# Patent

## Title
Method of adapting a uniform access indexing process to a non-uniform access memory, and computer system

## Abstract

Method and apparatus for constructing an index that scales to a large number of records and provides a high transaction rate. New data structures and methods are provided to ensure that an indexing algorithm performs in a way that is natural (efficient) to the algorithm, while a non-uniform access memory device sees IO (input/output) traffic that is efficient for the memory device. One data structure, a translation table, is created that maps logical buckets as viewed by the indexing algorithm to physical buckets on the memory device. This mapping is such that write performance to non-uniform access SSD and flash devices is enhanced. Another data structure, an associative cache is used to collect buckets and write them out sequentially to the memory device as large sequential writes. Methods are used to populate the cache with buckets (of records) that are required by the indexing algorithm. Additional buckets may be read from the memory device to cache during a demand read, or by a scavenging process, to facilitate the generation of free erase blocks.

## Background
FIELD OF THE INVENTION
The present invention relates to methods and apparatus for the construction of an index that scales to a large number of records and provides a high transaction rate.
BACKGROUND
Some modern file systems use objects to store file data and other internal file system structures (“metadata”). A file is broken up into many small objects, perhaps as small as 4 KB (2^12 bytes). For a file system that spans 64 TB (2^46 bytes), for example, this results in over 2^(46−12)=2^34, or roughly 16 billion objects to keep track of.
In this context an object is a sequence of binary data and has an object name, often a GUID (globally unique ID), or a cryptographic hash of the content, although other naming conventions are possible as long as each unique object has a unique name. Object names are usually fixed length binary strings intended for use by programs, as opposed to people. Object sizes are arbitrary, but in practice are typically powers of 2 and range from 512 bytes (2^9) up to 1 MB (2^20). Objects in this context should not be confused with objects as used in programming languages such as Java and C++.
An index (sometimes referred to as a dictionary or catalog) of all the objects is needed by the file system. Each record in the index may contain the object name, length, location and other miscellaneous information. The index may have as its primary key the object name, the object's location, or possibly both. A record is on the order of a few tens of bytes, 32 bytes being one example.
Operations on this index include adding an entry, looking up an entry, making modifications to the entry, and deleting an entry. These are all typical operations performed on any index.
Because these file systems work with objects, for the file system to obtain acceptable performance levels, an indexing solution has two challenges not easily met:

    
    
        1) The number of entries in the index can be very large. In the example listed above, if each index entry is 32 (2^5) bytes, then the index takes 2^(5+34)=2^39, or 512 GB of memory. This does not fit cost effectively in current memory technologies.
        2) The operations against the index are large. A commercially viable storage system may need to perform at, say, 256 MB/sec (2^28 bytes/second). At 4 KB object sizes, that is 2^(28−12)=2^16, or 64 thousand operations per second. Given that file systems typically generate and reference other data (objects) internally, the index operation rate can easily exceed 100 thousand operations/second. As a point of comparison, a current state of the art disk can do at best 400 operations per second.
    
    


Achieving the necessary performance and capacity levels is not practical using DRAM memory technology, or disk technology, alone. DRAM memory is fast enough, but not dense enough. Disks have the density, but not the performance. Scaling either (DRAM memory or disks) to reach the desired characteristics is too expensive.
Object names are often uniform in both their distribution and access patterns, so typical caching schemes, which depend on spatial and temporal locality, have limited effect. Thus, the indexing problem is difficult in both size, and in operation rates.
SUMMARY OF THE INVENTION
In accordance with one embodiment of the invention, there is provided a method of accessing an index stored in a non-uniform access memory by a uniform access indexing process, the method comprising:
maintaining a translation table to map a logical bucket identifier generated by the indexing process to a physical bucket location of the memory to access each record data entry in the index;
collecting in cache a plurality of the record data entries, to be written to the index, prior to a subsequent sequential write of the collection of entries to at least one physical bucket location of the memory.
In one embodiment, the method includes:
writing the collection of record data entries from the cache to a bucket location of the memory as a sequential write;
updating the translation table with the bucket location for the record data entries of the collection.
In one embodiment, the method includes:
reading one or more sequential record data entries from the memory to the cache;
designating as free the physical locations in memory from which the one or more entries were read.
In one embodiment, the method includes:
rendering a plurality of sequential physical bucket locations in the memory as a free block by reading any valid entries in the block to the cache and designating as free the physical locations in memory from which such entries were read.
In one embodiment:
the indexing process generates random access requests to the index based on uniformly distributed and unique index keys.
In one embodiment:
the keys comprise cryptographic hash digests.
In one embodiment:
the indexing process comprises a displacement hashing process.
In one embodiment:
the displacement hashing comprises a cuckoo hashing process.
In one embodiment:
the memory comprises one or more of flash, phase-change, and solid state disk memory devices.
In one embodiment:
the memory is limited by one or more of random write access time, random read-modify-write access time, sequential write, alignment restrictions, erase time, erase block boundaries and wear.
In one embodiment:
a size of the physical bucket comprises a minimum write size of the memory.
In one embodiment:
the size of the physical bucket comprises a page or partial page.
In one embodiment:
the memory has an erase block comprising a plurality of pages.
In one embodiment the method includes:
maintaining a bucket valid table for tracking which bucket locations in the memory are valid.
In one embodiment:
a bucket in memory comprises a set of one or more record data entries and a self-index into the bucket translation table.
In one embodiment:
the record data entries in the bucket are not ordered.
In one embodiment the method includes:
designating as read only in cache the record data entries written sequentially to the memory.
In one embodiment:
the bucket translation table is stored in persistent memory.
In one embodiment, the method includes:
tracking the number of free buckets in an erase block and implementing a process to generate a free erase block when a threshold of free buckets is met.
In one embodiment:
the indexing process performs indexing operations based on requests that records be inserted, deleted, looked up and/or modified.
In one embodiment:
the indexing process presents logical bucket operations for reading and writing to physical buckets which store the records of the index.
In one embodiment:
the physical bucket operations include random reads and sequential writes.
In one embodiment:
the physical bucket operations further include trim commands.
In one embodiment:
the memory comprises a physical device layer characterized by non-uniform read and write access and immutability with respect to size, alignment and timing.
In one embodiment:
the record data entry comprises fields for a key, a reference count and a physical block address.
In one embodiment:
the key comprises a cryptographic hash digest of data;
the physical block address field contains a pointer to the physical block address of the data stored on a storage device.
In one embodiment:
the logical bucket locations are generated by a plurality of hash functions.
In one embodiment:
the memory comprises a flash memory device which includes a plurality of erase blocks, each erase block comprises a plurality of pages, and each page comprises a plurality of buckets.
In accordance with another embodiment of the invention, there is provided a computer program product comprising program code means which, when executed by a processor, performs the steps of the foregoing method.
In accordance with another embodiment of the invention, there is provided a computer-readable medium containing executable program instructions for a method of accessing an index stored in a non-uniform access memory by a uniform access indexing process, the method comprising:
maintaining a translation table to map a logical bucket identifier generated by the indexing process to a physical bucket location of the memory to access each record data entry in the index;
collecting in cache a plurality of the record data entries, to be written to the index, prior to a subsequent sequential write of the collection of entries to at least one physical bucket location of the memory.
In accordance with another embodiment of the invention, there is provided a system comprising:
physical processor and memory devices including a computer-readable medium containing executable program instructions for a method of accessing an index stored in a non-uniform access memory by a uniform access indexing process, the method comprising:
maintaining a translation table to map a logical bucket identifier generated by the indexing process to a physical bucket location of the memory to access each record data entry in the index;
collecting in cache a plurality of the record data entries, to be written to the index, prior to a subsequent sequential write of the collection of entries to at least one physical bucket location of the memory.
In one embodiment:
the memory that stores the index comprises a physical device layer characterized by non-uniform read and write access and immutability with respect to size, alignment and timing.
In one embodiment:
the memory that stores the index comprises one or more of flash, phase-change and solid state disk memory devices.
In one embodiment:
the memory that stores the index comprises a flash memory device which includes a plurality of erase blocks, each erase block comprises a plurality of pages, and each page comprises a plurality of buckets.
In accordance with another embodiment of the invention, there is provided a method of accessing an index stored in a non-uniform access memory by a uniform access indexing process, the method comprising:
providing to a translation table, which maps a logical bucket identifier to a physical bucket location of the memory for each record data entry in the index, logical bucket identifiers generated by the indexing process;
accessing physical bucket locations mapped to the logical bucket identifiers; collecting in a cache record data entries to be written to the index;
subsequently writing sequentially a collection of the record data entries from the cache to the index in at least one new physical bucket location of the memory; and
updating the translation table to associate the at least one new physical bucket location with a logical bucket identifier.
In accordance with another embodiment of the invention, there is provided a computer system comprising:
a non-uniform access memory in which is stored an index comprising record data entries in physical bucket locations of the memory;
a translation table to map a logical bucket identifier generated by a uniform access indexing process to a physical bucket location of the memory for each of the record data entries;
a cache for collected record data entries to be written to an index;
means for accessing physical bucket locations of the memory mapped to logical bucket identifiers supplied to the translation table by the indexing process;
means for writing sequentially a collection of the record data entries from the cache to the index at least one physical bucket location of the memory; and
means for updating the translation table to associate the at least one physical bucket location with a logical bucket identifier.



BRIEF DESCRIPTION OF THE DRAWINGS
The invention will be more fully understood by reference to the detailed description, in conjunction with the following figures:
FIG. 1 is a schematic block diagram illustrating various indexing operations performed in accordance with one embodiment of the present invention;
FIGS. 2A through 2D illustrate various embodiments of data structures which may be used in the present invention;
FIG. 3 is a schematic block diagram illustrating a lookup operation according to one embodiment of the invention;
FIG. 4 is a schematic block diagram illustrating an insert operation according to one embodiment of the invention;
FIG. 5 is a schematic block diagram of a delete operation according to one embodiment of the invention;
FIG. 6 is a schematic block diagram of an update operation according to one embodiment of the invention;
FIGS. 7A and 7B are schematic block diagrams illustrating a random read process for generating free erase blocks according to one embodiment of the invention;
FIGS. 8A and 8B are schematic block diagrams illustrating another method of generating free erase blocks according to a scavenging process;
FIG. 9 is a schematic block diagram illustrating a six layer view or stack for illustrating an implementation of the present invention;
FIG. 10 is a schematic diagram of a record entry as used in one embodiment of the invention;
FIGS. 11A-11E illustrate schematically an implementation of cuckoo hashing according to one embodiment of the invention;
FIG. 12 is a schematic illustration of multiple buckets, each bucket holding multiple records according to one embodiment of the invention;
FIG. 13 is a schematic diagram of the contents of a bucket according to one embodiment of the invention;
FIG. 14 is a schematic block diagram illustrating one example of a physical flash chip having multiple dies, erase blocks, pages, and buckets according to one embodiment of the invention; and
FIGS. 15A-15B illustrate certain components of a device management layer according to one embodiment of the invention.



DETAILED DESCRIPTION
A. Overview
According to one or more embodiments of the invention, specialized memory technology and algorithms are used to build indices that simultaneously have large numbers of records and transaction requirements. One embodiment utilizes a displacement hashing indexing algorithm, for example cuckoo hashing. The invention enables use of non-uniform access memory technologies such as flash, phase-change and solid state disk (SSD) memory devices.
In various embodiments of the invention, new data structures and methods are provided to insure that an indexing algorithm performs in a way that is natural (efficient) to the algorithm, while the memory device sees IO (input/output) patterns that are efficient for the memory device.
One data structure, an indirection table, is created that maps logical buckets as viewed by the indexing algorithm to physical buckets on the memory device. This mapping is such that write performance to non-uniform access memory devices is enhanced.
Another data structure, an associative cache, is used to collect buckets and write them out sequentially to the memory device, as part of the cache's eviction and write-back policies.
Methods are used to populate the cache with buckets (of records) that are required by the indexing algorithm. Additional buckets may be read from the memory device to cache during a demand read, or by a scavenging process.
Use of the cache, in conjunction with the indirection table, allows large sequential writes to the memory device.
While flash technology has the fundamental capability of achieving the needed capacity and IO rates for the indexing problem, flash access characteristics are non-uniform. This non-uniformity is significant enough that normal indexing algorithms work poorly, if at all, with a flash memory device.
The non-uniform access flash memory that is used in the present invention is an electrically-erasable programmable read-only memory (EEPROM) that must be read, written to and erased in large block sizes of hundreds to thousands of bits, i.e., no, byte level random access. Physically, flash is a non-volatile memory form that stores information in an array of memory cells made from floating-gate transistors. There are two types of flash memory devices, NAND flash and NOR flash. NAND flash provides higher density and large capacity at lower cost, with faster erase, sequential write and sequential read speeds, than NOR flash. As used in this application and in the present invention, “flash” memory is meant to cover NAND flash memory and not NOR memory. NAND includes both single-level cell (SLC) devices, wherein each cell stores only one bit of information, and newer multi-level cell (MLC) devices, which can store more than one bit per cell. While NAND flash provides fast access times, it is not as fast as volatile DRAM memory used as main memory in PCs. A flash memory device may or may not include a flash file system. Flash file systems are typically used with embedded flash memories that do not have a built-in controller to perform wear leveling and error correction.
A typical NAND flash chip may store several GB of content. Unlike memory attached to a computer, the memory on the flash chip must be accessed in certain sizes and on certain boundaries. Furthermore, once a section of memory has been written, an erase operation must be performed before those memory locations can be written to again. Also, locations wear out, so insuring that all locations get a similar number of writes further complicates the usage. Read times, write times, and erase times can vary significantly (from micro seconds to milliseconds). Thus the timing, wear leveling and alignment restrictions make the practical use of flash difficult at best.
A flash memory device may contain one or more die (silicon wafers). Each die, for the most part, can be accessed independently.
A die is composed of thousands of erase blocks. An erase block is typically 128-512 KB in size. When data needs to be cleared, it must be cleared on erase block boundaries.
Another limitation of NAND flash is that data can only be written sequentially. Furthermore, the set up time for a write is long, approximately 10× that of a read.
Data is read on page granularity. A page may range from 1 KB to 4 KB depending on the particular flash chip. Associated with each page are a few bytes that can be used for error correcting code (ECC) checksum.
Data is written on page granularity. Once written, the page may not be written again until its erase block (containing the page) is erased. An erase block may contain several dozen to over 100 pages.
One exception to the above read and write page granularity are sub-page writes, or partial page programming. Depending on the technology, pages may be partially written up to 4 times before an erasure is required.
Since pages in a NAND flash block may be written sequentially and only once between block erase operations, subsequent writes require a write to a different page, typically located in a different flash block. The issue of block erases is handled by creating a pool of writeable flash blocks, a function of the flash file system.
Erasing an erasure block is the most expensive operation time-wise, as it can take several milliseconds. For devices that are heavily used (traffic-wise), the speed at which erase blocks can be generated (i.e. how fast free erase blocks can be made available) is often a limiting factor in flash design.
Many SSD (Solid State Disks) use flash technology. The firmware in the SSD handles the aforementioned access issues in a layer called the Flash Translation Layer (FTL). In doing so, however, the firmware makes assumptions about how the SSD will be used (e.g., mostly reads, mostly writes, size and alignment of reads and writes), and as a result of these assumptions, the SSD's performance characteristics are often sub-optimal for indexing algorithms.
Many indexing algorithms that one finds in the literature and in practice are based on a uniform memory access model, i.e. all memory is equally accessible time-wise for both reads and writes, and there are not any first order restrictions on access size or alignment.
If one considers an indexing solution, operations such as insert, delete, lookup and modify typically require more and varied amounts of time, and reads and writes of blocks, typically small blocks (4 KB or so), less time. The blocks appear to be random, i.e., any block may be read, and any other block may be written. With some algorithms, there are random read-modify-write IO profiles, i.e. a random block is read, and then written back to the same location with slightly modified data.
This random IO that an indexing algorithm needs to operate efficiently, is not what flash is intended to provide. While flash can handle random reads well, random writes are difficult, as are read-modify-writes. The reason for this is that one cannot over-write something that has already been written, one has to erase it first. To further complicate the situation, erasing takes time, and must happen on large boundaries (typical 64 KB).
When an erase block is erased, any valid data in that block needs to be moved elsewhere. If the algorithm writes random 4 KB blocks across the flash device, a naïve implementation would result in blocks being erased all the time. As erase times are slow, the performance would suffer significantly.
In accordance with the invention, to allow writes to the flash to be sequential, while still preserving the logical random access that the indexing algorithm expects, a translation or indirection table is created. This table maps logical buckets (of records) as needed by the indexing algorithm to physical buckets (e.g., pages) of the flash device.
As the indexing algorithm reads in buckets (e.g., pages of data from flash), in order to modify the bucket contents (insert, update or delete operations), the buckets are moved to a cache. The corresponding buckets on the flash device can now be marked as not valid (free). In the case of an SSD, this can take the form of a TRIM command.
According to further embodiments of the invention, methods are provided to generate free erase blocks. At any given time, an erase block may have a combination of valid and invalid data. To free up an erase block, all valid data must be moved off that block. There are two mechanisms that can be used to accomplish this. One is to use the random reads generated by the indexing algorithm to read more (than is required by the indexing algorithm) so as to free up an erase block. As the indexing algorithm tends to generate random reads, over time all erase blocks are eventually read and harvested for empty pages. For example, if the erase block containing the read has some free pages, and some valid pages, then the algorithm may choose to read in the entire erase block and place all valid pages into the cache. This has the effect of freeing up that erase block for a subsequent erase and then write.
Alternatively, e.g., if the aforementioned random read process is not fast enough, a separate scavenging process (e.g., thread) can be used to read erase blocks, and place the valid pages into the cache for coalescing into another erase block.
As the cache fills up, entries must be written out. A set of cache entries is collected that will be sequentially written to a contiguous set of partial pages (if partial page writes are allowed by the flash device), multiple pages, and/or one or more erase blocks. As cache entries are written to the flash device, the indirection table is updated, so that the indexing algorithm still sees the entries as being at a fixed logical address.
B. Indexing Operations
Various embodiments of the invention will now be described utilizing the accompanying FIGS. 1-6 to illustrate various indexing operations performed in accordance with the present invention. FIGS. 7-8 illustrate two methods of generating free erase blocks for efficient utilization of the storage medium (e.g., flash memory). These embodiments are meant to be illustrative and not limiting.
FIG. 1 is an overview of several indexing operations that utilize a bucket translation table 17 and cache 23 according to one embodiment of the invention. At the top of FIG. 1, three index operations 12-14 are shown as alternative inputs to a lookup function 15 and a translation function 16. A first index operation 12 is “lookup key” for returning satellite data from (a record entry) for the key. A second index operation 13 is “update satellite data for key” for updating (modifying) the record entry for the key. A third index operation 14 is “insert new key” for inserting a new record entry. Another index operation, delete, is not shown in FIG. 1 but described below in regard to FIG. 5.
All three index operations first perform a lookup function 15, wherein some function of the key f(key) is used to generate an index identifier, here a logical bucket identifier (LBI) that supports (e.g., speeds up) a hash table lookup. The logical bucket identifier (LBI) is input to a translation function 16 wherein some function of the logical bucket identifier f(LBI) generates a physical bucket location in the flash memory. The translation function is implemented by a bucket translation table 17, which is a map of the logical bucket identifier (as provided by the indexing algorithm) to a target flash memory location (physical bucket location in flash). A dictionary (index) stored in flash memory 26 may comprise records that map a lookup key (e.g., object name) to satellite data (e.g., location pointer to the object stored on disk). The flash memory 26 (see FIG. 1) includes a plurality of flash erase blocks 21 (e.g., 21a, 21b, 21c) each erase block containing plural flash briskets 22 (e.g., 22a, 22b, 22c, 22d).
Next, depending upon which of the three indexing operations is being performed (lookup, update or insert) one or more of the steps shown on the bottom half of FIG. 1 are performed.
For a lookup operation 18, the bucket entry identified by the translation function is read 30 from the target bucket 22 in flash memory, with a cache lookaside (e.g., if the target bucket is stored in cache, it may be read from cache 23 rather than from flash memory 26).
For an update operation 19, the bucket entry identified by the translation function (the original bucket entry) is read 30 from a target bucket 22 in erase block 21a of flash memory (or cache), the bucket is updated and moved 32 to cache, and in a subsequent write 24 a plurality of cache bucket entries are read sequentially to a contiguous set of partial pages, multiple pages and/or erase blocks (e.g. a new erase block 21b) in flash memory. The process updates 33 the status of all the moved buckets in flash to not valid data (e.g., free or available for a trim operation).
For an insert operation 20, a target bucket is again read from flash and a modified bucket entry is moved 34 to cache, again for a subsequent sequential write 24 to a new location in flash memory.
FIG. 1 shows schematically a cache 23 for collecting a plurality of bucket entries, prior to performing a sequential write 24 of the collection of cache bucket entries to contiguous flash memory buckets. In one embodiment, a scavenging operation 25 is used for creating free erase blocks; the process includes storing any valid buckets (from the erase block) in cache during the scavenging process and reallocating the flash erase block as free.
Following a discussion of the new data structures illustrated in FIG. 2, the indexing operations referenced in FIG. 1 will be more specifically described with respect to the flow diagrams of FIGS. 3-6.
C. Data Structures
FIG. 2 illustrates various embodiments of data structures useful in the present invention. Such data structures are meant to be illustrative and not limiting.
FIG. 2a illustrates one embodiment of a bucket translation table (BTT) 300 for translating a logical bucket index (generated by the indexing algorithm) to a physical flash bucket address. A BTT table entry is shown having three fields: valid 301; flash physical bucket address 302; and extended bucket state 303. The bucket address granularity is the minimum write size of the flash device, namely either a partial page write (e.g., for SLC NAND) or a page write (e.g., for MLC NAND). The BTT is 1:1 mapping of logical to physical bucket entries. The table enables reorganization of the flash bucket assignments for higher random performance (random reads and random writes by the indexing algorithm). Additional state information may be added to the BTT in the third field to enable algorithm acceleration.
FIG. 2b shows one embodiment of a bucket valid table (BVT) 305. This table tracks which physical buckets in flash are valid in order to manage the scavenging of buckets into blocks for trimming. As one example, a field 306 labeled valid may be a compact bit array (1 bit/bucket). The size of the BVT is the total number of flash bucket entries, only a subset of which are in use by the BTT.
FIG. 2c illustrates one embodiment of flash bucket 309 having multiple records 310, 311, 312 . . . included in the bucket, along with a reverse BTT pointer 313 (a self-index into the bucket translation table 17). Thus, each bucket contains a set of one or more records and a reverse pointer for updating the BTT when flash buckets (e.g., pages) are inserted, moved or deleted. Each element of the bucket (record or pointer) may have redundant content added, such as additional ECC bits, to improve the individual reliability of the data structures and significantly increase the useful life of the storage devices. For example, an optional sequence number field may be added to flash bucket 309 for performing data consistency checking during power fail events; other optimization flags may be provided as well.
Because the record size is small relative to the bucket size, this provides an opportunity (optional) to implement additional error recovery information on an individual record basis. This optional feature would improve the overall reliability of the solution by increasing the number of bit errors and faults which may be corrected and thus increase the effective operating lifetime of the underlying storage technology.
FIG. 2d shows one example of a SLC NAND flash device 315 containing multiple erase blocks 316 (1 to M). Each erase block includes multiple pages 317 (1 to N). In this example, each page is 4 KB and each page includes multiple buckets 318 (1 to B), each bucket being 1 KB. In this example, the device supports partial page writes.
A bucket represents a minimum write size of the flash device. Typically, a bucket would be a page. If partial page writes are allowed, then one or more buckets per flash page may be provided, such as a four partial page SLC NAND device supporting four buckets per page.
Multiple flash pages are provided per erase block. There are multiple erase blocks per flash devices, and each block is individually erased.
The typical flash subsystem consists of multiple flash devices. NAND flash devices are written sequentially once per page (or partial page) within a given block between erase operations, with multiple blocks available for writing and reading simultaneously.
D. Process Flow Charts
FIG. 3 illustrates one embodiment of a lookup operation process for verifying the presence of a key and returning associated satellite data. In step one 41, a lookup key is input to a lookup function. In step two 42, the lookup function f(key) generates a logical bucket identifier that supports (e.g., speeds up) a hash table lookup. The logical bucket identifier is input to a translation function, which in step three 43 is mapped to a flash memory (physical bucket) location, via the bucket translation table (BTT) 17. In step four 44, the target bucket in flash memory is read 45a from flash memory, unless the bucket is stored in cache, in which case it can be read 45b from cache 23. In step six 46, the satellite (record) data for the key is returned to the indexing algorithm.
FIG. 4 shows one embodiment of an insert operation process. A first step 71 inputs a key to the lookup function. In step two 72, the lookup function f(key) generates an index, here a logical bucket identifier. In step three 73, the bucket identifier is input to a translation function which maps the bucket identifier to a flash memory physical bucket location where the insert should occur, utilizing the bucket translation table (BTT) 17. In step four 74, the insert process receives the target bucket location from the translation function. In step five, the insert process reads the target bucket 22 from an erase block 21a of flash memory 75a, or from cache 75b. In step six 76, the insert process inserts the record entry into the target bucket and writes the modified bucket to cache. In step seven 77, multiple bucket entries (including the modified target bucket) are read from cache 73 by the insert process. In step eight 78, the insert process writes the modified target bucket and other buckets read from cache to new locations (pages in erase block 21b) in flash 26. In step nine, the insert process updates the bucket translation table 17 with the new locations for all buckets moved from cache to flash 79a, and also updates the bucket valid entries in BVT 79b for all buckets moved. In step ten 80, the insert process marks the moved cache entries read only (available). In step eleven 81, the insert process marks the original flash buckets (now moved to a new erase block) as free.
FIG. 5 illustrates one embodiment of a delete operation process. In a first step 91, a key is provided to a lookup function. In step two 92, the lookup function f(key) generates an index, here a logical bucket identifier. In step three 93, the bucket identifier is provided to the translation function, which utilizes the bucket translation table 17 to map the bucket identifier to a physical flash memory bucket location. In step four 94, the delete process receives the flash memory location. In step five 9-5, the target bucket is read from flash 95a or from cache 95b. In step six 96, the process deletes the original record entry in the bucket and writes the modified bucket (with the deleted entry) to cache 23. In step seven 97, a group (collection) of buckets are read from cache. In step eight 98, the updated target bucket and other buckets read from cache 23 are written sequentially to a contiguous set of free pages in flash. In step nine, the delete process updates the bucket translation table with the new locations in flash for all moved buckets 99a, and updates their valid status in the BVT 99b. In step ten 100, the delete process marks the cache entries as read only. In step eleven 101, the delete process marks the original flash buckets now moved to a new location in flash as free.
FIG. 6 illustrates one embodiment of an update operation process for modifying a record in an index stored in flash memory. In a first step 51, a key is provided as input to a lookup function. In step two 52, the lookup function f(key) generates an index, here a logical bucket identifier. The bucket identifier is input to a translation function. In step three 53, the translation function maps the bucket identifier to a physical bucket in flash memory where the update should occur, utilizing the bucket translation table 17, and the process proceeds to step four 54, update processing. In step five 55, the target bucket is read from flash 55a or from cache 55b. In step six 56, after updating the entry, the updated bucket is written to cache 23. In step seven 57, a group of buckets are read from the cache 23 and in a step eight 58, written sequentially from cache to a new location in flash memory 26. In step nine 59, the update process updates the bucket translation table 17 with the new locations for all buckets moved 59a, and updates their valid status in the BVT 59b. In step ten 60, the update process marks the moved entries as read only in cache 23 (and thus available to be written over). Finally, in step eleven 61, the update process marks the original flash buckets, now moved to a new location, as free (available).
FIG. 7A illustrates one embodiment of a process for generating free erasure blocks, where a demand read (generated by an upstream indexing operation such as a lookup, insert or modify) reads additional buckets in the same erase block (as the target bucket). In FIG. 7A, the process is illustrated with an update request. In step one 111, a key is provided to a lookup function. In step two 112, the lookup function f(key) generates an index identifier, here a logical bucket identifier. In step three 113, the bucket identifier is mapped to a physical target bucket location in flash. In step four 114, the update and scavenge process receives the target flash memory location. In step five 115, the process identifies all valid buckets in the same erase block as the target bucket. In step six, 116a, the update process reads the target bucket and all identified valid buckets from the flash block containing the target bucket (alternatively read from cache, step 116b). In step seven 117, the process updates the record entry in the target bucket and writes all valid buckets from the flash block to cache 23. In step eight 118, the update process reads a group of blocks from cache. In step nine 119, the update process writes the updated target bucket and other buckets read from cache 23 to flash 26. In step ten 120, the update process updates the bucket translation table 17 with the new locations for all buckets moved (written from cache to new erasure block 21b in flash) 120a, and updates the bucket entries in the BVT 120b. In step eleven 121, the update process marks the now stale cache entries as read only. In step twelve 122, the update process marks the original flash block (all buckets in the target block) as free.
FIG. 7B illustrates a particular embodiment of the random read process just described for generating free erase blocks.
In this embodiment, a displacement hashing indexing algorithm 125 generates logical buckets 126. The logical bucket size as viewed by the indexing algorithm, is tied to the flash erase block size so as to render compatible the indexing algorithm and flash memory. These buckets will be randomly read as a result of index reads and updates.
A bucket translation (indirection) table 127 translates a logical bucket index into a physical flash device bucket location. This indirection table enables the indexing algorithm to work randomly, for reads, writes and updates, and yet have large sequential writes performed at the flash device level. Preferably, the indirection table is stored in persistent memory, but it can be rebuilt as necessary if stored in volatile memory.
The output of the indirection table, namely the physical device bucket location, is provided as input to a fully associative bucket cache 128. In this embodiment, if, the contents of an empty erase block fifo 129 is below a high water mark Q, then the entire erase block (containing the target 4 KB bucket) is read.
The erase blocks host logical buckets, a typical configuration being one erase block holding 16 of the 4 KB logical buckets. The physical device is configured for a load, e.g., 90%, meaning that 90% of the buckets are in use. Caching and victimization (eviction) are used to pack (concentrate) logical buckets in the flash memory so that most of the 10% of the remaining buckets are concentrated in free erase blocks.
The cache victimization (eviction process) takes 16 buckets, collected in cache, and writes out the 16 buckets from cache to a free erase block 130. Because the erase blocks are touched randomly by the random read operations, the read operations can be used to generate free erase blocks. Use of a cryptographic hash function for generating the logical bucket identifiers, will increase the random nature of the read operations and thus improve the random read generation of free erase blocks.
FIGS. 8A and 8B illustrate an alternative scavenging process for generating free erase blocks. This scavenging process is not a part of any indexing operation. Rather, it is implemented as part of a lower level device management layer. In this process, a group (some or all) of the physical buckets in a flash erase block are read directly from flash and the bucket valid table 27 is used to determine which buckets in the erase block are valid.
As illustrated in FIG. 8A, in step one 220, a scavenging process 25 reads a complete erase block 21a. In step two 222, the scavenging process uses the bucket valid table 27 to identify all buckets of those read that are valid. In step three 224, for each valid bucket, the logical bucket identifier is extracted from the bucket. In step four 226, the valid buckets are stored in cache 23, each indexed by its logical bucket identifier.
FIG. 8B shows an example where in step one, the scavenging process 25 reads buckets [94, 97] inclusive. In step two, the process determines that buckets at 95 and 96 are valid. The valid buckets are shown in the bucket valid table designated by a “1”, and the non-valid buckets by a “0”. In step three, the logical bucket identifiers for buckets 95 and 96, namely tags 23 and 49 respectively, are extracted from the buckets. In step four, the two tags, and their respective buckets 95 and 96 are inserted into cache using their respective tags 23, 49 as the index.
E. Stack Level View and Implementation
Another more specific example of the invention will now be described with respect to FIGS. 9-16.
FIG. 9 shows a six layer view or stack 200 for illustrating an implementation of the present invention in which a flash adaptation layer 207 adapts an IO usage profile view desired by an indexing algorithm 203, which is a very different view than desired by the physical flash memory device 211. At the top level 201, a dictionary (index) of records is provided, for which certain indexing operations 204 (lookup, delete, insert and modify a record) are required. An indexing algorithm layer 203 implements the dictionary with one or more indexing algorithms, e.g., a cuckoo displacement hashing algorithm being one example. The indexing algorithm has a view of how the keys to the index will be stored by an index persistence layer 205. The indexing view is a logical view, specifying logical address locations. The view further assumes that there will be uniform access to the index with respect to size, alignment and timing, and that the index is stored on mutable (stable) storage.
The index persistence layer 205 will present logical bucket operations 206 for reading and writing, to physical buckets which store the records of the index. These logical bucket operations 206 are presented to a flash adaptation layer 207, which as previously described, translates the logical buckets (of the indexing process) to physical bucket locations on the flash storage device. The flash adaption layer thus adapts the view and IO usage profile desired by the indexing algorithm above, to the very different view desired by the physical storage device (flash memory 211) below. Here the physical bucket operations 208 include random reads and aggregated (block sequential) writes, which constitute a non-uniform model of bucket access. The physical bucket operations in this example may further include trim commands.
The physical bucket operations are implemented by a device management layer 209 which tracks and coordinates the resources on the physical flash device. These physical device operations 210 here include random reads, large sequential writes, and trim commands.
The physical device layer 211 is characterized by its non-uniform read and write and immutability with respect to size, alignment and timing. Examples of such physical devices include raw flash, phase-change, an SSD, and/or flash with a flash file system residing on the device.
The present invention enables additional optional enhancements below the device management layer such as:

    
    
        The model of bucket trimming (fine page trimming) and tracking buckets within a page enables better Erase Block management if incorporated directly into a flash file system of an SSD or equivalent storage device.
        The mapping of buckets onto flash pages is an abstraction. Buckets could map to partial-pages for SLC NAND to increase the lifetime of those devices by minimizing the amount of data written to the flash for each change. Buckets can also map onto multiple flash pages if this was beneficial to the overall system performance.
    
    


FIG. 10 shows one example of an index record. The record 140 is 32 bytes in total, including a first 20 byte field 141 for storing a fingerprint (key). A fingerprint is preferably a cryptographic hash digest of the data content, e.g., an SHA-1 hash algorithm. For ease of illustration, rather than typing the fingerprint in hex digits such as “AB92345E203 . . . ” an individual fingerprint will be designated in FIGS. 11-14 by a single capital letter such as P, Q, R, S, T. These capital letters will also act as a proxy for the entire record, again to simplify for purposes of illustration. The fields of the record also include a two byte reference count field 142, a five byte physical block address field 143, a one byte flags field 144, and a four byte miscellaneous field 145. The PBA field 143 contains a pointer to the physical block address of the data stored on disk, for the designated fingerprint 141. The reference count tracks the number of references to the data stored on disk.
In accordance with one embodiment of the invention, the fingerprint 141 from the index record is used as an input key to the lookup function f(key) previously described (FIG. 1), In this example, the function f(key) comprises a set of four hash functions Ho, H1, H2, and H3 Generally, one can use any set of two or more hash functions. The hash function Hx maps the fingerprint to a range [0, N−1] inclusive, wherein N is the size of the hash table. Given that in this example the fingerprints themselves are hashes, one can extract BitFields to generate the following family of four hash values:

H0(x)=x<0:31> mod N 

H1(x)=x<032:63> mod N 

H2(x)=x<064:95> mod N 

H3(x)=x<096:127> mod N 

The BitField width extracted is greater than or equal to log2 (N). Any combination of disjointed bits can be used, subject to the log2 (N) constraint. As illustrated in FIG. 10, only the fingerprint in the first field 141 is hashed, to form the key. The remaining content (fields 142-145) of the record 140 comprise a value or payload.
FIG. 11 illustrates one example of a displacement hashing indexing algorithm known as cuckoo hashing. For ease of illustration, only two functions are used. FIG. 11A shows a 2×3 grid in which fingerprint P generates hash values 2 and 5 from the functions H0(x) and H1(x), respectively, while the fingerprint Q generates hash values 1 and 3 from these same functions. The cuckoo hashing algorithm will select from among the two alternative hash values for placing P and Q in one of the seven slots labeled 0-6 (FIG. 11B). P can go in one of two locations, 2 or 5, and Q can go in one of two locations, 1 or 3. The algorithm puts Q in the lowest empty slot 1 and P in slot 2, as shown in FIG. 11C. While in this example the record container is referred to as a slot holding one record, it should be understood that the invention is not so limited; indexing algorithms also view a bucket, holding multiple records, as a container. Here a single record slot is used to simplify the explanation.
Now, another fingerprint R is provided which generates hash values of 1 and 2 from the same hash functions (see table in FIG. 11D). The hashing algorithm will place R in the left location, namely slot 1, displacing the current entry Q (FIG. 11E). Q will now be moved to the other optional location specified by H1(Q), namely location 3. The algorithm will keep displacing records until each record lands in an empty slot.
In this example, to accomplish the “insert R” operation, the indexing algorithm generates the following read and write requests:















read 1 (gets Q)



read 2 (gets P)



write 1 (write R)



read 3 (validity check)



write 3 (Q)










The first two reads are used to validate that R is not already present in the index. The validity check (read 3) determines whether slot number 3 is empty; if so, then Q can be written to slot 3 and the algorithm is done as no entry was rewritten in slot 3. If slot 3 were not empty, then the current entry in slot 3 would need to be moved to another slot. The contents of slot 3 are known if we have a Bitmap; otherwise, we need to read the entry in slot 3 to determine its status. Each entry contains a valid bit indicating if that entry is valid. Valid means it is in use (and the current occupant of the location has to be displaced). Not valid means the location is empty, and the record being processed can be written there. The contents of the valid bits can also be stored in a separate Bitmap, at the expense of some memory.
The cuckoo hashing algorithm is recursive, in that it keeps writing over entries, displacing the previous content, until it lands on an empty entry. In practice, this process rarely exceeds one displacement.
The indexing algorithm has both bucket and individual record operations. The indexing algorithm is described above (in FIG. 11) as placing one record in one container (slot), but it is understood by the indexing algorithm that the records may also be aggregated into buckets, i.e., buckets containing multiple records. Thus, the above example is nonlimiting and meant to illustrate generally record operations.
As previously described, because the reading and writing of individual records is not efficient to flash memory, the individual records are aggregated into buckets. FIG. 12 illustrates four such buckets 150, each containing two or more records, i.e., bucket B0 with record locations 0 and 1, B1 with record locations 2 and 3, B2 with record locations 4 and 5, and B3 with record locations 6 and x. The bucket size is a function of (and preferably is equal to) the minimum write size dictated by the flash device, i.e., either full page write or partial page write. A typical bucket size may be 4 KB. No specific ordering of records is required within the bucket—the entire bucket is searched for a valid record during the lookup operation, so that the record could be inserted at any point within the bucket. When displacing, according to the cuckoo hashing algorithm, an entry in the bucket can be displaced at random. The indexing algorithm thus writes logical buckets in what appear to be random locations, one at a time, that are eventually aggregated by the flash adaptation layer into larger physically contiguous (sequential) writes to the flash device.
FIG. 13 illustrates one example of a bucket entry 160. A 4 KB bucket size is based on the underlying device minimum write size, here a 4 KB page. The 4 KB bucket includes a 4 byte first field 161 that specifies the number of records in the bucket entry. A 4 byte tag field 162 specifies the logical bucket identifier. This identifier (tag) is a logical address, not a physical one. The translation table maps the algorithm bucket address (ABA) to a flash bucket address FBA. The cache operates as a virtual cache (in CPU terminology), with each cache line (entry) identified by a tag, an ABA in this case. As the algorithm requests records all it knows in going through the cache is that the ABA requested is cached; where it is mapped to (the FBA) is at the bottom end of the cache (e.g., see the reverse pointer 313 to the BTT, in FIG. 2C). The bucket includes field 163 for holding a plurality of records R0, R1, R2 . . . , each record being 32 bytes in size. In this example, a 4 KB bucket will hold: (4096−4−4)/32 records, i.e., approximately 127 records per bucket.
FIG. 14 is a schematic diagram of a flash memory device 164 illustrating the relative sizes of a bucket, page and erase block in one embodiment. The physical flash device is a chip (package) 165 that is 2 GB in size. On the chip, there are two die (silicon wafers) 166a, 166b. On each die, there may be 2^14 erase blocks, each erase block 167 typically being 64 KB. A page 168 is the minimum size that can be written, here 4 KB, and determines the size of the bucket 169, also 4 KB, as used higher up in the stack (see FIG. 9).
FIG. 15 illustrates select components according to one embodiment of a device management layer (209 in FIG. 9) for tracking and coordinating the resources on the physical flash device. FIG. 15A shows (at the top) a plurality of pages (buckets) 170, followed by a page allocation map 171 indicating which pages are valid (1 is valid, 0 is not valid). Below this is a pending trim map 172, of pages to be trimmed in the future, but not yet done so. The page allocation and pending trim maps can be used in various embodiments of the invention as previously described, for determining whether a bucket holds valid data (see the bucket valid table 27 illustrated in FIG. 1).
FIG. 15B illustrates one example of an erase block descriptor table 175, indexed by erase block index. Each erase block descriptor entry 176 includes a plurality of fields, including number erased 177, number of partial writes 178, number of partial reads 179, number of full reads 180, number of full writes 181, and number of errors 182. This information can be used in generating free erase blocks as previously described in various embodiments of the invention.
F. Further Embodiments
The present invention may be used to implement an index for a file system, such as that disclosed in copending and commonly owned U.S. Ser. No. 12/823,922, filed 25 Jun. 2010, entitled File System, by A. J. Beaverson and P. Bowden, filed on the same date as the present application and claiming priority to U.S. Provisional No. 61/269,633 filed 26 Jun. 2009. Priority is claimed herein to both applications and the complete disclosures of each are hereby incorporated by reference in their entirety.
Embodiments of the invention can be implemented in digital electronic circuitry, or in computer hardware, firmware, software, or in combinations thereof. Embodiments of the invention can be implemented as a computer program product, i.e., a computer program tangibly embodied in a computer-readable medium, e.g., in a machine readable storage device, for execution by, or to control the operation of, data processing apparatus, e.g., a programmable processor, a computer, or multiple computers. A computer program can be written in any form of programming language, including compiled or interpreted languages, and it can be deployed in any form, including as a standalone program or as a module, component, subroutine, or other unit suitable for use in a computing environment. A computer program can be deployed to be executed on one computer or on multiple computers at one site or distributed across multiple sites and interconnected by a communications network.
Method steps of embodiments of the invention can be performed by one or more programmable processors executing a computer program to perform functions of the invention by operating on input data and generating output. Method steps can also be performed by, and apparatus of the invention can be implemented as, special purpose logic circuitry, e.g., an FPGA (field programmable gate array) or an ASIC (application specific integrated circuit).
Processors suitable for the execution of a computer program include, by way of example, both general and special purpose microprocessors, and any one or more processors of any kind of digital computer. Generally, a processor will receive instructions and data from a read only memory or a random access memory or both. The essential elements of a computer are a processor for executing instructions and one or more memory devices for storing instructions and data. Generally, a computer will also include, or be operatively coupled to receive data from or transfer data to, or both, one or more mass storage devices for storing data, e.g., magnetic, magneto optical disks, or optical disks. Information carriers suitable for embodying computer program instructions and data include all forms of non volatile memory, including by way of example semiconductor memory devices, e.g., EPROM, EEPROM, and flash memory devices; magnetic disks, e.g., internal hard disks or removable disks; magneto optical disks; and CD ROM and DVD-ROM disks. The processor and the memory can be supplemented by, or incorporated in special purpose logic circuitry.
It is to be understood that the foregoing description is intended to illustrate and not to limit the scope of the invention.

## Claims

1. A method of performing indexing operations on index records stored in a non-uniform access memory using a uniform access indexing process, each index record having an associated index key and the index keys being uniformly distributed and unique, the method comprising:
inputting an index key into a lookup function to generate a logical bucket identifier by displacement hashing of the index key;
inputting the generated logical bucket identifier into a translation function to identify a physical bucket location in the non-uniform access memory for the associated index record, the translation function accessing a bucket translation table mapping logical bucket identifier and physical bucket location for each of the stored index records;
reading index records from one or more physical bucket locations in the memory;
collecting, in cache, index records associated with the read physical bucket locations;
sequentially writing the index records from cache into a new location in the memory; and
updating the bucket translation table with the physical bucket locations for the sequentially written index records.

2. The method of claim 1, including:
designating as free the physical locations in memory from which the index records were read.

3. The method of claim 1, including:
rendering a plurality of sequential physical bucket locations of the memory as a free block by reading any valid index records in the block to the cache and designating as free the physical locations of the memory from which such index records were read.

4. The method of claim 1, wherein
the displacement hashing generates a plurality of logical bucket identifiers for the index key and selects from among the plurality of generated logical bucket identifiers.

5. The method of claim 1, wherein:
the memory comprises one or more of flash, phase-change, and solid state disk memory devices.

6. The method of claim 1, wherein:
the memory is limited by one or more of random write access time, random read-modify-write access time, sequential write, alignment restrictions, erase time, erase block boundaries and wear.

7. The method of claim 1, wherein:
the physical bucket size is a function of a minimum write size of the memory.

8. The method of claim 1, wherein:
the size of the physical bucket is a page or partial page.

9. The method of claim 8, wherein:
the memory has an erase block comprising a plurality of pages.

10. The method of claim 1, including:
maintaining a bucket valid table for tracking which physical bucket locations of the memory are valid.

11. The method of claim 1, wherein:
a physical bucket location of the memory comprises a set of index records and a self-index into the bucket translation table.

12. The method of claim 11, wherein:
the index records of the bucket are not ordered.

13. The method of claim 1, wherein:
the bucket translation table is stored in persistent memory.

14. The method of claim 1, including:
tracking the number of free physical bucket locations in an erase block and implementing a process to generate a free erase block when a threshold of free physical bucket locations is met.

15. The method of claim 1, wherein:
the indexing process performs indexing operations based on requests that index records be inserted, deleted, looked up or modified.

16. The method of claim 1, wherein:
the indexing process presents logical bucket operations for reading and writing to physical bucket locations which store the index records.

17. The method of claim 1 wherein:
the size of the physical bucket is one kilobyte (1 KB).

18. A computer system for performing indexing operations on index records stored in a non-uniform access memory using a uniform access indexing process, the computer system comprising:
the non-uniform access memory containing an index of index records stored in physical bucket locations of the memory, each index record having an associated index key and the index keys being uniformly distributed and unique;
lookup function means for receiving an index key and generating a logical bucket identifier by displacement hashing of the index key;
a bucket translation table mapping logical bucket identifiers and physical bucket locations for each of the stored index records;
translation function means for receiving the generated logical bucket identifier and identifying a physical bucket location in the non-uniform access memory for the associated index record by accessing the bucket translation table mapping;
reading means for reading index records from one or more physical bucket locations in the memory;
a cache for collecting index records associated with the read physical bucket locations;
writing means for sequentially writing the index records from cache into a new location in the memory; and
updating means for updating the bucket translation table with the physical bucket locations for the sequentially written index records.

19. The system of claim 18, wherein:
the memory that stores the index comprises a physical device layer characterized by non-uniform read and write access and immutability with respect to size, alignment and timing.

20. The system of claim 18, wherein:
the memory that stores the index comprises one or more of flash, phase-change and solid state disk memory devices.

21. The system of claim 18, wherein:
the memory that stores the index comprises a flash memory device which includes a plurality of erase blocks, each erase block comprises a plurality of pages, and each page comprises a plurality of buckets.