1. Database System Concepts, 5th Ed. ©Silberschatz, Korth and Sudarshan See www.db-book.com for conditions on re-usewww.db-book.com Chapter 12: Indexing and Hashing

2. ©Silberschatz, Korth and Sudarshan12.2Database System Concepts - 5 th Edition, Aug 12, 2005. Chapter 12: Indexing and Hashing n Basic Concepts n Ordered Indices n B + -Tree Index Files n Static Hashing

3. ©Silberschatz, Korth and Sudarshan12.3Database System Concepts - 5 th Edition, Aug 12, 2005. Basic Concepts n Indexing mechanisms used to speed up access to desired data. l E.g., author catalog in library n Search Key - attribute to set of attributes used to look up records in a file. n An index file consists of records (called index entries) of the form n Index files are typically much smaller than the original file n Two basic kinds of indices: l Ordered indices: search keys are stored in sorted order l Hash indices: search keys are distributed uniformly across “buckets” using a “hash function”. search-key pointer

4. ©Silberschatz, Korth and Sudarshan12.4Database System Concepts - 5 th Edition, Aug 12, 2005. Index Evaluation Metrics n Access types supported efficiently. E.g., l records with a specified value in the attribute l or records with an attribute value falling in a specified range of values. n Access time n Insertion time n Deletion time n Space overhead

5. ©Silberschatz, Korth and Sudarshan12.5Database System Concepts - 5 th Edition, Aug 12, 2005. Ordered Indices n In an ordered index, index entries are stored sorted on the search key value. E.g., author catalog in library. n Primary index: in a sequentially ordered file, the index whose search key specifies the sequential order of the file. l Also called clustering index l The search key of a primary index is usually but not necessarily the primary key. n Secondary index: an index whose search key specifies an order different from the sequential order of the file. Also called non-clustering index. n Index-sequential file: ordered sequential file with a primary index. Indexing techniques evaluated on basis of:

6. ©Silberschatz, Korth and Sudarshan12.6Database System Concepts - 5 th Edition, Aug 12, 2005. Dense Index Files n Dense index — Index record appears for every search-key value in the file.

7. ©Silberschatz, Korth and Sudarshan12.7Database System Concepts - 5 th Edition, Aug 12, 2005. Sparse Index Files n Sparse Index: contains index records for only some search-key values. l Applicable when records are sequentially ordered on search-key n To locate a record with search-key value K we: l Find index record with largest search-key value < K l Search file sequentially starting at the record to which the index record points n Less space and less maintenance overhead for insertions and deletions. n Generally slower than dense index for locating records. n Good tradeoff: sparse index with an index entry for every block in file, corresponding to least search-key value in the block.

8. ©Silberschatz, Korth and Sudarshan12.8Database System Concepts - 5 th Edition, Aug 12, 2005. Example of Sparse Index Files

9. ©Silberschatz, Korth and Sudarshan12.9Database System Concepts - 5 th Edition, Aug 12, 2005. Multilevel Index n If primary index does not fit in memory, access becomes expensive. n To reduce number of disk accesses to index records, treat primary index kept on disk as a sequential file and construct a sparse index on it. l outer index – a sparse index of primary index l inner index – the primary index file n If even outer index is too large to fit in main memory, yet another level of index can be created, and so on. n Indices at all levels must be updated on insertion or deletion from the file.

10. ©Silberschatz, Korth and Sudarshan12.10Database System Concepts - 5 th Edition, Aug 12, 2005. Multilevel Index (Cont.)

11. ©Silberschatz, Korth and Sudarshan12.11Database System Concepts - 5 th Edition, Aug 12, 2005. Index Update: Deletion n If deleted record was the only record in the file with its particular search-key value, the search-key is deleted from the index also. n Single-level index deletion: l Dense indices – deletion of search-key is similar to file record deletion. l Sparse indices –  if an entry for the search key exists in the index, it is deleted by replacing the entry in the index with the next search-key value in the file (in search-key order).  If the next search-key value already has an index entry, the entry is deleted instead of being replaced.

12. ©Silberschatz, Korth and Sudarshan12.12Database System Concepts - 5 th Edition, Aug 12, 2005. Index Update: Insertion n Single-level index insertion: l Perform a lookup using the search-key value appearing in the record to be inserted. l Dense indices – if the search-key value does not appear in the index, insert it. l Sparse indices – if index stores an entry for each block of the file, no change needs to be made to the index unless a new block is created.  If a new block is created, the first search-key value appearing in the new block is inserted into the index. n Multilevel insertion (as well as deletion) algorithms are simple extensions of the single-level algorithms

13. ©Silberschatz, Korth and Sudarshan12.13Database System Concepts - 5 th Edition, Aug 12, 2005. Secondary Indices n Frequently, one wants to find all the records whose values in a certain field (which is not the search-key of the primary index) satisfy some condition. l Example 1: In the account relation stored sequentially by account number, we may want to find all accounts in a particular branch l Example 2: as above, but where we want to find all accounts with a specified balance or range of balances n We can have a secondary index with an index record for each search-key value l index record points to a bucket that contains pointers to all the actual records with that particular search-key value.

14. ©Silberschatz, Korth and Sudarshan12.14Database System Concepts - 5 th Edition, Aug 12, 2005. Secondary Index on balance field of account

15. ©Silberschatz, Korth and Sudarshan12.15Database System Concepts - 5 th Edition, Aug 12, 2005. Primary and Secondary Indices n Secondary indices have to be dense. n Indices offer substantial benefits when searching for records. n When a file is modified, every index on the file must be updated, Updating indices imposes overhead on database modification. n Sequential scan using primary index is efficient, but a sequential scan using a secondary index is expensive l each record access may fetch a new block from disk

16. ©Silberschatz, Korth and Sudarshan12.16Database System Concepts - 5 th Edition, Aug 12, 2005. B + -Tree Index Files n Disadvantage of indexed-sequential files: performance degrades as file grows, since many overflow blocks get created. Periodic reorganization of entire file is required. n Advantage of B + -tree index files: automatically reorganizes itself with small, local, changes, in the face of insertions and deletions. Reorganization of entire file is not required to maintain performance. n Disadvantage of B + -trees: extra insertion and deletion overhead, space overhead. n Advantages of B + -trees outweigh disadvantages, and they are used extensively. B + -tree indices are an alternative to indexed-sequential files.

17. ©Silberschatz, Korth and Sudarshan12.17Database System Concepts - 5 th Edition, Aug 12, 2005. B + -Tree Index Files (Cont.) n All paths from root to leaf are of the same length n Each node that is not a root or a leaf has between [n/2] and n children. n A leaf node has between [(n–1)/2] and n–1 values n Special cases: l If the root is not a leaf, it has at least 2 children. l If the root is a leaf (that is, there are no other nodes in the tree), it can have between 0 and (n–1) values. A B + -tree is a rooted tree satisfying the following properties:

18. ©Silberschatz, Korth and Sudarshan12.18Database System Concepts - 5 th Edition, Aug 12, 2005. B + -Tree Node Structure n Typical node l K i are the search-key values l P i are pointers to children (for non-leaf nodes) or pointers to records or buckets of records (for leaf nodes). n The search-keys in a node are ordered K 1 < K 2 < K 3 <... < K n–1

19. ©Silberschatz, Korth and Sudarshan12.19Database System Concepts - 5 th Edition, Aug 12, 2005. Leaf Nodes in B + -Trees n For i = 1, 2,..., n–1, pointer P i either points to a file record with search-key value K i, or to a bucket of pointers to file records, each record having search- key value K i. Only need bucket structure if search-key does not form a primary key. n P n points to next leaf node in search-key order Properties of a leaf node:

20. ©Silberschatz, Korth and Sudarshan12.20Database System Concepts - 5 th Edition, Aug 12, 2005. Non-Leaf Nodes in B + -Trees n Non leaf nodes form a multi-level sparse index on the leaf nodes. For a non- leaf node with m pointers: l All the search-keys in the subtree to which P 1 points are less than K 1 l For 2  i  n – 1, all the search-keys in the subtree to which P i points have values greater than or equal to K i–1 and less than K m–1

21. ©Silberschatz, Korth and Sudarshan12.21Database System Concepts - 5 th Edition, Aug 12, 2005. Example of a B + -tree B + -tree for account file (n = 3)

22. ©Silberschatz, Korth and Sudarshan12.22Database System Concepts - 5 th Edition, Aug 12, 2005. Example of B + -tree n Leaf nodes must have between 2 and 4 values (  (n–1)/2  and n –1, with n = 5). n Non-leaf nodes other than root must have between 3 and 5 children (  (n/2  and n with n =5). n Root must have at least 2 children. B + -tree for account file (n = 5)

23. ©Silberschatz, Korth and Sudarshan12.23Database System Concepts - 5 th Edition, Aug 12, 2005. Queries on B + -Trees n Find all records with a search-key value of k. 1. Start with the root node 1. Examine the node for the smallest search-key value > k. 2. If such a value exists, assume it is K j. Then follow P i to the child node 3. Otherwise k  K m–1, where there are m pointers in the node. Then follow P m to the child node. 2. If the node reached by following the pointer above is not a leaf node, repeat step 1 on the node 3. Else we have reached a leaf node. 1. If for some i, key K i = k follow pointer P i to the desired record or bucket. 2. Else no record with search-key value k exists.

24. ©Silberschatz, Korth and Sudarshan12.24Database System Concepts - 5 th Edition, Aug 12, 2005. Queries on B +- Trees (Cont.) n In processing a query, a path is traversed in the tree from the root to some leaf node. n If there are K search-key values in the file, the path is no longer than  log  n/2  (K) . n With 1 million search key values and n = 100, at most log 50 (1,000,000) = 4 nodes are accessed in a lookup.

25. ©Silberschatz, Korth and Sudarshan12.25Database System Concepts - 5 th Edition, Aug 12, 2005. Updates on B + -Trees: Insertion n Find the leaf node in which the search-key value would appear n If the search-key value is already there in the leaf node, record is added to file and if necessary a pointer is inserted into the bucket. n If the search-key value is not there, then add the record to the main file and create a bucket if necessary. Then: l If there is room in the leaf node, insert (key-value, pointer) pair in the leaf node l Otherwise, split the node (along with the new (key-value, pointer) entry) as discussed in the next slide.

26. ©Silberschatz, Korth and Sudarshan12.26Database System Concepts - 5 th Edition, Aug 12, 2005. Updates on B + -Trees: Insertion (Cont.) n Splitting a node: l take the n(search-key value, pointer) pairs (including the one being inserted) in sorted order. Place the first  n/2  in the original node, and the rest in a new node. l let the new node be p, and let k be the least key value in p. Insert (k,p) in the parent of the node being split. If the parent is full, split it and propagate the split further up. n The splitting of nodes proceeds upwards till a node that is not full is found. In the worst case the root node may be split increasing the height of the tree by 1. Result of splitting node containing Brighton and Downtown on inserting Clearview

27. ©Silberschatz, Korth and Sudarshan12.27Database System Concepts - 5 th Edition, Aug 12, 2005. Updates on B + -Trees: Insertion (Cont.) B + -Tree before and after insertion of “Clearview”

28. ©Silberschatz, Korth and Sudarshan12.28Database System Concepts - 5 th Edition, Aug 12, 2005. Insertion in B + -Trees (Cont.) Read pseudocode in book!

29. ©Silberschatz, Korth and Sudarshan12.29Database System Concepts - 5 th Edition, Aug 12, 2005. Updates on B + -Trees: Deletion n Find the record to be deleted, and remove it from the main file and from the bucket (if present) n Remove (search-key value, pointer) from the leaf node if there is no bucket or if the bucket has become empty n If the node has too few entries due to the removal, and the entries in the node and a sibling fit into a single node, then l Insert all the search-key values in the two nodes into a single node (the one on the left), and delete the other node. l Delete the pair (K i–1, P i ), where P i is the pointer to the deleted node, from its parent, recursively using the above procedure.

30. ©Silberschatz, Korth and Sudarshan12.30Database System Concepts - 5 th Edition, Aug 12, 2005. Updates on B + -Trees: Deletion n Otherwise, if the node has too few entries due to the removal, and the entries in the node and a sibling fit into a single node, then l Redistribute the pointers between the node and a sibling such that both have more than the minimum number of entries. l Update the corresponding search-key value in the parent of the node. n The node deletions may cascade upwards till a node which has  n/2  or more pointers is found. If the root node has only one pointer after deletion, it is deleted and the sole child becomes the root.

31. ©Silberschatz, Korth and Sudarshan12.31Database System Concepts - 5 th Edition, Aug 12, 2005. Examples of B + -Tree Deletion n The removal of the leaf node containing “Downtown” did not result in its parent having too little pointers. So the cascaded deletions stopped with the deleted leaf node’s parent. Before and after deleting “Downtown”

32. ©Silberschatz, Korth and Sudarshan12.32Database System Concepts - 5 th Edition, Aug 12, 2005. Examples of B + -Tree Deletion (Cont.) n Node with “Perryridge” becomes underfull (actually empty, in this special case) and merged with its sibling. n As a result “Perryridge” node’s parent became underfull, and was merged with its sibling (and an entry was deleted from their parent) n Root node then had only one child, and was deleted and its child became the new root node Deletion of “Perryridge” from result of previous example

33. ©Silberschatz, Korth and Sudarshan12.33Database System Concepts - 5 th Edition, Aug 12, 2005. Example of B + -tree Deletion (Cont.) n Parent of leaf containing Perryridge became underfull, and borrowed a pointer from its left sibling n Search-key value in the parent’s parent changes as a result Before and after deletion of “Perryridge” from earlier example

34. ©Silberschatz, Korth and Sudarshan12.34Database System Concepts - 5 th Edition, Aug 12, 2005. Static Hashing n A bucket is a unit of storage containing one or more records (a bucket is typically a disk block). n In a hash file organization we obtain the bucket of a record directly from its search-key value using a hash function. n Hash function h is a function from the set of all search-key values K to the set of all bucket addresses B. n Hash function is used to locate records for access, insertion as well as deletion. n Records with different search-key values may be mapped to the same bucket; thus entire bucket has to be searched sequentially to locate a record.

35. ©Silberschatz, Korth and Sudarshan12.35Database System Concepts - 5 th Edition, Aug 12, 2005. Example of Hash File Organization (Cont.) n There are 10 buckets, n The binary representation of the ith character is assumed to be the integer i. n The hash function returns the sum of the binary representations of the characters modulo 10 l E.g. h(Perryridge) = 5 h(Round Hill) = 3 h(Brighton) = 3 Hash file organization of account file, using branch_name as key (See figure in next slide.)

36. ©Silberschatz, Korth and Sudarshan12.36Database System Concepts - 5 th Edition, Aug 12, 2005. Example of Hash File Organization Hash file organization of account file, using branch_name as key (see previous slide for details).

37. ©Silberschatz, Korth and Sudarshan12.37Database System Concepts - 5 th Edition, Aug 12, 2005. Hash Functions n Worst hash function maps all search-key values to the same bucket; this makes access time proportional to the number of search-key values in the file. n An ideal hash function is uniform, i.e., each bucket is assigned the same number of search-key values from the set of all possible values. n Ideal hash function is random, so each bucket will have the same number of records assigned to it irrespective of the actual distribution of search-key values in the file.

38. ©Silberschatz, Korth and Sudarshan12.38Database System Concepts - 5 th Edition, Aug 12, 2005. Handling of Bucket Overflows n Bucket overflow can occur because of l Insufficient buckets l Skew in distribution of records. This can occur due to two reasons:  multiple records have same search-key value  chosen hash function produces non-uniform distribution of key values n Although the probability of bucket overflow can be reduced, it cannot be eliminated; it is handled by using overflow buckets.

39. ©Silberschatz, Korth and Sudarshan12.39Database System Concepts - 5 th Edition, Aug 12, 2005. Handling of Bucket Overflows (Cont.) n Overflow chaining – the overflow buckets of a given bucket are chained together in a linked list. n Above scheme is called closed hashing. l An alternative, called open hashing, which does not use overflow buckets, is not suitable for database applications.

40. Database System Concepts, 5th Ed. ©Silberschatz, Korth and Sudarshan See www.db-book.com for conditions on re-usewww.db-book.com End of Chapter