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CSE 326: Data Structures Binary Search Trees 5/30/2008 1 Today’s Outline Dictionary ADT / Search ADT Quick Tree Review Binary Search Trees 5/30/2008 2 ADTs Seen So Far • Stack – Push – Pop • Queue – Enqueue – Dequeue Priority Queue – Insert – DeleteMin 5/30/2008 3 Then there is decreaseKey… Need pointer! Why? Because find not efficient. The Dictionary ADT • Data: – a set of (key, value) pairs • Operations: – Insert (key, value) – Find (key) – Remove (key) 5/30/2008 4 The Dictionary ADT is also called the “Map ADTjfogarty James Fogarty CSE 666 phenry Peter Henry CSE 002 boqin Bo Qin CSE 002 insert(jfogarty, ….) find(boqin) boqin Bo, Qin, … A Modest Few Uses • Sets • Dictionaries Networks : Router tables Operating systems : Page tables Compilers : Symbol tables 5/30/2008 5 Probably the most widely used ADT! Implementations Unsorted Linked-list Unsorted array Sorted array 5/30/2008 6 insert delete find What limits the performance? Θ(1) Θ(n) Θ(n) Θ(1) Θ(n) Θ(n) log n + n Θ(log n) log n + n Time to move elements, can we mimic BinSearch with BST? SO CLOSE!
Transcript
Page 1: CSE 326: Data Structures Binary Search Treesanderson/iucee/Slides_326_07/Trees.pdf · CSE 326: Data Structures Binary Search Trees 5/30/2008 1 Today’s Outline • Dictionary ADT

CSE 326: Data StructuresBinary Search Trees

5/30/2008 1

Today’s Outline

• Dictionary ADT / Search ADT• Quick Tree Review• Binary Search Trees

5/30/2008 2

ADTs Seen So Far• Stack

– Push– Pop

• Queue– Enqueue– Dequeue

• Priority Queue– Insert– DeleteMin

5/30/2008 3

Then there is decreaseKey…

Need pointer! Why?Because find not efficient.

The Dictionary ADT

• Data:– a set of

(key, value) pairs

• Operations:– Insert (key,

value)– Find (key)– Remove (key)

5/30/2008 4

The Dictionary ADT is alsocalled the “Map ADT”

• jfogartyJamesFogartyCSE 666

• phenryPeterHenryCSE 002

• boqinBoQinCSE 002

insert(jfogarty, ….)

find(boqin)• boqin

Bo, Qin, …

A Modest Few Uses

• Sets• Dictionaries• Networks : Router tables• Operating systems : Page tables• Compilers : Symbol tables

5/30/2008 5

Probably the most widely used ADT!

Implementations

• Unsorted Linked-list

• Unsorted array

• Sorted array

5/30/2008 6

insert deletefind

What limits the performance?

Θ(1) Θ(n) Θ(n)

Θ(1) Θ(n) Θ(n)

log n + n Θ(log n) log n + n

Time to move elements, can we mimic BinSearch with BST?

SO CLOSE!

Page 2: CSE 326: Data Structures Binary Search Treesanderson/iucee/Slides_326_07/Trees.pdf · CSE 326: Data Structures Binary Search Trees 5/30/2008 1 Today’s Outline • Dictionary ADT

Tree CalculationsRecall: height is max

number of edges from root to a leaf

Find the height of the tree...

5/30/2008 7

t

runtime:Θ(N) (constant time for each node;

each node visited twice)

height(t) = 1 + max {height(t.left), height(t.right)}

Tree Calculations Example

5/30/2008 8

A

E

B

D F

C

G

IH

KJ L

M

L

N

How high is this tree?

height(B) = 1height(C) = 4

so height(A) = 5

More Recursive Tree Calculations:Tree Traversals

A traversal is an order for visiting all the nodes of a tree

Three types:• Pre-order: Root, left subtree, right subtree

• In-order: Left subtree, root, right subtree

• Post-order: Left subtree, right subtree, root

5/30/2008 9

+

*

2 4

5

(an expression tree)

Inorder Traversal

void traverse(BNode t){if (t != NULL)traverse (t.left);process t.element;traverse (t.right);

}}

5/30/2008 10

Binary Trees• Binary tree is

– a root– left subtree (maybe

empty) – right subtree (maybe

empty)

• Representation:

5/30/2008 11

A

B

D E

C

F

HG

JI

Dataright

pointerleft

pointer

Binary Tree: Representation

5/30/2008 12

Aright

pointerleft

pointer A

B

D E

C

F

Bright

pointerleft

pointer

Cright

pointerleft

pointer

Dright

pointerleft

pointer

Eright

pointerleft

pointer

Fright

pointerleft

pointer

Page 3: CSE 326: Data Structures Binary Search Treesanderson/iucee/Slides_326_07/Trees.pdf · CSE 326: Data Structures Binary Search Trees 5/30/2008 1 Today’s Outline • Dictionary ADT

Binary Tree: Special Cases

5/30/2008 13

A

B

D E

C

GF

IH

A

B

D E

C

F

A

B

D E

C

GF

Full Tree

Complete Tree Perfect Tree

Binary Tree: Some Numbers!For binary tree of height h:

– max # of leaves:

– max # of nodes:

– min # of leaves:

– min # of nodes:

Average Depth for N nodes?

5/30/2008 14

2h, for perfect tree

2h+1 – 1, for perfect tree

1, for “list” tree

h+1, for “list” tree

Binary Search Tree Data Structure• Structural property

– each node has ≤ 2 children– result:

• storage is small• operations are simple• average depth is small

• Order property– all keys in left subtree smaller

than root’s key– all keys in right subtree larger

than root’s key– result: easy to find any given key

• What must I know about what I store?

5/30/2008 15

4

121062

115

8

14

13

7 9

Comparison, equality testing

Example and Counter-Example

5/30/2008 16

3

1171

84

5

4

181062

115

8

20

21BINARY SEARCH TREES?

7

15All children must obey order

Find in BST, RecursiveNode Find(Object key,

Node root) {if (root == NULL)return NULL;

if (key < root.key)return Find(key,

root.left);else if (key > root.key)return Find(key,

root.right);elsereturn root;

}

5/30/2008 17

2092

155

10

307 17

Runtime:

Find in BST, IterativeNode Find(Object key,

Node root) {

while (root != NULL &&root.key != key) {

if (key < root.key)root = root.left;

else root = root.right;

}

return root;}

5/30/2008 18

2092

155

10

307 17

Runtime:

Page 4: CSE 326: Data Structures Binary Search Treesanderson/iucee/Slides_326_07/Trees.pdf · CSE 326: Data Structures Binary Search Trees 5/30/2008 1 Today’s Outline • Dictionary ADT

Insert in BST

5/30/2008 19

2092

155

10

307 17

Runtime:

Insert(13)Insert(8)Insert(31)

Insertions happen only at the leaves – easy!

BuildTree for BST• Suppose keys 1, 2, 3, 4, 5, 6, 7, 8, 9 are

inserted into an initially empty BST. Runtime depends on the order!

– in given order

– in reverse order

– median first, then left median, right median, etc.

5/30/2008 20

Θ(n2)

Θ(n2)

5, 3, 7, 2, 1, 6, 8, 9 better: n log n

Bonus: FindMin/FindMax

• Find minimum

• Find maximum

5/30/2008 21

2092

155

10

307 17

Deletion in BST

5/30/2008 22

2092

155

10

307 17

Why might deletion be harder than insertion?

Lazy DeletionInstead of physically deleting nodes, just mark them as deleted

+ simpler+ physical deletions done in

batches+ some adds just flip deleted

flag

– extra memory for “deleted” flag– many lazy deletions = slow

finds– some operations may have to

be modified (e.g., min and max)

5/30/2008 23

2092

155

10

307 17

Non-lazy Deletion• Removing an item disrupts the tree

structure.• Basic idea: find the node that is to be

removed. Then “fix” the tree so that it is still a binary search tree.

• Three cases:– node has no children (leaf node)– node has one child– node has two children

5/30/2008 24

Page 5: CSE 326: Data Structures Binary Search Treesanderson/iucee/Slides_326_07/Trees.pdf · CSE 326: Data Structures Binary Search Trees 5/30/2008 1 Today’s Outline • Dictionary ADT

Non-lazy Deletion – The Leaf Case

5/30/2008 25

2092

155

10

307 17

Delete(17)

Deletion – The One Child Case

5/30/2008 26

2092

155

10

307

Delete(15)

Deletion – The Two Child Case

5/30/2008 27

3092

205

10

7

Delete(5)

What can we replace 5 with?

A value guaranteed to bebetween the two subtrees!- succ from right subtree- pred from left subtree

Deletion – The Two Child CaseIdea: Replace the deleted node with a value

guaranteed to be between the two child subtrees

Options:• succ from right subtree: findMin(t.right)• pred from left subtree : findMax(t.left)

Now delete the original node containing succ or pred• Leaf or one child case – easy!

5/30/2008 28

Finally…

5/30/2008 29

3092

207

10

7 replaces 5

Original node containing7 gets deleted

Balanced BSTObservation• BST: the shallower the better!• For a BST with n nodes

– Average height is O(log n)– Worst case height is O(n)

• Simple cases such as insert(1, 2, 3, ..., n)lead to the worst case scenario

Solution: Require a Balance Condition that1. ensures depth is O(log n) – strong enough!2. is easy to maintain – not too strong!

5/30/2008 30

Page 6: CSE 326: Data Structures Binary Search Treesanderson/iucee/Slides_326_07/Trees.pdf · CSE 326: Data Structures Binary Search Trees 5/30/2008 1 Today’s Outline • Dictionary ADT

Potential Balance Conditions1. Left and right subtrees of the root

have equal number of nodes

2. Left and right subtrees of the roothave equal height

5/30/2008 31

Too weak!Do height mismatch example

Too weak!Do example where there’sa left chain and a right chain, no other nodes

Potential Balance Conditions3. Left and right subtrees of every node

have equal number of nodes

4. Left and right subtrees of every nodehave equal height

5/30/2008 32

Too strong!Only perfect trees

Too strong!Only perfect trees

CSE 326: Data StructuresAVL Trees

33

Balanced BSTObservation• BST: the shallower the better!• For a BST with n nodes

– Average height is O(log n)– Worst case height is O(n)

• Simple cases such as insert(1, 2, 3, ..., n)lead to the worst case scenario

Solution: Require a Balance Condition that1. ensures depth is O(log n) – strong enough!2. is easy to maintain – not too strong!

34

Potential Balance Conditions1. Left and right subtrees of the root

have equal number of nodes2. Left and right subtrees of the root

have equal height3. Left and right subtrees of every node

have equal number of nodes4. Left and right subtrees of every node

have equal height

35

The AVL Balance ConditionAVL balance property:

Left and right subtrees of every nodehave heights differing by at most 1

• Ensures small depth– Will prove this by showing that an AVL tree of height

h must have a lot of (i.e. O(2h)) nodes• Easy to maintain

– Using single and double rotations36

Adelson-Velskii and Landis

Page 7: CSE 326: Data Structures Binary Search Treesanderson/iucee/Slides_326_07/Trees.pdf · CSE 326: Data Structures Binary Search Trees 5/30/2008 1 Today’s Outline • Dictionary ADT

The AVL Tree Data StructureStructural properties

1. Binary tree property (0,1, or 2 children)

2. Heights of left and right subtrees of every nodediffer by at most 1

Result:Worst case depth of any

node is: O(log n)

Ordering property– Same as for BST

37

4

121062

115

8

14137 9

15

This is an AVL tree

38

111

84

6

3

1171

84

6

2

5

AVL trees or not?

10 12

7

Proving Shallowness Bound

39

121062

115

8

14137 9

15

Let S(h) be the min # of nodes in anAVL tree of height h

Claim: S(h) = S(h-1) + S(h-2) + 1

Solution of recurrence: S(h) = O(2h)(like Fibonacci numbers)

AVL tree of height h=4with the min # of nodes (12)

Trees of height h = 1, 2, 3 ….

Testing the Balance Property

40

2092

155

10

30177

NULLs have height -1

We need to be able to:

1. Track Balance

2. Detect Imbalance

3. Restore Balance

An AVL Tree

41

20

92 15

5

10

30

177

0

0 0

011

2 2

3 103

data

height

children

Track height at all times. Why?

AVL trees: find, insert• AVL find:

– same as BST find.• AVL insert:

– same as BST insert, except may need to “fix” the AVL tree after inserting new value.

42

Page 8: CSE 326: Data Structures Binary Search Treesanderson/iucee/Slides_326_07/Trees.pdf · CSE 326: Data Structures Binary Search Trees 5/30/2008 1 Today’s Outline • Dictionary ADT

AVL tree insertLet x be the node where an imbalance occurs.

Four cases to consider. The insertion is in the1. left subtree of the left child of x.2. right subtree of the left child of x.3. left subtree of the right child of x.4. right subtree of the right child of x.

Idea: Cases 1 & 4 are solved by a single rotation.Cases 2 & 3 are solved by a double rotation.

43

Bad Case #1

Insert(6)Insert(3)Insert(1)

44

Where is AVL property violated?

Fix: Apply Single Rotation

45

3

1 600

16

3

1 0

1

2

Single Rotation: 1. Rotate between x and child

AVL Property violated at this node (x)

Single rotation in general

46

a

ZY

b

Xh hh

h ≥ -1

a

ZY

b

Xh+1 h h

X < b < Y < a < Z

Height of tree before? Height of tree after? Effect on Ancestors?

Bad Case #2

Insert(1)Insert(6)Insert(3)

47

Fix: Apply Double Rotation

48

3

1 600

1

3

6

1

0

1

2

6

3

1

0

1

2

Intuition: 3 must become root

AVL Property violated at this node (x)

Double Rotation1. Rotate between x’s child and grandchild2. Rotate between x and x’s new child

Page 9: CSE 326: Data Structures Binary Search Treesanderson/iucee/Slides_326_07/Trees.pdf · CSE 326: Data Structures Binary Search Trees 5/30/2008 1 Today’s Outline • Dictionary ADT

Double rotation in general

49

a

Z

b

W

c

X Yh-1

h

h h -1

a

Z

b

W

c

X Yh-1 hh h

h ≥ 0

W < b <X < c < Y < a < Z

Height of tree before? Height of tree after? Effect on Ancestors?

Double rotation, step 1

50

104

178

15

3 6

16

5

106

178

15

4

3

16

5

Double rotation, step 2

51

106

178

15

4

3

16

5

10

6 17

8

15

4

3

16

5

Imbalance at node X

Single Rotation 1. Rotate between x and child

Double Rotation1. Rotate between x’s child and grandchild2. Rotate between x and x’s new child

52

53

95

2

11

7

1. single rotation?

2. double rotation?

3. no rotation?

Inserting what integer values would cause the tree to need a:

Single and Double Rotations:

13

30

Insertion into AVL tree

1. Find spot for new key2. Hang new node there with this key3. Search back up the path for imbalance4. If there is an imbalance:

case #1: Perform single rotation and exit

case #2: Perform double rotation and exit

54

Both rotations keep the subtree height unchanged.Hence only one rotation is sufficient!

Zig-zig

Zig-zag

Page 10: CSE 326: Data Structures Binary Search Treesanderson/iucee/Slides_326_07/Trees.pdf · CSE 326: Data Structures Binary Search Trees 5/30/2008 1 Today’s Outline • Dictionary ADT

Easy Insert

55

2092

155

10

3017

Insert(3)

120

0

100

1 2

3

0

Unbalanced? No

Hard Insert (Bad Case #1)

56

2092

155

10

3017

Insert(33)

3

121

0

100

2 2

3

00

Imbalance

Zig-zig

How to fix? Single rotate

Unbalanced? Yes, at 15

Single Rotation

57

2092

155

10

30173

12

33

1

0

200

2 3

3

10

0

3092

205

10

333

151

0

110

2 2

3

001712

0

Hard Insert (Bad Case #2)

58

Insert(18)

2092

155

10

30173

121

0

100

2 2

3

00

Zig-zag

How to fix? Double rotate

Imbalance

Unbalanced? Yes, at 15

Single Rotation (oops!)

59

2092

155

10

30173

121

1

200

2 3

3

00

3092

205

10

3

151

1

020

2 3

3

01712

0

180

180

Double Rotation (Step #1)

60

2092

155

10

30173

121

1

200

2 3

3

00

180

1792

155

10

203

121 200

2 3

3

10

300

180

Still unbalanced.But like zig-zig tree!

Page 11: CSE 326: Data Structures Binary Search Treesanderson/iucee/Slides_326_07/Trees.pdf · CSE 326: Data Structures Binary Search Trees 5/30/2008 1 Today’s Outline • Dictionary ADT

Double Rotation (Step #2)

61

1792

155

10

203

121 200

2 3

3

10

300

180

2092

175

10

303

151

0

110

2 2

3

0012

018

Insert into an AVL tree: 5, 8, 9, 4, 2, 7, 3, 1

62

CSE 326: Data StructuresSplay Trees

AVL Trees Revisited• Balance condition:

Left and right subtrees of every nodehave heights differing by at most 1

– Strong enough : Worst case depth is O(log n)– Easy to maintain : one single or double rotation

• Guaranteed O(log n) running time for– Find ?– Insert ?– Delete ?– buildTree ?

64

Θ(n log n)

Single and Double Rotations

65

a

ZY

b

Xh hh

a

Z

b

W

c

X Yh-1

h

h h -1

AVL Trees Revisited

• What extra info did we maintain in each node?

• Where were rotations performed?

• How did we locate this node?66

Page 12: CSE 326: Data Structures Binary Search Treesanderson/iucee/Slides_326_07/Trees.pdf · CSE 326: Data Structures Binary Search Trees 5/30/2008 1 Today’s Outline • Dictionary ADT

Other Possibilities?• Could use different balance conditions, different ways

to maintain balance, different guarantees on running time, …

• Why aren’t AVL trees perfect?

• Many other balanced BST data structures– Red-Black trees– AA trees– Splay Trees– 2-3 Trees– B-Trees– …

67

Extra info, complex logic todetect imbalance, recursivebottom-up implementation

Splay Trees

• Blind adjusting version of AVL trees– Why worry about balances? Just rotate

anyway!• Amortized time per operations is O(log n)• Worst case time per operation is O(n)

– But guaranteed to happen rarely

Insert/Find always rotate node to the root!

68

SAT/GRE Analogy question:AVL is to Splay trees as ___________ is to __________

Leftish heap : Skew heap

Recall: Amortized Complexity

69

If a sequence of M operations takes O(M f(n)) time,we say the amortized runtime is O(f(n)).

Amortized complexity is worst-case guarantee oversequences of operations.

• Worst case time per operation can still be large, say O(n)

• Worst case time for any sequence of M operations is O(M f(n))

Average time per operation for any sequence is O(f(n))

Recall: Amortized Complexity• Is amortized guarantee any weaker than

worstcase?

• Is amortized guarantee any stronger than averagecase?

• Is average case guarantee good enough in practice?

• Is amortized guarantee good enough in practice?

70

Yes, it is only for sequences

Yes, guarantees no bad sequences

No, adversarial input, bad day, …

Yes, again, no bad sequences

The Splay Tree Idea

71

17

10

92

5

If you’re forced to make a really deep access:

Since you’re down there anyway,fix up a lot of deep nodes!

3

Find/Insert in Splay Trees

72

1. Find or insert a node k2. Splay k to the root using:

zig-zag, zig-zig, or plain old zig rotation

Why could this be good??

1. Helps the new root, ko Great if k is accessed again

2. And helps many others!o Great if many others on the path are accessed

Page 13: CSE 326: Data Structures Binary Search Treesanderson/iucee/Slides_326_07/Trees.pdf · CSE 326: Data Structures Binary Search Trees 5/30/2008 1 Today’s Outline • Dictionary ADT

Splaying node k to the root:Need to be careful!

One option (that we won’t use) is to repeatedly use AVL single rotation until k becomes the root: (see Section 4.5.1 for details)

73

s

A k

B C

r

D

q

E

p

F

r

D

q

E

p

F

C

s

A B

k

Splaying node k to the root:Need to be careful!

What’s bad about this process?

74

s

A k

B C

r

D

q

E

p

F

r

D

q

E

p

F

C

s

A B

k

r is pushed almost as low as k wasBad seq: find(k), find(r), find(…), …

Splay: Zig-Zag*

75

g

Xp

Y

k

Z

W

*Just like an…

k

Y

g

W

p

ZX

AVL double rotation

Helps those in blueHurts those in red

Which nodes improve depth?

k and its original children

Splay: Zig-Zig*

76

k

Z

Y

p

X

g

W

g

W

X

p

Y

k

Z

*Is this just two AVL single rotations in a row?

Not quite – we rotate g and p, then p and kWhy does this help?

Same number of nodes helped as hurt. But later rotations help the whole subtree.

Special Case for Root: Zig

77

p

X

k

Y

Z

root k

Z

p

Y

X

root

Down 1 level

Relative depth of p, Y, Z? Relative depth of everyone else?

Much betterWhy not drop zig-zig and just zig all the way?

Zig only helps one child!

Splaying Example: Find(6)

78

2

1

3

4

5

6

Find(6)

2

1

3

6

5

4

?

Zig-zig

Think of as if created by inserting 6,5,4,3,2,1 –each took constant time –a LOT of

Page 14: CSE 326: Data Structures Binary Search Treesanderson/iucee/Slides_326_07/Trees.pdf · CSE 326: Data Structures Binary Search Trees 5/30/2008 1 Today’s Outline • Dictionary ADT

Still Splaying 6

79

2

1

3

6

5

4

1

6

3

2 5

4

?

Zig-zig

Finally…

80

1

6

3

2 5

4

6

1

3

2 5

4

?

Zig

Another Splay: Find(4)

81

Find(4)

6

1

3

2 5

4

6

1

4

3 5

2

?

Zig-zag

Example Splayed Out

82

6

1

4

3 5

2

61

4

3 5

2

?

Zig-zag

But Wait…

What happened here?

Didn’t two find operations take linear timeinstead of logarithmic?

What about the amortized O(log n) guarantee?

83

That still holds, though we must takeinto account the previous steps used to createthis tree. In fact, a splay tree, by construction,

will never look like the example we started with

Why Splaying Helps• If a node n on the access path is at depth d

before the splay, it’s at about depth d/2 after the splay

• Overall, nodes which are low on the access path tend to move closer to the root

• Splaying gets amortized O(log n) performance. (Maybe not now, but soon, and for the rest of the operations.)

84

Page 15: CSE 326: Data Structures Binary Search Treesanderson/iucee/Slides_326_07/Trees.pdf · CSE 326: Data Structures Binary Search Trees 5/30/2008 1 Today’s Outline • Dictionary ADT

Practical Benefit of Splaying• No heights to maintain, no imbalance to

check for– Less storage per node, easier to code

• Data accessed once, is often soon accessed again– Splaying does implicit caching by bringing it to

the root

85

Splay Operations: Find

• Find the node in normal BST manner• Splay the node to the root

– if node not found, splay what would have been its parent

What if we didn’t splay?

86

Amortized guarantee fails!Bad sequence: find(leaf k), find(k), find(k), …

Splay Operations: Insert

• Insert the node in normal BST manner• Splay the node to the root

What if we didn’t splay?

87

Amortized guarantee fails!Bad sequence: insert(k), find(k), find(k), …

Splay Operations: Remove

88

find(k)

L R

k

L R

> k< k

delete k

Now what?

Everything else splayed, so we’d better do that for remove

JoinJoin(L, R): given two trees such that (stuff in L) < (stuff in R), merge them:

Splay on the maximum element in L, then attach R

89

L R R

L

Similar to BST delete – find max = find element with no right childDoes this work to join any two trees?No, need L < R

splay

max

Delete Example

90

91

6

4 7

2

Delete(4)

find(4)

9

6

7

1

4

2

1

2

9

6

7

Find max

2

1

9

6

7

2

1

9

6

7

Page 16: CSE 326: Data Structures Binary Search Treesanderson/iucee/Slides_326_07/Trees.pdf · CSE 326: Data Structures Binary Search Trees 5/30/2008 1 Today’s Outline • Dictionary ADT

Splay Tree Summary• All operations are in amortized O(log n) time

• Splaying can be done top-down; this may be better because:– only one pass– no recursion or parent pointers necessary– we didn’t cover top-down in class

• Splay trees are very effective search trees– Relatively simple– No extra fields required– Excellent locality properties:

frequently accessed keys are cheap to find91

What happens to node that never get accessed(tend to drop to the bottom)

Like what? Skew heaps! (don’t need to wait)

Splay E

92E

D

CF

I

GB

AH

A

B

E

I

H

C

D

G

F

Splay E

93

BI

H

C

DG

F

E

A

I

E

A

D

C

B H

F

G

CSE 326: Data StructuresB-Trees

B-Trees

Weiss Sec. 4.7

CPU

(has registers)

Cache

Main Memory

Disk

TIme to access(conservative)

2-10 ns

40-100 ns

a few milliseconds

(5-10 Million ns)

SRAM

8KB - 4MB

DRAM

up to 10GB

many GB

Cache

Main Memory

Disk

Summary: Accesses to Memory are Painful, especially slower levels

1 ns per instructionDisk

(mechanical device)

access time =

Seek time+

Transfer time

Seek time is expensive, once seek,

then transfer alot

Page 17: CSE 326: Data Structures Binary Search Treesanderson/iucee/Slides_326_07/Trees.pdf · CSE 326: Data Structures Binary Search Trees 5/30/2008 1 Today’s Outline • Dictionary ADT

Trees so far

• BST

• AVL

• Splay

Dictionary ADT: Find, Insert, Remove

Up to 2 children, height can be N-1Operations WC: O(N)10 Mil disk accesses

Up to 2 children, height can be log NOperations WC: O(log N)23 disk accesses

Up to 2 children, height can be N-1Simpler implementation than AVL Operations WC: ON)Amortized: O(log N)Draw picture of tree and memory and show

that each access can be an access to disk

Example from book: N = 10 Milliondrivers in WA state

Want to do even better, make that number smaller (3 or 4)

M = 5, 10 accesses; M=10, 7 accesses; M=100, 3-4 accesses

AVL treesSuppose we have 100 million items

(100,000,000):

• Depth of AVL Tree

• Number of Disk Accesses

log_2 100,000,000 = 26.6

Log_128 100,000,000 = 3.8

Wow!

M-ary Search Tree

• Maximum branching factor of M

• Complete tree has height =

# disk accesses for find:

Runtime of find:

Best: O(logMn) Worst: O(n)

O(logMn)

(DO LATER)- binary search at each levelBest: O(logMn . log2M = log2 n) Worst: O(n)

Might be unbalanced

Might just be binary;We said max b.f. = M

Like we did with d heaps

Solution: B-Trees• specialized M-ary search trees

• Each node has (up to) M-1 keys:– subtree between two keys x and y contains

leaves with values v such thatx ≤ v < y

• Pick branching factor Msuch that each node takes one full {page, block}of memory

3 7 12 21

x<3 3≤x<7 7≤x<12 12≤x<21 21≤x

M = 7

Keep things more balanced

B-TreesWhat makes them disk-friendly?

1. Many keys stored in a node• All brought to memory/cache in one access!

2. Internal nodes contain only keys;Only leaf nodes contain keys and actual data• The tree structure can be loaded into memory

irrespective of data object size• Data actually resides in disk

B-Tree: ExampleB-Tree with M = 4 (# pointers in internal node)and L = 4 (# data items in leaf)

1AB

2xG 3 5 6 9

10 11 12

15 17

20 25 26

30 32 33 36

40 42

50 60 70

10 40

3 15 20 30 50

Note: All leaves at the same depth!Data objects, that I’ll ignore in slides

N = 24, depth = 2

What depth with an AVL tree? 2h to 2h+1-1

depth = 4 to 5

Page 18: CSE 326: Data Structures Binary Search Treesanderson/iucee/Slides_326_07/Trees.pdf · CSE 326: Data Structures Binary Search Trees 5/30/2008 1 Today’s Outline • Dictionary ADT

B-Tree Properties ‡

– Data is stored at the leaves– All leaves are at the same depth and contains between

⎡L/2⎤ and L data items– Internal nodes store up to M-1 keys– Internal nodes have between ⎡M/2⎤ and M children– Root (special case) has between 2 and M children (or

root could be a leaf)

‡These are technically B+-Trees

Leaves are at least ½ full, kind of like complete tree

Tree about log n deep.Actually, logM/2n

Example, AgainB-Tree with M = 4and L = 4

1 2

3 5 6 9

10 11 12

15 17

20 25 26

30 32 33 36

40 42

50 60 70

10 40

3 15 20 30 50

24 entries, but only 2 deep– BST would be 4.

Mostly full.Some inactive entries.

(Only showing keys, but leaves also have data!)

Find(33, 2, 16)Insert(18, 16,71)Insert(80) (split into 2 leaves each w. min # values) [put 71 at top]

Building a B-Tree

The empty B-Tree

M = 3 L = 2

3Insert(3)

3 14Insert(14)

Now, Insert(1)?

Splitting the Root

And createa new root

1 3 14

1 3 14

14

1 3 143 14

Insert(1)

Too many keys in a leaf!

So, split the leaf.

How to solve?Definitely need to split.Then what?

Create new rootThis is how B-Trees grow deeper.

M = 3 L = 2

Overflowing leaves

Insert(59)14

1 3 14 59

14

1 3 14Insert(26)

14

1 3

14 26 59

14 59

1 3 14 26 59

And add a new child

Too many keys in a leaf!

So, split the leaf.

Same problem as before-- must split

But parent has room.What if there wasn’t?

M = 3 L = 2

Propagating Splits

14 59

1 3 14 26 59

14 59

14 26 59

1 3 5

Insert(5)

5 14

14 26 591 3 5

59

5 595

1 3 5 14 26 59

59

14

Add newchild

Create anew root

Split the leaf, but no space in parent!

So, split the node.

M = 3 L = 2

Page 19: CSE 326: Data Structures Binary Search Treesanderson/iucee/Slides_326_07/Trees.pdf · CSE 326: Data Structures Binary Search Trees 5/30/2008 1 Today’s Outline • Dictionary ADT

Insertion Algorithm1. Insert the key in its leaf2. If the leaf ends up with L+1

items, overflow!– Split the leaf into two nodes:

• original with ⎡(L+1)/2⎤ items• new one with ⎣(L+1)/2⎦ items

– Add the new child to the parent– If the parent ends up with M+1

items, overflow!

3. If an internal node ends up with M+1 items, overflow!– Split the node into two nodes:

• original with ⎡(M+1)/2⎤ items• new one with ⎣(M+1)/2⎦ items

– Add the new child to the parent– If the parent ends up with M+1

items, overflow!

4. Split an overflowed root in two and hang the new nodes under a new root

This makes the tree deeper!

Note that new leaves/ internal nodes guaranteed to have enough nodes after split. Why?

After More Routine Inserts

5

1 3 5 14 26 59

59

14

5

1 3 5 14 26 59 79

59 89

14

89

Insert(89)Insert(79)

How aboutdeletion?

M = 3 L = 2

Deletion

5

1 3 5 14 26 59 79

59 89

14

89

5

1 3 5 14 26 79

79 89

14

89

Delete(59)

Might cause leaf to drop below L/2 children

What could go wrong?

1. Delete item from leaf2. Update keys of ancestors if necessary

M = 3 L = 2

Deletion and Adoption

5

1 3 5 14 26 79

79 89

14

89

Delete(5)?

1 3 14 26 79

79 89

14

89

3

1 3 3 14 26 79

79 89

14

89

A leaf has too few keys!

So, borrow from a sibling

What if notenough to

borrow from?

M = 3 L = 2

Sibling pointer(and parent pointers)

Does Adoption Always Work?

• What if the sibling doesn’t have enough for you to borrow from?

e.g. you have ⎡L/2⎤-1 and sibling has ⎡L/2⎤?

Merge them into one node!

Deletion and Merging

3

1 3 14 26 79

79 89

14

89

Delete(3)?

1 14 26 79

79 89

14

89

1 14 26 79

79 89

14

89

A leaf has too few keys!

And no sibling with surplus!

So, deletethe leaf

But now an internal node has too few subtrees!

What if L were 100?Would have keys leftover (49)in node that must be deleted!Soln: give to neighbors!(no surplus must be room)

M = 3 L = 2

Page 20: CSE 326: Data Structures Binary Search Treesanderson/iucee/Slides_326_07/Trees.pdf · CSE 326: Data Structures Binary Search Trees 5/30/2008 1 Today’s Outline • Dictionary ADT

Adopt aneighbor

1 14 26 79

79 89

14

89

14

1 14 26 79

89

79

89

Deletion with Propagation (More Adoption)

Same as before: borrow from rich neighbor!

M = 3 L = 2

Delete(1)(adopt asibling)

14

1 14 26 79

89

79

89

A Bit More Adoption

26

14 26 79

89

79

89

This is just to setup for next slide.

M = 3 L = 2

Delete(26)26

14 26 79

89

79

89

Pulling out the Root

14 79

89

79

89

A leaf has too few keys!And no sibling with surplus!

14 79

89

79

89

So, delete the leaf;merge

A node has too few subtrees and no neighbor with surplus!

14 79

79 89

89

Delete the node

But now the roothas just one subtree!

and merge

M = 3 L = 2

Pulling out the Root (continued)

14 79

79 89

89

The roothas just one subtree!

14 79

79 89

89

Simply makethe one childthe new root!

M = 3 L = 2

Deletion Algorithm

1. Remove the key from its leaf

2. If the leaf ends up with fewer than ⎡L/2⎤ items, underflow!– Adopt data from a sibling;

update the parent– If adopting won’t work, delete

node and merge with neighbor– If the parent ends up with

fewer than ⎡M/2⎤ items, underflow!

Deletion Slide Two3. If an internal node ends up with

fewer than ⎡M/2⎤ items, underflow!– Adopt from a neighbor;

update the parent– If adoption won’t work,

merge with neighbor– If the parent ends up with fewer than

⎡M/2⎤ items, underflow!

4. If the root ends up with only one child, make the child the new root of the tree

This reduces the height of the tree!

Page 21: CSE 326: Data Structures Binary Search Treesanderson/iucee/Slides_326_07/Trees.pdf · CSE 326: Data Structures Binary Search Trees 5/30/2008 1 Today’s Outline • Dictionary ADT

Thinking about B-Trees• B-Tree insertion can cause (expensive)

splitting and propagation• B-Tree deletion can cause (cheap)

adoption or (expensive) deletion, merging and propagation

• Propagation is rare if M and L are large (Why?)

• If M = L = 128, then a B-Tree of height 4 will store at least 30,000,000 items

Height 5: 2 billion

Only 1/L inserts cause split, only 1/M of these go up at all!

Tree Names You Might Encounter

FYI:– B-Trees with M = 3, L = x are called 2-3

trees• Nodes can have 2 or 3 keys

– B-Trees with M = 4, L = x are called 2-3-4 trees

• Nodes can have 2, 3, or 4 keys

K-D Trees and Quad Trees

Range Queries

• Think of a range query.– “Give me all customers aged 45-55.”– “Give me all accounts worth $5m to $15m”

• Can be done in time ________.

• What if we want both:– “Give me all customers aged 45-55 with

accounts worth between $5m and $15m.”

Geometric Data Structures

• Organization of points, lines, planes, etc in support of faster processing

• Applications– Map information– Graphics - computing object intersections– Data compression - nearest neighbor search– Decision Trees - machine learning

k-d Trees• Jon Bentley, 1975, while an undergraduate• Tree used to store spatial data.

– Nearest neighbor search.– Range queries.– Fast look-up

• k-d tree are guaranteed log2 n depth where n is the number of points in the set.– Traditionally, k-d trees store points in

d-dimensional space which are equivalent to vectors in d-dimensional space.

Page 22: CSE 326: Data Structures Binary Search Treesanderson/iucee/Slides_326_07/Trees.pdf · CSE 326: Data Structures Binary Search Trees 5/30/2008 1 Today’s Outline • Dictionary ADT

Range Queries

x

y

ab

f

c

g h

ed

i

x

y

ab

f

c

g h

ed

i

Rectangular query Circular query

x

y

ab

f

c

g h

ed

i

Nearest Neighbor Search

query

Nearest neighbor is e.

k-d Tree Construction• If there is just one point, form a leaf with that point.• Otherwise, divide the points in half by a line

perpendicular to one of the axes. • Recursively construct k-d trees for the two sets of

points.• Division strategies

– divide points perpendicular to the axis with widest spread.– divide in a round-robin fashion (book does it this way)

x

y

k-d Tree Construction

ab

f

c

g h

ed

i

divide perpendicular to the widest spread.

y

k-d Tree Construction (18)x

ab

c

g h

ed

i s1

s2y y

s6

s3x

s4y

s7y

s8y

s5x

s1

s2

s3

s4

s5

s6

s7

s8

a b

d e

g c f h i

x

f

k-d tree cell

2-d Tree Decomposition

1

2

3

Page 23: CSE 326: Data Structures Binary Search Treesanderson/iucee/Slides_326_07/Trees.pdf · CSE 326: Data Structures Binary Search Trees 5/30/2008 1 Today’s Outline • Dictionary ADT

x

y

k-d Tree Splitting

ab

c

g h

ed

i a d g b e i c h fa c b d f e h g i

xy

sorted points in each dimension

f

• max spread is the max offx -ax and iy - ay.

• In the selected dimension themiddle point in the list splits the data.

• To build the sorted lists for the other dimensions scan the sortedlist adding each point to one of two sorted lists.

1 2 3 4 5 6 7 8 9

x

y

k-d Tree Splitting

ab

c

g h

ed

i a d g b e i c h fa c b d f e h g i

xy

sorted points in each dimension

f

1 2 3 4 5 6 7 8 9

a b c d e f g h i0 0 1 0 0 1 0 1 1

indicator for each set

scan sorted points in y dimensionand add to correct set

a b d e g c f h iy

k-d Tree Construction Complexity

• First sort the points in each dimension.– O(dn log n) time and dn storage.– These are stored in A[1..d,1..n]

• Finding the widest spread and equally divide into two subsets can be done in O(dn) time.

• We have the recurrence– T(n,d) < 2T(n/2,d) + O(dn)

• Constructing the k-d tree can be done in O(dn log n) and dn storage

Node Structure for k-d Trees• A node has 5 fields

– axis (splitting axis)– value (splitting value)– left (left subtree)– right (right subtree)– point (holds a point if left and right children

are null)

Rectangular Range Query• Recursively search every cell that

intersects the rectangle.

Rectangular Range Query (1)

y

x

ab

c

g h

ed

i s1

s2y y

s6

s3x

s4y

s7y

s8y

s5x

s1

s2

s3

s4

s5

s6

s7

s8

a b

d e

g c f h

x

f

i

Page 24: CSE 326: Data Structures Binary Search Treesanderson/iucee/Slides_326_07/Trees.pdf · CSE 326: Data Structures Binary Search Trees 5/30/2008 1 Today’s Outline • Dictionary ADT

Rectangular Range Query (8)

y

x

ab

c

g h

ed

i s1

s2y y

s6

s3x

s4y

s7y

s8y

s5x

s1

s2

s3

s4

s5

s6

s7

s8

a b

d e

g c f h

x

f

i

Rectangular Range Queryprint_range(xlow, xhigh, ylow, yhigh :integer, root: node pointer) {

Case {

root = null: return;

root.left = null:if xlow < root.point.x and root.point.x < xhigh

and ylow < root.point.y and root.point.y < yhigh

then print(root);

else

if(root.axis = “x” and xlow < root.value ) or

(root.axis = “y” and ylow < root.value ) thenprint_range(xlow, xhigh, ylow, yhigh, root.left);

if (root.axis = “x” and xlow > root.value ) or(root.axis = “y” and ylow > root.value ) then

print_range(xlow, xhigh, ylow, yhigh, root.right);

}}

k-d Tree Nearest Neighbor Search

• Search recursively to find the point in the same cell as the query.

• On the return search each subtree where a closer point than the one you already know about might be found.

y

k-d Tree NNS (1)

x

ab

c

g h

ed

i s1

s2y y

s6

s3x

s4y

s7y

s8y

s5x

s1

s2

s3

s4

s5

s6

s7

s8

a b

d e

g c f h i

x

f

query point

y

k-d Tree NNS

x

ab

c

g h

ed

i s1

s2y y

s6

s3x

s4y

s7y

s8y

s5x

s1

s2

s3

s4

s5

s6

s7

s8

a b

d

c f h i

x

f

query point

w

e

g

Notes on k-d NNS

• Has been shown to run in O(log n) average time per search in a reasonable model.

• Storage for the k-d tree is O(n).• Preprocessing time is O(n log n) assuming

d is a constant.

Page 25: CSE 326: Data Structures Binary Search Treesanderson/iucee/Slides_326_07/Trees.pdf · CSE 326: Data Structures Binary Search Trees 5/30/2008 1 Today’s Outline • Dictionary ADT

y

Worst-Case for Nearest Neighbor Search

query point •Half of the points visited for a query

•Worst case O(n)

•But: on average (and in practice) nearest neighbor queries are O(log N)

x

Quad Trees• Space Partitioning

x

y

ab

c

g

ed f g e

d ba cf

A Bad Case

x

y

ab

Notes on Quad Trees

• Number of nodes is O(n(1+ log(Δ/n))) where n is the number of points and Δ is the ratio of the width (or height) of the key space and the smallest distance between two points

• Height of the tree is O(log n + log Δ)

K-D vs Quad• k-D Trees

– Density balanced trees– Height of the tree is O(log n) with batch insertion– Good choice for high dimension– Supports insert, find, nearest neighbor, range queries

• Quad Trees– Space partitioning tree– May not be balanced– Not a good choice for high dimension– Supports insert, delete, find, nearest neighbor, range queries

Geometric Data Structures

• Geometric data structures are common.• The k-d tree is one of the simplest.

– Nearest neighbor search– Range queries

• Other data structures used for– 3-d graphics models– Physical simulations


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