Chapter - 8 1 97

Chapter 8:
Data Storage, Indexing

Structures for Files
Overview of Database Design Process
Jan - 2015 2
Contents
1 Data Storage
1.1 Disk Storage Devices
1.2 Files of Records
1.3 Operations on Files
1.4 Unordered Files & Ordered Files & Hashed Files
1.5 RAID Technology
2 Indexing Structures for Files
2.1 Types of Single-level Ordered Indexes
2.2 Multilevel Indexes
2.3 Dynamic Multilevel Indexes Using B-Trees and B+-Trees
2.4 Indexes in Oracle
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1 Data Storage
1.5 RAID Technology
Jan - 2015 4
Disk Storage Devices
 Preferred secondary storage device for high
storage capacity and low cost.
 Data stored as magnetized areas on
magnetic disk surfaces.
 A disk pack contains several magnetic disks
connected to a rotating spindle.
 Disks are divided into concentric circular
tracks on each disk surface .
 Track capacities vary typically from 4 to 50
Kbytes.
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Disk Storage Devices (cont.)
Jan - 2015 6
Track
Sector
Spindle
Jan - 2015 7
 A track is divided into smaller blocks or
sectors.
 because a track usually contains a large amount
of information .
 A track is divided into blocks.
 The block size B is fixed for each system.
 Typical block sizes range from B=512 bytes to
B=4096 bytes.
 Whole blocks are transferred between disk and
main memory for processing.
Jan - 2015 8
 A read-write head moves to the track that contains the
block to be transferred.
 Disk rotation moves the block under the read-write head for
reading or writing.
 A physical disk block (hardware) address consists of:
 a cylinder number (imaginary collection of tracks of same
radius from all recorded surfaces)
 the track number or surface number (within the cylinder)
 and block number (within track).
 Reading or writing a disk block is time consuming
because of the seek time s and rotational delay (latency)
rd.
 Double buffering can be used to speed up the transfer of
contiguous disk blocks.
Jan - 2015 9
Disk storage devices (cont.)
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1 Data Storage
1.5 RAID Technology
Jan - 2015 11
Records
 Fixed and variable length records.
 Records contain fields which have values of a
particular type.
 E.g., amount, date, time, age.
 Fields themselves may be fixed length or
variable length.
 Variable length fields can be mixed into one
record:
 Separator characters or length fields are needed
so that the record can be “parsed”.
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Records (cont.)
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Blocking
 Blocking: refers to storing a number of
records in one block on the disk.
 Blocking factor (bfr): refers to the number
of records per block.
 There may be empty space in a block if an
integral number of records do not fit in one
block.
 Spanned Records: refer to records that
exceed the size of one or more blocks and
hence span a number of blocks.
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Blocking (cont.)
Jan - 2015 15
Files of Records
 A file is a sequence of records, where each record is
a collection of data values (or data items).
 A file descriptor (or file header) includes information
that describes the file, such as the field names and
their data types, and the addresses of the file blocks
on disk.
 Records are stored on disk blocks.
 The blocking factor bfr for a file is the (average)
number of file records stored in a disk block.
 A file can have fixed-length records or variable-
length records.
Jan - 2015 16
Files of Records (cont.)
 File records can be unspanned or spanned:
 Unspanned: no record can span two blocks
 Spanned: a record can be stored in more than one block
 The physical disk blocks that are allocated to hold the
records of a file can be contiguous, linked, or indexed.
 In a file of fixed-length records, all records have the
same format. Usually, unspanned blocking is used with
such files.
 Files of variable-length records require additional
information to be stored in each record, such as
separator characters and field types.
 Usually spanned blocking is used with such files.
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Contents
1 Data Storage
1.5 RAID Technology
Jan - 2015 18
Operation on Files
Typical file operations include:
 OPEN: Reads the file for access, and associates a
pointer that will refer to a current file record at each point
in time.
 FIND: Searches for the first file record that satisfies
a certain condition, and makes it the current file record.
 FINDNEXT: Searches for the next file record (from the
current record) that satisfies a certain condition, and
makes it the current file record.
 READ: Reads the current file record into a program
variable.
 INSERT: Inserts a new record into the file, and
makes it the current file record.
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Operation on Files (cont.)
 DELETE: Removes the current file record
from the file, usually by marking the record to
indicate that it is no longer valid.
 MODIFY: Changes the values of some fields
of the current file record.
 CLOSE: Terminates access to the file.
 REORGANIZE: Reorganizes the file records. For
example, the records marked deleted are physically
removed from the file or a new organization of the
file records is created.
 READ_ORDERED: Read the file blocks in order of
a specific field of the file.
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1 Data Storage
1.5 RAID Technology
Jan - 2015 21
Unordered Files
 Also called a heap or a pile file.
 New records are inserted at the end of the file.
 A linear search through the file records is
necessary to search for a record.
 This requires reading and searching half the file
blocks on the average, and is hence quite expensive.
 Record insertion is quite efficient.
 Reading the records in order of a particular field
requires sorting the file records.
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Ordered Files
 Also called a sequential file.
 File records are kept sorted by the values of an ordering
field.
 Insertion is expensive: records must be inserted in the
correct order.
 It is common to keep a separate unordered overflow (or
transaction) file for new records to improve insertion efficiency;
this is periodically merged with the main ordered file.
 A binary search can be used to search for a record on
its ordering field value.
 This requires reading and searching log2 of the file blocks on the
average, an improvement over linear search.
 Reading the records in order of the ordering field is quite
efficient.
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Ordered Files
(cont.)
Jan - 2015 24
Average Access Times
 The following table shows the average access time

to access a specific record for a given type of file:
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Hashed Files
 Hashing for disk files is called External Hashing.
 The file blocks are divided into M equal-sized buckets,
numbered bucket0, bucket1, ..., bucketM-1.
 Typically, a bucket corresponds to one (or a fixed number of) disk
block.
 One of the file fields is designated to be the hash key of
the file.
 The record with hash key value K is stored in bucket i,
where i=h(K), and h is the hashing function.
 Search is very efficient on the hash key.
 Collisions occur when a new record hashes to a bucket
that is already full.
 An overflow file is kept for storing such records.
 Overflow records that hash to each bucket can be linked together
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Hashed Files (cont.)
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 There are numerous methods for collision resolution,
including the following:
 Open addressing: Proceeding from the occupied position specified by
the hash address, the program checks the subsequent positions in
order until an unused (empty) position is found.
0 1 2 3 4 5 6
 h(K) = K mod 7
1 3 11 6
 Insert 8 1 8 3 11 6
 Insert 15 1 8 3 11 15 6
 Insert 13 13 1 8 3 11 15 6
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 There are numerous methods for collision resolution,
including the following:
 Chaining:
 Various overflow locations are kept: extending the array with a number
of overflow positions.
 A pointer field is added to each record location.
 A collision is resolved by placing the new record in an unused overflow
location and setting the pointer of the occupied hash address location
to the address of that overflow location.
 Multiple hashing:
 The program applies a second hash function if the first results in a
collision.
 If another collision results, the program uses open addressing or
applies a third hash function and then uses open addressing if
necessary.
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Hashed Files (cont.) - Overflow handling
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 To reduce overflow records, a hash file is typically
kept 70-80% full.
 The hash function h should distribute the records
uniformly among the buckets; otherwise, search
time will be increased because many overflow
records will exist.
 Main disadvantages of static external hashing:
 Fixed number of buckets M is a problem if the number of
records in the file grows or shrinks.
 Ordered access on the hash key is quite inefficient
(requires sorting the records).
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Contents
1 Data Storage
1.5 RAID Technology
Jan - 2015 32
Parallelizing Disk Access using RAID
Technology.
 Secondary storage technology must take steps to
keep up in performance and reliability with
processor technology.
 A major advance in secondary storage technology is
represented by the development of RAID, which
originally stood for Redundant Arrays of
Inexpensive Disks.
 The main goal of RAID is to even out the widely
different rates of performance improvement of disks
against those in memory and microprocessors.
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RAID Technology (cont.)
 A natural solution is a large array of small independent
disks acting as a single higher-performance logical disk.
 A concept called data striping is used, which utilizes
parallelism to improve disk performance.
 Data striping distributes data transparently over multiple
disks to make them appear as a single large, fast disk.
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 Different raid organizations were defined based on different
combinations of the two factors of granularity of data interleaving
(striping) and pattern used to compute redundant information.
 Raid level 0 has no redundant data and hence has the best write
performance.
 Raid level 1 uses mirrored disks.
 Raid level 2 uses memory-style redundancy by using Hamming codes,
which contain parity bits for distinct overlapping subsets of components.
Level 2 includes both error detection and correction.
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 Raid level 3 uses a single parity disk relying on the disk controller to
figure out which disk has failed.
 Raid levels 4 and 5 use block-level data striping, with level 5 distributing
data and parity information across all disks.
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 Raid level 6 applies the so-called P + Q redundancy scheme using
Reed-Soloman codes to protect against up to two disk failures by using
just two redundant disks.
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Use of RAID Technology (cont.)
 Different raid organizations are being used under different
situations:
 Raid level 1 (mirrored disks)is the easiest for rebuild of a disk from other
disks
 It is used for critical applications like logs.
 Raid level 2 uses memory-style redundancy by using Hamming codes,
which contain parity bits for distinct overlapping subsets of components.
Level 2 includes both error detection and correction.
 Raid level 3 ( single parity disks relying on the disk controller to figure
out which disk has failed) and level 5 (block-level data striping) are
preferred for large volume storage, with level 3 giving higher transfer
rates.
 Most popular uses of the RAID technology currently are: Level 0 (with
striping), Level 1 (with mirroring) and Level 5 with an extra drive for
parity.
 Design decisions for RAID include – level of RAID, number of disks,
choice of parity schemes, and grouping of disks for block-level striping.
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Storage Area Networks
 The demand for higher storage has risen
considerably in recent times.
 Organizations have a need to move from a static
fixed data center oriented operation to a more
flexible and dynamic infrastructure for information
processing.
 Thus they are moving to a concept of Storage Area
Networks (SANs).
 In a SAN, online storage peripherals are configured as
nodes on a high-speed network and can be attached and
detached from servers in a very flexible manner.
 This allows storage systems to be placed at longer
distances from the servers and provide different
performance and connectivity options.
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Storage Area Networks (contd.)
 Advantages of SANs are:
 Flexible many-to-many connectivity among servers and
storage devices using fiber channel hubs and switches.
 Up to 10km separation between a server and a storage
system using appropriate fiber optic cables.
 Better isolation capabilities allowing nondisruptive addition
of new peripherals and servers.
 SANs face the problem of combining storage
options from multiple vendors and dealing with
evolving standards of storage management software
and hardware.
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Contents
1 Data Storage
1.5 RAID Technology
Jan - 2015 41
Indexes as Access Paths
 A single-level index is an auxiliary file that
makes it more efficient to search for a record in
the data file.
 The index is usually specified on one field of the
file (although it could be specified on several
fields)
 One form of an index is a file of entries <field
value, pointer to record>, which is ordered by
field value
 The index is called an access path on the field.
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Indexes as Access Paths (cont.)
 The index file usually occupies considerably less
disk blocks than the data file because its entries
are much smaller.
 A binary search on the index yields a pointer to
the file record.
 Indexes can also be characterized as dense or
sparse:
 A dense index has an index entry for every search key
value (and hence every record) in the data file.
 A sparse (or nondense) index, on the other hand, has
index entries for only some of the search values
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Types of Single-level Ordered Indexes
 Primary Indexes
 Clustering Indexes
 Secondary Indexes
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Primary Index
 Defined on an ordered data file.

 The data file is ordered on a key field.
 One index entry for each block in the data file

 First record in the block, which is called the block anchor
 A similar scheme can use the last record in a block.
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Primary key field
ID Name DoB Salary Sex
1
2
Index file 3
(<K(i), P(i)> entries)
4
Primary Block
key value pointer 6
1 7
4 8
8 9
12 10
12
13
15
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Primary Index
 Number of index entries?

 Number of blocks in data file.
 Dense or Nondense?
 Nondense
 Search/ Insert/ Update/ Delete?
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EXAMPLE 1 (1/2)
 An ordered file with r = 300,000 records
 A disk with block size B = 4,096 bytes
 File records are of fxed size and are unspanned,
with record length R = 100 bytes
 bfr = (B/R) = (4,096/100) = 40 records per
block
 b = (r/bfr) = (300,000/40) = 7,500 blocks
 A binary search on the data
fle would need approximately log2 b = (log2
7,500) = 13 block accesses
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EXAMPLE 1 (2/2)
 Suppose that
 The ordering key feld of the fle is V = 9 bytes long
 A block pointer is P = 6 bytes long
 Construct a primary index
 The size of each index entry is Ri = (9 + 6) = 15 bytes
 The blocking factor for the index is bfri = (B/Ri) = (4,096/15) = 273
entries per block
 The total number of index entries ri is equal to the number of blocks in
the data fle, which is 7,500
 The number of index blocks is hence bi = (ri/bfri) = (7,500/273) = 28
blocks
 Searching
 Binary search on the index fle would need (log2 bi) = (log2 28) = 5
block accesses
 A total of 5 + 1 = 6 block accesses
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Clustering Index
 Defined on an ordered data file.

 The data file is ordered on a non-key field.
 One index entry each distinct value of the field.

 The index entry points to the first data block that
contains records with that field value
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Clustering field
Dept_No Name DoB Salary Sex

1
1
Index file 2
2
Clustering Block
field value pointer 2
1 2
2
2
3
3
4
3
5
4
4
5
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Dept_No Name DoB Salary Sex
Clustering field
1
1
2
2
Index file
2
2
Clustering Block 2
field value pointer
1
3
2
3
3
4
4
5 4
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Clustering Index

 Number of distinct indexing field values in data file.
 Nondense

 At most one primary index or one clustering
index but not both.
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EXAMPLE 2
 r = 300,000 records, B = 4,096 bytes
 The file is ordered by the attribute Zipcode and
there are 1,000 zip codes in the file
 Ri = 5-byte Zipcode and 6-byte block pointer
 bfri = (B/Ri) = (4,096/11) = 372 index entries
per block
 ri = 1000 index entries of the clustering index
 bi = (ri/bfri) = (1,000/372) = 3 blocks
 A binary search on the index file would need
(log2 bi) = (log2 3) = 2 block accesses
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Secondary index
 A secondary index provides a secondary means of
accessing a file.
 The data file is unordered on indexing field.
 Indexing field:
 secondary key (unique value)
 nonkey (duplicate values)
 The index is an ordered file with two fields.

 The first field: indexing field.
 The second field: block pointer or record pointer.
 There can be many secondary indexes for the same file.
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Index file Secondary
(<K(i), P(i)> entries) key field
Index field Block 5
value pointer
13
3
8
4
5 6
6 15
8 3
9
9
11
21
13 … 11
15
18 4
21 23
23 18
Secondary index on key field

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Secondary index on key field
 Number of record in data file
 Dense
Jan - 2015 57
Secondary index on non-key field
 Discussion: Structure of Secondary index on non-
key field?
 Option 1: include duplicate index entries with the
same K(i) value - one for each record.
 Option 2: keep a list of pointers <P(i, 1), ..., P(i, k)>
in the index entry for K(i).
 Option 3:
 more commonly used.
 one entry for each distinct index field value + an extra
level of indirection to handle the multiple pointers.
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 Secondary
Index on
non-key
field:
option 3
Jan - 2015 59
Secondary index on nonkey field
 Number of records in data file
 Number of distinct index field values
 Dense/ nondense
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EXAMPLE 3
 r = 300,000, R = 100 bytes, B = 4,096 bytes, b = 7,500
blocks
 A non-ordering key feld of the file that is V = 9 bytes long
 A linear search on the file would require b/2 = 7,500/2 =
3,750 block accesses on the average
 A secondary index
 A block pointer is P = 6 bytes long, so each index entry is Ri = (9
+ 6) = 15 bytes
 bfri = (B/Ri) = (4,096/15) = 273 index entries per block
 bi = (r/bfri) = (300,000/273) = 1,099 blocks
 A binary search on this secondary index needs (log2 bi) =
(log21,099) = 11 block accesses
 Total block accesses: 11 + 1 = 12
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Summary of Single-level indexes
 Ordered file on indexing field?
 Primary index
 Clustering index
 Indexing field is Key?
 Primary index
 Secondary index
 Indexing field is not Key?
 Secondary index
Jan - 2015 62
 Dense index?
 Secondary index
 Nondense index?
 Primary index
 Secondary index
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1.5 RAID Technology
Jan - 2015 65
Multi-Level Indexes
 Because a single-level index is an ordered file, we
can create a primary index to the index itself.
 The original index file is called the first-level index and the
index to the index is called the second-level index.
 We can repeat the process, creating a third, fourth,
..., top level until all entries of the top level fit in
one disk block.
 A multi-level index can be created for any type of
first-level index (primary, secondary, clustering) as
long as the first-level index consists of more than
one disk block.
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A two-level primary
index resembling
ISAM (Indexed
Sequential Access
Method)
organization.
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EXAMPLE 4
 From example 3: bfri = 273 index entries per
block (fo) and b1 = 1,099 blocks
 b2 = (b1/fo) = (1,099/273) = 5 blocks
 b3 = (b2/fo) = (5/273) = 1 block
 Top level of the index: t = 3
 Total block accesses: t + 1 = 3 + 1 = 4 block
accesses
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Multi-Level Indexes
 Such a multi-level index is a form of search
tree.
 However, insertion and deletion of new index
entries is a severe problem because every
level of the index is an ordered file.
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A Node in a Search Tree with
Pointers to Subtrees below It
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A search tree of order p = 3
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1 Data Storage
1.5 RAID Technology
Jan - 2015 72
Dynamic Multilevel Indexes Using B-
Trees and B+-Trees
 Most multi-level indexes use B-tree or B+-tree data
structures because of the insertion and deletion
problem.
 This leaves space in each tree node (disk block) to allow
for new index entries
 These data structures are variations of search trees
that allow efficient insertion and deletion of new
search values.
 In B-Tree and B+-Tree data structures, each node
corresponds to a disk block.
 Each node is kept between half-full and completely
full.
Jan - 2015 73
Dynamic Multilevel Indexes Using B-
Trees and B+-Trees (cont.)
 An insertion into a node that is not full is quite
efficient.
 If a node is full, the insertion causes a split into
two nodes.
 Splitting may propagate to other tree levels.
 A deletion is quite efficient if a node does not
become less than half full.
 If a deletion causes a node to become less than
half full, it must be merged with neighboring
nodes.
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Difference between B-tree and B+-tree
 In a B-Tree, pointers to data records exist at
all levels of the tree.
 In a B+-Tree, all pointers to data records exist
at the leaf-level nodes.
 A B+-Tree can have less levels (or higher
capacity of search values) than the
corresponding B-tree.
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B-tree Structures
Jan - 2015 76
The Nodes of a +
B -Tree
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Example of insertion in B+-Tree
p = 3 and pleaf = 2
Insertion Sequence: 8, 5, 1, 7, 3, 12, 9, 6
Jan - 2015 78
Example of insertion in B+-Tree (cont.)
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+
B -Tree: Delete entry
 Start at root, find leaf L where entry belongs.
 Remove the entry.
 If L is at least half-full, done!
 If L has fewer entries than it should,
 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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Example of deletion from B+-Tree
p = 3 and pleaf = 2.
Deletion sequence: 5, 12, 9
Delete 5
Jan - 2015 86
Example of deletion from B+-Tree (cont.)
Delete 12: underflow

(redistribute)
Jan - 2015 87
Delete 9:
Underflow (merge with left, redistribute)
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1.5 RAID Technology
Jan - 2015 90
Types of Indexes
 B-tree indexes: standard index type
 Index-organized tables: the data is itself the index.
 Reverse key indexes: the bytes of the index key are
reversed. For example, 103 is stored as 301. The
reversal of bytes spreads out inserts into the index
over many blocks.
 Descending indexes: This type of index stores data on
a particular column or columns in descending order.
 B-tree cluster indexes: is used to index a table cluster
key. Instead of pointing to a row, the key points to the
block that contains rows related to the cluster key.
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Types of Indexes (cont.)
 Bitmap and bitmap join indexes: an index entry
uses a bitmap to point to multiple rows. A bitmap
join index is a bitmap index for the join of two or
more tables.
 Function-based indexes:
 Includes columns that are either transformed by a
function, such as the UPPER function, or included in
an expression.
 B-tree or bitmap indexes can be function-based.
 Application domain indexes: customized index
specific to an application.
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Creating Indexes
 Simple create index syntax:
CREATE [ UNIQUE | BITMAP ] INDEX
[schema.] <index_name>
ON [schema.] <table_name> (column [ ASC |
DESC ] [ , column [ASC | DESC ] ] ...)
[REVERSE];
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Example of creating indexes
 CREATE INDEX ord_customer_ix ON ORDERS
(customer_id);
 CREATE INDEX emp_name_dpt_ix ON
HR.EMPLOYEES(last_name ASC, department_id
DESC);
 CREATE BITMAP INDEX emp_gender_idx
ON EMPLOYEES (Sex);
 CREATE BITMAP INDEX emp_bm_idx
ON EMPLOYEES (JOBS.job_title)
FROM EMPLOYEES, JOBS
WHERE EMPLOYEES.job_id = JOBS.job_id;
Jan - 2015 94
Example of creating indexes (cont.)
Function-Based Indexes:
 CREATE INDEX emp_fname_uppercase_idx
ON EMPLOYEES ( UPPER(first_name) );
 SELECT First_name, Lname
FROM Employee WHERE UPPER(Lname)= “SMITH”;
 CREATE INDEX emp_total_sal_idx
ON EMPLOYEES (salary + (salary *
commission_pct));
 SELECT First_name, Lname
FROM Employee
WHERE ((Salary*Commission_pct) + Salary )
> 15000;
Jan - 2015 95
Guidelines for creating indexes
 Primary and unique keys automatically have
indexes, but you might want to create an index on a
foreign key.
 Create an index on any column that the query uses
to join tables.
 Create an index on any column from which you
search for particular values on a regular basis.
 Create an index on columns that are commonly
used in ORDER BY clauses.
 Ensure that the disk and update maintenance
overhead an index introduces will not be too high.
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Chapter 8:

Data Storage, Indexing

 The following table shows the average access time

 Defined on an ordered data file.

 One index entry for each block in the data file

 A similar scheme can use the last record in a block.

 Number of index entries?

 Search/ Insert/ Update/ Delete?

 Defined on an ordered data file.

 One index entry each distinct value of the field.

Dept_No Name DoB Salary Sex

 Number of index entries?

 Search/ Insert/ Update/ Delete?

 The index is an ordered file with two fields.

 There can be many secondary indexes for the same file.

Secondary index on key field

 Search/ Insert/ Update/ Delete?

 Search/ Insert/ Update/ Delete?

Insertion Sequence: 8, 5, 1, 7, 3, 12, 9, 6

Insertion Sequence: 8, 5, 1, 7, 3, 12, 9, 6

Insertion Sequence: 8, 5, 1, 7, 3, 12, 9, 6

Insertion Sequence: 8, 5, 1, 7, 3, 12, 9, 6

Insertion Sequence: 8, 5, 1, 7, 3, 12, 9, 6

Insertion Sequence: 8, 5, 1, 7, 3, 12, 9, 6

Insertion Sequence: 8, 5, 1, 7, 3, 12, 9, 6

Deletion sequence: 5, 12, 9

Deletion sequence: 5, 12, 9

Delete 12: underflow

Deletion sequence: 5, 12, 9

Deletion sequence: 5, 12, 9

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