Multilevel Indexing and

B+ Trees

CENG 351 File Structures

Problems with simple indexes

If index does not fit in memory:
1. Seeking the index is slow (binary search):

We dont want more than 3 or 4 seeks for a search.

N

Log(N+1)

15 keys

1000

~10

100,000

~17

1,000,000

~20

2. Insertions and deletions take O(N) disk accesses.

CENG 351 File Structures

Indexed Sequential Files

Provide a choice between two alternative

views of a file:
1. Indexed: the file can be seen as a set of
records that is indexed by key; or
2. Sequential: the file can be accessed
sequentially (physically contiguous
records), returning records in order by
key.
CENG 351 File Structures

Example of applications
Student record system in a university:
Indexed view: access to individual records
Sequential view: batch processing when posting
grades

Credit card system:

Indexed view: interactive check of accounts
Sequential view: batch processing of payments

CENG 351 File Structures

The initial idea

Maintain a sequence set:
Group the records into blocks in a sorted way.
Maintain the order in the blocks as records are
added or deleted through splitting,
concatenation, and redistribution.

Construct a simple, single level index for

these blocks.
Choose to build an index that contain the key
for the last record in each block.
CENG 351 File Structures

Maintaining a Sequence Set

Sorting and re-organizing after insertions and
deletions is out of question. We organize the
sequence set in the following way:
Records are grouped in blocks.
Blocks should be at least half full.
Link fields are used to point to the preceding block and
the following block (similar to doubly linked lists)
Changes (insertion/deletion) are localized into blocks
by performing:
Block splitting when insertion causes overflow
Block merging or redistribution when deletion causes
underflow.
CENG 351 File Structures

Example: insertion
Block size = 4
Key : Last name
Block 1 ADAMS

BIXBY

CARSON COLE

Insert BAIRD :
Block 1

ADAMS BAIRD

Block 2 CARSON ..

BIXBY

COLE

CENG 351 File Structures

Example: deletion
Block 1 ADAMS

BAIRD

BIXBY

Block 2 BYNUM

CARSON ..

CARTER ..

Block 3

BOONE

DENVER ELLIS

Block 4 COLE

DAVIS

Delete DAVIS, BYNUM, CARTER,

CENG 351 File Structures

Add an Index set

Key

Block

BERNE
CAGE
DUTTON
EVANS
FOLK
GADDIS

1
2
3
4
5
6

CENG 351 File Structures

Tree indexes
This simple scheme is nice if the index fits in
memory.
If index doesnt fit in memory:
Divide the index structure into blocks,
Organize these blocks similarly building a tree
structure.

Tree indexes:

B Trees
B+ Trees
Simple prefix B+ Trees

CENG 351 File Structures

10

Separators
Block
1

Range of Keys

Separator

ADAMS-BERNE
BOLEN

BOLEN-CAGE
CAMP

CAMP-DUTTON
EMBRY

EMBRY-EVANS
FABER

FABER-FOLK
FOLKS

FOLKS-GADDIS

CENG 351 File Structures

11

root
EMBRY

Index set

BOLEN

FABER

CAMP-DUTTON

ADAMS-BERNE

CAMP

BOLEN-CAGE

FOLKS

EMBRY-EVANS

FOLKS-GADDIS

FABER-FOLK

5
CENG 351 File Structures

12

B Trees
B-tree is one of the most important data structures
in computer science.
What does B stand for? (Not binary!)
B-tree is a multiway search tree.
Several versions of B-trees have been proposed,
but only B+ Trees has been used with large files.
A B+tree is a B-tree in which data records are in
leaf nodes, and faster sequential access is possible.

CENG 351 File Structures

13

Formal definition of B+ Tree Properties

Properties of a B+ Tree of order v :
All internal nodes (except root) has at least v keys
and at most 2v keys .
The root has at least 2 children unless its a leaf..
All leaves are on the same level.
An internal node with k keys has k+1 children

CENG 351 File Structures

14

B+ tree: Internal/root node

structure
P0 K1 P1 K2

Pn-1 Kn Pn

Each Pi is a pointer to a child node; each Ki is a search key value

# of search key values = n, # of pointers = n+1

Requirements:
K 1 < K 2 < < Kn
For any search key value K in the subtree pointed by Pi,
If Pi = P0, we require K < K1
If Pi = Pn, Kn K
If Pi = P1, , Pn-1, Ki K < Ki+1
CENG 351 File Structures

15

B+ tree: leaf node structure

L K1 r1 K2
R

Kn rn

Pointer L points to the left neighbor; R points to

the right neighbor
K1 < K2 < < Kn

v n 2v (v is the order of this B+ tree)

We will use Ki* for the pair <Ki, ri> and omit L and
R for simplicity

CENG 351 File Structures

16

Example: B+ tree with order of 1

Each node must hold at least 1 entry, and at most
2 entries
Root
40

10*

15*

20

33

20*

27*

51

33*

37*

40*

46*

CENG 351 File Structures

51*

63

55*

63*

97*

17

Example: Search in a B+ tree order 2

Search: how to find the records with a given search key value?
Begin at root, and use key comparisons to go to leaf

Examples: search for 5*, 16*, all data entries >= 24* ...
The last one is a range search, we need to do the sequential scan, starting from
the first leaf containing a value >= 24.
Root

13

2*

3*

5*

7*

14* 15*

17

24

19* 20* 22*

30

24* 27* 29*

CENG 351 File Structures

33* 34* 38* 39*

18

Cost for searching a value in B+ tree

Typically, a node is a page (block or cluster)
Let H be the height of the B+ tree: we need to
read H+1 pages to reach a leaf node
Let F be the (average) number of pointers in a
node (for internal node, called fanout )
Height
Level 1 = 1 page = F0 page
0
Level 2 = F pages = F1 pages
1
Level 3 = F * F pages = F2 pages
Level H+1 = .. = FH pages (i.e., leaf
nodes)
Suppose there are D data entries. So there are
D/(F-1) leaf nodes
D/(F-1) = FH. That is, H = logF( FD 1)
CENG 351 File Structures

level
1
2

19

B+ Trees in Practice
Typical order: 100. Typical fill-factor: 67%.

average fanout = 133 (i.e, # of pointers in internal

node)

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

Suppose there are 1,000,000,000 data entries.

H = log133(1000000000/132) < 4
The cost is 5 pages read
CENG 351 File Structures

20

How to Insert a Data Entry into a

B+ Tree?
Lets look at several examples first.

CENG 351 File Structures

21

Inserting 16*, 8* into Example B+ tree

Root

2*

3*

5*

7*

8*

13

17

24

30

15* 16*

14*

You overflow
13

2*

3*

5*

7*

17

24

30

8*

One new child (leaf node)

generated; must add one more
pointer to its parent, thus one more
CENG 351 File Structures
key value as well.

22

Inserting 8* (cont.)
Copy up the
middle value
(leaf split)

13

17

24

30
Entry to be inserted in parent node.
(Note that 5 is
s copied up and
continues to appear in the leaf.)

2*

3*

13

5*

17

24

7*

30

CENG 351 File Structures

8*

You overflow!

23

Insertion into B+ tree (cont.)

Understand
difference
between copy-up
and push-up
Observe how
minimum
occupancy is
guaranteed in
both leaf and
index pg splits.

13

17

24

30

We split this node, redistribute entries evenly,

and push up middle key.

17

13

24

CENG 351 File Structures

Entry to be inserted in parent node.

(Note that 17 is pushed up and only
appears once in the index. Contrast
this with a leaf split.)

30

24

Example B+ Tree After Inserting 8*

Root
17

2*

3*

24

13

5*

7* 8*

14* 15*

19* 20* 22*

30

24* 27* 29*

33* 34* 38* 39*

Notice that root was split, leading to increase in height.

CENG 351 File Structures

25

Inserting a Data Entry into a B+ Tree:

Summary

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, put middle key in L2
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.)

Splits grow tree; root split increases height.

Tree growth: gets wider or one level taller at top.

CENG 351 File Structures

26

Deleting a Data Entry from a B+

Tree
Examine examples first

CENG 351 File Structures

27

Delete 19* and 20*

Root
17

2*

3*

24

13

5*

7* 8*

14* 16*

19* 20* 22*

30

24* 27* 29*

33* 34* 38* 39*

22*

22* 24*

27* 29*

Have we still forgot something?

CENG 351 File Structures

28

Deleting 19* and 20* (cont.)

Root
17

2*

3*

27

13

5*

7* 8*

14* 16*

22* 24*

30

27* 29*

33* 34* 38* 39*

Notice how 27 is copied up.

But can we move it up?
Now we want to delete 24
Underflow again!CENG
But351can
we redistribute this time?
File Structures
29

Deleting 24*

Observe the two leaf

nodes are merged, and
27 is discarded from
their parent, but
Observe `pull down of
index entry (below).
New root

2*

3*

5*

7*

8*

13

14* 16*

30

22*

17

27*

29*

33*

34*

38*

39*

30

22* 27* 29*

CENG 351 File Structures

33* 34* 38* 39*

30

Deleting a Data Entry from a B+ Tree:

Summary
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.
CENG 351 File Structures

31

Example of Non-leaf Re-distribution

Tree is shown below during deletion of 24*. (What
could be a possible initial tree?)
In contrast to previous example, can re-distribute entry
from left child of root to right child.
Root
22

2* 3*

5* 7* 8*

13

14* 16*

17

30

20

17* 18*

20* 21*

CENG 351 File Structures

22* 27* 29*

33* 34* 38* 39*

32

After Re-distribution
Intuitively, entries are re-distributed by `pushing
through the splitting entry in the parent node.
It suffices to re-distribute index entry with key 20;
weve re-distributed 17 as well for illustration.
Root
17

2* 3*

5* 7* 8*

13

14* 16*

20

17* 18*

20* 21*

CENG 351 File Structures

22

30

22* 27* 29*

33* 34* 38* 39*

33

Primary vs Secondary Index

Note: We were assuming the data items
were in sorted order
This is called primary index

Secondary index:
Built on an attribute that the file is not sorted
on.

Can have many different indexes on the

same file.
CENG 351 File Structures

34

A Secondary B+-Tree index

Root
17

13

14 16

22* 3* 14*

8*

20

17 18

2* 16* 5* 39*

20 21

22

30

22 27 29

33 34 38 39

20* 7* 38* 29*

Actual data
buckets

More
Hash-based Indexes
Static Hashing
Extendible Hashing
Linear Hashing

Grid-files
R-Trees
etc

CENG 351 File Structures

36

Terminology
Bucket Factor: the number of records which can
fit in a leaf node.
Fan-out : the average number of children of an
internal node.
A B+tree index can be used either as a primary
index or a secondary index.
Primary index: determines the way the records are
actually stored (also called a sparse index)
Secondary index: the records in the file are not
grouped in buckets according to keys of secondary
indexes (also called a dense index)
CENG 351 File Structures

37

Summary
Tree-structured indexes are ideal for rangesearches, also good for equality searches.
B+ tree is a dynamic structure.

Inserts/deletes leave tree height-balanced; High fanout (F)

means depth rarely more than 3 or 4.
Almost always better than maintaining a sorted file.
Typically, 67% occupancy on average.
If data entries are data records, splits can change rids!

Most widely used index in database management

systems because of its versatility. One of the most
optimized components of a DBMS.
CENG 351 File Structures

38