Module 2: Storing Data: Disks and Files

Module Outline

2.1 Memory hierarchy

2.2 Disk space management

2.3 Buffer manager

2.4 File and record organization

2.5 Page formats

2.6 Record formats

2.7 Addressing schemes

Files and Index Structures

Buffer Manager

Disk Space Manager

RecoveryManager

Plan Executor

Operator Evaluator Optimizer

Parser

ApplicationsWeb Forms SQL Interface

SQL Commands

Query Processor

Concurrency ControlDBMS

Database

Index Files

Data FilesSystem Catalog

TransactionManager

LockManager

13

2.1 Memory hierarchy

I Memory in off-the-shelf computer systems is arranged in a hierarchy:

Request Storage Class

&CPU

&CPU Cache (L1, L2)

ffprimary

&Main Memory (RAM)

&Magnetic Disk secondary

Tape, CD-ROM, DVD tertiary

I Cost of primary memory ≈ 100 × cost of secondary storage space of the same

size.

I Size of address space in primary memory (e.g., 232 Byte = 4 GB) may not be

sufficient to map the whole database (we might even have � 232 records).

I DBMS needs to make data persistent across DBMS (or host) shutdowns or

crashes; only secondary/tertiary storage is nonvolatile.

DBMS needs to bring in data from lower levels in memory hierarchy

as needed for processing.14

2.1.1 Magnetic disks

I Tapes store vast amounts of data (� 20 GB; more for roboter tape farms) but

they are sequential devices.

I Magnetic disks (hard disks) allow direct access to any desired location; hard

disks dominate database system scenarios by far.

arm movement

rotation

platter

cylinder

track

disk head

disk arm

1© Data on a hard disk is arranged in con-

centric rings (tracks) on one or more

platters,

2© tracks can be recorded on one or both

surfaces of a platter,

3© set of tracks with same diameter form

a cylinder,

4© an array (disk arm) of disk heads, one

per recorded surface, is moved as a unit,

5© a stepper motor moves the disk heads

from track to track, the platters steadily

rotate.

15

track sector

block

1© Each track is divided into arc-shaped

sectors (a characteristic of the disk’s

hardware),

2© data is written to and read from disk

block by block (the block size is set to

a multiple of the sector size when the

disk is formatted),

3© typical disk block sizes are 4 KB or

8 KB.

Data blocks can only be written and read if disk heads and platters are posi-

tioned accordingly.

I This has implications on the disk access time:

1© Disk heads have to be moved to desired track (seek time),

2© disk controller waits for desired block to rotate under disk head (rotational

delay),

3© disk block data has to be actually written/read (transfer time).

access time = 1©+ 2©+ 3©16

I Access time for the IBM Deskstar 14GPX

I 3.5 inch hard disk, 14.4 GB capacity

I 5 platters of 3.35 GB of user data each, platters rotate at 7200/min

I average seek time 9.1 ms (min: 2.2 ms [track-to-track], max: 15.5

ms)

I average rotational delay 4.17 ms

I data transfer rate 13 MB/s

access time 8 KB block ≈ 9.1 ms + 4.17 ms +1 s

13 MB/8 KB≈ 13.87 ms

N.B. Accessing a main memory location typically takes < 60 ns.

17

I The unit of a data transfer between disk and main memory is a block,

I if a single item (e.g., record, attribute) is needed, the whole containing block

must be transferred:

Reading or writing a disk block is called an I/O operation.

The time for I/O operations dominates the time taken for database oper-

ations.

I DBMSs take the geometry and mechanics of hard disks into account.

� Current disk designs can transfer a whole track in one platter revolution,

active disk head can be switched after each revolution.

� This implies a closeness measure for data records r1, r2 on disk:

1© Place r1 and r2 inside the same block (single I/O operation!),

2© place r2 inside a block adjacent to r1’s block on the same track,

3© place r2 in a block somewhere on r1’s track,

4© place r2 in a track of the same cylinder than r1’s track,

5© place r2 in a cyclinder adjacent to r1’s cylinder.18

2.1.2 Accelerating Disk-I/O

Goals

I reduce number of I/Os:

☞ DBMS buffer, physical DB-design

I reduce duration of I/Os:

☞ access neighboring disk blocks (clustering) and bulk-I/O:

. advantage: optimized seek time, optimized rotational delay, minimized overhead

(e.g. interrupt handling)

. disadvantage: I/O path busy for a long time (concurrency!)

. bulk I/Os can be implemented on top of or inside disk controller

. . . used for mid-sized data access (prefetching, sector-buffering)

☞ different I/O paths (declustering) with parallel access

. advantage: parallel I/Os, minimized transfer time by multiple bandwidth

. disadvantage: avg. seek time and rotational delay increased, more hardware

needed, blocking of parallel transactions

. advanced hardware or disk arrays (RAID systems)

. . . used for large-size data access19

Performance gains withs parallel I/Os

Partition files into equally sized areas of consecutive blocks (“striping”)

� � � �

� � � �

� � � �

���

� � � �

� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � �intra-I/O parallelism inter-I/O parallelism

Striping unit (# logically consecutive bytes on one disk) determines degree of

parallelism for single I/O and degree of parallelism between different I/Os:

I small chunks: high intra-access parallelism but many devices busy

⇒ not many I/Os in parallel

I large chunks: low intra-access parallelism, but many I/Os in parallel20

RAID-Systems: Improving Availability

I Goal: maximize availability . . . =MTTF

MTTF +MTTR

where: MTTF=mean time to failure, MTTR=mean time to repair

I Problem: with N disks, we have N times higher probability for problems!

Thus: MTTDL =MTTF

N

where MTTDL=mean time to data loss

I Solution: RAID=Redundant array of inexpensive (independent) disks

Now we get MTTDL =MTTF

N· MTTF

(N − 1) ·MTTR

i.e., we only suffer from data loss, is a second disk fails before the first failed disk has

been replaced.

21

Principle of Operation

Use data redundancy to be able to reconstruct lost data, e.g., compute parity

information during normal operation

� � �

�

. . . here ⊕ denotes logical “xor” (exclusive or)

When one of the disks fails, use parity to reconstruct lost data during failure re-

covery

� � �

�

. . . typically reserve one extra disk as a “hot spare” to replace the failed one

immediately.22

Executing I/Os from/to a RAID System

I Read Access: to read block number k from disk j , execute a

read(Bjk , diskj)-Operation.

I Write Access: to write block number k back to disk j , we have to update theparity information, too (let p be the number of the parity disk for block k):

∀i 6=j : read(Bik , diski);

compute new parity block B′pk from contents of all Bi

k ;

write(B′ jk , diskj);

write(B′pk , diskp);

we can do better (i.e., more efficient), though:

read(Bpk , diskp);

compute new parity block B′pk := Bp

k ⊕ Bjk ⊕ B

′ jk ;

write(B′ jk , diskj);

write(B′pk , diskp);

23

I Write Access to blocks b on all disks i 6= p:

compute new parity block B′pk from contents of all Bi 6=p

k ;

∀i : write(B′ ik , diski);

I Reconstruction of block b on a failed disk j (let r be the number of the replace-ment disk):

∀i 6=j : read(Bik , diski);

reconstruct Bjk as “parity” from all Bi 6=j

k

write(Bjk , diskr );

24

Recovery Strategies

I off-line: if a disk has failed, suspend normal I/O; reconstruct all blocks of the

failed disk and write them to the replacement disk; only afterwards resume

normal I/O traffic.

I on-line: (needs a hot spare disk) resume normal I/O immediately

� start reconstructing all blocks not yet reconstructed since the crash (in back-

ground);

� allow parallel “normal” writes:

write the block to the replacement disk and update parity;

� allow parallel “normal” read I/O:

. if block has not yet been repaired:

reconstruct block

. if block has already been reconstructed:

read block from replacement disk or reconstruct it (load balancing decision)

N.B. we can even wait with all reconstruction until first “normal” read access!

25

2.1.3 RAID-Levels

There are a number of variants (→ RAID-Levels) differing w.r.t. the following char-

acteristics:

I striping unit (data interleaving)

� how to scatter (primary) data across disks?

� fine (bits/bytes) or coarse (blocks) grain?

I How to compute and distribute redundant information?

� what kind of redundant information (parity, ECCs)

� where to allocate redundant information (separate/few disks, all disks of the

array)

5 RAID-levels have been introduced, later more levels have been defined.

26

I RAID Level 0: no redundancy, just striping

� least storage overhead

� no extra effort for write-access

� not the best read-performance!

I RAID Level 1: mirroring

� doubles necessary storage space

� doubles write-access

� optimized read-performance due to alternative I/O path

I RAID Level 2: memory-style ECC

� compute error-correcting codes for data of n disks

� store onto n − 1 additional disks

� failure recovery: determine lost disk by using the n − 1 extra disks; correct

(reconstruct) its contents from 1 of those

27

I RAID Level 3: bit-interleaved parity

� one parity disk suffices, since controller can easily identify faulty disk!

� distribute (primary) data bit-wise onto data disks

� read and write access goes to all disks, therefore, no inter-I/O parallelism, but

high bandwidth

I RAID Level 4: block-interleaved parity

� like RAID 3, but distribute data block-wise (variable block size)

� small read I/O goes to only one disk

� bottleneck: all write I/Os go to the one parity disk

I RAID Level 5: block-interleaved striped parity

� like RAID 4, but distribute parity blocks across all disks → load balancing

� best performance for small and large read as well as large write I/Os

� variants w.r.t. distribution of block

More recent levels combine aspects of the ones listed here, or add multiple parity

blocks, e.g. RAID 6: two parity blocks per group.28

non-� � � � � � � � � � � � � �

mirroring � � � � � � � �

m� � � � � � s� � � � � � � � � � � � � �

bit-i� � � � � � � " � p� � � � � � � � � � � $ �

block-i� � � � � � � " � p� � � � � � � � � � � & �

b� � � % � i� � � � � � � " � ' s� � � � � p� � � � � � � � � � � ( �

# ) * p� � � � � ' s� � � � � � � � � � � + �

data interleavingon the byte level

data i� � � � � � � " � � �on the block level

shading= redundant info

29

Parity groups

Parity is not necessarily computed across all disks within an array, it is possibile to

define parity groups (of same or different sizes).

disk 1

group 1

group 2

...

disk 2

group 1

group 2

...

disk 3

group 1

group 2

...

disk 4

parity 1

...

disk 5

parity 2

...

group 3group 3parity 3 group 3

group 4 parity 4 group 4 group 4

group 5 group 5 group 5parity 5

30

Selecting RAID levels

I RAID level 0: improves overall performance at lowest cost; no provision against

data loss, best write performance, since no redundancy;

I RAID levels 0+1: (aka. level 10) superior to level 1, main appl. area is small

storage subsystems, sometimes for write-intensive applications.

I RAID level 1: most expensive version; typically serialize the two necessary I/Os

for writes to avoid data loss in case of power failures, etc.

I RAID levels 2 and 4: are always inferior to levels 3 and 5, resp’ly. Level

3 appropriate for workloads with large requests for contiguous blocks; bad for

many small requests of a single block.

I RAID level 5: is a good general-purpose solution. Best performance (with

redundancy) for small and large read as well as large write requests.

I RAID level 6: choice for higher level of reliability.

31

2.2 Disk space management

You are here!

Files and Index Structures

Buffer Manager

Disk Space Manager

RecoveryManager

Plan Executor

Operator Evaluator Optimizer

Parser

ApplicationsWeb Forms SQL Interface

SQL Commands

Query Processor

Concurrency ControlDBMS

Database

Index Files

Data FilesSystem Catalog

TransactionManager

LockManager

I The disk space manager (DSM) encapsulates

the gory details of hard disk access for the

DBMS,

I the DSM talks to the disk controller and initiates

I/O operations,

I once a block has been brought in from disk it is

referred to as a pagea.

I Sequences of data pages are mapped onto con-

tiguous sequences of blocks by the DSM.

I The DBMS issues allocate/deallocate and

read/write commands to the DSM,

I which, internally, uses a mapping

block-#↔ page-#

to keep track of page locations and block usage.

aDisk blocks and pages are of the same size.

32

2.2.1 Keeping track of free blocks

I During database (or table) creation it is likely that blocks indeed can be arranged

contiguously on disk.

I Subsequent deallocations and new allocations however will, in general, create

holes.

I To reclaim space that has been freed, the disk space manager either uses

� a free block list:

1© keep a pointer to the first free block in a known location on disk,

2© when a block is no longer needed, append/prepend this block to the free

block list for future use,

3© next pointers may be stored in disk blocks themselves,

� or free block bitmap:

1© reserve a block whose bytes are interpreted bit-wise (bit n = 0: block n is

free),

2© toggle bit n whenever block n is (de-)allocated.

� Free block bitmaps allow for fast identification of contiguous sequences of

free blocks.33

2.3 Buffer manager

Files and Index Structures

Buffer Manager

Disk Space Manager

RecoveryManager

Plan Executor

Operator Evaluator Optimizer

Parser

ApplicationsWeb Forms SQL Interface

SQL Commands

Query Processor

Concurrency ControlDBMS

Database

Index Files

Data FilesSystem Catalog

TransactionManager

LockManager

You are here!

Size of the database on secondary storage

�size of avail. primary mem. to hold user data.

I To scan the entire pages of a 20 GB table

(SELECT ∗ FROM . . . ), the DBMS needs to

1© bring in pages as they are needed for in-

memory processing,

2© overwrite (replace) such pages when they be-

come obsolete for query processing and new

pages require in-memory space.

I The buffer manager manages a collection of

pages in a designated main memory area, the

buffer pool,

I once all slots (frames) in this pool have been oc-

cupied, the buffer manager uses a replacement

policy to decide which frame to overwrite when a

new page needs to be brought in.

34

N.B. Simply overwriting a page in the buffer pool is not sufficient if this page has

been modified after it has been brought in (i.e., the page is so-called dirty).

pinPage / unpinPage

disk page

free frame

disk

buffer pool

main memory

database

35

Simple interface for a typical buffer manager

Indicate that page p is needed for further processing:

function pinPage(p):

if buffer pool contains p already then

pinCount(p)← pinCount(p) + 1;

return address of frame for p;

select a victim frame p′ to be replaced using the replacement policy;

if dirty(p′) then

write p′ to disk;

read page p from disk into selected frame;

pinCount(p)← 1;

dirty(p)← false;

Indicate that page p is no longer needed as well as whether p has been modified by

a transaction (d):

function unpinPage(p, d):

pinCount(p)← pinCount(p)− 1;

dirty(p)← d ;

36

N.B.

I The pinCount of a page indicates how many “users” (e.g., transactions) are

working with that page,

I “clean” victim pages are not written back to disk,

I a call to unpinPage does not trigger any I/O operation, even if the pinCount

for this page goes down to 0 (the page might become a suitable victim, though),

I a database transaction is required to properly “bracket” any page operation using

pinPage and unpinPage, i.e.

a← pinPage(p);. . .

read data (records) on page at

address a;

. . .

unpinPage(p, false);

or

a← pinPage(p);. . .

read and modify data (records)

on page at address a;

. . .

unpinPage(p, true);

I A buffer manager typically offers at least one more interface-call: flushPage(p)

to force page p (synchronously) back to disk (for transaction mgmt. purposes)

37

Two strategic questions

1© How much pretious buffer space to allocate to each of the active transactions

(Buffer Allocation Problem)? Two principal approaches:

– static assignment

– dynamic assignment

2© Which page to replace when a new request arrives and the buffer is full (Page

Replacement Problem)? Again, two approaches can be followed:

– decide without knowledge on reference pattern

– presume knowledge on (expected) reference pattern

Additional complexity is introduced when we take into account that the DBMS may

manage “segments” of different page sizes:

I one buffer pool: good space utilization, but fragmentation problem

I many buffer pools: no fragmentation, but worse utilization; global replace-

ment/assignment strategy may get complicated

Possible solution could be to allow for set-oriented pinPages({p})-calls.38

2.3.1 Buffer allocation policies

Problem: shall we allocate parts of the buffer pool to each transaction (TX) or let

the replacement strategy alone decide on who gets how much buffer space?

Properties of a “local” policy:

⊕ one TX cannot hurt others

⊕ TXs are treated equally

possibly bad overall utilization of buffer space

some TXs may have vast amounts of buffer space occupied by “old” pages,

while others experience “internal page trashing”, i.e., suffer from too little space

Problem with a “global” policy:

Consider a TX executing a sequential read on a huge relation:

� all page accesses are references to newly loaded pages;� hence, almost all other pages are likely be replaced (following a standard

replacement strategy);� other TXs cannot proceed without loading in their pages again (“external

page trashing”).39

Typical allocation strategies include:

I global – one buffer pool for all transactions

I local – based on different kinds of data (e.g., catalog, index, data, . . . )

I local – each transaction gets a certain fraction of the buffer pool:

� static partitioning – assign buffer budget once for each TX

� dynamic partitioning – adjust a TX’s buffer budget according to

. it’s past reference pattern

. some kind of semantic information

It is also possible to apply mixed strategies, e.g., have different pools working with

different approaches. This complicates matters significantly, though.

40

Examples for dynamic allocation strategies

1© Local LRU (cf. LRU replacement, later)

I keep a separate LRU-stack for each active TX, and

I a global freelist for pages not pinned by any TX

Strategy:

i. replace a page from the freelist

ii. replace a page from the LRU-stack of the requesting TX

iii. replace a page from the TX with the largest LRU-stack

2© Working Set Model (cf. operating systems’ virtual memory management)

Goal: avoid thrashing by allocating “just enough” buffer space to each TX

Approach: observe number of different page requests by each TX within a

certain intervall of time (window size τ)

I deduce “optimal” buffer budget from this observation,

I allocate buffer budgets according to the ratio between those optimal sizes

41

Implementation of the Working Set Model

Let WS(T, τ) be the “working set” of TX T for window size τ , i.e.,

WS(T, τ) = {pages referenced by T in the inverall [now− τ, now]}.

The strategy is to keep, for each transaction Ti , it’s working set, WS(Ti , τ) in the

buffer.

Possible implementation: keep two counters, per TX and per page, resp’ly

I trc(Ti) . . . TX-specific reference counter,

I l r c(Ti , Pj) . . . TX-specific last reference counter for each referenced page Pj .

Idea of the algorithm:

I Whenever Ti references Pj :

→ increment trc(Ti);

→ copy trc(Ti) to l r c(Ti , Pj).

I If a page has to be replaced for Ti , select among those with

trc(Ti)− l r c(Ti , Pj) ≥ τ.

42

2.3.2 Buffer replacement policies

I The choice of victim frame selection (or buffer replacement) policy can con-

siderably affect DBMS performance.

I Large number of policies in operating systems and database mgmt. systems.

Criteria for victim selection used in some strategies

Criteria Age of page in buffer

no since last ref. total age

none Random FIFO

References last

LRU

CLOCK

GCLOCK(V1)

all LFUGCLOCK(V2)

DGCLOCKLRD(V1)

LRD(V2)

43

Schematic overview of buffer replacement policies

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ref to Ain buffer

ref to Cnot in buffer

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� � � � �victimpage

� �

� �� � � !!�� "� "

rc age

gc! �

�

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"used" bit

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ref count�

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� � � � ( ) � � � � � �� � � � � ) *

possibly initializedwith weights

� � � � �

44

I Two policies found in a number of DBMSs:

1© LRU (“least recently used”)

� Keep a queue (often described as a stack) of pointers to frames.

� In unpinPage(p, d), append p to the tail of queue, if pinCount(p) is decremented

to 0.

� To find the next victim, search through the queue from its head and find the first

page p with pinCount(p) = 0.

2© Clock (“second chance”)

� Number the N frames in buffer pool 0 . . . N − 1, initialize counter current← 0,

and maintain a bit array referenced[0 . . . N − 1], initialized to all 0.

� In pinPage(p), do reference[p]← 1.

� To find the next victim, consider page current.

If pinCount(current) = 0 and referenced[current] = 0, current is the victim.

Otherwise, referenced[current] ← 0, current ← (current + 1) mod N, re-

peat.

I Generalization: LRU(k) – take timestamps of last k references into account.

Standard LRU is LRU(1).

45

N.B. LRU as well as Clock are heuristics only. Any heuristic can fail miserably in

certain scenarios:

✎ A challenge for LRU

A number of transactions want to scan the same sequence of pages (e.g.,

SELECT ∗ FROM R) one after the other. Assume a buffer pool with a

capacity of 10 pages.

1© Let the size of relation R be 10 or less pages. How many I/Os do you

expect?

2© Let the size of relation R be 11 pages. What about the number of I/O

operations in this case?

Other well-known replacement policies are, e.g.,

I FIFO (“first in, first out”), LIFO (“last in, first out”)

I LFU (“least frequently used”), MRU (“most recently used”),

I GCLOCK (“generalized clock”), DGCLOCK (“dynamic GCLOCK”)

I LRD (“least reference density”),

I WS, HS (“working set”, “hot set”) – see above,

I Random.46

LRD – least reference density

Record the following three parameters

I trc(t) . . . total reference count of transaction t,

I age(p) . . . value of trc(t) at the time of loading p into buffer,

I rc(p) . . . reference count of page p.

Update these parameters during a transaction’s page references (pinPage-Calls).

From those, compute mean reference density of a page p at time t as:

rd(p, t) :=rc(p)

trc(t)− age(p). . . where trc(t)− rc(p) ≥ 1

Strategy for victim selection: chose page with least reference density rd(p, t)

. . . many variants, e.g., for gradually disregarding old references.

47

Exploiting semantic knowledge

I Query compiler/optimizer . . .

� selects access plan, e.g., sequential scan vs. index,

� estimates number of page I/Os for cost-based optimization.

I Idea: use this information to determine query-specific, optimal buffer budget

Query Hot Set model.

Goals:

I optimize overall system throughput;

I to avoid thrashing is the most important goal.

48

Hot Set with disjoint page sets

1© Only those queries are activated, whose Hot Set buffer budget can be satisfied

immediately.

2© Queries with higher demands have to wait until their budget becomes available.

3© Within its own buffer budget, each transaction applies a local LRU policy.

Properties:

No sharing of buffered pages between transactions.

Risk of “internal thrashing” when Hot Set estimates are wrong.

Queries with large Hot Sets block following small queries.

(Or, if bypassing is permitted, many small queries can lead to starvation of large

ones.)

49

Hot Set with non-disjoint page sets

1© Queries allocate their budget stepwise, upto the size of their Hot Set.

2© Local LRU stacks are used for replacement.

3© Request for a page p:

(i) If found in own LRU-stack : update LRU-stack.

(ii) If found in another transaction’s LRU-stack : access page, but don’t update

the other LRU-stack.

(iii) If found in freelist: push page on own LRU-stack.

4© unpinPage: push page onto freelist-stack.

5© Filling empty buffer frames: taken from the bottom of the freelist-stack.

N.B.

I As long as a page is in a local LRU-stack, it cannot be replaced.

I If a page drops out of a local LRU-stack, it is pushed onto the freelist-stack.

I A page is replaced only if it reaches the bottom of the freelist-stack before some

transaction pins it again.50

Priority Hints

I Idea: with unpinPage, a transaction gives one of the two possible indications

to the buffer manager:

� “preferred page” . . . those are managed in a TX-local parition,

� “ordinary page” . . . managed in a global partition.

I Strategy: when a page needs to be replaced,

1. try to replace an ordinary page from the global partition using LRU;

2. replace a preferred page of the requesting TX according to MRU.

I Advantages:

� much simpler than DBMIN (“Hot Set”),

� similar performance,

� easy to deal with “too small” partitions.

51

Prefetching

. . . when the buffer manager receives requests for (single) page(s), it may decide

to (asynchronously) read ahead

I on-demand, asynchronous read-ahead:

e.g., when traversing the sequence set of an index, during a sequential scan of

a relation, . . .

I heuristic (speculative) prefetching:

e.g., sequential n-block lookahead (cf. drive or controller buffers in harddisks),

semantically determined supersets, index prefetch, . . .

52

2.3.3 Buffer management in DBMSs vs. OSs

Buffer management for a DBMS curiously “tastes” like the virtual memory1 con-

cept of modern operating systems. Both techniques provide access to more data

than will fit into primary memory.

So: why don’t we use OS virtual memory facilities to implement DBMSs?

I A DBMS can predict certain reference patterns for pages in a buffer a lot better

than a general purpose OS.

I This is mainly because page references in a DBMS are initiated by higher-level

operations (sequential scans, relational operators) by the DBMS itself.

✎ Reference pattern examples in a DBMS

1© Sequential scans call for prefetching.

2© Nested-loop joins call for page fixing and hating.

I Concurrency control protocols often prescribe the order in which pages are

written back to disk. Operating systems usually do not provide hooks for that.

1Generally implemented using a hardware interrupt mechanism called page faulting.53

Double Buffering

If the DBMS uses it’s own buffer manager (within the virtual memory of the DBMS

server process), independently from the OS VM manager, we may experience the

following:

I Virtual page fault: page resides in DBMS buffer. However, frame has been

swapped out of physical memory by OS VM manager.

An I/O operation is necessary that is not visible to the DBMS.

I Buffer fault: page does not reside in DBMS buffer, frame is in physical memory.

Regular DBMS page replacement, requiring an I/O operation.

I Double page fault: page does not reside in DBMS buffer, frame has been

swapped out of physical memory by OS VM manager.

Two I/O operations necessary: one to bring in the frame (OS)2;

another one to replace the page in that frame (DBMS).

=⇒ DBMS buffer needs to be memory resident in OS.

2OS VM does not know “dirty flags”, hence brings in pages that could simply be overwritten.54

2.4 File and record organization

Files and Index Structures

Buffer Manager

Disk Space Manager

RecoveryManager

Plan Executor

Operator Evaluator Optimizer

Parser

ApplicationsWeb Forms SQL Interface

SQL Commands

Query Processor

Concurrency ControlDBMS

Database

Index Files

Data FilesSystem Catalog

TransactionManager

LockManager

You are here!

I We will now turn away from page management

and will instead focus on page usage in a DBMS.

I On the conceptual level, a relational DBMS

manages tables of tuples3, e.g.

A B C...

......

42 true ’foo’...

......

I On the physical level, such tables are represented

as files of records (tuple = record), each page

holds one or more records

(in general, |record| � |page|).

I A file is a collection of records that may reside

on several pages.

3More precisely, table actually means bag here (set of elements with multiplicity ≥ 0).55

2.4.1 Heap files

I The most simple file structure is the heap file which represents an unordered

collection of records.

I As in any file structure, each record has a unique record identifier (rid).

I A typical heap file interface supports the following operations:

� create/destroy heap file f named n:

createFile(n) / deleteFile(f )� insert record r and return its rid :

insertRecord(f , r)� delete a record with a given rid :

deleteRecord(f , rid)� get a record with a given rid :

getRecord(f , rid)� initiate a sequential scan over the whole heap file:

openScan(f )

I N.B. Record ids (rids) are used like record addresses (or pointers). Internally,

the heap file structure must be able to map a given rid to the page containing

the record.56

I To support openScan(f ), the heap file structure has to keep track of all pages

in file f ; to support insertRecord(f , r) efficiently, we need to keep track of

all pages with free space in file f .

I Let us have a look at two simple structures which can offer this support.

2.4.2 Linked list of pages

I When createFile(n) is called,

1© the DBMS allocates a free page (the file header) and writes an appropriate

entry 〈n, header page〉 to a known location on disk;

2© the header page is initialized to point to two doubly linked lists of pages:

data

page page

page page full pages

with free spacelinked list of pages

data data

data

linked list of

pageheader

3© Initially, both lists are empty.

57

Remarks:

I For insertRecord(f , r),

1© try to find a page p in the free list with free space > |r |; should this fail, ask

the disk space manager to allocate a new page p;

2© record r is written to page p;

3© since generally |r | � |p|, p will belong to the list of pages with free space;

4© a unique rid for r is computed and returned to the caller.

I For openScan(f ),

1© both page lists have to be traversed.

I A call to deleteRecord(f , rid)

1© may result in moving the containing page from full to free page list,

2© or even lead to page deallocation if the page is completely free after deletion.

✎ Finding a page with sufficient free space . . .

. . . is an important problem to solve inside insertRecord(f , r). How does

the heap file structure support this operation? (How many pages of a file

do you expect to be in the list of free pages?)

58

2.4.3 Directory of pages

I An alternative to the linked list approach is to maintain a directory of pages in

a file.

I The header page contains the first page of a chain of directory pages; each entry

in a directory page identifies a page of the file:

headerpage

data

data

data

page

page

pagepage directory

59

Remarks:

I |page directory| � |data pages|

I Free space management is also done via the directory:

each directory entry is actually of the form 〈page addr p, nfree〉, where nfree

indicates the actual amount of free space (e.g. in bytes) on page p.

✎ I/O operations and free space managementFor a file of 10000 pages, give lower and upper bounds for the number of page

I/O operations during an insertRecord(f , r) call for a heap file organized

using

1© a linked list of pages,

2© a directory of pages (1000 directory entries/page).

60

2.5 Page formats

I Locating the containing data page for a given rid is not the whole story when

the DBMS needs to access a specific record: the internal structure of pages

plays a crucial role.

I For the following discussion, we consider a page to consist of a sequence of

slots, each of which contains a record.

I A complete record identifier then has the unique form

〈page addr , nslot〉

where nslot denotes the slot number on the page.

61

2.5.1 Fixed-length records

Life is particularly easy if all records on the page (in the file) are of the same

size s;

I getRecord(f , 〈p, n〉):given the rid 〈p, n〉 we know that the record is to be found at (byte) offset n × s on

page p.

I deleteRecord(f , 〈p, n〉):copy the bytes of the last occupied slot on page p to offset n × s, mark last slot as

free;

all occupied slots thus appear together at the start of the page (the page is packed).

I insertRecord(f , r):

find a page p with free space ≥ s (see previous section); copy r to the first free slot

on p, mark slot as occupied.

� Packed pages and deletions:

One problem with packed pages remains, though:

I calling deleteRecord(f , 〈p, n〉) modifies the rid of a different record 〈p, n′〉on the same page.

I If any external reference to this record exists we need to chase the whole

database and update rid references 〈p, n′〉 → 〈p, n〉.Bad!

62

I To avoid record copying (and thus rid modifications), we could simply use a free

slot bitmap on each page:

packed unpacked w/ bitmap

freespace

page

of recordsnumber

header

of slotsnumber

slot N−1

slot 0slot 1

slot 0slot 1slot 2

slot M−1N

1

1 M

23

01

M−1

� Calling deleteRecord(f , 〈p, n〉) simply means to set bit n in the bitmap to 0,

no other rids are affected.

✎ Page header or trailer?

In both page organization schemes we have positioned the page header

at the end of its page. How would you justify this design decision?

63

2.5.2 Variable-length records

If records on a page are of varying size (cf. the SQL datatype VARCHAR(n)), we

have to deal with page fragmentation:

I In insertRecord(f , r) we have to find an empty slot of size ≥ |r |; at the same

time we want to try to minimize waste.

I To get rid of holes produced by deleteRecord(f , rid), compact the remaining

records to maintain a contiguous area of free space on the page.

A solution is to maintain a slot directory on each page (compare this with a heap

file directory!):

number of entriesin slot directory

offset of recd fromstart of data area

N24

slot directory

rid = <p,0>

rid = <p,1>

N−1 01

20 16

rid = <p, N−1>

24 bytes

start of

free space

pointer to

page p

64

Remarks:

I The slot directory contains entries 〈offset, length〉 where offset is measured in

bytes from the data page start.

I In deleteRecord(f , 〈p, n〉), simply set the offset of directory entry n to −1;

such an entry can be reused during subsequent insertRecord(f , r) calls which

hit page p.

� Directory compaction . . .

. . . is not allowed in this scheme (again, this would modify the rids of

all records 〈p, n′〉, n′ > n)!

If insertions are much more common than deletions, the directory size

will nevertheless be close to the actual number of records stored on

the page.

N.B. Record compaction (defragmentation) is performed, of course.

65

2.6 Record formats

I This section zooms into the record internals themselves, thus discussing access

to single record fields (conceptually: attributes). Attribute values are considered

atomic by an RDBMS.

I Depending on the field types, we are dealing with fixed-length or variable-

length fields in a record, e.g.

SQL datatype fixed-length? length (# of bytes)4

INTEGER � 4

BIGINT � 8

CHAR(n) � n, 1 ≤ n ≤ 254

VARCHAR(n) 1 . . . n, 1 ≤ n ≤ 32672

CLOB(n) 1 . . . n, 1 ≤ n ≤ 231

DATE � 4...

...

I The DBMS computes and then saves the field size information for the records

of a file in the system catalog when it processes the corresponding command

CREATE TABLE . . . .

4I Datatype lengths valid for DB2 V7.1.66

2.6.1 Fixed-length fields

If all fields in a record are of fixed length, offsets for field access can simply be read

off the DBMS system catalog (field fi of size li):

base address b

l1 l2 l3 l4

address = b+l1+l2

f1 f2 f3 f4

2.6.2 Variable-length fields

If a record contains one or more variable-length fields, other record representations

are needed:

1© Use a special delimiter symbol ($) to separate record fields. Accessing field fi means

to scan over the bytes of fields f1 . . . f(n − 1);

2© for a record of n fields, use an array of n + 1 offsets pointing into the record (the last

array entry marks the end of field fn):

f3 f4f1 $ $f2 $ $

f3f2f1 f4

67

Final remarks:

Variable-length record formats seem to be more complicated but, among other

advantages, they allow for the compact representation of SQL NULL values (field

f3 is NULL below):

f2f1

f1 $ $f2 $ f4

f4

✎ Growing a recordConsider an update on a field (e.g. of type VARCHAR(n)) which lets the record

grow beyond the size of the free space on its containing page.

How could the DBMS handle this situation efficiently?

✎ Really growing a recordFor fields of type VARCHAR(n) or CLOB(n) with n > |page size| we are in trouble

whenever a record actually grows beyond page size (the record won’t fit on any

one page).

How could the DBMS file manager cope with this?68

2.7 Addressing schemes

What makes a “good” record ID (rid)?

I given a rid, it should ideally not take more than 1 page I/O to get to the record

itself

I rids should be stable under all circumstances, such as

� a record is being moved within a page

� a record is being moved across pages

✎ Why are these goals important to achieve?

Consider the fact that rids are used as “persistent pointers” in a DBMS

(indexes, directories, implemenation of CODAYSL sets, . . .)

✎ Conflicting goals!

Efficiency calls for “direct disk address”, while stability calls for some kind

of indirection.

69

Direct addressing

I RBA – relative byte address:

Consider disk file as a persistent virtual address space and use byte-offset as rid.

pro: very efficient access to page and to record within page

con: no stability at all w.r.t. moving record

I PP – page pointers:

Use disk page numbers as rid.

pro: very efficient access to page; locating record within page is cheap (in-

memory operation)

con: stable w.r.t. moving records within page, but not when moving across

pages

70

Indirect addressing

I LSN – logical sequence numbers:

Assign logical numbers to records. Address translation table maps to PPs (or

even RBAs).

pro: full stability w.r.t. all relocations of records

con: additional I/O to translation table (often in the buffer)

CODASYL systems call this “DBTT” (database key translation table):

� � �� � � �

� �

� � � � � � � �

�� � � � �

� � � � � �

� � � � � � � � � � � � � � � � � � � � �

� � � � � � � � � � � � � � � � � � � � �

� � � � � � � � � � � � � � � � � � �

� � � � � � � � � � � � � � � � � � � � �

� � � � � � � �� � � � � �

� � �

71

Indirect addressing – fancy variant

I LSN/PPP – LSN with probable page pointers:

Try to avoid extra I/O by adding a “probable” PP (PPP) to LSNs. PPP is the

PP at the time of insertion into the database. If record is moved across pages,

PPPs are not updated!

pro: full stability w.r.t. all record relocations; PPP can save extra I/O for trans-

lation table, iff still correct

con: 2 additional page I/Os in case PPP is no longer valid: “old” page to notice

record has moved, second I/O to translation table to lookup new page number

72

TID addressing

I TID – tuple identifier with forwarding:

Use 〈PP, Slot#〉-pair as rid (see above). To guarantee stability, leave a forward

address on original page, if record has to be moved across pages.

For example: access record with given rid=〈17, 2〉:

���� � �� � � ���� � �� � �

� � � �

� � � �

✎ Avoid chains of forward addresses!

When record has to be moved again: do not leave another forward

address, rather update forward on original page!

pro: full stability w.r.t. all relocations of records; no extra I/O due to indirection

con: 1 additional page I/O in case of forward pointer on original page

73

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