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Among the acclaimed O(n log n) sorting algorithms, heap sort holds a unique distinction: it achieves optimal time complexity while using only O(1) auxiliary space. This combination of optimal time and constant extra space is remarkably rare. Merge sort requires O(n) extra space. Even quick sort, often called "in-place," requires O(log n) stack space for recursion.
Heap sort truly operates in-place, transforming the input array into a sorted array using nothing more than a handful of index variables. This efficiency comes from a beautiful synergy: the complete binary tree's array representation and the heap property's restoration mechanism work together to enable sorting within the original array's boundaries.
By the end of this page, you will understand exactly how heap sort achieves O(1) auxiliary space, why the array representation of heaps enables in-place sorting, how the "shrinking heap, growing sorted section" technique works, and production-quality implementation details for real-world heap sort.
Before diving into heap sort's space efficiency, let's clarify what "in-place" means and why it matters.
Strict Definition:
An algorithm is strictly in-place if it uses only O(1) auxiliary space—a constant amount of extra memory regardless of input size. This excludes:
Practical Definition:
Some sources use a looser definition: an algorithm is in-place if it doesn't allocate auxiliary data structures proportional to input size. Under this definition, O(log n) recursion stack is acceptable.
Heap Sort's Classification:
Heap sort is strictly in-place when implemented iteratively:
The only variables needed are loop indices and temporary swap storage—a truly constant amount.
| Algorithm | Auxiliary Space | In-Place (Strict)? | In-Place (Relaxed)? |
|---|---|---|---|
| Heap Sort (iterative) | O(1) | Yes ✓ | Yes ✓ |
| Heap Sort (recursive heapify) | O(log n) | No | Yes ✓ |
| Quick Sort | O(log n) average, O(n) worst | No | Usually ✓ |
| Merge Sort (standard) | O(n) | No | No |
| Merge Sort (in-place, complex) | O(1) | Yes ✓ | Yes ✓ |
| Insertion Sort | O(1) | Yes ✓ | Yes ✓ |
| Selection Sort | O(1) | Yes ✓ | Yes ✓ |
| Counting Sort | O(n + k) | No | No |
In embedded systems, mobile devices, or when sorting massive datasets that barely fit in memory, every byte counts. An O(n) extra space requirement for merge sort might mean the difference between fitting in RAM and thrashing to disk—a 100x slowdown. Heap sort's O(1) space guarantees you never face this issue.
The key to heap sort's space efficiency is the array representation of a complete binary tree. This representation is not just convenient—it's essential for in-place operation.
Complete Binary Tree in Array:
A complete binary tree with n nodes can be stored in an array of size n with zero wasted space:
For node at index i (0-indexed):
- Left child: 2i + 1
- Right child: 2i + 2
- Parent: ⌊(i - 1) / 2⌋
No pointers. No node objects. Just the elements themselves, laid out in level-order.
Why This Matters for Sorting:
Same Array, Two Views: The input array IS the heap. We don't copy elements to a separate heap structure—we interpret the array as a heap and manipulate it.
Implicit Structure: The parent-child relationships are computed, not stored. This saves the O(n) space that explicit node pointers would require.
Bounds Define the Heap: By tracking where the heap "ends," we can shrink it without moving elements. The sorted portion grows in the vacated space.
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"""Visualizing how an array represents a complete binary treeand how this enables in-place heap sort.""" def visualize_heap_array(arr: list) -> str: """ Create ASCII visualization of array as complete binary tree. Shows how the same array can be viewed as both: 1. A plain array (for sorting) 2. A heap structure (during algorithm execution) """ if not arr: return "Empty heap" n = len(arr) lines = [] # Calculate tree height height = 0 temp = n while temp > 0: height += 1 temp = (temp - 1) // 2 if temp > 1 else 0 # Create level-by-level visualization level_start = 0 level_size = 1 max_width = 2 ** height * 4 # Approximate width while level_start < n: level_end = min(level_start + level_size, n) values = arr[level_start:level_end] # Calculate spacing nodes_in_level = len(values) spacing = max_width // (nodes_in_level + 1) # Build level string level_str = "" for i, val in enumerate(values): pos = spacing * (i + 1) level_str += " " * (pos - len(level_str)) + str(val) lines.append(level_str) level_start = level_end level_size *= 2 return "\n".join(lines) def show_array_to_tree_mapping(arr: list) -> None: """ Show the explicit mapping between array indices and tree positions. """ n = len(arr) print("Array representation:") print(f" Indices: {list(range(n))}") print(f" Values: {arr}") print() print("Tree relationships (0-indexed):") for i in range(n): left = 2 * i + 1 right = 2 * i + 2 parent = (i - 1) // 2 if i > 0 else None parts = [f"Index {i} (value {arr[i]}):"] if parent is not None: parts.append(f"parent={parent}") if left < n: parts.append(f"left={left}") if right < n: parts.append(f"right={right}") if left >= n: parts.append("(leaf)") print(" " + " ".join(parts)) def demonstrate_in_place_transformation(): """ Demonstrate how the same array transitions during heap sort. """ print("=" * 60) print("In-Place Transformation During Heap Sort") print("=" * 60) arr = [4, 10, 3, 5, 1, 8, 7] n = len(arr) print(f"\nInitial array: {arr}") print("Viewed as complete binary tree:") print() show_array_to_tree_mapping(arr) # After build heap def heapify(arr, heap_size, i): while True: largest = i left = 2 * i + 1 right = 2 * i + 2 if left < heap_size and arr[left] > arr[largest]: largest = left if right < heap_size and arr[right] > arr[largest]: largest = right if largest == i: break arr[i], arr[largest] = arr[largest], arr[i] i = largest print("\n" + "-" * 60) print("After BUILD-HEAP:") for i in range((n // 2) - 1, -1, -1): heapify(arr, n, i) print(f"Array: {arr}") print("Interpretation: [entire array is max-heap]") # After first extraction print("\n" + "-" * 60) print("After FIRST EXTRACTION (swap root with last, heapify):") arr[0], arr[n-1] = arr[n-1], arr[0] heapify(arr, n-1, 0) print(f"Array: {arr}") print(f"Interpretation: [{arr[:n-1]}] is heap, [{arr[n-1:]}] is sorted") # Continue showing the transformation heap_size = n - 1 while heap_size > 1: arr[0], arr[heap_size-1] = arr[heap_size-1], arr[0] heap_size -= 1 heapify(arr, heap_size, 0) print("\n" + "-" * 60) print("FINAL STATE:") print(f"Array: {arr}") print("Interpretation: entire array is sorted!") print("\nKey insight: Same memory, different interpretations at each stage.") if __name__ == "__main__": demonstrate_in_place_transformation()Unlike merge sort, where we copy elements to temporary arrays during merging, heap sort never copies elements to separate storage. Every swap operates on the original array. This is the essence of in-place operation: the input array becomes the output array through a sequence of swaps.
The extraction phase of heap sort exemplifies a beautiful technique: partitioning a fixed-size array into two conceptual sections that change in size but never overlap.
The Two-Section Invariant:
During extraction, the array [0..n-1] is conceptually divided into:
[0 ........... heap_size-1 | heap_size ........... n-1]
↑ Max-Heap Section ↑ ↑ Sorted Section ↑
The Transformation:
The last element (index 0) is the overall minimum and is already in place.
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"""Detailed demonstration of the shrinking heap / growing sorted mechanism.""" def heap_sort_with_visualization(arr: list) -> list: """ Heap sort with step-by-step visualization of the two-section invariant. """ n = len(arr) steps = [] def heapify(arr, heap_size, i): while True: largest = i left = 2 * i + 1 right = 2 * i + 2 if left < heap_size and arr[left] > arr[largest]: largest = left if right < heap_size and arr[right] > arr[largest]: largest = right if largest == i: break arr[i], arr[largest] = arr[largest], arr[i] i = largest # Build max-heap for i in range((n // 2) - 1, -1, -1): heapify(arr, n, i) steps.append({ "phase": "Build Complete", "heap_size": n, "heap": arr.copy(), "sorted": [], "array": arr.copy() }) # Extraction phase for heap_size in range(n, 1, -1): # Record before swap max_element = arr[0] # Swap max to sorted section arr[0], arr[heap_size - 1] = arr[heap_size - 1], arr[0] # Heapify reduced heap new_heap_size = heap_size - 1 heapify(arr, new_heap_size, 0) steps.append({ "phase": f"Extract {max_element}", "heap_size": new_heap_size, "heap": arr[:new_heap_size] if new_heap_size > 0 else [], "sorted": arr[new_heap_size:], "array": arr.copy() }) return steps def print_visualization(steps: list) -> None: """Print the step-by-step visualization.""" print("=" * 70) print("Heap Sort: Shrinking Heap, Growing Sorted Section") print("=" * 70) for i, step in enumerate(steps): print(f"\nStep {i}: {step['phase']}") print(f" Heap size: {step['heap_size']}") # Visual representation heap_part = step['heap'] sorted_part = step['sorted'] if heap_part and sorted_part: print(f" Array: [{', '.join(map(str, heap_part))} | {', '.join(map(str, sorted_part))}]") print(f" {'─' * (len(heap_part) * 3)}↑HEAP " + f"{'─' * (len(sorted_part) * 3)}↑SORTED") elif sorted_part: print(f" Array: [{', '.join(map(str, sorted_part))}] ← ALL SORTED") else: print(f" Array: [{', '.join(map(str, heap_part))}] ← ALL HEAP") # Verify invariant if sorted_part: heap_max = max(heap_part) if heap_part else float('-inf') sorted_min = min(sorted_part) invariant_holds = heap_max <= sorted_min print(f" Invariant (heap max ≤ sorted min): {invariant_holds} " + f"({heap_max} ≤ {sorted_min})") def demonstrate_space_usage(): """Show that no extra space is used beyond a few variables.""" print("\n" + "=" * 70) print("Space Usage Analysis") print("=" * 70) import sys arr = list(range(1000)) # Space before sort print(f"\nArray of 1000 integers") print(f"Array size: {sys.getsizeof(arr)} bytes") print("\nVariables used during heap sort:") variables = [ ("n (array length)", "int", 28), ("i (loop index)", "int", 28), ("heap_size (current size)", "int", 28), ("largest (comparison result)", "int", 28), ("left (child index)", "int", 28), ("right (child index)", "int", 28), ("temp (for swap)", "int", 28), ] total_aux = 0 for name, type_, size in variables: print(f" {name}: ~{size} bytes") total_aux += size print(f"\nTotal auxiliary space: ~{total_aux} bytes = O(1)") print("This is constant regardless of input size!") # Comparison with merge sort print("\nComparison with merge sort:") print(f" Merge sort would need: ~{sys.getsizeof(arr)} extra bytes = O(n)") print(f" Heap sort needs: ~{total_aux} bytes = O(1)") if __name__ == "__main__": # Run visualization test_arr = [4, 10, 3, 5, 1, 8, 7] steps = heap_sort_with_visualization(test_arr.copy()) print_visualization(steps) demonstrate_space_usage()This two-section approach is why heap sort needs no extra arrays. The array is conceptually split into heap and sorted regions, with the boundary moving one position per extraction. The same n memory locations serve two purposes: holding the heap during shrinkage and accumulating the sorted result.
A subtle but crucial detail: to achieve truly O(1) space, heapify must be implemented iteratively, not recursively. Recursive implementations add O(log n) stack frames, breaking the strict in-place guarantee.
Recursive Heapify:
heapify(arr, n, i):
find largest among i, left, right
if largest ≠ i:
swap arr[i] and arr[largest]
heapify(arr, n, largest) // Recursive call adds stack frame
Each recursive call adds to the call stack:
Iterative Heapify:
heapify(arr, n, i):
while true:
find largest among i, left, right
if largest = i: break
swap arr[i] and arr[largest]
i ← largest // Update index, no new stack frame
The iterative version uses a single loop:
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"""Comparing recursive vs iterative heapify for space usage."""import sys def heapify_recursive(arr: list, n: int, i: int, depth: list = None) -> None: """ Recursive heapify - O(log n) space due to call stack. The 'depth' parameter tracks recursion depth for demonstration. """ if depth is not None: depth[0] = max(depth[0], len([f for f in iter(lambda: None, None)])) largest = i left = 2 * i + 1 right = 2 * i + 2 if left < n and arr[left] > arr[largest]: largest = left if right < n and arr[right] > arr[largest]: largest = right if largest != i: arr[i], arr[largest] = arr[largest], arr[i] heapify_recursive(arr, n, largest, depth) # Stack frame added def heapify_iterative(arr: list, n: int, i: int) -> int: """ Iterative heapify - O(1) space. Returns the number of iterations (levels traversed) for analysis. """ iterations = 0 while True: largest = i left = 2 * i + 1 right = 2 * i + 2 if left < n and arr[left] > arr[largest]: largest = left if right < n and arr[right] > arr[largest]: largest = right if largest == i: break arr[i], arr[largest] = arr[largest], arr[i] i = largest iterations += 1 return iterations def measure_recursion_depth(): """ Measure the maximum recursion depth in recursive heapify. """ import sys print("Measuring Recursion Depth in Recursive Heapify") print("=" * 50) # Create worst case: element at root must sink to bottom # This happens when building heap on reverse-sorted array for n in [100, 1000, 10000]: # Construct array where root sinks to leaf level arr = list(range(n, 0, -1)) # Reverse sorted # Manually track recursion frame_count = [0] def counting_heapify(arr, n, i): frame_count[0] += 1 max_frame = frame_count[0] largest = i left = 2 * i + 1 right = 2 * i + 2 if left < n and arr[left] > arr[largest]: largest = left if right < n and arr[right] > arr[largest]: largest = right if largest != i: arr[i], arr[largest] = arr[largest], arr[i] counting_heapify(arr, n, largest) frame_count[0] -= 1 return max_frame # Get max depth during build heap max_depth = 0 old_limit = sys.getrecursionlimit() sys.setrecursionlimit(max(old_limit, n + 100)) try: for i in range((n // 2) - 1, -1, -1): frame_count[0] = 0 counting_heapify(arr, n, i) max_depth = max(max_depth, frame_count[0]) except RecursionError: max_depth = "Stack Overflow!" sys.setrecursionlimit(old_limit) import math expected = math.floor(math.log2(n)) + 1 print(f"n = {n:>6}: Max recursion depth = {max_depth}, expected log₂(n) = {expected}") print("\nConclusion: Recursion depth grows as O(log n)") print("For truly O(1) space, use iterative heapify.") def demonstrate_iterative_advantage(): """ Show that iterative heapify uses constant space regardless of n. """ print("\n" + "=" * 50) print("Iterative Heapify Space Usage") print("=" * 50) print("\nVariables used in iterative heapify:") print(" - i (current index)") print(" - largest (comparison result)") print(" - left (left child index)") print(" - right (right child index)") print(" Total: 4 integer variables = O(1)") print("\nSpace usage for various n:") for n in [100, 1000, 10000, 100000, 1000000]: # Iterative heapify always uses same variables space = 4 * 8 # 4 ints, ~8 bytes each on 64-bit print(f" n = {n:>7}: {space} bytes (constant!)") if __name__ == "__main__": measure_recursion_depth() demonstrate_iterative_advantage()For production code, always use iterative heapify. It's not just about theoretical space bounds—it eliminates stack overflow risk for very large arrays and removes function call overhead. This is one case where the iterative version is both more correct AND faster.
Heap sort isn't the only in-place sorting algorithm, but it uniquely combines O(1) space with O(n log n) time. Let's compare with other in-place sorts.
O(n²) In-Place Sorts:
These are truly in-place but too slow for large n.
Quick Sort ("In-Place" with Caveats):
Quick sort partitions in-place but uses recursion:
Merge Sort Variants:
Standard merge sort uses O(n) extra space. In-place merge sort exists but is complex and has high constant factors, making it rarely practical.
Heap Sort: Best of Both Worlds
Heap sort is the only sorting algorithm that simultaneously achieves:
| Algorithm | Time (Worst) | Space | Key Tradeoff |
|---|---|---|---|
| Bubble Sort | O(n²) | O(1) | Too slow for practical use |
| Selection Sort | O(n²) | O(1) | Good for small n, swaps are minimal |
| Insertion Sort | O(n²) | O(1) | Great for nearly-sorted data |
| Quick Sort | O(n²) | O(log n) – O(n) | Fast average but unreliable space |
| Heap Sort | O(n log n) | O(1) | Guaranteed time AND space |
| In-Place Merge Sort | O(n log n) | O(1) | Complex, high constant factors |
When to Choose Heap Sort for Space Reasons:
In these contexts, heap sort's O(1) space guarantee is not just nice-to-have—it's essential.
Many standard library sorts (like C++'s std::sort) use a hybrid called Introsort: start with quick sort for speed, but switch to heap sort if recursion depth exceeds 2 log n. This uses heap sort as a 'safety net' to guarantee O(n log n) worst case while usually getting quick sort's speed.
Implementing heap sort for production use requires attention to several details beyond the basic algorithm. Here's a comprehensive, production-ready implementation with explanations.
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"""Production-quality heap sort implementation. Features:- Strictly O(1) auxiliary space (iterative heapify)- Handles edge cases (empty, single element, duplicates)- Supports custom comparators for flexible ordering- Type hints for clarity- Comprehensive documentation"""from typing import TypeVar, Callable, List, Optional T = TypeVar('T') def heap_sort( arr: List[T], key: Optional[Callable[[T], any]] = None, reverse: bool = False) -> None: """ Sort a list in-place using heap sort. This implementation achieves: - Time Complexity: O(n log n) guaranteed (best, average, worst) - Space Complexity: O(1) auxiliary (strictly in-place) - Stability: Not stable (equal elements may be reordered) Args: arr: The list to sort. Modified in-place. key: Optional function to extract comparison key (like sorted()). reverse: If True, sort in descending order. Returns: None. The list is sorted in-place. Examples: >>> lst = [4, 2, 7, 1, 9] >>> heap_sort(lst) >>> lst [1, 2, 4, 7, 9] >>> lst = ["banana", "apple", "cherry"] >>> heap_sort(lst, key=len) >>> lst ['apple', 'banana', 'cherry'] """ n = len(arr) # Edge cases: empty or single element if n <= 1: return # Build comparison function compare = _build_comparator(key, reverse) # Phase 1: Build max-heap (O(n)) _build_max_heap(arr, compare) # Phase 2: Extract maximum repeatedly (O(n log n)) for heap_size in range(n, 1, -1): # Swap maximum (at root) with last heap element arr[0], arr[heap_size - 1] = arr[heap_size - 1], arr[0] # Restore heap property for reduced heap _heapify(arr, heap_size - 1, 0, compare) def _build_comparator( key: Optional[Callable[[T], any]], reverse: bool) -> Callable[[T, T], bool]: """ Build a comparison function from key function and reverse flag. Returns a function compare(a, b) that returns True if a should be considered "greater than" b according to the heap ordering. """ if key is None: if reverse: return lambda a, b: a < b # Min-heap for descending sort else: return lambda a, b: a > b # Max-heap for ascending sort else: if reverse: return lambda a, b: key(a) < key(b) else: return lambda a, b: key(a) > key(b) def _build_max_heap(arr: List[T], compare: Callable[[T, T], bool]) -> None: """ Transform array into a valid heap in-place. Works bottom-up, heapifying from the last non-leaf to the root. Time: O(n) — not O(n log n) despite calling O(n) heapify operations. """ n = len(arr) last_non_leaf = (n // 2) - 1 for i in range(last_non_leaf, -1, -1): _heapify(arr, n, i, compare) def _heapify( arr: List[T], heap_size: int, i: int, compare: Callable[[T, T], bool]) -> None: """ Restore heap property for subtree rooted at index i. IMPORTANT: Uses iterative implementation for O(1) space. Recursive implementation would use O(log n) stack space. Precondition: Children subtrees are valid heaps. Postcondition: Subtree rooted at i is a valid heap. Args: arr: The array representing the heap heap_size: Current size of heap (indices 0 to heap_size-1) i: Index of node to heapify from compare: Comparison function, compare(a, b) returns True if a > b """ while True: largest = i left = 2 * i + 1 right = 2 * i + 2 # Check if left child should be new root of this subtree if left < heap_size and compare(arr[left], arr[largest]): largest = left # Check if right child should be new root of this subtree if right < heap_size and compare(arr[right], arr[largest]): largest = right # If current node is already the largest, heap property satisfied if largest == i: return # Swap current with largest child and continue down arr[i], arr[largest] = arr[largest], arr[i] i = largest # ============================================# Convenience Functions# ============================================ def heap_sorted( iterable, key: Optional[Callable[[T], any]] = None, reverse: bool = False) -> List[T]: """ Return a new sorted list from the items in iterable. Like built-in sorted(), but uses heap sort. Unlike sorted(), this is NOT stable. Args: iterable: Any iterable to sort key: Optional key function reverse: Sort descending if True Returns: New sorted list """ result = list(iterable) heap_sort(result, key=key, reverse=reverse) return result # ============================================# Testing# ============================================ def run_comprehensive_tests(): """Run comprehensive test suite.""" print("Heap Sort Production Implementation Tests") print("=" * 50) # Basic tests tests = [ ([], []), ([1], [1]), ([2, 1], [1, 2]), ([3, 1, 2], [1, 2, 3]), ([4, 10, 3, 5, 1, 8, 7], [1, 3, 4, 5, 7, 8, 10]), ([1, 1, 1, 1], [1, 1, 1, 1]), ([5, 4, 3, 2, 1], [1, 2, 3, 4, 5]), ] passed = 0 for input_arr, expected in tests: arr = input_arr.copy() heap_sort(arr) if arr == expected: passed += 1 print(f"✓ {input_arr} → {arr}") else: print(f"✗ {input_arr} → {arr} (expected {expected})") print(f"\nBasic tests: {passed}/{len(tests)} passed") # Reverse sort test arr = [1, 5, 3, 2, 4] heap_sort(arr, reverse=True) print(f"\nReverse sort: {arr} (expected [5, 4, 3, 2, 1])") # Key function test words = ["banana", "apple", "cherry", "date"] heap_sort(words, key=len) print(f"Sort by length: {words}") # Large random test import random large = [random.randint(0, 100000) for _ in range(10000)] expected = sorted(large) heap_sort(large) large_correct = large == expected print(f"\nLarge random (10000 elements): {'✓' if large_correct else '✗'}") if __name__ == "__main__": run_comprehensive_tests()While heap sort uses O(1) auxiliary space, there are nuanced memory considerations for production use.
Cache Performance:
Heap sort's memory access pattern is not cache-friendly:
This cache unfriendliness is a hidden constant factor in heap sort's runtime.
Swap Operations:
Heap sort performs many swaps:
For large objects, swaps are expensive. Consider:
Memory Alignment:
The array-as-tree representation works best when element sizes divide evenly into cache lines. Misalignment can cause additional cache misses.
Practical Recommendation:
For small elements (primitives, pointers), heap sort's memory behavior is acceptable. For large objects, consider sorting indices and using the result to rearrange:
indices = list(range(n))
heap_sort(indices, key=lambda i: arr[i])
result = [arr[i] for i in indices] # One pass rearrangement
On modern CPUs with deep cache hierarchies and branch predictors, quick sort's more predictable access patterns often outweigh heap sort's theoretical advantages. Heap sort's guarantee is in total operations, not in cache-friendly operations. This is the fundamental tradeoff: heap sort guarantees bounds but doesn't optimize for modern hardware.
We've thoroughly explored heap sort's in-place nature and its practical implications. Let's consolidate the key insights:
Module Complete:
You've now mastered heap sort in its entirety. You understand:
Heap sort may not be the fastest sorting algorithm in practice, but it offers a unique combination of guaranteed performance and space efficiency that makes it invaluable in specific contexts—memory-constrained environments, real-time systems, and as a fallback for hybrid sorts like Introsort.
Congratulations! You've completed the Heap Sort module. You now have a deep understanding of how heap sort works, why it achieves its performance guarantees, and when to choose it over other sorting algorithms. The heap data structure's elegant properties translate directly into a powerful, space-efficient sorting algorithm.