# Patent

## Title
Index maintenance for operations involving indexed XML data

## Abstract

A method and system are provided for maintaining an XML index in response to piece-wise modifications on indexed XML documents. The database server that manages the XML index determines which nodes are involved in the piece-wise modifications, and updates the XML index based on only those nodes. Index entries for nodes not involved in the piece-wise modifications remain unchanged.

## Background
PRIORITY CLAIM
This application claims priority to U.S. Provisional Patent Application Ser. No. 60/560,927, entitled XML INDEX FOR XML DATA STORED IN VARIOUS STORAGE FORMATS, filed on Apr. 9, 2004, the contents of which are herein incorporated by reference in their entirety for all purposes.
This application claims priority to U.S. Provisional Patent Application No. 60/580,445 entitled XML INDEX FOR XML DATA STORED IN VARIOUS STORAGE FORMATS, filed on Jun. 16, 2004, the contents of which are herein incorporated by reference in their entirety for all purposes.
This application claims priority to U.S. Provisional Patent Application Ser. No. 60/582,706, entitled TECHNIQUES FOR PROCESSING XQUERY QUERIES IN A RELATIONAL DATABASE MANAGEMENT SYSTEM, filed on Jun. 23, 2004, the contents of which are herein incorporated by reference in their entirety for all purposes.
This application claims priohty to and is a continuation in part otis related to U.S. patent application Ser. No. 10/884,311, entitled INDEX FOR ACCESSING XML DATA, filed on Jul. 2, 2004, the contents of which are herein incorporated by reference in their entirety for all purposes.
This application is related to U.S. patent application Ser. No. 10/944,171, entitled MECHANISM FOR EFFICIENTLY EVALUATING OPERATOR TREES, filed on Sep. 16, 2004, the contents of which are herein incorporated by reference in their entirety for all purposes.
This application is related to U.S. patent application Ser. No. 10/944,170, entitled EFFICIENT QUERY PROCESSING OF XML DATA USING XML INDEX, filed on Sep. 16, 2004, the contents of which are herein incorporated by reference in their entirety for all purposes.
This application is related to U.S. Provisional Patent Application Ser. No. 60/599,319, entitled EFFICIENT EVALUATION OF QUERIES USING TRANSLATION, filed on Aug. 6. 2004, the contents of which are herein incorporated by reference in their entirety for all purposes.
This application is related to U.S. Provisional Patent Application Ser. No. 60/599,652, entitled PROCESSING QUERIES AGAINST ONE OR MORE MARKUP LANGUAGE SOURCES, filed on Aug. 5, 2004, the contents of which are herein incorporated by reference in their entirety for all purposes.


FIELD OF THE INVENTION
The present invention relates to managing information and, more specifically, to updating an XML index in response to operations that involve indexed XML documents.
BACKGROUND
In recent years, there are many database systems that allow storage and querying of eXtensible Markup Language data (“XML data”). Though there are many evolving standards for querying XML, all of them include some variation of XPath. However, database systems are usually not optimized to handle XPath queries, and the query performance of the database systems leaves much to be desired. In specific cases where an XML schema definition may be available, the structure and data types used in XML instance documents may be known. However, in cases where an XML schema definition is not available, and the documents to be searched do not conform to any schema, there are no efficient techniques for querying using XPath.
Ad-hoc mechanisms, like a full scan of all documents, or text keyword-based indexes, may be used to increase the performance of querying documents when no XML schema definition is available. However, any indexing mechanism used for this purpose has to be maintained in sync when changes occur to the original documents. Typically, such maintenance is performed by deleting all of the indexing information corresponding to all documents that are changed in an operation, and adding an entire new set of indexing information for the newly changed documents. Maintaining indexes in this manner tends to be inefficient and can slow performance.
Based on the foregoing, there is a clear need for a system and method for accessing XML documents efficiently, without incurring the problems associated with ad hoc indexing mechanisms when the XML documents are modified.
The approaches described in this section are approaches that could be pursued, but not necessarily approaches that have been previously conceived or pursued. Therefore, unless otherwise indicated, it should not be assumed that any of the approaches described in this section qualify as prior art merely by virtue of their inclusion in this section.



BRIEF DESCRIPTION OF THE DRAWINGS
The present invention is illustrated by way of example, and not by way of limitation, in the figure of the accompanying drawing and in which like reference numerals refer to similar elements and in which:
FIG. 1 is a block diagram of a system upon which the techniques described herein may be implemented.



DETAILED DESCRIPTION
In the following description, for the purposes of explanation, numerous specific details are set forth in order to provide a thorough understanding of the present invention. It will be apparent, however, that the present invention may be practiced without these specific details. In other instances, well-known structures and devices are shown in block diagram form in order to avoid unnecessarily obscuring the present invention.
XML Indexes
U.S. patent application Ser. No. 10/884,311, entitled INDEX FOR ACCESSING XML DATA, filed on Jul. 2, 2004, describes various embodiments of an index that may be used to efficiently access XML documents, managed by a relational database server, based on XPath queries. Such an index shall be referred to herein as an XML index.
An XML index provides a mechanism for indexing paths, values, and order information in XML documents. The actual XML data itself can reside in any form, like CLOB (character large object storing the actual XML text), O-R (object relational structured form in the presence of an XML schema), or BLOB (binary large object storing some binary form of the XML data). An XML index consists of three logical structures that include a path index, an order index, and a value index, and can reside in a single table, hereinafter path_table.
For the purpose of explanation, the techniques described herein are described in a context in which an XML index, as described in U.S. patent application Ser. No. 10/884,311, is used to index the XML documents. However, the techniques are not limited to any specific index structure or mechanism.
Example XML Documents
For the purpose of explanation, examples shall be given hereafter with reference to the following two XML documents:
po1.xml












<PurchaseOrder>









<Reference>SBELL-2002100912333601PDT</Reference>



<Actions>









<Action>









<User>SVOLLMAN</User>









</Action>









</Actions>







. . . 


</PurchaseOrder>









po2.xml












<PurchaseOrder>









<Reference>ABEL-20021127121040897PST</Reference>



<Actions>









<Action>









<User>ZLOTKEY</User>









</Action>



<Action>









<User>KING</User>









</Action>









</Actions>







. . .


</PurchaseOrder>









As indicated above, po1.xml and po2.xml are merely two examples of XML documents. The techniques described herein are not limited to XML documents having any particular types, structure or content. Examples shall be given hereafter of how such documents would be indexed and accessed according to various embodiments of the invention.
The XML Index
According to one embodiment, an XML index is a domain index that improves the performance of queries that include Xpath-based predicates and/or Xpath-based fragment extraction. An XML index can be built, for example, over both XML Schema-based as well as schema-less XMLType columns which are stored either as CLOB or structured storage. In one embodiment, an XML index is a logical index that results from the cooperative use of a path index, a value index, and an order index.
The path index provides the mechanism to lookup fragments based on simple (navigational) path expressions. The value index provides the lookup based on value equality or range. There could be multiple secondary value indexes—one per datatype. The order index associates hierarchical ordering information with indexed nodes. The order index is used to determine parent-child, ancestor-descendant and sibling relationships between XML nodes.
When the user submits a query involving XPaths (as predicate or fragment identifier), the user XPath is decomposed into a SQL query that accesses the XML index table. The generated query typically performs a set of path, value and order-constrained lookups and merges their results appropriately.
The Path Table
According to one embodiment, a logical XML index includes a PATH table, and a set of secondary indexes. As mentioned above, each indexed XML document may include many indexed nodes. The PATH table contains one row per indexed node. For each indexed node, the PATH table row for the node contains various pieces of information associated with the node.
According to one embodiment, the information contained in the PATH table includes (1) a PATHID that indicates the path to the node, (2) “location data” for locating the fragment data for the node within the base structures, and (3) “hierarchy data” that indicates the position of the node within the structural hierarchy of the XML document that contains the node. Optionally, the PATH table may also contain value information for those nodes that are associated with values. Each of these types of information shall be described in greater detail below.
Paths
The structure of an XML document establishes parent-child relationships between the nodes within the XML document. The “path” for a node in an XML document reflects the series of parent-child links, starting from a “root” node, to arrive at the particular node. For example, the path to the “User” node in po2.xml is /PurchaseOrder/Actions/Action/User, since the “User” node is a child of the “Action” node, the “Action” node is a child of the “Actions” node, and the “Actions” node is a child of the “PurchaseOrder” node.
The set of XML documents that an XML index indexes is referred to herein as the “indexed XML documents”. According to one embodiment, an XML index may be built on all of the paths within all of the indexed XML documents, or a subset of the paths within the indexed XML documents. Techniques for specifying which paths are index are described hereafter. The set of paths that are indexed by a particular XML index are referred to herein as the “indexed XML paths”.
Path IDs
According to one embodiment, each of the indexed XML paths is assigned a unique path ID. For example, the paths that exist in po1.xml and po2.xml may be assigned path IDs as illustrated in the following table:











PATH ID
PATH







1
/PurchaseOrder


2
/PurchaseOrder/Reference


3
/PurchaseOrder/Actions


4
/PurchaseOrder/Actions/Action


5
/PurchaseOrder/Actions/Action/User









Various techniques may be used to identify paths and assign path IDs to paths. For example, a user may explicitly enumerate paths, and specify corresponding path IDs for the paths thus identified. Alternatively, the database server may parse each XML document as the document is added to the set of indexed XML documents. During the parsing operation, the database server identifies any paths that have not already been assigned a path ID, and automatically assigns new path IDs to those paths. The pathid-to-path mapping may be stored within the database in a variety of ways. According to one embodiment, the pathid-to-path mapping is stored as metadata separate from the XML indexes themselves.
According to one embodiment, the same access structures are used for XML documents that conform to different schemas. Because the indexed XML documents may conform to different schemas, each XML document will typically only contain a subset of the paths to which pathids have been assigned.
Location Data
The location data associated with a node indicates where the XML document that contains the node resides within the base structures. Thus, the nature of the location data will vary from implementation to implementation based on the nature of the base structures. Depending on how the actual XML document is stored, the location data may also include a locator or logical pointer to point into the XML document. The logical pointer may be used for extracting fragments that are associated with nodes identified by XPaths.
For the purpose of explanation, it shall be assumed that (1) the base structures are tables within a relational database, and (2) each indexed XML document is stored a corresponding row of a base table. In such a context, the location data for a node may include, for example, (1) the rowid of row, within the base table, in which the XML document containing the node is stored, and (2) a locator that provides fast access within the XML document, to the fragment data, that corresponds to the node.
Hierarchy Data
The PATH table row for a node also includes information that indicates where the node resides within the hierarchical structure of the XML document containing the node. Such hierarchical information is referred to herein as the “OrderKey” of the node.
According to one embodiment, the hierarchical order information is represented using a Dewey-type value. Specifically, in one embodiment, the OrderKey of a node is created by appending a value to the OrderKey of the node's immediate parent, where the appended value indicates the position, among the children of the parent node, of that particular child node.
For example, assume that a particular node D is the child of a node C, which itself is a child of a node B that is a child of a node A. Assume further that node D has the OrderKey 1.2.4.3. The final “3” in the OrderKey indicates that the node D is the third child of its parent node C. Similarly, the 4 indicates that node C is the fourth child of node B. The 2 indicates that Node B is the second child of node A. The leading 1 indicates that node A is the root node (i.e. has no parent).
As mentioned above, the Orderkey of a child may be easily created by appending to the OrderKey of the parent a value that corresponds to the number of the child. Similarly, the OrderKey of the parent is easily derived from the OderKey of the child by removing the last number in the Orderkey of the child.
According to one embodiment, the composite numbers represented by each OrderKey are converted into byte-comparable values, so that a mathematical comparison between two OrderKeys indicates the relative position, within the structural hierarchy of an XML document, of the nodes to which the OrderKeys correspond.
For example, the node associated with the OrderKey 1.2.7.7 precedes the node associated with the OrderKey 1.3.1 in the hierarchical structure of an XML document. Thus, the database server uses a conversion mechanism that converts OrderKey 1.2.7.7 to a first value, and to convert OrderKey 1.3.1 to a second value, where the first value is less than the second value. By comparing the second value to the first value, the database server can easily determine that the node associated with the first value precedes the node associated with the second value. Various conversion techniques may be used to achieve this result, and the invention is not limited to any particular conversion technique.
Value Information 
Some nodes within an indexed document may be attribute nodes or nodes that correspond to simple elements. According to one embodiment, for attribute nodes and simple elements, the PATH table row also stores the actual value of the attributes and elements. Such values may be stored, for example, in a “value column” of the PATH table. The secondary “value indexes”, which shall be described in greater detail hereafter, are built on the value column.
Path Table Example
According to one embodiment, the PATH table includes columns defined as specified in the following table:












Column Name
Datatype
Description







PATHID
RAW(8)
ID for the path token. Each distinct path




e.g. /a/b/c is assigned a unique id by the




system.


RID
UROWID/
Rowid of the row in base table.



ROWID


ORDER_KEY
RAW(100)
Dewey order key for the node e.g. 3.21.5




to indicate 5th child of 21st child of 3rd




child of root.


LOCATOR
RAW(100)
Information corresponding to the starting




position for the fragment. This is used




during fragment extraction.


VALUE
RAW(2000)/
Value of the node in case of attributes and



BLOB
simple elements. The type can be specified




by the user (as well as the size of the




RAW column)









As explained above, the PATHID is a number assigned to the node, and uniquely represents a fully expanded path to the node. The ORDER_KEY is a system representation of the DEWEY ordering number associated with the node. According to one embodiment, the internal representation of the order key also preserves document ordering.
The VALUE column stores the effective text value for simple element (i.e. no element children) nodes and attribute nodes. According to one embodiment, adjacent text nodes are coalesced by concatenation. As shall be described in greater detail hereafter, a mechanism is provided to allow a user to customize the effective text value that gets stored in VALUE column by specifying options during index creation e.g. behavior of mixed text, whitespace, case-sensitive, etc can be customized. The user can store the VALUE column in any number of formats, including a bounded RAW column or a BLOB. If the user chooses bounded storage, then any overflow during index creation is flagged as an error.
The following table is an example of a PATH table that (1) has the columns described above, and (2) is populated with entries for po1.xml and po2.xml. Specifically, each row of the PATH table corresponds to an indexed node of either po1.xml or po2.xml. In this example, it is assumed that po1.xml and po2.xml are respectively stored at rows R1 and R2 of a base table.










POPULATED PATH TABLE












rowid
Pathid
Rid
OrderKey
Locator
Value





 1
1
R1
1




 2
2
R1
1.1

SBELL-







2002100912333601PDT


 3
3
R1
1.2


 4
4
R1
1.2.1


 5
5
R1
1.2.1.1

SVOLLMAN


 6
1
R2
1


 7
2
R2
1.1

ABEL-







20021127121040897PST


 8
3
R2
1.2


 9
4
R2
1.2.1


10
5
R2
1.2.1.1

ZLOTKEY


11
4
R2
1.2.2


12
5
R2
1.2.2.1

KING









In this example, the rowid column stores a unique identifier for each row of the PATH table. Depending on the database system in which the PATH table is created, the rowid column may be an implicit column. For example, the disk location of a row may be used as the unique identifier for the row. As shall be described in greater detail hereafter, the secondary Order and Value indexes use the rowid values of the PATH table to locate rows within the PATH table.
In the embodiment illustrated above, the PATHID, ORDERKEY and VALUE of a node are all contained in a single table. In alternative embodiment, separate tables may be used to map the PATHID, ORDERKEY and VALUE information to corresponding location data (e.g. the base table Rid and Locator).
Secondary Indexes
The PATH table includes the information required to locate the XML documents, or XML fragments, that satisfy a wide range of queries. However, without secondary access structures, using the PATH table to satisfy such queries will often require full scans of the PATH table. Therefore, according to one embodiment, a variety of secondary indexes are created by the database server to accelerate the queries that (1) perform path lookups and/or (2) identify order-based relationships. According to one embodiment, the following secondary indexes are created on the PATH table.

    
    
        PATHID_INDEX on (pathid, rid)
        ORDERKEY_INDEX on (rid, order_key)
        VALUE INDEXES
        PARENT_ORDERKEY_INDEX on (rid, SYS_DEWEY_PARENT(order_key))
    
    


PATHID_INDEX
The PATHID_INDEX is build on the pathid, rid columns of the PATH table. Thus, entries in the PATHID_INDEX are in the form (keyvalue, rowid), where keyvalue is a composite value representing a particular pathid/rid combination, and rowid identifies a particular row of the PATH table.
When (1) the base table row and (2) the pathid of a node are known, the PATHID_INDEX may be used to quickly locate the row, within the PATH table, for the node. For example, based on the key value “3.R1”, the PATHID_INDEX may be traversed to find the entry that is associated with the key value “3.R1”. Assuming that the PATH table is populated as illustrated above, the index entry would have a rowid value of 3. The rowid value of 3 points to the third row of the PATH table, which is the row for the node associated with the pathid 3 and the rid R1.
The ORDERKEY_INDEX
The ORDERKEY_INDEX is built on the rid and orderkey columns of the PATH table. Thus, entries in the ORDERKEY_INDEX are in the form (keyvalue, rowid), where keyvalue is a composite value representing a particular rid/orderkey combination, and rowid identifies a particular row of the PATH table.
When (1) the base table row and (2) the orderkey of a node are known, the ORDERKEY_INDEX may be used to quickly locate the row, within the PATH table, for the node. For example, based on the key value “R1.′1.2′”, the ORDERKEY_INDEX may be traversed to find the entry that is associated with the key value “R1.′1.2′”. Assuming that the PATH table is populated as illustrated above, the index entry would have a rowid value of 3. The rowid value of 3 points to the third row of the PATH table, which is the row for the node associated with the orderkey 1.2 and the rid R1.
The Value Indexes
Just as queries based on path lookups can be accelerated using the PATHID_INDEX, queries based on value lookups can be accelerated by indexes built on the value column of the PATH table. However, the value column of the PATH table can hold values for a variety of data types. Therefore, according to one embodiment, a separate value index is built for each data type stored in the value column. Thus, in an implementation in which the value column holds strings, numbers and timestamps, the following value (secondary) indexes are also created:

    
    
        STRING_INDEX on SYS_XMLVALUE_TO_STRING(value)
        NUMBER_INDEX on SYS_XMLVALUE_TO_NUMBER(value)
        TIMESTAMP_INDEX on SYS_XMLVALUE_TO_TIMESTAMP(value)
    
    


These value indexes are used to perform datatype based comparisons (equality and range). For example, the NUMBER value index is used to handle number-based comparisons within user Xpaths. Entries in the NUMBER_INDEX may, for example, be in the form (number, rowid), where the rowid points to a row, within the PATH table, for a node associated with the value of “number”. Similarly, entries within the STRING_INDEX may have the form (string, rowid), and entries within the TIMESTAMP_INDEX may have the form (timestamp, rowid).
The format of the values in the PATH table may not correspond to the native format of the data type. Therefore, when using the value indexes, the database server may call conversion functions to convert the value bytes from stored format to the specified datatype. In addition, the database server applies any necessary transformations, as shall be described hereafter. According to one embodiment, the conversion functions operate on both RAW and BLOB values and return NULL if the conversion is not possible.
By default, the value indexes are created when the XML index is created. However, users can suppress the creation of one or more of value indexes based on the knowledge of query workload. For example, if all XPath predicates involve string comparisons only, the NUMBER and TIMESTAMP value indexes can be avoided.
PARENT_ORDERKEY_INDEX
According to one embodiment, the set of secondary indexes built on the PATH table include a PARENT_ORDERKEY_INDEX. Similar to the ORDER_KEY index, the PARENT_ORDERKEY_INDEX is built on the rid and order_key columns of the PATH table. Consequently, the index entries of the PARENT_ORDERKEY_INDEX have the form (keyvalue, rowid), where keyvalue is a composite value that corresponds to a particular rid/order_key combination. However, unlike the ORDER_KEY index, the rowid in a PARENT_ORDERKEY_INDEX entry does not point to the PATH table row that has the particular rid/order_key combination. Rather, the rowid of each PARENT_ORDERKEY_INDEX entry points to the PATH table row of the node that is the immediate parent of the node associated with the rid/order_key combination.
For example, in the populated PATH table illustrated above, the rid/order_key combination “R1.′1.2′” corresponds to the node in row 3 of the PATH table. The immediate parent of the node in row 3 of the PATH table is the node represented by row 1 of the PATH table. Consequently, the PARENT_ORDERKEY_INDEX entry associated with the “R1.′1.2′” key value would have a rowid that points to row 1 of the PATH table.
Overview of XML Index Maintanence
As mentioned above, if a system allows changes to be made to XML documents, any indexes used to access the XML documents must be updated to reflect the changes made to the XML documents. In the following sections, techniques are described for incrementally modifying an index for XML documents in response to operations that involve the underlying XML documents.
Operations that make changes to base data, such as insert, update, delete, and merge operations, are generally referred to as Data Manipulation Language operations (DML operations). An XML index must be maintained in response to DML operations on the base XML documents that are indexed by the XML index.
According to one embodiment, the changes made to the XML index are completely transactional. In addition, the XML index is maintained incrementally. Specifically, only those index entries corresponding to parts of the XML document that are being modified are changed. Specifically, incremental maintenance of the XML index is performed when the XPath is known at query compilation time.
When the XML index is created on a CLOB based XMLType, the original XML document itself might not be able to support efficient piece-wise updates. However, according to one embodiment, the XML index will still be maintained in a piece-wise manner.
An embodiment will be described hereafter in which piece-wise changes are made to XML documents through an interface that implements the following routines: InsertXML( ), DeleteXML( ), InsertXMLBefore( ), and AppendChildXML( ). According to one embodiment, incremental index maintenance is performed in response to the piece-wise updates that are performed when such routines are invoked.
Updates to Existing XML Documents
A user can choose to insert, update, and delete XML nodes in XML documents. Such operations are referred to herein as piece-wise updates, since they affect only pieces of an XML document, rather than the document as a whole. These operations can be expressed by (1) identifying the node to be replaced with an XPath, and (2) providing the new value (if required). For example, a new node may be inserted into an existing XML document by invoking the InsertXML( ) routine as follows:















update BT set xmlcol = InsertXML( xmlcol,









‘/PurchaseOrder/Actions/Action’,



‘<Action>









<user> foo </user>









</Action’



)










Since the path to the node to be modified is specified by the user, the database server can make use of the path information to identify the specific index information that is affected by the piece-wise operation. Thus, using the specified path information, the database server is able to identify not only where within XML documents to insert the new information, but also (1) any specific entries within the XML index that are affected by the changes made by the operation, and (2) the content of any new entries that are to be added to the XML index.
Index Maintanance for Updates that Add Notes
When adding new nodes to existing XML documents, an XML fragment to be added can be parsed, and only the paths and values corresponding to these new values are inserted into the XML index. The index values for the rest of the document are not changed. This is facilitated by the fact that the order keys used by the XML index support the addition and deletion of new nodes in the middle of the path_table.
In the example InsertXML( ) call set forth above, the insertion of the new node within the XML document will necessitate the addition, to the path table, of a row for the new node. For the purpose of explanation, it shall be assumed that, prior to the addition of row for the new node, the path table contains the following entries:










POPULATED PATH TABLE












rowid
Pathid
Rid
OrderKey
Locator
Value





 1
1
R1
1




 2
2
R1
1.1

SBELL-







2002100912333601PDT


 3
3
R1
1.2


 4
4
R1
1.2.1


 5
5
R1
1.2.1.1

SVOLLMAN


 6
1
R2
1


 7
2
R2
1.1

ABEL-







20021127121040897PST


 8
3
R2
1.2


 9
4
R2
1.2.1


10
5
R2
1.2.1.1

ZLOTKEY


11
4
R2
1.2.2


12
5
R2
1.2.2.1

KING









The path table row for the newly inserted row must include, among other things, the pathid, orderkey, and value for the new node. In the present example, the path ‘/PurchaseOrder/Actions/Action’ has been specified in the call of the InsertXML routine. Thus, the database server must determine the appropriate path ID for ‘/PurchaseOrder/Actions/Action’. If no path ID currently exists, then one may be assigned. In the present example, the path ‘/PurchaseOrder/Actions/Action’ is already known to the database server, and has been assigned the path ID 4. Thus, the pathid value for the path table entry for the newly inserted row will contain the value 4.
The orderkey value for the path table entry for the new node may be determined in a variety of ways. According to one embodiment, the database server (1) determines the highest order key number previously assigned to any child of the new node's parent, and (2) assigns the new node the next available order key number.
In the present example, the order key for the parent of the new node is 1.2. The parent node already has one child, which has been assigned the order key 1.2.1. Thus, 1.2.1 is the highest order key previously assigned to any child of the new node's parent. Based on this information, the database server may assign the next child order key number (i.e. 1.2.2) to the new node. Using this technique, the new node becomes the last child of the new node's parent.
Alternatively, it may be desirable for the new node to be inserted between two existing nodes. Under these circumstances, the orderkey for the new node may be generated by dividing by 2 the sum of the orderkey values between which the new node is to be inserted. Thus, if the orderkey values of the two existing nodes are 1.2 and 1.3, the new node could be assigned the orderkey value 1.((2+3)/2)=1.(2.5). Similarly, if a new node is to be inserted between nodes with orderkeys 1.(2.5) and 1.3, the new node may be assigned the orderkey 1.(2.75).
According to one embodiment, the technique for determining the order key for a newly inserted row is based on the semantics of the piece-wise update routine that caused the addition of the node. For example, in one embodiment, the InsertXML( ) routine has semantics that dictate that all newly added rows are added as the last child of their respective parent node. Once the path id and order key value have been determined for the new node, the path table entry for the new node is inserted into the path table.
Index Maintanance for Updates that Modify Nodes
When changing existing nodes, only the value corresponding to the new node is changed in the XML index. This UpdateXML( ) operator takes an existing XML document and updates a node specified by an XPath. This operator can make changes for simple elements (i.e. elements that contain only a value, and not elements), attributes, and complex elements (i.e. elements that contain one or more elements, and not values). The index entries corresponding to the XPath are deleted and new entries corresponding to the updated value would be inserted. For example,















UPDATE PURCHASEORDER



 SET object_value =









updateXML(object_value,



‘/PurchaseOrder/Actions/Action[1]/User/text( )’, ‘SKING’)









WHERE









 existsNode(object_value, ‘/PurchaseOrder[Reference=“SBE



 LL-2002100912333601PDT”]’) = 1;










The entries corresponding to the updated node “/PurchaseOrder/Actions/Action[1]/User” would be deleted from path_table. A new entry would be added based on the new value ‘SKING’. If the new node is a complex element, the old index values are replaced with the parsed paths and values from the new fragment.

Index Maintanance for Updates that Delete Nodes
According to one embodiment, the piece-wise routine DeleteXML( ) may be called to delete specific nodes, without otherwise altering the XML documents in which those nodes reside. According to one embodiment, when deleting nodes, only the index entries for those nodes identified by the XPath specified in the call to the DeleteXML( ) routine will be removed from the XML index, leaving intact the index entries relating to the rest of the document.
Index Maintenance During Insertion or Deletion of XML Documents
When a new XML document is inserted in the base table, the XML index is automatically modified to add entries corresponding to the nodes, within the new XML document, that reside on indexed paths. In addition to new rows being added to the path_table of the XML index, the secondary value indexes are maintained as well. A delete operation on the base table translates to a deletion of the corresponding rows from the path_table and secondary value indexes.
Hardware Overview
FIG. 1 is a block diagram that illustrates a computer system 100 upon which an embodiment of the invention may be implemented. Computer system 100 includes a bus 102 or other communication mechanism for communicating information, and a processor 104 coupled with bus 102 for processing information. Computer system 100 also includes a main memory 106, such as a random access memory (RAM) or other dynamic storage device, coupled to bus 102 for storing information and instructions to be executed by processor 104. Main memory 106 also may be used for storing temporary variables or other intermediate information during execution of instructions to be executed by processor 104. Computer system 100 further includes a read only memory (ROM) 108 or other static storage device coupled to bus 102 for storing static information and instructions for processor 104. A storage device 110, such as a magnetic disk or optical disk, is provided and coupled to bus 102 for storing information and instructions.
Computer system 100 may be coupled via bus 102 to a display 112, such as a cathode ray tube (CRT), for displaying information to a computer user. An input device 114, including alphanumeric and other keys, is coupled to bus 102 for communicating information and command selections to processor 104. Another type of user input device is cursor control 116, such as a mouse, a trackball, or cursor direction keys for communicating direction information and command selections to processor 104 and for controlling cursor movement on display 112. This input device typically has two degrees of freedom in two axes, a first axis (e.g., x) and a second axis (e.g., y), that allows the device to specify positions in a plane.
The invention is related to the use of computer system 100 for implementing the techniques described herein. According to one embodiment of the invention, those techniques are performed by computer system 100 in response to processor 104 executing one or more sequences of one or more instructions contained in main memory 106. Such instructions may be read into main memory 106 from another machine-readable medium, such as storage device 110. Execution of the sequences of instructions contained in main memory 106 causes processor 104 to perform the process steps described herein. In alternative embodiments, hard-wired circuitry may be used in place of or in combination with software instructions to implement the invention. Thus, embodiments of the invention are not limited to any specific combination of hardware circuitry and software.
The term “machine-readable medium” as used herein refers to any medium that participates in providing data that causes a machine to operation in a specific fashion. In an embodiment implemented using computer system 100, various machine-readable media are involved, for example, in providing instructions to processor 104 for execution. Such a medium may take many forms, including but not limited to, non-volatile media, volatile media, and transmission media. Non-volatile media includes, for example, optical or magnetic disks, such as storage device 110. Volatile media includes dynamic memory, such as main memory 106. Transmission media includes coaxial cables, copper wire and fiber optics, including the wires that comprise bus 102. Transmission media can also take the form of acoustic or light waves, such as those generated during radio-wave and infra-red data communications.
Common forms of machine-readable media include, for example, a floppy disk, a flexible disk, hard disk, magnetic tape, or any other magnetic medium, a CD-ROM, any other optical medium, any other physical medium with patterns of holes, a RAM, a PROM, and EPROM, a FLASH-EPROM, any other memory chip or cartridge, a carrier wave as described hereinafter, or any other medium from which a computer can read.
Various forms of machine-readable media may be involved in carrying one or more sequences of one or more instructions to processor 104 for execution. For example, the instructions may initially be carried on a magnetic disk of a remote computer. The remote computer can load the instructions into its dynamic memory and send the instructions over a telephone line using a modem. A modem local to computer system 100 can receive the data on the telephone line and use an infra-red transmitter to convert the data to an infra-red signal. An infra-red detector can receive the data carried in the infra-red signal and appropriate circuitry can place the data on bus 102. Bus 102 carries the data to main memory 106, from which processor 104 retrieves and executes the instructions. The instructions received by main memory 106 may optionally be stored on storage device 110 either before or after execution by processor 104.
Computer system 100 also includes a communication interface 118 coupled to bus 102. Communication interface 118 provides a two-way data communication coupling to a network link 120 that is connected to a local network 122. For example, communication interface 118 may be an integrated services digital network (ISDN) card or a modem to provide a data communication connection to a corresponding type of telephone line. As another example, communication interface 118 may be a local area network (LAN) card to provide a data communication connection to a compatible LAN. Wireless links may also be implemented. In any such implementation, communication interface 118 sends and receives electrical, electromagnetic or optical signals that carry digital data streams representing various types of information.
Network link 120 typically provides data communication through one or more networks to other data devices. For example, network link 120 may provide a connection through local network 122 to a host computer 124 or to data equipment operated by an Internet Service Provider (ISP) 126. ISP 126 in turn provides data communication services through the world wide packet data communication network now commonly referred to as the “Internet” 128. Local network 122 and Internet 128 both use electrical, electromagnetic or optical signals that carry digital data streams. The signals through the various networks and the signals on network link 120 and through communication interface 118, which carry the digital data to and from computer system 100, are exemplary forms of carrier waves transporting the information.
Computer system 100 can send messages and receive data, including program code, through the network(s), network link 120 and communication interface 118. In the Internet example, a server 130 might transmit a requested code for an application program through Internet 128, ISP 126, local network 122 and communication interface 118.
The received code may be executed by processor 104 as it is received, and/or stored in storage device 110, or other non-volatile storage for later execution. In this manner, computer system 100 may obtain application code in the form of a carrier wave.
In the foregoing specification, embodiments of the invention have been described with reference to numerous specific details that may vary from implementation to implementation. Thus, the sole and exclusive indicator of what is the invention, and is intended by the applicants to be the invention, is the set of claims that issue from this application, in the specific form in which such claims issue, including any subsequent correction. Any definitions expressly set forth herein for terms contained in such claims shall govern the meaning of such terms as used in the claims. Hence, no limitation, element, property, feature, advantage or attribute that is not expressly recited in a claim should limit the scope of such claim in any way. The specification and drawings are, accordingly, to be regarded in an illustrative rather than a restrictive sense.

## Claims

1. A method for maintaining an index for Extensible Markup Language (XML) documents, the method comprising the steps of:
updating an XML document in response to a request to perform a piece-wise operation involving one or more nodes of the XML document, wherein the XML document is one of a plurality of XML documents indexed by said index, wherein a piece-wise operation is an operation that specifies a strict subset of the XML document and that only modifies the strict subset of the XML document; and
in response to updating the XML document, modifying the index to reflect changes, made to the XML document, that were specified by the piece-wise operation, without altering entries of the index for any nodes other than the one or more nodes involved in the piece-wise operation;
wherein, prior to updating the XML document, the index includes one or more index entries for nodes of the XML document that are not involved in the piece-wise operation;
wherein the one or more index entries for the nodes of the XML document that are not involved in the piece-wise operation are not modified in response to updating the XML document;
wherein modifying the index involves storing changes to a computer-readable storage medium;
wherein:
the piece-wise operation adds a new node to an XML document;
the step of modifying the index includes adding to the index an index entry for the new node; and
the step of adding an index entry includes:
determining an order key value for the new node; and
adding to the index an index entry that contains the order key value.

2. The method of claim 1 wherein the step of determining an order key value for the new node includes:
determining a parent node of the new node;
determining a highest order key value of existing children of the parent node; and
determining an order key value for the new node based on the highest order key value of existing children of the parent node.

3. The method of claim 1 wherein the step of determining an order key value for the new node includes:
determining two nodes between which the new node is to reside; and
determining an order key value for the new node based on order key values of the two nodes between which the new node is to reside.

4. The method of claim 3 wherein the step of determining an order key value for the new node based on the order key values of the two nodes between which the new node is to reside includes assigning to the new node an order key value that averages the order keys of the two nodes between which the new node is to reside.

5. The method of claim 1 wherein:
the piece-wise operation deletes a node from the XML document; and
the step of modifying the index includes deleting an index entry that corresponds to the node.

6. The method of claim 1 wherein:
the piece-wise operation modifies a node that currently exists in the XML document; and
the step of modifying the index includes modifying an index entry that corresponds to the node.

7. The method of claim 1 wherein:
a plurality of routines are provided which, when invoked, result in a piece-wise addition of a node; and
the order key value for the new node is determined based on which of the plurality of routines was invoked to cause the piece-wise addition of the new node.

8. The method of claim 1, wherein updating the XML document includes performing the piece-wise operation in a piece-wise manner.

9. The method of claim 1, wherein updating the XML document does not include performing the piece-wise operation in a piece-wise manner.

10. A computer-readable storage medium carrying one or more sequences of instructions which, when executed by one or more processors, causes the one or more processors to perform the method of:
updating an Extensible Markup Language (XML) document in response to a request to preform a piece-wise operation involving one or more nodes of the XML document, wherein the XML document is one of a plurality of XML documents indexed by said index, wherein a piece-wise operation is an operation that specifies a strict subset of the XML document and that only modifies the strict subset of the XML document; and
in response to updating the XML document, modifying the index to reflect changes, made to the XML document, that were specified by the piece-wise operation, without altering entries of the index for any nodes other than the one or more nodes involved in the piece-wise operation;
wherein, prior to updating the XML document, the index includes one or more index entries for nodes of the XML document that are not involved in the piece-wise operation;
wherein the one or more index entries for the nodes of the XML document that are not involved in the piece-wise operation are not modified in response to updating the XML document;
wherein modifying the index involves storing changes to the computer-readable storage medium;
wherein:
the piece-wise operation adds a new node to an XML document;
the step of modifying the index includes adding to the index an index entry for the new node; and
the step of adding an index entry includes:
determining an order key value for the new node; and
adding to the index an index entry that contains the order key value.

11. The computer-readable storage medium as recited in claim 10, wherein the step of determining an order key value for the new node includes:
determining a parent node of the new node;
determining a highest order key value of existing children of the parent node; and
determining an order key value for the new node based on the highest order key value of existing children of the parent node.

12. The computer-readable storage medium as recited in claim 10, wherein the step of determining an order key value for the new node includes:
determining two nodes between which the new node is to reside; and
determining an order key value for the new node based on order key values of the two nodes between which the new node is to reside.

13. The computer-readable storage medium as recited in claim 12 wherein the step of determining an order key value for the new node based on the order key values of the two nodes between which the new node is to reside includes assigning to the new node an order key value that averages the order keys of the two nodes between which the new node is to reside.

14. The computer-readable storage medium as recited in claim 10 wherein:
the piece-wise operation deletes a node from the XML document; and
the step of modifying the index includes deleting an index entry that corresponds to the node.

15. The computer-readable storage medium as recited in claim 10 wherein:
the piece-wise operation modifies a node that currently exists in the XML document; and
the step of modifying the index includes modifying an index entry that corresponds to the node.

16. The computer-readable storage medium as recited in claim 10 wherein:
a plurality of routines are provided which, when invoked, result in a piece-wise addition of a node; and
the order key value for the new node is determined based on which of the plurality of routines was invoked to cause the piece-wise addition of the new node.

17. The computer-readable storage medium as recited in claim 10 wherein updating the XML document includes performing the piece-wise operation in a piece-wise manner.

18. The computer-readable storage medium as recited in claim 10 wherein updating the XML document does not include performing the piece-wise operation in a piece-wise manner.