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# Lab 7.2 Heaps

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COSC122  Lab 7.2
Heaps
Goals
This lab will give you practice with heaps and graphs; in this lab you will:
• complete the implementation for a heap class;
• implement a 3-heap
You should be familiar with Section 7.8 to 7.10 of the online textbook before doing this lab. 1
Heaps
Data for a heap is typically stored in a list, rather than a set of connected node objects. This works well
because heaps are always complete trees—that is, there are no gaps their structure. Instead of traversing
left and right fields, you can calculate the list indices of child or parent items. If the root is stored in entry
1 (as in the textbook) then we have:
• left child = 2×parent
• right child = 2×parent+1
• parent = child//2
(Python’s integer/floor division truncation works in our favour.)
heaps.py
The heaps module contains two classes—an abstract Heap class, and a partial implementation of a
MinHeap. The doctests for the MinHeap class describe the basic operation of each method.
Inserting into a Heap
When an item is inserted into a heap, instead of searching for the correct location from the root (as you
would with a binary search tree), the item is appended to the end of the heap and is sifted-up (you may
also see the terms ‘trickle-up’, ‘bubble-up’, and ‘percolate-up’) to the correct level of the tree. As left and
right branches don’t have any special meaning, it doesn’t matter which side of the heap the item ends
up on.
Figure 1 shows the process for inserting a new item into a min-heap. It is appended to the end of
the heap, and swapped with parents that are greater than it; this process repeats until its parent is either
smaller than it, or the item reaches the root node.
Before starting on the implementation, complete the Heap arrays questions (quiz 7.2).
> Complete the Heap arrays questions quiz 7.2.
In the heaps module, the MinHeap class is missing an implementation for the insert method. The
_sift_up method has been completed for you, so you only need to implement the first step of the
insert algorithm: append the item to the end of the self._items list, and call _sift_up with the index
of the item.
Test your implementation with the provided doctests (the tests for pop_min, peek_min, and validate
won’t pass yet, but you shouldn’t get any errors for insert).
1The textbook table of contents is here in case the direct link to 7.8 fails.
2
3 5
7 4 1
(a)
2
3 1
7 4 5
(b)
1
3 2
7 4 5
(c)
Figure 1: Inserting a new item into a min-heap.
Deleting/Popping from a Heap
Items can only be removed from the root of the heap—either the smallest (in a min-heap), or greatest
(max-heap) item. Since a heap can’t be arbitrarily traversed, deletions are a bit simpler than a binary
search tree.
Figure 2 shows the process for popping/deleting the root item from a min-heap. The root item is
replaced with the last item in the heap. The new root is then sifted-down to the correct level of the
tree—that is, if any of its children are smaller than it, it is swapped with its smallest child.
> Complete the Pop min question in Lab quiz 7.2.
The MinHeap class is missing an implementation for its pop_min method, which removes the smallest item from the heap (the root) and returns it. The _sift_down method has been provided for you, so
you only need to implement the first step of the algorithm: replace the first item with the last and call
_sift_down with the index of the root item. You’ll also have to handle a couple of special cases—think
about what should happen if there are one or two items in the heap; what if there are no items?
Test your implementation with the provided doctests.
Validating a Heap
Finally, you need to implement the validate method. It should return True if every node in the heap
is smaller-than, or equal-to, its children; otherwise, it should return False. Although the heap is a kind
of tree, the traversal algorithm that you should implement should be iterative—NOT recursive.
Complete the validate method, starting with the second element in the heap (the first element is
the root, and has no parent node), and make sure that each node’s parent is smaller-than, or equal-to,
the current node.
Run the doctests to test your implementation.
2
3 5
7 4
X
(a) 4
3 5
7
(b) 3
4 5
7
(c)
Figure 2: Deleting the root item in a min-heap.
2
Find and Fix the Bug in MinHeap
Although all of the doctests pass, there’s a nasty bug in MinHeap. Try constructing the following heap:
>>> h = MinHeap()
>>> h.insert(1)
>>> h.insert(5)
>>> h.insert(2)
>>> h.insert(7)
>>> h.validate()
True
>>> h.pop_min()
1
>>> h.validate()
False # Should be True!
Something seems to go wrong in pop_min. Trace out what the heap list should look like, and compare it to the actual list (using h._items or simply printing the heap using print self from within
a heap method or print my_heap from outside the heap). Use your understanding of the heap algorithms and Wing’s debugger to locate the bug and fix it. Note: the bug will be in one of the methods we
gave you, since hopefully you have written pop_min correctly.
Add a case to the doctests for pop_min representing the case above (with validate always returning
True) and run them to ensure that this case is always tested.
NOTE: Don’t try the Pop min revisited question until you have pop_min working properly!!!
> Complete the Pop min revisited question(s) in Lab quiz 7.2.
Max_3_Heap
Once you have got the binary min-heap working, you can move on to the dizzying heights of threeheaps. Skeleton code for the Max_3_Heap is provided in the three_heap.py module. Please note, we
will be working on a maximum three-heap, ie, one where the maximum value is stored at the root of the
heap and each child node must be smaller than or equal to its parent node. At this stage you need only:
1. implement _sift_up so that you can insert items in to the heap.
2. Try inserting values, and check that the structure remains correct.
3. Test it with the example 3-heap in Figure 3
Hint: After running the code below, my_heap should contain the heap shown in Figure 3 and print(my_heap)
should show the correct heap. When answering the quiz you should include the None as the first item
in the raw representation of the heap list.
my_heap = Max_3_Heap()
for item in [20 ,18 ,13 ,15 ,11 ,12 ,16 ,10 ,9 ,11 ,13 ,2 ,9 ,10 ,1]:
my_heap.insert(item)
> Complete 3-heap questions in Lab quiz 7.2.
NOTE: The deletion question is obviously based on the delete operation (see the extra exercise), but
can be answered without implementing the code.
Slow heapify
As mentioned in the lectures heap sort has two steps, first make a heap by adding all the items to an
empty heap and then repeatedly pop-min (or max) until the heap is empty. Optionally, as each item is
popped it can be placed at the end of the heap list and the length of the heap reduced by 1 so that the
value isn’t considered to be part of the heap any more.
3
20
15
13 2 9
13
10 9 11
18
11 12 16
10 1
Figure 3: Three heap
Adding an item to a heap means that it will be appended to the heap list and then sifted up to get to
its final resting place. The very first item that is added will created the root node of the whole heap (it
initially goes at index 1 in the heap list, assuming the heap list starts at index 1). The second item added
will go into index 2 of the heap list and then a sift-up is started from index 2. Third item will go at index
3 and then sifted up from there, etc… Rough pseudo code for this process follows:
for each item in the data:
add/insert item into heap
If you think about it this boils down to the following:
set heap list to contain all the data in the original list
(with a None inserted at the start if needed)
for i in range(start_index+1, len(heap_list)):
sift up from index i
To add all of the values to the heap in this manner will use O(nlogn) comparisons in the average
and worst case as many of the values will have to sift-up by up to l og2n levels. Remember that half of
the items in a binary heap will added at the bottom level of the heap and therefore could have to siftup l og2n levels. The next quarter of the values would be added at the level just above the bottom and
therefore would sift-up by up to l og2n −1 levels, etc.
Note the same technique can obviously be used on heaps with bigger branch factors, ie, on 3-heaps,
4-heaps, etc… Such heaps will have fewer levels but will still end up taking O(nlogn) comparisons for
the heapify.
> Complete the Slow Heapify question(s) in Lab quiz 7.2.
Fast heapify
The slow heapify is an obvious way to make the heap that is needed for the second phase of the heap
sort but it isn’t the most efficient way to make the heap. It turns out that the heap can be built using a
method that only needs O(n) comparisons. As this method is faster it is referred to as the fast-heapify. It
works so well because it avoids the problem of having to do lots of sifting for lots of nodes. For example
only one value will possibly need to sift through all the levels of the heap. Think about how you could
turn a list into a heap using sift-down operations instead of sift up operations. See the lectures for more
information on fast-heapify.
4
Note the same fast-heapify technique can obviously be used on heaps with bigger branch factors,
ie, on 3-heaps, 4-heaps, etc… Such heaps will use more comparisons for sifting down a level but they
will have a greater proportion of nodes in the bottom layer of the heap (which won’t require any sifting
down).
> Complete the remaining question(s) in Lab quiz 7.2.
Extra Exercise
Once your have got the insertion to a 3-heap working, implement _sift_down for the 3-heap so that
pop_max will work. Test that your implementation works with the 3-heap by checking to see that running pop_max on the heap given in Figure 3 returns the correct value and leaves the heap in the correct
state.
5

Lab 7.2 Heaps
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