Balanced Search

Trees

Compiled by :
 Surya Prakash Pandit 232/05
 Gaurav Gupta 20/05

IIIrd I.T.
 Binary Search Trees
(reminder)
 Each tree node contains a value.
 For every node,
 its left subtree contains smaller values, and
 its right subtree contains larger values.
 The time complexity of a search operation is proportional to
the tree’s depth.
 The good case: If the tree is balanced, then every operation
takes O(logn) time.
 The bad case: The tree might get very unbalanced.
For example, when inserting ordered numbers to the tree,
the resulting height will be exactly n.
AVL Trees 2
Balanced Search Trees
:
 Balanced Tree: A binary tree in which the heights of the two
sub trees of every node differ by at most 1.

 Several Varieties
 AVL trees
 Red-Black trees
 B-Trees (used for searching secondary memory)

AVL Trees 3
Balanced Search Trees
(Contd…)
 Nodes are added and deleted so that the height of the tree
is kept under control.

 Insertion and deletion has more work to do, but retrieval

never has more than log2 n because height is already
controlled in case of retrieval.

AVL Trees 4
AVL Trees :
 Motivation: We want to guarantee O(log n) running
time on searching/insertion/deletion operations.

 Idea: Keep the tree balanced after each operation.

 Solution: AVL (Adelson-Velskii and Landis) trees.

 AVL tree property: For every node in the tree, the

height of the left and right subtrees differs by at most
1.
AVL Trees 5
AVL Trees (Contd…) :
 a BST where each node has a balance factor
 balance factor of a leaf node is 0
 balance factor of any node:
Height (left subtree) – Height (right subtree)
 Insertions or deletions can change the balance factor
of one or more nodes.
 if a balance factor becomes 2 or -2 the AVL tree must
be rebalanced
 It is done by rotating the nodes

AVL Trees 6
Some AVL Trees :
-1 Balance value
0

0 0 1 -1

0 0 -1

Balance Factor : height( left subtree ) - height( right subtree )

AVL Trees 7
Depth of an AVL
tree
Theorem: Any AVL tree with n nodes has height less
than 1.441 log n.

Proof: Given an n-node AVL tree, we want to find an

upper bound on the height of the tree.
Fix h.
What is the smallest n such that there is an
AVL tree of height h with n nodes?
Let Sh be the set of all AVL trees of height
h that have as few nodes as possible.
AVL Trees 8
Depth of an AVL tree
(contd…)
Let wh be the number of nodes in any one of these trees.
w0 = 1, w1 = 2
Suppose T ∈ Sh, where h ≥ 2. Let TL and TR be T’s left
and right sub trees. Since T has height h, either TL or
TR has height h-1. Suppose it’s TR.
By definition, both TL and TR are AVL trees. In fact, TR
∈ Sh-1 or else it could be replaced by a smaller AVL
tree of height h-1 to give an AVL tree of height h that
is smaller than T.
AVL Trees 9
Depth of an AVL tree
(contd…)
Similarly, TL ∈ Sh-2.
Therefore, wh = 1 + wh-2 + wh-1 .

Claim: For h ≥ 0, wh ≥ ϕh , where ϕ = (1 + √5) / 2 ≈ 1.6.

Proof: The proof is by induction on h.
Basis step: h=0. w0 = 1 = ϕ0.
h=1. w1 = 2 > ϕ1.
Induction step: Suppose the claim is true for 0 ≤ m ≤
h, where h ≥ 1.
AVL Trees 10
Depth of an AVL tree
(contd…)
Then
wh+1 = 1 + wh-1 + wh
≥ 1 + ϕh-1 + ϕh (by the i.h.)
= 1 + ϕh-1 (1 + ϕ)
= 1 + ϕh+1 (1+ϕ = ϕ2)
> ϕh+1
Thus, the claim is true.
From the claim, in an n-node AVL tree of height h,
n ≥ wh ≥ ϕh (from the Claim)
h ≤ log ϕ n
= (log n) / (log ϕ)
< 1.441 log n AVL Trees 11
AVL trees: During
Runtime
 Search :takes O(log n) time, because height of the
tree is always O(log n).
 Insertion : O(log n) time because we do a search
(O(log n) time), and then we may have to visit every
node on the path back to the root, performing up to 2
single rotations (O(1) time each) to fix the tree.
 Deletion : O(log n) time.

AVL Trees 12
AVL Trees: Search,
Insertion
 AVL tree Search :is the same as BST Search.

 AVL tree Insertion: same as BST insertion, except that

we might have to fix the AVL tree after an insert.

 These operations will take time O(d), where d is the

depth of the node being found/inserted.

 What is the maximum height of an n-node AVL tree?

AVL Trees 13
AVL Tree : Insertion
 Follow a search path as for a BST

 Allocate a node and insert the item at the end of the path
(as for BST)
 balance factor of new node is 0

 if a balance factor becomes 2 or -2 perform a rotation to

bring the AVL tree back in balanced form.

AVL Trees 14
Insertion (contd…) :
 Let x be the deepest node where an imbalance occurs.

 Four cases to consider. The insertion is in the

n Left sub tree of the Left child of x. (LL) Right Rotation
n Right sub tree of the Left child of x. (LR) Left - Right
n Left sub tree of the Right child of x. (RL) Right - Left
n Right sub tree of the Right child of x. (RR) Left Rotation

Idea: LL & RR - Single rotation.

LR & RL - Double rotation.
AVL Trees 15
 Four Imbalance
Cases :
k2 k1
Case 1: The left Case 4:
subtree is higher k1 The symmetric k2
than the right case to case 1
subtree, and this is C A
caused by the left B B
subtree of the left A C
LL RR
child.

k2 k1
Case 2: The left Case 3:
subtree is higher The
k1 k2
than the right symmetric
subtree, and this is case to case
R R
caused by the 2
P P
right subtree of 16
Q Q
the leftLR
child. RL
1) Simple Insertion :
#'s are
-1 Balance -1
Factors

1 0 1 0

0 1 -1 0 1 0
0

0 0 0 0 0 0

No Rotation Required
AVL Trees 17
2) Insertion with Right
Rotation :
-1 -1
0
LL
1 0 0 0
22 Right Rotation

0 1 0 0 0 1 0
1

0 0 0 0 0 0 0

Simple Right Rotation Required

AVL Trees 18
 Example #
12 12

k2
k1
8 16 4 16
k2
k1 C LL
A
4 10 14 Right Rotation 2 8 14
B C
A B
2 6 1 6 10

1
AVL Trees 19
3) Insertion with Left
Rotation:
-1
-2 0

0 0 RR
-1 0 -1
Left Rotation
0 0 1 0
-1 0 1 0 -1

0 0 0
-1 0 0 0 0

Simple Left Rotation Required

AVL Trees 20
4)Insertion with Double
Rotation:

-1
-2 Double Rotation Needed (RL) :

1 10 a). Right rotation around

right subtree of the
0 0 -1 unbalanced subtree
-1

0 10 0 b). Left Rotation around

root of the unbalanced
0 subtree

AVL Trees 21
(i) The Right Rotation :
-2
-2

1 1
1 -2

0 -1 -1
0 0 0

0 1 0
1 -1
0
0 0

22
(ii) The Left Rotation :
-2
0

1 -2
1
0

0 0 0
1 0 1 -1

1 -1
0 0 0

0 0

23
In nutshell (RL
: Insertion)
-1 0
-2

1 1
10 0
On balancing
0 0 -1 1 0 -1
-1 1

0 10 0 0 0 0

AVL Trees 24
 Example # (LR Insertion)
12 12 12

k3 k3 k2
8 16 8 16 6 16
k2
k1 k1 k3
4 10 14 6 10 14
D k1 D
4 8 14
k2
2 6 4
A
2 5 B 10 D

5 2 5 A
B A B

AVL Trees 25
Left rotation on 4 Right rotation on 8
Extended Example # 1
:
 Insert : 3 , 2 , 1 , 4 , 5 , 6 , 7 , 16

1 4

Balancing by 5
Right Rotation
Balancing by
(LL)
Left Rotation
(RR) AVL Trees 26
Extended Example # 1
:
 Insert : 3 , 2 , 1 , 4 , 5 , 6 , 7 , 16

1 3

6
5

AVL Trees 27
Extended Example # 1
:
 Insert : 3 , 2 , 1 , 4 , 5 , 6 , 7 , 16

1 4

3 5

7
6

Balancing node 2
by Left
AVLRotation
Trees 28
(RR)
Extended Example # 1
:
 Insert : 3 , 2 , 1 , 4 , 5 , 6 , 7 , 16

2 5

1 6
3

16
7

Balancing node 5
Ans.
by Left
AVLRotation
Trees 29
(RR)
Extended Example # 2
:
 Insert : 64 , 1 , 14 , 26 , 13 , 110 , 98 , 85

64

Since node 64 is
imbalanced, thus by
1 LR Insertion

14

AVL Trees 30
Extended Example # 2
:
 Insert : 64 , 1 , 14 , 26 , 13 , 110 , 98 , 85

64

13 14 26 110

31
98
Inserting 85 :
14

1
64
Performing
Right Rotation
(LL)

13 26 110

98
Node 110 becomes
imbalanced.

85 Ans.
32
AVL Trees : Deletion
 AVL tree Deletion: same as BST deletion.

 In event of an imbalance due to deletion, one or more

rotation are needed to be applied to balance the AVL trees.

 On deletion of a node X from the AVL tree let A be the

closest ancestor node on the path from X to the root node,
with balance factor = +2 or -2.

 To restore balance the rotation is first classified as L or R

depending on whether the deletion occurred on the left or
right subtree of A
AVL Trees 33
Deletion : (contd…)
 Now depending on the value of BF(B) where B is the left or
right subtree of A, the R or L imbalance is further classified
as:
 R0, R1 or R-1,
 L0, L1 or L-1.
 The L and R rotations are the mirror images of each other.
Thus,
 L0 R0
 L1 R1
 L-1 R-1

 Here we are considering the Right Rotations, Left Rotations can be

done in the similar way.

AVL Trees 34
1) Deletion by R(0) Rotation :
 Delete node 60
 Deletion is to be done on the right side of
root node A(46) and BF(B)=0
A(+2)
(+1) A (+2)
(-1) B
46 46
B (0) 20
BB(0)
(0) RightDelete
Rotation
60 R(0) (+1)A
20 20 54
54 18 46

60 60
18 23 7 18 23
23 54

7 7
24 24
AVL Trees 35
2) Deletion by R(1) Rotation :
 Delete node 39
 Deletion is to be done on the Right side of
root node A(37) and BF(B)=+1
A (+1)
AA(+2)
(+1) (0) B
37 B 37
26
RightDelete
Rotation
B (+1) 39 R(1)
(+1) (0)
B 26 41 26 41
A
18 37

18 28 39 18
16 28 39
28 41

16 16
AVL Trees 36
3) Deletion by R(-1) Rotation :
 Delete node 52
 Deletion is to be done on the Right side of
root node A(44) and BF(B)=-1
A (+1) A (+1)
44 44
B (-1) B (-1) 28
Right Rotation R(-1)
Delete 52
22 22 48
48 (0) (0)
B
22 44 A
52 18 52
18 28 28
18 29
23 48
23 23
29 29
AVL Trees 37
 Deletion Examples :
 Delete elements 120,64,130 from the
following search tree.
128 (+1)

(0)
98 (-1)
135

(0) 64 110 (-1) 130 (0)

26 85 99 120
(0) (0) (0) (0)
AVL Trees 38
 Delete 120 :

128 (+1)

(0)
98 (-1)
135

(0) 64 110 (-1) 130 (0)

26 85 99 120
(0) (0) (0)
Ans.
AVL Trees 39
 Delete 64 :

128 (+1)

(0)
98 (-1)
135

(0)
(1) 64 110 (-1) 130 (0)

26 85 99
(0) (0) (0)
Ans.
AVL Trees 40
 Delete 130 :

128 (+2)
(+1)

(0)
98 (-1)
135

(1) 85 110 (-1) 130 (0)

26 99
(0) (0)

Node 128 becomes unbalanced BF(128)=+2

So we Follow R(0) Rotation. 41
 Delete 130 :

128 (+2)
98 (-1)

(0) (+1)
R(0) Rotation 98 85 (-1) (+1)
135 128

(1) (0)
85 (-1) (-1)
110 110
26
(0) 135

26 99
(0) 99
(0) (0) Ans.

Node 128 becomes unbalanced BF(128)=+2

So we Follow R(0) Rotation. 42
Example : Insertion +
Deletion
Ques 1(a). Insert the following keys in
order shown to construct an AVL search
tree
A, B, C, D, E

Ques 1(b). Then Delete the last two keys in

order of Last in First out.

Soln. 
AVL Trees 43
Solution.
 Insert A, B

AVL Trees 44
Solution.
 Now Insert C

C
AVL Trees 45
Solution.
 Now Insert C

B
RR Rotation
B

The tree is unbalanced A C

at A
C
AVL Trees 46
Solution.
 Now insert D

A C

D
AVL Trees 47
Solution.
 Now insert E
B

C
A

The tree is unbalanced D

at B and C

AVL Trees E48

Solution.
By Left Rotation
RR B

A D

C E

AVL Trees 49
Solution.
 Delete E :
B

A D

C E

AVL Trees 50
Solution.
 Delete D :
B

A D

C
Ans.
AVL Trees 51
Special Thanks to:

Prof. Vinay Kumar Pathak

HOD Of CSE Department
HBTI, Kanpur.

AVL Trees 52