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MA CO
JOR VER
SQ S A
L D LL
ATA
BA
SQL SES
PERFORMANCE
EXPLAINED
ENGLISH EDITION
MARKUS WINAND
License Agreement
This ebook is licensed for your personal enjoyment only. This ebook may
not be re-sold or given away to other people. If you would like to share
this book with another person, please purchase an additional copy for each
person. If you’re reading this book and did not purchase it, or it was not
purchased for your use only, then please return to
http://SQL-Performance-Explained.com/
and purchase your own copy. Thank you for respecting the hard work of
the author.
Publisher:
Markus Winand
Maderspergerstasse 1-3/9/11
1160 Wien
AUSTRIA
<[email protected]>
While every precaution has been taken in the preparation of this book, the
publisher and author assume no responsibility for errors and omissions, or
for damages resulting from the use of the information contained herein.
The book solely reflects the author’s views. The database vendors men-
tioned have neither supported the work financially nor verified the content.
Cover design:
tomasio.design — Mag. Thomas Weninger — Wien — Austria
Cover photo:
Brian Arnold — Turriff — UK
Copy editor:
Nathan Ingvalson — Graz — Austria
2014-08-26
SQL Performance Explained
Markus Winand
Vienna, Austria
Contents
Preface ............................................................................................ vi
iv
SQL Performance Explained
v
Preface
SELECT date_of_birth
FROM employees
WHERE last_name = 'WINAND'
The SQL query reads like an English sentence that explains the requested
data. Writing SQL statements generally does not require any knowledge
about inner workings of the database or the storage system (such as disks,
files, etc.). There is no need to tell the database which files to open or how
to find the requested rows. Many developers have years of SQL experience
yet they know very little about the processing that happens in the database.
It turns out that the only thing developers need to learn is how to index.
Database indexing is, in fact, a development task. That is because the
most important information for proper indexing is not the storage system
configuration or the hardware setup. The most important information for
indexing is how the application queries the data. This knowledge —about
vi
Preface: Developers Need to Index
This book covers everything developers need to know about indexes — and
nothing more. To be more precise, the book covers the most important
index type only: the B-tree index.
The B-tree index works almost identically in many databases. The book only
uses the terminology of the Oracle® database, but the principles apply to
other databases as well. Side notes provide relevant information for MySQL,
PostgreSQL and SQL Server®.
This chapter makes up the main body of the book. Once you learn to
use these techniques, you will write much faster SQL.
vii
Preface: Developers Need to Index
viii
Chapter 1
Anatomy of an Index
“An index makes the query fast” is the most basic explanation of an index I
have ever seen. Although it describes the most important aspect of an index
very well, it is —unfortunately—not sufficient for this book. This chapter
describes the index structure in a less superficial way but doesn’t dive too
deeply into details. It provides just enough insight for one to understand
the SQL performance aspects discussed throughout the book.
Clustered Indexes
SQL Server and MySQL (using InnoDB) take a broader view of what
“index” means. They refer to tables that consist of the index structure
only as clustered indexes. These tables are called Index-Organized
Tables (IOT) in the Oracle database.
Chapter 5, “Clustering Data”, describes them in more detail and
explains their advantages and disadvantages.
1
Chapter 1: Anatomy of an Index
The database combines two data structures to meet the challenge: a doubly
linked list and a search tree. These two structures explain most of the
database’s performance characteristics.
The logical order is established via a doubly linked list. Every node has links
to two neighboring entries, very much like a chain. New nodes are inserted
between two existing nodes by updating their links to refer to the new
node. The physical location of the new node doesn’t matter because the
doubly linked list maintains the logical order.
The data structure is called a doubly linked list because each node refers
to the preceding and the following node. It enables the database to read
the index forwards or backwards as needed. It is thus possible to insert
new entries without moving large amounts of data—it just needs to change
some pointers.
Doubly linked lists are also used for collections (containers) in many
programming languages.
2
The Index Leaf Nodes
Databases use doubly linked lists to connect the so-called index leaf nodes.
Each leaf node is stored in a database block or page; that is, the database’s
smallest storage unit. All index blocks are of the same size —typically a few
kilobytes. The database uses the space in each block to the extent possible
and stores as many index entries as possible in each block. That means
that the index order is maintained on two different levels: the index entries
within each leaf node, and the leaf nodes among each other using a doubly
linked list.
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Figure 1.1 illustrates the index leaf nodes and their connection to the table
data. Each index entry consists of the indexed columns (the key, column 2)
and refers to the corresponding table row (via ROWID or RID). Unlike the
index, the table data is stored in a heap structure and is not sorted at all.
There is neither a relationship between the rows stored in the same table
block nor is there any connection between the blocks.
3
Chapter 1: Anatomy of an Index
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83 AF E9
Figure 1.2 shows an example index with 30 entries. The doubly linked list
establishes the logical order between the leaf nodes. The root and branch
nodes support quick searching among the leaf nodes.
The figure highlights a branch node and the leaf nodes it refers to. Each
branch node entry corresponds to the biggest value in the respective leaf
node. That is, 46 in the first leaf node so that the first branch node entry
is also 46. The same is true for the other leaf nodes so that in the end the
4
The Search Tree (B-Tree)
branch node has the values 46, 53, 57 and 83. According to this scheme, a
branch layer is built up until all the leaf nodes are covered by a branch node.
The next layer is built similarly, but on top of the first branch node level.
The procedure repeats until all keys fit into a single node, the root node.
The structure is a balanced search tree because the tree depth is equal at
every position; the distance between root node and leaf nodes is the same
everywhere.
Note
A B-tree is a balanced tree—not a binary tree.
46 8B 1C
53 A0 A1
46 53 0D 79
39
53
83
57
98 55 9C F6
83
57 B1 C1
57 50 29
Figure 1.3 shows an index fragment to illustrate a search for the key “57”.
The tree traversal starts at the root node on the left-hand side. Each entry
is processed in ascending order until a value is greater than or equal to (>=)
the search term (57). In the figure it is the entry 83. The database follows
the reference to the corresponding branch node and repeats the procedure
until the tree traversal reaches a leaf node.
Important
The B-tree enables the database to find a leaf node quickly.
5
Chapter 1: Anatomy of an Index
The first ingredient for a slow index lookup is the leaf node chain. Consider
the search for “57” in Figure 1.3 again. There are obviously two matching
entries in the index. At least two entries are the same, to be more precise:
the next leaf node could have further entries for “57”. The database must
read the next leaf node to see if there are any more matching entries. That
means that an index lookup not only needs to perform the tree traversal,
it also needs to follow the leaf node chain.
The second ingredient for a slow index lookup is accessing the table.
Even a single leaf node might contain many hits — often hundreds. The
corresponding table data is usually scattered across many table blocks (see
Figure 1.1, “Index Leaf Nodes and Corresponding Table Data”). That means
that there is an additional table access for each hit.
An index lookup requires three steps: (1) the tree traversal; (2) following the
leaf node chain; (3) fetching the table data. The tree traversal is the only
step that has an upper bound for the number of accessed blocks—the index
depth. The other two steps might need to access many blocks—they cause
a slow index lookup.
6
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