Heapsort

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Heapsort
Sorting heapsort anim.gif
A run of heapsort sorting an array of randomly permuted values. In the first stage
of the algorithm the array elements are reordered to satisfy the heap property.
Before the actual sorting takes place, the heap tree structure is shown briefly for
illustration.
Class Sorting algorithm
Data structure Array
Worst-case performance {\displaystyle O(n\log n)} O(n\log n)
Best-case performance {\displaystyle O(n\log n)} O(n\log n) (distinct keys)
or {\displaystyle O(n)} O(n) (equal keys)
Average performance {\displaystyle O(n\log n)} O(n\log n)
Worst-case space complexity {\displaystyle O(n)} O(n) total {\displaystyle O(1)}
O(1) auxiliary
In computer science, heapsort is a comparison-based sorting algorithm. Heapsort can
be thought of as an improved selection sort: like that algorithm, it divides its
input into a sorted and an unsorted region, and it iteratively shrinks the unsorted
region by extracting the largest element and moving that to the sorted region. The
improvement consists of the use of a heap data structure rather than a linear-time
search to find the maximum.[1]

Although somewhat slower in practice on most machines than a well-implemented

quicksort, it has the advantage of a more favorable worst-case O(n log n) runtime.
Heapsort is an in-place algorithm, but it is not a stable sort.

Heapsort was invented by J. W. J. Williams in 1964.[2] This was also the birth of
the heap, presented already by Williams as a useful data structure in its own
right.[3] In the same year, R. W. Floyd published an improved version that could
sort an array in-place, continuing his earlier research into the treesort
algorithm.[3]

Contents
1 Overview
2 Algorithm
2.1 Pseudocode
3 Variations
3.1 Bottom-up heapsort
4 Comparison with other sorts
5 Example
6 Notes
7 References
8 External links
Overview
The heapsort algorithm can be divided into two parts.

In the first step, a heap is built out of the data. The heap is often placed in an
array with the layout of a complete binary tree. The complete binary tree maps the
binary tree structure into the array indices; each array index represents a node;
the index of the node's parent, left child branch, or right child branch are simple
expressions. For a zero-based array, the root node is stored at index 0; if i is
the index of the current node, then

iParent(i) = floor((i-1) / 2) where floor functions map a real number to the

smallest leading integer.
 iLeftChild(i) = 2*i + 1
iRightChild(i) = 2*i + 2
In the second step, a sorted array is created by repeatedly removing the largest
element from the heap (the root of the heap), and inserting it into the array. The
heap is updated after each removal to maintain the heap property. Once all objects
have been removed from the heap, the result is a sorted array.

Heapsort can be performed in place. The array can be split into two parts, the
sorted array and the heap. The storage of heaps as arrays is diagrammed here. The
heap's invariant is preserved after each extraction, so the only cost is that of
extraction.

Algorithm
The heapsort algorithm involves preparing the list by first turning it into a max
heap. The algorithm then repeatedly swaps the first value of the list with the last
value, decreasing the range of values considered in the heap operation by one, and
sifting the new first value into its position in the heap. This repeats until the
range of considered values is one value in length.

The steps are:

Call the buildMaxHeap() function on the list. Also referred to as heapify(), this
builds a heap from a list in O(n) operations.
Swap the first element of the list with the final element. Decrease the considered
range of the list by one.
Call the siftDown() function on the list to sift the new first element to its
appropriate index in the heap.
Go to step (2) unless the considered range of the list is one element.
The buildMaxHeap() operation is run once, and is O(n) in performance. The
siftDown() function is O(log n), and is called n times. Therefore, the performance
of this algorithm is O(n + n log n) = O(n log n).

Pseudocode
The following is a critical way to implement the algorithm in pseudocode. Arrays
are zero-based and swap is used to exchange two elements of the array. Movement
'down' means from the root towards the leaves, or from lower indices to higher.
Note that during the sort, the largest element is at the root of the heap at a[0],
while at the end of the sort, the largest element is in a[end].

procedure heapsort(a, count) is

input: an unordered array a of length count

(Build the heap in array a so that largest value is at the root)

heapify(a, count)

(The following loop maintains the invariants that a[0:end] is a heap and every
element
beyond end is greater than everything before it (so a[end:count] is in sorted
order))
end ? count - 1
while end > 0 do
(a[0] is the root and largest value. The swap moves it in front of the
sorted elements.)
swap(a[end], a[0])
(the heap size is reduced by one)
end ? end - 1
(the swap ruined the heap property, so restore it)
siftDown(a, 0, end)
The sorting routine uses two subroutines, heapify and siftDown. The former is the
common in-place heap construction routine, while the latter is a common subroutine
for implementing heapify.

(Put elements of 'a' in heap order, in-place)

procedure heapify(a, count) is
(start is assigned the index in 'a' of the last parent node)
(the last element in a 0-based array is at index count-1; find the parent of
that element)
start ? iParent(count-1)

while start = 0 do
(sift down the node at index 'start' to the proper place such that all
nodes below
the start index are in heap order)
siftDown(a, start, count - 1)
(go to the next parent node)
start ? start - 1
(after sifting down the root all nodes/elements are in heap order)

(Repair the heap whose root element is at index 'start', assuming the heaps rooted
at its children are valid)
procedure siftDown(a, start, end) is
root ? start

while iLeftChild(root) = end do (While the root has at least one child)
child ? iLeftChild(root) (Left child of root)
swap ? root (Keeps track of child to swap with)

if a[swap] < a[child]

swap ? child
(If there is a right child and that child is greater)
if child+1 = end and a[swap] < a[child+1]
swap ? child + 1
if swap = root
(The root holds the largest element. Since we assume the heaps rooted
at the
children are valid, this means that we are done.)
return
else
swap(a[root], a[swap])
root ? swap (repeat to continue sifting down the child now)
The heapify procedure can be thought of as building a heap from the bottom up by
successively sifting downward to establish the heap property. An alternative
version (shown below) that builds the heap top-down and sifts upward may be simpler
to understand. This siftUp version can be visualized as starting with an empty heap
and successively inserting elements, whereas the siftDown version given above
treats the entire input array as a full but "broken" heap and "repairs" it starting
from the last non-trivial sub-heap (that is, the last parent node).

Difference in time complexity between the "siftDown" version and the "siftUp"
version.
Also, the siftDown version of heapify has O(n) time complexity, while the siftUp
version given below has O(n log n) time complexity due to its equivalence with
inserting each element, one at a time, into an empty heap.[4] This may seem
counter-intuitive since, at a glance, it is apparent that the former only makes
half as many calls to its logarithmic-time sifting function as the latter; i.e.,
they seem to differ only by a constant factor, which never affects asymptotic
analysis.
To grasp the intuition behind this difference in complexity, note that the number
of swaps that may occur during any one siftUp call increases with the depth of the
node on which the call is made. The crux is that there are many (exponentially
many) more "deep" nodes than there are "shallow" nodes in a heap, so that siftUp
may have its full logarithmic running-time on the approximately linear number of
calls made on the nodes at or near the "bottom" of the heap. On the other hand, the
number of swaps that may occur during any one siftDown call decreases as the depth
of the node on which the call is made increases. Thus, when the siftDown heapify
begins and is calling siftDown on the bottom and most numerous node-layers, each
sifting call will incur, at most, a number of swaps equal to the "height" (from the
bottom of the heap) of the node on which the sifting call is made. In other words,
about half the calls to siftDown will have at most only one swap, then about a
quarter of the calls will have at most two swaps, etc.

The heapsort algorithm itself has O(n log n) time complexity using either version
of heapify.

procedure heapify(a,count) is
(end is assigned the index of the first (left) child of the root)
end := 1

while end < count

(sift up the node at index end to the proper place such that all nodes
above
the end index are in heap order)
siftUp(a, 0, end)
end := end + 1
(after sifting up the last node all nodes are in heap order)

procedure siftUp(a, start, end) is

input: start represents the limit of how far up the heap to sift.
end is the node to sift up.
child := end
while child > start
parent := iParent(child)
if a[parent] < a[child] then (out of max-heap order)
swap(a[parent], a[child])
child := parent (repeat to continue sifting up the parent now)
else
return
Variations
The most important variation to the basic algorithm is an improvement by Floyd that
uses only one comparison in each siftup run, which must be followed by a siftdown
for the original child. The worst-case number of comparisons during the Floyd's
heap-construction phase of Heapsort is known to be equal to 2N - 2s2(N) - e2(N),
where s2(N) is the number of 1 bits in the binary representation of N and e2(N) is
number of trailing 0 bits.[5]
The standard implementation of Floyd's heap-construction algorithm causes a large
number of cache misses once the size of the data exceeds that of the CPU cache.
Much better performance on large data sets can be obtained by merging in depth-
first order, combining subheaps as soon as possible, rather than combining all
subheaps on one level before proceeding to the one above.[6][7]
Ternary heapsort[8] uses a ternary heap instead of a binary heap; that is, each
element in the heap has three children. It is more complicated to program, but does
a constant number of times fewer swap and comparison operations. This is because
each sifting step in a ternary heap requires three comparisons and one swap,
whereas in a binary heap two comparisons and one swap are required. Two levels in a
ternary heap cover 9 elements, doing more work with the same number of comparisons
as three levels in the binary heap, which only cover 8.[citation needed]
The smoothsort algorithm[9] is a variation of heapsort developed by Edsger Dijkstra
in 1981. Like heapsort, smoothsort's upper bound is O(n log n). The advantage of
smoothsort is that it comes closer to O(n) time if the input is already sorted to
some degree, whereas heapsort averages O(n log n) regardless of the initial sorted
state. Due to its complexity, smoothsort is rarely used.[citation needed]
Levcopoulos and Petersson[10] describe a variation of heapsort based on a Cartesian
tree that does not add an element to the heap until smaller values on both sides of
it have already been included in the sorted output. As they show, this modification
can allow the algorithm to sort more quickly than O(n log n) for inputs that are
already nearly sorted.
Several variants such as weak heapsort require nlog2n+O(1) comparisons in the worst
case, close to the theoretical minimum, using one extra bit of state per node.
While this extra bit makes the algorithms not truly in-place, if space for it can
be found inside the element, these algorithms are simple and efficient,[6]:40 but
still slower than binary heaps if key comparisons are cheap enough (e.g. integer
keys) that a constant factor does not matter.[11]
Katajainen's "ultimate heapsort" requires no extra storage, performs nlog2n+O(1)
comparisons, and a similar number of element moves.[12] It is, however, even more
complex and not justified unless comparisons are very expensive.
Bottom-up heapsort
Bottom-up heapsort is a variant which reduces the number of comparisons required by
a significant factor. While ordinary heapsort requires 2 n log2 n + O(n)
comparisons worst-case and on average,[13] the bottom-up variant requires n log2 n
+ O(1) comparisons on average, and 1.5 n log2 n + O(n) in the worst case.[14]

This is accomplished by improving the siftDown procedure. The change makes little
difference to the linear-time heap-building phase, but is significant in the second
phase. Like ordinary heapsort, each iteration of the second phase extracts the top
of the heap, a[0], and fills the gap it leaves with a[end], then sifts this latter
element down the heap. But this element comes from the lowest level of the heap,
meaning it is one of the smallest elements in the heap, so the sift-down will
likely take many steps to move it back down. In ordinary heapsort, each step of the
sift-down requires two comparisons, to find the minimum of three elements: the new
node and its two children.

Bottom-up heapsort instead finds the path of largest children to the leaf level of
the tree (as if it were inserting -8) using only one comparison per level. Put
another way, it finds a leaf which has the property that it and all of its
ancestors are greater than or equal to their siblings. (In the absence of equal
keys, this leaf is unique.) Then, from this leaf, it searches upward (using one
comparison per level) for the correct position in that path to insert a[end]. This
is the same location as ordinary heapsort finds, and requires the same number of
exchanges to perform the insert, but fewer comparisons are required to find that
location.[14]

function leafSearch(a, i, end) is

j ? i
while iRightChild(j) = end do
(Determine which of j's two children is the greater)
if a[iRightChild(j)] > a[iLeftChild(j)] then
j ? iRightChild(j)
else
j ? iLeftChild(j)
(At the last level, there might be only one child)
if iLeftChild(j) = end then
j ? iLeftChild(j)
return j
The return value of the leafSearch is used in the modified siftDown routine:[14]
procedure siftDown(a, i, end) is
j ? leafSearch(a, i, end)
while a[i] > a[j] do
j ? iParent(j)
x ? a[j]
a[j] ? a[i]
while j > i do
swap x, a[iParent(j)]
j ? iParent(j)
Bottom-up heapsort was announced as beating quicksort (with median-of-three pivot
selection) on arrays of size =16000.[13]

A 2008 re-evaluation of this algorithm showed it to be no faster than ordinary

heapsort for integer keys, presumably because modern branch prediction nullifies
the cost of the predictable comparisons which bottom-up heapsort manages to avoid.
[15] (It retains its advantage if comparisons are expensive.)

A further refinement does a binary search in the path to the selected leaf, and
sorts in a worst case of (n+1)(log2(n+1) + log2 log2(n+1) + 1.82) + O(log2 n)
comparisons, approaching the information-theoretic lower bound of n log2 n - 1.44 n
comparisons.[16]

A variant which uses two extra bits per internal node (n-1 bits total for an n-
element heap) to cache information about which child is greater (two bits are
required to store three cases: left, right, and unknown)[17] uses less than n log2
n + 1.1 n compares.[18]

Comparison with other sorts

Heapsort primarily competes with quicksort, another very efficient general purpose
nearly-in-place comparison-based sort algorithm.

Quicksort is typically somewhat faster due to some factors, but the worst-case
running time for quicksort 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. See quicksort for a detailed discussion of this problem
and possible solutions.

Thus, because of the O(n log n) upper bound on heapsort's running time and constant
upper bound on its auxiliary storage, embedded systems with real-time constraints
or systems concerned with security often use heapsort, such as the Linux kernel.
[19]

Heapsort also competes with merge sort, which has the same time bounds. Merge sort
requires O(n) auxiliary space, but heapsort requires only a constant amount.
Heapsort typically runs faster in practice on machines with small or slow data
caches, and does not require as much external memory. On the other hand, merge sort
has several advantages over heapsort:

Merge sort on arrays has considerably better data cache performance, often
outperforming heapsort on modern desktop computers because merge sort frequently
accesses contiguous memory locations (good locality of reference); heapsort
references are spread throughout the heap.
Heapsort is not a stable sort; merge sort is stable.
Merge sort parallelizes well and can achieve close to linear speedup with a trivial
implementation; heapsort is not an obvious candidate for a parallel algorithm.
Merge sort can be adapted to operate on singly linked lists with O(1) extra space.
Heapsort can be adapted to operate on doubly linked lists with only O(1) extra
space overhead.[citation needed]
Merge sort is used in external sorting; heapsort is not. Locality of reference is
the issue.
Introsort is an alternative to heapsort that combines quicksort and heapsort to
retain advantages of both: worst case speed of heapsort and average speed of
quicksort.

Example
Let { 6, 5, 3, 1, 8, 7, 2, 4 } be the list that we want to sort from the smallest
to the largest. (NOTE, for 'Building the Heap' step: Larger nodes don't stay below
smaller node parents. They are swapped with parents, and then recursively checked
if another swap is needed, to keep larger numbers above smaller numbers on the heap
binary tree.)

An example on heapsort.
1. Build the heap
Heap newly added element swap elements
null 6
6 5
6, 5 3
6, 5, 3 1
6, 5, 3, 1 8
6, 5, 3, 1, 8 5, 8
6, 8, 3, 1, 5 6, 8
8, 6, 3, 1, 5 7
8, 6, 3, 1, 5, 7 3, 7
8, 6, 7, 1, 5, 3 2
8, 6, 7, 1, 5, 3, 2 4
8, 6, 7, 1, 5, 3, 2, 4 1, 4
8, 6, 7, 4, 5, 3, 2, 1
2. Sorting
Heap swap elements delete element sorted array details
8, 6, 7, 4, 5, 3, 2, 1 8, 1 swap 8 and 1 in order to delete 8 from
heap
1, 6, 7, 4, 5, 3, 2, 8 8 delete 8 from heap and add to sorted
array
1, 6, 7, 4, 5, 3, 2 1, 7 8 swap 1 and 7 as they are not in order in
the heap
7, 6, 1, 4, 5, 3, 2 1, 3 8 swap 1 and 3 as they are not in order in
the heap
7, 6, 3, 4, 5, 1, 2 7, 2 8 swap 7 and 2 in order to delete 7 from
heap
2, 6, 3, 4, 5, 1, 7 7 8 delete 7 from heap and add to sorted
array
2, 6, 3, 4, 5, 1 2, 6 7, 8 swap 2 and 6 as they are not in order in the
heap
6, 2, 3, 4, 5, 1 2, 5 7, 8 swap 2 and 5 as they are not in order in the
heap
6, 5, 3, 4, 2, 1 6, 1 7, 8 swap 6 and 1 in order to delete 6 from heap
1, 5, 3, 4, 2, 6 6 7, 8 delete 6 from heap and add to sorted array
1, 5, 3, 4, 2 1, 5 6, 7, 8 swap 1 and 5 as they are not in order in
the heap
5, 1, 3, 4, 2 1, 4 6, 7, 8 swap 1 and 4 as they are not in order in
the heap
5, 4, 3, 1, 2 5, 2 6, 7, 8 swap 5 and 2 in order to delete 5 from
heap
2, 4, 3, 1, 5 5 6, 7, 8 delete 5 from heap and add to sorted
array
2, 4, 3, 1 2, 4 5, 6, 7, 8 swap 2 and 4 as they are not in order in the
heap
4, 2, 3, 1 4, 1 5, 6, 7, 8 swap 4 and 1 in order to delete 4 from heap
1, 2, 3, 4 4 5, 6, 7, 8 delete 4 from heap and add to sorted array
1, 2, 3 1, 3 4, 5, 6, 7, 8 swap 1 and 3 as they are not in order in
the heap
3, 2, 1 3, 1 4, 5, 6, 7, 8 swap 3 and 1 in order to delete 3 from
heap
1, 2, 3 3 4, 5, 6, 7, 8 delete 3 from heap and add to sorted
array
1, 2 1, 2 3, 4, 5, 6, 7, 8 swap 1 and 2 as they are not in order in the
heap
2, 1 2, 1 3, 4, 5, 6, 7, 8 swap 2 and 1 in order to delete 2 from heap
1, 2 2 3, 4, 5, 6, 7, 8 delete 2 from heap and add to sorted array
1 1 2, 3, 4, 5, 6, 7, 8 delete 1 from heap and add to sorted
array
1, 2, 3, 4, 5, 6, 7, 8 completed
Notes
Skiena, Steven (2008). "Searching and Sorting". The Algorithm Design Manual.
Springer. p. 109. doi:10.1007/978-1-84800-070-4_4. ISBN 978-1-84800-069-8.
[H]eapsort is nothing but an implementation of selection sort using the right data
structure.
Williams 1964
Brass, Peter (2008). Advanced Data Structures. Cambridge University Press. p. 209.
ISBN 978-0-521-88037-4.
"Priority Queues". Retrieved 24 May 2011.
Suchenek, Marek A. (2012), "Elementary Yet Precise Worst-Case Analysis of Floyd's
Heap-Construction Program", Fundamenta Informaticae, 120 (1): 75�92,
doi:10.3233/FI-2012-751
Bojesen, Jesper; Katajainen, Jyrki; Spork, Maz (2000). "Performance Engineering
Case Study: Heap Construction" (PostScript). ACM Journal of Experimental
Algorithmics. 5 (15): 15�es. CiteSeerX 10.1.1.35.3248. doi:10.1145/351827.384257.
Alternate PDF source.
Chen, Jingsen; Edelkamp, Stefan; Elmasry, Amr; Katajainen, Jyrki (August 27�31,
2012). In-place Heap Construction with Optimized Comparisons, Moves, and Cache
Misses (PDF). 37th international conference on Mathematical Foundations of Computer
Science. Bratislava, Slovakia. pp. 259�270. doi:10.1007/978-3-642-32589-2_25. ISBN
978-3-642-32588-5. See particularly Fig. 3.
"Data Structures Using Pascal", 1991, page 405,[full citation needed][author
missing][ISBN missing] gives a ternary heapsort as a student exercise. "Write a
sorting routine similar to the heapsort except that it uses a ternary heap."
Dijkstra, Edsger W. Smoothsort � an alternative to sorting in situ (EWD-796a)
(PDF). E.W. Dijkstra Archive. Center for American History, University of Texas at
Austin. (transcription)
Levcopoulos, Christos; Petersson, Ola (1989), "Heapsort�Adapted for Presorted
Files", WADS '89: Proceedings of the Workshop on Algorithms and Data Structures,
Lecture Notes in Computer Science, 382, London, UK: Springer-Verlag, pp. 499�509,
doi:10.1007/3-540-51542-9_41, ISBN 978-3-540-51542-5.
Katajainen, Jyrki (23 September 2013). Seeking for the best priority queue:
Lessons learnt. Algorithm Engineering (Seminar 13391). Dagstuhl. pp. 19�20, 24.
Katajainen, Jyrki (2�3 February 1998). The Ultimate Heapsort. Computing: the 4th
Australasian Theory Symposium. Australian Computer Science Communications. 20 (3).
Perth. pp. 87�96.
Wegener, Ingo (13 September 1993). "bottom-up heapsort, a new variant of heapsort
beating, on an average, quicksort (if n is not very small)". Theoretical Computer
Science. 118 (1): 81�98. doi:10.1016/0304-3975(93)90364-y.
Fleischer, Rudolf (February 1994). "A tight lower bound for the worst case of
Bottom-Up-Heapsort" (PDF). Algorithmica. 11 (2): 104�115. doi:10.1007/bf01182770.
hdl:11858/00-001M-0000-0014-7B02-C. Also available as Fleischer, Rudolf (April
1991). A tight lower bound for the worst case of Bottom-Up-Heapsort (PDF)
(Technical report). MPI-INF. MPI-I-91-104.
Mehlhorn, Kurt; Sanders, Peter (2008). "Priority Queues" (PDF). Algorithms and
Data Structures: The Basic Toolbox. Springer. p. 142. ISBN 978-3-540-77977-3.
Carlsson, Scante (March 1987). "A variant of heapsort with almost optimal number
of comparisons" (PDF). Information Processing Letters. 24 (4): 247�250.
doi:10.1016/0020-0190(87)90142-6.
McDiarmid, C.J.H.; Reed, B.A. (September 1989). "Building heaps fast" (PDF).
Journal of Algorithms. 10 (3): 352�365. doi:10.1016/0196-6774(89)90033-3.
Wegener, Ingo (March 1992). "The worst case complexity of McDiarmid and Reed's
variant of bottom-up heapsort is less than n log n + 1.1n". Information and
Computation. 97 (1): 86�96. doi:10.1016/0890-5401(92)90005-Z.
https://github.com/torvalds/linux/blob/master/lib/sort.c Linux kernel source
References
Williams, J. W. J. (1964), "Algorithm 232 - Heapsort", Communications of the ACM, 7
(6): 347�348, doi:10.1145/512274.512284
Floyd, Robert W. (1964), "Algorithm 245 - Treesort 3", Communications of the ACM, 7
(12): 701, doi:10.1145/355588.365103
Carlsson, Svante (1987), "Average-case results on heapsort", BIT, 27 (1): 2�17,
doi:10.1007/bf01937350
Knuth, Donald (1997), "�5.2.3, Sorting by Selection", Sorting and Searching, The
Art of Computer Programming, 3 (third ed.), Addison-Wesley, pp. 144�155, ISBN 978-
0-201-89685-5
Thomas H. Cormen, Charles E. Leiserson, Ronald L. Rivest, and Clifford Stein.
Introduction to Algorithms, Second Edition. MIT Press and McGraw-Hill, 2001. ISBN
0-262-03293-7. Chapters 6 and 7 Respectively: Heapsort and Priority Queues
A PDF of Dijkstra's original paper on Smoothsort
Heaps and Heapsort Tutorial by David Carlson, St. Vincent College
External links
The Wikibook Algorithm implementation has a page on the topic of: Heapsort
Animated Sorting Algorithms: Heap Sort at the Wayback Machine (archived 6 March
2015) � graphical demonstration
Courseware on Heapsort from Univ. Oldenburg - With text, animations and interactive
exercises
NIST's Dictionary of Algorithms and Data Structures: Heapsort
Heapsort implemented in 12 languages
Sorting revisited by Paul Hsieh
A PowerPoint presentation demonstrating how Heap sort works that is for educators.
Open Data Structures - Section 11.1.3 - Heap-Sort
vte
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