Trees

Chapter 11

Copyright © McGraw-Hill Education. All rights reserved. No reproduction or distribution without the prior written consent of McGraw-
Chapter Summary
Introduction to Trees
Applications of Trees (not currently included
in overheads)
Tree Traversal
Spanning Trees
Minimum Spanning Trees (not currently
included in overheads)
Introduction to Trees
Section 11.1
Section Summary
Introduction to Trees
Rooted Trees
Trees as Models
Properties of Trees
Trees
Definition: A tree is a connected undirected graph with no simple circuits.

Example: Which of these

graphs are trees?

Solution: G1 and G2 are trees - both are connected and have no simple circuits.
Because e, b, a, d, e is a simple circuit, G3 is not a tree. G4 is not a tree because it
is not connected.

Definition: A forest is a graph that has no simple circuit,

but is not connected. Each of the connected
components in a forest is a tree.
Trees (continued)
Theorem: An undirected graph is a tree if and only if there is a unique
simple path between any two of its vertices.

Proof: Assume that T is a tree. Then T is connected with no simple circuits.

them (by Theorem 1 of Section 10.4). This path must be unique - for if there
Hence, if x and y are distinct vertices of T, there is a simple path between

were a second path, there would be a simple circuit in T (by Exercise 59 of

Section 10.4). Hence, there is a unique simple path between any two
vertices of a tree.

Now assume that there is a unique simple path between any two vertices of
a graph T. Then T is connected because there is a path between any two of
its vertices. Furthermore, T can have no simple circuits since if there were
a simple circuit, there would be two paths between some two vertices.

Hence, a graph with a unique simple path between any two vertices is a
tree.
 Arthur
Cayley

Trees as Models
(1821-1895)

 Trees are used as models in computer

science, chemistry, geology, botany,
psychology, and many other areas.

mathematician Cayley in 1857 in his

 Trees were introduced by the

work counting the number of isomers of

saturated hydrocarbons. The two isomers
of butane are shown at the right.
 The organization of a computer file
system into directories, subdirectories,
and files is naturally represented as a
tree.
 Trees are used to represent the structure
of organizations.
Rooted Trees
Definition: A rooted tree is a tree in which
one vertex has been designated as the root
and every edge is directed away from the
root.

An unrooted tree is converted into different

rooted trees when different vertices are
chosen as the root.
Rooted Tree Terminology
 Terminology for rooted trees is a
mix from botany and
genealogy (such as this family tree
of the Bernoulli family of
mathematicians).

 If v is a vertex of a rooted tree other than the root, the parent of v is the unique vertex u such
that there is a directed edge from u to v. When u is a parent of v, v is called a child of u. Vertices
with the same parent are called siblings.
 The ancestors of a vertex are the vertices in the path from the root to this vertex, excluding the
vertex itself and including the root. The descendants of a vertex v are those vertices that have v
as an ancestor.
 A vertex of a rooted tree with no children is called a leaf. Vertices that have children are called
internal vertices.
 If a is a vertex in a tree, the subtree with a as its root is the subgraph of the tree consisting of a
and its descendants and all edges incident to these descendants.
Terminology for Rooted Trees
Example: In the rooted tree T (with root a):
(i) Find the parent of c, the children of g, the
siblings of h, the ancestors of e, and the
descendants of b.
(ii) Find all internal vertices and all leaves.
(iii) What is the subtree rooted at G?

Solution:
(iv) The parent of c is b. The children of g are h, i,
and j. The siblings of h are i and j. The ancestors
of e are c, b, and a. The descendants of b are c, d,
and e.
(v) The internal vertices are a, b, c, g, h, and j. The
leaves are d, e, f, i, k, l, and m.
(vi) We display the subtree rooted at g.
m-ary Rooted Trees
Definition: A rooted tree is called an m-ary tree if every internal vertex has no more than

children. An m-ary tree with m = 2 is called a binary tree.

m children. The tree is called a full m-ary tree if every internal vertex has exactly m

Example: Are the following rooted trees full m-ary trees for some positive integer m?

Solution: T1 is a full binary tree because each of its internal vertices has two children. T2 is
a full 3-ary tree because each of its internal vertices has three children. In T3 each internal
vertex has five children, so T3 is a full 5-ary tree. T4 is not a full m-ary tree for any m
because some of its internal vertices have two children and others have three children.
Ordered Rooted Trees
Definition: An ordered rooted tree is a rooted tree where the children of each
internal vertex are ordered.
 We draw ordered rooted trees so that the children of each internal vertex are
shown in order from left to right.

Definition: A binary tree is an ordered rooted where where each internal vertex has
at most two children. If an internal vertex of a binary tree has two children, the first
is called the left child and the second the right child. The tree rooted at the left child
of a vertex is called the left subtree of this vertex, and the tree rooted at the right
child of a vertex is called the right subtree of this vertex.

Example: Consider the binary tree T.

(i) What are the left and right children of d?
(ii) What are the left and right subtrees of c?
Solution:
(i) The left child of d is f and the right child is g.
(ii) The left and right subtrees of c are displayed in

(b) and (c).

Properties of Trees
Theorem 2: A tree with n vertices has n − 1 edges.

BASIS STEP: When n = 1, a tree with one vertex has no

Proof (by mathematical induction):

edges. Hence, the theorem holds when n = 1.

has k − 1 edges.
INDUCTIVE STEP: Assume that every tree with k vertices

Suppose that a tree T has k + 1 vertices and that v is a leaf

of T. Let w be the parent of v. Removing the vertex v and

vertices. By the inductive hypothesis, T′ has k − 1 edges.

the edge connecting w to v produces a tree T′ with k

Because T has one more edge than T′, we see that T has k
edges. This completes the inductive step.
Counting Vertices in Full m-Ary Trees
Theorem 3: A full m-ary tree with i internal
vertices has n = mi + 1 vertices.
Proof : Every vertex, except the root, is the
child of an internal vertex. Because each of
the i internal vertices has m children, there

root. Hence, the tree contains n = mi + 1

are mi vertices in the tree other than the

vertices.
Counting Vertices in Full m-Ary Trees
(continued)
Theorem 4: A full m-ary tree with
n vertices has i = (n − 1)/m internal
vertices and l = [(m −
(i)
1)n + 1]/m leaves,
(ii) i internal vertices has n = mi + 1 vertices
and l = (m − 1)i + 1
proofs of

leaves,
parts (ii)

(iii) l leaves has n = (ml − 1)/(m − 1)

and (iii) are

vertices and i = (l −
left as

1)/ (m − 1) internal vertices.

exercises

Proof (of part i): Solving for i in n = mi + 1 (from

Theorem 3) gives i = (n − 1)/m. Since each vertex
is either a leaf or an internal vertex, n = l + i. By
solving for l and using the formula for i, we see that
l = n − i = n − (n − 1)/m = [(m − 1)n +
1]/m .
Level of vertices and height of trees
 When working with trees, we often want to have rooted trees where the
subtrees at each vertex contain paths of approximately the same
length.
 To make this idea precise we need some definitions:
 The level of a vertex v in a rooted tree is the length of the unique path
from the root to this vertex.
 The height of a rooted tree is the maximum of the levels of the vertices.

Example:
(i) Find the level of each vertex in
the tree to the right.
(ii) What is the height of the tree?

(i) The root a is at level 0. Vertices b, j, and k are at level 1.

Vertices c, e, f, and l are at level 2. Vertices d, g, i, m, and n are at
Solution:
level 3.
Vertex h is at level 4.
(ii) The height is 4, since 4 is the largest level of any vertex.
Balanced m-Ary Trees
balanced if all leaves are at levels h or h − 1.
Definition: A rooted m-ary tree of height h is

Example: Which of the rooted trees shown

below is balanced?

Solution: T1 and T3 are balanced, but T2 is

not because it has leaves at levels 2, 3, and 4.
The Bound for the Number of Leaves in an
m-Ary Tree
Theorem 5: There are at most mh leaves in an m-ary tree of height h.

BASIS STEP: Consider an m-ary trees of height 1. The tree consists of a root and no more than m
Proof (by mathematical induction on height):

children, all leaves. Hence, there are no more than m1 = m leaves in an m-ary tree of height 1.
INDUCTIVE STEP: Assume the result is true for all m-ary trees of height < h. Let T be an m-ary

edges from the root to each of the vertices of level 1.

tree of height h. The leaves of T are the leaves of the subtrees of T we get when we delete the

Each of these subtrees has height ≤ h− 1. By the inductive hypothesis, each of these subtrees has
at most mh− 1 leaves. Since there are at most m such subtees, there are at most m mh− 1 = mh
leaves in the tree.

Corollary 1: If an m-ary tree of height h has l leaves, then h ≥ ⌈logm l⌉. If the m-ary tree is full
and balanced, then h = ⌈logm l⌉. (see text for the proof)
Tree Traversal
Section 11.3
Section Summary
Universal Address Systems (not currently
included in overheads)
Traversal Algorithms
Infix, Prefix, and Postfix Notation
Tree Traversal
Procedures for systematically visiting every
vertex of an ordered tree are called
traversals.
The three most commonly used traversals are
preorder traversal, inorder traversal, and
postorder traversal.
Preorder Traversal
Definition: Let T be an ordered rooted tree
with root r. If T consists only of r, then r is
the preorder traversal of T. Otherwise,
suppose that T1, T2, …, Tn are the subtrees of
r from left to right in T. The preorder
traversal begins by visiting r, and continues
by traversing T1 in preorder, then T2 in
preorder, and so on, until Tn is traversed in
preorder.
Preorder Traversal (continued)
procedure preorder (T: ordered
rooted tree)
r := root of T
list r
for each child c of r from left to right
T(c) := subtree with c as root
preorder(T(c))
Inorder Traversal
Definition: Let T be an ordered rooted tree
with root r. If T consists only of r, then r is
the inorder traversal of T. Otherwise, suppose
that T1, T2, …, Tn are the subtrees of r from
left to right in T. The inorder traversal
begins by traversing T1 in inorder, then
visiting r, and continues by traversing T2 in
inorder, and so on, until Tn is traversed in
inorder.
Inorder Traversal (continued)
procedure inorder (T: ordered rooted
tree)
r := root of T
if r is a leaf then list r
else
l := first child of r from left to right
T(l) := subtree with l as its root
inorder(T(l))
list(r)
for each child c of r from left to right
T(c) := subtree with c as root
inorder(T(c))
Postorder Traversal
Definition: Let T be an ordered rooted tree
with root r. If T consists only of r, then r is
the postorder traversal of T. Otherwise,
suppose that T1, T2, …, Tn are the subtrees of
r from left to right in T. The postorder
traversal begins by traversing T1 in
postorder, then T2 in postorder, and so on,
after Tn is traversed in postorder, r is visited.
Postorder Traversal (continued)
procedure postordered (T: ordered
rooted tree)
r := root of T
for each child c of r from left to right
T(c) := subtree with c as root
postorder(T(c))
list r
Expression Trees
Complex expressions can be represented

Consider the expression ((x + y) ↑ 2 ) + ((x −

using ordered rooted trees.

4)/3).
A binary tree for the expression can be built
from the bottom up, as is illustrated here.
Infix Notation
An inorder traversal of the tree representing
an expression produces the original
expression when parentheses are included
except for unary operations, which now
immediately follow their operands.
We illustrate why parentheses are needed
with an example that displays three trees all
yield the same infix representation.
 Łukasiewicz
Jan

(1878-1956)

Prefix Notation Example: We

 When we traverse the rooted tree show the steps
used to evaluate
representation of an expression in preorder,
we obtain the prefix form of the expression.
a particular
Expressions in prefix form are said to be in prefix
expression:
logician Jan Łukasiewicz.
Polish notation, named after the Polish

 Operators precede their operands in the

prefix form of an expression. Parentheses are
not needed as the representation is

 The prefix form of ((x + y) ↑ 2 ) + ((x − 4)/3)

unambiguous.

is + ↑ + x y 2 / − x 4 3.
 Prefix expressions are evaluated by working
from right to left. When we encounter an
operator, we perform the corresponding
operation with the two operations to the right.
Postfix Notation
Example: We
show the steps
used to evaluate
 We obtain the postfix form of an expression a particular
by traversing its binary trees in postorder. postfix
Expressions written in postfix form are said expression.
to be in reverse Polish notation.
 Parentheses are not needed as the postfix

 x y + 2 ↑ x 4 − 3 / + is the postfix
form is unambiguous.

form of ((x + y) ↑ 2 ) + ((x − 4)/3).

 A binary operator follows its two operands.
So, to evaluate an expression one works
from left to right, carrying out an operation
represented by an operator on its
preceding operands.
Spanning Trees
Section 11.4
Section Summary
Spanning Trees
Depth-First Search
Breadth-First Search
Backtracking Applications (not currently
included in overheads)
 Depth-First Search in Directed Graphs
Spanning Trees
Definition: Let G be a simple graph. A spanning tree of G is a
subgraph of G that is a tree containing every vertex of G.
Example: Find the spanning tree of this
simple graph:

Solution: The graph is connected, but is not a tree because it contains

simple circuits. Remove the edge {a, e}. Now one simple circuit is
gone, but the remaining subgraph still has a simple circuit. Remove
the edge {e, f} and then the edge {c, g} to produce a simple graph
with no simple circuits. It is a spanning tree, because it contains every
vertex of the original graph.
Spanning Trees (continued)
Theorem: A simple graph is connected if and only if it has a
spanning tree.
Proof: Suppose that a simple graph G has a spanning tree T. T
contains every vertex of G and there is a path in T between any
two of its vertices. Because T is a subgraph of G, there is a path
in G between any two of its vertices. Hence, G is connected.
Now suppose that G is connected. If G is not a tree, it contains a
simple circuit. Remove an edge from one of the simple circuits.
The resulting subgraph is still connected because any vertices
connected via a path containing the removed edge are still
connected via a path with the remaining part of the simple
circuit. Continue in this fashion until there are no more simple
circuits. A tree is produced because the graph remains
connected as edges are removed. The resulting tree is a
spanning tree because it contains every vertex of G.
Depth-First Search
 To use depth-first search to build a spanning tree for a
connected simple graph first arbitrarily choose a vertex of the
graph as the root.
 Form a path starting at this vertex by successively adding
vertices and edges, where each new edge is incident with the last
vertex in the path and a vertex not already in the path. Continue
adding vertices and edges to this path as long as possible.
 If the path goes through all vertices of the graph, the tree
consisting of this path is a spanning tree.
 Otherwise, move back to the next to the last vertex in the path,
and if possible, form a new path starting at this vertex and
passing through vertices not already visited. If this cannot be
done, move back another vertex in the path.
 Repeat this procedure until all vertices are included in the
spanning tree.
Depth-First Search (continued)
Example: Use depth-first search
to find a spanning tree of this graph.

Solution: We start arbitrarily with vertex f. We build a path by

successively adding an edge that connects the last vertex added to the path
and a vertex not already in the path, as long as this is possible. The result
is a path that connects f, g, h, k, and j. Next, we return to k, but find no
new vertices to add. So, we return to h and add the path with one edge
that connects h and i. We next return to f, and add the path connecting f, d,
e, c, and a. Finally, we return to c and add the path connecting c and b. We
now stop because all vertices have been added.
Depth-First Search (continued)
The edges selected by depth-first search of a
graph are called tree edges. All other edges
of the graph must connect a vertex to an
ancestor or descendant of the vertex in the
graph. These are called back edges.
In this figure, the tree edges are shown with
heavy blue lines. The two thin black edges
are back edges.
Depth-First Search Algorithm
We now use pseudocode to specify depth-first
search. In this recursive algorithm, after
adding an edge connecting a vertex v to the
vertex w, we finish exploring w before we
return to v to continue exploring from v.
procedure DFS(G: connected graph with vertices v1, v2,
…, vn)

visit(v1)
T := tree consisting only of the vertex v1

procedure visit(v: vertex of G)

for each vertex w adjacent to v and not yet in T
add vertex w and edge {v,w} to T
visit(w)
Breadth-First Search
We can construct a spanning tree using breadth-
first search. We first arbitrarily choose a root
from the vertices of the graph.
Then we add all of the edges incident to this vertex

say that these are the vertices at level 1.

and the other endpoint of each of these edges. We

For each vertex added at the previous level, we add

each edge incident to this vertex, as long as it does
not produce a simple circuit. The new vertices we
find are the vertices at the next level.
We continue in this manner until all the vertices
have been added and we have a spanning tree.
Breadth-First Search (continued)
Example: Use breadth-first search to find a spanning tree
for this graph.

and i. These four vertices make up level 1 in the tree. Next, we add the edges from b to a and c,
Solution: We arbitrarily choose vertex e as the root. We then add the edges from e to b, d, f,

these edges not at level 1 are at level 2. Next, add edges from these vertices to adjacent
the edges from d to h, the edges from f to j and g, and the edge from i to k. The endpoints of

level 3 is made up of the vertices l and m. This is the last level because there are no new
vertices not already in the graph. So, we add edges from g to l and from k to m. We see that

vertices to find.
Breadth-First Search Algorithm
 We now use pseudocode to describe breadth-
first search.
procedure BFS(G: connected graph with vertices v1, v2,
…, vn)

L := empty list visit(v1)

T := tree consisting only of the vertex v1

put v1 in the list L of unprocessed vertices

while L is not empty
remove the first vertex, v, from L
for each neighbor w of v
if w is not in L and not in T then
add w to the end of the list L
add w and edge {v,w} to T
 Depth-First Search in Directed Graphs
 Both depth-first search and breadth-first search can be easily modified to run on a
directed graph. But the result is not necessarily a spanning tree, but rather a
spanning forest.
Example: For the graph in (a), if
we begin at vertex a, depth-first
search adds the path connecting
a, b, c, and g. At g, we are
blocked, so we return to c. Next,
we add the path connecting f to
e. Next, we return to a and find
that we cannot add a new path.
So, we begin another tree with d
as its root. We find that this new
tree consists of the path
connecting the vertices d, h, l, k,
and j. Finally, we add a new tree,
which only contains i, its root.
 To index websites, search engines such as Google systematically explore the web
starting at known sites. The programs that do this exploration are known as Web
spiders. They may use both breath-first search or depth-first search to explore the
Web graph.