# Kathleen Durant PhD Lecture 19 CS 3200 Northeastern University. Slide Content Courtesy of R. Ramakrishnan, J. Gehrke, and J.

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1 Relational Query Optimization Kathleen Durant PhD Lecture 19 CS 3200 Northeastern University 1 Slide Content Courtesy of R. Ramakrishnan, J. Gehrke, and J. Hellerstein

2 Overview of Query Evaluation Query Evaluation Plan: tree of relational algebra (R.A.) operators, with choice of algorithm for each operator. Three main issues in query optimization: Plan space: for a given query, what plans are considered? Huge number of alternative, semantically equivalent plans. Plan cost: how is the cost of a plan estimated? Search algorithm: search the plan space for the cheapest (estimated) plan. Ideally: Want to find best plan. Practically: Avoid worst plans! 2

3 Representation of a SQL Command SELECT {DISTINCT} <list of columns> FROM <list of relations> {WHERE <list of "Boolean Factors">} {GROUP BY <list of columns> {HAVING <list of Boolean Factors>}} {ORDER BY <list of columns>}; Query Semantics: 1. Take Cartesian product (a.k.a. cross-product) of relns in FROM, projecting only those columns that appear in other clauses 2. If a WHERE clause exists, apply all filters in it 3. If a GROUP BY clause exists, form groups on the result 4. If a HAVING clause exists, filter groups with it 5. If an ORDER BY clause exists, make sure output is in the right order 6. If there is a DISTINCT modifier, remove duplicates 3

4 Basics of Query Optimization SELECT {DISTINCT} <list of columns> FROM <list of relations> {WHERE <list of "Boolean Factors">} {GROUP BY <list of columns> {HAVING <list of Boolean Factors>}} {ORDER BY <list of columns>}; Convert selection conditions to conjunctive normal form (CNF): (day<8/9/94 OR bid=5 OR sid=3 ) AND (rname= Paul OR sid=3) Why not disjunctive normal form? Interleave FROM and WHERE into a plan tree for optimization. Apply GROUP BY, HAVING, DISTINCT and ORDER BY at the end, pretty much in that order. 4

5 System Catalog System information: buffer pool size and page size. For each relation: relation name, file name, file structure (e.g., heap file) attribute name and type of each attribute index name of each index on the relation integrity constraints For each index: index name and structure (B+ tree) search key attribute(s) For each view: view name and definition 5

6 System Catalog (Contd.) Statistics about each relation (R) and index (I): Cardinality: # tuples (NTuples) in R. Size: # pages (NPages) in R. Index Cardinality: # distinct key values (NKeys) in I. Index Size: # pages (INPages) in I. Index height: # nonleaf levels (IHeight) of I. Index range: low/high key values (Low/High) in I. More detailed info. (e.g., histograms). More on this later Statistics updated periodically. Updating whenever data changes is costly; lots of approximation anyway, so slight inconsistency ok. Intensive use in query optimization! Always keep the catalog in memory. 6

7 Schema for Examples Sailors (sid: integer, sname: string, rating: integer, age: real) Reserves (sid: integer, bid: integer, day: dates, rname: string) Reserves: Each tuple is 40 bytes long 100 tuples per page 1000 pages. Sailors: Each tuple is 50 bytes long 80 tuples per page 500 pages. 7

8 Relational Algebra Tree sname SELECT S.sname Reserves R, Sailors S FROM WHERE R.sid=S.sid AND R.bid=100 AND S.rating>5 RA Tree: bid=100 rating > 5 sid=sid Expression in Relational Algebra (RA): π sname (σ bid=100 rating>5 (Reserves sid=sid Sailors)) Reserves Sailors The algebraic expression partially specifies how to evaluate the query: Compute the natural join of Reserves and Sailors Perform the selections Project the sname field 8

9 Query Evaluation Plan Query evaluation plan is an extended RA tree, with additional annotations: access method for each relation; implementation method for each relational operator. Cost: *1000 I/Os Misses several opportunities: Selections could have been `pushed earlier. No use is made of any available indexes. More efficient join algorithm sname bid=100 rating > 5 Reserves (File scan) sid=sid (On-the-fly) (On-the-fly) (Simple Nested Loops) Sailors (File scan)

10 Equivalence Rules Conjunctive selection operations can be deconstructed into a sequence of individual selections ( R) ( R) ( ) σ... σ... σ c1 cn c1 cn Selection operations are commutative ( R) ( ( R) ) σ 1 σ...σ c cn c2 c1 Only the last in a sequence of projection operations is needed, the others can be omitted ( R)... ( R) π π π ( ( )) a1 a1 an Selections can be combined with Cartesian Products and joins σ c1 ( R x R ) ( R R ) c1 2 10

11 Equivalence Rules Projection operation distributes over the join operation If project involves only attributes L1 U L2 π ( R cr2) ( π ( R1 ) c( π ( 2) ) L1 L2 1 L1 L2 R Set operations are commutative ( R1 R2) ( R2 R1) Set operations are associative ( R1 R2) R3 R1 ( R2 R3) Selection operation distributes over set operations Projection operation distributes over union 11

12 More Equivalence Rules A projection π commutes with a selection σ that only uses attributes retained by π, i.e., π a (σ c (R)) = σ c (π a (R)). Selection between attributes of the two relations of a crossproduct converts cross-product to a join, i.e., σ c (R S) = R c S A selection on attributes of R commutes with R S, i.e., σ c (R S) σ c (R) S. Similarly, if a projection follows a join R S, we can `push it by retaining only attributes of R (and S) that are (1) needed for the join or (2) kept by the projection. 12

13 Relational Algebra Equivalences Allow us (1) choose different join orders and to (2) `push selections and projections ahead of joins. Selections: Projections: Joins: ( R) ( R) ( R) R ( ) ( ) ( ( )) σ σ σ c1 cn c1 cn σ σ σ σ c1 c2 c2 c1 ( R) ( R) ( ( )) (Commute) π π... π (Cascade) a1 a1 an R (S T) (R S) T (Cascade) (Associative) (R S) (S R) (Commute) 13

14 Alternative Plan 1 (Selection Pushed Down) Push selections below the join. Materialization: store a temporary relation T, if the subsequent join needs to scan T multiple times. The opposite is pipelining. (Scan; write to temp T1) bid=100 sid=sid Reserves (File scan) sname (On-the-fly) (Sort-Merge Join) (Scan; rating > 5 write to temp T2) Sailors (File scan) With 5 buffers, cost of plan: Scan Reserves (1000) + write temp T1 (10 pages, if we have 100 boats, uniform distribution). Scan Sailors (500) + write temp T2 (250 pages, if we have 10 ratings). Sort-Merge join: Sort T1 (2*2*10), sort T2 (2*3*250), merge (10+250), total = 3560 page I/Os. Block Nested Loop Join: join cost = 10+4*250, total cost = page relation, 10 page relation, blocksize = 4

15 Access Methods An access method (path) is a method of retrieving tuples: File scan, or index scan with the search key matching a selection in the query. A tree index matches (a conjunction of) terms if the attributes in the terms form a prefix of the search key. E.g., Tree index on <a, b, c> matches the selection a=5 AND b=3, and a=5 AND b>6, but not b=3. A hash index matches (a conjunction of) terms if there is a term attribute = value for every attribute in the search key of the index. E.g., Hash index on <a, b, c> matches a=5 AND b=3 AND c=5; but it does not match b=3, or a=5 AND b=3, or a>5 AND b=3 AND c=5. 15

16 Alternative Plan 2 (Using Indexes) Selection using index: clustered index on bid of Reserves. Retrieve 100,000/100 = 1000 tuples in 1000/100 = 10 pages. Indexed NLJ: pipelining the outer and indexed lookup on the inner. The outer: scanned only once, pipelining, no need to materialize. The inner: ioin column sid is a key for Sailors; at most one matching tuple, unclustered index on sid OK. sid=sid (Hash index; Do not write to bid=100 temp) Reserves sname rating > 5 (On-the-fly) (Index Nested Loops With pipelining) Sailors (Hash index scan on bid) (On-the-fly) Push rating>5 before the join? Need to use search arguments More on this later Cost: Selection of Reserves tuples (10 I/Os); for each, must get matching Sailors tuple (1000*1.2); total 1210 I/Os.

17 Pipelined Evaluation Materialization: Output of an op is saved in a temporary relation for uses (multiple scans) by the next op. Pipelining: No need to create a temporary relation. Avoid the cost of writing it out and reading it back. Can occur in two cases: Unary operator: when the input is pipelined into it, the operator is applied on-the-fly, e.g. selection on-the-fly, project on-the-fly. Binary operator: e.g., the outer relation in indexed nested loops join. 17

18 Iterator Interface for Execution A query plan, i.e., a tree of relational ops, is executed by calling operators in some (possibly interleaved) order. Iterator Interface for simple query execution: Each operator typically implemented using a uniform interface: open, get_next, and close. Query execution starts top-down (pull-based). When an operator is `pulled for the next output tuples, it 1. `pulls on its inputs (opens each child node if not yet, gets next from each input, and closes an input if it is exhausted), 2. computes its own results. Encapsulation Encapsulated in the operator-specific code: access methods, join algorithms, and materialization vs. pipelining Transparent to the query executer. 18

19 Highlights of System R Optimizer Impact: most widely used; works well for < 10 joins. Cost of a plan: approximate art at best. Statistics, maintained in system catalogs, used to estimate cost of operations and result sizes. Considers combination of CPU and I/O costs. Plan Space: too large, must be pruned. Only considers the space of left-deep plans. Left-deep plan: a tree of joins in which the inner is a base relation. Left-deep plans naturally support pipelining. Avoids cartesian products! Plan Search: dynamic programming (prunes useless subtrees). 19

20 Query Blocks: Units of Optimization An SQL query is parsed into a collection of query blocks, and these are optimized one block at a time. SELECT S.sname Sailors S FROM WHERE S.age IN (SELECT MAX (S2.age) FROM Sailors S2 GROUP BY S2.rating) Outer block Nested block Nested blocks are usually treated as calls to a subroutine, made once per outer tuple. (More discussion later.)

21 Plan Space For each block, the plans considered are: All available access methods, for each reln in FROM clause. All left-deep join trees: all the ways to join the relations one-at-a-time, with the inner relation in the FROM clause. Consider all permutations of N relations, # of plans is N factorial! Left-deep Bushy Bushy D D C C 21 A B A B C D A B

22 Plan Space For each block, the plans considered are: All available access methods, for each relation in FROM clause. All left-deep join trees: all the ways to join the relations one-at-a-time, with the inner relation in the FROM clause. Considering all permutations of N relations, N factorial! But avoid cartesian products e.g. R.a = S.a and R.b = T.b, how many left-deep trees? All join methods, for each join in the tree. Appropriate places for selections and projections. 22

23 Cost Estimation For each plan considered, must estimate its cost. Estimate cost of each operation in a plan tree: Depends on input cardinalities. We ve discussed how to estimate the cost of operations (sequential scan, index scan, joins, etc.) Estimate size of result for each operation in tree: Use information about the input relations. For selections and joins, assume independence of predicates and uniform distribution of values. 23

24 Statistics in System Catalog Statistics about each relation (R) and index (I): Cardinality: # tuples (NTuples) in R. Size: # pages (NPages) in R. Index Cardinality: # distinct key values (NKeys) in I. Index Size: # pages (INPages) in I. Index height: # nonleaf levels (IHeight) of I. Index range: low/high key values (Low/High) in I. More detailed info. (e.g., histograms). More on this later 24

25 Size Estimation & Reduction Factors Consider a query block: Reduction factor (RF) or Selectivity of each term: Assumption 1: uniform distribution of the values! Term col=value: RF = 1/NKeys(I), given index I on col Term col>value: RF = (High(I)-value)/(High(I)-Low(I)) Term col1=col2: RF = 1/MAX(NKeys(I1), NKeys(I2)) Max. number of tuples in result = the product of the cardinalities of relations in the FROM clause. Result cardinality = Max # tuples * product of all RF s. Assumption 2: terms are independent! SELECT attribute list FROM relation list WHERE term1 AND... AND termk 25

26 Queries over a Single Relation Queries over a single relation can consist of selection, projection, and aggregation. Enumeration of alternative plans: 1. Each available access path (file/index scan) is considered, the one with least estimated cost is chosen. 2. The various operations are often carried out together: If an index is used for a selection, projection is done for each retrieved tuple. The resulting tuples can be pipelined into the aggregate computation in the absence of GROUP BY; otherwise, hashing or sorting is needed for GROUP BY. 26

27 Cost Estimates for Single-Relation Plans Index I on primary key matches selection: Cost of lookup = Height(I)+1 for a B+ tree, 1.2 for hash index. Cost of record retrieval = 1 Clustered index I matching one or more selections: Cost of lookup + (INPages (I)+NPages(R)) * product of RF s of matching selections. (Treat INPages as the number of leaf pages in the index.) Non-clustered index I matching one or more selections: Cost of lookup + (INPages (I)+NTuples(R)) * product of RF s of matching selections. Sequential scan of file: NPages(R). May add extra costs for GROUP BY and duplicate elimination in projection (if a query says DISTINCT). 27

28 Example SELECT S.sid FROM Sailors S WHERE S.rating=8 If we have an index on rating (1 rating 10): NTuples(R) /NKeys(I) = 40,000/10 tuples retrieved. Clustered index: (1/NKeys(I)) * (NPages (I)+NPages(R)) = (1/10) * (50+500) pages retrieved, plus lookup cost. Unclustered index: (1/NKeys(I)) * (NPages(I)+NTuples(R)) = (1/10) * (50+40,000) pages retrieved, plus lookup cost. If we have an index on sid: Would have to retrieve all tuples/pages. With a clustered index, the cost is , with unclustered index, Doing a file scan: We retrieve all file pages (500). 28

29 Queries Over Multiple Relations As the number of joins increases, the number of alternative plans grows rapidly. System R: (1) use only left-deep join trees, where the inner is a base relation, (2) avoid cartesian products. Allow pipelined plans; intermediate results not written to temporary files. Not all left-deep trees are fully pipelined! Sort-Merge join (the sorting phase) Two-phase hash join (the partitioning phase) A Left-deep B C D 29

30 Place Search Algorithm Left-deep join plans differ in: the order of relations, the access path for each relation, and the join method for each join. Many of these plans share common prefixes, so don t enumerate all of them. This is a job for Dynamic Programming a method of solving problems exhibiting the properties of overlapping subproblems and optimal substructure that takes much less time than naive methods. 30

31 Enumeration of Left-Deep Plans Enumerate using N passes (if N relations joined): Pass 1: Find best 1-relation plan for each relation. Include index scans available on SARGable predicates. SARGable search argument able (can use an index). SARGable operations would include =,>,<, BETWEEN, and some LIKE conditions. Non-SARGable operations would include <>,!=,NOT IN, OR, other LIKE conditions. Pass 2: Find best ways to join result of each 1-relation plan (as outer) to another relation. (All 2-relation plans.) Pass N: Find best ways to join result of a (N-1)-relation plan (as outer) to the N th relation. (All N-relation plans.) For each subset of relations, retain only: cheapest unordered plan, and cheapest plan for each interesting order of the tuples, and discard all others. 31

32 Enumeration of Plans (Contd.) ORDER BY, GROUP BY, aggregates etc. handled as a final step, using either an `interestingly ordered plan or an additional sorting operator. A k-way (k<n) plan is not combined with an additional relation unless there is a join condition between them. Do it until all predicates in WHERE have been used up. That is, avoid Cartesian products if possible. In spite of pruning plan space, still creates an exponential number of plans. 32

33 Cost Estimation for Multi-relation Plans SELECT attribute list FROM relation list WHERE term1 AND... AND termk Consider a query block: Reduction factor (RF) is associated with each term. Max number tuples in result = the product of the cardinalities of relations in the FROM clause. Result cardinality = max # tuples * product of all RF s. Multi-relation plans are built up by joining one new relation at a time. Cost of join method, plus estimate of join cardinality gives us both cost estimate and result size estimate. 33

34 Example: Pass 1 Sailors: B+ tree on rating Hash on sid Reserves: B+ tree on bid sname sid=sid bid=100 rating > 5 Pass 1 Sailors: Reserves B+ tree matches rating>5, and is probably cheapest. Sailors However, if this selection is expected to retrieve a lot of tuples, and index is unclustered, file scan may be cheaper. Still, B+ tree plan kept (because tuples are in rating order). Reserves: B+ tree on bid matches bid=100; cheapest.

35 Example: Pass 2 Sailors: B+ tree on rating Hash on sid Reserves: B+ tree on bid sname sid=sid bid=100 rating > 5 Pass 2 Reserves Sailors Consider each plan retained from Pass 1 as the outer, and consider how to join it with the (only) other relation. Reserves as outer: Hash index can be used to get Sailors tuples that satisfy sid = outer tuple s sid value. rating > 5 is a search argument pushed to the index scan on Sailors.

36 System R: Limitation 1 Uniform distribution of values: Term col=value has RF 1/NKeys(I), given index I on col Term col>value has RF (High(I)-value)/(High(I)-Low(I)) Often causes highly inaccurate estimates E.g., distribution of gender: male (40), female (4) E.g. distribution of age: 0 (2), 1 (3), 2 (3), 3 (1), 4 (2), 5 (1), 6 (3), 7 (8), 8 (4), 9 (2), 10 (0), 11 (1), 12 (2), 13 (4), 14 (9). NKeys=15, count = 45. Reduction factor of age=14: 1/15? 9/45! Histogram: approximates a data distribution 36

37 Histograms Equiwidth: buckets of equal size Frequency 8/3 4/3 15/3 3/3 15/3 Counts Still not accurate for value 14: 5/45 Buckets Equidepth: equal counts of buckets favoring frequent values Small errors for infrequent items: tolerable. Frequency 9/4 10/4 10/2 7/4 9/1 Counts Buckets Now accurate for value 14: 9/45 37

38 System R: Limitation 2 Predicates are independent: Result cardinality = max # tuples * product of Reduction Factors of matching predicates. Often causes highly inaccurate estimates E.g., Car DB: 10 makes, 100 models. RF of make= honda and model= civic >> than 1/10 * 1/100! Multi-dimensional histograms [PI 97, MVW 98, GKT 00] Maintain counts and frequency in multi-attribute space. Dependency-based histograms [DGR 01] Learn dependency between attributes and compute conditional probability P(model= civic make= honda ) Can use graphical models 38

39 Nested Queries With No Correlation Nested query (block): a query that appear as an operand of a predicate of the form expression operator query. Nested query with no correlation: the nested block does not contain a reference to tuple from the outer. A nested query needs to be evaluated only once. The optimizer arranges it to be evaluated before the top level query. SELECT S.sname FROM Sailors S WHERE S.rating > (SELECT Avg(rating) FROM Sailors) (SELECT Avg(rating) FROM Sailors) SELECT S.sname FROM Sailors S WHERE S.rating > value

40 Nested Queries With Correlation Nested query with correlation: the nested block contains a reference to a tuple from the outer. Nested block is optimized independently, with the outer tuple considered as providing a selection condition. The nested block is executed using nested iteration, a tuple-at-a-time approach. SELECT S.sname FROM Sailors S WHERE EXISTS ( ) SELECT S.sname FROM Sailors S WHERE EXISTS (SELECT * FROM Reserves R WHERE R.bid=103 AND R.sid=S.sid) Nested block to optimize: (SELECT * FROM Reserves R WHERE R.bid =103 AND S.sid = outer value)

41 Query Decorrelation Implicit ordering of nested blocks means nested iteration only. The equivalent, non-nested version of the query is typically optimized better, e.g. hash join or sort-merge. Query decorrelation is an important task of optimizer. SELECT S.sname FROM Sailors S WHERE EXISTS (SELECT * FROM Reserves R WHERE R.bid=103 AND R.sid=S.sid) Equivalent non-nested query: SELECT S.sname Sailors S, Reserves R FROM WHERE S.sid=R.sid AND R.bid=103

42 Query Decorrelation (Contd.) Guideline: Use only one query block, if possible. SELECT DISTINCT * FROM Sailors S WHERE S.sname IN (SELECT Y.sname FROM YoungSailors Y) = SELECT DISTINCT S.* FROM Sailors S, YoungSailors Y WHERE S.sname = Y.sname Not always possible... SELECT * FROM Sailors S WHERE S.sname IN (SELECT DISTINCT Y.sname FROM YoungSailors Y) = SELECT S.* FROM Sailors S, YoungSailors Y WHERE S.sname = Y.sname 42

43 Summary Query optimization is an important task in relational DBMS. Must understand optimization in order to understand the performance impact of a given database design (relations, indexes) on a workload (set of queries). Two parts to optimizing a query: Consider a set of alternative plans. Must prune search space; typically, left-deep plans only. Must estimate cost of each plan that is considered. Must estimate size of result and cost for each plan node. Key issues: Statistics, indexes, operator implementations. 43

44 Summary (Contd.) Single-relation queries: All access paths considered, cheapest is chosen. Issues: Selections that match index, whether index key has all needed fields and/or provides tuples in a desired order. Multiple-relation queries: All single-relation plans are first enumerated. Selections/projections considered as early as possible. Next, for each 1-relation plan, all ways of joining another relation (as inner) are considered. Next, for each 2-relation plan that is `retained, all ways of joining another relation (as inner) are considered, etc. At each level, for each subset of relations, only best plan for each interesting order of tuples is `retained. 44

45 Rewriting SQL Queries Complicated by interaction of: NULLs, duplicates, aggregation, sub-queries. Guideline: Use only one query block, if possible SELECT DISTINCT * FROM Sailors S = WHERE S.sname IN (SELECT Y.sname FROM YoungSailors Y) Not always possible... SELECT DISTINCT S.* FROM Sailors S, YoungSailors Y WHERE S.sname = Y.sname SELECT * FROM Sailors S WHERE S.sname IN (SELECT DISTINCT Y.sname FROM YoungSailors Y) = 45 SELECT S.* FROM Sailors S, YoungSailors Y WHERE S.sname = Y.sname

46 Summary: Unnesting Queries DISTINCT at top level: Can ignore duplicates. Can sometimes infer DISTINCT at top level! (e.g. subquery clause matches at most one tuple) DISTINCT in subquery w/o DISTINCT at top: Hard to convert. Subqueries inside OR: Hard to convert. ALL subqueries: Hard to convert. EXISTS and ANY are just like IN. Aggregates in subqueries: Tricky. Good news: Some systems now rewrite under the covers (e.g. DB2). 46

47 Complexity of Plan Search Enumeration of all left-deep plans for an n-way join: O(n!), where n! with a large n. Plans considered in System R: O( 2 n 1 ), which occurs with a star join graph R.a 1 = S 1.a 1 n 2πn ( ) e n R.a 2 = S 2.a 2 R.a n-1 = S n-1.a n-1 S n-1 R S 1 S 2 S 4 S 3

48 Complexity with a Star Graph Total number of plans considered: Pass 2: (n-1 choose 1) 2-relation subsets, for each subset, pick one as the outer reln in the join (best plan for the inner has been chosen in the previous pass). Pass 3: (n-1 choose 2) 3-relation subsets, for each subset, pick one as the outer. Pass n: (n-1 choose n-1) n-relation subsets, for each subset, pick one as the outer. Total number of plans = O( n Maximum number of plans stored in a pass? 2 S n-1 n 1 ) S 4 R S 1 S 3 S 2

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