DATA STRUCTURES AND

ALGORITHMS
MODULE 4
AVL TREES
HEIGHT BALANCED TREES

BST Insert
7,5,4,8,6,9
4

7
5

6
Tree 1

Tree 2

7
8

BST Insert
4,5,6,7,8,9

Depending on the input order, we

have different trees
4

7
5

6
Tree 1

6
Tree 2

7
8
9

Search 9
4

7
5

6
Tree 1

6
Tree 2

7
8
9

Search 9
4

7
5

6
Tree 1

6
Tree 2

7
8

3
comparison
s

6
comparison
s

7
5

Tree 1
No. of comparisons
1 <= N <= 3

6
Tree 2
No. of comparisons
1 <= N <= 6

7
8
9

Target : Minimize average search

time
Use height balanced binary search tree

Balance Factor
Balance factor (bf) = Height of the left subtree (hL)
Height of the right subtree (hR)
Height Balanced Binary Search Tree
A binary search tree is said to be height balanced binary
search tree if all its nodes have a balance factor of 1, 0 or -1
|bf|=| hL |-| hR | <= 1

Balance Factor

7
5

Balance Factor

2-2=0
7
1-1=0

0-0 = 04

0-1 = -1
5

6
0-0 = 0

8
9 0-0 = 0

Is it a height
balanced
tree ??

Balance Factor

2-2=0

This is a height
balanced BST

7
1-1=0

0-0 = 04

0-1 = -1
5

6
0-0 = 0

8
9 0-0 = 0

Find Balance Factor

4
5
6
7
8
9

Find Balance Factor

0-5 =
4 -5
0-4 =
5 -4
6 0-3 =
-3

Is it a height
balanced
tree ??

7 0-2 =
-2
0-1 =
8 -1
9 0-0 = 0

Find Balance Factor

0-5 =
4 -5
0-4 =
5 -4
6 0-3 =
-3

This is NOT a height

balanced BST

7 0-2 =
-2
0-1 =
8 -1
9 0-0 = 0

Balancing a BST
Suppose the BST is balanced, and we need to insert a new node into the tree,
without making it unbalanced.

Steps:
1. Insert node into a BST
2. Compute the balance factors
3. Decide the pivot node
4. Balance the unbalanced tree

Balancing a BST
Steps:
1. Insert node into a BST

Insert the node to its proper position following the

properties of BST
2. Compute the balance factors

Compute the balance factors of each node in the path from

the root node to the newly inserted node
3. Decide the pivot node

Select the node closer to the newly inserted node, which

has |balance_factor| >1
4. Balance the unbalanced tree

Apply AVL rotations

AVL rotations
4 possible cases
1.
2.
3.
4.

Unbalance occurs due to the insertion

the leftchild of the pivot node
Unbalance occurs due to the insertion
of the rightchild of the pivot node
Unbalance occurs due to the insertion
of the leftchild of the pivot node
Unbalance occurs due to the insertion
the rightchild of the pivot node

in the left subtree of

in the right subtree
in the right subtree
in the left subtree of

AVL rotations
1.
2.
3.
4.

Unbalance occurs due to the

the pivot node
Unbalance occurs due to the
rightchild of the pivot node
Unbalance occurs due to the
of the pivot node
Unbalance occurs due to the
of the pivot node

insertion in the left subtree of the leftchild of

insertion in the right subtree of the
insertion in the right subtree of the leftchild
insertion in the left subtree of the rightchild

AVL rotations
Case 1:
Unbalance occurs due to the insertion in the left subtree of the leftchild of the
pivot node (LEFT-TO-LEFT insertion)

P
A
Pr
Al

Ar

AVL rotations
Case 1:
Unbalance occurs due to the insertion in the left subtree of the leftchild of the
pivot node (LEFT-TO-LEFT insertion)

A
Pr
Al

Ar

Al
Ar

Pr

Algorithm
LeftToLeft Rotation
Input: Pointer Pptr to the pivot node
Output: AVL rotation corresponding to the unbalance due to insertion
in the left subtree of the left child of Pptr

1.
2.
3.
4.
5.
6.

Aptr=pptr->lchild
Pptr->lchild=Aptr->Rchild
Aptr->Rchild=Pptr
Pptr->Height=ComputeHeight(Pptr)
Aptr->Height=ComputeHeight(Aptr)
Stop

1
6

AVL rotations
Case 1: Example

Unbalance occurs due to the

insertion in the left subtree
of the leftchild of the pivot
node (LEFT-TO-LEFT
insertion)

0
2
0
1

1
8

0
0
3

0 9

2
6

AVL rotations
1.

Unbalance occurs due to

the insertion in the left
subtree of the leftchild of
the pivot node

1
2

Insert 0

1
1

1
8

0
3

0 9

2
6

AVL rotations
1.

pivot
2

Unbalance occurs due to

the insertion in the left
subtree of the leftchild of
the pivot node

1
2

To balance this tree:

Choose pivot node : select node
4

1
1

Rotate Right

1
8

0
3

0 9

2
6

AVL rotations
1.

pivot

Unbalance occurs due to

the insertion in the left
subtree of the leftchild of
the pivot node

1
2

To balance this tree:

Choose pivot node : select node
4

1
1

Rotate Right

1
8

0 9

4
0
3

2
6

AVL rotations
1.

pivot

Unbalance occurs due to

the insertion in the left
subtree of the leftchild of
the pivot node

1
2

To balance this tree:

Choose pivot node : select node
4

1
1

Rotate Right

1
8

0 9

4
0
3

2
6

AVL rotations
1.

pivot

Unbalance occurs due to

the insertion in the left
subtree of the leftchild of
the pivot node

1
2

To balance this tree:

Choose pivot node : select node
4

1
1

Rotate Right

1
8

0 9

4
0
3

AVL rotations
2
6
pivot
2

1
2
1
1

1
6
1
8

0
3

1
1

0 9

0
0

1
8

0
3

pivot
4

0 9

0
5

1.

Right subtree of left child of

pivot node becomes the left
subtree of P
P becomes the rightchild of A
Left subtree of A remains the
same

AVL rotations
2
6
pivot
2

1
A
2
1
1

2.
3.

1
8

0
3

1
6
1
8

0
A 2
1
1

0 9

0
0

0
3

pivot
0 9
4
0
5

AVL rotations
Case 2:
Unbalance occurs due to the insertion in the right subtree of the rightchild of
the pivot node (RIGHT-TO-RIGHT insertion)

P
A
Pl
Al

Ar

AVL rotations
Case 2:
Unbalance occurs due to the insertion in the right subtree of the rightchild of
the pivot node (RIGHT-TO-RIGHT insertion)

B
B

Pl

Br
Bl

Br

Pl

Bl

Algorithm
RightToRightRotation
Input: Pointer Pptr to the pivot node
Output: AVL rotation corresponding to the
unbalance due to insertion in the right subtree of
the right child of Pptr
1.
2.
3.
4.
5.
6.

Bptr=pptr->rchild
Pptr->rchild=Bptr->lchild
Bptr->lchild=Pptr
Pptr->Height=ComputeHeight(Pptr)
Bptr->Height=ComputeHeight(Bptr)
Stop

AVL rotations
Case 2: Example
Unbalance occurs due to the insertion in the right subtree of the rightchild of
the pivot node (RIGHT-TO-RIGHT insertion)

1
5

0
2

1
7

4
0

0 9

6
0

0
1
0

AVL rotations
Case 2: Example
Unbalance occurs due to the insertion in the right subtree of the rightchild of
the pivot node (RIGHT-TO-RIGHT insertion)

2
5

Insert 11

0
2

2
7

4
0

0 9

6
0

1
1
0
0
1
1

AVL rotations
Case 2: Example
Unbalance occurs due to the insertion in the right subtree of the rightchild of
the pivot node (RIGHT-TO-RIGHT insertion)

2
5

Insert 11
Chose pivot node

0
2

2
7 pivot

4
0

0 9

6
0

1
1
0
0
1
1

AVL rotations
Case 2: Example
Unbalance occurs due to the insertion in the right subtree of the rightchild of
the pivot node (RIGHT-TO-RIGHT insertion)

2
5

Insert 11
Chose pivot node
Rotate left

0
2

2
7 pivot

0 9
0

1
1
0
0
1
1

AVL rotations
Case 2: Example
Unbalance occurs due to the insertion in the right subtree of the rightchild of
the pivot node (RIGHT-TO-RIGHT insertion)

2
5

Insert 11
Chose pivot node
Rotate left

0
2

2
pivot

4
0
7

0 9
0

1
1
0
0
1
1

AVL rotations
Case 2: Example
Unbalance occurs due to the insertion in the right subtree of the rightchild of
the pivot node (RIGHT-TO-RIGHT insertion)

2
5

Insert 11
Chose pivot node
Rotate left

2
pivot

4
9

0
2

0
7

0
6

1
1
0
0
1
1

AVL rotations
Case 2: Example
Unbalance occurs due to the insertion in the right subtree of the rightchild of
the pivot node (RIGHT-TO-RIGHT insertion)

2
5

Insert 11
Chose pivot node
Rotate left

2
pivot

4
9

0
2

0
7

0
6

1
1
0
0
1
1

AVL rotations
Case 2: Example
Unbalance occurs due to the insertion in the right subtree of the rightchild of
the pivot node (RIGHT-TO-RIGHT insertion)

1
5

2
5
1

0
2

2
7 pivot

0
2

0 9
0

0
4
pivot
0
7

9
1 1
0
0

1
1
0

6
0
1
1

1 1
1
0

1.

left subtree of right child of pivot

node becomes the right subtree
of P
P becomes the left child of B
Right subtree of B remains the
same

AVL rotations
2.
3.

1
5

2
5
1

0
2

2
7 pivot

0
2

0 9 B
0

0
4
pivot
0
7

9B
1 1
0
0

1
1
0

6
0
1
1

1 1
1
0

AVL rotations
Case 3:
Unbalance occurs due to the insertion in the right subtree of the leftchild of
the pivot node (LEFT-TO-RIGHT insertion)

A
Pr
B
Al
Bl

Br

AVL rotations
Case 3:
Unbalance occurs due to the insertion in the right subtree of the leftchild of
the pivot node (LEFT-TO-RIGHT insertion)

Pr
B
Al

Al
Bl

Br

Bl

Br

Pr

AVL rotations
Case 3:
Unbalance occurs due to the insertion in the right subtree of the leftchild of
the pivot node (LEFT-TO-RIGHT insertion)
It involves 2 rotations
Rotation 1

Pr

Pr

Al

Br
Bl

Br

Al

Bl

AVL rotations
Case 3:
Unbalance occurs due to the insertion in the right subtree of the leftchild of
the pivot node (LEFT-TO-RIGHT insertion)
It involves 2 rotations
Rotation 2

Pr
A
Br
Al

Bl

Al

Bl

Br

Pr

Algorithm
LeftToRightRotation
Input: Pointer Pptr to the pivot node
Output: AVL rotation corresponding to the unbalance due to insertion
in the right subtree of the left child of Pptr

1.
2.
3.
4.

Aptr=Pptr->Lchild
RightToRight Rotation(Aptr)
LeftToLeftRotation(Pptr)
Stop

AVL rotations
Case 3:
Unbalance occurs due to the insertion in the right subtree of the leftchild of
the pivot node (LEFT-TO-RIGHT insertion)

1
8
0

1
2
0
1

1
1
0

0
4

9
0
6

10
1

AVL rotations
Case 3:
Unbalance occurs due to the insertion in the right subtree of the leftchild of
the pivot node (LEFT-TO-RIGHT insertion)

2
8
1

1
2
0
1

1
1
0

0
4

1
6
7

10
1

AVL rotations
Case 3:
Unbalance occurs due to the insertion in the right subtree of the leftchild of
the pivot node (LEFT-TO-RIGHT insertion)

8 pivot
A
1
3
1
2
0
1

1
0

B
1

0
4

Pr
10
1

B
Al
Bl

1
6
7

Br

AVL rotations
Case 3:
Unbalance occurs due to the insertion in the right subtree of the leftchild of
the pivot node (LEFT-TO-RIGHT insertion)

8 pivot
A
1
3
1
2
0
1

1
0

B
1

0
4

Pr
10
1

B
Al
Bl

1
6
7

Br

AVL rotations
Case 3:
Unbalance occurs due to the insertion in the right subtree of the leftchild of
the pivot node (LEFT-TO-RIGHT insertion)

8 pivot
A
1
3
1
2
0
1

1
0

B
1

0
4

Pr
10
1

B
Al
Bl

1
6
7

Br

AVL rotations
Case 3:
Unbalance occurs due to the insertion in the right subtree of the leftchild of
the pivot node (LEFT-TO-RIGHT insertion)

8 pivot
1

1
0

A
1
1

0
1

B
1

0
4

Pr
10
1

B
Al
Bl

1
6
7

Br

AVL rotations
Case 3:
Unbalance occurs due to the insertion in the right subtree of the leftchild of
the pivot node (LEFT-TO-RIGHT insertion)

8 pivot
1
1
0

5 B
A
1
1

0
1

0
4

Pr
10
1

B
Al
Bl

1
6
7

Br

AVL rotations
Case 3:
Unbalance occurs due to the insertion in the right subtree of the leftchild of
the pivot node (LEFT-TO-RIGHT insertion)

8 pivot
1
1
0

5 B
A
1
1

0
1

0
4

Pr
10
1

B
Al
Bl

1
6
7

Br

AVL rotations
Case 3:
Unbalance occurs due to the insertion in the right subtree of the leftchild of
the pivot node (LEFT-TO-RIGHT insertion)

8 pivot
1
1
0

5 B
A
1
1

0
1

0
4

Pr
10
1

B
Al
Bl

1
6
7

Br

AVL rotations
Case 3:
Unbalance occurs due to the insertion in the right subtree of the leftchild of
the pivot node (LEFT-TO-RIGHT insertion)

8 pivot
1

1
5

1A
1
2
0
1

1
0

1 6

3
0
4

9
0
7

Pr
10
1

B
Al
Bl

Br

AVL rotations
Case 3:
Unbalance occurs due to the insertion in the right subtree of the leftchild of
the pivot node (LEFT-TO-RIGHT insertion)

8 pivot
1

1
5

1A
1
2
0
1

1
0

1 6

3
0
4

9
0
7

Pr
10
1

B
Al
Bl

Br

AVL rotations
Case 3:
Unbalance occurs due to the insertion in the right subtree of the leftchild of
the pivot node (LEFT-TO-RIGHT insertion)

1A

2
0
1

0
4

A
Pr
B

1
0

1 6

3
1

2 1
8 pivot

0
7

Al
10
1

Bl

Br

AVL rotations
Case 3:
Unbalance occurs due to the insertion in the right subtree of the leftchild of
the pivot node (LEFT-TO-RIGHT insertion)

1
5
B
2

8 pivot
1A

1 6

3
1
2
0
1

1
0

0
4

0
7

Pr
B

Al
10
1

Bl

Br

AVL rotations
Case 3:
Unbalance occurs due to the insertion in the right subtree of the leftchild of
the pivot node (LEFT-TO-RIGHT insertion)

1
5
B
2

8 pivot
1A

1 6

3
1
2
0
1

1
0

0
4

0
7

Pr
B

Al
10
1

Bl

Br

AVL rotations
Case 3:
Unbalance occurs due to the insertion in the right subtree of the leftchild of
the pivot node (LEFT-TO-RIGHT insertion)

1
5
B
2

8 pivot
1A

1 6

3
1
2
0
1

1
0

0
4

0
7

Pr
B

Al
10
1

Bl

Br

AVL rotations
Case 3:
Unbalance occurs due to the insertion in the right subtree of the leftchild of
the pivot node (LEFT-TO-RIGHT insertion)

0 B
5
0

A
1 3
1
2
0
1

pivot

0
4 1 6

1
0

0
7

Al
10
1

Bl

Br

Pr

AVL rotations
Case 4:
Unbalance occurs due to the insertion in the left subtree of the rightchild of
the pivot node (RIGHT-TO-LEFT insertion)

A
Pl
B
Ar
Bl

Br

AVL rotations
Case 4:
Unbalance occurs due to the insertion in the left subtree of the rightchild of
the pivot node (RIGHT-TO-LEFT insertion)

A
Pl
B
Ar
Bl

Br

AVL rotations
Case 4:
Unbalance occurs due to the insertion in the left subtree of the rightchild of
the pivot node (RIGHT-TO-LEFT insertion)

Pl

Pl
B
Ar
Bl

A
Bl

Br
Br

Ar

AVL rotations
Case 4:
Unbalance occurs due to the insertion in the left subtree of the rightchild of
the pivot node (RIGHT-TO-LEFT insertion)

B
B

Pl

A
Bl
Pl
Br

Ar

Bl

Br

Ar

Algorithm
RightToLeftRotation
Input: Pointer Pptr to the pivot node
Output: AVL rotation corresponding to the unbalance due to insertion
in the left subtree of the right child of Pptr

1.
2.
3.
4.

Aptr=pptr->Rchild
LeftToLeftRotation(Aptr)
RightToRightRotation(Pptr)
Stop

QUESTION:
Insert the following elements into a height balanced tree
6, 7, 9, 4, 3, 5, 8

6, 7, 9, 4, 3, 5, 8
6 0

6, 7, 9, 4, 3, 5, 8
6

6, 7, 9, 4, 3, 5, 8
6

0
9

6, 7, 9, 4, 3, 5, 8
pivot 6

0
9

6, 7, 9, 4, 3, 5, 8

0
7
pivot
6

0
9

6, 7, 9, 4, 3, 5, 8 1
7

0
9

6, 7, 9, 4, 3, 5, 8 2
7

0
9

6, 7, 9, 4, 3, 5, 8 2
7

pivot

0
9

6, 7, 9, 4, 3, 5, 8 1
7

0
9

pivot
3

6, 7, 9, 4, 3, 5, 8 1
7

0
4

6, 7, 9, 4, 3, 5,pivot
82
7

0
1

6, 7, 9, 4, 3, 5,pivot
82
7

0
1

6, 7, 9, 4, 3, 5,pivot
82
7

0
1

0
3

0
5

6, 7, 9, 4, 3, 5,pivot
82
7

0
1

0
3

0
5

6, 7, 9, 4, 3, 5,pivot
82
7

0
6

0
3

0
5

6, 7, 9, 4, 3, 5, 8
6

pivot
7 1

0
3

0
5

6, 7, 9, 4, 3, 5, 86

pivot
7 2

0
3

6, 7, 9, 4, 3, 5, 86

pivot
7 2

0
3

0
5

1
8

6, 7, 9, 4, 3, 5, 86

0
3

pivot

6, 7, 9, 4, 3, 5, 86

0
3

0
5

???
Search for a node in a BST which contains 1,00,000 nodes
Search the path from root to the node that contains the

specified element.
What if the nodes are located in different blocks in the
memory?
Most of the search time is spent on memory access

Use Search Trees With Degree More

Than 2

MULTIWAY SEARCH TREES

Target : Reduce height So that memory access time is reduced
M-way search trees
Each node has atmost m subtrees
Keys are arranged in a defined order within the node. All
keys in the subtree to the left of a key are predecessors of
the key and that on the right are successors of the key
So binary search tree is a 2-way search tree

Definition:
An m-way search tree is a tree in which
All the nodes are of degree<=m
Each node in the tree contains the following attributes:

P0

K1

P1

K2

P2

Kn

Pn

where
1<=n<m
Ki(1<=i<=n) are key values in the node
Pi(0<=i<=n) are pointers to the sub-trees of T.
Ki<Ki+1,
1<=i<n
All the key values in the sub-tree pointed by Pi are less than the
key values Ki+1, 0<=i<n
All the key values in the sub-tree pointed by Pn is greater than
Kn
All the sub-trees pointed by Pi(o<=i<=n) are also m-way search
trees.

Eg: 3-way search tree

5, 8

1, 4

6, 7

9, 20

10,
11

21,
22

B TREE

B-Tree of order M
A B-tree of order m is an m-way search tree that is either empty or

satisfies the following properties

1. The root has atleast 2 children
2. All nodes other than the root node have atleast ceil(m/2)
children
3. All leaf nodes are at the same level

B-Tree of order M
A B-tree of order m is an m-way search tree that is either empty or

satisfies the following properties

1. The root has atleast 2 children
2. All nodes other than the root node have atleast ceil(m/2)
children
3. All leaf nodes are at the same level
20

1
0

1
5

1
2

2
9

1
4

1
9

2
1

2
3

2
7

30

B-Tree of order 3
When a new key is to inserted into a full node, the tree is split into two nodes,
and the key with the median value is inserted in the parent node. In case
the parent node is the root, a new root is created.

20

1
0

1
5

1
2

2
9

1
4

1
9

2
1

2
3

2
7

30

Btree of order
4

Insert 1,5,6,2,8,11,13,18,20,7,9
1

Btree of order
4

Insert 1,5,6,2,8,11,13,18,20,7,9
1 5

Btree of order
4

Insert 1,5,6,2,8,11,13,18,20,7,9
1 5 6

To insert 2
Split the node
at the median
value

Btree of order
4

Insert 1,5,6,2,8,11,13,18,20,7,9
5

Btree of order
4

Insert 1,5,6,2,8,11,13,18,20,7,9
5

1 2

Btree of order
4

Insert 1,5,6,2,8,11,13,18,20,7,9
5

1 2

6 8

Btree of order
4

Insert 1,5,6,2,8,11,13,18,20,7,9
5

1 2

6 8 1
1

Btree of order
4

Insert 1,5,6,2,8,11,13,18,20,7,9
5

1 2

6 8 1
1

To insert 13
Split the node
at the median
value and move
it to the parent

Btree of order
4

Insert 1,5,6,2,8,11,13,18,20,7,9
5 8

1 2

1
1

To insert 13
Split the node
at the median
value and move
it to the parent

Btree of order
4

Insert 1,5,6,2,8,11,13,18,20,7,9
5 8

1 2

1
1

1
3

Btree of order
4

Insert 1,5,6,2,8,11,13,18,20,7,9
5 8

1 2

1
1

1
3

Btree of order
4

Insert 1,5,6,2,8,11,13,18,20,7,9
5 8

1 2

1
1

1
3

1
8

Btree of order
4

Insert 1,5,6,2,8,11,13,18,20,7,9
5 8

1 2

1
1

1
3

1
8

To insert 20
Split the node
at the median
value and move
it to the parent

Btree of order
4

Insert 1,5,6,2,8,11,13,18,20,7,9
5 8 1
3
1 2

1
1

1
8

To insert 20
Split the node
at the median
value and move
it to the parent

Btree of order
4

Insert 1,5,6,2,8,11,13,18,20,7,9
5 8 1
3
1 2

1
1

1
8

2
0

Btree of order
4

Insert 1,5,6,2,8,11,13,18,20,7,9
5 8 1
3
1 2

6 7

1
1

1
8

2
0

Btree of order
4

Insert 1,5,6,2,8,11,13,18,20,7,9
5 8 1
3
1 2

6 7

1
1

1
8

2
0

B+ TREE

B+ Tree

B+ tree have 2 types of nodes

index nodes interior nodes
Data nodes leaf nodes

All the leaves have been connected to form a doubly linked list.

20

1
0

1
0

1
5

1
2

1
4

2
9

1
5

2
0

2
2

2
1

2
3

2
7

2
9

30

B+ Tree

A B+ tree of order m is a tree that is either empty or satisfies the

following properties:
1. All data nodes are at the same level and are leaves. Data
nodes contain elements only
2. The index nodes define a B-Tree of order m, each index node
has keys but not elements

20

1
0

1
0

1
2

1
5

1
4

2
9

1
5

2
0

2
2

2
1

2
3

2
7

2
9

30