Storage and Indexing

Storage and Indexing

• How do we store efficiently large amounts of
data?
• The appropriate storage depends on what kind
of accesses we expect to have to the data.
• We consider:
– primary storage of the data
– additional indexes (very very important).
 Cost Model for Our Analysis
 As a good approximation, we ignore CPU costs:
– B: The number of data pages
– R: Number of records per page
– D: (Average) time to read or write disk page
– Measuring number of page I/O’s ignores gains of
pre-fetching blocks of pages; thus, even I/O cost is
only approximated.
– Average-case analysis; based on several simplistic
assumptions.
 File Organizations and
Assumptions
• Heap Files:
– Equality selection on key; exactly one match.
– Insert always at end of file.
• Sorted Files:
– Files compacted after deletions.
– Selections on sort field(s).
• Hashed Files:
– No overflow buckets, 80% page occupancy.
• Single record insert and delete.
 Cost of Operations

Heap Sorted Hashed

File File File
Scan all recs
Equality Search
Range Search
Insert
Delete
 Indexes

If you don’t find it in the index,

look very carefully through the entire catalog.

Sears, Roebuck and Co., Consumer’s Guide, 1897.

 Indexes
• An index on a file speeds up selections on the
search key fields for the index.
– Any subset of the fields of a relation can be the
search key for an index on the relation.
– Search key is not the same as key (minimal set of
fields that uniquely identify a record in a relation).
• An index contains a collection of data entries,
and supports efficient retrieval of all data entries
k* with a given key value k.
 Alternatives for Data Entry k* in
Index
• Three alternatives:
• Data record with key value k
• <k, rid of data record with search key value k>
• <k, list of rids of data records with search key k>
• Choice of alternative for data entries is
orthogonal to the indexing technique used to
locate data entries with a given key value k.
– Examples of indexing techniques: B+ trees, hash-
based structures
Alternatives for Data Entries (2)
• Alternative 1:
– If this is used, index structure is a file organization for
data records (like Heap files or sorted files).
– At most one index on a given collection of data records
can use Alternative 1. (Otherwise, data records
duplicated, leading to redundant storage and potential
inconsistency.)
– If data records very large, # of pages containing data
entries is high. Implies size of auxiliary information in
the index is also large, typically.
 Alternatives for Data Entries (3)
• Alternatives 2 and 3:
– Data entries typically much smaller than data
records. So, better than Alternative 1 with large
data records, especially if search keys are small.
– If more than one index is required on a given file,
at most one index can use Alternative 1; rest must
use Alternatives 2 or 3.
– Alternative 3 more compact than Alternative 2,
but leads to variable sized data entries even if
search keys are of fixed length.
 Index Classification
• Primary vs. secondary: If search key contains
primary key, then called primary index.
• Clustered vs. unclustered: If order of data records is
the same as, or `close to’, order of data entries, then
called clustered index.
– Alternative 1 implies clustered, but not vice-versa.
– A file can be clustered on at most one search key.
– Cost of retrieving data records through index varies
greatly based on whether index is clustered or not!
 Clustered vs. Unclustered Index

Data entries
Data entries
(Index File)
(Data file)

Data Records Data Records

CLUSTERED UNCLUSTERED
 Index Classification (Contd.)
• Dense vs. Sparse: If
there is at least one
data entry per search Ashby, 25, 3000

Basu, 33, 4003

22

key value (in some data

25
Bristow, 30, 2007
30
Ashby

record), then dense. Cass Cass, 50, 5004

33

Smith Daniels, 22, 6003

– Alternative 1 always Jones, 40, 6003

40

44

leads to dense index. Smith, 44, 3000

44

– Every sparse index is

50
Tracy, 44, 5004

clustered! Sparse Index Dense Index

on on
Data File
– Sparse indexes are Name Age

smaller;
 Index Classification (Contd.)
• Composite Search Keys: Search Examples of composite key
indexes using lexicographic order.
on a combination of fields.
– Equality query: Every field 11,80 11
value is equal to a constant 12,10 12
name age sal
value. E.g. wrt <sal,age> 12,20 12
13,75 bob 12 10 13
index: <age, sal> cal 11 80 <age>
• age=20 and sal =75 joe 12 20

– Range query: Some field 10,12 sue 13 75 10

20,12 Data records 20
value is not a constant. E.g.: 75,13 sorted by name 75
• age =20; or age=20 and 80,11 80

sal > 10 <sal, age> <sal>

Data entries in index Data entries
sorted by <sal,age> sorted by <sal>
 Tree-Based Indexes
• ``Find all students with gpa > 3.0’’
– If data is in sorted file, do binary search to find
first such student, then scan to find others.
– Cost of binary search can be quite high.
• Simple idea: Create an `index’ file.
k1 k2 kN Index File

Page 1 Page 2 Page 3 Page N Data File

 Can do binary search on (smaller) index file!

 Tree-Based Indexes (2)
index entry

P K P K 2 P K m Pm
0 1 1 2

40 Root

20 33 51 63

10* 15* 20* 27* 33* 37* 40* 46* 51* 55* 63* 97*
 B+ Tree: The Most Widely Used
Index
• Insert/delete at log F N cost; keep tree height-
balanced. (F = fanout, N = # leaf pages)
• Minimum 50% occupancy (except for root).
Each node contains d <= m <= 2d entries.
The parameter d is called the order of the tree.
Root
Index Entries

Data Entries
 Example B+ Tree
• Search begins at root, and key comparisons
direct it to a leaf.
• Search for 5*, 15*, all data entries >=
24* ...
13 17 24 30

2* 3* 5* 7* 14* 16* 19* 20* 22* 24* 27* 29* 33* 34* 38* 39*
 B+ Trees in Practice
• Typical order: 100. Typical fill-factor: 67%.
– average fanout = 133
• Typical capacities:
– Height 4: 1334 = 312,900,700 records
– Height 3: 1333 = 2,352,637 records
• Can often hold top levels in buffer pool:
– Level 1 = 1 page = 8 Kbytes
– Level 2 = 133 pages = 1 Mbyte
– Level 3 = 17,689 pages = 133 MBytes
 Inserting a Data Entry into a B+
Tree
• Find correct leaf L.
• Put data entry onto L.
– If L has enough space, done!
– Else, must split L (into L and a new node L2)
• Redistribute entries evenly, copy up middle key.
• Insert index entry pointing to L2 into parent of L.
• This can happen recursively
– To split index node, redistribute entries evenly, but
push up middle key. (Contrast with leaf splits.)
 Insertion in a B+ Tree
Insert (K, P)
• Find leaf where K belongs, insert
• If no overflow (2d keys or less), halt
• If overflow (2d+1 keys), split node, insert in parent:

(K3, ) to parent

K1 K2 K3 K4 K5 K1 K2 K4 K5
P0 P1 P2 P3 P4 p5 P0 P1 P2 P3 P4 p5
• If leaf, keep K3 too in right node
• When root splits, new root has 1 key only
 Insertion in a B+ Tree
Insert K=19
80

20 60 100 120 140

10 15 18 20 30 40 50 60 65 80 85 90

10 15 18 20 30 40 50 60 65 80 85 90
 Insertion in a B+ Tree
After insertion
80

20 60 100 120 140

10 15 18 19 20 30 40 50 60 65 80 85 90

10 15 18 19 20 30 40 50 60 65 80 85 90
 Insertion in a B+ Tree
Now insert 25
80

20 60 100 120 140

10 15 18 19 20 30 40 50 60 65 80 85 90

10 15 18 19 20 30 40 50 60 65 80 85 90
 Insertion in a B+ Tree
After insertion
80

20 60 100 120 140

10 15 18 19 20 2 30 4 50 60 65 80 85 90
5 0

10 15 18 19 20 25 30 40 50 60 65 80 85 90
 Insertion in a B+ Tree
But now have to split !
80

20 60 100 120 140

10 15 18 19 20 2 30 4 50 60 65 80 85 90
5 0

10 15 18 19 20 25 30 40 50 60 65 80 85 90
 Insertion in a B+ Tree
After the split
80

20 30 60 100 120 140

10 15 18 19 20 2 30 4 5 60 65 80 85 90
5 0 0

10 15 18 19 20 25 30 40 50 60 65 80 85 90
 Insertion in a B+ Tree
Another B+ Tree
80

20 30 60 70 100 120 140

10 15 18 19 20 2 30 4 5 60 65 80 85 90
5 0 0

10 15 18 19 20 25 30 40 50 60 65 80 85 90
 Insertion in a B+ Tree
Now Insert 12
80

20 30 60 70 100 120 140

10 15 18 19 20 2 30 4 5 60 65 80 85 90
5 0 0

10 15 18 19 20 25 30 40 50 60 65 80 85 90
 Insertion in a B+ Tree
Need to split leaf
80

20 30 60 70 100 120 140

10 1 15 1 19 20 2 30 4 5
2 8 5 0 0

10 12 15 18 19 20 25 30 40 50
 Insertion in a B+ Tree
Need to split branch
80

15 2 30 6 70 100 120 140

0 0

10 1 15 1 1 20 2 30 4 5
2 8 9 5 0 0

10 12 15 18 19 20 25 30 40 50
 Insertion in a B+ Tree
After split
30 80

15 20 60 70 100 120 140

10 1 15 1 1 20 2 30 4 5
2 8 9 5 0 0

10 12 15 18 19 20 25 30 40 50
Deleting a Data Entry from a B+ Tree
• Start at root, find leaf L where entry belongs.
• Remove the entry.
– If L is at least half-full, done!
– If L has only d-1 entries,
• Try to re-distribute, borrowing from sibling
(adjacent node with same parent as L).
• If re-distribution fails, merge L and sibling.
• If merge occurred, must delete entry (pointing to L
or sibling) from parent of L.
• Merge could propagate to root, decreasing height.
 Deletion from a B+ Tree
Delete 30
80

20 30 60 100 120 140

10 15 18 19 20 2 30 4 5 60 65 80 85 90
5 0 0

10 15 18 19 20 25 30 40 50 60 65 80 85 90
 Deletion from a B+ Tree
After deleting 30
May change to 80
40, or not

20 30 60 100 120 140

10 15 18 19 20 2 40 5 60 65 80 85 90
5 0

10 15 18 19 20 25 40 50 60 65 80 85 90
 Deletion from a B+ Tree
Now delete 25
80

20 30 60 100 120 140

10 15 18 19 20 2 40 5 60 65 80 85 90
5 0

10 15 18 19 20 25 40 50 60 65 80 85 90
 Deletion from a B+ Tree
After deleting 25
Need to rebalance
80
Rotate

20 30 60 100 120 140

10 15 18 19 20 40 5 60 65 80 85 90
0

10 15 18 19 20 40 50 60 65 80 85 90
 Deletion from a B+ Tree
Now delete 40
80

19 30 60 100 120 140

10 15 18 19 2 40 5 60 65 80 85 90
0 0

10 15 18 19 20 40 50 60 65 80 85 90
 Deletion from a B+ Tree
After deleting 40
Rotation not possible
80
Need to merge nodes

19 30 60 100 120 140

10 15 18 19 2 50 60 65 80 85 90
0

10 15 18 19 20 50 60 65 80 85 90
 Deletion from a B+ Tree
Final tree
80

19 60 100 120 140

10 15 18 19 2 5 60 65 80 85 90
0 0

10 15 18 19 20 50 60 65 80 85 90