File Strutures by Folk, Zoellick and Riccardi

Chap11. Hashing

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Chapter Objectives

Introduce the concept of hashing

Examine the problem of choosing a good hashing algorithm,

presents a reasonable one in detail, and describe some others

Explore several approaches for reducing collisions and storage of

several records per address

Develop and use mathematical tools for analyzing performance

differences resulting from the use of different hashing techniques

Examine problems associated with file deterioration (record

deletions) and discuss some solutions

Discuss collision resolution techniques

Examine effects of patterns of record access on performance

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Contents(1)
11.1 Introduction
11.2 A Simple Hashing Algorithm
11.3 Hashing Functions and Record Distribution
11.4 How Much Extra Memory Should Be Used?
11.5 Collision Resolution by Progressive Overflow
11.6 Storing More Than One Record per Address: Buckets
11.7 Making Deletions
11.8 Other Collision Resolution Techniques
11.9 Patterns of Record Access

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Overview

Overview(1)

O(1) access to files

Variation of the relative file
Record number for a record is not arbitrary; rather, it is
obtained by a hashing function H applied to the primary
key, H(key)
Record numbers generated should be uniformly and
randomly distributed such that 0 < H(key) < N

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Overview

Overview(2)

A hash function is like a block box that produces an

address every time you drop in a key

All parts of the key should be used by the hashing

function H so that a lot of records with similar keys do not
all hash to the same location

Given two random keys X, Y and N slots,

the probability H(X)=H(Y) is 1/N;
in this case, X and Y are called synonyms
and a collision occurs
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11.1 Introduction

Introduction

Hash function : h(k)

Transforms a key K into an address

Hash vs other index

Sequential search : O(N)

Binary search : O(log2N)
B(B+) Tree index : O(logkN) where k records in an index node
Hash : O(1)

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11.1 Introduction

A Simple Hashing Scheme(1)

Name

BALL
LOWELL
TREE

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ASCII Code for

First Two Letters

Product

Home
Address

66 65

66 X 65 =
4,290

4,290

76 96

76 X 96 =
6,004

6,004

84 82

84 X 82 =
6,888

6,888

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11.1 Introduction

A Simple Hashing Scheme(2)

key
K=LOWELL

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...

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...

h(K)

Record
Address
0
1
2
3
4 LOWELL . . .
Address
4
5
6

LOWELLs
home
address
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11.1 Introduction

Idea behind Hash-based Files

Record with hash key i is stored in node i

All record with hash key h are stored in node h
Primary blocks of data level nodes are stored sequentially
Contents of the root node can be expressed by a simple
function: Address of data level node for record with primary
key k = address of node 0 + H(k)
In literature on hash-based files, primary blocks of data level
nodes are called buckets

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11.1 Introduction

e.g. Hash-based File

root node

70

15 50 1

30 51

57

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10 45 3

11 60

14

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61 124 40

20 55

15

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11.1 Introduction

Hashing(1)

Hashing Functions :
Consider a primary key consisting of
a string of 12 letters and
a file with 100,000 slots.
Since 2612 >> 105,

So synonyms (collisions) are inevitable!

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11.1 Introduction

Hashing(2)

Possible means of hashing

First, because 12 characters = 12 bytes = 3(32-bit) words,

partition into 3 words and perform folding as follows : either

(a) add modulo 232, or

(b) combine using exclusive OR, or

(c) invent your own method

Next, let R = V mod N

R => Record-number
V => Value obtained in the above
N => Number of Slots
so 0< R < N
If N has many small factors, a poor distribution leading to
many collisions can occur. Normally, N is chosen to be a
primary number

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11.1 Introduction

Hashing(3)

If M = number of records, N = number of available slots,

P(k) = probability of k records hashing to the same slot
then P(k) =

M
K

1
N

1- 1
N

k
~ f
~
ek*k!

where f is the loading factor M/N

As f --> 1, we know that p(0)->1/e and p(1) -> 1/e.

The other (1-1/e) of the records must hash into (1-2/e) of the slots,
for an average of 2.4 slot.
So many synonyms!!

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11.1 Introduction

Collision

Collision
Situation in which a record is hashed to an address that does not have
sufficient room to store the record
Perfect hashing : impossible!
Different key, same hash value
(Different record, same address)

Solutions

Spread out the records

Use extra memory
Put more than one record at a single address

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11.2 A Simple Hashing Algorithm

A Simple Hashing Algorithm

Step 1. Represent the key in numerical form

If the key is a string : take the ASCII code

If the key is a number : nothing to be done

e.g.. LOWELL = 76 79 87 69 76 76 32 32 32 32 32 32
L O W E L L ( 6 blanks )

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11.2 A Simple Hashing Algorithm

Step 2 . Fold and Add

Fold
76 79 | 87 69 | 76 76 | 32 32 | 32 32 | 32 32

Add parts into one integer

(Suppose we use 15bit integer expression, 32767 is limit)
7679 + 8769 + 7676 + 3232 + 3232 + 3232
= 33820 > 32767 (overflow!)

Largest addend : 9090 ( ZZ )

Largest allowable result : 32767 - 9090 = 19937

Ensure no intermediate sum exceeds using mod

( 7679 + 8769 )
(16448 + 7676 )
( 4187 + 3232 )
( 7419 + 3232 )
( 10651 + 3232)
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mod
mod
mod
mod
mod

19937 = 16448
19937 = 4187
19937 = 7419
19937 = 10651
19937 = 13883

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11.2 A Simple Hashing Algorithm

Step 3. Divide by size of the address space

a = s mod n
a : home address
s : the sum produced in step 2
n : the number of addresses in the file

e.g.. a = 13883 mod 100 = 83 (s = 13883, n = 100)

A prime number is usually used for the divisor because primes tend to
distribute remainders much more uniformly than do nonprimes

So, we chose a prime number as close as possible to the desired size

of the address space (eg, a file with 75 records, a good choice for n
is 101, then the file will become 74.3 percent full

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11.3 Hashing Functions and Record Distributions

Hashing Functions and Record Distributions

Distributing records among address
Best
Record Address
1
A
2
B
3
4
C
5
D
6
E
7
F
8
9
G
10
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Worst
Record Address
1
A
2
B
3
4
C
5
D
6
E
7
F
8
9
G
10
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Acceptable
Record
A
B
C
D
E
F
G

Address
1
2
3
4
5
6
7
8
9
10
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11.3 Hashing Functions and Record Distributions

Some other hashing methods

Better-than-random

Examine keys for a pattern

Fold parts of the key
Divide the key by a number

When the better-than-random methods do not work ----randomize!

Square the key and take the middle

Radix transformation

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11.4 How Much Extra Memory Should Be Used?

How Much Extra Memory Should Be Used?

Packing Density =

# of records
# of spaces

r
N

The more records are packed,

the more likely a collision will occur

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11.4 How Much Extra Memory Should Be Used?

Poisson Distribution
p(x) =

(r/N)xe -r/N
x!

(poisson distribution)

N = the number of available addresses

r = the number of records to be stored
x = the number of records assigned to a given address
p(x) : the probability that a given address will have
x records assigned to it after the hashing
function has been applied to all n records
( x records collision )
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11.4 How Much Extra Memory Should Be Used?

Predicting Collisions for Different Packing Densities

# of addresses no record assigned : N X P(0)

# of addresses one record assigned : N X P(1)

# of addresses more than two assigned :

N X [P(2) + P(3) + P(4) + ...]

# of overflows : 1 X NP(2) + 2 X NP(3) +...

Percentage of overflow records :

1 X NP(2) + 2 X NP(3) + 3 X NP(4) ...

X 100
N

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11.4 How Much Extra Memory Should Be Used?

The larger space, the less overflows

N addresses
r records

r/N

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Packing
Density(%)
10
20
30
40
50
60
70
80
90
100
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Synonym as
% of records

4.8
9.4
13.6
17.6
21.4
24.8
28.1
31.2
34.1
36.8
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11.5 Collision Resolution by Progressive Overflow

Collision Resolution by Progressive Overflow

Progressive overflow (= linear probing)

Insert a new record

1. Take home address if empty

2. Otherwise, next several addresses are searched in sequence,
until an empty one is found
3. If no more space -- wrapping around

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11.5 Collision Resolution by Progressive Overflow

Progressive Overflow(Contd)
0
1

Hash
Routine

Address

....

....

Key
York

Novak. . .

Rosen. . .

Jasper. . .

Morely. . .

....

....

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Yorks home

address (busy)
2nd try (busy)
3rd try (busy)
4th try (open)
Yorks actual
address
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11.5 Collision Resolution by Progressive Overflow

Progressive Overflow(Cont'd)
0
1
2

Hash
Routine

97
Address
99

98
99 Jello...

....

....

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....

....

Key
Blue

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Wrapping around
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11.5 Collision Resolution by Progressive Overflow

Progressive Overflow(Cont'd)

Search a record with a hash function value k:

from home address k,
look at successive records,
until Found,
or An open address is encountered

Worst case

When the record does not exist and the file is full

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11.5 Collision Resolution by Progressive Overflow

Progressive Overflow(Cont'd)
- Search length : # of accesses required to retrieve a record (from
secondary memory)

20
21
22
23
24
25

...

Actual
Address

Adams. . .
Bates. . .
Cole. . .
Dean. . .
Evans. . .

Home Search
Address length

20
21
21
22
20

1
1
2
2
5

...

...

Average search length = total search length

total # of records
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= 2.2
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11.5 Collision Resolution by Progressive Overflow

Progressive Overflow(Cont'd)

With perfect hashing function : average search length = 1

Average search length of no greater than 2.0 are generally
considered acceptable

5
4
Average
search 3
length

1
20

40

60

100

80

Packing density
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11.6 Storing More Than One Record per Address : Buckets

Storing More Than One Record per Address :

Buckets

Bucket : a block of records sharing the same address

Home
Key Address
Green 30
30
Hall
Jerk 32
King 33
Land 33
Marx 33
Nutt 33

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Bucket
address

30
31
32
33

Bucket contents

Green ...

Hall ...

Jenks ...
King...

Land...

Marks...
(Nutt... is an
overflow record)

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11.6 Storing More Than One Record per Address : Buckets

Effects of Buckets on Performance

N : # of addresses
b : # of records fit in a bucket
bN : # of available locations for records
Packing density = r/bN

# of overflow records
N X [ 1XP(b+1) + 2XP(b+2) + 3XP(b+3)...]

As the bucket size gets larger, performance continues to

improve

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11.6 Storing More Than One Record per Address : Buckets

Bucket Implementation
Collision counter =< bucket size
0

/////

/////

/////

/////

/////

/////

/////

BRICE

TROOP

An empty bucket
2

JONES

/////

ARNSWORTH

Two entries

JONES

ARNSWORTH

STOCKTON

A full bucket
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11.6 Storing More Than One Record per Address : Buckets

Bucket Implementation(Cont'd)

Initializing and Loading

Creating empty space

Use hash values and find the bucket to store
If the home bucket is full, continue to look at successive
buckets

Problems when

No empty space exists

Duplicate keys occur

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11.7 Making Deletions

Making Deletions

The slot freed by the deletion hinders(disturb) later searches

Use tombstones and reuse the freed slots

Home
Record address
Adams
Jones
Morris
Smith

5
6
6
5

5
6
7
8

Delete 5 Adams...
Morris
6 Jones...
7 ######
8 Smith...

Adams...
Jones...
Morris...
Smith...

A tombstone for Morris

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11.8 Other Collision Resolution Techniques

Other Collision Resolution Techniques

Double hashing : avoid clustering with a second hash function

for overflow records

Chained progressive overflow : each home address contains

a pointer to the record with the same address

Chaining with a separate overflow area : move all overflow

records to a separate overflow area

Scatter tables : Hash file contains only pointers to records (like

indexing)

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11.8 Other Collision Resolution Techniques

Overflow File

When building the file, if a collision occurs, place the

new synonym into a separate area of the file called the
overflow section

This method is not recommended;

if there is a high load factor,

there will either be overflow from this overflow section
or it will be organized sequentially and performance suffers;

if there is a low load factor, much space is wasted

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11.8 Other Collision Resolution Techniques

Linear Probing(1)

When a synonym is identified, search forward from the

address given by the hash function (the natural address)
until an empty slot is located, and store this record there

This is an example of open addressing (examining a

predictable sequence of slots for an empty one)

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A S E A R C H I

key :
hash :

N G E X A M P L E

1 0 5 1 18 3 8 9 14 7 5 5 1 13 16 12 5

0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18
A

insertion sequence

S
E
A A

Memory Space

C
H
I
N
G
E E
E E G H I X
A A C A
M
P

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E E G H I X E

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11.8 Other Collision Resolution Techniques

Rehashing(1)

Another form of open addressing

In linear probing, if synonym occurred, incremented r by 1

and searched next location

In rehashing, use a second hash function for the

displacement: D = (FOLD(key) mod P) + 1, where P < N is
another prime number

This method has the advantage of avoiding congestion,

because each synonym under the first hash function likely
uses a different displacement D, and this examines a
different sequence of slots

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Rehashing(where P=3)(2)
N G E X A M P L E

A S E A R C H I

key :
hash :

1 0 5 1 18 3 8 9 14 7 5 5 1 13 16 12 5

0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18
A

insertion sequence

S
E
A

Memory Space

C
H
I
N
G

A
M
P

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E

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11.8 Other Collision Resolution Techniques

Chaining without Replacement(1)

Uses pointers to build linked lists within the file;

each linked list contains each set of synonyms;
the head of the list is the record at the natural address of
these synonyms
When a record is added whose natural address is
occupied, it is added to the list whose head is at the
natural address
Linear probing usually used to find where to put a new
synonym, although rehashing could be used as well

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11.8 Other Collision Resolution Techniques

Chaining without Replacement(2)

A problem is that linked lists can coalesce:

Suppose that H(R1) = H(R2) = H(R4) = i and H(R3) =
H(R5) = i+1, and records are added in the order R1, R2,
R3, R4, R5.
Then the lists for natural addresses i and i+1 coalesce.
Periodic reorganization shortens such lists.

Let FWD and BWD be forward and backward pointers

along these chains (doubly-linked)

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11.8 Other Collision Resolution Techniques

Chaining without Replacement(3)

R1

i+1

R2
R3
R4

R5

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H
H

43

11.8 Other Collision Resolution Techniques

Chaining with Replacement(4)

Eliminates problem with deletion that caused abandonment to be

necessary
Further reduces search lengths
When inserting a new record,
if the slot at the natural address is occupied by a record for which
it is not the natural address,
then record is relocated so the new record may be replaced at its
natural address
Synonym chains can never coalesce,
so a record can be deleted even if is the head of a chain,
simply by moving the second record on the chain to its natural
address ( ABANDON thus is no longer necessary )

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11.8 Other Collision Resolution Techniques

Chaining with Replacement(5)

after R1, R2 added

R1
R2

after R3 hashes to i+1

i
i+1

R1
R3
R2

H
H

finally

i
i+1

R1
R3
R2
R4
R5

H
H

2 chains : R1 - R2 -R4
R3 - R5

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Patterns of Record Access

Pareto Principle ( 80/20 Rule of Thumb): 80 % of the

accesses are performed on 20 % of the records!

The concepts of the Vital Few and the Trivial Many

20 % of the fisherman catch 80 % of the fish
20 % of the burglars steal 80 % of the loot

If we know the patterns of record access ahead, we can

do many intelligent and effective things!
Sometimes we can know or guess the access patterns
Very useful hints for file syetms or DBMSs
Intelligent placement of records

fast accesses
less collisions

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Lets Review !!!

11.1 Introduction
11.2 A Simple Hashing Algorithm
11.3 Hashing Functions and Record Distribution
11.4 How Much Extra Memory Should Be Used?
11.5 Collision Resolution by Progressive Overflow
11.6 Storing More Than One Record per Address : Buckets
11.7 Making Deletions
11.8 Other Collision Resolution Techniques
11.9 Patterns of Record Access

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