CSE544

Data Management
Lectures 9
Query Optimization (Part 1)

CSEP 544 - Spring 2021 1

 Announcements
• HW2 is due tomorrow!
• HW3 will be posted on Wednesday

• Review 5 (How good?) due Wednesday

• Mini-project guidelines posted

CSEP 544 - Spring 2021 2

Query Optimization Motivation
SQL query
Declarative query
Recall physical and
Parse & Rewrite Query logical data independence

Logical
Query Select Logical Plan
plan
optimization
Select Physical Plan
Physical
plan
Query Execution

Disk 3
 Query Optimization
Goal:

• Given a query plan, find a cheaper

(cheapest?) equivalent plan

• Why difficult:
– Need to explore a large number of plans
– Need to estimate the cost of each plan
4
 Query Optimization
Three major components:

1. Cardinality and cost estimation

2. Search space

3. Plan enumeration algorithms

CSEP 544 - Spring 2021 5

 Query Optimization
Three major components:

1. Cardinality and cost estimation

2. Search space

3. Plan enumeration algorithms

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 Cardinality Estimation
Problem: given statistics on base tables
and a query, estimate size of the answer

Very difficult, because:

• Need to do it very fast
• Need to use very little memory

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 Statistics on Base Data
• Number of tuples (cardinality) T(R)
• Number of physical pages B(R)
• Indexes, number of keys in the index V(R,a)
• Histogram on single attribute (1d)
• Histogram on two attributes (2d)

Computed periodically, often using sampling

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 Assumptions
• Uniformity

• Independence

• Containment of values

• Preservation of values
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 Size Estimation

Selection: size decreases by selectivity factor θ

T(σpred(R)) = θpred * T(R)

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 Size Estimation

Selection: size decreases by selectivity factor θ

T(σpred(R)) = θpred * T(R)

T(R ⨝A=B S) = θA=B * T(R) * T(S)

CSEP 544 - Spring 2021 11

T(σpred(R)) = θpred * T(R)

Selectivity Factors
Uniformity assumption σA=c(R)
Equality:

12
T(σpred(R)) = θpred * T(R)

Selectivity Factors
Uniformity assumption σA=c(R)
Equality:
• θA=c = 1/V(R,A)

13
T(σpred(R)) = θpred * T(R)

Selectivity Factors
Uniformity assumption σA=c(R)
Equality:
• θA=c = 1/V(R,A)
σc1<A<c2(R)
Range:
• θc1<A<c2 = (c2 – c1)/(max(R,A) - min(R,A))

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T(σpred(R)) = θpred * T(R)

Selectivity Factors
Uniformity assumption σA=c(R)
Equality:
• θA=c = 1/V(R,A)
σc1<A<c2(R)
Range:
• θc1<A<c2 = (c2 – c1)/(max(R,A) - min(R,A))

Conjunction σA=c and B=d(R)

T(σpred(R)) = θpred * T(R)

Selectivity Factors
Uniformity assumption σA=c(R)
Equality:
• θA=c = 1/V(R,A)
σc1<A<c2(R)
Range:
• θc1<A<c2 = (c2 – c1)/(max(R,A) - min(R,A))

Conjunction σA=c and B=d(R)

Independence assumption
• θpred1 and pred2 = θpred1*θpred2 = 1/V(R,A) * 1/V(R,B)
 T(R ⨝A=B S) = θA=B * T(R) * T(S)

Selectivity Factors
R ⋈R.A=S.B S

Join

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 T(R ⨝A=B S) = θA=B * T(R) * T(S)

Selectivity Factors
R ⋈R.A=S.B S

Join
• θ R.A=S.B = 1/ ( MAX( V(R,A), V(S,B))

Why? Will explain next...

CSEP 544 - Spring 2021 18

 T(R ⨝A=B S) = θA=B * T(R) * T(S)

Selectivity Factors
R ⋈R.A=S.B S
Containment of values: if V(R,A) ≤ V(S,B), then
the set of A values of R is included in the set of
B values of S

• Note: this indeed holds when A is a foreign

key in R, and B is a key in S

CSEP 544 - Spring 2021 19

 T(R ⨝A=B S) = θA=B * T(R) * T(S)

Selectivity Factors
R ⋈R.A=S.B S
Assume V(R,A) ≤ V(S,B)
• Tuple t in R joins with T(S)/V(S,B) tuples in S

CSEP 544 - Spring 2021 20

 T(R ⨝A=B S) = θA=B * T(R) * T(S)

Selectivity Factors
R ⋈R.A=S.B S
Assume V(R,A) ≤ V(S,B)
• Tuple t in R joins with T(S)/V(S,B) tuples in S
• Hence T(R ⨝A=B S) = T(R) T(S) / V(S,B)

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 T(R ⨝A=B S) = θA=B * T(R) * T(S)

Selectivity Factors
R ⋈R.A=S.B S
Assume V(R,A) ≤ V(S,B)
• Tuple t in R joins with T(S)/V(S,B) tuples in S
• Hence T(R ⨝A=B S) = T(R) T(S) / V(S,B)

In general:
• T(R ⨝A=B S) = T(R) T(S) / max(V(R,A),V(S,B))
• θ R.A=S.B = 1/ ( max( V(R,A), V(S,B))

CSEP 544 - Spring 2021 22

 Final Assumption
Preservation of values:
For any other attribute C:
• V(R ⨝A=B S, C) = V(R, C) or
• V(R ⨝A=B S, C) = V(S, C)

• This is needed higher up in the plan

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Computing the Cost of a Plan

• Estimate cardinalities bottom-up

• Estimate cost by using estimated cardinalities

• Examples next...

CSEP 544 - Spring 2021 24

Supplier(sid, sname, scity, sstate)
Supply(sid, pno, quantity)

Logical Query Plan 1

πsname
SELECT sname
FROM Supplier x, Supply y
WHERE x.sid = y.sid
and y.pno = 2
σpno=2∧scity=‘Seattle’∧sstate=‘WA’ and x.scity = ‘Seattle’
and x.sstate = ‘WA’

sid = sid

Supply Supplier
T(Supplier) = 1000
T(Supply) = 10000 B(Supplier) = 100
B(Supply) = 100 V(Supplier, scity) = 20
V(Supplier, state) = 10
M=11
V(Supply, pno) = 2500
Supplier(sid, sname, scity, sstate)
Supply(sid, pno, quantity)

Logical Query Plan 1

πsname
SELECT sname
Estimated FROM Supplier x, Supply y
(why?) WHERE x.sid = y.sid
and y.pno = 2
σpno=2∧scity=‘Seattle’∧sstate=‘WA’ and x.scity = ‘Seattle’
and x.sstate = ‘WA’
T = 10000

sid = sid

Supply Supplier
T(Supplier) = 1000
T(Supply) = 10000 B(Supplier) = 100
B(Supply) = 100 V(Supplier, scity) = 20
V(Supplier, state) = 10
M=11
V(Supply, pno) = 2500
Supplier(sid, sname, scity, sstate)
Supply(sid, pno, quantity)

Logical Query Plan 1

πsname
SELECT sname
Estimated FROM Supplier x, Supply y
(why?) WHERE x.sid = y.sid
and y.pno = 2
σpno=2∧scity=‘Seattle’∧sstate=‘WA’ and x.scity = ‘Seattle’
and x.sstate = ‘WA’
T = 10000

Because key / foreign-key

sid = sid

Supply Supplier
T(Supplier) = 1000
T(Supply) = 10000 B(Supplier) = 100
B(Supply) = 100 V(Supplier, scity) = 20
V(Supplier, state) = 10
M=11
V(Supply, pno) = 2500
Supplier(sid, sname, scity, sstate)
Supply(sid, pno, quantity)

Logical Query Plan 1

πsname
SELECT sname
Estimated FROM Supplier x, Supply y
(why?) WHERE x.sid = y.sid
and y.pno = 2
σpno=2∧scity=‘Seattle’∧sstate=‘WA’ and x.scity = ‘Seattle’
and x.sstate = ‘WA’
T = 10000

Because key / foreign-key

sid = sid
Also: θ = 1/max(V(Supply,sid)*V(Supplier,sid) = 1/V(Supplier,sid)

Supply Supplier
T(Supplier) = 1000
T(Supply) = 10000 B(Supplier) = 100
B(Supply) = 100 V(Supplier, scity) = 20
V(Supplier, state) = 10
M=11
V(Supply, pno) = 2500
Supplier(sid, sname, scity, sstate)
Supply(sid, pno, quantity)

Estimated
(why?) Logical Query Plan 1
πsname
SELECT sname
T <1 FROM Supplier x, Supply y
WHERE x.sid = y.sid
and y.pno = 2
σpno=2∧scity=‘Seattle’∧sstate=‘WA’ and x.scity = ‘Seattle’
and x.sstate = ‘WA’
T = 10000

sid = sid

Supply Supplier
T(Supplier) = 1000
T(Supply) = 10000 B(Supplier) = 100
B(Supply) = 100 V(Supplier, scity) = 20
V(Supplier, state) = 10
M=11
V(Supply, pno) = 2500
Supplier(sid, sname, scity, sstate)
Supply(sid, pno, quantity)

Logical Query Plan 2

πsname
SELECT sname
FROM Supplier x, Supply y
WHERE x.sid = y.sid
and y.pno = 2
and x.scity = ‘Seattle’
and x.sstate = ‘WA’

sid = sid

σpno=2 σscity=‘Seattle’∧sstate=‘WA’

Supply Supplier
T(Supplier) = 1000
T(Supply) = 10000 B(Supplier) = 100
B(Supply) = 100 V(Supplier, scity) = 20
V(Supplier, state) = 10
M=11
V(Supply, pno) = 2500
Supplier(sid, sname, scity, sstate)
Supply(sid, pno, quantity)

Logical Query Plan 2

πsname
SELECT sname
FROM Supplier x, Supply y
WHERE x.sid = y.sid
and y.pno = 2
and x.scity = ‘Seattle’
and x.sstate = ‘WA’

T=4 sid = sid T= 5

σpno=2 σscity=‘Seattle’∧sstate=‘WA’

Supply Supplier
T(Supplier) = 1000
T(Supply) = 10000 B(Supplier) = 100
B(Supply) = 100 V(Supplier, scity) = 20
V(Supplier, state) = 10
M=11
V(Supply, pno) = 2500
Supplier(sid, sname, scity, sstate)
Supply(sid, pno, quantity)

Logical Query Plan 2

πsname
SELECT sname
FROM Supplier x, Supply y
WHERE x.sid = y.sid
and y.pno = 2
and x.scity = ‘Seattle’
and x.sstate = ‘WA’

T=4 sid = sid T= 5

Very wrong!
Why?
σpno=2 σscity=‘Seattle’∧sstate=‘WA’

Supply Supplier
T(Supplier) = 1000
T(Supply) = 10000 B(Supplier) = 100
B(Supply) = 100 V(Supplier, scity) = 20
V(Supplier, state) = 10
M=11
V(Supply, pno) = 2500
Supplier(sid, sname, scity, sstate)
Supply(sid, pno, quantity)

Logical Query Plan 2

πsname
SELECT sname
FROM Supplier x, Supply y
T=4 WHERE x.sid = y.sid
and y.pno = 2
and x.scity = ‘Seattle’
and x.sstate = ‘WA’

T=4 sid = sid T= 5

Very wrong!
Why?
σpno=2 σscity=‘Seattle’∧sstate=‘WA’

Supply Supplier
T(Supplier) = 1000
T(Supply) = 10000 B(Supplier) = 100
B(Supply) = 100 V(Supplier, scity) = 20
V(Supplier, state) = 10
M=11
V(Supply, pno) = 2500
Supplier(sid, sname, scity, sstate)
Supply(sid, pno, quantity)

Logical Query Plan 2

πsname
Different
estimate L SELECT sname
FROM Supplier x, Supply y
T=4 WHERE x.sid = y.sid
and y.pno = 2
and x.scity = ‘Seattle’
and x.sstate = ‘WA’

T=4 sid = sid T= 5

Very wrong!
Why?
σpno=2 σscity=‘Seattle’∧sstate=‘WA’

Supply Supplier
T(Supplier) = 1000
T(Supply) = 10000 B(Supplier) = 100
B(Supply) = 100 V(Supplier, scity) = 20
V(Supplier, state) = 10
M=11
V(Supply, pno) = 2500
Supplier(sid, sname, scity, sstate)
Supply(sid, pno, quantity)

Physical Plan 1
πsname
T <1

σpno=2∧scity=‘Seattle’∧sstate=‘WA’
T = 10000
Total cost: 100/10 * 100 = 1000

sid = sid
Block nested loop join

Scan
Supply Scan
Supplier
T(Supplier) = 1000
T(Supply) = 10000 B(Supplier) = 100
B(Supply) = 100 V(Supplier, scity) = 20
V(Supplier, state) = 10
M=11
V(Supply, pno) = 2500
Supplier(sid, sname, scity, sstate)
Supply(sid, pno, quantity)

Physical Plan 1
πsname
T <1

σpno=2∧scity=‘Seattle’∧sstate=‘WA’
T = 10000
Total cost: 100+100*100/10 = 1100

sid = sid
Block nested loop join

Scan
Supply Scan
Supplier
T(Supplier) = 1000
T(Supply) = 10000 B(Supplier) = 100
B(Supply) = 100 V(Supplier, scity) = 20
V(Supplier, state) = 10
M=11
V(Supply, pno) = 2500
Supplier(sid, sname, scity, sstate)
Supply(sid, pno, quantity)

Physical Plan 2
πsname
Cost of Supply(pno) = 4
T=4 Cost of Supplier(scity) = 50
Total cost: 54

T= 5
T=4 sid = sid
Main memory join
σsstate=‘WA’
Unclustered σpno=2 T= 50
index lookup σscity=‘Seattle’ Unclustered
Supply(pno) index lookup
Supply Supplier Supplier(scity)

T(Supplier) = 1000
T(Supply) = 10000 B(Supplier) = 100
B(Supply) = 100 V(Supplier, scity) = 20
V(Supplier, state) = 10
M=11
V(Supply, pno) = 2500
Supplier(sid, sname, scity, sstate)
Supply(sid, pno, quantity)

Physical Plan 2
πsname
Cost of Supply(pno) = 4
T=4 Cost of Supplier(scity) = 50
Total cost: 54

T= 5
T=4 sid = sid
Main memory join
σsstate=‘WA’
Unclustered σpno=2 T= 50
index lookup σscity=‘Seattle’ Unclustered
Supply(pno) index lookup
Supply Supplier Supplier(scity)

T(Supplier) = 1000
T(Supply) = 10000 B(Supplier) = 100
B(Supply) = 100 V(Supplier, scity) = 20
V(Supplier, state) = 10
M=11
V(Supply, pno) = 2500
Supplier(sid, sname, scity, sstate)
Supply(sid, pno, quantity)

Physical Plan 2
πsname
Cost of Supply(pno) = 4
T=4 Cost of Supplier(scity) = 50
Total cost: 54

T= 5
T=4 sid = sid
Main memory join
σsstate=‘WA’
Unclustered σpno=2 T= 50
index lookup σscity=‘Seattle’ Unclustered
Supply(pno) index lookup
Supply Supplier Supplier(scity)

T(Supplier) = 1000
T(Supply) = 10000 B(Supplier) = 100
B(Supply) = 100 V(Supplier, scity) = 20
V(Supplier, state) = 10
M=11
V(Supply, pno) = 2500
Supplier(sid, sname, scity, sstate)
Supply(sid, pno, quantity)

Physical Plan 3
πsname
T=4

σscity=‘Seattle’∧sstate=‘WA’ Cost of Supply(pno) = 4

Cost of Index join = 4
Total cost: 8

T=4 sid = sid

Clustered
Index join
Unclustered σpno=2
index lookup
Supply(pno)
Supply Supplier
T(Supplier) = 1000
T(Supply) = 10000 B(Supplier) = 100
B(Supply) = 100 V(Supplier, scity) = 20
V(Supplier, state) = 10
M=11
V(Supply, pno) = 2500
Supplier(sid, sname, scity, sstate)
Supply(sid, pno, quantity)

Physical Plan 3
πsname
T=4

σscity=‘Seattle’∧sstate=‘WA’ Cost of Supply(pno) = 4

Cost of Index join = 4
Total cost: 8

T=4 sid = sid

Clustered
Index join
Unclustered σpno=2
index lookup
Supply(pno)
Supply Supplier
T(Supplier) = 1000
T(Supply) = 10000 B(Supplier) = 100
B(Supply) = 100 V(Supplier, scity) = 20
V(Supplier, state) = 10
M=11
V(Supply, pno) = 2500
Supplier(sid, sname, scity, sstate)
Supply(sid, pno, quantity)

Physical Plan 3
πsname
T=4

σscity=‘Seattle’∧sstate=‘WA’ Cost of Supply(pno) = 4

Cost of Index join = 4
Total cost: 8

T=4 sid = sid

Clustered
Index join
Unclustered σpno=2
index lookup
Supply(pno)
Supply Supplier
T(Supplier) = 1000
T(Supply) = 10000 B(Supplier) = 100
B(Supply) = 100 V(Supplier, scity) = 20
V(Supplier, state) = 10
M=11
V(Supply, pno) = 2500
 Discussion
• We considered only IO cost;
real systems need to consider IO+CPU

• Each system has its own hacks

• We assumed that all index pages were in

memory: sometimes we need to add the cost
of fetching index pages from disk

CSEP 544 - Spring 2021 43

 Histograms
• T(R), V(R,A) too coarse
• Histogram: separate stats per bucket

• In each bucket store:

– T(bucket)
– V(bucket,A) – optional

CSEP 544 - Spring 2021 44

 Histograms
Employee(ssn, name, age)
T(Employee) = 25000, V(Empolyee, age) = 50
σage=48(Empolyee) = ?
 Histograms
Employee(ssn, name, age)
T(Employee) = 25000, V(Empolyee, age) = 50
σage=48(Empolyee) = ?
Estimate: T(Employee) / V(Employee,age) = 500
 Histograms
Employee(ssn, name, age)
T(Employee) = 25000, V(Empolyee, age) = 50
σage=48(Empolyee) = ?
Estimate: T(Employee) / V(Employee,age) = 500

Age: 0..20 20..29 30-39 40-49 50-59 > 60

T= 200 800 5000 12000 6500 500

 Histograms
Employee(ssn, name, age)
T(Employee) = 25000, V(Empolyee, age) = 50
σage=48(Empolyee) = ?
Estimate: T(Employee) / V(Employee,age) = 500

Age: 0..20 20..29 30-39 40-49 50-59 > 60

T= 200 800 5000 12000 6500 500

Assume V = 10
 Histograms
Employee(ssn, name, age)
T(Employee) = 25000, V(Empolyee, age) = 50
σage=48(Empolyee) = ?
Estimate: T(Employee) / V(Employee,age) = 500

Age: 0..20 20..29 30-39 40-49 50-59 > 60

T= 200 800 5000 12000 6500 500

Estimate: 12000/10 = 1200 Assume V = 10

 Histograms
Employee(ssn, name, age)
T(Employee) = 25000, V(Empolyee, age) = 50
σage=48(Empolyee) = ?
Estimate: T(Employee) / V(Employee,age) = 500

Age: 0..20 20..29 30-39 40-49 50-59 > 60

T= 200 800 5000 12000 6500 500

V= 3 10 7 6 5 4

Estimate: 12000/10 = 1200

 Histograms
Employee(ssn, name, age)
T(Employee) = 25000, V(Empolyee, age) = 50
σage=48(Empolyee) = ?
Estimate: T(Employee) / V(Employee,age) = 500

Age: 0..20 20..29 30-39 40-49 50-59 > 60

T= 200 800 5000 12000 6500 500

V= 3 10 7 6 5 4

Estimate: 12000/10 = 1200 12000/6 = 2000

 Types of Histograms
• Eq-Width

• Eq-Depth

• Compressed: store outliers separately

• V-Optimal histograms
CSEP 544 - Spring 2021 52
Employee(ssn, name, age)
Histograms
Eq-width:

Age: 0..20 20..29 30-39 40-49 50-59 > 60

Tuples 200 800 5000 12000 6500 500

Eq-depth:

Age: 0..32 33..41 42-46 47-52 53-58 > 60

Tuples 1800 2000 2100 2200 1900 1800

Compressed: store separately highly frequent values: (48,1900)

 V-Optimal Histograms
• Error:
0
# 𝜎*,! 𝑅 − 𝑒𝑠𝑡-'./ 𝜎*,! 𝑅
!∈#$%&'((*)

• Bucket boundaries = argminHist(Error)

• Dynamic programming
• Modern databases systems use V-
optimal histograms or some variations
CSEP 544 - Spring 2021 54
 Discussion
• Cardinality estimation = still unsolved
• Histograms:
– Small number of buckets (why?)
– Updated only periodically (why?)
– No 2d histograms (except db2) why?
• Samples:
– Fail for low selectivity estimates, joins
• Cross-join correlation – still unsolved
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