25,8,7,10]

10

7 8 4 6

15 4 6 23 15 5 8 23

16 25 5 12 11 9 27 20 16 25 7 12 11 9 27 20

4 6 5 6

15 5 8 23 15 7 8 23

16 25 7 12 11 9 27 20 16 25 10 12 11 9 27 20

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## Analysis of Heap Construction

Analysis of Heap Construction
(let us not consider the dummy leaves)
level 0
Number of swaps Number of swaps 1
h=4

3 swaps 2
level 0

at most
2 swaps level 1 h
At level i the number of swaps is
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1 swap 7 3 10 8
level 2
≤ h–i for each node
0 swaps level 3
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## At level i there are ≤ 2i nodes

h
h is the max level
Total: ≤ Σ(h – i)·2i
level i -------- h-i swaps i=0

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7
h

≤ 2h+1
j=1
h h h

## Σ(h – i)·2i = Σj 2h-j = 2h Σ j 2-j

j=0 Where h is O(log n)
i=0 j=0

Consider Σ j 2-j :
Σ j 2-j = 1/2 + 2 1/4 + 3 1/8 + 4 1/16 + … So, the number of swaps is ≤ O(n)
= 1/2 + 1/4 + 1/8 + 1/16 + … <= 1
+ 1/4 + 1/8 + 1/16 + … <= 1/2
+ + 1/8 + 1/16 + … <= 1/4

Σ j 2-j <= 2
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So 2h Σ j 2-j <= 2. 2h = 2 n O(n)

Implementing a Heap
with an Array Example
A heap can be nicely represented by an array list 1
H

(array-based), 1
2
where the node at rank i has 2 3 D I
3

4 5 6 4
7 B
5
E
6
L
7
O

A C F G H N

and i

## - right child at rank 2i + 1

2i 2i+1

1 2 3 4 5 6 7 8 9 10 11 12 13
1 2 3 4 5 6 7 8 H D I B E L O A C F G H N

## The leaves do no need to be explicitly stored 31 32

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Reminder ….. Implementation of a Priority
Left child of T[i] T[2i] if 2i ≤ n Queue with a Heap
Right child of
T[2i+1] if 2i + 1 ≤ n
T[i]
Parent of T[i] T[i div 2] if i>1
The Root T[1] if T≠0
Leaf? T[i] TRUE if 2i > n

1 n = 11

2 3
I

4 5 6 7

8 9 10 11

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## (upheap) PriorityQueueSort where the PQ is implemented with a HEAP

Algorithm PriorityQueueSort(S, P):
Input: A sequence S storing n elements, on which a
O(log n) total order relation is defined, and a Priority
O(log 1) Queue P that compares keys with the same relation
Output: The Sequence S sorted by the total
O(log n) order relation
while ¬ S.isEmpty() do
e ← S.removeFirst() Build Heap
P.insertItem(e, e)
while ¬ P.isEmpty() do
(remove root + downheap) e ← P.removeMin() Remove from heap
S.insertLast(e)
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Application: Sorting
Heap Sort When there are i nodes left in the PQ: log i
n

## Construct initial heap O(n)

TOT = Σ log i
i=1

= O(n log n)
remove root O(1)
n re-arrange O(log n)
times
remove root O(1)

## re-arrange O(log (n-1))

L M
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L

HeapSort in Place

## Example on the board ….

With a Min-heap: With a Max-Heap:

## removeMax() is ? removeMax() is O(log n)

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Another type of Heap … removeMin()

## Values stored at nodes on even (odd) levels are

smaller (greater) then or equal to the values of their 5

descendants 65 80

25 37 8 15

5 57 36 45 59 20 14 32 18

65 80 28 30 34 27 39 38 45 50 15 12 13 10 30 31 16 17

25 37 8 15

57 36 45 59 20 14 32 18

28 30 34 27 39 38 45 50 15 12 13 10 30 31 16 17

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removeMin() removeMin()

## 5 Substitute with last leaf

smallest 17 8

65 80 65 80

25 37 8 15 25 37 17 15

57 36 45 59 20 14 32 18 57 36 45 59 20 14 32 18

28 30 34 27 39 38 45 50 15 12 13 10 30 31 16 28 30 34 27 39 38 45 50 15 12 13 10 30 31 16

smallest

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5
removeMin() Insert(x)
65 80

25 37 8 15

57 36 45 59 20 14 32 18

28 30 34 27 39 38 45 50 15 12 13 10 30 31 16 17
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x
65 80 If in Max-level:
25 37 10 15 If parent is greater, swap and BubbleUpMin
If parent is smaller, BubbleUpMax
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BubbleUpMin
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If grandparent is greater, swap
BubbleUpMin(grandparent)

BubbleUpMax
If grandparent is smaller, swap
Check parent BubbleUpMax(grandparent)
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5 5
Insert(13) Insert(13)
65 80 65 80

25 37 8 15 25 37 8 15

57 36 45 59 20 14 32 18 57 36 45 59 20 14 32 18

28 30 34 27 39 38 45 50 15 12 13 10 30 31 16 17 13 30 34 27 39 38 45 50 15 12 13 10 30 31 16 17

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If in Max-level:
If parent is greater, swap and BubbleUpMin
If parent is smaller, BubbleUpMax

BubbleUpMin
If grandparent is greater, swap
BubbleUpMin(grandparent)

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12
5 5
Insert(13) Insert(61)
65 80 65 80

13 37 8 15 25 37 8 15

57 36 45 59 20 14 32 18 57 36 45 59 20 14 32 18

25 30 34 27 39 38 45 50 15 12 13 10 30 31 16 17 28 30 34 27 39 38 45 50 15 12 13 10 30 31 16 17

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If in Max-level:
If parent is greater, swap and BubbleUpMin
If parent is smaller, BubbleUpMax

BubbleUpMax
If grandparent is smaller, swap
BubbleUpMax(grandparent)
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5
Insert(61)
65 80

25 37 8 15

61 36 45 59 20 14 32 18

28 30 34 27 39 38 45 50 15 12 13 10 30 31 16 17
What is the cost of
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If in Max-level: removeMin() AND removeMax()
If parent is greater, swap and BubbleUpMin
If parent is smaller, BubbleUpMax With this heap ?

BubbleUpMax
If grandparent is smaller, swap
BubbleUpMax(grandparent)
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