Database Reading List

I started reading DB and Systems related literature in June’23, and I try to keep this page updated with some of the papers, blogs and talks I found interesting. More recently read papers should be at the top, but often I catalog some old papers just to make sure I actually remember what they were about.

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Fair Benchmarking Considered Difficult: Common Pitfalls in Database Performance Testing link

Not a lot to highlight here, but I’d like to use it as an excuse to echo the message: benchmarking is quite hard, and a significant chunk of benchmarking shared online is either unfair, inaccurate, or intentionally misleading. The paper does share some good examples to highlight that Database systems are quite complex, and many decisions which may seem like minutiae can impact performance significantly. For instance, they outline one benchmark where MariaDB performance was worse in comparison to some other DBs, mainly because one of the column types was set to DOUBLE instead of DECIMAL.

One other example I’d share is the CH benchmark. The benchmark numbers indicate that Pinot is 37x slower than CH, but when you look at the table-config you’ll see that the Pinot table used in the tests did not have any indexes.

In my opinion, there’s no practical way to devise a “fair benchmark” for most databases. As a Engineer or Architect, if you have to make a decision about which storage technology you should use, you need to do your own research or consult some experts on the subject. Another thing I’d like to call out: there are very few people who have an expertise in more than 1 Database.

Umbra: A Disk-Based System with In-Memory Performance link

If you look at the publications section of Umbra’s website, you’ll find that most of the papers seem really amazing and interesting. There’s a lot of really cool work being done at TUM. Umbra is the successor to HyPer, which was a database optimized for in-memory workloads.

This paper though short is really dense with content. Some highlights: 1) They use Morsel based execution (which they developed as part of HyPer), and they are able to pause queries in high load scenarios. 2) Their Buffer manager uses variable sized pages, which is implemented using anonymous mmap. They use madv_dontneed when the page needs to be evicted. 3) Reads/Writes are using pread/pwrite. 4) Pointer swizzling via swips allows them to avoid the necessity of having a PID to Page hash-table. This creates a problem during page eviction since multiple swips may point to the same page. To solve this, they ensure that no two swips can point to the same page. This also means that all their data structures have to be trees.

There’s also a talk by Thomas in the CMU DB group which is quite informative. Some interesting highlights from that for me were: 1) Thomas mentioned that a big part of why Umbra was able to beat HyPer in terms of performance was because of better statistics thanks to Reservoir Sampling during inserts and HLL for column cardinality estimation. 2) They didn’t use LLVM IR and instead went ahead with their own lightweight implementation, which can do compilation for a query with 2k+ table joins in ~30ms.

Velox: Meta's Unified Execution Engine link

Velox made a big splash last year and it definitely marks a new phase in large scale database systems. Velox is a pluggable, modular vectorized execution engine that can be plugged into many Data Processing Systems. Meta in their paper confirmed that they have used it in around a dozen systems: Presto, Spark, XStream (their Flink equivalent?), etc. The paper also mentions that many companies have already started using Velox, and it was also discussed in CMU’s Advanced Databases Course this year.

At a minimum Velox’s benefits are three-fold: 1) Written in C++, it is a execution engine that can be optimized for the latest industry hardware 2) Existing systems like Presto can get 2-10x speedup based on the workload 3) Being pluggable it can be used across many systems.

For me the highlights of the paper were: 1) Velox uses the StringView representation presented in Umbra which differs from Arrow. 2) To optimize for branch prediction failures, they create a bitmask out of the condition and subsequently process each branch in a vectorised manner (I suspect this may be slower for some workloads) 3) If a deterministic function is run on dictionary encoded input then only the distinct values can be transformed to their new values (aka Peeling). 4) Velox’s execution framework is based on Tasks, supports pausing execution via a process wide memory arbiter and leverages memory pools for larger objects such as hash-tables for locality and avoiding fragmentation (I didn’t get how they avoid fragmentation).

The Log-Structured Merge-Tree (LSM-Tree). link

This seminal paper from the 90s introduced what would become the foundation of many NoSQL and KV databases. Highlights of the paper (for me) were: 1) the motivation for this was to support indexing for use-cases with high-write throughput 2) key difference with B-Trees was the approach to buffer writes in-memory and flush to the first level after a threshold is reached 3) the mathematical proof for the theorem that states that for a given largest-component size of a LSM Tree with some given ingestion rate, the total page I/O rate to perform all merges is minimized when the ratios between consecutive components is a common value. In other words, the component sizes should form a geometric progression.

To be honest, I didn’t go super deep into this paper and I hope to do that once I implement a LSM Tree in Zig/Rust later.

On a related note, there are a ton of resources online for LSM Trees from some of the most popular DBs. This talk by Igor and Mark from Facebook explains the high-level design for RocksDB really well. TigerBeetle folks have notes to make it easy to understand their LSM code. Neon also has their own implementation which is briefly talked about in this talk.

Digression: In programming competitions, the concept of leveraging powers of two is extremely common in certain data-structures and algorithms. Examples: Heavy Light Decomposition, Sparse Table / RMQ / Tree LCA, etc.

A Deep Dive into Common Open Formats for Analytical DBMSs. link

This paper analyzes three popular open formats: ORC, Parquet and Arrow, and compares results across many relevant factors: compression ratios at data-type level, transcoding throughput, query performance, etc. The paper also goes deep into why a certain format does/does-not perform well for certain benchmarks. There are too many great results shared in the paper to be included in a brief description and I found myself highlighting a significant chunk of the paper, but I can share three which I found most relevant for myself: 1) Parquet has better disk size compression than ORC 2) ORC has better query performance 3) Both ORC and Parquet automatically switch from dict encoding to plain encoding when number of distinct values is greater than a threshold.

Better bitmap performance with Roaring bitmaps. link

Roaring is one of the most commonly used bitmap implementations: it is used in Pinot, Druid, Spark, M3, etc. Roaring can be used as a bitmap for ~232 elements. It partitions the range of all elements into chunks of 216, with each chunk sharing the 16 MSBs. When a chunk contains <4096 elements, it is stored as a sorted array of 216 bit integers. Otherwise, a bitmap is used. The paper also shares the algorithms used for union and intersection, and compares the performance of Roaring with other Bitmap implementations (BitSet, Concise, WAH).

One important thing to understand about the Roaring design is: it doesn’t use RLE and is instead designed for optimized random reads. WAH and Concise can give better compression when there are long runs of consecutive values in the dataset. [see Errata #1]

Moreover, for low cardinality random set of integers, it is 2-3x worse in terms of size (vs if you were to store the set as a array of 4-byte integers directly). The paper also calls it out and they do mention that for density lower than 0.1% a bitmap is anyways unlikely to be the proper data structure. A direct implication of this is that keeping a inverted index in Databases for high cardinality columns like Pinot/Druid which use Roaring for the same will add quite a bit of overhead.

However, the “quite a bit of overhead” claim has a nuance of its own: usually the index overhead is measured relative to the data size. So if your column was a string type with mostly unique UUIDs, the overhead would be relatively lower vs if the column was a Int/Long type with mostly unique values.

Volcano— An Extensible and Parallel Query Evaluation System. link

A seminal paper, Volcano introduced the Operator#getNextBlock based design which is used by Apache Pinot. It also introduced the concept of supporting query parallelism with the help of the exchange operator. A volcano based design has demand driven dataflow within processes and data-driven dataflow across processes. This is also how Pinot’s Multistage Engine is designed.

The paper describes several foundational concepts: the build/probe phases for a hash join, horizontal, vertical and bushy parallelism, etc. Having worked on Pinot’s Multistage Engine, I was surprised by how much of what is described in the Volcano paper is still prevalent in modern systems like Pinot.

Morsel-Driven Parallelsim: A NUMA-Aware Query Evaluation Framework for the Many-Core Age link

Shared by the folks at HyPer DB (acquired by Tableau in 2016), this paper introduces a new approach to scheduling queries which can lead to huge speedups in query performance in NUMA systems. The paper first talks about the Volcano based approach of query execution which it calls plan-driven query execution. It highlights that in Volcano-based parallel query execution frameworks, parallelism is hidden from the operators and shared state is avoided. The operators do partitioning and implement parallelism using Exchange operators. The authors state that Morsel-wise processing can be implemented into many existing systems.

In one of the DuckDB talks by Mark, it is pointed out that implementing this is a bit more complex than implementing Volcano style operators, because when operators become parallelism aware, exactly what the operator does starts to matter.

In the talk it is also claimed that Volcano style query execution has issues with parallel execution because of “load imbalance”, “plan explosion” and “materialization costs”. “Load Imbalance” refers to scenarios where # of rows for one key can be much higher than other keys. This does make sense as it can lead to higher latencies and under-utilization of resources. “Plan Explosion” I think can be avoided by reusing the plan, since each Operator chain in a Volcano based model is running the same plan anyways. “Materialization Costs” can definitely be a issue if one relies on Exchange to increase/decrease parallelism (for a in-memory system).

DiDi: Mitigating The Performance Impact of TLB Shootdowns Using a Shared TLB Directory. link

This is a really well-written paper imo and I think anyone with even a minimal background would enjoy reading it. The paper talks about how a TLB Shootdown looks like at the chip level and even shares some numbers on the percentage of CPU time lost due to the same. A big highlight for me was that the percentage of CPU time lost can go as high as 20+% with even 64 cores (depending on the access pattern). One problem highlighted by the paper is that the OS page table often contains false positives: some cores that don’t have a page cached are marked as if they have it, and during a TLB shootdown this leads to more processors getting interrupted than needed. This not only increases the time taken by the CPU that triggered the shootdown to resume execution, it also of course interrupts more cores than needed. Moreover, the percentage of false positives increases with an increase in the number of cores, leading to particularly worse off performance for high core system.

The proposed solution, DiDi (Dictionary Directory), is designed to minimize these false positives, and it can yield 1-3x speedup.

I am not sure what the status of this proposal is though, and if anyone has implemented it or not.

The Part of PostgreSQL We Hate the Most link

Explains why Postgres’ MVCC sucks: Postgres uses a append-only storage scheme and even for single column updates copies over the entire row from the previous version, which leads to huge write amplification; dead tuples occupy quite a lot of space, particularly when compared with MySQL’s approach of storing delta versions, which leaves a lot for Vacuum to deal with; single column update requires updating all the indexes for that table since indexes store the physical location of the latest tuple; and finally, Vacuum management is a bit tricky with a bunch of configs.

This is one of those articles that’s worth a re-read, and during a re-read I was wondering: Postgres’ storage engine might be a good fit for some TSDB use-cases. Afaik TimescaleDB is based on Postgres and is under active development.

I would also call out that they mention Uber’s blog post about why they switched from Postgres to MySQL. That is also a great blog post and I’d highly recommend if you have not read it already.

One final note on the Ottertune blog: as they have called out, Postgres is still quite an amazing choice particularly for use-cases that are not write heavy (has a ton of extensions, query throughput/latency can be better than MySQL in some cases, etc.)


1. 2023-11-04: I claimed that Roaring doesn’t use RLE in the Roaring paper summary. The paper does say that, but Roaring as of version 0.5 (released in 2015) does support RLE via its RunContainers. You can read more about it in this great blog post from Richard Startin.

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