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Introduction to
Database Management Systems
(DBMS)
Database Management
System (DBMS)
Definitions:
4
DBMS (Contd.)
Goals of a Database Management System:
To provide an efficient as well as convenient environment for
accessing data in a database
Enforce information security: database security, concurrence
control, crash recovery
It is a general purpose facility for:
Defining database
Constructing database
Manipulating database
5
Benefits of database approach
Redundancy can be reduced
Inconsistency can be avoided
Data can be shared
Standards can be enforced
Security restrictions can be applied
Integrity can be maintained
Data independence can be provided
6
DBMS Functions
Data Definition
Data Manipulation
Data Security and Integrity
Data Recovery and Concurrency
Data Dictionary
Performance
7
Database System
Users
8
Database System
Compiled query
Q2 Database
Database manager description
File manager
Physical
database
9
Data Model
A set of concepts used to describe the structure of
a database
By structure, we mean the data types,
relationships, and constraints that should holds for
the data Categories of Data Models
10
Database Architecture
External level
(individual user
views)
Conceptual level
(community user view)
Internal level
(storage view)
Database
11
An example of the three levels
SNo FName LName Age Salary BranchNo
Conceptual View
struct STAFF { Internal
int staffNo;
int branchNo;
View
SNo FName LName Age Salary char fName[15];
char lName[15];
struct date dateOfBirth;
External View1 float salary;
struct STAFF *next;
/* pointer to next Staff record
*/
SNo LName BranchNo };
index staffNo; index branchNo;
External View2 /* define indexes for staff */
12
Schema
Schema: Description of data in terms of a data
model
Three-level DB Architecture defines following
schemas:
External Schema (or sub-schema)
Written using external DDL
Conceptual Schema (or schema)
Written using conceptual DDL
Internal Schema
Written using internal DDL or storage structure definition
13
Data Independence
Change the schema at one level of a database system
without a need to change the schema at the next
higher level
Logical data independence: Refers to the immunity of the
external schemas to changes in the conceptual schema
e.g., add new record or field
Physical data independence: Refers to the immunity of the
conceptual schema to changes in the internal schema e.g.,
adding new index should not void existing ones
14
TYPES OF DATABASE MODELS
HIERARCHICAL
NETWORK
COLUMN
TABLE
ROW VALUE
RELATIONAL
15
DATABASE DESIGN PHASES
DATA ANALYSIS
Entities - Attributes - Relationships - Integrity Rules
LOGICAL DESIGN
Tables - Columns - Primary Keys - Foreign Keys
PHYSICAL DESIGN
DDL for Tablespaces, Tables, Indexes
16
Introduction to
Relational Databases:
RDBMS
Definition : RDBMS
It is a system in which, at a minimum :
The data is perceived by the user as tables ( and
nothing but tables ); and
The operators at the user’s disposal - e.g., for data
retrieval - are operators that generate new tables
from old, and those include at least SELECT,
PROJECT, and JOIN.
18
Features of an RDBMS
19
Some Important Terms
Relation : a table
Tuple : a row in a table
Attribute : a Column in a table
Degree : number of attributes
Cardinality : number of tuples
Primary Key : a unique identifier for the table
Domain : a pool of values from which specific attributes of
specific relations draw their values
20
Properties of Relations (Tables)
21
Keys
Key
Super Key
Candidate Keys
Primary Key
Alternate Key
Secondary Keys
22
Keys and Referential Integrity
Enrolled Student
Primary key
Foreign key referring to
sid of STUDENT relation
23
24
Relational Algebra
Relational Query Languages
Query languages: Allow manipulation and
retrieval of data from a database.
Relational model supports simple, powerful
QLs:
Strong formal foundation based on logic.
26
Example Instances
sid bid day
R1 22 101 10/10/99
58 103 11/12/99
S1 22 Deepa 7 45.0
31 Laxmi 8 55.5
58 Roopa 10 35.0
27
Relational Algebra
Basic operations:
Selection ( )
Projection ()
Cross- product ( )
Set- difference ( –)
Union ( )
28
Projection
sname rating
Yamuna 9 sname, rating(S2)
Laxmi 8
Geeta 5
Roopa 10
age
35.0
55.5 age(S2)
29
Selection
sname rating
Yamuna 9
Roopa 10 sname, rating(S2) (rating > 8(S2))
30
Union, Intersection, Set
Difference
sid sname rating age
22 Deepa 7 45.0 S1 S2
31 Laxmi 8 55.5
58 Roopa 10 35.0
44 Geeta 5 35.0
28 Yamuna 9 35.0
31
Cross- Product
(sid) sname rating age (sid) bid day
22 Deepa 7 45.0 22 101 10/10/99
22 Deepa 7 45.0 58 103 11/12/99
31 Laxmi 8 55.5 22 101 10/10/99
31 Laxmi 8 55.5 58 103 11/12/99
58 Roopa 10 35.0 22 101 10/10/99
58 Roopa 10 35.0 58 103 11/12/99
32
Joins
Condition Join :
33
Equi-Join
34
Division
•Not supported as a primitive operator, but useful for
expressing queries like:
•Find sailors who have reserved all boats .
sno pno
pno
s1 p1 pno pno
A s1 p2 p2 p1
p2
s1 p3 p4 p2
B1
s1 p4 B2 p4
s2 p1 sno
s2 p2 s1 B3
sno
s3 p2 s2
s1 sno
s3
s4 p2
s4 s4 s1
s4 p4
A/B1 A/B2 A/B3
35
36
Introduction to Query
Optimization
Processing A High-level
Query
Query in a high level language
QUERY OPTIMIZER
Typical steps
Execution plan when processing
a high level
QUERY CODE GENERATOR
query.
Code to execute the query
Result of query
38
Two Main Techniques for Query
Optimization
Heuristic Rules: A heuristic is a rule that works well in most of cases,
but not always. General Idea:
Many different relational algebra expressions (and thus query trees) are
equivalent.
Transform the initial query tree of a query into an equivalent final query tree
that is efficient to execute.
Cost based query optimization
Estimate the cost for each execution plan, and choose the one with the lowest
cost.
Can we get the best execution plan?
39
Motivating Example
select *
from R1, R2, R3
where R1.r2no=R2.r2no NLJ
and R2.r3no=R3.r3no
and R1.a=5000
NLJ SS(R1, “a=5000”)
SS(R2) SS(R3)
40
Alternative Plans 1(No Indexes)
select *
from R1, R2, R3
where R1.r2no=R2.r2no NLJ
and R2.r3no=R3.r3no
and R1.a=5000
NLJ SS(R3)
41
Alternative Plans 2 (With
Indexes)
select *
from R1, R2, R3
where R1.r2no=R2.r2no NLJ
and R2.r3no=R3.r3no
and R1.a=5000
NLJ SS(R3)
42
43
Conceptual Design
Using the
Entity- Relationship
Model
Overview of Database Design
Conceptual design : (ER Model is used at this
stage.)
45
E R Modeling
Conceptual Schema Design
Relational Calculus
- Formal Language for Relational D/B.
Relational Calculus
Physical Design
Internal Storage Structures / Access Path / File Organizations
47
E-R Modeling
Entity
is anything that exists and is distinguishable
Entity Set
a group of similar entities
Attribute
properties that describe an entity
Relationship
an association between entities
48
Notations
ENTITY TYPE ( REGULAR )
RELATIONSHIP TYPE
49
Entity
Attributes
SSN NAME LOT
ssn name lot
123- 22- 3666 Attishoo 48
231- 31- 5368 Smiley 22
Employee 131- 24- 3650 Smethurst 35
Entity Set
CREATE TABLE Employees
(ssn CHAR (11),
name CHAR (20),
lot INTEGER,
PRIMARY KEY (ssn))
50
Types of Relationships
1 1
1:1 student Is issued ID card
51
ER Model
Reports_To
52
ER Model (Contd.)
Works_ In
53
Key Constraints
Employee Department
Manages
54
Key Constraints for Ternary Relationships
Location
address capacity
55
Participation Constraints
Works_in
since
56
Weak Entities
Employee Dependent
policy
57
ISA (‘is a’) Hierarchies
Employee
Hrly_wages
Hrs_worked IsA
contractid
Hourly_Emp Contract_Emp
58
Aggregation
Employee
monitors until
59
Entity vs. Attribute
Employee Department
Works_in
60
Entity vs. Attribute (Contd.)
Employee Department
Works_in
from Duration to
61
Entity vs. Relationship
Employee Department
manages
DB - Dbudget
62
Entity vs. Relationship
Employee Department
manages
since
Appt num Mgr_appt
DBudget
63
Binary vs. Ternary Relationships
Employee Dependent
covers
Policy
policyid cost
64
Binary vs. Ternary Relationships
Better Design
ssn name lot pname
age
Employee Dependent
purchaser Beneficiary
Policy
policyid cost
65
Constraints Beyond the ER Model
• Functional dependencies
• Inclusion dependencies
• General constraints
66
E-R Diagram
DEPARTMENT
1
SUPPLIER
DEPT_
M
EMP
PROJ_ M
M M
M WORK M SUPP_
EMPLOYEE PROJECT PART_
M PROJ
1 1 PROJ_ SUPP_
MGR M PART
EMP_
DEP PART M
M M M
DEPENDENT
PART_
STRUC
TURE
67
Example to Start with ….
An Example Database Application called
COMPANY which serves to illustrate the ER
Model concepts and their schema design.
68
Analysis…
Company :
Organized into Departments, Each Department
has a name, no and manager who manages the
department. The Company keeps track of the
date that employee managing the department.
A Department may have a Several locations.
69
Analysis…
Department :
A Department controls a number of Projects each of
which has a unique name , no and a single Location.
Employee :
Name, Age, Gender, BirthDate, SSN, Address,
Salary. An Employee is assigned to one department,
may work on several projects which are not
controlled by the department. Track of the number of
hours per week is also controlled.
70
Analysis….
Keep track of the dependents of each
employee for insurance policies : We keep
each dependant first name, gender, Date of
birth and relationship to the employee.
71
Now to our Company…
DEPARTMENT
( Name , Number , { Locations } , Manager, Start Date )
PROJECT
( Name, Number, Location , Controlling Department )
EMPLOYEE
(Name (Fname, Lname) , SSN , Gender, Address, Salary
Birthdate, Department , Supervisor , (Workson ( Project , Hrs))
DEPENDENT
( Employee, Name, Gender, Birthdate , Relationship )
72
Example …
Manage:
Department and Employee
Partial Participation
Relation Attribute : StartDate.
Works For:
Department and Employee
Total Participation
73
Example…
Control :
Department , Project
Partial Participation from Department
Supervisor :
Employee, Employee
Partial and Recursive
74
Example …
Works – On :
Project , Employee
Total Participation
Dependants of:
Employee , Dependant
Dependant is a Weaker
75
One Possible mapping of the Problem
Statement Name No Loc
Lname
Fname Sal Work
s For Department
Sex
SSN
Name
Sdate
Address Control
Employee s
Bdate manage
s
Hours
Project
Work
Supe sOn
rvise
s Name No Loc
Depend On
Dependent Relationship
Normal Forms:
First Normal Form (1NF)
Second Normal Form (2NF)
Third Normal Form (3NF)
*Higher Normal Forms (BCNF, 4NF, 5NF ....)
82
Why Normal Forms
The first question to ask is whether any
refinement is needed!
If a relation is in a certain normal form
(BCNF, 3NF etc.), it is known that certain
kinds of problems are avoided/ minimized.
This can be used to help us decide whether
decomposing the relation will help.
83
The Evils of Redundancy
Redundancy is at the root of several problems
associated with relational schemas
More seriously, data redundancy causes
several anomalies: insert, update, delete
Wastage of storage.
Main refinement technique: decomposition
(replacing ABCD with, say, AB and BCD, or
ACD and ABD).
84
Refining an ER Diagram - Before
85
Refining an ER Diagram - After
86
First Normal Form
A table is in 1NF, if every row contains exactly one value for
each attribute.
Disallow multivalued attributes, composite attributes and their
combinations.
1NF states that :
domains of attributes must include only atomic (simple, indivisible)
values and that value of any attribute in a tuple must be a single value
from the domain of that attribute.
By definition, any relational table must be in 1NF.
87
Functional Dependencies (FDs)
Provide a formal mechanism to express
constraints between attributes
Given a relation R, attribute Y of R is
functionally dependent on the attribute X of R
if & only if each X-value in R has associated
with it precisely one Y-value in R.
88
Full Dependency
Concept of full functional dependency
A FD x y is a full functional dependency if
removal of any attribute A from X means that the
dependency does not hold any more.
89
Partial Dependency
An F.D. x y is a partial dependency if there
is some attribute A X that can be removed
from X and the dependency will still hold.
90
Example: Constraints on Entity Set
S N L R W H
123- 22- 3666 Attishoo 48 8 10 40
231- 31- 5368 Smiley 22 8 10 30
131- 24- 3650 Smethurst 35 5 7 30
434- 26- 3751 Guldu 35 5 7 32
612- 67- 4134 Madayan 35 8 10 40
S N L H R
123- 22- 3666 Attishoo 48 40 8
8 R W
231- 31- 5368 Smiley 22 30
131- 24- 3650 Smethurst 35 30 5 5 7
434- 26- 3751 Guldu 35 32 8 10
5
612- 67- 4134 Madayan 35 40 8
91
Second Normal Form (2NF)
A relation schema R is in 2NF if:
it is in 1NF and
every non-prime attribute A in R is fully
functionally dependent on the primary key of R.
2NF prohibits partial dependencies.
92
2NF: An Example
Emp{Eno, Dept, ProjCode, Hours}
Primary key: {Eno, ProjCode}
{Eno} -> {Dept}, {Eno, ProjCode} -> {Hours}
Test of 2NF
{Eno} -> {Dept}: partial dependency.
Emp is in 1NF, but not in 2NF.
Decomposition:
Emp {Eno, Dept}
Proj {Eno, ProjCode, Hours}
93
Transitive Dependency
An FD X Y in a relation schema R is a
transitive dependency if
there is a set of attributes Z that is not a subset of
any key of R, and
both X Z and Z Y hold.
94
Third Normal Form
A relation schema R is in 3NF if
It is in 2NF and
No nonprime attribute of R is transitively dependent on the
primary key.
3NF means that each non-key attribute value in any tuple
is truly dependent on the Primary Key and not even
partially on other attributes.
3NF prohibits transitive dependencies.
95
3NF: An Example
Emp{Eno, Dept, Dept_Head}
Primary key: {Eno}
{Eno} -> {Dept}, {Dept} -> {Dept_Head}
Test of 3NF
{Eno} -> {Dept} -> {Dept_Head}: Transitive dependency.
Emp is in 2NF, but not in 3NF.
Decomposition:
Emp {Eno, Dept}
Dept {Dept, Dept_Head}
96
Boyce –Codd Normal Form
The intention of BCNF is that- 3NF does not
satisfactorily handle the case of a relation
processing two or more composite or
overlapping candidate keys
97
BCNF ( Boyce Codd Normal
Form)
A Relation is said to be in Boyce Codd
Normal Form (BCNF) if and only if every
determinant is a candidate key.
98
Decomposition of a Relation
Scheme
Suppose that relation R contains attributes
A1 ... An. A decomposition of R consists of
replacing R by two or more relations such that:
Each new relation scheme contains a subset of the
attributes of R (and no attributes that do not appear
in R), and
Every attribute of R appears as an attribute of one
of the new relations.
99
100
101
102
103
104
105
106
Transaction,
Concurrency Control
and Recovery
Transaction
A sequence of many actions which are
considered to be one atomic unit of work.
Read, write, commit, abort
Governed by four ACID properties:
Atomicity, Consistency, Isolation, Durability
Has a unique starting point, some actions and
one end point
108
The ACID Properties
A tomicity: All actions in the transaction
happen, or none happen.
C onsistency: If each transaction is consistent,
and the DB starts consistent, it ends up
consistent.
I solation: Execution of one transaction is
isolated from that of other transactions.
D urability: If a transaction commits, its
effects persist.
109
Automicity
All-or-nothing, no partial results. An event either happens and is
committed or fails and is rolled back.
e.g. in a money transfer, debit one account, credit the other. Either
both debiting and crediting operations succeed, or neither of them
do.
Transaction failure is called Abort
Commit and abort are irrevocable actions. There is no undo for these
actions.
An Abort undoes operations that have already been executed
For database operations, restore the data’s previous value from
before the transaction (Rollback-it); a Rollback command will
undo all actions taken since the last commit for that user.
But some real world operations are not undoable.
Examples - transfer money, print ticket, fire missile
110
Consistency
Every transaction should maintain DB consistency
Referential integrity - e.g. each order references an
existing customer number and existing part numbers
The books balance (debits = credits, assets =
liabilities)
Consistency preservation is a property of a transaction,
not of the database mechanisms for controlling it
(unlike the A, I, and D of ACID)
If each transaction maintains consistency,
then a serial execution of transactions does also
111
Isolation
Intuitively, the effect of a set of transactions should
be the same as if they ran independently.
Formally, an interleaved execution of transactions is
serializable if its effect is equivalent to a serial one.
Implies a user view where the system runs each user’s
transaction stand-alone.
Of course, transactions in fact run with lots of
concurrency, to use device parallelism – this will be
covered later.
Transactions can use common data (shared data)
They can use the same data processing mechanisms
(time sharing)
112
Durability
When a transaction commits, its results will survive failures
(e.g. of the application, OS, DB system … even of the disk).
Makes it possible for a transaction to be a legal contract.
Implementation is usually via a log
DB system writes all transaction updates to a log file
to commit, it adds a record “commit(Ti)” to the log
when the commit record is on disk, the transaction is
committed.
system waits for disk ack before acknowledging to user
113
Transaction processing
Can be automatic (controlled by the RDBMS) or
programmatic (programmed using SQL or
other supported programming languages, like
PL/SQL)
114
Why Have Concurrent Processes?
Better transaction throughput
Improved response time
Done via better utilization of resources:
While one processes is doing a disk read, another
can be using the CPU or reading another disk.
115
Typical situations requiring
concurrency control
Exclusive access to an external device or shared
service (e.g., managing printer queues)
Coordination of applications which process
parallel data (e.g. parallel DB servers)
Disabling or enabling execution of the client
programs in a specific moment (typically for
database administration - e.g. database backups,
enforcing resource occupation, etc.)
Detection of transaction ends when managing
multiple sessions for connection to the database
(client/server architectures, Web access)
116
Problems with Concurrency (in absence
of locking)
Lost Update problem - losing values due to
intervention of write operation from other
overlapping transactions
Temporary Update problem - discarding
previous changes made by overlapping
transaction after rollback
Incorrect Summary problem - overwriting of
certain
values used for calculation by write operations
from other transactions
117
Lost Update Problem
T0 Start A 6
T5 9 End B
What should the final Order Value be?
Which Update has been lost?
118
Temporary Update Problem
Time Transaction A Value Transaction B
T0 Start A 6
T2 Add 2 (8) 6
T5 11 End B
What should the final Order Value be?
Where is the temporary update?
119
Incorrect Summary Problem
Time Transaction A Values Transaction B
T1 6
Add 2 (6+2=8) 3
T2 Write 1st Value (8) 8
3
120
t1 t2
3.1 Database State and Changes
State D1 State D2
T
D1, D2 - Logically consistent states of the database data
T- Transaction for changing the database
t1, t2 - Absolute time before and after the transaction
121
3.2 Transaction State and Progress
A transaction reaches its commit point when all
operations accessing the database are completed
and the result has been recorded in the log. It then
writes a [commit, <transaction-id>] and terminates.
BEGIN END COMMIT
active partially committed
committed
ROLLBACK
READ , WRITE ROLLBACK
aborted terminated
When a system failure occurs, search the log file for entries
[start, <transaction-id>]
and if there are no logged entries [commit, <transaction-id>]
then undo all operations that have logged entries
[write, <transaction-id>, X, old_value, new_value]
122
Schedules
• Schedule: Actions of transactions as seen by the DBMS
T1 T2
R(A)
W(A)
R(B)
W(B)
R(C)
W(C)
123
Serializable Schedule
A schedule whose effect on the DB “state” is
the same as that of some serial schedule
All serial schedules are serializable
But the reverse may not be true
124
Serializability Violations
Transfer Add 6%
Rs.10,000 interest to
from A to B A&B
T1 T2
R(A)
W(A)
R(A)
W(A)
Database is R(B)
inconsistent! W(B)
commit
R(B)
W(B)
commit
125
Cascading Aborts
T1 T2
R(A)
W(A)
R(A)
W(A)
abort
126
Recoverable Schedules
Unrecoverable Schedule Recoverable Schedule
T1 T2 T1 T2
R(A) R(A)
W(A) W(A)
R(A) R(A)
W(A) W(A)
commit commit
abort commit
127
Locking
The concept of locking data items is one of the main techniques
for controlling the concurrent execution of transactions.
A lock is a variable associated with a data item in the database.
Generally there is a lock for each data item in the database.
A lock describes the status of the data item with respect to
possible operations that can be applied to that item
used for synchronising the access by concurrent transactions
to the database items.
A transaction locks an object before using it
When an object is locked by another transaction, the requesting
transaction must wait
128
Locking Granularity
A database item which can be locked could be
a database record
a field value of a database record
the whole database
Trade-offs
coarse granularity
the larger the data item size, the lower the degree of
concurrency
fine granularity
the smaller the data item size, the more locks to be managed
and stored, and the more lock/unlock operations needed.
129
Locking: A Technique for
Concurrency Control
•Locks are automatically obtained by DBMS.
•Guarantees serializability!
130
Two- Phase Locking (2PL)
Strict 2PL:
– If T wants to read an object, first obtains an S lock.
– If T wants to modify an object, first obtains X lock.
– Hold all locks until end of transaction.
– Guarantees serializability, and recoverable schedule, too!
also avoids WW problems!
2PL:
– Slight variant of strict 2PL
– transactions can release locks before the end (commit or
abort)
But after releasing any lock it can acquire no new locks
– Guarantees serializability
131
Handling a Lock Request
Yes No Yes
Currently X-locked?
No Yes
Put on Queue
No
Grant Lock
132
133
Recovery
Occurs in case of transaction failures.
135
Recovery Outline
Restore to most recent “consistent” state just
before time of failure
Use data in the log file
Catastrophic Failure
Restore database from backup
Replay transactions from log file
136
Logging
Record REDO and UNDO information, for
every update, in a log.
– Sequential writes to log (put it on a separate disk).
– Minimal info (diff) written to log, so multiple
updates fit in a single log page.
137
Handling the Buffer Pool
• When is buffer written back to disk?
• Steal/No-steal
Can it be written before commit? (steal)
Or does it have to wait till after commit? (no-steal)
• Force/No-force
Is it written “immediately” after commit? (force)
Or can it remain in memory? (no-force)
NoSteal Steal
Force Trivial
NoForce Desired
138
Write- Ahead Logging (WAL)
The Write- Ahead Logging Protocol:
Must force the log record for an update before the
corresponding data page gets to disk.
Must write all log records for a transaction before
commit .
What goes into log:
BFIM needed for UNDO type algorithms
AFIM needed for REDO type algorithms
139
Checkpoints in the System Log
Checkpoint record written in log when all updated DB buffers written
out to disk
Any committed transaction occurring before checkpoint in log can be
considered permanent (won’t have to be redone after crash)
Actions
suspend execution of all transactions
force-write all modified buffers to disk
write checkpoint entry in log and force write log
resume transactions
Fuzzy checkpointing
resume transactions as soon as buffers written
140
141
142