Why is this binary tree not a heap? - data-structures

I have been teaching myself heaps for an exam and came across the following question:
"Give 2 different reasons why the following binary tree is not a heap"
91
/ \
77 46
/ \ \
68 81 11
I know one of the reasons this is because a heap's children must less than or equal to the value of its parent so 81 violates this rule as 81 > 77, but I am not sure on the other answer.
Could somebody please clarify?

11 should be the left-child of 46, not the right-child.
Wikipedia mentions that a binary heap should be a complete binary tree, which means "every level, except possibly the last, is completely filled, and all nodes are as far left as possible", which is clearly not the case if 11 is where it is now.
The reason why this is advantageous is fairly easy to understand - given the size of the heap, you can quickly determine where the last node on the bottom level is, which is necessary to know for insertion and deletion. If we're using an array representation, it's as simple as the element at heap size - 1 being the last element. For a pointer-based representation, we could easily determine whether we should go left or right to get to the last element.
There may be other ways to get the same performance without the heap being a complete binary tree, but they'd likely add complexity.

That is not a heap because it doesn't conform to the heap property.
In a min-heap, every node's value is less than or equal to its child nodes' values.
In a max-heap, every node's value is greater than or equal to its child nodes' values.
It's clearly not a min-heap because the root node, 91, is larger than either of its children.
And it's clearly not a max-heap because the node 77 is smaller than its right child, 81.
And, as #Dukeling pointed out in his answer, it doesn't conform to the shape property.

Related

Given a list of keys, how do we find the almost complete binary search tree of that list?

I saw an answer here with the idea implemented in Python (not very familiar with Python) - I was looking for a more general algorithm.
EDIT:
For clarification:
Say we are given a list of integer keys: 23 44 88 12 74 32 7 39 10
That list was chosen arbitrarily. We are to create an almost complete (or complete) binary search tree from that list. There is supposed to be only one such tree...how do we find it?
A binary search tree is constructed so that all items on a node's left subtree are less than the node, and all nodes on the right subtree are greater than the node.
A complete (or almost complete) binary tree is one in which all levels except possibly the last are completely full, and the bottom level is filled to the left.
So, for example, this is an almost-complete binary search tree:
4
/ \
2 5
/ \
1 3
This is not:
3
/ \
2 4
/ \
1 5
Because the bottom level of the tree is not filled from the left.
If the number of items is one less than a power of two (i.e. 3, 7, 15, etc.), then building the tree is easy. Start by sorting the list. Then, take the middle element as the root. So if you have [1,2,3,4,5,6,7], and the root node is 4.
You do the same thing recursively for the right and left halves of the array.
If the number of items is not one less than a power of two, you have to adjust the starting point (the root node) so that the bottom row is left-filled. Note that you might have to apply that adjustment recursively, as well, whenever your subtree length is not one less than a power of two.
Since this is a homework assignment, I'll leave that for you to figure out.

How do I perform a deletion of the kth element on a min-max heap?

A min-max heap can be useful to implement a double-ended priority queue because of its constant time find-min and find-max operations. We can also retrieve the minimum and maximum elements in the min-max heap in O(log2 n) time. Sometimes, though, we may also want to delete any node in the min-max heap, and this can be done in O(log2 n) , according to the paper which introduced min-max heaps:
...
The structure can also be generalized to support the operation Find(k) (determine the kth smallest value in the structure) in constant time and the operation Delete(k) (delete the kth smallest value in the structure) in logarithmic time, for any fixed value (or set of values) of k.
...
How exactly do I perform a deletion of the kth element on a min-max heap?
I don't consider myself an "expert" in the fields of algorithms and data structures, but I do have a detailed understanding of binary heaps, including the min-max heap. See, for example, my blog series on binary heaps, starting with http://blog.mischel.com/2013/09/29/a-better-way-to-do-it-the-heap/. I have a min-max implementation that I'll get around to writing about at some point.
Your solution to the problem is correct: you do indeed have to bubble up or sift down to re-adjust the heap when you delete an arbitrary node.
Deleting an arbitrary node in a min-max heap is not fundamentally different from the same operation in a max-heap or min-heap. Consider, for example, deleting an arbitrary node in a min-heap. Start with this min-heap:
0
4 1
5 6 2 3
Now if you remove the node 5 you have:
0
4 1
6 2 3
You take the last node in the heap, 3, and put it in the place where 5 was:
0
4 1
3 6 2
In this case you don't have to sift down because it's already a leaf, but it's out of place because it's smaller than its parent. You have to bubble it up to obtain:
0
3 1
4 6 2
The same rules apply for a min-max heap. You replace the element you're removing with the last item from the heap, and decrease the count. Then, you have to check to see if it needs to be bubbled up or sifted down. The only tricky part is that the logic differs depending on whether the item is on a min level or a max level.
In your example, the heap that results from the first operation (replacing 55 with 31) is invalid because 31 is smaller than 54. So you have to bubble it up the heap.
One other thing: removing an arbitrary node is indeed a log2(n) operation. However, finding the node to delete is an O(n) operation unless you have some other data structure keeping track of where nodes are in the heap. So, in general, removal of an arbitrary node is considered O(n).
What led me to develop this solution (which I'm not 100% sure is correct) is the fact that I've actually found a solution to delete any node in a min-max heap, but it's wrong.
The wrong solution is can be found here (implemented in C++) and here (implemented in Python). I'm going to present the just mentioned wrong Python's solution, which is more accessible to everyone:
The solution is the following:
def DeleteAt(self, position):
"""delete given position"""
self.heap[position] = self.heap[-1]
del(self.heap[-1])
self.TrickleDown(position)
Now, suppose we have the following min-max heap:
level 0 10
level 1 92 56
level 2 41 54 23 11
level 3 69 51 55 65 37 31
as far as I've checked this is a valid min-max heap. Now, suppose we want to delete the element 55, which in an 0-based array would be found at index 9 (if I counted correctly).
What the solution above would do is simply put the last element in the array, in this case 31, and put it at position 9:
level 0 10
level 1 92 56
level 2 41 54 23 11
level 3 69 51 31 65 37 55
it would delete the last element of the array (which is now 55), and the resulting min-max heap would look like this:
level 0 10
level 1 92 56
level 2 41 54 23 11
level 3 69 51 31 65 37
and finally it would "trickle-down" from the position (i.e. where now we have the number 31).
"tricle-down" would check if we're in an even (or min) or odd (or max) level: we're in an odd level (3), so "trickle-down" would call "trickle-down-max" starting from 31, but since 31 has no children, it stops (check the original paper above if you don't know what I'm talking about).
But if you observe that leaves the data structure in a state that is no more a min-max heap, because 54, which is at even level and therefore should be smaller than its descendants, is greater than 31, one of its descendants.
This made me think that we couldn't just look at the children of the node at position, but that we also needed to check from that position upwards, that maybe we needed to use "trickle-up" too.
In the following reasoning, let x be the element at position after we delete the element that we wanted to delete and before any fix operations has run. Let p be its parent (if any).
The idea of my algorithm is really that one, and more specifically is based on the fact that:
If x is on a odd level (like in the example above), and we exchange it with its parent p, which is on an even level, that would not break any rules/invariants of the min-max heap from the new x's position downwards.
The same reasoning (I think) can be done if the situation would be reversed, i.e., x was originally in a even position and it would be greater than its parent.
Now, if you noticed, the only thing that could need a fix is that, if x was exchange with its parent and it's now in a even (and respectively odd) position we may need to check if it's smaller (and respectively greater) than the node at the previous even (and respectively odd) level.
This of course didn't seem to be the whole solution to me, and of course I also wanted to check if the previous parent of x, i.e. p, is in a correct position.
If p, after the exchange with x, is on a odd (and respectively even) level, it means it could be smaller (and respectively greater) than any of its descendants, because it was previously in a even (and respectively odd) level. So, I thought we needed a "trickle-down" here.
Regarding the fact if p is in a correct position with respect to its ancestors, I think the reasoning would be similar to the one above (but I'm not 100% sure).
Putting this together I came up with the solution:
function DELETE(H, i):
// H is the min-max heap array
// i is the index of the node we want to delete
// I assume, for simplicity,
// it's not out of the bounds of the array
if i is the last index of H:
remove and return H[i]
else:
l = get_last_index_of(H)
swap(H, i, l)
d = delete(H, l)
// d is the element we wanted to remove initially
// and was initially at position i
// So, at index i we now have what was the last element of H
push_up(H, i)
push_down(H, i)
return d
This seems to work according to an implementation of a min-max heap that I made and that you can find here.
Note also that the solution run in O(log2 n) time, because we're just calling "push-up" and "push-down" which run in that order.

Why does a Binary Heap has to be a Complete Binary Tree?

The heap property says:
If A is a parent node of B then the key of node A is ordered with
respect to the key of node B with the same ordering applying across
the heap. Either the keys of parent nodes are always greater than or
equal to those of the children and the highest key is in the root node
(this kind of heap is called max heap) or the keys of parent nodes are
less than or equal to those of the children and the lowest key is in
the root node (min heap).
But why in this wiki, the Binary Heap has to be a Complete Binary Tree? The Heap Property doesn't imply that in my impression.
According to the wikipedia article you provided, a binary heap must conform to both the heap property (as you discussed) and the shape property (which mandates that it is a complete binary tree). Without the shape property, one would lose the runtime advantage that the data structure provides (i.e. the completeness ensures that there is a well defined way to determine the new root when an element is removed, etc.)
Every item in the array has a position in the binary tree, and this position is calculated from the array index. The positioning formula ensures that the tree is 'tightly packed'.
For example, this binary tree here:
is represented by the array
[1, 2, 3, 17, 19, 36, 7, 25, 100].
Notice that the array is ordered as if you're starting at the top of the tree, then reading each row from left-to-right.
If you add another item to this array, it will represent the slot below the 19 and to the right of the 100. If this new number is less than 19, then values will have to be swapped around, but nonetheless, that is the slot that will be filled by the 10th item of the array.
Another way to look at it: try constructing a binary heap which isn't a complete binary tree. You literally cannot.
You can only guarantee O(log(n)) insertion and (root) deletion if the tree is complete. Here's why:
If the tree is not complete, then it may be unbalanced and in the worst case, simply a linked list, requiring O(n) to find a leaf, and O(n) for insertion and deletion. With the shape requirement of completeness, you are guaranteed O(log(n)) operations since it takes constant time to find a leaf (last in array), and you are guaranteed that the tree is no deeper than log2(N), meaning the "bubble up" (used in insertion) and "sink down" (used in deletion) will require at most log2(N) modifications (swaps) of data in the heap.
This being said, you don't absolutely have to have a complete binary tree, but you just loose these runtime guarantees. In addition, as others have mentioned, having a complete binary tree makes it easy to store the tree in array format forgoing object reference representation.
The point that 'complete' makes is that in a heap all interior (not leaf) nodes have two children, except where there are no children left -- all the interior nodes are 'complete'. As you add to the heap, the lowest level of nodes is filled (with childless leaf nodes), from the left, before a new level is started. As you remove nodes from the heap, the right-most leaf at the lowest level is removed (and pushed back in at the top). The heap is also perfectly balanced (hurrah!).
A binary heap can be looked at as a binary tree, but the nodes do not have child pointers, and insertion (push) and deletion (pop or from inside the heap) are quite different to those procedures for an actual binary tree.
This is a direct consequence of the way in which the heap is organised. The heap is held as a vector with no gaps between the nodes. The parent of the i'th item in the heap is item (i - 1) / 2 (assuming a binary heap, and assuming the top of the heap is item 0). The left child of the i'th item is (i * 2) + 1, and the right child one greater than that. When there are n nodes in the heap, a node has no left child if (i * 2) + 1 exceeds n, and no right child if (i * 2) + 2 does.
The heap is a beautiful thing. It's one flaw is that you do need a vector large enough for all entries... unlike a real binary tree, you cannot allocate a node at a time. So if you have a heap for an indefinite number of items, you have to be ready to extend the underlying vector as and when needed -- or run some fragmented structure which can be addressed as if it was a vector.
FWIW: when stepping down the heap, I find it convenient to step to the right child -- (i + 1) * 2 -- if that is < n then both children are present, if it is == n only the left child is present, otherwise there are no children.
By maintaining binary heap as a complete binary gives multiple advantages such as
1.heap is complete binary tree so height of heap is minimum possible i.e log(size of tree). And insertion, build heap operation depends on height. So if height is minimum then their time complexity will be reduced.
2.All the items of complete binary tree stored in contiguous manner in array so random access is possible and it also provide cache friendliness.
In order for a Binary Tree to be considered a heap two it must meet two criteria. 1) It must have the heap property. 2) it must be a complete tree.
It is possible for a structure to have either of these properties and not have the other, but we would not call such a data structure a heap. You are right that the heap property does not entail the shape property. They are separate constraints.
The underlying structure of a heap is an array where every node is an index in an array so if the tree is not complete that means that one of the index is kept empty which is not possible beause it is coded in such a way that each node is an index .I have given a link below so that u can see how the heap structure is built
http://www.sanfoundry.com/java-program-implement-min-heap/
Hope it helps
I find that all answers so far either do not address the question or are, essentially, saying "because the definition says so" or use a similar circular argument. They are surely true but (to me) not very informative.
To me it became immediately obvious that the heap must be a complete tree when I remembered that you insert a new element not at the root (as you do in a binary search tree) but, rather, at the bottom right.
Thus, in a heap, a new element propagates from the bottom up - it is "moved up" within the tree till it finds a suitable place.
In a binary search tree a newly inserted element moves the other way round - it is inserted at the root and it "moves down" till it finds its place.
The fact that each new element in a heap starts as the bottom right node means that the heap is going to be a complete tree at all times.

Applying a Logarithm to Navigate a Tree

I had once known of a way to use logarithms to move from one leaf of a tree to the next "in-order" leaf of a tree. I think it involved taking a position value (rank?) of the "current" leaf and using it as a seed for a fresh traversal from the root down to the new target leaf - all the way using a log function test to determine whether to follow the right or left node down to the leaf.
I no longer recall how to exercise that technique. Can anyone re-introduce me?
I also don't recall if the technique required the tree to be balanced, or if it worked on n-trees or only binary trees. Any info would be appreciated.
Since you mentioned whether to go left or right, I'm going to assume you're talking about a binary tree specifically. In that case, I think you're right that there is a way. If your nodes are numbered left-to-right, top-to-bottom, starting with 1, then you can find the rank (depth in the tree) by taking the log2 of the node's number. To find that node again from the root, you can use the binary representation of the number, where 0 = left and 1 = right.
For example:
n = 11
11 in binary is 1011
We always ignore the first 1 since it's going to be there for every number (all nodes of rank n will be binary numbers with n+1 digits, with the first digit being 1). We're left with 011, which is saying from the root go left, then right, then right.
If you want to find the next in-order leaf, take the current leaf's number and add one, then traverse from the root using this method.
I believe this only works with balanced binary trees.
OK, this proposal requires more characters than I can fit into a comment box. Steven does not believe that knowing the depth of the node in the tree is useful. I think it is. I have been wrong in the past, and I'm sure I'll be wrong in the future, so I will try to explain how this idea works in an attempt to not be wrong in the present. If I am, I apologize ahead of time. I'm nearly certain I got it from one of my Algorithms and Datastructures courses, using the CLR book. Please excuse any slips in notation or nomenclature, I haven't studied this stuff in a while.
Quoting wikipedia, "a complete binary tree is a binary tree in which every level, except possibly the last, is completely filled, and all nodes are as far left as possible."
We are considering a complete tree with any branching degree (where a binary tree has a branching degree of two). Also, we are considering our nodes to have a 'positional value' which is an ordering of the positional value (top to bottom, left to right) of the node.
Now, if we are given a positional value, we can find the node in the following fashion. Take the log_base_n of the positional value of the element we are looking for (floor of this, we want an integer). Traverse down from the root that many times, minus one. Now, start looking through all the children of the nodes at this level. Your node you are searching for will be in this set.
This is an attempt in explaining the additional part of the wikipedia definition:
"This depth is equal to the integer part of log2(n) where n
is the number of nodes on the balanced tree.
Example 1: balanced tree with 1 node, log2(1) = 0 (depth = 0).
Example 2: balanced tree with 3 nodes, log2(3) = 1.59 (depth=1).
Example 3: balanced tree with 5 nodes, log2(5) = 2.32
(depth of tree is 2 nodes)."
This is useful, because you can simply traverse down to this level and then start looking around. It is useful and important to know the depth your node is located on, so you can start looking there, instead of starting to look at the beginning. Unless you know what level of the tree you are on, you get to start looking at all the nodes sequentially.
That is why I think it is helpful to know the depth of the node we are searching for.
It is a little bit odd, since having the "positional value" is not something we normally care about in a tree. I can see why Steve thought of this in terms of an array, since positional value is inherent in arrays.
-Brian J. Stinar-
Something that at least resembles your description is the Binary Heap, used a.o. in Priority Queues.
I think I've found the answer, or at least a facsimile.
Assume the tree nodes are numbered, starting at 1, top-down and left-to-right. Assume traversal begins at the root, and halts when it finds node X (which means the parent is linked to its children). Also, for quick reference, the base 2 logarithmic values for nodes 1 through 12 are:
log2(1) = 0.0
log2(2) = 1
log2(3) = 1.58
log2(4) = 2
log2(5) = 2.32
log2(6) = 2.58
log2(7) = 2.807
log2(8) = 3
log2(9) = 3.16
log2(10) = 3.32
log2(11) = 3.459
log2(12) = 3.58
The fractional portion represents a unique diagonal position (notice how nodes 3, 6, and 12 all have fractional portion 0.58). Also notice that every node belongs either to the left or right side of the tree, depending on whether the log fractional component is less or great than 0.5. Anecdotes aside, the algorithm for finding a node is then as follows:
examine fractional portion, if it is less than .5, turn left. Else turn right.
subtract one from the whole number portion of the log, stop if the value reaches zero.
double the fractional portion, and start over.
So, for example, if node 11 is what you seek then you start by computing the log which is 3.459. Then...
3-459 <=fraction less than .5: turn left and decrement whole number to 2.
2-918 <=doubled fraction more than .5: turn right and decrement whole number to 1.
1-836 <=doubling .918 gives 1.836: but only fractional part counts: turn right and dec prior whole number to 0. Done!!
With appropriate accomodations, the same technique appears to work for any balanced n-ary tree. For example, given a balanced ternary tree, the choice of following left, middle, or right edges is again based on the fractional portion of the log, as follows:
between 0.5-0.832: turn left (a one-third fraction range)
between 0.17-0.49: turn right (another one-third fraction range)
otherwise go down the middle. (the last one-third range)
The algorithm is adjusted by multiplying the fractional portion by 3 instead of 2. Again, a quick reference for those who want to test this last statement:
log3(1) = 0.0
log3(2) = 0.63
log3(3) = 1
log3(4) = 1.26
log3(5) = 1.46
log3(6) = 1.63
log3(7) = 1.77
log3(8) = 1.89
log3(9) = 2
At this point I wonder if there is an even more concise way to express this whole "log-based top-down selection of a node." I'm interested if anyone knows...
Case 1: Nodes have pointers to their parent
Starting from the node, traverse up the parent pointer until one with non-null right_child is found. Go to the right_child and traverse left_child as long as they are non-null.
Case 2: Nodes do not have pointers to the parent
Starting from the root, find the path to the node (including the root and the node). Then find the latest vertex (i.e. a node) in the path that has non-null right_child. Go the the right_child and traverse left_child as long as they are non-null.
In both cases, we traversing either up or down from the root to one of the nodes. The maximum of such traversal is in the order of the depth of the tree, hence logarithmic in the size of the nodes if the tree is balanced.

Are duplicate keys allowed in the definition of binary search trees?

I'm trying to find the definition of a binary search tree and I keep finding different definitions everywhere.
Some say that for any given subtree the left child key is less than or equal to the root.
Some say that for any given subtree the right child key is greater than or equal to the root.
And my old college data structures book says "every element has a key and no two elements have the same key."
Is there a universal definition of a bst? Particularly in regards to what to do with trees with multiple instances of the same key.
EDIT: Maybe I was unclear, the definitions I'm seeing are
1) left <= root < right
2) left < root <= right
3) left < root < right, such that no duplicate keys exist.
Many algorithms will specify that duplicates are excluded. For example, the example algorithms in the MIT Algorithms book usually present examples without duplicates. It is fairly trivial to implement duplicates (either as a list at the node, or in one particular direction.)
Most (that I've seen) specify left children as <= and right children as >. Practically speaking, a BST which allows either of the right or left children to be equal to the root node, will require extra computational steps to finish a search where duplicate nodes are allowed.
It is best to utilize a list at the node to store duplicates, as inserting an '=' value to one side of a node requires rewriting the tree on that side to place the node as the child, or the node is placed as a grand-child, at some point below, which eliminates some of the search efficiency.
You have to remember, most of the classroom examples are simplified to portray and deliver the concept. They aren't worth squat in many real-world situations. But the statement, "every element has a key and no two elements have the same key", is not violated by the use of a list at the element node.
So go with what your data structures book said!
Edit:
Universal Definition of a Binary Search Tree involves storing and search for a key based on traversing a data structure in one of two directions. In the pragmatic sense, that means if the value is <>, you traverse the data structure in one of two 'directions'. So, in that sense, duplicate values don't make any sense at all.
This is different from BSP, or binary search partition, but not all that different. The algorithm to search has one of two directions for 'travel', or it is done (successfully or not.) So I apologize that my original answer didn't address the concept of a 'universal definition', as duplicates are really a distinct topic (something you deal with after a successful search, not as part of the binary search.)
If your binary search tree is a red black tree, or you intend to any kind of "tree rotation" operations, duplicate nodes will cause problems. Imagine your tree rule is this:
left < root <= right
Now imagine a simple tree whose root is 5, left child is nil, and right child is 5. If you do a left rotation on the root you end up with a 5 in the left child and a 5 in the root with the right child being nil. Now something in the left tree is equal to the root, but your rule above assumed left < root.
I spent hours trying to figure out why my red/black trees would occasionally traverse out of order, the problem was what I described above. Hopefully somebody reads this and saves themselves hours of debugging in the future!
All three definitions are acceptable and correct. They define different variations of a BST.
Your college data structure's book failed to clarify that its definition was not the only possible.
Certainly, allowing duplicates adds complexity. If you use the definition "left <= root < right" and you have a tree like:
3
/ \
2 4
then adding a "3" duplicate key to this tree will result in:
3
/ \
2 4
\
3
Note that the duplicates are not in contiguous levels.
This is a big issue when allowing duplicates in a BST representation as the one above: duplicates may be separated by any number of levels, so checking for duplicate's existence is not that simple as just checking for immediate childs of a node.
An option to avoid this issue is to not represent duplicates structurally (as separate nodes) but instead use a counter that counts the number of occurrences of the key. The previous example would then have a tree like:
3(1)
/ \
2(1) 4(1)
and after insertion of the duplicate "3" key it will become:
3(2)
/ \
2(1) 4(1)
This simplifies lookup, removal and insertion operations, at the expense of some extra bytes and counter operations.
In a BST, all values descending on the left side of a node are less than (or equal to, see later) the node itself. Similarly, all values descending on the right side of a node are greater than (or equal to) that node value(a).
Some BSTs may choose to allow duplicate values, hence the "or equal to" qualifiers above. The following example may clarify:
14
/ \
13 22
/ / \
1 16 29
/ \
28 29
This shows a BST that allows duplicates(b) - you can see that to find a value, you start at the root node and go down the left or right subtree depending on whether your search value is less than or greater than the node value.
This can be done recursively with something like:
def hasVal (node, srchval):
if node == NULL:
return false
if node.val == srchval:
return true
if node.val > srchval:
return hasVal (node.left, srchval)
return hasVal (node.right, srchval)
and calling it with:
foundIt = hasVal (rootNode, valToLookFor)
Duplicates add a little complexity since you may need to keep searching once you've found your value, for other nodes of the same value. Obviously that doesn't matter for hasVal since it doesn't matter how many there are, just whether at least one exists. It will however matter for things like countVal, since it needs to know how many there are.
(a) You could actually sort them in the opposite direction should you so wish provided you adjust how you search for a specific key. A BST need only maintain some sorted order, whether that's ascending or descending (or even some weird multi-layer-sort method like all odd numbers ascending, then all even numbers descending) is not relevant.
(b) Interestingly, if your sorting key uses the entire value stored at a node (so that nodes containing the same key have no other extra information to distinguish them), there can be performance gains from adding a count to each node, rather than allowing duplicate nodes.
The main benefit is that adding or removing a duplicate will simply modify the count rather than inserting or deleting a new node (an action that may require re-balancing the tree).
So, to add an item, you first check if it already exists. If so, just increment the count and exit. If not, you need to insert a new node with a count of one then rebalance.
To remove an item, you find it then decrement the count - only if the resultant count is zero do you then remove the actual node from the tree and rebalance.
Searches are also quicker given there are fewer nodes but that may not be a large impact.
For example, the following two trees (non-counting on the left, and counting on the right) would be equivalent (in the counting tree, i.c means c copies of item i):
__14__ ___22.2___
/ \ / \
14 22 7.1 29.1
/ \ / \ / \ / \
1 14 22 29 1.1 14.3 28.1 30.1
\ / \
7 28 30
Removing the leaf-node 22 from the left tree would involve rebalancing (since it now has a height differential of two) the resulting 22-29-28-30 subtree such as below (this is one option, there are others that also satisfy the "height differential must be zero or one" rule):
\ \
22 29
\ / \
29 --> 28 30
/ \ /
28 30 22
Doing the same operation on the right tree is a simple modification of the root node from 22.2 to 22.1 (with no rebalancing required).
In the book "Introduction to algorithms", third edition, by Cormen, Leiserson, Rivest and Stein, a binary search tree (BST) is explicitly defined as allowing duplicates. This can be seen in figure 12.1 and the following (page 287):
"The keys in a binary search tree are always stored in such a way as to satisfy the binary-search-tree property: Let x be a node in a binary search tree. If y is a node in the left subtree of x, then y:key <= x:key. If y is a node in the right subtree of x, then y:key >= x:key."
In addition, a red-black tree is then defined on page 308 as:
"A red-black tree is a binary search tree with one extra bit of storage per node: its color"
Therefore, red-black trees defined in this book support duplicates.
Any definition is valid. As long as you are consistent in your implementation (always put equal nodes to the right, always put them to the left, or never allow them) then you're fine. I think it is most common to not allow them, but it is still a BST if they are allowed and place either left or right.
I just want to add some more information to what #Robert Paulson answered.
Let's assume that node contains key & data. So nodes with the same key might contain different data.
(So the search must find all nodes with the same key)
left <= cur < right
left < cur <= right
left <= cur <= right
left < cur < right && cur contain sibling nodes with the same key.
left < cur < right, such that no duplicate keys exist.
1 & 2. works fine if the tree does not have any rotation-related functions to prevent skewness.
But this form doesn't work with AVL tree or Red-Black tree, because rotation will break the principal.
And even if search() finds the node with the key, it must traverse down to the leaf node for the nodes with duplicate key.
Making time complexity for search = theta(logN)
3. will work well with any form of BST with rotation-related functions.
But the search will take O(n), ruining the purpose of using BST.
Say we have the tree as below, with 3) principal.
12
/ \
10 20
/ \ /
9 11 12
/ \
10 12
If we do search(12) on this tree, even tho we found 12 at the root, we must keep search both left & right child to seek for the duplicate key.
This takes O(n) time as I've told.
4. is my personal favorite. Let's say sibling means the node with the same key.
We can change above tree into below.
12 - 12 - 12
/ \
10 - 10 20
/ \
9 11
Now any search will take O(logN) because we don't have to traverse children for the duplicate key.
And this principal also works well with AVL or RB tree.
Working on a red-black tree implementation I was getting problems validating the tree with multiple keys until I realized that with the red-black insert rotation, you have to loosen the constraint to
left <= root <= right
Since none of the documentation I was looking at allowed for duplicate keys and I didn't want to rewrite the rotation methods to account for it, I just decided to modify my nodes to allow for multiple values within the node, and no duplicate keys in the tree.
Those three things you said are all true.
Keys are unique
To the left are keys less than this one
To the right are keys greater than this one
I suppose you could reverse your tree and put the smaller keys on the right, but really the "left" and "right" concept is just that: a visual concept to help us think about a data structure which doesn't really have a left or right, so it doesn't really matter.
1.) left <= root < right
2.) left < root <= right
3.) left < root < right, such that no duplicate keys exist.
I might have to go and dig out my algorithm books, but off the top of my head (3) is the canonical form.
(1) or (2) only come about when you start to allow duplicates nodes and you put duplicate nodes in the tree itself (rather than the node containing a list).
Duplicate Keys
• What happens if there's more than one data item with
the same key?
– This presents a slight problem in red-black trees.
– It's important that nodes with the same key are distributed on
both sides of other nodes with the same key.
– That is, if keys arrive in the order 50, 50, 50,
• you want the second 50 to go to the right of the first one, and the
third 50 to go to the left of the first one.
• Otherwise, the tree becomes unbalanced.
• This could be handled by some kind of randomizing
process in the insertion algorithm.
– However, the search process then becomes more complicated if
all items with the same key must be found.
• It's simpler to outlaw items with the same key.
– In this discussion we'll assume duplicates aren't allowed
One can create a linked list for each node of the tree that contains duplicate keys and store data in the list.
The elements ordering relation <= is a total order so the relation must be reflexive but commonly a binary search tree (aka BST) is a tree without duplicates.
Otherwise if there are duplicates you need run twice or more the same function of deletion!

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