INDEX (CHAPTER 12)

1 9/23/2007
 TOPICS

• Basic concepts
• Hashing
• B+-tree

2 9/23/2007
 INTRODUCTION

• Review

Conceptual E-R data model

Logical Relational data model

SQL

Physical relation = a file

Org. of records on a disk page
Organization of attributes within a record
I d Fil
Index Files

3 9/23/2007
 Software Architecture of a DBMS

Query Parser

Query Optimizer
Query Interpretor

Relational Algebra operators: ∏, σ, ρ, δ, ←, ∪, ∩, ÷, −

Index structures

Abstraction of records

Buffer Pool Manager

File System

4 9/23/2007
 Implementation of б

SS# N
Name A
Age S l
Salary d
dno
1 Joe 24 20000 2
• Emp table: 2 Mary 20 25000 3
3 B b
Bob 22 27000 4
4 Kathy 30 30000 5
5 Shideh 4 4000 1

SS# Name Age Salary dno

• бSalary=30,000(Employee)
4 Kathy 30 30000 5

• Process the select operator using a file scan (linear scan)

F1 = Open the file corresponding to Employee
P = read first page of F1
While P is not null
For each record in P, if the record satisfies the selection predicate then produce as output
P = read next page of F1 /* P becomes null when EoF is reached */

5 9/23/2007
 Implementation of б

SS# N
Name A
Age S l
Salary d
dno
1 Joe 24 20000 2
• Emp table: 2 Mary 20 25000 3
3 B b
Bob 22 27000 4
4 Kathy 30 30000 5
5 Shideh 4 4000 1

SS# Name Age Salary dno

• бSalary=30,000(Employee)
4 Kathy 30 30000 5

Fetch the page from

disk if not in the
• Process the select operator using a file scan (linear scan)
buffer pool
F1 = Open the file corresponding to Employee
P = read first page of F1
While P is not null
For each record in P, if the record satisfies the selection predicate then produce as output
P = read next page of F1

6 9/23/2007
 Implementation of б

SS# N
Name A
Age S l
Salary d
dno
1 Joe 24 20000 2
• Emp table: 2 Mary 20 25000 3
3 B b
Bob 22 27000 4
4 Kathy 30 30000 5
5 Shideh 4 4000 1

SS# Name Age Salary dno

• бSalary=30,000(Employee) 4 Kathy 30 30000 5

Header

• Process the select operator using a file scan (linear scan)

F1 = Open the file corresponding to Employee
P = read first page of F1
While P is not null
For each record in P, if the record satisfies the selection predicate then produce as output
P = read next page of F1

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 TERMINOLOGY

• An exact match selection predicate: бSalary=30,000(Employee) ,

бFirstName= Shideh (Employee)
FirstName=“Shideh”

• A range selection predicate: бSalary>30,000(Employee) , бSalary<30,000(Employee),

(Employee)
бSalary>30,000 and Salary < 32,000 (Employee)

8 9/23/2007
 INTRODUCTION (Cont…)
( )

• Motivation: Speed-up those queries that reference only a small portion of the
records in a file.
• Analogy: Catalog cards in the library (more than one index).
• Evaluation:
1. Access time (find)
2. Insertion time (find + add)
3. Deletion time (find + delete)
4 Space
4. S overhead
h d
• Search-key: The attribute (or set of attributes) used to lookup records in a file
• Primaryy index: The index whose search keyy specifies
p the sequential
q order of
the records within a file.
• Secondary index: The index whose search key does not specify the sequential
order of the records within a file.

9 9/23/2007
 INTRODUCTION (Cont…)
( )

• Example:
State Name Age Other!
Alaska Alaska Bob 12 ... Alice
Alaska Alaska George 28 Bob
Arizona Arizona David 48 Charles
California California Hellen 20 David
California California Jack 37 David
Florida Florida Frank 10 Frank
Florida Florida Charles 4 George
Indiana Indiana Joe 12 Hellen
Ohio Ohio Alice 23 Jack
Ohio Ohio David 36 Joe

• Assume, size of disk page = 2 data records = 5 index records.

• I d i or nott iindexing?
Indexing d i ?
SELECT age SELECT age
FROM personnel FROM personnel
WHERE name = “Alice”
Alice WHERE name = “Don”
Don

10 9/23/2007
 INTRODUCTION (Cont…)
( )

• Example:
State Name Age Else!
Alaska Alaska Bob 12 ... Alice
Alaska Alaska George 28 Bob
Boston Boston David 48 Charles
California California Hellen 20 David
California California Jack 37 David
Florida Florida Frank 10 Frank
Florida Florida Charles 4 George
Indiana Indiana Joe 12 Hellen
Ohio Ohio Alice 23 Jack
Ohio Ohio David 36 Joe

• Assume, size of disk page = 2 data records = 5 index records.

• Primary vs. Secondary”
SELECT name SELECT age
FROM personnel FROM personnel
WHERE state
t t = “Ohio”
“Ohi ” WHERE name = “David”
“D id”

11 9/23/2007
 INTRODUCTION (Cont…)
( )

• Example: (page = 2 data = 5 index)

State Name Age Else!
Alaska
Al k Alaska
Al k Bobb
B 12 ... Alice
Ali
Alaska Alaska George 28 Bob
Boston Boston David 48 Charles
California California Hellen 20 David
California California Jack 37 David
Florida Florida Frank 10 Frank
Florida Florida Charles 4 George
Indiana Indiana Joe 12 Hellen
Ohio Ohio Alice 23 Jack
Ohio Ohio David 36 Joe

• Exact match vs. Range

SELECT name SELECT name
FROM personnel FROM personnel
WHERE state = “California” WHERE state >= “Alaska” and
state <= “Florida”
• Speed p bby emplo
Speedup employing
ing binary
binar search (is it possible?)

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 Dense Index Files

• Dense index — Index record appears for every search-key value in the file.

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Example
p of Sparse
p Index Files

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Multilevel Index

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 HASHING

Hash function:
• K: the set of all search key values
• V: the set of all bucket address
• h(K): K V
• K is large (perhaps infinite) but set of search
search-key
key values actually stored in the
database is much smaller than K.
• Fast lookup: To find Ki, search the bucket with h(Ki) address.

16 9/23/2007
 HASHING (Cont…)
( )

• Example:
– K = salaryy (set
( of all 6 digit
g integers)
g )
– V = 1000 buckets addressed from 0 to 999
– h(k) = k mod 1000.
SELECT name
FROM personnel
WHERE salary = “120,100”

• To find a 120,100
120 100 salary,
salary we should search bucket number 100.
100
• Hash is only appropriate for Exact match queries.
• A bad hash function maps the value to a subset of (or a few) buckets (e.g., h(k)
= k mod 10.
10

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 HASHING (Cont…)
( )

• Clustered Hash Index

– The index structure and its buckets are represented
p as a file (say
( y file.hash))
– The relation is stored in file.hash (I.e., each entry in file.hash corresponds to a
record in relation)
– Assuming no duplicates: the record can be accessed in 1 IO.
• N
Non-clustered
l d Hash
H h IIndex:
d
– The index structure and its buckets are represented as a file (say file.hash)
– The relation remains intact
– Each entry in file.hash
file hash has the following format: (search-key
(search key value
value, RID)
– Assuming no duplicates: the record can be accessed in 2 IO.

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 HEAP FILE ORGANIZATION

• Assume a student table: Student(name, age, gpa, major)

t(Student) = 16
P(Student)
( )=4

Bob, 21, 3.7, CS Kane, 19, 3.8, ME Louis, 32, 4, LS Chris, 22, 3.9, CS

Mary, 24, 3, ECE Lam, 22, 2.8, ME Martha, 29, 3.8, CS Chad, 28, 2.3, LS
Tom, 20, 3.2, EE Chang, 18, 2.5, CS James, 24, 3.1, ME Leila, 20, 3.5, LS
Kathy, 18, 3.8, LS Vera, 17, 3.9, EE Pat, 19, 2.8, EE Shideh, 16, 4, CS

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 Non-Clustered Hash Index
• A non-clustered hash index on the age attribute with 4 buckets,
buckets
• h(age) = age % B (24, (1, 2)) (20, (4,3))
(32, (3,1)) (16, (4,4))
( (1,
(21, ( 1))))
(20 (1
(20, (1,3))
3)) (24 (3
(24, (3,3))
3))
(17, (2,4))
0 (29, (3,2)) (28, (4,2))
1
2 (18, (1
(18 (1, 4))
3
(22, (2,2))
(19, (2, 1))
(22, (4,1))
(19, (3, 4))
(18 (2
(18, (2,3))
3))

B b 21,
Bob, 21 3.7,
3 7 CS K
Kane, 19
19, 33.8,
8 ME L i 32,
Louis, 32 4,
4 LS Ch i 22,
Chris, 22 3.9,
3 9 CS

Mary, 24, 3, ECE Lam, 22, 2.8, ME Martha, 29, 3.8, CS Chad, 28, 2.3, LS
Tom 20,
Tom, 20 3.2,
3 2 EE Chang 18,
Chang, 18 2.5,
2 5 CS James 24,
James, 24 3.1,
3 1 ME Leila 20,
Leila, 20 33.5,
5 LS
Kathy, 18, 3.8, LS Vera, 17, 3.9, EE 20 Pat, 19, 2.8, EE Shideh,
9/23/2007 16, 4, CS
 Clustered Hash Index
• A clustered hash index on the age attribute with 4 buckets,
buckets
• h(age) = age % B Mary, 24, 3, ECE Shideh, 16, 4, CS
Louis, 32, 4, LS Leila, 20, 3.5, LS
Bob, 21, 3.7, CS
T
Tom, 20,
20 3.2,
3 2 EE J
James, 24
24, 33.1,
1 ME
Vera, 17, 3.9, EE
0 Martha, 29, 3.8, CS Chad, 28, 2.3, LS
1
2 Kathy,
K h 1818, 33.8,
8 LS
3
Lam, 22, 2.8, ME
Kane, 19, 3.8, ME
Chris, 22, 3.9, CS
Pat, 19, 2.8, EE
Ch
Chang, 18,
18 2.5,
2 CS

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 Non-Clustered Hash Index
• A non-clustered hash index on the age attribute with 4 buckets,
buckets 500
• h(age) = age % B (24, (1, 2)) (20, (4,3))
• Pointers are page-ids 1001 (32, (3,1)) (16, (4,4))
( (1,
(21, ( 1))))
(20 (1
(20, (1,3))
3)) (24 (3
(24, (3,3))
3))
(17, (2,4))
0 (29, (3,2)) (28, (4,2))
500
1 1001 706
2 706 (18, (1
(18 (1, 4))
3 101 101 (22, (2,2))
(19, (2, 1))
(22, (4,1))
(19, (3, 4))
(18 (2
(18, (2,3))
3))

B b 21,
Bob, 21 3.7,
3 7 CS K
Kane, 19
19, 33.8,
8 ME L i 32,
Louis, 32 4,
4 LS Ch i 22,
Chris, 22 3.9,
3 9 CS

Mary, 24, 3, ECE Lam, 22, 2.8, ME Martha, 29, 3.8, CS Chad, 28, 2.3, LS
Tom 20,
Tom, 20 3.2,
3 2 EE Chang 18,
Chang, 18 2.5,
2 5 CS James 24,
James, 24 3.1,
3 1 ME Leila 20,
Leila, 20 33.5,
5 LS
Kathy, 18, 3.8, LS Vera, 17, 3.9, EE 22 Pat, 19, 2.8, EE Shideh,
9/23/2007 16, 4, CS
 Clustered Hash Index (SEQUENTIAL LAYOUT)
• A clustered hash index on the age attribute with 4 buckets,
buckets
• h(age) = age % 4
• When the number of buckets are known in advance, the system may
assume a sequentially laid file to eliminate the need for the hash directory.

Shideh, 16, 4, CS
Leila,, 20,, 3.5,, LS
James, 24, 3.1, ME

Mary, 24
M 24, 33, ECE Bob, 21, 3.7, CS Kathy, 18, 3.8, LS Kane, 19, 3.8, ME
Louis, 32, 4, LS Vera, 17, 3.9, EE Lam, 22, 2.8, ME Pat, 19, 2.8, EE
Tom, 20, 3.2, EE Martha, 29, 3.8, CS Chris, 22, 3.9, CS
Ch d 28,
Chad, 28 2.3,
2 3 LS Chang, 18, 2.5, CS

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 Clustered Hash Index (SEQUENTIAL LAYOUT)
• A clustered hash index on the age attribute with 4 buckets,
buckets
• h(age) = age % 4
• When the number of buckets are known in advance, the system may
assume a sequentially laid file to eliminate the need for the hash directory.

Offset (bucket-id –1)

Shideh, 16, 4, CS
times page size is for
Leila,, 20,, 3.5,, LS
bucket id
bucket-id
James, 24, 3.1, ME
Offset 0 is for bucket 0

Offset Page Size is for bucket 1

Mary, 24
M 24, 33, ECE Bob, 21, 3.7, CS Kathy, 18, 3.8, LS Kane, 19, 3.8, ME
Louis, 32, 4, LS Vera, 17, 3.9, EE Lam, 22, 2.8, ME Pat, 19, 2.8, EE
Tom, 20, 3.2, EE Martha, 29, 3.8, CS Chris, 22, 3.9, CS
Ch d 28,
Chad, 28 2.3,
2 3 LS Chang, 18, 2.5, CS

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 Block
Bucket address
Number on disk
0
1
2

M-2
M-1

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Example of Non-Clustered Hash Index

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 Main buckets Overflow buckets
0 340 981 Record pointer

1 460 Record pointer

181 Record pointer
2 Record pointer

321 551 Record pointer

761
91 Record pointer
Record pointer Record pointer

22
9 72
522
Record ppointer

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 Block
Bucket address
Number on disk
0
1
2

M-2
M-1

28 9/23/2007
Example of Hash Index

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 Main buckets Overflow buckets
0 340 981 Record pointer

1 460 Record pointer

182 Record pointer
2 Record pointer

321 552 Record pointer

761
91 Record pointer
Record pointer Record pointer

22
9 72
522
Record ppointer

30 9/23/2007
 HASHING (Cont…)
( )

• Loading factor
– B = # of buckets,, S = # of records pper bucket,, R = # of records in the relation
– loading - factor = R / (B×S)
– The loading factor should not exceed 80%, if that happens, double B and re-hash.
• Why a bucket might overflow?
– Heavy loading of the file
– Poor hash functions
– Statistical peculiarities
• If a bucket
b k t overflows?
fl ?
– Chaining: chain an empty bucket to the bucket that overflows.
– Open addressing: If bucket h(k) is full, store the record in h(k) + 1, if that is also
full,, tryy h(k)
( ) + 2,, and so on.
– Two hash functions: If bucket h(k) is full, store the record in h’(k).

31 9/23/2007
 HASHING (Cont…)
( )

• Problem: The file grows and shrinks over time. Hence, how one should choose
the hash function:
1. Based on current file size performance degradation as DB grows
2. Based on anticipated file size waste space initially (and reduced buffer hits)
3. Periodical reorganization time consuming
3.1. Choose new hash function
3.2. Recompute hash value on every record
3.3. Generate new bucket assignments
• S l ti
Solution:
– Dynamic hash functions: dynamic modification of h to accommodate growth and
shrinkage of the DB. (e.g., extendible hashing)

32 9/23/2007
 HASHING (Cont…)
( )

Extendible hashing
• Choose a hash function (h) such that it results in a b (b = 32) bit binary
number.
• The directory has a header that contains its depth, d.
• Each directoryy entryy ppoints to a hash bucket.
• Buckets are created on demand, as records are inserted.
• Each bucket contains a local depth used to find data.
Directory depth

1 bucket
2 directory
00
01
10
siblings
11

33 9/23/2007
 HASHING (Cont…)
( )

Extendible hashing (continued):

• Every time a bucket overflows, its local depth is increased. If the local depth is
greater than the depth of the directory, the directory’s depth is increased,
causing the directory to double in size.
• Each directory entry has one sibling or buddy. Two entries are buddies if they
have identical bit patterns except for the dth bit.
• Every time a bucket overflows, its local depth is increased.
• If the local depth is greater than the depth of the directory, then the directory’s
d th is
depth i increased,
i d causing
i theth directory
di t to
t double
d bl in i size.
i
• A bucket can overflow at any desired loading factor. That is, a split might
happen every time a bucket is 80% full.

34 9/23/2007
 HASHING (Cont…)
( )

• Retrieval with Extendible hashing:

Retrieve (K0)
1. Calculate h’ = h(K0)
2. Read depth d of the directory
3. Interpret
p the d initial bits of h’ as an integer
g base 2,, term this r.
4. Retrieve the bucket pointed to by the rth entry
5. Find the record in this bucket
5.1. If a hashing technique is used to organize the records in a bucket, use the d bits
d fi d on that
defined h bucket
b k
5.2. If necessary, follow the collision resolution scheme within this bucket.

35 9/23/2007
 HASHING (Cont…)
( )

• Insertion with Extendible hashing:

Insert (K0)
1. Apply the first four steps of Retrieve (K0) to find bucket b.
2. If the insertion of K0 into b result in no overflow then Insert K0 into b and return
3. Otherwise,, obtain a new bucket b’
4. Set the local depth of b’ and b to equal (local depth of b + 1)
5. If the new depth is NOT greater than the depth of the directory
5.1. Distinguish between b and b’ using their new d and set the appropriate
entry(ies)
(i ) off the
h directory
di to point
i to eachh
5.2. Rehash the entries in bucket b and assign each individual entry to the
appropriate bucket b or b’
5.3. Insert ((K0)
6. If the new depth is greater than the depth of the directory
6.1 Increase the depth of the directory, doubling its size
6.2. Set each entry and its buddy to point to the old bucket that it was pointing to
6.3. Insert (K0)

36 9/23/2007
 HASHING (Cont…)
( )

• Deletion with Extendible hashing:

• Delete (K0)
1. Apply the first four steps of Retrieve (K0) to find bucket b.
2. If K0 is not b then return with value no found
3. Otherwise, delete the entry corresponding to K0
4. If the sum of the number of entries on this page and its sibling page are below the
size of a bucket then:
4.1. Copy the entries in the two buckets into one bucket b’
4 2 Depth of bb’ = (depth of b - 1)
4.2.
4.3. Free bucket b and its sibling
4.4. Locate the two hash directory entries pointing to b and its buddy. Set these two
pointers to b’
4.5. If every pointer in the directory equals its sibling pointer then decrease the
depth of the directory by one and set each entry in an obvious manner.

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Use of Extendable Hash Structure: Example

Initial Hash structure, bucket size = 2

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 Example
p ((Cont.))
• Hash structure after insertion of one Brighton and two Downtown records

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 Example
p ((Cont.))
Hash structure after insertion of Mianus record

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 Example (Cont.)

H h structure
Hash t t after
ft insertion
i ti off three
th Perryridge
P id records
d
41 9/23/2007
 Example
p ((Cont.))

• Hash structure after insertion of Redwood and Round Hill records

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 HASHING (Cont…)
( )

• Extendible hashing:
The insertion algorithm of extendible hashing might crash when

43 9/23/2007
 HASHING (Cont…)
( )

Hashing vs. Indexing

• Hashing is appropriate for exact match queries: (cannot support range queries)
SELECT A1, A2, …
FROM r
WHERE (Ai = c)
• Indexing is appropriate for both range and exact match queries:
SELECT A1, A2, …
FROM r
WHERE (Ai <= c1) and (Ai > c2)

44 9/23/2007
 Example
p

• Suppose that we are using extendable hashing on a file that contains records
with the following
g search keyy values:

2, 3, 5, 7, 11, 17, 19, 23, 29, 31

Show the extendable hash structure for this file if hash function is

h(x)
( ) = x mod 8 and buckets can hold three records

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 B+-TREE

• B+-tree is a multi-level tree structured directory

Root

Internal
…. Nodes

Leaf
... ...
Nodes
Data
File

• Clustered: Leaf nodes contain the records,

records themselves.
themselves

46 9/23/2007
 B+-TREE (Cont…)
( )

• Non-clustered: Leaf nodes contain the pairs (P, K), where P is a pointer to the
record in the file and K is a search-key.
y

47 9/23/2007
 B+-TREE (Cont…)
( )

• Leaf nodes
P1 K1 P2 ... Pn-1 Kn-1 Pn

(n-1)
– Maintain between 2 to n-1 values per leaf.
– If i < j then Ki < Kj

5 7 10 (n = 4)

– Every search-key value in the file appears in some leaf node.

– Suppose Li and Lj are two leaves and i < j, then every search value in Li is less than
every search value in Lj.

5 7 10 15 17 18

48 9/23/2007
 B+-TREE (Cont…)
( )

• Internal nodes
n
– Maintain between 2 to n p
pointers pper internal node
– root is an exception: It must have more than one pointer.
– Suppose a node with m pointers and 2<= i < m:
1. Pi points to subtree containing search-key values < Ki and >= Ki-1.
2. Pm points to subtree containing search-key values >= Km-1.
3. P1 points to subtree containing search-key values < K1.

5 7 10

2 3 5 6 10 10 11

49 9/23/2007
 To calculate the order n of a B+-tree
tree
• Suppose that the search key field is V = 9 bytes long, the
block size is B=512 bytes,
bytes a record pointer is Pr = 7 bytes,
bytes
and a block pointer is P = 6 bytes.
1. Calculate order of the internal nodes
2. Calculate order of the leaf nodes

50 9/23/2007
 To calculate the order n of a B+-tree
tree
• Suppose that the search key field is V = 9 bytes long, the
block size is B=512 bytes,
bytes a record pointer is Pr = 7 bytes,
bytes
and a block pointer is P = 6 bytes.
1. Calculate order of the internal nodes

• An internal node Of a B+-tree can have up to n tree

pointers
i andd n-1 searchh key
k values
l
• (n * P) + ((n-1) * V) <= B
• (n * 6) +((n
+((n-1)
1) * 9) <= 512
• (15 * n ) <= 521
• n = 34
51 9/23/2007
 To calculate the order n of a B+-tree
tree
• Suppose that the search key field is V = 9 bytes long, the
block size is B
B=512
512 bytes,
bytes a record pointer is Pr = 7 bytes,
bytes
and a block pointer is P = 6 bytes.

Calculate
C l l order d off the
h leaf
l f nodes
d
• The leaf nodes of the B+-tree will have the same
number of values and ppointers,, except
p that the pointers
p
are data pointers and a next pointer.
• (nleaf * (Pr + V)) + P <= B
• (nleaf * (7 + 9)) + 6 <= 512
• (16 * nleaf ) <= 506
• nleaf = 31

52 9/23/2007
 B+-TREE (Cont…)
( )

• Lookup 30

8 41 50

4 7 10 20 30 40 41 47 50 52

4 30 50
7 40 52
10 41
20 47

– Find 7: 4 Ios
– Find 4-20: 4 IOs (assuming primary index), 8 IOs (assuming secondary index)
– More than 10% selection: it is more efficient to do sequential scan (do not use the
secondary
d iindex).
d )
– Example: 10,000 records, select 1000 of them, 1000 records per disk page:
(Sequential search: 10 IOs, Secondary index: potentially 1000+ IOs)

53 9/23/2007
 B+-TREE (Cont…)
( )

• Analysis
– “B” in B+-tree stands for Balanced. i.e.,, the length
g of everyy ppath from the root to a
leaf node is the same.
– Hence, good performance for lookup, insertion, and deletion
– K: number of search key values in a file, then the path is < log n (K).
2
– #K = 1,000,000,
1 000 000 andd 10 <= n <= 100 ththen att mostt 3 to
t 9 nodes
d be b accessed.d
– Insertion and Deletion should not destroy the balance of the tree.

54 9/23/2007
 B+-TREE (Cont…)
( )
n = 4;
8 25
Internal nodes: 2 to 4 pointers
Leaf nodes: 2 to 3 values
4 7 10 20 30 40

8 25
Insert 41
4 7 10 20 30 40 41

Insert 47
30 40 41 47

8 25 41

4 7 10 20 30 40 41 47

55 9/23/2007
 B+-TREE (Cont…)
( )
8 25 41
Insert 50
4 7 10 20 30 40 41 47 50

Insert 52
41 47 50 52

8 25 41 50

41

8 25 50

4 7 10 20 30 40 41 47 50 52

56 9/23/2007
 B+-TREE (Cont…)
( )
30

8 41 50

4 7 10 20 30 40 41 47 50 52

D l 20
Delete 30

8 41 50

4 7 10 30 40 41 47 50 52

30 41 50

4 7 10 30 40 41 47 50 52

57 9/23/2007
 Example
• Construct a B+- tree for the following set of
values:
l

2, 3, 5, 7, 11, 17, 19, 23, 29, 31

• Assume n = 4 (number of pointers)

– Inner nodes : 4 to 2 children
– Leaf nodes : 3 to 2 values

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