AVL Tree
AVL trees
Outline
Background
Define height-balancing
Maintaining balance within a tree
– AVL trees
– Difference of heights
– Maintaining balance after insertions and erases
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AVL trees
Background
From previous lectures:
– Binary search trees store linearly ordered data
– Best case height: O(ln(n))
– Worst case height: O(n)
Requirement:
– Define and maintain a balance to ensure O(ln(n)) height
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AVL trees
Prototypical Examples
These two examples demonstrate how we can correct for
imbalances: starting with this tree, add 1:
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AVL trees
Prototypical Examples
This is more like a linked list; however, we can fix this…
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AVL trees
Prototypical Examples
Promote 2 to the root, demote 3 to be 2’s right child, and 1 remains
the left child of 2
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AVL trees
Prototypical Examples
The result is a perfect, though trivial tree
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AVL trees
Prototypical Examples
Alternatively, given this tree, insert 2
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AVL trees
Prototypical Examples
Again, the product is a linked list; however, we can fix this, too
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AVL trees
Prototypical Examples
Promote 2 to the root, and assign 1 and 3 to be its children
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AVL trees
Prototypical Examples
The result is, again, a perfect tree
These examples may seem trivial, but they are the basis for the
corrections in the next data structure we will see: AVL trees
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AVL trees
AVL Trees
We will focus on the first strategy: AVL trees
– Named after Adelson-Velskii and Landis
Balance is defined by comparing the height of the two subtrees
Recall:
– An empty tree has height –1
– A tree with a single node has height 0
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AVL trees
AVL Trees
A binary search tree is said to be AVL balanced if:
– the difference between the heights between the left and right subtrees is
at most 1, and
– Both subtrees are themselves AVL trees
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AVL trees
AVL Trees
AVL trees with 1, 2, 3, and 4 nodes:
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AVL trees
AVL Trees
Here is a larger AVL tree (42 nodes):
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AVL trees
AVL Trees
The root node is AVL-balanced:
– Both subtrees are of height 4:
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AVL trees
AVL Trees
All other nodes (e.g., AF and BL) are AVL balanced
– The subtrees differ in height by at most one
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AVL trees
Height of an AVL Tree
Let F(h) be the fewest number of nodes in a tree of height h
From a previous slide:
F(0) = 1
F(1) = 2
F(2) = 4
Can we find F(h)?
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AVL trees
Height of an AVL Tree
The worst-case AVL tree of height h would have:
– A worst-case AVL tree of height h – 1 on one side,
– A worst-case AVL tree of height h – 2 on the other, and
– The root node
We get: F(h) = F(h – 1) + 1 + F(h – 2)
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AVL trees
Height of an AVL Tree
This is a recurrence relation:
1 h0
F( h ) 2 h 1
F( h 1) F( h 2) 1 h 1
The solution?
– Note that F(h) + 1 = (F(h – 1) + 1) + (F(h – 2) + 1)
– Therefore, F(h) + 1 is a Fibonacci number:
F(0) + 1 = 2 → F(0) = 1
F(1) + 1 = 3 → F(1) = 2
F(2) + 1 = 5 → F(2) = 4
F(3) + 1 = 8 → F(3) = 7
F(4) + 1 = 13 → F(4) = 12
F(5) + 1 = 21 → F(5) = 20
F(6) + 1 = 34 → F(6) = 33
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AVL trees
Height of an AVL Tree
This is approximately
F(h) ≈ 1.8944 f h – 1 ≈ O(f h)
where f ≈ 1.6180 is the golden ratio
Given a number of nodes N, the maximum value of h of AVL Tree will be:
1.8944 f h – 1 = N => h = 1.4404*log(N+1)= O(logN)
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Operations in AVL Tree
Searching, Complexity? O(log N)
FindMin, Complexity? O(log N)
Deletion? Insertion?
AVL trees
Maintaining Balance
To maintain AVL balance, observe that:
– Inserting a node can increase the height of a tree by at most 1
– Removing a node can decrease the height of a tree by at most 1
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AVL trees
Maintaining Balance
Consider this AVL tree
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AVL trees
Maintaining Balance
Consider inserting 15 into this tree
– In this case, the heights of none of the trees change
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AVL trees
Maintaining Balance
The tree remains balanced
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AVL trees
Maintaining Balance
Consider inserting 42 into this tree
– In this case, the heights of none of the trees change
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AVL trees
Maintaining Balance
Consider inserting 42 into this tree
– Now we see the heights of two subtrees have increased by one
– The tree is still balanced
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AVL trees
Maintaining Balance
Only insert and erase may change the height
– This is the only place we need to update the height
– These algorithms are already recursive
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AVL trees
Maintaining Balance
If a tree is AVL balanced, for an insertion to cause an imbalance:
– The heights of the subtrees must differ by 1
– The insertion must increase the height of the deeper sub-tree by 1
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AVL trees
Maintaining Balance
Suppose we insert 23 into our initial tree
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AVL trees
Maintaining Balance
The heights of each of the subtrees from here to the root are
increased by one
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AVL trees
Maintaining Balance
However, only two of the nodes are unbalanced: 17 and 36
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AVL trees
Maintaining Balance
However, only two of the nodes are unbalanced: 17 and 36
– We only have to fix the imbalance at the lowest node
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AVL trees
Maintaining Balance
We can promote 23 to where 17 is, and make 17 the left child of 23
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AVL trees
Maintaining Balance
Thus, that node is no longer unbalanced
– Incidentally, neither is the root now balanced again, too
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AVL trees
Maintaining Balance
Consider adding 6:
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AVL trees
Maintaining Balance
The height of each of the trees in the path back to the root are
increased by one
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AVL trees
Maintaining Balance
The height of each of the trees in the path back to the root are
increased by one
– However, only the root node is now unbalanced
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AVL trees
Maintaining Balance
To fix this, we will look at the general case…
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Maintaining Balance
If an insertion causes an imbalance, which nodes can be
affected?
Nodes on the path of the inserted node.
Let f be the node that must be rebalanced.
Case 1: insertion in the left subtree of the left child of f
Case 2: insertion in the right subtree of the left child of f
Case 3: insertion in the left subtree of the right child of f
Case 4: insertion in the right subtree of the right child of f
Case 1 and 4 (or Case 2 and 3) are the same. We only solve case 1 and
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AVL trees
Maintaining Balance: Case 1
Single Rotation
Consider the following setup
– Each blue triangle represents a tree of height h
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AVL trees
Maintaining Balance: Case 1
Single Rotation
Insert a into this tree: it falls into the left subtree BL of b (a<b<f)
– Assume BL remains balanced
– Thus, the tree rooted at b is also balanced
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AVL trees
Maintaining Balance: Case 1
Single Rotation
The tree rooted at node f is now unbalanced
– We will correct the imbalance at this node
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AVL trees
Maintaining Balance: Case 1
Single Rotation
Here are examples of when the
insertion of 7 may cause this
situation when h = –1, 0, and 1
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AVL trees
Maintaining Balance: Case 1
Single Rotation
We will modify these three pointers
– At this point, this references the unbalanced root node f
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AVL trees
Maintaining Balance: Case 1
Single Rotation
Specifically, we will rotate these two nodes around the root:
– Recall the first prototypical example
– Promote node b to the root and demote node f to be the right child of b
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AVL trees
Maintaining Balance: Case 1
This requires the address of node f to be assigned to the right
tree member variable of node b
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AVL trees
Maintaining Balance: Case 1
Assign any former parent of node f to the address of node b
Assign the address of the tree BR to left tree of node f
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AVL trees
Maintaining Balance: Case 1
Single Rotation
The nodes b and f are now balanced and all remaining nodes of the
subtrees are in their correct positions
– The height of f is now h + 1 while b remains at height h + 2
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AVL trees
Maintaining Balance: Case 1
Single Rotation
Additionally, height of the corrected tree rooted at b equals the
original height of the tree rooted at f
– Thus, this insertion will no longer affect the balance of any ancestors all
the way back to the root
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AVL trees
Summary: Case 1&4
Single Rotation
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AVL trees
Maintaining Balance: Case 1
Single Rotation
In our example case, the correction is
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AVL trees
Maintaining Balance: Case 1
In our three sample cases
with h = –1, 0, and 1, the
node is now balanced
and the same height
as the tree before the
insertion
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AVL trees
Maintaining Balance: Case 2
Double Rotation
Alternatively, consider the insertion of c where b < c < f into our
original tree
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AVL trees
Maintaining Balance: Case 2
Assume that the insertion of c increases the height of BR
– Once again, f becomes unbalanced
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AVL trees
Maintaining Balance: Case 2
Here are examples of when the
insertion of 14 may cause this
situation when h = –1, 0, and 1
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AVL trees
Maintaining Balance: Case 2
Unfortunately, the previous correction does not fix the imbalance at
the root of this sub-tree: the new root, b, remains unbalanced
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AVL trees
Maintaining Balance: Case 2
In our three sample cases
with h = –1, 0, and 1,
doing the same thing
as before results in
a tree that is still
unbalanced…
– The imbalance is just
shifted to the other
side
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AVL trees
Maintaining Balance: Case 2
Double Rotation
Re-label the tree by dividing the left subtree of f into a tree rooted at
d with two subtrees of height h – 1
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AVL trees
Maintaining Balance: Case 2
Double Rotation
Now an insertion causes an imbalance at f
– The addition of either c or e will cause this
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AVL trees
Maintaining Balance: Case 2
Double Rotation
We will reassign the following pointers
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AVL trees
Maintaining Balance: Case 2
Double Rotation
Specifically, we will order these three nodes as a perfect tree
– Recall the second prototypical example
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AVL trees
Maintaining Balance: Case 2
Double Rotation
To achieve this, b and f will be assigned as children of the new root d
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AVL trees
Maintaining Balance: Case 2
Double Rotation
We also have to connect the two subtrees and original parent of f
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AVL trees
Maintaining Balance: Case 2
Double Rotation
Now the tree rooted at d is balanced
– After the correction, height of b and f become h + 1 and d is h + 2
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AVL trees
Maintaining Balance: Case 2
Again, the height of the root did not change
– The heights of all three nodes changed in this process
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AVL trees
Summary: Case 2 and 3
Double Rotation
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AVL trees
Maintaining Balance: Case 2
In our three sample cases
with h = –1, 0, and 1, the
node is now balanced
and the same height
as the tree before the
insertion
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AVL trees
Insertion
Consider this AVL tree
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AVL trees
Insertion
Insert 73
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AVL trees
Insertion
The node 81 is unbalanced
– A left-left imbalance
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AVL trees
Insertion
The node 81 is unbalanced
– A left-left imbalance
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AVL trees
Insertion
The node 81 is unbalanced
– A left-left imbalance
– Promote the intermediate node to the imbalanced node
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AVL trees
Insertion
The node 81 is unbalanced
– A left-left imbalance
– Promote the intermediate node to the imbalanced node
– 75 is that node
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AVL trees
Insertion
The node 81 is unbalanced
– A left-left imbalance
– Promote the intermediate node to the imbalanced node
– 75 is that node
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AVL trees
Insertion
The tree is AVL balanced
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AVL trees
Insertion
Insert 77
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AVL trees
Insertion
The node 87 is unbalanced
– A left-right imbalance
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AVL trees
Insertion
The node 87 is unbalanced
– A left-right imbalance
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AVL trees
Insertion
The node 87 is unbalanced
– A left-right imbalance
– Promote the intermediate node to the imbalanced node
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AVL trees
Insertion
The node 87 is unbalanced
– A left-right imbalance
– Promote the intermediate node to the imbalanced node
– 81 is that value
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AVL trees
Insertion
The node 87 is unbalanced
– A left-right imbalance
– Promote the intermediate node to the imbalanced node
– 81 is that value
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AVL trees
Insertion
The tree is balanced
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AVL trees
Insertion
Insert 76
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AVL trees
Insertion
The node 78 is unbalanced
– A left-left imbalance
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AVL trees
Insertion
The node 78 is unbalanced
– Promote 77
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AVL trees
Insertion
The tree is now balanced again.
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AVL trees
Insertion
Insert 80
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AVL trees
Insertion
The node 69 is unbalanced
– A right-left imbalance
– Promote the intermediate node to the imbalanced node
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AVL trees
Insertion
The node 69 is unbalanced
– A left-right imbalance
– Promote the intermediate node to the imbalanced node
– 75 is that value
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AVL trees
Insertion
The tree is now balanced again.
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AVL trees
Insertion
Insert 74
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AVL trees
Insertion
The node 72 is unbalanced
– A right-right imbalance
– Promote the intermediate node to the imbalanced node
– 75 is that value
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AVL trees
Insertion
The node 72 is unbalanced
– A right-right imbalance
– Promote the intermediate node to the imbalanced node
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AVL trees
Insertion
The tree is now balanced again.
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AVL trees
Insertion
Insert 64
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AVL trees
Insertion
This causes no imbalances
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AVL trees
Insertion
Insert 55
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AVL trees
Insertion
The node 69 is imbalanced
– A left-left imbalance
– Promote the intermediate node to the imbalanced node
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AVL trees
Insertion
The node 69 is imbalanced
– A left-left imbalance
– Promote the intermediate node to the imbalanced node
– 63 is that value
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AVL trees
Insertion
The tree is now balanced
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AVL trees
Insertion
Insert 70
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AVL trees
Insertion
The root node is now imbalanced
– A right-left imbalance
– Promote the intermediate node to the root
– 75 is that value
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AVL trees
Insertion
The root node is imbalanced
– A right-left imbalance
– Promote the intermediate node to the root
– 63 is that node
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AVL trees
Insertion
The result is AVL balanced
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AVL trees
Erase
• Removing a node from an AVL tree may cause more than one AVL
imbalance
– Like insert, erase must check after it has been successfully called on a child
to see if it caused an imbalance
– Unfortunately, it may cause many imbalances that must be corrected
• Insertions will only cause one imbalance that must be fixed
• Three different cases:
– A leaf node
• Just delete node and balance tree if needed
– A node with 1 child
• Delete node and link its parent node to its child node and then balance tree if
needed
– A node with 2 children:
• Replace this node by the largest node in left subtree. Delete this largest node and
balance tree if needed OR
• Replace this node by the smallest node in right subtree. Delete this smallest node
and balance tree if needed
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AVL trees
Erase
Consider the following AVL tree
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AVL trees
Erase
Suppose we erase the front node: 1
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AVL trees
Erase
While its previous parent, 2, is not unbalanced, its grandparent 3 is
– The imbalance is in the right-right subtree
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AVL trees
Erase
We can correct this with a simple balance
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AVL trees
Erase
The node of that subtree, 5, is now balanced
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AVL trees
Erase
Recursing to the root, however, 8 is also unbalanced
– This is a right-left imbalance
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AVL trees
Erase
Promoting 11 to the root corrects the imbalance
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AVL trees
Erase
At this point, the node 11 is balanced
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AVL trees
Erase
Still, the root node is unbalanced
– This is a right-right imbalance
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AVL trees
Erase
Again, a simple balance fixes the imbalance
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AVL trees
Erase
The resulting tree is now AVL balanced
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AVL trees
Implementation of AVL Tree
Because height of a AVL node is usually calculated, time complexity of height
calculation should be O(1).
We add 1 field in struct AVL node: height of node
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AVL trees
Summary
• AVL Tree is useful
• If you have free time, please read Red-Black Tree, Splay Tree, and B-Tree
• Next week: Hashing and Priority Queues
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