Preface

There used to be a time when what is known today as “Information Technology” or IT was less glamorously known as “Electronic Data Processing.” And the truth is that for all the buzz about trendy techniques, the processing of data is still at the core of our systems—and all the more as the volume of data under management seems to be increasing even faster than the speed of processors. The most vital corporate data is today stored in databases and accessed through the imperfect, but widely known, SQL language—a combination that had begun to gain acceptance in the pinstriped circles at the beginning of the 1980s and has since wiped out the competition.

You can hardly interview a young developer today who doesn’t claim a good working knowledge of SQL, the lingua franca of database access, a standard part of any basic IT course. This claim is usually reasonably true, if you define knowledge as the ability to obtain, after some effort, functionally correct results. However, enterprises all over the world are today confronted with exploding volumes of data. As a result, “functionally correct” results are no longer enough: they also have to be fast. Database performance has become a major headache in many companies. Interestingly, although everyone agrees that the source of performance issues lies in the code, it seems accepted everywhere that the first concern of developers should be to provide code that works—which seems to be a reasonable expectation. The thought seems to be that the database access part of their code should be as simple as possible, for maintenance reasons, and that “bad SQL” should be given to senior database administrators (DBAs) to tweak and make run faster, with the help of a few magic database parameters. And if such tweaking isn’t enough, then it seems that upgrading the hardware is the proper course to take.

It is quite often that what appears to be the common-sense and safe approach ends up being extremely harmful. Writing inefficient code and relying on experts for tuning the “bad SQL” is actually sweeping the dirt under the carpet. In my view, the first ones to be concerned with performance should be developers, and I see SQL issues as something encompassing much more than the proper writing of a few queries. Performance seen from a developer’s perspective is something profoundly different from “tuning,” as practiced by DBAs. A database administrator tries to get the most out of a system—a given hardware, processors and storage subsystem, or a given version of the database. A database administrator may have some SQL skills and be able to tune an especially poorly performing statement. But developers are writing code that may well run for 5 to 10 years, surviving several major releases (Internet-enabled, ready-for-the-grid, you name it) of the Database Management System (DBMS) it was written for—and on several generations of hardware. Your code must be fast and sound from the start. It is a sorry assessment to make but if many developers “know” SQL, very few have a sound understanding of this language and of the relational theory.

Why Another SQL Book?

There are three main types of SQL books: books that teach the logic and the syntax of a particular SQL dialect, books that teach advanced techniques and take a problem-solving approach, and performance and tuning books that target experts and senior DBAs. On one hand, books show how to write SQL code. On the other hand, they show how to diagnose and fix SQL code that has been badly written. I have tried, in this book, to teach people who are no longer novices how to write good SQL code from the start and, most importantly, to have a view of SQL code that goes beyond individual SQL statements.

Teaching how to use a language is difficult enough; but how can one teach how to efficiently use a language? SQL is a language that can look deceivingly simple once you have been initiated. And yet it allows for an almost infinite number of cases and combinations. The first comparison that occurred to me was the game of chess, but it suddenly dawned on me that chess was invented to teach war. I have a natural tendency to consider every new performance challenge as a battle to be fought against an army of rows, and I realized that the problem of teaching developers how to use databases efficiently was similar to the problem of teaching officers how to conduct a war. You need knowledge, you need skills, and you need talent. Talent cannot be taught, but it can be nurtured. This is what most strategists, from Sun Tzu, who wrote his Art of War 25 centuries ago, to modern-day generals, have believed—so they tried to pass on the experience acquired on the field through simple maxims and rules that they hoped would serve as guiding stars among the sound and fury of battles. I have tried to apply this method to more peaceful aims, and I have mostly followed the same plan as Sun Tzu—and I’ve borrowed his title. Many respected IT specialists claim the status of scientists; “Art” seems to me more appropriate than “Science” when it comes to defining an activity that requires flair, experience, and creativity, as much as rigor and understanding.[*] It is quite likely that my fondness for Art will be frowned upon by some partisans of Science, who claim that for each SQL problem, there is one optimal solution, which can be attained by rigorous analysis and a good knowledge of data. However, I don’t see the two positions at odds. Rigor and a scientific approach will help you out of one problem at one given moment. In SQL development, if you don’t have the uncertainties linked to the next move of the adversary, the big uncertainties lie in future evolutions. What if, rather unexpectedly, the volume of this or that table increases? What if, following a merger, the number of users doubles? What if we want to keep several years of data online? How will a program behave on hardware totally different from what we have now? Some architectural choices are gambles on the future. You will certainly need rigor and a very sound theoretical knowledge—but those qualities are prerequisites of any art. Ferdinand Foch, the future Supreme Commander of the Allied armies of WWI, remarked at a lecture at the French Ecole Supérieure de Guerre in 1900 that:

The art of war, like all other arts, has its theory, its principles—otherwise, it wouldn’t be an art.

This book is not a cookbook, listing problems and giving “recipes.” The aim is much more to help developers—and their managers—to raise good questions. You may well still write awful, costly queries after having read and digested this book. One sometimes has to. But, hopefully, it will be knowingly and with good reason.

Audience

This book is targeted at:

  • Developers with significant (one year or, preferably, more) experience of development with an SQL database

  • Their managers

  • Software architects who design programs with significant database components

Although I hope that some DBAs, and particularly those that support development databases, will enjoy reading this book, I am sorry to tell them I had somebody else in mind while writing.

Assumptions This Book Makes

I assume in this book that you have already mastered the SQL language. By mastering I don’t mean that you took SQL 101 at the university and got an A+, nor, at the other end of the spectrum, that you are an internationally acknowledged SQL guru. I mean that you have already developed database applications using the SQL language, that you have had to think about indexing, and that you don’t consider a 5,000-row table to be a big table. It is not the purpose of this book to tell you what a “join” is—not even an outer one—nor what indexes are meant to be used for. Although you don’t need to feel totally comfortable with arcane SQL constructs, if, when given a set of tables and a question to answer, you are unable to come up with a functionally correct piece of code, there are probably a couple of books you had better read before this one. I also assume that you are at least familiar with one computer language and with the principles of computer programming. I assume that you have already been down in the trenches and that you have already heard users complain about slow and poorly performing systems.

Contents of This Book

I found the parallel between war and SQL so strong that I mostly followed Sun Tzu’s outline—and kept most of his titles.[*] This book is divided into twelve chapters, each containing a number of principles or maxims. I have tried to explain and illustrate these principles through examples, preferably from real-life cases.

Chapter 1, Laying Plans

Examines how to design databases for performance

Chapter 2, Waging War

Explains how programs must be designed to access databases efficiently

Chapter 3, Tactical Dispositions

Tells why and how to index

Chapter 4, Maneuvering

Explains how to envision SQL statements

Chapter 5, Terrain

Shows how physical implementation impacts performance

Chapter 6, The Nine Situations

Covers classic SQL patterns and how to approach them

Chapter 7, Variations in Tactics

Explains how to deal with hierarchical data

Chapter 8, Weaknesses and Strengths

Provides indications about how to recognize and handle some difficult cases

Chapter 9, Multiple Fronts

Describes how to face concurrency

Chapter 10, Assembly of Forces

Addresses how to cope with large volumes of data

Chapter 11, Stratagems

Offers a few tricks that will help you survive rotten database designs

Chapter 12, Employment of Spies

Concludes the book by explaining how to define and monitor performance

Conventions Used in This Book

The following typographical conventions are used in this book:

Italic

Indicates emphasis and new terms, as well as book titles.

Constant width

Indicates SQL and, generally speaking, programming languages’ keywords; table, index and column names; functions; code; or the output from commands.

Constant width bold

Shows commands or other text that should be typed literally by the user. This style is used only in code examples that mix both input and output.

Constant width italic

Shows text that should be replaced with user-supplied values.

Important

This icon signifies a maxim and summarizes an important principle in SQL.

Note

This is a tip, suggestion, or general note. It contains useful supplementary information about the topic at hand.

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Acknowledgments

Writing a book in a language that is neither your native language nor the language of the country where you live requires an optimism that (in retrospect) borders on insanity. Fortunately, Peter Robson, whom I had met at several conferences as a fellow speaker, brought to this book not only his knowledge of the SQL language and database design issues, but an unabated enthusiasm for mercilessly chopping my long sentences, placing adverbs where they belong, or suggesting an alternative to replace a word that was last heard in Merry England under the Plantagenets.[*]

Being edited by Jonathan Gennick, the best-selling author of the O’Reilly SQL Pocket Guide and several other noted books, was a slightly scary honor. I discovered in Jonathan an editor extremely respectful of authors. His professionalism, attention to detail, and challenging views made this book a much better book than Peter and I would have written on our own. Jonathan also contributed to give a more mid-Atlantic flavor to this book (as Peter and I discovered, setting the spelling checker to “English (US)” is a prerequisite, but not quite enough).

I would like to express my gratitude to the various people, from three continents, who took the time to read parts or the whole of the drafts of this book and to give me frank opinions: Philippe Bertolino, Rachel Carmichael, Sunil CS, Larry Elkins, Tim Gorman, Jean-Paul Martin, Sanjay Mishra, Anthony Molinaro, and Tiong Soo Hua. I feel a particular debt towards Larry, because the concept of this book probably finds its origin in some of our email discussions.

I would also like to thank the numerous people at O’Reilly who made this book a reality. These include Marcia Friedman, Rob Romano, Jamie Peppard, Mike Kohnke, Ron Bilodeau, Jessamyn Read, and Andrew Savikas. Thanks, too, to Nancy Reinhardt for her most excellent copyedit of the manuscript.

Special thanks to Yann-Arzel Durelle-Marc for kindly providing a suitable scan of the picture used to illustrate Chapter 12. Thanks too, to Paul McWhorter for permission to use his battle map as the basis for the Chapter 6 figure.

Finally, I would like to thank Roger Manser and the staff at Steel Business Briefing for supplying Peter and me with an office and much-needed coffee for work sessions in London, halfway between our respective bases, and Qian Lena (Ashley) for providing me with the Chinese text of the Sun Tzu quote at the beginning of this book.



[*] One of my favorite computer books happens to be D.E. Knuth’s classic Art of Computer Programming (Addison Wesley).

[*] A few titles were borrowed from Clausewitz’s On War.

[*] For readers unfamiliar with British history, the Plantagenet dynasty ruled England between 1154 and 1485.

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