Index scans using a finite LRU buffer: a validated I/O model

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Abstract
Indexes are commonly employed to retrieve a portion of a file or to retrieve its records in a particular order. An accurate performance model of indexes is essential to the design, analysis, and tuning of file management and database systems, and particularly to database query optimization. Many previous studies have addressed the problem of estimating the number of disk page fetches when randomly accessing k records out of N given records stored on T disk pages. This paper generalizes these results, relaxing two assumptions that usually do not hold in practice: unlimited buffer and unique records for each key value. Experiments show that the performance of an index scan is very sensitive to buffer size limitations and multiple records per key value. A model for these more practical situations is presented and a formula derived for estimating the performance of an index scan. We also give a closed-form approximation that is easy to compute. The theoretical results are validated using the R * distributed relational database system. Although we use database terminology throughout the paper, the model is more generally applicable whenever random accesses are made using keys.

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