Chapter 11

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Chapter Summary
 Introduction to Trees
 Applications of Trees (not currently included in
overheads)
 Tree Traversal
 Spanning Trees
 Minimum Spanning Trees (not currently included in
overheads)
Trees
Definition: A tree is a connected undirected graph with no simple
circuits.

Example: Which of these

graphs are trees?

Solution: G1 and G2 are trees - both are connected and have no simple
circuits. Because e, b, a, d, e is a simple circuit, G3 is not a tree. G4 is not
a tree because it is not connected.
Trees
Definition: A forest is a graph that has no simple
circuit, but is not connected. Each of the connected
components in a forest is a tree.
Trees (continued)
Theorem: An undirected graph is a tree if and only if there is a unique simple
path between any two of its vertices.

Proof: Assume that T is a tree. Then T is connected with no simple circuits.

Hence, if x and y are distinct vertices of T, there is a simple path between
them. This path must be unique - for if there were a second path, there would
be a simple circuit in T. Hence, there is a unique simple path between any two
vertices of a tree.

Now assume that there is a unique simple path between any two vertices of a
graph T. Then T is connected because there is a path between any two of its
vertices. Furthermore, T can have no simple circuits since if there were a
simple circuit, there would be two paths between some two vertices.

Hence, a graph with a unique simple path between any two vertices is a tree.
 Arthur Cayley
(1821-1895)

Trees as Models
 Trees are used as models in computer
science, chemistry, geology, botany,
psychology, and many other areas.
 Trees were introduced by the mathematician
Cayley in 1857 in his work counting the
number of isomers of saturated
hydrocarbons. The two isomers of butane are
shown at the right.
 The organization of a computer file system
into directories, subdirectories, and files is
naturally represented as a tree.
 Trees are used to represent the structure of
organizations.
Rooted Trees
Definition: A rooted tree is a tree in which one vertex
has been designated as the root and every edge is
directed away from the root.
An unrooted tree is converted into different rooted
trees when different vertices are chosen as the root.
Rooted Tree Terminology
 Terminology for rooted trees is a
mix from botany and
genealogy (such as this family tree
of the Bernoulli family of
mathematicians).

 If v is a vertex of a rooted tree other than the root, the parent of v is the unique vertex u such that
there is a directed edge from u to v. When u is a parent of v, v is called a child of u. Vertices with the
same parent are called siblings.
 The ancestors of a vertex are the vertices in the path from the root to this vertex, excluding the
vertex itself and including the root. The descendants of a vertex v are those vertices that have v as an
ancestor.
 A vertex of a rooted tree with no children is called a leaf. Vertices that have children are called
internal vertices.
 If a is a vertex in a tree, the subtree with a as its root is the subgraph of the tree consisting of a and
its descendants and all edges incident to these descendants.
Terminology for Rooted Trees

Example: In the rooted tree T (with root a):

(i) Find the parent of c, the children of g, the siblings
of h, the ancestors of e, and the descendants of b.
(ii) Find all internal vertices and all leaves.
(iii) What is the subtree rooted at G?

Solution:
(i) The parent of c is b. The children of g are h, i, and
j. The siblings of h are i and j. The ancestors of e
are c, b, and a. The descendants of b are c, d, and e.
(ii) The internal vertices are a, b, c, g, h, and j. The
leaves are d, e, f, i, k, l, and m.
(iii) We display the subtree rooted at g.
m-ary Rooted Trees
Definition: A rooted tree is called an m-ary tree if every internal vertex has no
more than m children. The tree is called a full m-ary tree if every internal vertex
has exactly m children. An m-ary tree with m = 2 is called a binary tree.
Example: Are the following rooted trees full m-ary trees for some positive
integer m?

Solution: T1 is a full binary tree because each of its internal vertices has two
children. T2 is a full 3-ary tree because each of its internal vertices has three
children. In T3 each internal vertex has five children, so T3 is a full 5-ary tree.
T4 is not a full m-ary tree for any m because some of its internal vertices have
two children and others have three children.
Ordered Rooted Trees
Definition: An ordered rooted tree is a rooted tree where the children
of each internal vertex are ordered.
 We draw ordered rooted trees so that the children of each internal
vertex are shown in order from left to right.

Definition: A binary tree is an ordered rooted where where each

internal vertex has at most two children. If an internal vertex of a
binary tree has two children, the first is called the left child and the
second the right child. The tree rooted at the left child of a vertex is
called the left subtree of this vertex, and the tree rooted at the right
child of a vertex is called the right subtree of this vertex.
Ordered Rooted Trees
Example: Consider the binary tree T.
(i) What are the left and right children of d?
(ii) What are the left and right subtrees of c?
Solution:
(i) The left child of d is f and the right child is g.
(ii) The left and right subtrees of c are displayed in
(b) and (c).
Properties of Trees
Theorem 2: A tree with n vertices has n − 1 edges.

Proof (by mathematical induction):

BASIS STEP: When n = 1, a tree with one vertex has no
edges. Hence, the theorem holds when n = 1.
INDUCTIVE STEP: Assume that every tree with k vertices
has k − 1 edges.
Suppose that a tree T has k + 1 vertices and that v is a leaf
of T. Let w be the parent of v. Removing the vertex v and
the edge connecting w to v produces a tree T′ with k
vertices. By the inductive hypothesis, T′ has k − 1 edges.
Because T has one more edge than T′, we see that T has k
edges. This completes the inductive step.
Counting Vertices in Full m-Ary
Trees
Theorem 3: A full m-ary tree with i internal vertices
has n = mi + 1 vertices.
Proof : Every vertex, except the root, is the child of an
internal vertex. Because each of the i internal vertices
has m children, there are mi vertices in the tree other
than the root. Hence, the tree contains n = mi + 1
vertices.
Counting Vertices in Full m-Ary
Trees (continued)
Theorem 4: A full m-ary tree with
(i) n vertices has i = (n − 1)/m internal vertices and
l = [(m − 1)n + 1]/m leaves,

(ii) i internal vertices has n = mi + 1 vertices and proofs of

l = (m − 1)i + 1 leaves, parts (ii) and
(iii) are left as
(iii) l leaves has n = (ml − 1)/(m − 1) vertices and exercises
i = (l − 1)/ (m − 1) internal vertices.

Proof (of part i): Solving for i in n = mi + 1 (from Theorem

3) gives i = (n − 1)/m. Since each vertex is either a leaf or
an internal vertex, n = l + i. By solving for l and using the
formula for i, we see that
l = n − i = n − (n − 1)/m = [(m − 1)n + 1]/m .
Level of vertices and height of
trees
 When working with trees, we often want to have rooted trees where the subtrees at each
vertex contain paths of approximately the same length.
 To make this idea precise we need some definitions:
 The level of a vertex v in a rooted tree is the length of the unique path from the root to this
vertex.
 The height of a rooted tree is the maximum of the levels of the vertices.
Example:
(i) Find the level of each vertex in
the tree to the right.
(ii) What is the height of the tree?

Solution:
(i) The root a is at level 0. Vertices b, j, and k are at level 1.
Vertices c, e, f, and l are at level 2. Vertices d, g, i, m, and n are at level 3.
Vertex h is at level 4.
(ii) The height is 4, since 4 is the largest level of any vertex.
Balanced m-Ary Trees
Definition: A rooted m-ary tree of height h is
balanced if all leaves are at levels h or h − 1.
Example: Which of the rooted trees shown below is
balanced?

Solution: T1 and T3 are balanced, but T2 is not

because it has leaves at levels 2, 3, and 4.
The Bound for the Number of
Leaves in an m-Ary Tree
Theorem 5: There are at most mh leaves in an m-ary tree of height h.
Proof (by mathematical induction on height):
BASIS STEP: Consider an m-ary trees of height 1. The tree consists of a root and no more than m
children, all leaves. Hence, there are no more than m1 = m leaves in an m-ary tree of height 1.
INDUCTIVE STEP: Assume the result is true for all m-ary trees of height < h. Let T be an m-ary tree of
height h. The leaves of T are the leaves of the subtrees of T we get when we delete the edges from the
root to each of the vertices of level 1.

Each of these subtrees has height ≤ h− 1. By the inductive hypothesis, each of these subtrees has at
most mh− 1 leaves. Since there are at most m such subtees, there are at most m mh− 1 = mh leaves in
the tree.
Corollary 1: If an m-ary tree of height h has l leaves, then h ≥ ⌈logm l⌉. If the m-ary tree is full and
balanced, then h = ⌈logm l⌉. (see text for the proof)
Tree Traversal
 Procedures for systematically visiting every vertex of
an ordered tree are called traversals.
 The three most commonly used traversals are preorder
traversal, inorder traversal, and postorder traversal.
Preorder Traversal
Definition: Let T be an ordered rooted tree with root
r. If T consists only of r, then r is the preorder traversal
of T. Otherwise, suppose that T1, T2, …, Tn are the
subtrees of r from left to right in T. The preorder
traversal begins by visiting r, and continues by
traversing T1 in preorder, then T2 in preorder, and so
on, until Tn is traversed in preorder.
Preorder Traversal (continued)
procedure preorder (T: ordered rooted
tree)
r := root of T
list r
for each child c of r from left to right
T(c) := subtree with c as root
preorder(T(c))
Inorder Traversal
Definition: Let T be an ordered rooted tree with root
r. If T consists only of r, then r is the inorder traversal
of T. Otherwise, suppose that T1, T2, …, Tn are the
subtrees of r from left to right in T. The inorder
traversal begins by traversing T1 in inorder, then
visiting r, and continues by traversing T2 in inorder,
and so on, until Tn is traversed in inorder.
Inorder Traversal (continued)
procedure inorder (T: ordered rooted tree)
r := root of T
if r is a leaf then list r
else
l := first child of r from left to right
T(l) := subtree with l as its root
inorder(T(l))
list(r)
for each child c of r from left to right
T(c) := subtree with c as root
inorder(T(c))
Postorder Traversal
Definition: Let T be an ordered rooted tree with root
r. If T consists only of r, then r is the postorder
traversal of T. Otherwise, suppose that T1, T2, …, Tn
are the subtrees of r from left to right in T. The
postorder traversal begins by traversing T1 in
postorder, then T2 in postorder, and so on, after Tn is
traversed in postorder, r is visited.
Postorder Traversal (continued)
procedure postordered (T: ordered rooted tree)
r := root of T
for each child c of r from left to right
T(c) := subtree with c as root
postorder(T(c))
list r
Expression Trees
 Complex expressions can be represented using ordered
rooted trees.
 Consider the expression ((x + y) ↑ 2 ) + ((x − 4)/3).
 A binary tree for the expression can be built from the
bottom up, as is illustrated here.
Infix Notation
 An inorder traversal of the tree representing an
expression produces the original expression when
parentheses are included except for unary operations,
which now immediately follow their operands.
 We illustrate why parentheses are needed with an
example that displays three trees all yield the same
infix representation.
 Jan Łukasiewicz
(1878-1956)

Prefix Notation Example: We show

 When we traverse the rooted tree the steps used to
representation of an expression in preorder, we evaluate a particular
obtain the prefix form of the expression. prefix expression:
Expressions in prefix form are said to be in
Polish notation, named after the Polish logician
Jan Łukasiewicz.
 Operators precede their operands in the prefix
form of an expression. Parentheses are not
needed as the representation is unambiguous.
 The prefix form of ((x + y) ↑ 2 ) + ((x − 4)/3)
is + ↑ + x y 2 / − x 4 3.
 Prefix expressions are evaluated by working
from right to left. When we encounter an
operator, we perform the corresponding
operation with the two operations to the right.
 Example: We show
Postfix Notation the steps used to
evaluate a particular
 We obtain the postfix form of an expression postfix expression.
by traversing its binary trees in postorder.
Expressions written in postfix form are said to
be in reverse Polish notation.
 Parentheses are not needed as the postfix
form is unambiguous.
 x y + 2 ↑ x 4 − 3 / + is the postfix
form of ((x + y) ↑ 2 ) + ((x − 4)/3).
 A binary operator follows its two operands.
So, to evaluate an expression one works from
left to right, carrying out an operation
represented by an operator on its preceding
operands.
Spanning Trees
Definition: Let G be a simple graph. A spanning
tree of G is a subgraph of G that is a tree containing
every vertex of G.
Example: Find the spanning tree of this simple
graph:

Solution: The graph is connected, but is not a tree because it contains simple
circuits. Remove the edge {a, e}. Now one simple circuit is gone, but the
remaining subgraph still has a simple circuit. Remove the edge {e, f} and then
the edge {c, g} to produce a simple graph with no simple circuits. It is a
spanning tree, because it contains every vertex of the original graph.
Spanning Trees (continued)
Theorem: A simple graph is connected if and only if it has a
spanning tree.
Proof: Suppose that a simple graph G has a spanning tree T. T
contains every vertex of G and there is a path in T between any
two of its vertices. Because T is a subgraph of G, there is a path in
G between any two of its vertices. Hence, G is connected.
Now suppose that G is connected. If G is not a tree, it contains a
simple circuit. Remove an edge from one of the simple circuits.
The resulting subgraph is still connected because any vertices
connected via a path containing the removed edge are still
connected via a path with the remaining part of the simple
circuit. Continue in this fashion until there are no more simple
circuits. A tree is produced because the graph remains connected
as edges are removed. The resulting tree is a spanning tree
because it contains every vertex of G.
Depth-First Search
 To use depth-first search to build a spanning tree for a connected
simple graph first arbitrarily choose a vertex of the graph as the
root.
 Form a path starting at this vertex by successively adding vertices
and edges, where each new edge is incident with the last vertex in
the path and a vertex not already in the path. Continue adding
vertices and edges to this path as long as possible.
 If the path goes through all vertices of the graph, the tree consisting
of this path is a spanning tree.
 Otherwise, move back to the next to the last vertex in the path, and
if possible, form a new path starting at this vertex and passing
through vertices not already visited. If this cannot be done, move
back another vertex in the path.
 Repeat this procedure until all vertices are included in the spanning
tree.
Depth-First Search (continued)
Example: Use depth-first search
to find a spanning tree of this graph.

Solution: We start arbitrarily with vertex f. We build a path by successively

adding an edge that connects the last vertex added to the path and a vertex not
already in the path, as long as this is possible. The result is a path that connects
f, g, h, k, and j. Next, we return to k, but find no new vertices to add. So, we
return to h and add the path with one edge that connects h and i. We next
return to f, and add the path connecting f, d, e, c, and a. Finally, we return to c
and add the path connecting c and b. We now stop because all vertices have
been added.
Depth-First Search (continued)
 The edges selected by depth-first search of a graph are
called tree edges. All other edges of the graph must
connect a vertex to an ancestor or descendant of the
vertex in the graph. These are called back edges.
 In this figure, the tree edges are shown with heavy blue
lines. The two thin black edges are back edges.
Breadth-First Search
 We can construct a spanning tree using breadth-first
search. We first arbitrarily choose a root from the
vertices of the graph.
 Then we add all of the edges incident to this vertex and
the other endpoint of each of these edges. We say that
these are the vertices at level 1.
 For each vertex added at the previous level, we add each
edge incident to this vertex, as long as it does not
produce a simple circuit. The new vertices we find are
the vertices at the next level.
 We continue in this manner until all the vertices have
been added and we have a spanning tree.
Breadth-First Search (continued)
Example: Use breadth-first search to find a spanning tree
for this graph.

Solution: We arbitrarily choose vertex e as the root. We then add the edges from e to b, d, f, and i.
These four vertices make up level 1 in the tree. Next, we add the edges from b to a and c, the edges
from d to h, the edges from f to j and g, and the edge from i to k. The endpoints of these edges not at
level 1 are at level 2. Next, add edges from these vertices to adjacent vertices not already in the graph.
So, we add edges from g to l and from k to m. We see that level 3 is made up of the vertices l and m.
This is the last level because there are no new vertices to find.
 Depth-First Search in Directed
Graphs
 Both depth-first search and breadth-first search can be
easily modified to run on a directed graph. But the
result is not necessarily a spanning tree, but rather a
spanning forest.

 To index websites, search engines such as Google

systematically explore the web starting at known sites.
The programs that do this exploration are known as
Web spiders. They may use both breath-first search or
depth-first search to explore the Web graph.
Depth-First Search in Directed
Graphs
Example: For the graph in (a), if we begin at vertex a, depth-first search adds
the path connecting a, b, c, and g. At g, we are blocked, so we return to c.
Next, we add the path connecting f to e. Next, we return to a and find that
we cannot add a new path. So, we begin another tree with d as its root. We
find that this new tree consists of the path connecting the vertices d, h, l, k,
and j. Finally, we add a new tree, which only contains i, its root.
Applications of Trees – Binary
Search Tree
Example: Form a binary search tree for the words mathematics, physics,
geography, zoology, meteorology, geology, psychology, and chemistry (using
alphabetical order).
Applications of Trees – Decision Tree
A rooted tree in which each internal vertex corresponds to a decision, with a subtree at
these vertices for each possible outcome of the decision, is called a decision tree.
Example: Suppose there are seven coins, all with the same weight, and a counterfeit
coin that weighs less than the others. How many weighings are necessary using a
balance scale to determine which
of the eight coins is the counterfeit one?
Applications of Trees – Decision Tree
A rooted tree in which each internal vertex corresponds to a decision, with a subtree at
these vertices for each possible outcome of the decision, is called a decision tree.
Example: Suppose there are seven coins, all with the same weight, and a counterfeit
coin that weighs less than the others. How many weighings are necessary using a
balance scale to determine which
of the eight coins is the counterfeit one?
Applications of Trees – Huffman
Coding
Huffman coding, was developed by David Huffman in a term paper he wrote
in 1951 while a graduate student at MIT. (Note that this algorithm assumes that
we already know how many times each symbol occurs in the string, so we can
compute the frequency of each symbol by dividing the number of times this
symbol occurs by the length of the string.)

Huffman coding is a fundamental algorithm in data compression, the subject

devoted to reducing the number of bits required to represent information.

Huffman coding is extensively used to compress bit strings representing text

and it also plays an important role in compressing audio and image files.
Applications of Trees – Huffman
Coding
Huffman coding, was developed by David Huffman in a term paper he wrote
in 1951 while a graduate student at MIT. (Note that this algorithm assumes that
Applications of Trees – Huffman
Coding
Example: Use Huffman coding to encode the following symbols with the frequencies
listed: A: 0.08, B: 0.10, C: 0.12, D: 0.15, E: 0.20, F: 0.35. What is the average number
of bits used to encode a character?
Applications of Trees – Huffman
Coding
Example: Use Huffman coding to encode the following symbols with the frequencies
listed: A: 0.08, B: 0.10, C: 0.12, D: 0.15, E: 0.20, F: 0.35. What is the average number
of bits used to encode a character?
Applications of Trees – Game Tree
Trees can be used to analyze certain types of games
such as tic-tac-toe, nim, checkers, and chess.
In each of these games, two players take turns making
moves. Each player knows the moves made by the other
player and no element of chance enters into the game.
We model such games using game trees; the vertices of
these trees represent the positions that a game can be in
as it progresses; the edges represent legal moves
between these positions.
Applications of Trees – Game Tree
Trees can be used to analyze certain types of games
such as tic-tac-toe, nim, checkers, and chess.
In each of these games, two players take turns making
moves. Each player knows the moves made by the other
player and no element of chance enters into the game.
We model such games using game trees; the vertices of
these trees represent the positions that a game can be in
as it progresses; the edges represent legal moves
between these positions.