UMT 404

AVL Trees

Dr. Anil Kumar Pal

Mechanical Engineering Department

TIET
 Balance
Balance == height(left subtree) - height(right
subtree)
 zero everywhere  perfectly balanced
 small everywhere  balanced enough t

Balance between -1 and 1 everywhere

 maximum height ~1.44 log n
5
7

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 AVL Tree
Dictionary Data Structure
Binary search tree
properties 8
 binary tree property
 search tree property
5 11
Balance property
 balance of every node is:
-1 b  1 2 6 10 12
 result:
 depth is O(log n)
4 7 9 13 14

15
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 An AVL Tree
3 10 data
10 3 height
children
1 2
5 15
0 0 0 1
2 9 12 20
0 0
17 30

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 Not AVL Trees
3 0-2 = -2
10 2 (-1)-1 = -2
10
0 2
5 15 1
15
0 1
12 20 0
20
0 0
17 30

Note: height(empty tree) ==

-1

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 Good Insert Case:
Balance Preserved
Good case: insert middle, then small,then
tall

Insert(middle) M
Insert(small)
Insert(tall) 0 0
S T

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 Bad Insert Case #1:
Left-Left or Right-Right
Imbalance
Insert(small)
Insert(middle)
2
Insert(tall) S
1
BC#1 Imbalance caused by M
either:
 Insert into left child’s left subtree 0
 Insert into right child’s right T
subtree

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 Single Rotation
2
S 1
M
1
M
0 0
0 S T
T
Basic operation used in AVL trees:
A right child could legally have its parent as its left child.

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 General Bad Case #1
h+2
a h+1 a

h h-1 h+1 b h-1

b
X X

h-1 h-1 h h-1

Z Y Y

Note: imbalance is left-

left
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 Single Rotation
Fixes Case #1 Imbalance
a h+2 b h+1

h
h+1 b h-1 h a
X
h h-1 h-1
h-1 Z
Y Y X

Z
 Height of left subtree same as it was before insert!
 Height of all ancestors unchanged
 We can stop here!

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 Bad Insert Case #2:
Left-Right or Right-Left
Imbalance
Insert(small)
Insert(tall)
Insert(middle) 2
S
1
BC#2 Imbalance caused by
either: T
 Insert into left child’s right subtree
0
 Insert into right child’s left subtree M
Will a single rotation fix
this?
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 Double Rotation

2 2
S S 1
M
1 1
T M
0 0
0 S T
0
M T

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 General Bad Case #2
h+2
a h+1 a

h h-1 h+1 b h-1

b
X X

h-1 h-1
h-1 h
Z Y Z

Note: imbalance is left-

right
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 Double Rotation
Fixes Case #2 Imbalance
a h+2 h+1
h+1
h-1 c
b h h
h-1
b a
h Z
c h-1 h-1
X Y
W
X Y
W Z

h - 1?
h - 1?
Initially: insert into either X or Y unbalances tree (root balance goes to 2 or -2)
“Zig zag” to pull up c – restores root height to h+1, left subtree height to h

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 AVL Insert Algorithm
 Find spot for value
 Hang new node
 Search back up looking for imbalance
 If there is an imbalance:
case #1: Perform single rotation

case #2: Perform double rotation

 Done!
(There can only be one imbalance!)

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 Easy Insert
3
Insert(3) 10

1 2
5 15

0 0 0 1
2 9 12 20
0 0
17 30

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 Hard Insert (Bad Case #1)
3
Insert(33) 10

2 2
5 15
1 0 0 1
2 9 12 20
0 0 0
3 17 30

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 Single Rotation
3 3
10 10

2 3 2 2
5 15 5 20
1 0 0 2 1 0 1 1
2 9 12 20 2 9 15 30
0 0 1 0 0 0 0
3 17 30 3 12 17 33
0
33
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 Hard Insert (Bad Case #2)
3
Insert(18) 10

2 2
5 15
1 0 0 1
2 9 12 20
0 0 0
3 17 30

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 Single Rotation (oops!)
3 3
10 10

2 3 2 3
5 15 5 20
1 0 0 2 1 0 2 0
2 9 12 20 2 9 15 30
0 1 0 0 0 1
3 17 30 3 12 17
0 0
18 18
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 Double Rotation (Step #1)
3 3
10 10

2 3 2 3
5 15 5 15
1 0 0 2 1 0 0 2
2 9 12 20 2 9 12 17
0 1 0 0 1
3 17 30 3 20
0 0 0
18 Look familiar? 18 30
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 Double Rotation (Step #2)
3 3
10 10

2 3 2 2
5 15 5 17
1 0 0 2 1 0 1 1
2 9 12 17 2 9 15 20
0 1 0 0 0 0
3 20 3 12 18 30
0 0
18 30
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 AVL Insert Algorithm
Revisited
 Recursive  Iterative
1. Search downward for 1. Search downward for
spot, stacking
spot
parent nodes
2. Insert node 2. Insert node
3. Unwind stack, 3. Unwind stack,
correcting heights correcting heights
a. If imbalance #1, a. If imbalance #1,
single rotate single rotate and
exit
b. If imbalance #2,
b. If imbalance #2,
double rotate double rotate and
exit

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 Single Rotation Code
void RotateRight(Node *& root) {
Node * temp = root->right; root
root->right = temp->left;
temp->left = root; temp
root->height = X
max(root->right->height,
root->left->height) + 1; Y
temp->height =
max(temp->right->height,
Z
temp->left->height) + 1;
root = temp;
}

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 Double Rotation Code
void DoubleRotateRight(Node *& root) {
RotateLeft(root->right);
RotateRight(root);
}

a a First Rotation

b c

Z Z
c Y b
W
Y X X
W
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 Double Rotation
Completed
First Rotation Second Rotation
a c

c
a b
Z
Y b Y X

X Z W

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 Deletion: Really Easy Case
3
Delete(17) 10

2 2
5 15
1 0 0 1
2 9 12 20
0 0 0
3 17 30

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 Deletion: Pretty Easy Case
3
Delete(15) 10

2 2
5 15
1 0 0 1
2 9 12 20
0 0 0
3 17 30

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 Deletion: Pretty Easy Case
(cont.)
3
Delete(15) 10

2 2
5 17
1 0 0 1
2 9 12 20
0 0
3 30

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 Deletion (Hard Case #1)
Delete(12) 3
10

2 2
5 17
1 0 0 1
2 9 12 20
0 0
3 30

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 Single Rotation on
Deletion
3 3
10 10

2 2 2 1
5 17 5 20
1 0 1 1 0 0 0
2 9 20 2 9 17 30
0 0 0
3 30 3

Deletion can differ from insertion – How?

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 Deletion (Hard Case)
Delete(9) 4
10

2 3
5 17
1 0 2 2
2 9 12 20
0 0 1 0 1
3 11 15 18 30
0 0
13 33
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 Double Rotation on
Deletion
4 4 Not
10 10 finished!

2 3 1 3
5 17 3 17
1 2 2 0 0 2 2
2 12 20 2 5 12 20
0 0 1 0 1 0 1 0 1
3 11 15 18 30 11 15 18 30
0 0 0 0
13 33 13 33
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 Deletion with Propagation
4
10
What different about this case?
1 3
3 17
0 0 2 2
2 5 12 20
We get to choose whether
0 1 0 1 to single or double rotate!
11 15 18 30
0 0
13 33

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 Propagated Single
Rotation
4 4
10 17
1 3 3 2
3 17 10 20
0 0 2 2 1 2 0 1
2 5 12 20 3 12 18 30
0 1 0 1 0 0 0 1 0
11 15 18 30 2 5 11 15 33
0 0 0
13 33 13

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 Propagated Double
Rotation
4 4
10 12
1 3 2 3
3 17 10 17
0 0 2 2 1 0 1 2
2 5 12 20 3 11 15 20
0 1 0 1 0 0 0 0 1
11 15 18 30 2 5 13 18 30
0 0 0
13 33 33

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 AVL Deletion Algorithm
 Recursive  Iterative
1. Search downward for 1. Search downward for
node node, stacking
2. Delete node parent nodes
3. Unwind, correcting 2. Delete node
heights as we go 3. Unwind stack,
a. If imbalance #1, correcting heights
a. If imbalance #1,
single rotate
single rotate
b. If imbalance #2
(or don’t b. If imbalance #2
(or don’t care)
care),
double rotate
double rotate

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 Building an AVL Tree
Input: sequence of n keys (unordered)
19 3 4 18 7
Insert each into initially empty AVL tree
n n

 log i  log n O(n log n)

i 1 i 1

But, suppose input is already sorted …

3 4 7 18 19
Can we do better than O(n log n)?

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 AVL BuildTree
5 8 10 15 17 20 30 35 40

Divide & Conquer

 Divide the problem into
parts 17
 Solve each part
recursively
 Merge the parts into a
general solution
How long does
divide & conquer take? 5 8 1015 20303540

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 Build Tree Example
5 8 10 15 17 20 30 35 40

3
17
5 8 10 15 2 2 20 30 35 40
10 35
5 8 1 0 20 30 1 0
8 15 30 40
0 0
5 20

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 Build Tree Analysis
(Approximate)
T(1) = 1
T(n) = 2T(n/2) + 1
T(n) = 2(2T(n/4)+1) + 1
T(n) = 4T(n/4) + 2 + 1
T(n) = 4(2T(n/8)+1) + 2 + 1
T(n) = 8T(n/8) + 4 +k 2 + 1
1
T(n) = 2 T(n/2 ) + 2 i 1
k k  2 i

let 2k = n, log n log=n k

1
T(n) = nT(1) + 2  2
i

i 1
T(n) = (n)

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 Build Tree Analysis
(Exact)
Precise Analysis: T(0) = b
T(n) = T(  n 2 1) + T(  n 2)1 + c
By induction on n:
T(n) = (b+c)n + b
Base case:
T(0) = b = (b+c)0 + b
Induction step:
T(n) = (b+c)  n  1 + b +
 2 
(b+c)  n  1 + b + c
= (b+c)n 2+ b  n  1  n  1
QED: T(n) = (b+c)n + b = (n)  2    2  n  1

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 Thinking About AVL
Observations
+ Worst case height of an AVL tree is about 1.44
log n
+ Insert, Find, Delete in worst case O(log n)
+ Only one (single or double) rotation needed
on insertion
- O(log n) rotations needed on deletion

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