Tree-Structured Indexes

Chapter 9

Database Management Systems 3ed, R. Ramakrishnan and J. Gehrke

Introduction
As for any index, 3 alternatives for data entries k*:

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 is orthogonal to the indexing technique used to locate data entries k*. Tree-structured indexing techniques support both range searches and equality searches. ISAM: static structure; B+ tree: dynamic, adjusts gracefully under inserts and deletes.
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Database Management Systems 3ed, R. Ramakrishnan and J. Gehrke

Range Searches
``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!

Database Management Systems 3ed, R. Ramakrishnan and J. Gehrke 3

ISAM
P 0

index entry
K P K 2 Pm

Index file may still be quite large. But we can apply the idea repeatedly!

Non-leaf Pages

Leaf Pages Overflow page Primary pages

* Leaf pages contain data entries.

Database Management Systems 3ed, R. Ramakrishnan and J. Gehrke 4

Comments on ISAM

Data Pages

File creation: Leaf (data) pages allocated sequentially, sorted by search key; then index pages allocated, then space for overflow pages. Overflow pages Index entries: <search key value, page id>; they `direct search for data entries, which are in leaf pages. Search: Start at root; use key comparisons to go to leaf. Cost log F N ; F = # entries/index pg, N = # leaf pgs Insert: Find leaf data entry belongs to, and put it there. Delete: Find and remove from leaf; if empty overflow page, de-allocate.

Index Pages

Static tree structure: inserts/deletes affect only leaf pages.

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Database Management Systems 3ed, R. Ramakrishnan and J. Gehrke

Example ISAM Tree

Each node can hold 2 entries; no need for `next-leaf-page pointers. (Why?)

Root
40

20

33

51

63

10*

15*

20*

27*

33*

37*

40*

46*

51*

55*

63*

97*

Database Management Systems 3ed, R. Ramakrishnan and J. Gehrke

After Inserting 23*, 48*, 41*, 42* ...

Root Index Pages
40

20

33

51

63

Primary Leaf Pages

10* 15* 20* 27* 33* 37* 40* 46* 51* 55* 63* 97*

Overflow Pages

23*

48*

41*

42*

Database Management Systems 3ed, R. Ramakrishnan and J. Gehrke

... Then Deleting 42*, 51*, 97*

Root
40

20

33

51

63

10*

15*

20*

27*

33*

37*

40*

46*

55*

63*

23*

48*

41*

* Note that 51* appears in index levels, but not in leaf!

Database Management Systems 3ed, R. Ramakrishnan and J. Gehrke 8

B+ Tree: Most Widely Used Index

Insert/delete at log F N cost; keep tree heightbalanced. (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. Supports equality and range-searches efficiently.

Index Entries (Direct search)

Data Entries ("Sequence set") Database Management Systems 3ed, R. Ramakrishnan and J. Gehrke 9

Example B+ Tree
Search begins at root, and key comparisons direct it to a leaf (as in ISAM). Search for 5*, 15*, all data entries >= 24* ...

Root
13 17 24 30

2*

3*

5*

7*

14* 16*

19* 20* 22*

24* 27* 29*

33* 34* 38* 39*

* Based on the search for 15*, we know it is not in the tree!

Database Management Systems 3ed, R. Ramakrishnan and J. Gehrke 10

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

average fanout = 133 Height 4: 1334 = 312,900,700 records Height 3: 1333 = 2,352,637 records Level 1 = 1 page = 8 Kbytes Level 2 = 133 pages = 1 Mbyte Level 3 = 17,689 pages = 133 MBytes

Can often hold top levels in buffer pool:

Database Management Systems 3ed, R. Ramakrishnan and J. Gehrke

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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.) Tree growth: gets wider or one level taller at top.
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Splits grow tree; root split increases height.

Database Management Systems 3ed, R. Ramakrishnan and J. Gehrke

Inserting 8* into Example B+ Tree

Observe how minimum occupancy is guaranteed in both leaf and index pg splits. Note difference between copyup and push-up; be sure you understand the reasons for this.

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

2*

3*

5*

7*

8*

17

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.)

13

24

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Database Management Systems 3ed, R. Ramakrishnan and J. Gehrke

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Example B+ Tree After Inserting 8*

Root
17

13

24

30

2*

3*

5*

7* 8*

14* 16*

19* 20* 22*

24* 27* 29*

33* 34* 38* 39*

v Notice that root was split, leading to increase in height. v In this example, we can avoid split by re-distributing entries; however, this is usually not done in practice.
Database Management Systems 3ed, R. Ramakrishnan and J. Gehrke 14

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.
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Database Management Systems 3ed, R. Ramakrishnan and J. Gehrke

Example Tree After (Inserting 8*, Then) Deleting 19* and 20* ...
Root
17

13

27

30

2*

3*

5*

7* 8*

14* 16*

22* 24*

27* 29*

33* 34* 38* 39*

Deleting 19* is easy. Deleting 20* is done with re-distribution. Notice how middle key is copied up.

Database Management Systems 3ed, R. Ramakrishnan and J. Gehrke

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... And Then Deleting 24*

Must merge. Observe `toss of index entry (on right), and `pull down of index entry (below).

30

22*

27*

29*

33*

34*

38*

39*

Root
5 13 17 30

2*

3*

5*

7*

8*

14* 16*

22* 27* 29*

33* 34* 38* 39*

Database Management Systems 3ed, R. Ramakrishnan and J. Gehrke

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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

13

17

20

30

2* 3*

5* 7* 8*

14* 16*

17* 18*

20* 21*

22* 27* 29*

33* 34* 38* 39*

Database Management Systems 3ed, R. Ramakrishnan and J. Gehrke

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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

13

20

22

30

2* 3*

5* 7* 8*

14* 16*

17* 18*

20* 21*

22* 27* 29*

33* 34* 38* 39*

Database Management Systems 3ed, R. Ramakrishnan and J. Gehrke

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Prefix Key Compression

Important to increase fan-out. (Why?) Key values in index entries only `direct traffic; can often compress them.
E.g., If we have adjacent index entries with search key values Dannon Yogurt, David Smith and Devarakonda Murthy, we can abbreviate David Smith to Dav. (The other keys can be compressed too ...)

Is this correct? Not quite! What if there is a data entry Davey Jones? (Can only compress David Smith to Davi) In general, while compressing, must leave each index entry greater than every key value (in any subtree) to its left.

Insert/delete must be suitably modified.

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Database Management Systems 3ed, R. Ramakrishnan and J. Gehrke

Bulk Loading of a B+ Tree

If we have a large collection of records, and we want to create a B+ tree on some field, doing so by repeatedly inserting records is very slow. Bulk Loading can be done much more efficiently. Initialization: Sort all data entries, insert pointer to first (leaf) page in a new (root) page.
Root Sorted pages of data entries; not yet in B+ tree

3* 4*

6* 9*

10* 11*

12* 13*

20* 22* 23* 31* 35* 36*

38* 41* 44*

Database Management Systems 3ed, R. Ramakrishnan and J. Gehrke

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Bulk Loading (Contd.)

Root
10 20

Index entries for leaf pages always entered into rightmost index page just 3* above leaf level. When this fills up, it splits. (Split may go up right-most path to the root.) Much faster than repeated inserts, especially when one considers locking!

12

23

35

Data entry pages not yet in B+ tree

4*

6* 9*

10* 11* 12* 13* 20*22* 23* 31* 35* 36* 38* 41* 44*

Root

20

10

35

Data entry pages not yet in B+ tree

38

12

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Database Management Systems 3ed, R. Ramakrishnan and J. Gehrke

3* 4*

6* 9*

10* 11* 12* 13* 20*22* 23* 31* 35* 36* 38* 41* 44*

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Summary of Bulk Loading

Option 1: multiple inserts.

Slow. Does not give sequential storage of leaves. Has advantages for concurrency control. Fewer I/Os during build. Leaves will be stored sequentially (and linked, of course). Can control fill factor on pages.

Option 2: Bulk Loading

Database Management Systems 3ed, R. Ramakrishnan and J. Gehrke

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A Note on `Order
Order (d) concept replaced by physical space criterion in practice (`at least half-full).
Index pages can typically hold many more entries than leaf pages. Variable sized records and search keys mean differnt nodes will contain different numbers of entries. Even with fixed length fields, multiple records with the same search key value (duplicates) can lead to variable-sized data entries (if we use Alternative (3)).

Database Management Systems 3ed, R. Ramakrishnan and J. Gehrke

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Summary
Tree-structured indexes are ideal for rangesearches, also good for equality searches. ISAM is a static structure.

Only leaf pages modified; overflow pages needed. Overflow chains can degrade performance unless size of data set and data distribution stay constant. Inserts/deletes leave tree height-balanced; log F N cost. High fanout (F) means depth rarely more than 3 or 4. Almost always better than maintaining a sorted file.

B+ tree is a dynamic structure.

Database Management Systems 3ed, R. Ramakrishnan and J. Gehrke

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Summary (Contd.)
Typically, 67% occupancy on average. Usually preferable to ISAM, modulo locking considerations; adjusts to growth gracefully. If data entries are data records, splits can change rids!

Key compression increases fanout, reduces height. Bulk loading can be much faster than repeated inserts for creating a B+ tree on a large data set. Most widely used index in database management systems because of its versatility. One of the most optimized components of a DBMS.
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Database Management Systems 3ed, R. Ramakrishnan and J. Gehrke