Balanced BST: Guarantee O (Logn) Performance at All Times

Balanced BST
Balanced BSTs guarantee O(logN)

performance at all times
the height or left and right sub-trees

are about the same
simple BST are O(N) in the worst case
Categories of BSTs
AVL, SPLAY trees: dynamic environment

optimal trees: static environment
E.G.M. Petrakis
Trees in Main Memory
AVL Trees
AVL (Adelson, Lelskii, Landis): the height
of the left and right subtrees differ by at

most 1
the same for every subtree
Number of comparisons for membership

operations
best case: completely balanced
worst case: 1.44 log(N+2)
expected case: logN + .25 <= log(N
E.G.M. Petrakis
1)
2
AVL Trees
: completely balanced sub-tree

/ : the left sub-tree is 1 higher
\ : the right sub-tree is 1 higher
E.G.M. Petrakis
AVL Trees
E.G.M. Petrakis
Non AVL Trees

critical node
//
\\
E.G.M. Petrakis
: the left sub-tree is 2 higher

: the right sub-tree is 2 higher
Single Right Rotations

Insertions or deletions may result in non AVL
trees => apply rotations to balance the tree
T3
T1
E.G.M. Petrakis
T1
T2
T2
T3
Single Left Rotations

B
T1
T2
E.G.M. Petrakis
T3
T1
T3
T2
insert 1
single right
rotation
1
4
4
insert 9
single left rotation
9
E.G.M. Petrakis
10
5
4
11
E.G.M. Petrakis
Double Left Rotation

Composition of two single rotations (one
right and one left rotation)
T4
T4
T3
T2
E.G.M. Petrakis
or
T1
T3
T4
T2
T3
or
T1
or in Main Memory
Trees
10
Example of Double Left Rotation

7
Critical node
4 \\
4
2
2 =
/ 8 =
2
6
/ 7 =
insert 6
E.G.M. Petrakis
11
Double Right Rotation

Composition of two single rotations (one
left and one right rotation)
B
T3
T4
T2
T3
E.G.M. Petrakis
or
T4
T1
T1
T1
T2
T3
or
T2
Trees in MainorMemory
12
Insertion (deletion) in AVL

1. Follow the search path to verify
that the key is not already there
2. Insert (delete) the key
3. Retreat along the search path and
check the balance factor
4. Rebalance if necessary (see next)
E.G.M. Petrakis
13
Rebalancing
For every node reached coming up from its
left sub-tree after insertion readjust
balance factor
= becomes / => no operation
\ becomes = => no operation
/ becomes // => must be rebalanced!!
The // node becomes a critical node

Only the path from the critical node to the
leaf has to be rebalanced!!
Rotation is applied only at the critical node!
E.G.M. Petrakis
14
Rebalancing (cont.)
The balance factor of the critical node
determines what rotation is to take place
single or double
If the child and the grand child (inserted

node) of the critical node are on the same
direction (both / or \) => single rotation
Else => double rotation
Rebalance similarly if coming up from the
right sub-tree (opposite signs)
E.G.M. Petrakis
15
Performance
Performance of membership operations on
AVL trees:
easy for the worst case!
An AVL tree will never be more than 45%

higher that its perfectly balanced
counterpart (Adelson, Velskii, Landis):
log(N+1) <= hb(N) <=

l.4404log(N+2) 0.302
E.G.M. Petrakis
16
Worst case AVL

Sparse tree => each sub-tree has
minimum number of nodes
E.G.M. Petrakis
17
Fibonacci Trees
Th: tree of height h
Th has two sub-trees, one with height h-1
and one with height h-2
else it wouldnt have minimum number of nodes
T0 is the empty sub-tree (also Fibonacci)

T1 is the sub-tree with 1 node (also
Fibonacci)
E.G.M. Petrakis
18
Fibonacci Trees (cont.)

Average height
Nh number of nodes of Th
Nh = Nh-1 + Nh-2 + 1
N0 = 1
N1 = 2
1
Nh
5
h 2
1 5
h 2
1 5
From which h <= 1.44 log(N+1)

E.G.M. Petrakis
19
More Examples
single rotation
7
insert 9
9
E.G.M. Petrakis
20
Examples (cont.)
double rotation
7
insert 7
E.G.M. Petrakis
7
21
Examples (cont.)
double rotation
8
8
6
6
insert 7
E.G.M. Petrakis
7
22
Examples (cont.)
single rotation
7
7
6
8
9
E.G.M. Petrakis
delete 6
23
Examples (cont.)
single rotation
5
6
8
8
7
9
7
delete 5
E.G.M. Petrakis
24
Examples (cont.)
double rotation
5
6
8
8
7
delete 5
E.G.M. Petrakis
25
General Deletions
5
5
3
6
E.G.M. Petrakis
2
delete 4
1
10
11
delete 8
10
11
26
General Deletions (cont.)

5
2
5
2
delete 8
10
delete 5
delete 6
1
E.G.M. Petrakis
10
11
11
27
General Deletions (cont.)

3
2
delete 5
10
11
9
E.G.M. Petrakis
28
Self Organizing Search

Splay Trees: adapt to query patterns
move to root (front): whenever a node is

accessed move it to the root using
rotations
equivalent to move-to-front in arrays
current node
insertions: inserted node

deletions: father of deleted node or null
if this is the root
membership: Trees
thein Main
last
accessed node
E.G.M.Petrakis
Memory
29
20
Search(10)
30
15
second rotation
13
14
14
20
10
30
15
first rotation 10
13
10
20
10
30
15
13
third rotation
20
15
30
13
14
14
E.G.M. Petrakis
30
Splay Cases
If the current node q has no

grandfather but it has father p =>
only one single rotation
two symmetric cases: L, R

p
b
E.G.M. Petrakis
a
c
31
If p has also grandfather qp => 4 cases

gp
q
c
b
E.G.M. Petrakis
RL
gp
gp
LL
c
q
b c
LL symmetric of RR
RL symmetric of RL
b
gp
p
d
32
current
node
5
E.G.M. Petrakis
LL
RR
7
6
33
1
a
4
3
RL
3
7
q
5
LR
6
e
f
g
a, b, c are sub-trees
E.G.M. Petrakis
34
5
1
a
2
b
E.G.M. Petrakis
4
3
i
7
f
e
35
Splay Performance
Splay trees adapt to unknown or changing
probability distributions
Splay trees do not guarantee logarithmic
cost for each access
AVL trees do!

asymptotic cost close to the cost of the optimal
BST for unknown probability distributions
It can be shown that the cost of m

operations on an initially empty splay tree,
where n are insertions is O(mlogn) in the
worst case
E.G.M. Petrakis
36
Optimal BST
Static environment: no insertions or
deletions
Keys are accessed with various
frequencies
Have the most frequently accessed
keys near the root
Application: a symbol table in main
memory
E.G.M. Petrakis
37
Searching
Given symbols a1 < a2 < .< an and their
probabilities: p1, p2, pn minimize
cost
n
Successful search cos t pi level (ai )
i 1
Transform unsuccessful to successful

consider new symbols E1, E2, En
- 1 2 i i+1 .n n+1
E0
E1
Ei= (i , i+1 )
E.G.M. Petrakis
E2
Ei
E0= (- , 1 )
En
En= (n , )
38
Unsuccessful Search
an
an-1
an-2
Ei
unsuccessful search for

all values in Ei
terminates the same
failure node (in fact, one
node higher)
failure node
an-3
E.G.M. Petrakis
cos t pi {level (ai ) 1}

i 1
39
Search Cost
If pi is the probability to search for
ai and qi is the probability to search in
Ei then
n
n
pi qi 1
i 1
i 1
i 1
i 1
cost pi level(ai) qi {level (Ei) 1}
E.G.M. Petrakis
unsuccessful
successful
search
search
40
Optimal Tree
The binary search tree with the least cost
Minimizes the average cost for searching
given the search probabilities for a static
set of given keys
The nodes are known in advance
No insertions or deletions
Not balanced in the general case

An AVL is not always optimal
E.G.M. Petrakis
41
Example
(a1, a2, a3) = (do, if, read)
p i = q i = 1/7
if
do
ifif
read
do
read
if
read
do
cost = 13/7
Optimal BST
cost = 15/7
E.G.M. Petrakis
cost = 15/7
42
read
do
read
do
if
if
cost = 15/7
cost = 15/7
E.G.M. Petrakis
43
Observation 1
In a BST, a subtree has nodes
that are consecutive in a sorted
sequence of keys (e.g. [5,26])
20
10
5
13
12
E.G.M. Petrakis
25
24
26
14
44
Observation 2
If Tij is a sub-tree of an optimal
BST holding keys from i to j then
Tij must be optimal among all
possible BSTs that store the same
keys
optimality lemma: all sub-trees of
an optimal BST are also optimal
E.G.M. Petrakis
45
Optimal BST Construction

1) Construct all possible trees:
1 2n
trees!!
NP-hard, there are
n 1 n
2) Dynamic programming solves the
problem in polynomial time O(n3)
at each step, the algorithm finds and
stores the optimal tree in each range
of key values
increases the size of the range at each
step until the
range is obtained 46
E.G.M. Petrakis
Treeswhole
in Main Memory
Example (successful search only):

keys
1
probabilities 0,3
10
0,2
20
0,1
40
0,4
1) BSTs with 1 node

range 1
cost= 0.3
10
0.2
20
0.1
2) BSTs with 2 nodes

range 1-10
optimal
40
0.4
k=1-10 k=10-20 k=20-20

range 10-20
optimal
10
10
cost=0.3 1+0.2 2=0.7
cost=0.2 1+0,3.2=0.8
E.G.M. Petrakis
20
20
cost=0.2+0.1 2=0.4
10
1
range 20-40
20
10
cost=0.1+0.2 2=0.5
40
cost=0.1+0.8=0.9
40
optimal
20
cost=0.4+0.2=0.6
47

k=10-40
range 10-40
10
40
20
k=1-20
range 1-20
20
1
10
cost=0.1+2 0.3+3 0.2=1.3
cost=0.2+2 0.4+3 0.1=1.3
10
20
1
20
cost=0.2+2(0.3+0.1)=1
1
10
40
cost=0.1+2(0.2+0.4)=1.3
optimal
10
10
20
20
cost=0.4+2 0.2+30.1=1.1
cost=0.3+2 0.2+3 0.1=1

E.G.M. Petrakis
40
48

range 1-40
1
40
cost=0.3+2 0.4+3 0.2+4 0.1=2.1
10
20
10
1
40
20
cost=0.2+2(0.3+0.4)+3 0.1=1.9
OPTIMAL BST
20
40
cost=0.1+2(0.3+0.4)+3 0.2=2.1
10
40
1
cost=0.4+2 0.3+3 0.2+4 0.1=2
E.G.M. Petrakis10
20
49
Complexity
Compute all optimal BSTs for all Cij, i,j=1,2..n
Let m=j-i: number of keys in range Cij
n-m-1 Cijs must be computed
The one with the minimum cost must be
found, this takes O(m(n-m-1)) time
2
3
(nm
m
)
O(n
)
For all Cijs it takes
1 m n
There is a better O(n2) algorithm by Knuth
There is also an O(n) greedy algorithm
E.G.M. Petrakis
50
Optimal BSTs
High probability keys should be near
the root
But, the value of a key is also a factor
It may not be desirable to put the
smallest or largest key close to the
root => this may result in skinny trees
(e.g., lists)
E.G.M. Petrakis
51

Balanced BST: Guarantee O (Logn) Performance at All Times

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Balanced BST

Balanced BSTs guarantee O(logN)

the height or left and right sub-trees

AVL, SPLAY trees: dynamic environment

Trees in Main Memory

of the left and right subtrees differ by at

Number of comparisons for membership

Trees in Main Memory

: completely balanced sub-tree

Trees in Main Memory

Trees in Main Memory

Non AVL Trees

: the left sub-tree is 2 higher

Single Right Rotations

Trees in Main Memory

Single Left Rotations

Trees in Main Memory

single left rotation

Trees in Main Memory

Trees in Main Memory

Double Left Rotation

Example of Double Left Rotation

Trees in Main Memory

Double Right Rotation

Insertion (deletion) in AVL

Trees in Main Memory

The // node becomes a critical node

Trees in Main Memory

If the child and the grand child (inserted

Trees in Main Memory

An AVL tree will never be more than 45%

log(N+1) <= hb(N) <=

Trees in Main Memory

Worst case AVL

Trees in Main Memory

T0 is the empty sub-tree (also Fibonacci)

Trees in Main Memory

Fibonacci Trees (cont.)

From which h <= 1.44 log(N+1)

Trees in Main Memory

Trees in Main Memory

Trees in Main Memory

Trees in Main Memory

Trees in Main Memory

Trees in Main Memory

General Deletions (cont.)

Trees in Main Memory

General Deletions (cont.)

Trees in Main Memory

Self Organizing Search

move to root (front): whenever a node is

insertions: inserted node

Trees in Main Memory

If the current node q has no

two symmetric cases: L, R

If p has also grandfather qp => 4 cases

Trees in Main Memory

Trees in Main Memory

Trees in Main Memory

Trees in Main Memory

AVL trees do!

It can be shown that the cost of m

Trees in Main Memory