DATABASE MANAGEMENT SYSTEM

Prepared by Bhabani Shankar Pradhan;

BHABANI SHANKAR PRADHAN 1

 Subject Code Name of the Subject L T P C QP
BCSPC4020 DATABASE MANAGEMENT SYSTEM 3 0 0 3 A
Course Educational Objectives
Pre -Requisite: A student should have basic idea on logic gates
CEO 1 Gain a good understanding of the architecture and functioning of Database
Management Systems as well as associated tools and techniques.
CEO 2 Understand and apply the principles of data modeling using Entity Relationship
and develop a good database design.
CEO3 Understand the use of Structured Query Language (SQL) and its syntax
CEO4 Apply Normalization techniques to normalize a database.

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Course Outcomes: Upon successful completion of this course, students should be able to:
Identify and Classify the concepts of Database Management system, Data
CO1
models and architecture of database, ER to Relational mapping concepts.
Applying the constraints in database using different query languages like:-
CO2 relational algebra and calculus, SQL and QBE for the implementing the Data
definition and data manipulate languages in Database.
Compare the different normal forms to Apply normalization process to
CO3
construct the consistent Database.
Design and Develop the Database by inspecting concurrency control and
CO4 recovery strategies to make complete Database without confliction and
anomalies in concurrent access environment.

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 SYLLABUS
UNIT:1 (15 Hours)
Introduction to database Systems, advantages of database system over traditional file
system, Basic concepts & Definitions, Database users, Database Language, Database System
Architecture, Schemas, Sub Schemas, & Instances, database constraints, 3-level database
architecture, Data Abstraction, Data Independence, Mappings, Structure, Components &
functions of DBMS, Data models.
UNIT:2 (13 Hours)
Entity relationship model, Components of ER model, Mapping E-R model to Relational schema, Relational
Algebra, Tuple & Domain Relational Calculus, Relational Query Languages: SQL and QBE. Database Design:-
Database development life cycle (DDLC), Automated design tools, Functional dependency and Decomposition,
Join strategies, Dependency Preservation & lossless Design, Normalization, Normal forms:1NF, 2NF,3NF, and
BCNF, Multi-valued Dependencies, 4NF & 5NF. Query processing and optimization: Evaluation of Relational
Algebra Expressions, Query optimization, Query cost estimation.

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 SYLLABUS
UNIT:3 (10 Hours)
Network and Object Oriented Data models, Storage Strategies: Detailed Storage
Architecture, Storing Data, Magnetic Disk, RAID, Other Disks, Magnetic Tape, Storage Access,
File & Record Organization, File Organizations & Indexes, Order Indices, B+ Tree Index Files,
Hashing Data Dictionary.

UNIT:4 (12 Hours)

Transaction processing and concurrency control: Transaction concepts, properties of transaction,
concurrency control, locking and Timestamp methods for concurrency control schemes.
Database Recovery System, Types of Data Base failure & Types of Database Recovery,
Recovery techniques, fundamental concepts on Object-Oriented Database, Object relational
database, distributed database, Parallel Database, introduction to Data warehousing & Data
Mining.

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 OUTLINE

Introduction to database Systems

Advantages of database system over traditional file system
Database users
Database Language
Database System Architecture
Schemas, Sub Schemas, & Instances, database constraints
3-level database architecture
Data models.

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 INTRODUCTION

Data: data means a known fact that can be recorded and that have some
implicit meaning. E.g., the names, telephone number, address of people etc.
Database: a database is a collection of inter-related data with an implicit
meaning.
DBMS: stands for Database Management System and it consist of 2 major
components.
 The collection of inter related data, which is called as the database.
 A set of software packages or a set of software tools or programs that
can access the data and process the data.

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INTRODUCTION

Therefore the primary goal

of a DBMS is to provide a
way to store and retrieve
database information that is
both convenient and
efficient.

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 INTRODUCTION

1. Differentiate between data and information.

2. A DBMS is a __________.
a. Hardware b. Software c. Language
3. Differentiate between Database and DBMS.
4. Give some examples of DBMS.

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 INTRODUCTION
1. Differentiate between data and information.
When data are processed, interpreted, organized, structured or presented so as to make them meaningful or useful,
they are called information. Information provides context for data. For example, a list of dates — data — is
meaningless without the information that makes the dates relevant (dates of holiday).
2. A DBMS is a __________.
a. Hardware b. Software c. Language
3. Differentiate between Database and DBMS.
A database is any collection of data, it can be words you write on a piece of paper or a digital file. A Database
Management System (DBMS) is a piece of software that manages databases and lets you create, edit and
delete databases, their tables and their data.
4. Give some examples of DBMS.
The DBMS manages incoming data, organizes it, and provides ways for the data to be modified or extracted by
users or other programs. Some DBMS examples include MySQL, PostgreSQL, Microsoft Access, SQL Server,
FileMaker, Oracle, RDBMS, dBASE, Clipper, and FoxPro.

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DATABASE SYSTEM ENVIRONMENT:

The DBMS is a general purpose software system that facilitates the

process of defining, constructing, manipulating and sharing
databases among various users and applications.
Defining: a database involves specifying the data types, structure
and constraints for the data to be stored in the database.
Constructing: the database follows the process of storing the data
in some storage medium controlled by the DBMS.
Manipulating: a database includes the functions as querying the
database to retrieve specific data, updating the database to
reflect changes in the mini world and generating reports from the
data.
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DATABASE SYSTEM ENVIRONMENT:

Sharing: a database allows multiple users and programs to access

the database concurrently.
Protection: includes both system protection against hardware or
software malfunction / crashes and security protection against
unauthorized access.
Maintain: the database system by allowing the system to evolve as
requirements change over time.

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 Traditional Method of Data Storage

Loan Processing Fixed Deposit Processing Transaction Processing

(Application Program) (Application Program) (Application Program)

FILE SYSTEM

Custome_Details Customer_loan_detail Cust_fixed_dip_detail Cust_trans_detail

In the traditional approach, information is stored in flat files which are maintained by
the file system of OS.
Application programs go through the file system to access these flat files.
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Traditional Approach: (Challenges)

Data Security: The data as maintained in the flat file(s) is easily accessible and
therefore not secure.
Example: Consider the Banking System. The Customer transaction file has details about the total available balance of
all customers. A Customer wants information about his account balance. In a file system it is difficult to give the
Customer access to only his data. Thus enforcing security constraints for the entire file or for certain data items are
difficult.
Data Redundancy: Often the same information is duplicated in two or more files.
Example: Assume the same data is repeated in two or more files. If change is made to data in one file, it is required
that the change be made to the data in the other file as well. If this is not done, it will lead to error during access of
the data.
Data Isolation: Data Isolation means that all the related data is not available in one file.
Generally, the data is scattered in various files, and the files may be in different
formats

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Traditional Approach: (Challenges)
Program/Data Independence: Under the traditional file approach, application
programs are dependent on the master and transaction file(s) and vice-versa.
Changes in the physical format of the master file(s), such as addition of a data field
requires that the change must be made in all the application programs that access the
master file.
Lack of Flexibility: The traditional systems are able to retrieve information for
predetermined requests for data.
Example: Consider the banking system. An application program is available to generate a list of customer names in
a particular area of the city. The bank manager requires a list of customer names having an account balance
greater than $10,000.00 and residing in a particular area of the city. An application program for this purpose
does not exist. The bank manager has two choices:
To print the list of customer names in a particular area of the city and then manually find out those with an
account balance greater than $10,000.00
Hire an application programmer to write the application program for the same. Both the solutions are
cumbersome.
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 Traditional Approach: (Challenges)

Concurrent Access Anomalies: Many traditional systems allow multiple users to access and
update the same piece of data simultaneously. But the interaction of concurrent updates
may result in inconsistent data.

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 Database approach:

In the database approach a single repository of data is maintained that is defined once
and is accessed by various users in many ways.
Characteristics: The following are the main characteristics of the database approach.

Self describing nature of a database system: The database system contains not only the database itself
but also a complete definition / description of the database structure and constraints. The descriptions include
the structure of each file, its type and storage format of each data item and various constraints imposed on
them. This information is called as metadata and it is stored in the DBMS catalog.

Insulation between program and data, and data abstraction: in the DBMS approach if we change the
structure of a file then it will not require to change all programs that access the file as the structure of the
data files are stored in the DBMS catalog separately from the access programs. This property is called as
program–data independence.

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 Database approach:

Data abstraction: the characteristic that allows program – data independence and program – operation
independence is called as data abstraction.

Support of multiple views of data: different users of database require a different perspective or
view of the database.
A view may be a subset of the database or it may contain virtual data that is
derived from the database files but is not explicitly stored.

Sharing of data and multiuser transaction processing:

The DBMS must include concurrency control software to ensure that several users trying to update the same
data must be done in a controlled manner so that the result of the updates is correct.
A transaction is an executing program or process that includes one or more database records.

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Advantages of DBMS:

The following are the advantages of DBMS:

•Controlling redundancy:
The DBMS avoids unnecessary duplication of data and effectively reduces the total amount of data
storage required.
It also eliminates the extra processing necessary to trace the required data in a large mass of data.
Another advantage of avoiding duplication is the elimination of the inconsistencies that to be present
in redundant data files.
Any redundancies that exist in the DBMS are controlled and the system ensures that these multiple
copies are consistent.

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Advantages of DBMS:

Shared data: a database allows the sharing of data under its control by any number of
application programs or users.
Restricting unauthorized access:
 The database administrator (DBA) who has the ultimate responsibility for the data in
the DBMS can ensure that proper access procedures are followed including proper
authentication schemes for access to the DBMS and additional checks before permitting
access to sensitive data.
 Different levels of security can be implemented for the various types of data and
operations.
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Advantages of DBMS:
Providing backup and recovery: the backup and recovery subsystem of the DBMS is
providing the facilities for recovering from hardware / software failures.
 For e.g., if the computer system fails in the middle of a complex update transaction, the recovery
subsystem is responsible for making sure that the database is restored to the state it was in before the
transaction started executing.
Integrity: data integrity means that the data contained in the database is both accurate
and consistent. Therefore data values being entered for storage could be checked to
ensure that they fall within a specified range and are of the correct format.
 For e.g., the value of the age of an employee may be in the range of 18 and 60. Another type of
constraint specifies the uniqueness of data item values such as “every student must have a unique value for
roll number”.

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 Advantages of DBMS:

•Providing storage structure for efficient query processing: DBMS provides a specialized
data structures to speed up disk search for the required data. Indexes that are used for disk
search are typically based on the tree data structure or hash data structure.
The query processing and optimization module of the DBMS is responsible for choosing an efficient query
execution plan for each query based on the existing storage structure.
Representing complex relationships among data: a DBMS must have the capability to represent a variety
of complex relationships of data that are interrelated in many ways as well as to retrieve and update
related data easily and efficiently.

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Database Users:

Database users are those who really use and take the benefits of database. There will
be different types of users depending on their need and way of accessing the database.
Application Programmers - They are the developers who interact with the database by means of
DML queries.
These DML queries are written in the application programs like C, C++, JAVA, Pascal etc.
These queries are converted into object code to communicate with the database. (For example,
writing a C program to generate the report of employees who are working in particular department
will involve a query to fetch the data from database. )
It will include a embedded SQL query in the C Program.
Sophisticated Users: They are database developers, who write SQL queries to
select/insert/delete/update data.
 These users will be scientists, engineers, analysts who thoroughly study SQL and DBMS to apply the
concepts in their requirement. In short, we can say this category includes designers and developers of
DBMS and SQL.

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 Database Users:

Specialized Users - These are also sophisticated users, but they write special database application
programs. They are the developers who develop the complex programs to the requirement.

Stand-alone Users - These users will have stand-alone database for their personal use. These kinds of
database will have readymade database packages which will have menus and graphical interfaces.

Naive users - Any user who does not have any knowledge about database can be in this category. There
task is to just use the developed application and get the desired results. For example: Clerical staff in any
bank is a naïve user. They don’t have any DBMS knowledge but they still use the database and perform
their given task.

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Database Users:

Database Administrators: The administration and maintenance of database is taken

care by database Administrator–DBA. A good performing database is in the hands
of DBA. A DBA has many responsibilities:
 Installing and upgrading the DBMS Servers: -
 Responsible for Installing a new DBMS server for the new projects.
 Responsible for Upgrading these servers as there are new versions comes in the market or
requirement.
 If there is any failure in up gradation of the existing servers, he should be able revert the new
changes back to the older version.
 Responsible for updating the service packs/ hot fixes/ patches to the DBMS servers.
 Design and implementation: - He should be able to decide proper memory management, file
organizations, error handling, log maintenance etc for the database.

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Database Users:
Performance tuning: - Since database is huge and it will have lots of tables, data, constraints and
indices, there will be variations in the performance from time to time.
It is responsibility of the DBA to tune the database performance to make sure all the queries and
programs works in fraction of seconds.
Migrate database servers: - DBA has to make sure that migration happens without any failure,
and there is no data loss.(Ex: Sometimes, users using oracle would like to shift to SQL server. )
Backup and Recovery: -Proper backup and recovery programs needs to be developed by DBA
and has to be maintained by him. This is one of the main responsibilities of DBA.
Data/objects should be backed up regularly so that if there is any crash, it should be recovered
without much effort and data loss.
Security: - DBA is responsible for creating various database users and roles, and giving them
different levels of access rights.
Documentation: - DBA should be properly documenting all his activities so that the database could
be understood in his absence without any effort.
He should basically maintain reports of all his installation, backup, recovery, security methods and
performance.
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Database system concepts and architecture::

Introduction: Earlier architectures used mainframe computers to provide the main function
for all functions of the system, including user application programs as well as all the
DBMS functionality.
•Data models:
A data model is a collection of concepts that can be used to describe the structure of a database
where by structure of database, we mean the data types relationships and constraints that should hold
for the data.
Most data models also include a set of basic operation or basic data model operation such as insert,
delete, modify or retrieve any kind of objects.

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Categories of data models::

The data model is organized according to the types of concepts they use to describe
the database structure.
Logical / conceptual / high level data model: it provides the concepts that are close to the
way many users perceive data. It describes what data are stored in the database and what
relationship exists among the data. It uses the concept such as entities, attributes and relationships.
Entity: it represents a real world object / concept such as an employee, student or project….
Attribute: it represents some properties that describe the entity such as employee’s name, mobile etc…
Relationship: a relationship is the association among two or more entities.
Physical / low level data model: It provides the concept that describes the details of how data is
stored in the computer.
Representational / Implementation data model: between the above two data model, this level
provides concepts that may be understood by end users but are not too far removed from the way
data is organized within the computer.

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Categories of data models::

Data abstraction: It provides user a conceptual representation with an abstract view of the data.
(The system hides certain details of haw data are stored and maintained that are not needed by most
database users.)
Database schema: the description of the database or the overall design of the database is called as
the database schema, which is specified during database design and is not expected to change
frequently.
Database state / snapshot / Instance: the data in the database at a particular moment in time is
called as the database state.
Every time we insert or delete a record or change the value of a data item in a record, we change one
state of the database into another state.
Metadata: it is the data about data means the description of schema constructs and constraints.
Metadata is the information such as the structure of each file, the type and storage format of each data
item and various constraints on the data.

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 Three–schema architecture:

The three schema architecture can be defined at the

following three levels:
Internal level: the internal level has an internal schema, which is
using the physical data model and describes the complete details
of physical data storage and access paths of the database.
Conceptual level: the conceptual level has a conceptual schema
which hides the details of physical storage structure and
concentrates on describing entities, data types, relationships, user
operations and constraints.
External / view level: it includes a number of external schemas
or user views. Each external schema describes the part of the
database that a particular user group is interested in and hides
the rest of the database from the user group.

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 Three–schema architecture:

The DBMS must transform a request specified

on an external schema into a request against
the conceptual schema and then into a request
on the internal schema for processing over the
stored database and it must be reformatted to
match the user’s external view.

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 Three–schema architecture:

The process of transforming requests and result between levels are called mappings.

Data independence: It is the concept which can be defined as the capacity to change the
schema at one level of a database system without having to change the schema at the next
higher level. We can define two types of data independence:
•Logical data independence: It is the capacity to change the conceptual schema without having to
change the external schema or application programs. We may change the conceptual schema to expand
the database by adding a data item, to change constraints or to reduce the database and that will not
affect the external schema. Only the view definition and the mappings need to be changed.
•Physical data independence: It is the capacity to change the internal schema without having to change
the conceptual schema. For e.g., the storage structure or devices used for storing the data could be
changed without necessitating a change in the conceptual view / external view.

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 DBMS architecture:

Earlier architectures used mainframe

computers to provide the main processing for
all functions of the system, including user
application programs and user interface
programs as well as the DBMS
functionalities.
All the processing was performed remotely
on the computer system and only display
information and controls were sent from the
computer to the display terminals through
network.

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 Basic Client / Server Architecture:

The concept of client / Server architecture

assumes a framework that consists of many
PCs and workstations as well as a smaller
number of mainframe computers connected
via local area network and other types of
networks. A client in this framework is typically
a user machine that provides user interface
capabilities and local processing.

The server is a machine that can provide

services to the client machines, such as file
access, printing and database access etc…
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 Two tier Client / Server Architecture:

It’s called as two-tier architecture because the

structure components are distributed over two
systems client and server
In this architecture the user interface
program/application program can run on client
machine.
The query and transaction functionality
remained on the server side.
When DBMS access is required, the program establishes a connection to the DBMS .Once
the connection is established ,the client program can communicate with the DBMS.
A standard called open database connectivity(ODBC) provides an application
programming interface(API),which allows the client side program to call the DBMS.
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 Three-tier Client/Server Architecture:-

An intermediate layer called as application

server or web server is lies between the client and
the database server.
The web server play an intermediary role by
storing business rules / procedures / constraints
that are used to access the data from the
database server.
It can also improves database security by checking client’s credentials before forwarding a
request to the database server.
The web server accepts request from the clients, process the request and sends database
commands to the database server and then passing the processed data from the database
server to the clients, where it may be processed further and filtered to be presented to
users in GUI format.
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 DATA MODELS: Hierarchical Model

In the hierarchical database approach/model the data are in the hierarchical relationship.
The data are stored in paper and file.
Each customer section would contain folders for individual orders, and the orders would list each item being
purchased.
To store or retrieve data, the database system must start at top
The difficulty of searching for item in the middle/bottom of the hierarchy.

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 NETWORK DATABASE APPROACH/MODELS:-

The network model is named from the network

of connection between the data elements.
The primary goal is to solve the hierarchical
problem of searching for data.
The item are now physically separated, they
are connected by arrows.
The model solves the search problem but the
Network Data Model
cost is high.
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 Object oriented database model :-

An object oriented database model is a new and evolving

method of organizing data.
An object has 3 major components:-
A name
A set of properties/attributes
A set of methods/functions
The properties describe the object just as attribute
describe an entity in the relational database.
Methods are short programs that define the actions that
each can take.

For example, the code to add a new customer would be stored

with the customer object. Object Oriented Database Approach

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 Relational data model :-

The relational data model was first introduced by Ted

Codd of IBM Research in 1970.
The basic building blocks in the model is tables/relations.
The relational model represents the database as a
collection of relations, and each row in relations represents
a collection of related data values.
Relational data model
In the relational model, each row in the table represents a fact that typically corresponds to a real world
entity/relationships.
In the formal relationship relational model terminology, a row is called as tuple, a column header is called
as attribute and the table is called as relation.
The data types describing the type of data of values that can appear in each column is represented by a
domain of possible values.
Informally, a table is an entity set and a row is an entity.
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 The Entity-Relationship(ER) Model:-

The database is used to store information that is useful for an organization and represents
this information through some means of modeling.
The ER model was developed to facilitate the database design that represents the overall
logical structure of a database.
The ER model is very useful in mapping the meanings and interactions of real-world
enterprises onto a conceptual schema.
The database structure, employing the ER model is usually shown pictorially using entity-
relationship(ER)diagram ,which shown how the schema for the database application can be
displayed by means of the graphical notation .
The ER data model employs 3 basic notations:
Entity sets
relationship sets
Attributes.
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Entity sets:-

An entity is a “thing” or “object” in the real world that is distinguished from all other
objects. For example, each student in the student database is an entity.
An entity has a set of properties and the values of the set of properties may uniquely
identify an entity.
For example , a student may have a roll number property whose value uniquely identifies that
student.
Entity set:- An entity set is a set of entities of the same type that share the same
properties, or attributes.
For example the set of all students in the student database can be defined as an entity set
student.
A database thus includes a collection of entity sets, each of which contains any number
of entities of the same type.

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Attributes:-

An entity is represented by a set of attributes.

Each entity has a value for each of its attributes. For example possible attributes for
the student entity are roll-no, name, age etc.

Domain/value set:- For each attribute, there is a set of permitted values, called the
domain or value set, of that attribute.
For example , the domain of the attribute roll-no might be the set of all integers from 0 to 9.

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 Types of attributes:-
The following are the different types of attributes:-
Simple and composite attributes:-
The simple attributes couldn’t be further divided into subparts.
For example: the roll number, age can not be divided into subparts, hence called as simple or atomic
attributes.
The composite attributes can be divided into subparts and can form a hierarchy.
For ex: An attribute name could be structured as a composite attribute consisting of first_name,
Middle_name and last_name as 3 sub-parts.
Single-valued and multi-valued atributes:-
Single-valued attributes have single value for a particular entity.
For example , the roll number attributes for a specific student refers to only one roll number.
Multi-valued attributes means an attribute has a set of values for a specific entity.
For example, a student may have zero , one or several phone numbers and different employees may have
different number of phones. This type of attribute is said to be multi-valued.
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 Types of attributes:-

Stored and derived attributes:-

 Stored attribute are the attributes from which we can derive another attribute.
For example , the date_of_birth attribute from which we can derive the attribute age.

Derived attribute are the attributes that is derived from another attribute.
For example, the age attribute can be derived from the attribute date_of_birth.

Complex attributes:-
Composite and multi-valued attribute nested to form a complex attribute.
For example , if a person can have more than one residence and for each residence can have multiple
phones, or attributes address phone can be specified as complex attribute.

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 Keys :-
A key is a single attribute or combination of two or more attributes of an entity set that is
used to identify one or more instances of a set.
A key allows us to identify a set of attributes that is used to distinguish entities from each
other.
The following are the different types of keys used:-
Primary key:-
 It’s an key attribute that uniquely identifies an entity within an entity set.
For ex: The attribute roll-number is unique and will identify an instance of the entity set STUDENT. Such an
unique entity identifier as STUDENT roll-number is referred to as a primary key.
Candidate key:-
There may be two or more attributes or combinations of attributes those uniquely identify
an instance of entity set. These attributes or combinations of attributes are called as
candidate keys.
For example ,the attributes roll-number and regd-no both can uniquely identifies an STUDENT entity.
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 Keys :-
Alternate key:-
One of the candidate key can be used as primary key.
The remaining candidate key could be considered alternate key.
Super key:-
If we add/remove additional attributes to a primary key, the resulting combination would
still uniquely identifies an instance of the entity set. Such keys are called as super keys.
For example , the attribute set {roll_no} is a primary key, that uniquely identifies an entity. However
{roll_no, name, age} is a super key , because by removing name and age or both from the set still leaves
with a super key.
Secondary key:-
A secondary key is an attribute or combination of attributes that may not be a candidate
key but that classifies the entity set on a particular characteristic.
For example, an entity set EMPLOYEE having the attribute department which identifies by its value all
instances of EMPLOYEE who belong to a given department.
BHABANI SHANKAR PRADHAN 47
 Foreign Key

Foreign key
•Usually a foreign key is a “copy” of a
primary key that has been exported
from one relation into another to
represent the existence of a
relationship between them.

•Foreign key values do not (usually)

have to be unique.

•Foreign keys can also be null .

BHABANI SHANKAR PRADHAN 48

QUIZ

BHABANI SHANKAR PRADHAN 49

QUIZ

BHABANI SHANKAR PRADHAN 50

QUIZ

BHABANI SHANKAR PRADHAN 51

Relationship sets:-

A relationship is an association among several entities .Relationship type(R) between n

entity. E1,E2,…..En.
A relationship set is a set of relationships of the same type. Formally, it is a
mathematical notation of n>=2 entity sets.
For example ,for the two entity sets EMPLOYEE and DEPARTMENT , we can define the relationship
type works-for, which associates each employee with the department for which the employee works.
The association between the entity sets is referred to as
participation i.e the entity sets
EMPLOYEE , DEPARTMENT participate in the relationship
set works_for.
Mathematically , the entity sets E1,E2,E3,…..En participate in the
relationship set R.

BHABANI SHANKAR PRADHAN 52

Relationship sets:-

The function that an entity plays in a relationship is called the entity’s role. The role
name signifies the role that a participating entity from the entity type plays in each
relationship instance ,and helps to explain what the relationship means.
Recursive relationship set:- When the entity sets of a relationship set are not distinct, that
is the same entity set participating in relationship set more than once in different roles. In
this type of relationship set ,it is called as the recursive relationship set.
Degree of relationship:- Degree of the relationship type is the name of participating
entity type in the relationship.
Mapping cardinalities:-(Cardinality ratios): Mapping cardinality express the number of
entity to which another entity can express the number via a relationship set.
For example , a binary relationship set R between entity sets A and B , the mapping cardinalities must
be one of the following:-

BHABANI SHANKAR PRADHAN 53

Relationship sets:-

One-to-One(1:1): An entity associated in A is with at most

one entity in B, and an entity in B is associated with at most
one entity in A.

One-to-Many: An entity in A is associated with any number

(zero or more) of entity in B, An entity in B ,however can be
associated with at most one entity in A.

Many-to-One: An entity in A is associated with at most one

entity in B. An entity in B , however can be associated with
any number of entities in A.

Many-to-Many: An entity in A is associated with any

number(zero/more) of entities in B, and an entity in B is
associated with any number (zero/more) of entities in A.
BHABANI SHANKAR PRADHAN 54
 Participation Constraints:-

The participation of an entity set E in a

relationship set R is said to be total if every entity
in E participates in at least one relationship in R.
The participation of an entity set E in a
relationship set R is said to be partial if only some
in E participate in relationship in R.

Entity –Relationships Diagrams:-

An ER diagram can express the overall logical
structure of a database graphically. The following
are the different notations/components that are
used in the ER diagram.
BHABANI SHANKAR PRADHAN 55
 Participation Constraints:-

Strong Entity Type and Weak Entity type:-

A regular entity type or strong entity type does have sufficient attribute to form a key attribute to form a key
attribute /primary key .

A weak entity type do not have sufficient attribute to form a key attribute .

Entities belonging to weak entity type are identified by being related to a another entity type known as
owner entity type.

A weak entity type always has a total participation with respect to its identification relationship, because a
weak entity cannot be identified without an owner entity.

For example ,consider the entity type DEPENDENT, related to EMPLOYEE, which is used to keep the details of
the employee’s department. The attributes of DEPENDENT are Name, DOB, Sex and relationship to the
employee.
BHABANI SHANKAR PRADHAN 56
 Participation Constraints:-

A weak entity type ( in our ex. DEPENDENT) has a partial key(suppose name) which is a set
of attribute that can uniquely identify the weak entities with the help of the strong entity
type(Ex. EMPLOYEE)

In ER-diagram, both a weak entity type and its identifying relationship are distinguished
by surrounding their boxes and diamonds with double lines.

The partial key attribute in underline with a dashed or dotted lines.

BHABANI SHANKAR PRADHAN 57

 ER Modeling Notations

Cardinality of Relationship tells how many instances

of an Entity type is relate to one instance of another
Entity type. M,N both represent “MANY ” and 1
represents “ONE” Cardinality.

An Entity can be self linked.

For example, employees can supervise other employees

BHABANI SHANKAR PRADHAN 58

 ER Modeling Notations : Composite Attribute

Represented by an ellipse
from which other ellipses
produced and represent the
component attributes.

E.g Address

BHABANI SHANKAR PRADHAN 59

 ER Modeling Notations :

Unary Relationship:
A unary relationship is represented as a diamond which
connects one entity to itself as a loop.
The relationship above means, some instances of
employee manage other instances of Employee

Role Names:
Role names may be added to make the meaning more
explicit.

BHABANI SHANKAR PRADHAN 60

 ER Modeling Notations :

Binary Relationship:
A relationship between two entity types

Ternary Relationship:
A relationship connecting three entity
types.

BHABANI SHANKAR PRADHAN 61

 ER Modeling Notations :

Relationship Participation:
All instances of the entity type Employee don’t participate in the relationship, Head-of.
•Every employee doesn’t head a department. So, employee entity type is said to partially participate in the
relationship.
•But, every department would be headed by some employee.
•So, all instances of the entity type Department participate in this relationship. So, we say that it is total
participation from the department side.

BHABANI SHANKAR PRADHAN 62

 ER Modeling Notations :

Attributes of a Relationship:
These attributes best describe the
relationship prescription rather than
any individual entity Doctor, Patient
or Medicine.

BHABANI SHANKAR PRADHAN 63

 ER Modeling Notations :

Weak Entity:
The identifying relationship is the
one which relates the weak entity
(dependant) with the strong entity
(Employee) on which it depends.
Id is underlined with a dotted line
because it is used to form composite
key of dependent entity along with
E#.

BHABANI SHANKAR PRADHAN 64

Case Studies (ER Model for a College DB)

A College contains many departments.

Each department can offer any number of courses
Many Instructors can work in a department.
An Instructor can work only in one department.
For each department there is a head.
An instructor can be head of only one department.
Each Instructor can take any number of courses.
A course can be taken only by one instructor.
A student can enroll for any number of courses.
Each course can have any number of students.
BHABANI SHANKAR PRADHAN 65
Steps in ER Modeling

Identify the Entities

Find Relationships
Identify the key attributes for every entities
Identify other relevant attributes
Draw complete ER diagram with all attributes including key attributes
Review your results with your business users

BHABANI SHANKAR PRADHAN 66

Steps in ER Modeling

Identify the Entities

Department
Student
Course
Instructor

BHABANI SHANKAR PRADHAN 67

Steps in ER Modeling (Find the Relationships)

One course is enrolled by multiple users and one student enrolls for multiple courses,
hence the cardinality between course and student is Many to Many.

The department offers many courses and each course belongs to only one department.
Hence the cardinality between the department and course is One to Many.

One department has multiple instructors and one instructor belongs to only one
department. Hence the cardinality between the department and Instructor is One to
Many.

BHABANI SHANKAR PRADHAN 68

Steps in ER Modeling (Find the Relationships)

In each department there is a “Head of department” and one instructor is “Head of
department”. Hence the cardinality is One to One

One course is taught by one instructor but the instructor teaches many courses. Hence
the cardinality between course and instructor is Many to One.

BHABANI SHANKAR PRADHAN 69

Steps in ER Modeling

Identify the Key attributes

Dept_name is the key attribute for the Entity “Department”, as it identifies the department uniquely.
Course#(Course_Id) is the key attribute for “Course” Entity.
Student#(Student_Number) is the key attribute for “Student” Entity.
Instructor_Name is the key attribute for “Instructor” Entity.

Identify other relevant attributes

 For the department entity, the relevant attribute is location.

 For course Entity, the relevant attributes are course_name, duration, Prerequisites….
 For Instructor Entity, the relevant attributes are room_no, telephone_no….
 For Student Entity, the relevant attributes are S_name, DOB, Email……

BHABANI SHANKAR PRADHAN 70

Case Studies (ER Model for a Online Retail Shop)

BHABANI SHANKAR PRADHAN 71

Case Studies (Online Retail Application)

BHABANI SHANKAR PRADHAN 72

Case Studies (Online Retail Application)

BHABANI SHANKAR PRADHAN 73

Case Studies (Online Retail Application)

BHABANI SHANKAR PRADHAN 74

Case Studies (Online Retail Application)

BHABANI SHANKAR PRADHAN 75

Case Studies (Online Retail Application)

BHABANI SHANKAR PRADHAN 76

L
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9

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BHABANI SHANKAR PRADHAN 77
o
Converting ER Diagram to Relational Schema

Converting strong entity types:

Each Entity type becomes a table
Each Single valued attribute becomes a column
Derived attributes are ignored
Composite attributes are represented by its equivalent parts
Multi-valued attributes are represented by a separate table
The key attribute of the Entity type becomes the primary key of the table.

BHABANI SHANKAR PRADHAN 78

 Entity Example

Here address is a composite attribute

Years of service is a derived attribute(can be
calculated from date of joining and current date)
Skill_Set is a multi-valued attribute

As per the rules:

Derived attributes are ignored.
Composite attributes are represented by components.
Multi-valued attributes are represented by a separate table.

Emploee(E#, Name, Door_No, Street, City, Pincode, Date_of_joining)

And
Emp_skillset(E#, Skillset)
BHABANI SHANKAR PRADHAN 79
 Converting Weak Entity Types

Weak Entity types are converted into a table of

their own, with the primary key of the strong entity
acting as a foreign key in the table.
This foreign key along with the key of the weak
entity forms the composite primary key of this
weak table.

Here dependant is a weak entity. Dependant doesn’t mean

anything to the problem without the information on for
which employee the person is a dependant.

The Relation Schema

Emploee(E#, EmpName, Date_of_joining, Skillset)
Dependent(Employee, Dependent_id, Name, Address)
BHABANI SHANKAR PRADHAN 80
Converting Relationship

The way relationships are represented depends on the cardinality and the
degree of the relationship.
The possible cardinalities are
 1:1
 1:M
 M:N
The degrees are:
 Unary
 Binary
 Ternary
BHABANI SHANKAR PRADHAN 81
Converting Relationship(Binary 1:1)

Case:1 Combination of participation type

The primary key of the partial participant will become the foreign key in the total
participant
Emploee(E#, EmpName, Date_of_joining, Skillset)
Department(Dept#, Dname, Location, Head)
BHABANI SHANKAR PRADHAN 82
Converting Relationship(Binary 1:1)

BHABANI SHANKAR PRADHAN 83

Converting Relationship(Binary 1:N)

BHABANI SHANKAR PRADHAN 84

Converting Relationship(Binary M:N)

BHABANI SHANKAR PRADHAN 85

Converting Relationship(Unary 1:1)

BHABANI SHANKAR PRADHAN 86

Converting Relationship(Unary 1:N)

BHABANI SHANKAR PRADHAN 87

Converting Relationship(Unary M:N)

BHABANI SHANKAR PRADHAN 88

Converting Ternary Relationship

BHABANI SHANKAR PRADHAN 89

Lecture – 10 Prepared by Prof. Ranjeet Kumar Panigrahi Introduction to DBMS

Deriving logical schema for online retail application

BHABANI SHANKAR PRADHAN 90

 Lecture – 10 Prepared by Prof. Ranjeet Kumar Panigrahi Introduction to DBMS

Deriving logical schema for online retail application

For Many to many relationship and ternary relationship we create separate table otherwise the existing table
(created for Entities) is modified to express the relationship.

BHABANI SHANKAR PRADHAN 91

 Lecture – 10 Prepared by Prof. Ranjeet Kumar Panigrahi Introduction to DBMS

Deriving logical schema for online retail application

For Many to many relationship and ternary relationship we create separate table otherwise the existing table
(created for Entities) is modified to express the relationship.

BHABANI SHANKAR PRADHAN 92

 Deriving logical schema for online retail application

For Many to many relationship and ternary relationship we create separate table otherwise the existing table
(created for Entities) is modified to express the relationship.

BHABANI SHANKAR PRADHAN 93

 Deriving logical schema for online retail application

For Many to many relationship and ternary relationship we create separate table otherwise the existing table
(created for Entities) is modified to express the relationship.

BHABANI SHANKAR PRADHAN 94

Lecture – 10 Prepared by Prof. Ranjeet Kumar Panigrahi Introduction to DBMS

Extended ER Modeling:-

ER modeling concepts are sufficient for representing many traditional database
application, but there are some more complex application are present such as
telecommunication, GIS (Geographic Information System) ,CAD/CAM . These type
of data database required complex requirement.
The extended features are:
Specialization
Generalization
Aggregation.

BHABANI SHANKAR PRADHAN 95

Super Class and Sub Class relationship:-

This is the inheritance concept, where we can say that all unity that is a member
of a subclass which inherits all the attributes of the entity as a member of the super
class and it also inherits all the relationship in which the super class participates.
For example, the entity type EMPLOYEE describes the type of each employee entity, and also
refers to the COMPANY database. The entity type EMPLOYEE (super class) has some sub
groupings such as ENGINEER, TECHNICAN, SECRETARY (subclass).

Here we can say that EMPLOYEE/ENGINEER, EMPLOYEE/TECHNICIAN and

EMPLOYEE/SECRETARY ARE the super class/subclass relationships.

BHABANI SHANKAR PRADHAN 96

Lecture – 10 Prepared by Prof. Ranjeet Kumar Panigrahi Introduction to DBMS

SPECIALIZATION:-

Specialization is the process of defining a set of

subclasses of an entity type, this entity type is
called as the super class of the specialization.

For example, {ENGINNER, TECHNICAN, SECRETARY} is

a specialization of the EMPLOYEE super class that
distinguishes among EMPLOYEE entities based on the
job type of each EMPLOYEE entity.

In ER-diagram, specialization is depicted by a

triangle component labeled ISA .The label ISA
stands for “is a” and represents, for example, that
a TECHNICIAN “is an” EMPLOYEE.
BHABANI SHANKAR PRADHAN 97
 GENERALIZATION:-

Generalization is the process of identifying the

common features of the different entities i.e the
subclass and generalizes them into a single super
class.
For example, consider the two entity types ENGINNER,
TECHNICIAN which has several common attributes and
they can be generalized to form the super class
EMPLOYEE.
A double line pointing to the generalized super
class represents a generalization, where as simply
arrow pointing to the specialized subclasses
represents specialization.
Generalization is a bottom up approach.
BHABANI SHANKAR PRADHAN 98
 AGGREGATION

The aggregation is the concept which expresses

relationships among relationships.

Aggregation is an abstraction through which

relationships are treated as higher level entities.

For example, the relationship set works-on (relating

the entity sets EMPLOYEE, DEPARTMENT and JOB) as a
higher level entity set called works-on. Such an entity
set is treated in the same marks as in any other entity
set. We can then create a binary relationship manages
between works-on and manager to represent who
manages what task.

BHABANI SHANKAR PRADHAN 99

Relational Algebra

A Relational data model includes a set of queries to manipulate the database, for which
there are two formal languages are in use
Relational Algebra
Relational calculus

Relational algebra is a procedural query language, which takes instances of relations as

input and yields instances of relations as output.

It uses operators to perform queries. An operator can be either unary or binary.

 They accept relations as their input and yield relations as their output.

BHABANI SHANKAR PRADHAN 100

Relational Algebra

The fundamental operations of relational algebra are as follows :

Select
Project
Union
Set different
Cartesian product
Rename

BHABANI SHANKAR PRADHAN 101

Select Operation (σ)

It selects tuples that satisfy the given predicate from a relation.

Notation − σp(r)
Where σ stands for selection predicate and r stands for relation. p is prepositional logic
formula which may use connectors like and, or, and not. These terms may use relational
operators like − =, ≠, ≥, < , >, ≤.

Example-1
σsubject = "database"(Books)
Output − Selects tuples from books where subject is 'database'.

BHABANI SHANKAR PRADHAN 102

Select Operation (σ)

Example-2
σsubject = "database" and price = "450"(Books)
Output − Selects tuples from books where subject is 'database' and 'price' is 450.
Example-3
σsubject = "database" and price = "450" or year > "2010"(Books)
Output − Selects tuples from books where subject is 'database' and 'price' is 450 or
those books published after 2010.

BHABANI SHANKAR PRADHAN 103

Select Operation (σ)

Roll
Name Dept. Age Address Gender
No.
101 Sachin CSE 22 Gunupur Male
102 Rahul IT 24 Rayagada Male
103 Sourav ECE 23 Gunupur Male
104 Laxman CSE 24 Bhubaneswar Male

Query:
Find all the tuples from Student relation of CSE department
σ Dept. = “CSE“ (STUDENT)

BHABANI SHANKAR PRADHAN 104

 Select Operation (σ)

We can combine several conditions by using the connections  (and),  (or),  (not)

Query:
Find the tuples from Student relation of CSE department who are staying at Gunupur.
σ Dept. = “CSE“  Address = “Gunupur” (STUDENT)

Find the tuples from Student relation whose age is greater than 22 and are staying at
Gunupur.
σ Age > 22  Address = “Gunupur” (STUDENT)

BHABANI SHANKAR PRADHAN 105

Lecture – 11 Prepared by Prof. Ranjeet Kumar Panigrahi Unary Relational Operations

Project Operation (∏)

It projects column(s) that satisfy a given predicate.

Notation − ∏A1, A2, A3….,An (r)
Where A1, A2 , An are attribute names of relation r.
Duplicate rows are automatically eliminated, as relation is a set.

The Project operation selects certain columns from the table/Relation and discards the other
column/attributes.
Projection is denoted by the upper case Greek letter Pi (∏)

BHABANI SHANKAR PRADHAN 106

Lecture – 11 Prepared by Prof. Ranjeet Kumar Panigrahi Unary Relational Operations

Select Operation (σ)

Example-1
∏subject, author (Books)
Selects and projects columns named as subject and author from the relation Books.
Example-2
Find out the Roll no, name and address of the relation student
∏ Roll_no, Name, Address (STUDENT)

BHABANI SHANKAR PRADHAN 107

Composition of Select and Project Operation

Combination of Select and Project operation is required when there is a query which
requires some condition and for selecting some particular attributes which satisfies the
condition.

Query: Retrieve the Roll and Name of the student having age greater than 23.

∏ Roll,Name,Address( σ Age > 23) (STUDENT)

OR
Temp σ Age > 23 (STUDENT)
Result ∏ Rollno, Name (Temp)
BHABANI SHANKAR PRADHAN 108
 Rename Operation ()

The results of relational algebra are also relations but without any name. The rename operation allows us to
rename the output relation. 'rename' operation is denoted with small Greek letter rho ρ.

Allows us to name, and therefore to refer to, the results of relational-algebra expressions, allows us to refer
to a relation by more than one name.
Example:
 x (E)

returns the expression E under the name X

If a relational-algebra expression E has arity n, then
 x ( A1 , A2 ,..., An ) ( E )
 Returns the result of expression E under the name X, and with the attributes renamed to A1 , A2 , …., An .

BHABANI SHANKAR PRADHAN 109

 Lecture – 11 Prepared by Prof. Ranjeet Kumar Panigrahi Binary Relational Operations

Binary Operation

Binary operation between two relations must be union compatible.

The relation R (A1, A2,…..An) and S(B1, B2,……Bn) are said to be union compatible if
they have the same degree n and if dom(Ai) = dom(Bi) for 1<=i<=n.

 This means that two relations must have same number of attributes and should have
compatible pair of attributes with same type of domains.

BHABANI SHANKAR PRADHAN 110

 Union Operation (U)

The result of this operation denoted by R U S between two relation R and S that includes all tuples that are
either in R or in S or in both R and S. Example
Query: find out all the customer name of the bank who have either
Duplicate tuples are eliminated. an account or both account and loan.
∏ Cust_name (ACCOUNT) U ∏ Cust_name (LOAN)
ACCOUNT LOAN
AC_NO CUST_NAME LOAN_NO CUST_NAME
CUST_NAME
A1001 Sachin L2001 Sachin
Sachin
A1002 Rahul L2002 Rahul
Rahul
A1003 Saurav L2003 Rahul
Saurav
A1004 Sachin L2004 Saurav
Laxman
A1005 Laxman L2005 Saurav

BHABANI SHANKAR PRADHAN 111

 Lecture – 11 Prepared by Prof. Ranjeet Kumar Panigrahi Binary Relational Operations

Intersection Operation ( ∩ )

The intersection operation denoted by R ∩ S between two relation R and S that includes all tuples that are in
both R and S. Example
Query: find out all the customer name of the bank who have both
account and loan.
∏ Cust_name (ACCOUNT) ∩ ∏ Cust_name (LOAN)
ACCOUNT LOAN
AC_NO CUST_NAME LOAN_NO CUST_NAME
CUST_NAME
A1001 Sachin L2001 Sachin
Sachin
A1002 Rahul L2002 Rahul
Rahul
A1003 Saurav L2003 Rahul
Saurav
A1004 Sachin L2004 Saurav
A1005 Laxman L2005 Saurav

BHABANI SHANKAR PRADHAN 112

 Set Difference Operation

Notation r – s
Defined as:
r – s = {t | t  r and t  s}

Set differences must be taken between compatible relations.

r and s must have the same arity
attribute domains of r and s must be compatible
Example: to find all courses taught in the Fall 2009 semester, but not in the Spring 2010 semester
∏ Course_id ( semester=“Fall” Λ year=2009 (SECTION)) - ∏ Course_id ( semester=“Spring” Λ year=2010 (SECTION) )

The result of this operation, denoted by R-S, is a relation that includes all tuples that are in R but not in S
CUST_NAME
∏ Cust_name (ACCOUNT) _ ∏ Cust_name (LOAN)
Laxman
BHABANI SHANKAR PRADHAN 113
Lecture – 11 Prepared by Prof. Ranjeet Kumar Panigrahi Binary Relational Operations

Cartesian Product/Cross Product/Cross Join (X)

It’s a binary operation but the Relations on which it is applied need not have to be
Union compatible.
This operation is used to combine tuples from two relations.
The Cartesian Product is denoted by a cross symbol (X)
Mathematically the relation R and S with the Cartesian Product will be:
R(A1, A2, ….., An) X S(B1, B2, ……, Bn)
than the resultant relation Q with n X m attributes :

Q(A1, A2, …., An, B1, B2,……., Bn)

BHABANI SHANKAR PRADHAN 114

 Cartesian Product/Cross Product/Cross Join (X)

Let us consider two relations CUSTOMER and LOAN

CUSTOMER LOAN
AC_NO CUST_NAME LOAN_NO BRANCH AMOUNT
A1 Sachin A1 Gunupur 50000
A2 Rahul A2 BBSR 40000
A3 Saurav A4 Gunupur 30000

The Cartesian Product of CUSTOMER and LOAN contains total of 9 tuples which associates
every tuple of CUSTOMER with every tuple of LOAN and the resultant relation would be

BHABANI SHANKAR PRADHAN 115

Lecture – 11 Prepared by Prof. Ranjeet Kumar Panigrahi Binary Relational Operations

Cartesian Product/Cross Product/Cross Join (X)

AC_NO NAME AC_NO BRANCH AMOUNT
A1 Sachin A1 Gunupur 50000
Query: Find out the details of CUSTOMER who A1 Sachin A2 BBSR 40000
have account at Gunupur.
A1 Sachin A4 Gunupur 30000
Temp 1 CUSTOMER X LOAN A2 Rahul A1 Gunupur 50000
Temp2 σ Branch = “Gunupur” (Temp1) A2 Rahul A2 BBSR 40000
Temp3 σ CUSTOMER.AC_NO = LOAN.AC_NO (Temp2) A2 Rahul A4 Gunupur 30000
RESULT ∏ AC_NO, NAME, BRANCH, AMOUNT (Temp3) A3 Saurav A1 Gunupur 50000
A3 Saurav A2 BBSR 40000
A3 Saurav A4 Gunupur 30000
BHABANI SHANKAR PRADHAN 116
 Additional Relational Algebra Operation

The additional algebra operation is used to simplify common queries

JOIN OPERATION
The JOIN operation denoted by is to combine related tuples from two relations into
single tuple.

It’s a binary operation which takes two relations as input and produces a resultant
relation as an output

The JOIN operation will check the key attribute is present in both the relation or not, if
present than it will retrieve the required information from both the tables by comparing the
value of the common key attribute.
The following are the type of JOIN operations:
BHABANI SHANKAR PRADHAN 117
 Natural Join Operation

The NATURAL JOIN operation first form the Cartesian product than it forms a selection
forcing equality on those attributes that appear in both relation and finally removes the
duplicate attributes.
Mathematically, for the relation R and S the join operation will be R S

Example1: find out the name of the customer who have account at Gunupur branch
Query: R1 σ Branch = “Gunupur” (CUSTOMER LOAN)
RESULT ∏ NAME (R1)
OR
∏ NAME(σ Branch = “Gunupur” (CUSTOMER LOAN))
BHABANI SHANKAR PRADHAN 118
 OUTER JOIN

The OUTER JOIN operation is an extension of the join operation to deal with missing
information.

In our previous example, we have lost the branch name and the loan amount information
of Sourav in the LOAN relation. Similarly the name of the account number A4 is absent in
the ACCOUNT relation.

We can use the outer join operation to avoid this loss of information.

There are three types of outer join are there: •Left outer join
•Right outer join
•Full outer join

BHABANI SHANKAR PRADHAN 119

 LEFT OUTER JOIN

The LEFT OUTER JOIN takes all tuples in the left relation that did not match with any
tuple in the right relation, fills the tuples with NULL values for all other attributes from the
right relation.

For example the result of the left outer join of

CUSTOMER LOAN
AC_NO NAME BRANCH AMOUNT
A1 Sachin Gunupur 50000
A2 Rahul BBSR 40000
A3 Saurav NULL NULL

BHABANI SHANKAR PRADHAN 120

 RIGHT OUTER JOIN

The RIGHT OUTER JOIN takes all tuples in the right relation that did not match with any
tuple in the left relation, fills the tuples with NULL values for all other attributes from the left
relation.

For example the result of the Right outer join of

CUSTOMER LOAN
AC_NO NAME BRANCH AMOUNT
A1 Sachin 50000 Gunupur
A2 Rahul 40000 BBSR
A4 NULL 30000 Gunupur

BHABANI SHANKAR PRADHAN 121

 FULL OUTER JOIN

The FULL OUTER JOIN takes all tuples from both the relation and fills the missing values
with NULL values.

For example the result of the full outer join of

CUSTOMER LOAN

AC_NO NAME BRANCH AMOUNT

A1 Sachin 50000 Gunupur
A2 Rahul 40000 BBSR
A3 Saurav NULL NULL
A4 NULL 30000 Gunupur

BHABANI SHANKAR PRADHAN 122

 Generalized Projection

The Generalized Projection Operation extends the projection operation by alowing

arithmetic functions to be used in the projection list
Syntax: ∏ F1, F2, ………, Fn (E)
Where E is an relational algebra expression
F1, F2, ……, Fn are the arithmetic expression

EMP_NO NAME SALARY NAME INCREMENT

E_001 Sachin 30000 ∏ NAME, (SALARY * 0.40) as INCREMENT (EMPLOYEE) Sachin 12000
E_002 Rahul 40000 Rahul 16000

BHABANI SHANKAR PRADHAN 123

 Aggregate Functions

The Aggregate function takes a collection of values and return a single value as a result.
It is denoted by G. (𝓖)
For example: the aggregate function sum takes a collection of values and returns the sum of values.
EX: 𝓖 SUM(SALARY) (EMPLOYEE) SUM(SALARY)
70000

The Aggregate functions are SUM, AVG, COUNT, MIN, MAX.

BHABANI SHANKAR PRADHAN 124

 Examples

Suppliers(sid: integer, sname: string, address: string)

Parts(pid: integer, pname: string, color: string)
Catalog(sid: integer, pid: integer, cost: real)
Write the following queries in relational algebra.
1. “Find the names of suppliers who supply some red part.”

2. “Find the IDs of suppliers who supply some red or green part.”

OR

BHABANI SHANKAR PRADHAN 125

 Examples

Suppliers(sid: integer, sname: string, address: string)

Parts(pid: integer, pname: string, color: string)
Catalog(sid: integer, pid: integer, cost: real)
Write the following queries in relational algebra.
 “Find the IDs of suppliers who supply some red part or are based at 21 George Street.”

“Find the names of suppliers who supply some red part or are based at 21 George Street.”

BHABANI SHANKAR PRADHAN 126

 Examples

Suppliers(sid: integer, sname: string, address: string)

Parts(pid: integer, pname: string, color: string)
Catalog(sid: integer, pid: integer, cost: real)
Write the following queries in relational algebra.
 “Find the IDs of suppliers who supply some red part and some green part.”

“Find the IDs of suppliers who supply only red parts.”

BHABANI SHANKAR PRADHAN 127

 Examples

Give the following queries in the relational algebra using the relational schema
student(id, name)
enrolledIn(id, code)
subject(code, lecturer)
1. What are the names of students enrolled in cs3020?

2. Which subjects is Hector taking?

3. Who teaches cs1500?

BHABANI SHANKAR PRADHAN 128

 Examples
Give the following queries in the relational algebra using the relational schema
student(id, name)
enrolledIn(id, code)
subject(code, lecturer)
4. Who teaches cs1500 or cs3020?

5. Who teaches at least two different subjects?

Solution: For this query we have to relate subject to itself. To disambiguate the relation, we will call the
subject relation R or S.

6. What are the names of students in cs1500 or cs3010?

BHABANI SHANKAR PRADHAN 129

 Examples
Give the following queries in the relational algebra using the relational schema
student(id, name)
enrolledIn(id, code)
subject(code, lecturer)
7. What are the names of students in both cs1500 and cs1200?

8. What are the codes of all the subjects taught?

9. What are the names of all the students in cs1500?

BHABANI SHANKAR PRADHAN 130

 Examples
Give the following queries in the relational algebra using the relational schema
student(id, name)
enrolledIn(id, code)
subject(code, lecturer)
10. What are the names of students taking a subject taught by Roger.

11. What are the names of students who are taking a subject not taught by Roger?

BHABANI SHANKAR PRADHAN 131

 Assignment

Solve the following queries in the relational algebra using the relational schema
lives(person-name, street, city)
works(person-name, company-name, salary)
located-in(company-name, city)
manages(person-name, manager-name)
1. Find the name of all employees (i.e., persons) who work for the City Bank Company (which is a specific company in the
database).
2. Find the name and city of all employees who work for City Bank. Similar to previous query, except we have to access
the lives table to extract the city of the employee. The join condition is the same person name in the two tables Lives
and Works.
3. Find the name, street and city of all employees who work for City Bank and earn more than $10,000. Similar to
previous query except an additional condition on salary attribute.
4. Find all persons who do not work for City Bank.

BHABANI SHANKAR PRADHAN 132

Relational Calculus

A Relational Calculus is a Non Procedural

Language
In relational calculus there is no description
of how to evaluate a query, it only specifies
what is to be retrieved rather than how to
retrieve it.

Tuple relational calculus

The tuple relational calculus is based on specifying a number of tuple variable
Syntax: {t | COND(t)}
where t is a tuple variable
COND(t) is a conditional expression involving t.
BHABANI SHANKAR PRADHAN 133
 Tuple Relational Calculus

Display all the employee details or all the tuple of EMPLOYEE relation
{t | EMPLOYEE(t)}
Display all the employee details whose salary is above 30000
{t | EMPLOYEE(t) AND t.SALARY > 30000}
Retrieve the name of the employee whose salary is above 30000
{t.NAME | EMPLOYEE(t) AND t.SALARY > 30000}
In tuple relational calculus, we have to specify the requested attributes for each selected t,
than we specify the condition for selecting a tuple following the bar ( |).

BHABANI SHANKAR PRADHAN 134

 Tuple Relational Calculus
{t1.A1, t2.A2,…………..tn.An | COND (t1, t2, ….tn)}
Where,
t1, ……….tn are tuple variables
Ai is the attribute on which ti ranges and
COND is a condition or formula of the expression.
A formula / condition is made up of one or more atoms connected via the logical
operator AND, OR, NOT.
There are two quantifiers, which may appear in the formulas that is Existential / there
exist (∃) and universal / for all (∀) quantifier.
A tuple variable t is said to be bound if it appears with (∃t) or (∀t), otherwise it is free.
BHABANI SHANKAR PRADHAN 135
 Existential Quantifier: (∃)
If F is a formula, than so is (∃t) (F), where t is a tuple variable.
The formula (∃t) (F) is TRUE if the formula evaluates to TRUE for some (at least one) tuple, otherwise (∃t) (F)
is false.

Query : find the name and account number of the relation CUSTOMER and LOAN who have loan account

{t.NAME, t.AC_NO | CUSTOMER (t) and (∃d) (LOAN(d)) and t.AC_NO = d.AC_NO}

Client(ID, fName, lName, Age)

Matches(Client1, Client2, Type)

Query: List the first and last names of clients that appear as client1 in a match of any type.

{c.fName, c.lName | CLIENT(c) AND (∃m)(MATCHES(m) AND c.ID = m.Client1)}

BHABANI SHANKAR PRADHAN 136
 Universal Quantifier: (∀)

If F is a formula, than so is (∀t) (F), where t is a tuple variable.

The formula (∀t) (F) is TRUE if the formula evaluates to TRUE for every tuple, otherwise
(∀t) (F) is false.

Query : find the name and account number of the relation CUSTOMER and LOAN who
have no loan account

{t.NAME, t.AC_NO | CUSTOMER (t) and (∀d) (NOT (LOAN(d))) or NOT (t.AC_NO = d.AC_NO)}

BHABANI SHANKAR PRADHAN 137

Domain Relational Calculus

The domain relational calculus uses domain variable that take an value from an
attribute domain, rather than values for an entire tuple.
The domain relational calculus is in the form of
{<x1, x2, …, xn>|COND(x1, x2, ……, xn)}
Where,
x1, x2, …….., xn represents the domain variable
COND represents the formula composed of atoms.

BHABANI SHANKAR PRADHAN 138

Domain Relational Calculus

CUSTOMER LOAN
AC_NO NAME AGE GENDER ADDRESS AC_NO BRANCH AMOUNT

Find the name of the CUSTOMER whose age is greater than 50

{b| (∃a) (∃c) (∃d) (∃e) (CUSOMER(abcde) AND c>50)}

Find the NAME, AC_NO, BRANCH and AMOUNT whose branch = “Gunupur”.
{abyz|(∃c) (∃d) (∃e) (∃x) (CUSOMER(abcde) AND LOAN(xyz) AND y = “Gunupur” AND a = x)}

BHABANI SHANKAR PRADHAN 139

QUERY BY EXAMPLE: (QBE)

QBE queries are expressed “by example” instead of giving a procedure for obtaining
the desire answer, the user gives an example of what is desired.
The queries in QBE is expressed by skeleton tables which shows the relation schema.
 he user selects those skeletons needed for a given query and fills in the skeleton with
example rows.
An example row consists of constants and example elements which are domain
variables, and QBE uses an underscore character before domain variable as _x.

BHABANI SHANKAR PRADHAN 140

QUERY BY EXAMPLE: (QBE)

Query: Print the name of the customer whose age is greater than 50.

AC_NO NAME AGE GENDER ADDRESS

P. >50

Query: find the account number and address where the account is jointly on Ram and
Shyam.

AC_NO NAME AGE GENDER ADDRESS

P. _x Ram P. _y
Shyam P. _z

BHABANI SHANKAR PRADHAN 141

QUERY BY EXAMPLE: (QBE) – CONDITION BOX

It is very much difficult to express all the constraints in the domain variables within the
skeleton tables.
To overcome this difficulty, QBE includes a condition box feature that allows the logical
expression to appear in a condition box.
 find the account number of the customers within an amount between 25000 to 30000
but not exactly 28000.
AC_NO BRANCH AMOUNT CONDITION
P. _x _x = (>=25000 AND <=3000 AND ￢ 28000)

BHABANI SHANKAR PRADHAN 142

QUERY BY EXAMPLE: (QBE) – RESULT RELATION
This is the mechanism where the result of a query includes attributes from several relation schema, where
it displays the desired result in a single table.
For this purpose we can declare a temporary result relation that includes all the attributes of the result
of the query.
 we print the desired result by including the command P. in only the result skeleton table.
Display the name and amount where branch = “Delhi”
CUSTOMER LOAN
AC_NO NAME AGE GENDER ADDRESS AC_NO BRANCH AMOUNT
_x _y _x Delhi _z

RESULT NAME AMOUNT

P. _y _z

BHABANI SHANKAR PRADHAN 143

Introduction:

E.F. Codd (Edgar Frank Codd) of IBM had written an article “A relational model for
large shared data banks” in June 1970 in the Association of Computer Machinery (ACM)
Journal
One of the most significant implementations of the relational model was “System R,”
which was developed by IBM during the late 1970s. System R was intended as a “proof
of concept” to show that relational database systems could really build and work
efficiently. It gave rise to major developments such as a structured query language called
SQL which has since become an ISO standard and de facto standard relational
language.
Various commercial relational DBMS products were developed during the 1980s such
as DB2, SQL/DS, and Oracle. In relational data model the data are stored in the form of
tables.
BHABANI SHANKAR PRADHAN 144
CODD’S 12 Rules:
In 1985, Codd published a list of rules that became a standard way of evaluating a
relational system. After publishing the original article Codd stated that there are no
systems that will satisfy every rule. Nevertheless the rules represent relational ideal and
remain a goal for relational database designers.

Rule-1: The Information Rule: All information in a relational database is represented

explicitly at the logical level and in exactly one way-by values in tables:
 Data should be presented to the user in the tabular form.

Rule-2: Guaranteed Access Rule: Each and every datum (atomic value) in a relational
database is guaranteed to be logically accessible by resorting to a combination of table
name, primary key value, and column name:
• Every data element should be unambiguously accessible.
BHABANI SHANKAR PRADHAN 145
 CODD’S 12 Rules:
Rule-3: Systematic Treatment of Null Values: Null values (distinct from the empty character string or a string of
blank characters and distinct from zero or any other number) are supported in fully relational DBMS for
representing missing information and inapplicable information in a systematic way, independent of data type.

Rule-4: Dynamic On-line Catalogue Based on the Relational Model: The database description is represented
at the logical level in the same way as ordinary data, so that authorized users can apply the same relational
language to its interrogation as they apply to the regular data:
• The database description should be accessible to the users.

Rule-5: Comprehensive Data Sublanguage Rule: A relational system may support several languages and
various modes of terminal use (for example the fill-in-the-blanks mode). However, there must be at least one
language whose statements are expressible, per some well-defined syntax, as character strings and whose
ability to support all the following is comprehensive: data definition, view definition, data manipulation
(interactive and by program), integrity constraints, and transaction boundaries:
• A database supports a clearly defined language to define the database, view the definition, manipulate the
data, and restrict some data values to maintain integrity.
BHABANI SHANKAR PRADHAN 146
CODD’S 12 Rules:
Rule-6: View Updating Rule: All views that are theoretically updatable are also
updatable by the system:
• Data should be able to be changed through any view available to the user.

Rule-7: High-level Insert, Update, and Delete: The capacity of handling a base relation
or a derived relation as a single operand applies not only to the retrieval of data but
also to the insertion, update, and deletion of data:
• All records in a file must be able to be added, deleted, or updated with singular commands

Rule-8: Physical Data Independence: Application programs and terminal activities

remain logically unimpaired whenever any changes are made in either storage
representations or access methods:
• Changes in how data are stored or retrieved should not affect how a user accesses the data.
BHABANI SHANKAR PRADHAN 147
CODD’S 12 Rules:
Rule-9: Logical Data Independence: Application programs and terminal activities remain
logically unimpaired whenever information-preserving changes of any kind that
theoretically permit unimpairment are made to the base tables:
• A user’s view of data should be unaffected by its actual form in files.
Rule-10: Integrity Independence: Integrity constraints specific to a particular relational
database must be definable in a relational data sublanguage and storable in the
catalogue, not in the application programs.
• Constraints on user input should exist to maintain data integrity.
Rule-11: Distribution Independence: A relational DBMS has distribution independence.
Distribution independence implies that users should not have to be aware of whether a
database is distributed.
• A database design should allow for distribution of data over several computer sites.
BHABANI SHANKAR PRADHAN 148
CODD’S 12 Rules:

Rule-12: Nonsubversion Rule: Nonsubversion Rule. If a relational system has a low-level

(single-recordat-a-time) language, that low level cannot be used to subvert or bypass the
integrity rules and constraints expressed in the higher level relational language (multiple-
records-at-a-time):
• Data fields that affect the organization of the database cannot be changed.

There is one more rule called Rule Zero which states that “For any system that is claimed
to be a relational database management system, that system must be able to manage
data entirely through capabilities.”

BHABANI SHANKAR PRADHAN 149

Concept of Key
Key is an attribute or group of attributes, which is used to identify a row in a relation.
Key can be broadly classified into
(1) Super-key
(2) Candidate key and
(3) Primary key
Super-key:
A super-key is a subset of attributes of an entity-set that uniquely identifies the entities.
Super-keys represent a constraint that prevents two entities from ever having the same
value for those attributes
Candidate Key:
Candidate key is a minimal super-key. A candidate key for a relation schema is a
minimal set of attributes whose values uniquely identify tuples in the corresponding
relation.
BHABANI SHANKAR PRADHAN 150
Concept of Key
Primary Key:
The primary key is a designated candidate key. It is to be noted that the primary key should not be null.

Example
Consider the employee relation, which is characterized by the attributes, employee ID, employee name,
employee age, employee experience, employee salary, etc. In this employee relation:
Superkeys can be employee ID, employee name, employee age, employee experience, etc.
Candidate keys can be employee ID, employee name, employee age.
Primary key is employee ID.

Note: If we declare a particular attribute as the primary key, then that attribute value cannot be NULL.
Also it has to be distinct.
Foreign Key
Foreign key is set of fields or attributes in one relation that is used to “refer” to a tuple in another relation.
BHABANI SHANKAR PRADHAN 151
Relational Integrity:
Data integrity constraints refer to the accuracy and correctness of data in the database. Data integrity
provides a mechanism to maintain data consistency for operations like INSERT, UPDATE, and DELETE. The
different types of data integrity constraints are Entity, NULL, Domain, and Referential integrity.
Entity Integrity:
Entity integrity implies that a primary key cannot accept null value. The primary key of the relation
uniquely identifies a row in a relation. Entity integrity means that in order to represent an entity in the
database it is necessary to have a complete identification of the entity’s key attributes.
Null Integrity:
Null implies that the data value is not known temporarily. Consider the relation PERSON. The attributes of
the relation PERSON are name, age, and salary. The age of the person cannot be NULL.
Domain Integrity Constraint:
The domain integrity constraints are used to specify the valid values that a column defined over the domain
can take. We can define the valid values by listing them as a set of values (such as an enumerated data
type in a strongly typed programming language), a range of values, or an expression that accepts the
valid values.
BHABANI SHANKAR PRADHAN 152
Relational Integrity:
Referential Integrity:
In the relational data model, associations between tables are defined through the use
of foreign keys. The referential integrity rule states that a database must not contain any
unmatched foreign key values.

It is to be noted that referential integrity rule does not imply a foreign key cannot be
null.

There can be situations where a relationship does not exist for a particular instance, in
which case the foreign key is null.

A referential integrity is a rule that states that either each foreign key value must
match a primary key value in another relation or the foreign key value must be null.
BHABANI SHANKAR PRADHAN 153
Database design process

Database design process integrates relevant data in such a

manner that it can be processed through a mechanism for
recording the facts.
The database design is a complex process and the complexity
arises mainly because of the identification of relationship among
individual components and their representation for maintaining
correct functionality are highly involved.
The degree of complexity increases if there are many-to-many
relationships among individual components. The process of
database design usually requires a number of steps
BHABANI SHANKAR PRADHAN 154
Steps in database design

Requirement Collection and Analysis:

In requirement collection, one has to decide what data are to be stored, and to some extent, how that
data will be used.
Prototyping and Design
Design implies a procedure for analyzing and organizing data into a form suitable to support business
requirements and makes use of strategic technology. The three phases in relational database design are
conceptual design, logical design, and physical design.
Implementation
Database implement involves development of code for database processing, and also the installation of
new database contents, usually form existing data sources.
BHABANI SHANKAR PRADHAN 155
Objectives of Database Design

Efficiency: Efficiency is generally considered to be the most important. The design should
make full and efficient use of the facilities provided. If the database is made online,
then the users should interact with the database without any time delay.

Integrity: The term integrity means that the database should be as accurate as possible.
Privacy: The database should not allow unauthorized access to files.

Security: The database, once loaded, should be safe from physical corruption whether
from hardware or software failure or from unauthorized access.

BHABANI SHANKAR PRADHAN 156

Objectives of Database Design

Implementation: The conceptual model should be simple and effective so that mapping
from conceptual model to logical model is easy.

Flexibility: The database should not be implemented in a rigid way that assumes the
business will remain constant forever. Changes will occur and the database must be
capable of responding readily to such change.

BHABANI SHANKAR PRADHAN 157

 From the ER model a good relational database can be designed. But in the ER model there may be some
amount of inconsistency, ambiguity and redundancy. To reduce this type of problem the normalization process
is required.

INFORMAL DESIGN GUIDELINES FOR RELATIONAL SCHEMAS :

Why normalization is required?
The following are the some informal design guidelines for the relational schemas:-
Semantics of relation attributes ( guideline -1 ):
Design a relation schema so that it is easy to explain its meaning. Do not combine attributes from multiple
entity types and relation types into a single relation.
Each Department tuple
Each employee tuple
represents a Department
represents an employee
entity only
entity only

EMPLOYEE DEPARTMENT
ENAME ENO DOB ADDRESS DNUMBER DNAME DNUMBER DMGRENO

BHABANI SHANKAR PRADHAN 158

 INFORMAL DESIGN GUIDELINES FOR RELATIONAL SCHEMAS :

Redundant information in tuples and update anomalies (irregularities):-

Design the relation schema so that there should not be any redundant (duplicate) information.
Design the relation schema so that insertion of new data, deletion / updation of existing data should not
be difficult.
GUIDELINE-2: Design the relation schema so that no insertion, deletion or modification anomalies (irregularities)
are present in the relations. If any anomalies are present, note them clearly, and make sure that the programs
that update the database will operate correctly.
Null value in tuples (guideline -3): As far as possible, avoid placing attributes in a relation whose values may
frequently be null. If nulls are unavoidable, make sure that they apply in exceptional cases and do not apply to
a majority of tuples in the relation.
BHABANI SHANKAR PRADHAN 159
 INFORMAL DESIGN GUIDELINES FOR RELATIONAL SCHEMAS :

Generation of spurious tuples( guideline -4):

Design relation schemas so that they can be joined with equality conditions on attributes
that are either primary keys or foreign keys are generated.

Avoid relations that contain matching attributes that are not primary key or foreign key
combinations, because joining on such attributes may produce spurious tuples.

BHABANI SHANKAR PRADHAN 160

 FUNCTIONAL DEPENDENCIES

Functional dependencies are the relationships among the attributes within a relation. Functional dependencies
provide a formal mechanism to express constraints between attributes.

If attribute A functionally depends on attribute B, then for every instance of B you will know the respective
value of A.

Attribute “B” is functionally dependent upon attribute “A” (or collection of attributes) if a value of “A”
determines or single value of attributes “B” at only one time functional dependency helps to identify how
attributes are related to each other.

BHABANI SHANKAR PRADHAN 161

 FUNCTIONAL DEPENDENCIES

Suppose a relation / table R contains two attributes X and Y , we can say that Y is functional depends upon
attributes X if and only if X uniquely determines the value of Y.

for the two tuple t1 and t2 in the relation R

if t1[X] =t 2[X]
then t1[Y] = t2[Y]
So, this means the values of Y component of a tuple is determined by the values of X component of a tuple.
We can say that there is a functional dependency from X to Y is functionally dependent on X.
The abbreviation for functional dependency is FD or f.d and it can be represented by X→Y.
The set of attributes X is called the left-hand side of the FD, and Y is called the right –hand side.

BHABANI SHANKAR PRADHAN 162

 FUNCTIONAL DEPENDENCIES

Example
lets us consider the following example :-

EMPLOYEE
ENAME ENO DOB ADDRESS DNUMBER

Here, by using the key attributes ENO we can derive the other attributes ENAME, ADDRESS and DOB and by
using the ENO and DOB we can derive the attribute AGE.
It can be represented by
FD1: ENO → {ENAME, ADDRESS, DOB}
FD2: {ENO, DOB} → AGE

BHABANI SHANKAR PRADHAN 163

 FUNCTIONAL DEPENDENCIES
The functional dependencies FD1 and FD2 can be represented graphically as :-

EMPLOYEE
ENAME ENO ADDRESS DOB AGE

FD1

FD2

Each FD is displayed as a horizontal line. The left hand side attributes of the FD are connected by vertical
lines to the lines represented the FD, while the right-hand side attributes are connected by arrows pointing
towards the attributes.
Definition :- A functional dependency, denoted by X→Y, between two sets of attributes X and Y that are
subset of R, specifies a constraint and that is for any two tuples t1 and t2 that have t1[X] =t 2[X] then they must
also have t1[Y] = t2[Y].
BHABANI SHANKAR PRADHAN 164
 FULL FUNCTIONAL DEPENDENCY:-

A functional dependency (FD) X→Y is a full functional dependency (FFD) if removal of any attributes A
from X means that the dependency does not hold any more.
{ENO, DOB} → AGE
Here, the combination of ENO and DOB uniquely identifies the AGE of the employee. Here age cannot be
determined by the use of DOB or ENO only.
PARTIAL FUNCTIONAL DEPENDENCY:-

A Functional dependency (FD) X→Y is partial functional dependency if some attributes A ∈ X can be
removed from X and the dependency still holds.

· For example, {ENAME, ENO} → ADDRESS

Here, if we remove ENAME then ENO→ADDRESS still holds.
BHABANI SHANKAR PRADHAN 165
BHABANI SHANKAR PRADHAN 166
BHABANI SHANKAR PRADHAN 167
Solutions Using Relational Algebra
Query: Find movies made after 1997

σ myear > 1997 (Movies)

Query: Find movies made by Hanson after 1997

σ myear >1997 ∧ director=‘Hanson’(Movies)

Query: Find all movies and their ratings

π title, rating(Movies)

Query: Find all actors & directors

π actor(Actors) ∪ πdirector(Directors)
BHABANI SHANKAR PRADHAN 168
Solutions Using Relational Algebra

Query: Find Coen’s movies with McDormand

e1 = π title(σactor=‘McDormand’ (Acts))
e2 = π title(σdirector=‘Coen’ (Movies))
result = e1 ∩ e2

Query: Find movies with Maguire but not ‘McDormand’

σactor=‘Maguire(Acts) – σ actor=‘McDormand’(Acts)

Query: Find actors who have acted in some Coen’s movies

e1 = ρT(title2)(πtitle(σdirector=‘Coen(Movies)))

BHABANI SHANKAR PRADHAN 169

Solutions Using Relational Algebra

Query: Find (director, actor) pairs where the director is younger than the actor

π director, actor( Directors dyear > ayear Actors)

Query: Find actors who have acted in all Coen’s movies

π title(σdirector=‘Coen(Movies))

BHABANI SHANKAR PRADHAN 170

 INFERENCE RULES FOR FUNCTIONAL DEPENDENCY: -

Suppose, F is set of functional dependencies that are specified on relation schema R. It is not possible to
specify all possible functional dependencies for a given situation .
For example if each department has one manager so that DEPT_NO uniquely determines
MANAGER_ENO (DEPT_NO →MGR_ENO), and a manager has a unique phone number called
MGR_PHONE (MGR_ENO→MGR_PHONE), then these two dependencies together imply that
DEPT_NO →MGR_PHONE.
This is an inferred FD and need not be explicitly stated in addition to the two given FDs.
Therefore formally it is useful to define a concept called closure that includes all possible dependencies that
can be inferred from the given set F.

BHABANI SHANKAR PRADHAN 171

 INFERENCE RULES FOR FUNCTIONAL DEPENDENCY: -

DEFINATION
The set of all dependencies that includes F as well as all dependencies that can be inferred from F is called
the closure of F, it is denoted by F+.
Example:

F = ENO → {ENAME, DOB, ADDRESS, DNUM} DNUM → {DNAME, ADDRESS}

F+= ENO → {DNAME, DMGRNO}

To determine a systematic way to infer dependencies we must discover a set of inference rules that can be
used to infer new dependencies from a given set of dependences F.
BHABANI SHANKAR PRADHAN 172
 ARMSTRONG’S AXIOMS OR INFERENCE RULES: -

IR1(REFLEXIVE RULE): -
For a relation R having attributes X and Y.
If X ⊇ Y, then X →Y
Proof: - Suppose X ⊇ Y and two tuples t1 and t2 exist in some relation,
such that, t1[X]=t2[X] then, t1[Y]=t2[Y],
because X ⊇ Y
Hence, X →Y must hold in this relation.

BHABANI SHANKAR PRADHAN 173

 ARMSTRONG’S AXIOMS OR INFERENCE RULES: -

IR2(AUGMENTATION RULE): -
For a relation R having attributes X and Y
If {X→Y} then XZ → YZ
Proof: - Let t1[X]=t2[X] (1)
Then, t1[Y]=t2[Y] (2)
And we can say that t1[XZ]=t2[XZ] (3)
From equation 1 and 2, we can say that, t1[Z]=t2[Z] (4)
From equation 2 and 4 we can say that, t1[YZ]=t2[YZ]
So from the above equation we can say that {X→Y}, then XZ → YZ.

BHABANI SHANKAR PRADHAN 174

 ARMSTRONG’S AXIOMS OR INFERENCE RULES: -

IR3(TRANSITIVE RULE): -
For a relation R having attributes X and Y ,
If {X →Y, Y→Z} then, X→Z
Proof: -
Assume that X →Y and Y→Z both hold in relation R then
we can say that, t1[X]=t2[X] and t1[Y]=t2[Y]
and we can say that t1[Z]=t2[Z]
hence, X→Z must hold in relation R.
BHABANI SHANKAR PRADHAN 175
 ARMSTRONG’S AXIOMS OR INFERENCE RULES: -

IR4(DECOMPOSITION /PROJECTIVE : -
For a relation R having attributes X and Y, If {X→YZ} then, X→Y
Proof: -
Given, X→YZ 1
YZ→Y from IR1 2
Thus from 1 &2 , we can say that X→Y

BHABANI SHANKAR PRADHAN 176

 ARMSTRONG’S AXIOMS OR INFERENCE RULES: -

IR5(UNION / ADDITIVE RULE): -

For a relation R having attributes X and Y, If {X→Y, X→Z } then, X→YZ

Proof
Given X→Y and X→Z 1
X→XY from IR2 2
XY→YZ from IR3 3
X→YZ using IR3 AND EQUATION 2 AND 3
BHABANI SHANKAR PRADHAN 177
 ARMSTRONG’S AXIOMS OR INFERENCE RULES: -

IR6 (PSEUDOTRANSITIVE RULE ) : -

For a relation R having attributes X and Y, If {X→Y, WY→Z} then WX→Z
PROOF
Given
X→Y 1
WY→Z 2
WX→WY (using IR2) 3
WX→Z (USING IR3 AND EQUATION 2 AND 3)
BHABANI SHANKAR PRADHAN 178
 CLOSURE:-

A systematic way to determine the addition functional dependencies is first to determine each set of
attributes X that appears in the left hand side of some functional dependencies in F and then to determine the
set of all attributes that are dependent on X.
Thus, for each set of attributes X, we determine the set X+ of attributes that are functionally determined by
X based on F, X+ is called the closure of X under F.
Example-
F = ENO → ENAME
DNO →{DNAME, DLOCATION}
X+ (CLOSURE SET) ={ ENO} +={ENO, ENAME}
{DNO} +={DNO, DNAME, DLOCATION}

BHABANI SHANKAR PRADHAN 179

 CLOSURE

R(ABC) R(ABCDEFG) R(ABCDE)

A→B A→B A→BC
B→C BC→DE CD→E
AEG→G B→D
(AC)+ = ? E→A
(B)+ = ?

R(ABCDEF) R(ABCDEFGH)
AB→C A→BC
BC→AD CD→E
D→E E→C
CF→B D→AEH
(AB)+ = ? ABH→BD
DH→BC
BCD→H ?
BHABANI SHANKAR PRADHAN 180
 COVER
COVERED BY FUNCTIONAL DEPENDENCY: -
A set of functional dependency F is said to cover another set of functional dependencies E
if every FD in E is also in F+ that is if every dependency in E can be inferred from F then
we can say that E is covered by F.
EQUIVALENT: -

Two sets of functional dependencies E and F are said to be equivalent if E+=F+. Hence
equivalence means that every FD in E cab be inferred from F and every FD in F can be
inferred from E that is E is equivalent to F if both the condition E covers F and F covers E
hold.
BHABANI SHANKAR PRADHAN 181
EQUIVALENCE OF FUNCTIONAL DEPENDENCY

R(ACDEH)
F: A→C G: A→CD F⊇G
AC→D E→AH F⊆G
E→AD F=G
F≠G
E→H

F: (A)+ = ACD G: (A)+ = ACD

(AC)+→ACD (E)+→ACDEH
(E)+→ACDEH

Here we can say that F is equivalent to G

BHABANI SHANKAR PRADHAN 182

EQUIVALENCE OF FUNCTIONAL DEPENDENCY

F: { G: { F⊇G
A→B A→BC F⊆G
AB→C D→AB
F=G
D→AC }
D→E F≠G
}

Findout wheather F covers G or G covers F or both are equivalent

BHABANI SHANKAR PRADHAN 183

 Canonical Cover of Functional Dependencies:

Whenever a user updates the database, the system must check whether any of the functional dependencies
are getting violated in this process. If there is a violation of dependencies in the new database state, the
system must roll back. Working with a huge set of functional dependencies can cause unnecessary added
computational time. This is where the canonical cover comes into play.

A canonical cover of a set of functional dependencies F is a simplified set of functional dependencies that
has the same closure as the original set F.

Extraneous attributes: An attribute of a functional dependency is said to be extraneous if we can remove it

without changing the closure of the set of functional dependencies.
BHABANI SHANKAR PRADHAN 184
 Canonical Cover of Functional Dependencies:

Canonical cover: A canonical cover Fc of a set of functional dependencies F such that ALL the following
properties are satisfied:

F logically implies all dependencies in Fc .

Fc logically implies all dependencies in F.
No functional dependency in Fc contains an extraneous attribute.

Each left side of a functional dependency in Fc is unique. That is, there are no two dependencies α1↦β1
and α2↦β2 in such that α1→α2.

BHABANI SHANKAR PRADHAN 185

 Canonical Cover of Functional Dependencies:

Problem-
The following functional dependencies hold true for the relational scheme R ( W , X , Y , Z )

X→W
WZ → XY
Y → WXZ

Write the irreducible equivalent for this set of functional dependencies.

BHABANI SHANKAR PRADHAN 186

 Solution
Step-01:
Write all the functional dependencies such that each contains exactly one attribute on its right side-
X→W
WZ → X
WZ → Y
Y→W
Y→X
Y→Z
Step-02:
Check the essentiality of each functional dependency one by one.
For X → W:
Considering X → W, (X)+ = { X , W }
Ignoring X → W, (X)+ = { X }
Now, clearly, the two results are different.
Thus, we conclude that X → W is essential and can not be eliminated.

BHABANI SHANKAR PRADHAN 187

 Solution

X→W
For WZ → X:
WZ → X
Considering WZ → X, (WZ)+ = { W , X , Y , Z } WZ → Y
Y→W
Ignoring WZ → X, (WZ)+ = { W , X , Y , Z }
Y→X
Now, Y→Z
X→W
Clearly, the two results are same.
WZ → Y
Thus, we conclude that WZ → X is non-essential and can be eliminated.
Y→W
Eliminating WZ → X, our set of functional dependencies reduces to-
Y→X
Y→Z
Now, we will consider this reduced set in further checks.

BHABANI SHANKAR PRADHAN 188

 Solution

X→W
For WZ → Y:
WZ → X
WZ → Y
Y→W
Considering WZ → Y, (WZ)+ = { W , X , Y , Z }
Y→X
Ignoring WZ → Y, (WZ)+ = { W , Z } Y→Z

Now,
Clearly, the two results are different.
Thus, we conclude that WZ → Y is essential and can not be eliminated.

BHABANI SHANKAR PRADHAN 189

 Solution

For Y → W:
X→W
WZ → X
Considering Y → W, (Y)+ = { W , X , Y , Z } WZ → Y
Y→W
Ignoring Y → W, (Y)+ = { W , X , Y , Z } Y→X
Y→Z

Now, X→W
Clearly, the two results are same. WZ → Y
Y→X
Thus, we conclude that Y → W is non-essential and can be eliminated. Y→Z

Eliminating Y → W, our set of functional dependencies reduces to-

BHABANI SHANKAR PRADHAN 190

 Solution

For Y → X:
Considering Y → X, (Y)+ = { W , X , Y , Z }
Ignoring Y → X, (Y)+ = { Y , Z }
Now,
Clearly, the two results are different.
Thus, we conclude that Y → X is essential and can not be eliminated.

For Y → Z:
X→W
Considering Y → Z, (Y)+ = { W , X , Y , Z }
WZ → Y
Ignoring Y → Z, (Y)+ = { W , X , Y }
Y→X
Now,
Y→Z
Clearly, the two results are different.
Thus, we conclude that Y → Z is essential and can not be eliminated.
From here, our essential functional dependencies are-

BHABANI SHANKAR PRADHAN 191

 Lecture – 11 Prepared by Prof. Ranjeet Kumar Panigrahi Database Design

Solution

Step-03:

Consider the functional dependencies having more than one attribute on their left side.
Check if their left side can be reduced.

In our set,
Only WZ → Y contains more than one attribute on its left side.
Considering WZ → Y, (WZ)+ = { W , X , Y , Z }

Now,
Consider all the possible subsets of WZ.
Check if the closure result of any subset matches to the closure result of WZ.
(W)+ = { W }
(Z)+ = { Z }

BHABANI SHANKAR PRADHAN 192

 Solution

Clearly,
None of the subsets have the same closure result same as that of the entire left side.
Thus, we conclude that we can not write WZ → Y as W → Y or Z → Y.
Thus, set of functional dependencies obtained in step-02 is the canonical cover.
Finally, the canonical cover is-
X→W
WZ → Y
Y→X
Y→Z
Canonical Cover
BHABANI SHANKAR PRADHAN 193
Canonical Cover of Functional Dependencies:
Example1:
Consider the following set F of functional dependencies:
F= {
A→BC
B→C
A→B
AB→C
}
Example2:
Consider another set F of functional dependencies:
F={
A→BC
CD→E
B→D
E→A
}
BHABANI SHANKAR PRADHAN 194
 KEYS

Generally a column has a name but the row does not

A B C
To find any specific data in any row we need to refer some
1 a x
value 2 b Y
A key is a attribute or a set of attribute which isA→B
capable of 3 b X

finding data in any row without any conflict. 4 C y

For ex: in the given table we hold some functional dependencies

like
A→BC
BC→A
There is no difference between the key and a super key
BHABANI SHANKAR PRADHAN 195
 KEYS

R(ABCD)
A super-key is a key if it can find every attribute of the relation. FD SK CK
If a proper subset of a super-key is a super-key than its not a A→BCD √ √
candidate key. AB→CD √ X

A super-key is a key if it can find every attribute of the relation. ABC→D √ X

BD→AC √ √
If a proper subset of a super-key is a super-key than its not a
C→AD X X
candidate key.
A minimal super-key is a candidate key

BHABANI SHANKAR PRADHAN 196

 FINDING CANDIDATE KEYS

R(ABCDEFGH) R(ABCDEFGH) R(ABCDE)

AB→C AB→C BC→ADE
A→DE BD→EF D→B
B→F AD→G
F→GH A→H

R(ABCDE) R(WXYZ) R(ABCDEFGH)

AB→CD Z→W CH→G
D→E Y→XZ A→BC
BC→DE WX→Y B→CFH
E→A

BHABANI SHANKAR PRADHAN 197

Reason for Normalization

Insertion, deletion and updation anomalies.

STUDENT
ROLL NO NAME AGE BRANCH ID BRANCH NAME HOD NAME HOD PH
1 A 20 121 CS XYZ 123
2 B 21 121 CS XYZ 123
3 C 19 121 CS XYZ 123

BHABANI SHANKAR PRADHAN 198

Normalization
Normalization is the process of efficiently organizing data by analyzing and decomposing the complex
relation to form a simple relation.

Normalization is the process of analyzing the given relation schemas based on their functional
dependencies and primary keys to achieve the desired properties like
Minimizing redundancy
Minimizing the insertion, deletion and updation anomalies.

Normalization is carried out for the following reasons: -

To structure the data between relations as maintenance is simplified.
To allow data retrieval at optimal speed.
To reduce the need to restructure relations as application requirements arise.
To improve the quality of design for an application
To minimizing the insertion, deletion, and update anomalies.
To structure the data between relations so that data redundancy can be minimized
BHABANI SHANKAR PRADHAN 199
 FIRST NORMAL FORM (1NF): -
ROLL NAME COURSE
A relation is said to be in first normal form, if the 001 RAKESH OS
domain of an attribute must include only atomic (simple, CN
002 RAHUL DBMS
individual) values. CO
It disallows multi-valued and composite attribute.
1 NF
Steps to convert the relation into 1NF: -
Eliminate duplicate columns from the same relation. ROLL NAME COURSE
Create a separate relation for each set of related 001 RAKESH OS
data and identify each set of related data with a 001 RAKESH CN
002 RAHUL DBMS
primary key.
002 RAHUL CO

BHABANI SHANKAR PRADHAN 200

SECOND NORMAL FORM (2NF): -
A relation is in 2NF if: -
 It is in 1NF R(A B C D)
 It includes only that attribute which is fully dependent on its
AB→D
primary key. B→C
Steps to convert a relation to its 2NF is: -
Find and remove the fields that are related to the only part of the
primary key.
Group the removed items in another relation.
Assign the new relation with a primary key
Definition: A relation schema R is in 2NF if every nonprime attribute A in R is fully
dependent on the primary key of R.
BHABANI SHANKAR PRADHAN 201
3RD NORMAL FORM(3NF): -

A relation is said to be in 3NF if: - R(A B C D)

It is in 2NF and
AB→C
There exists no transitive functional dependency. C→D
Definition: A relation schema R is in 3NF if it satisfies 2NF and no nonprime
attributes of R is transitively dependent on the set of primary key.

Transitive dependency: X→Y in a relational schema R is a transitive dependency

if there is a set of attributes Z that is neither a candidate key nor a subset of any
key of R and both X→Z and Z→Y holds .

BHABANI SHANKAR PRADHAN 202

BOYCE –CODD NORMAL FORM: -(BCNF)

R(A B C )
A relation is said to be BCNF if 1NF
and only if all the determinants AB→C
2NF C→B
are candidate keys.

3NF
Restrictions
2NF P→NP
3NF NP→NP BCNF
BCNF P/NP→P

BHABANI SHANKAR PRADHAN 203

BOYCE –CODD NORMAL FORM: -(BCNF) R(A B C D)

AB→C
C→B
R
A C C B Restrictions
A B C
a x x 1 2NF P→NP
a 1 x BCNF
b y y 2 3NF
b 2 y NP→NP
c z z 2
c 2 z BCNF P/NP→P
c w w 3
c 3 w
d w
d 3 w
e w
e 3 w

BHABANI SHANKAR PRADHAN 204

 IDENTIFYING NORMAL FORM

R(A B C D E F G H) R(A B C D E F G H) R(A B C D E)

AB→C AB→C CE→D
A→DE BD→EF D→B
B→F AD→GH C→A
F→GH A→I

R(A B C D E F) R(A B C D E) R(A B C D E)

AB→C AB→CD BC→ADE
DC→AE D→B
Restrictions
D→A
E→F BC→DE 2NF P→NP
3NF NP→NP
AB, ABD, CE, ABD-BCD, AB-BD-BC, BC-CD
BCNF P/NP→P
BHABANI SHANKAR PRADHAN 205
HOW TO NORMALIZE A RELATION TABLE?

R(A B C D E F G H I J)
AB→C
R( A B C D E F G H I J ) A→DE
B→F
F→GH
D→IJ

BHABANI SHANKAR PRADHAN 206

 RELATIONAL DECOMPOSITION:

For a good database design the database schema must satisfy the normal form by decomposing the
relation schema and must satisfy certain properties: -
Dependency preservation property
Lossless / non additive join property
Dependency preservation property: -
By using the functional dependencies, the universal relation schema R is divided/decomposed into a set of relation
schema D ={R1, R2 ……,Rn}
This property states that each functional dependency X→Y specified in F that appeared directly in one of the
relation schema R must be appeared in one of the relation in the decomposition D, So that no dependency are lost.
It is sufficient that the union of the dependencies that hold in the individual relation in D be equivalent to f of R.
Suppose
For a relation R ={A1 ,A2 ,…..An}, The set of FD in F (X →Y) Decomposition (D) = {R1, R2 ……,Rn}
Then the property says that
(R1(F) U R2(F) U……….U Rn(F))+ =F+
BHABANI SHANKAR PRADHAN 207
 Examples for Decomposition Property

If a table having FD set of F, is decomposed into two tables R1 and R2 having FD set F1 and F2 than,
F1 ⊆ F+
R(ABC) R(ABCD)
F2 ⊆ F+
A→B AB→CD
B→C D→A
(F1∪F2)+=F+ C→A

R1(AD) R2(BC)
R1(AB) R2(BC)

BHABANI SHANKAR PRADHAN 208

 Lossless/non additive join property:

This property ensures that no spurious tuples are generated when a natural join operation is applied to the
relations in the decomposition.
Let R be the relation schema,
F be the set of functional dependencies on R. R1 and R2 be the decomposition of R
r be the relation instance with schema R
Then we can say that the decomposition is a loss less decomposition if
R1 ⋈ R2 = R
 If we project r onto R1 and R2 and compute the natural join of the projection results, we get back exactly r.
The decomposition that is not a lossless decomposition is called as lossy decomposition.

BHABANI SHANKAR PRADHAN 209

 Lossless JOIN Dependencies:

This property ensures that the extra or less tuple generation problem doesn’t occur after decomposition.
If a relation R is decomposed into two relations R1 and R2, then it will be lossless iff
Attribute(R1) ∪ attribute(R2)=attribute(R)
Attribute(R1) ∩ attribute(R2) ≠Φ A B C D
1 a p x
Attribute(R1) ∩ attribute(R2) → Attribute(R1)
2 b q y
OR
 Attribute(R1) ∩ attribute(R2) → Attribute(R2)
A B C D
1 a p x
2 b q y

BHABANI SHANKAR PRADHAN 210

 Lossless JOIN Dependencies:

Attribute(R1) ∪ attribute(R2)=attribute(R) A B C
Attribute(R1) ∩ attribute(R2) ≠Φ 1 a p
2 b q
Attribute(R1) ∩ attribute(R2) → Attribute(R1)
3 a r
OR
A B B C
 Attribute(R1) ∩ attribute(R2) → Attribute(R2)
1 a a p
2 b b q
3 a a r

BHABANI SHANKAR PRADHAN 211

Lossless JOIN Dependencies:

A B C D E R(VWXYZ) Attribute(R1) ∪
a 122 1 p w Z→Y attribute(R2)=attribute(R)
b 234 2 q x Y→Z
X→YV Attribute(R1) ∩ attribute(R2) ≠Φ
a 568 1 r y
VW→X Attribute(R1) ∩ attribute(R2) →
c 347 3 s z
Attribute(R1)
R1(VWX),R2(XYZ) OR
R1(AB),R2(CD)
R1(VW), R2(YZ)
R1(ABC), R2(DE)  Attribute(R1) ∩ attribute(R2) →
R1(VWX),R2(YZ)
R1(ABC),R2(CDE)
R1(VW),R2(WXYZ) Attribute(R2)
R1(ABCD),R2(ACDE)

BHABANI SHANKAR PRADHAN 212

 4th Normal Form :
If two or more independent relation are kept in a single relation or we can say multivalue
dependency occurs when the presence of one or more rows in a table implies the presence of one or more
other rows in that same table.
A multivalued dependency always requires at least three attributes because it consists of at least two
attributes that are dependent on a third.
For a dependency A -> B, if for a single value of A, multiple value of B exists, then the table may have
multi-valued dependency. The table should have at least 3 attributes and B and C should be independent for
A ->> B multivalued dependency.
PERSON MOBILE FOOD_LIKES
For example, Mahesh 9893/9424 Burger / pizza
Person->-> mobile,
Person ->-> food_likes Ramesh 9191 Pizza

BHABANI SHANKAR PRADHAN 213

 Fourth normal form (4NF):

Fourth normal form (4NF) is a level of database normalization where there are no non-trivial multivalued
dependencies other than a candidate key. It builds on the first three normal forms (1NF, 2NF and 3NF) and the
Boyce-Codd Normal Form (BCNF). It states that, in addition to a database meeting the requirements of BCNF, it
must not contain more than one multivalued dependency.
Properties – A relation R is in 4NF if and only if the following conditions are satisfied:
It should be in the Boyce-Codd Normal Form (BCNF).
the table should not have any Multi-valued Dependency.
A table with a multivalued dependency violates the normalization standard of Fourth Normal Form (4NK)
because it creates unnecessary redundancies and can contribute to inconsistent data. To bring this up to 4NF, it
is necessary to break this information into two tables.
BHABANI SHANKAR PRADHAN 214
 Fourth normal form (4NF):

Example – Consider the database table of a class which has two relations R1 contains student ID(SID) and
student name (SNAME) and R2 contains course id(CID) and course name (CNAME).

SID SNAME
S1 A SID SNAME CID CNAME
S2 B S1 A C1 C
R1 X R2
S1 A C2 D
CID CNAME S2 B C1 C
C1 C S2 B C2 D
C2 D

BHABANI SHANKAR PRADHAN 215

 Fifth Normal Form / Projected Normal Form (5NF):

A relation R is in 5NF if and only if every join dependency in R is implied by the candidate keys of R. A
relation decomposed into two relations must have loss-less join Property, which ensures that no spurious or extra
tuples are generated, when relations are reunited through a natural join.

Properties – A relation R is in 5NF if and only if it satisfies following conditions:

R should be already in 4NF.
It cannot be further non loss decomposed (join dependency)

BHABANI SHANKAR PRADHAN 216

 Fifth Normal Form / Projected Normal Form (5NF):
Example – Consider the above schema, with a case as “if a company makes a product and an agent is an
agent for that company, then he always sells that product for the company”. Under these circumstances, the ACP
table is shown as: AGENT COMPANY AGENT PRODUCT
A1 PQR A1 Nut
AGENT COMPANY PRODUCT A1 XYZ A1 Bolt
A1 PQR Nut The relation ACP is
again decompose into A2 PQR A2 Nut
A1 PQR Bolt 3 relations. Now, the
natural Join of all the COMPANY PRODUCT
A1 XYZ Nut
three relations will be PQR Nut
A1 XYZ Bolt shown as:
PQR Bolt
A2 PQR Nut
XYZ Nut
XYZ Bolt

BHABANI SHANKAR PRADHAN 217

 Storage System in DBMS
A database system provides an ultimate view of the stored data.
However, data in the form of bits, bytes get stored in different
storage devices.
Types of Data Storage
For storing the data, there are different types of storage options
available. These storage types differ from one another as per the
speed and accessibility. There are the following types of storage
devices used for storing the data:
Primary Storage
Secondary Storage
Tertiary Storage
BHABANI SHANKAR PRADHAN 218
 Storage System in DBMS

• Primary Storage − The memory storage that is directly accessible to the CPU comes under this
category. CPU's internal memory (registers), fast memory (cache), and main memory (RAM) are directly
accessible to the CPU, as they are all placed on the motherboard or CPU chipset. This storage is typically
very small, ultra-fast, and volatile. Primary storage requires continuous power supply in order to maintain its
state. In case of a power failure, all its data is lost.

• Secondary Storage − Secondary storage devices are used to store data for future use or as
backup. Secondary storage includes memory devices that are not a part of the CPU chipset or
motherboard, for example, magnetic disks, optical disks (DVD, CD, etc.), hard disks, flash drives, and
magnetic tapes.

BHABANI SHANKAR PRADHAN 219

 Storage System in DBMS

• Tertiary Storage − Tertiary storage is used to store huge volumes of data. Since such storage
devices are external to the computer system, they are the slowest in speed. These storage devices are
mostly used to take the back up of an entire system. Optical disks and magnetic tapes are widely used as
tertiary storage.

• Memory Hierarchy
A computer system has a well-defined hierarchy of memory. A CPU has direct access to it main memory as
well as its inbuilt registers. The access time of the main memory is obviously less than the CPU speed. To
minimize this speed mismatch, cache memory is introduced. Cache memory provides the fastest access time
and it contains data that is most frequently accessed by the CPU.

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 Magnetic Disks

Note: The memory with the fastest access is the costliest one. Larger storage devices offer slow speed and
they are less expensive, however they can store huge volumes of data as compared to CPU registers or
cache memory.
Hard disk drives are the most common secondary storage devices in present computer systems. These are
called magnetic disks because they use the concept of magnetization to store information. Hard disks
consist of metal disks coated with magnetizable material. These disks are placed vertically on a spindle. A
read/write head moves in between the disks and is used to magnetize or de-magnetize the spot under it. A
magnetized spot can be recognized as 0 (zero) or 1 (one).

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 Magnetic Disks

Hard disks are formatted in a well-defined order to store data

efficiently. A hard disk plate has many concentric circles on it,
called tracks. Every track is further divided into sectors. A sector on
a hard disk typically stores 512 bytes of data.

3/26/2023 DEPARTMENT
BHABANI
OF CSE,SHANKAR
GIET UNIVERSITY,
PRADHANGUNUPUR 222 222
File Organization

The File is a collection of records. Using the primary key, we can access the records. The type and frequency of
access can be determined by the type of file organization which was used for a given set of records.
File organization is a logical relationship among various records. This method defines how file records are mapped
onto disk blocks.
File organization is used to describe the way in which the records are stored in terms of blocks, and the blocks are
placed on the storage medium.
The first approach to map the database to the file is to use the several files and store only one fixed length record
in any given file. An alternative approach is to structure our files so that we can contain multiple lengths for records.
Files of fixed length records are easier to implement than the files of variable length records.

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File Organization
Objective of file organization
It contains an optimal selection of records, i.e., records can be selected as fast as possible.
To perform insert, delete or update transaction on the records should be quick and easy.
The duplicate records cannot be induced as a result of insert, update or delete.
For the minimal cost of storage, records should be stored efficiently.

Types of file organization:

File organization contains various methods. These particular methods have pros and cons on the basis of access
or selection. In the file organization, the programmer decides the best-suited file organization method according to
his requirement.

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File Organization

Types of file organization are as follows:

Sequential file organization

Heap file organization
Hash file organization
B+ file organization
Indexed sequential access method (ISAM)
Cluster file organization

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Sequential File Organization
This method is the easiest method for file organization. In this method, files are stored sequentially. This
method can be implemented in two ways:
1. Pile File Method:
It is a quite simple method. In this method, we store the record in a sequence, i.e., one after another.
Here, the record will be inserted in the order in which they are inserted into tables.
In case of updating or deleting of any record, the record will be searched in the memory blocks. When
it is found, then it will be marked for deleting, and the new record is inserted.

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Sequential File Organization

Insertion of the new record:

Suppose we have four records R1, R3 and so on upto R9 and R8 in a sequence. Hence, records are
nothing but a row in the table. Suppose we want to insert a new record R2 in the sequence, then it will be
placed at the end of the file. Here, records are nothing but a row in any table.

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Sequential File Organization

2. Sorted File Method:

In this method, the new record is always inserted at the file's end, and then it will sort the sequence in
ascending or descending order. Sorting of records is based on any primary key or any other key.
In the case of modification of any record, it will update the record and then sort the file, and lastly, the
updated record is placed in the right place.

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 Sequential File Organization

Insertion of the new record:

Suppose there is a preexisting sorted sequence
of four records R1, R3 and so on upto R6 and
R7. Suppose a new record R2 has to be
inserted in the sequence, then it will be inserted
at the end of the file, and then it will sort the
sequence.

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Sequential File Organization

Pros of sequential file organization

It contains a fast and efficient method for the huge amount of data.
In this method, files can be easily stored in cheaper storage mechanism like magnetic tapes.
It is simple in design. It requires no much effort to store the data.
This method is used when most of the records have to be accessed like grade calculation of a student, generating
the salary slip, etc.
This method is used for report generation or statistical calculations.
Cons of sequential file organization
It will waste time as we cannot jump on a particular record that is required but we have to move sequentially
which takes our time.
Sorted file method takes more time and space for sorting the records.
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 Heap file organization
It is the simplest and most basic type of organization. It works
with data blocks. In heap file organization, the records are
inserted at the file's end. When the records are inserted, it
doesn't require the sorting and ordering of records.
When the data block is full, the new record is stored in some
other block. This new data block need not to be the very next
data block, but it can select any data block in the memory to
store new records. The heap file is also known as an unordered
file.
In the file, every record has a unique id, and every page in a
file is of the same size. It is the DBMS responsibility to store and
manage the new records.
BHABANI SHANKAR PRADHAN 231
 Heap file organization
Insertion of a new record
Suppose we have five records R1, R3, R6, R4 and R5 in a heap and suppose we want to insert a new record R2 in a heap.
If the data block 3 is full then it will be inserted in any of the database selected by the DBMS, let's say data block 1.
If we want to search, update or delete the data in
heap file organization, then we need to traverse the
data from staring of the file till we get the requested
record.
If the database is very large then searching,
updating or deleting of record will be time-consuming
because there is no sorting or ordering of records. In
the heap file organization, we need to check all the
data until we get the requested record.

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Heap file organization

Pros of Heap file organization

It is a very good method of file organization for bulk insertion. If there is a large number of data
which needs to load into the database at a time, then this method is best suited.
In case of a small database, fetching and retrieving of records is faster than the sequential record.
Cons of Heap file organization
This method is inefficient for the large database because it takes time to search or modify the record.
This method is inefficient for large databases.

BHABANI SHANKAR PRADHAN 233

Hash File Organization
Hash File Organization uses the computation of hash function on some fields of the records. The hash
function's output determines the location of disk block where the records are to be placed.

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 Hash File Organization
When a record has to be received using the hash
key columns, then the address is generated, and the
whole record is retrieved using that address. In the
same way, when a new record has to be inserted,
then the address is generated using the hash key and
record is directly inserted. The same process is
applied in the case of delete and update.
In this method, there is no effort for searching and
sorting the entire file. In this method, each record will
be stored randomly in the memory.

BHABANI SHANKAR PRADHAN 235

 B+ File Organization

B+ tree file organization is the advanced method of an indexed sequential access method. It uses a tree-like
structure to store records in File.
It uses the same concept of key-index where the primary key is used to sort the records. For each primary key, the
value of the index is generated and mapped with the record.

The B+ tree is similar to a binary search tree

(BST), but it can have more than two children. In
this method, all the records are stored only at
the leaf node. Intermediate nodes act as a
pointer to the leaf nodes. They do not contain
any records.

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 B+ File Organization

The above B+ tree shows that:

There is one root node of the tree, i.e., 25.
There is an intermediary layer with nodes. They do not store the actual record. They have only pointers to
the leaf node.
The nodes to the left of the root node contain the prior value of the root and nodes to the right contain
next value of the root, i.e., 15 and 30 respectively.
There is only one leaf node which has only values, i.e., 10, 12, 17, 20, 24, 27 and 29.
Searching for any record is easier as all the leaf nodes are balanced.
In this method, searching any record can be traversed through the single path and accessed easily.

BHABANI SHANKAR PRADHAN 237

 B+ File Organization

Pros of B+ tree file organization

In this method, searching becomes very easy as all the records are stored only in the leaf nodes and
sorted the sequential linked list.
Traversing through the tree structure is easier and faster.
The size of the B+ tree has no restrictions, so the number of records can increase or decrease and the B+
tree structure can also grow or shrink.
It is a balanced tree structure, and any insert/update/delete does not affect the performance of tree.
Cons of B+ tree file organization
This method is inefficient for the static method.

BHABANI SHANKAR PRADHAN 238

 Indexing in Databases
Indexing is a way to optimize the performance of a database by
minimizing the number of disk accesses required when a query is
processed. It is a data structure technique which is used to quickly
locate and access the data in a database.

Indexes are created using a few database columns.

The first column is the Search key that contains a copy of the primary key or candidate key of the table.
These values are stored in sorted order so that the corresponding data can be accessed quickly.
Note: The data may or may not be stored in sorted order.
The second column is the Data Reference or Pointer which contains a set of pointers holding the address of
the disk block where that particular key value can be found.
BHABANI SHANKAR PRADHAN 239
 Indexing in Databases

The indexing has various attributes:

Access Types: This refers to the type of access such as value based search, range access, etc.
Access Time: It refers to the time needed to find particular data element or set of elements.
Insertion Time: It refers to the time taken to find the appropriate space and insert a new
data.
Deletion Time: Time taken to find an item and delete it as well as update the index structure.
Space Overhead: It refers to the additional space required by the index.
In general, there are two types of file organization mechanism which are followed by the indexing
methods to store the data:
BHABANI SHANKAR PRADHAN 240
 Indexing in Databases
Sequential File Organization or Ordered Index File: In this, the indices are based on a sorted
ordering of the values. These are generally fast and a more traditional type of storing mechanism.
These Ordered or Sequential file organization might store the data in a dense or sparse format:

Dense Index:
For every search key value in the data
file, there is an index record.
This record contains the search key and
also a reference to the first data record
with that search key value.
BHABANI SHANKAR PRADHAN 241
 Indexing in Databases
Sparse Index:
The index record appears only for a few
items in the data file. Each item points to a
block as shown.
To locate a record, we find the index
record with the largest search key value less
than or equal to the search key value we
are looking for.
We start at that record pointed to by the index record, and proceed along with the pointers in the
file (that is, sequentially) until we find the desired record.
BHABANI SHANKAR PRADHAN 242
 Indexing in Databases
There are primarily three methods of indexing:
Clustered Indexing
Non-Clustered or Secondary Indexing
Multilevel Indexing

Clustered Indexing
When more than two records are stored in the same file these types of storing known as cluster
indexing. By using the cluster indexing we can reduce the cost of searching reason being multiple
records related to the same thing are stored at one place and it also gives the frequent joining of
more than two tables(records).
BHABANI SHANKAR PRADHAN 243
 Indexing in Databases

Clustering index is defined on an ordered data file. The data file is ordered on a non-key field.
In some cases, the index is created on non-primary key columns which may not be unique for each
record. In such cases, in order to identify the records faster, we will group two or more columns
together to get the unique values and create index out of them. This method is known as the
clustering index. Basically, records with similar characteristics are grouped together and indexes
are created for these groups.
For example, students studying in each semester are grouped together. i.e. 1st Semester students,
2nd semester students, 3rd semester students etc are grouped.

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BHABANI SHANKAR PRADHAN 245
 Clustered index

Clustered index sorted according to first name (Search key)

Primary Indexing:
This is a type of Clustered Indexing where the data is sorted according to the search key
and the primary key of the database table is used to create the index. It is a default format
of indexing where it induces sequential file organization. As primary keys are unique and
are stored in a sorted manner, the performance of the searching operation is quite efficient.

BHABANI SHANKAR PRADHAN 246

 Non-clustered or Secondary Indexing
A non clustered index just tells us where the data lies, i.e. it gives us a list of virtual pointers or references to
the location where the data is actually stored. Data is not physically stored in the order of the index. Instead,
data is present in leaf nodes. For eg. the contents page of a book. Each entry gives us the page number or
location of the information stored. The actual data here(information on each page of the book) is not
organized but we have an ordered reference(contents page) to where the data points actually lie. We can
have only dense ordering in the non-clustered index as sparse ordering is not possible because data is not
physically organized accordingly.
It requires more time as compared to the clustered index because some amount of extra work is done in
order to extract the data by further following the pointer. In the case of a clustered index, data is directly
present in front of the index.
BHABANI SHANKAR PRADHAN 247
BHABANI SHANKAR PRADHAN 248
 Multilevel Indexing

With the growth of the size of the database, indices also grow. As the index is stored in
the main memory, a single-level index might become too large a size to store with multiple
disk accesses. The multilevel indexing segregates the main block into various smaller blocks
so that the same can stored in a single block. The outer blocks are divided into inner blocks
which in turn are pointed to the data blocks. This can be easily stored in the main memory
with fewer overheads.

BHABANI SHANKAR PRADHAN 249

BHABANI SHANKAR PRADHAN 250
 P.K -- -- --
Primary Indexing 1
2
.
Anchor attribute Index file Block Pointer .
The main file is sorted 11
Primary key is used as anchor .
P.K B.P .
attribute(search key) 1 21
11 .
It’s an example of sparse indexing .
21
No of entries = no of blocks acquired in .

….
.
index file by the main memory. 91 .
91
No of access required = log 2n+1 .
.

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 Clustered Indexing
Main File

N.K -- -- --
Non-key attribute Index file Block Pointer 1
1
The main file is sorted(on a non-key 1
N.K B.P 2
attribute) 1 3
2 4
There will be one entry for each unique 4
3
value of the non key attribute. 5
4 5
If no. of block acquired by index file is n, 5 6
6 6
then block access required will be ≥ log2n+1 .
.
.
BHABANI SHANKAR PRADHAN 252
 Main File
Secondary Indexing
S.K -- -- --
The main file is un-sorted Anchor attribute Index file Block Pointer 1
27
S.K B.P
Can be done on key as well as non-key .
1 3
attribute. 2 91
Called secondary because normally one 3 .
.
4
indexing is already done. 2
5
It’s an example of dense indexing. 5
6
.
No of entry in index file = no of entry in .
6
main file. .

….
No of Access = [log 2n]+1 .
91

BHABANI SHANKAR PRADHAN 253

 RAID (Redundant Arrays of Independent Disks)
RAID, or “Redundant Arrays of Independent Disks” is a technique which makes use of a combination of
multiple disks instead of using a single disk for increased performance, data redundancy or both. The term was
coined by David Patterson, Garth A. Gibson, and Randy Katz at the University of California, Berkeley in 1987.

Why data redundancy?

Data redundancy, although taking up extra space, adds to disk reliability. This means, in case of disk failure, if
the same data is also backed up onto another disk, we can retrieve the data and go on with the operation. On
the other hand, if the data is spread across just multiple disks without the RAID technique, the loss of a single disk
can affect the entire data.

BHABANI SHANKAR PRADHAN 254

 Key evaluation points for a RAID System
Reliability: How many disk faults can the system tolerate?
Availability: What fraction of the total session time is a system in uptime mode, i.e. how available is the system
for actual use?
Performance: How good is the response time? How high is the throughput (rate of processing work)? Note that
performance contains a lot of parameters and not just the two.
Capacity: Given a set of N disks each with B blocks, how much useful capacity is available to the user?
RAID is very transparent to the underlying system. This means, to the host system, it appears as a single big disk
presenting itself as a linear array of blocks. This allows older technologies to be replaced by RAID without
making too many changes in the existing code.

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 RAID (Redundant Arrays of Independent Disks)

RAID 0
In this level, a striped array of disks is implemented. The data is broken down into blocks and the blocks
are distributed among disks. Each disk receives a block of data to write/read in parallel. It enhances the
speed and performance of the storage device. There is no parity and backup in Level 0.
There is no duplication of data. Hence, a block once lost cannot be recovered.

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 RAID (Redundant Arrays of Independent Disks)
RAID 1
RAID 1 uses mirroring techniques. When data is sent to a RAID controller, it sends a copy of data to all the
disks in the array. RAID level 1 is also called mirroring and provides 100% redundancy in case of a failure.
1 disk failure can be handled for certain, because blocks of that disk would have duplicates on some other
disk. If we are lucky enough and disks 0 and 2 fail, then again this can be handled as the blocks of these
disks have duplicates on disks 1 and 3. So, in the best case, N/2 disk failures can be handled.

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 RAID (Redundant Arrays of Independent Disks)
RAID 2
RAID 2 records Error Correction Code using Hamming distance for its data, striped on different disks. Like
level 0, each data bit in a word is recorded on a separate disk and ECC codes of the data words are stored
on a different set disks. Due to its complex structure and high cost, RAID 2 is not commercially available.
RAID-2 consists of bit-level striping using a Hamming Code parity.

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 RAID (Redundant Arrays of Independent Disks)
RAID 3
RAID 3 stripes the data onto multiple disks. The parity bit generated for data word is stored on a different
disk. This technique makes it to overcome single disk failures.
RAID-3 consists of byte-level striping with a dedicated parity.

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 RAID (Redundant Arrays of Independent Disks)

RAID 4
In this level, an entire block of data is written onto data disks and then the parity is generated and stored on
a different disk. Note that level 3 uses byte-level striping, whereas level 4 uses block-level striping. Both level
3 and level 4 require at least three disks to implement RAID.

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 RAID (Redundant Arrays of Independent Disks)

RAID 5
RAID 5 writes whole data blocks onto different disks, but the parity bits generated for data block stripe are
distributed among all the data disks rather than storing them on a different dedicated disk.

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 RAID (Redundant Arrays of Independent Disks)

RAID 6
RAID 6 is an extension of level 5. In this level,
two independent parities are generated and
stored in distributed fashion among multiple
disks. Two parities provide additional fault
tolerance. This level requires at least four disk
drives to implement RAID.

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 Query Processing and Optimization

Query processing refers to the range of activities involved in

extracting data from a database.
A query expressed in a high level query language such as
SQL must first be scanned, parsed and validated.
Steps while processing high level query:-
when a query written in a high level language than first it is
scanned
 The scanner identifies the language taken such as SQL
keywords, attributes and relation name
BHABANI SHANKAR PRADHAN 263
 Query Processing and Optimization
The parser checks the query syntax to determine whether the query is formulated according to
the syntax rules (rules of grammar) of the query language.
Then the query must be validated, by checking that all attributes names and relation name are
valid and semantically meaningful name.
An internal representation of the query is created usually pre data structure called query tree
or a graph data structure called query graphs.
Then the DBMS must then make an execution strategy /plan. A query typically has possible
execution strategy and the process of choosing a suitable one for the processing a query is called
as query optimization.
BHABANI SHANKAR PRADHAN 264
 Query Processing and Optimization

Then basing upon the query execution plan the code generator generates the code to execute
the plan.
Finally the runtime database processor has the task of running the query code whether in
compiled/interpreted mode.
If the runtime error occurs an error message is generated by the runtime data base processor.

BHABANI SHANKAR PRADHAN 265

 Query Optimization:
Query optimization is the process of selecting the most efficient query execution plan from many
strategies available, that is usually possible for processing a given query especially if the query is
complex.
There are two main techniques for implementing query optimization:-
Heuristic rules for ordering the operation in a query execution strategy. This involves mainly query
tree/ query graph.
Systematic cost estimation of different execution plan/strategy and choosing the best with the lower
cost estimation
Translating SQL queries into Relational Algebra:-
SQL is a query language which is first translated into an equivalent extended relational algebra,
represented as a query tree data structure which is then optimized.
Ex:
SQL> select name from STUDENT where branch = “CSE”
Relational Algebra: ∏ NAME(σ Branch = “MCA” (STUDENT)
BHABANI SHANKAR PRADHAN 266
 Heuristic Rules in Query Optimization:
The optimization technique that apply heuristic rules to modify the internal representation of a query ,which is
usually in the form of a query tree/ query graph data structure to improve the expectation performance.
The parser of a high-level query first generates an initial representation which is then optimized according to
the Heuristic rules.
Query Tree:-
A query tree is a tree data structure that corresponds to a relational algebra expression or extended
relational algebra expression.
A query tree represents the input relation of the query as leaf nodes of the tree ,and represents the
relational algebra operations as internal nodes.
An execution of the query tree consists of executing an internal node operation whenever its operands are
available and then replacing that internal node by the relation that results from executing the operation.
The execution terminates when the root node is executed and produces the result relation for the query.
BHABANI SHANKAR PRADHAN 267
 Examples:

∏ NAME, ROLL, ADDRESS

Q. Select name, roll, address from student where branch = ‘MCA’

R. ∏ NAME, ROLL, ADDRESS(σ Branch = “MCA” (STUDENT) σ Branch = “MCA”

The corresponding query tree will be: STUDENT

BHABANI SHANKAR PRADHAN 268

 Examples:
EMPLOYEE
ENO ENAME DOB ADDRESS SALARY DNO

DEPARTMENT PROJECT
DNO DNAME DMGRENO PNO PNAME PLOCATION DNUM

Q1. Find out the employee name and his department name whose address is ‘GUNUPUR’ and working under marketing
department.
Q2. Find out the employees name, department name, date of birth and the project name where every project located in
‘MUMBAI’
BHABANI SHANKAR PRADHAN 269
 Examples: (Solution – Q1)

Q1. SELECT E.ENAME, D.DNAME FROM EMPLOYEE E, DEPARTMENT D

∏ ENAME, DNAME
WHERE E.ADDRESS = ‘GUNUPUR’ AND E.ENO = D.DMGRENO
RA1. ∏ ENAME, DNAME, (σ ADDRESS= “GUNUPUR” (EMPLOYEE DEPARTMENT)
σ ADDRESS= “GUNUPUR”
OR
Temp1- EMPLOYEE DEPARTMENT
E.ENO =D.DMRENO
Temp2- σ ADDRESS= “GUNUPUR” (Temp1)
Result- ∏ ENAME, DNAME (Temp2)
STUDENT STUDENT
The corresponding query tree will be:

BHABANI SHANKAR PRADHAN 270

 Examples: (Solution – Q2)
Q1. SELECT E.ENAME, E.DOB, D.DNAME, P.PNAME FROM EMPLOYEE E, DEPARTMENT D, PROJECT P WHERE
P.PLOCATION = ‘Mumbai’
AND E.ENO = D.DMGRENO
AND D.DNO = P.DNUM
RA1. ∏ENAME,DOB,DNAME,PNAME(σ PLOCATION= “MUMBAI” ((PROJECT DEPARTMENT) EMPLOYEE)
OR

Temp1- σ PLOCATION= “MUMBAI” (PROJECT)

Temp2- Temp1 DEPARTMENT
Temp3- Temp2 EMPLOYEE
Result- ∏ENAME,DOB,DNAME,PNAME (Temp3)
BHABANI SHANKAR PRADHAN 271
 Examples: (Solution – Q2) ∏ENAME,DOB,DNAME,PNAME

D.DMRENO = E.ENO
The corresponding query tree will be

P.DNUM = D.DNO EMPLOYEE

σ PLOCATION= “MUMBAI” DEPARTMENT

PROJECT

BHABANI SHANKAR PRADHAN 272

 Query Graph:
Query graph is used to represent a relational calculus expression.
Relations in the query are represented by relation nodes which are displayed as single circles.
Constant values, typically from the query selection conditions are represented by constant nodes ,which
are displayed as double circles.
Selection and join condition are represented by the graph edges.
Finally, the attributes to be retrieved from each relation are displayed in square brackets above each
relation.
The query graph representation does not indicate an order on which operations to perform first. This
is a single graph corresponding to each query
Query tree are preferable, because the query optimizer needs to show the order of operation
for query execution ,which is not possible in query graph.
BHABANI SHANKAR PRADHAN 273
 Examples: (Solution – Q1)

Example : Example 1:

[ENAME] [DNAME]
[NAME, ROLL, ADDRESS]
[E.ENO = D.DMGRENO]
STUDENT EMPLOYEE DEPARTMENT

[E.ADDRESS = ‘GUNUPUR]

GUNUPUR
MCA

BHABANI SHANKAR PRADHAN 274

 Examples: (Solution – Q2)

Example 2:

BHABANI SHANKAR PRADHAN 275

 Heuristic Optimization of Query Tree:-

The query passer will typically generate a standard initial query tree to correspond to an SQL query ,
without doing any optimization.

This is the initial query tree or canonical query tree represent a relational algebra expression that is very
inefficient if executed directly, because of the CARTESIAN PRODUCT(X) operations.

Now, the job of the query optimizer is to transform the initial query tree into a final query tree that is
efficient to execute.

BHABANI SHANKAR PRADHAN 276

 TRANSACTION PROCESSING
Let T1 be a transaction that
A transaction is a single logical unit of work which accesses and transfers Rs. 50 from account A to
possibly modifies the contents of a database. account B. This transaction can be
Transactions access data using read and write operations. defined as:-
read operation(read(x)) T1: read (A);
It transfers the data item x from the database to a local buffer A:=A-50;
belonging to the transaction that executed the read operation Write (A);
write operation(write(x)) Read (B);
It transfers the data item x from the local buffer of the transaction B: =B+50;
that executed the write back to the database.
Write (B);

BHABANI SHANKAR PRADHAN 277

 ACID PROPERTIES:

In order to maintain consistency in a database, before and after the transaction, certain properties are
followed, these are called ACID properties.
Atomicity
By this, we mean that either the entire transaction
takes place at once or doesn’t happen at all.
There is no midway i.e. transactions do not occur
partially. Each transaction is considered as one
unit and either runs to completion or is not
executed at all. It involves the following two
operations.
—Abort: If a transaction aborts, changes made to
database are not visible.
—Commit: If a transaction commits, changes made
are visible.
Atomicity is also known as the ‘All or nothing rule’.

BHABANI SHANKAR PRADHAN 278

 ACID PROPERTIES:

Consider the following transaction T consisting

of T1 and T2: Transfer of 100 from account X to
account Y.

If the transaction fails after completion of T1 but before completion of T2.( say, after write(X) but
before write(Y)), then amount has been deducted from X but not added to Y. This results in an inconsistent
database state. Therefore, the transaction must be executed in entirety in order to ensure correctness of
database state.

BHABANI SHANKAR PRADHAN 279

 ACID PROPERTIES:

Consistency
This means that integrity constraints must be maintained so that the database is consistent before and after
the transaction. It refers to the correctness of a database.
Referring to the example above, the total amount before and after the transaction must be maintained.
Total before T occurs = 500 + 200 = 700.
Total after T occurs = 400 + 300 = 700.
Therefore, database is consistent. Inconsistency occurs in case T1 completes but T2 fails. As a result T is
incomplete.

BHABANI SHANKAR PRADHAN 280

 ACID PROPERTIES:
Isolation:
This property ensures that multiple transactions can occur concurrently without leading to the inconsistency of
database state. Transactions occur independently without interference. Changes occurring in a particular
transaction will not be visible to any other transaction until that particular change in that transaction is written
to memory or has been committed. This property ensures that the execution of transactions concurrently will
result in a state that is equivalent to a state achieved these were executed serially in some order.
Let X= 500, Y = 500.
Consider two transactions T and T”.
This results in database inconsistency, due to a loss of 50 units. Hence,
transactions must take place in isolation and changes should be visible only
after they have been made to the main memory.

BHABANI SHANKAR PRADHAN 281

 ACID PROPERTIES:

Durability:
This property ensures that once the transaction has completed execution, the updates and modifications to
the database are stored in and written to disk and they persist even if a system failure occurs. These updates
now become permanent and are stored in non-volatile memory. The effects of the transaction, thus, are never
lost.

The ACID properties, in totality, provide a mechanism to ensure correctness and consistency of a database in
a way such that each transaction is a group of operations that acts a single unit, produces consistent results,
acts in isolation from other operations and updates that it makes are durably stored.

BHABANI SHANKAR PRADHAN 282

 Transaction States in DBMS

States through which a transaction goes

during its lifetime. These are the states
which tell about the current state of the
Transaction and also tell how we will further
do processing we will do on the
transactions. These states govern the rules
which decide the fate of the transaction
whether it will commit or abort.

BHABANI SHANKAR PRADHAN 283

 Transaction States in DBMS

These are different types of Transaction States :

Active State –
When the instructions of the transaction is running then the transaction is in active state. If all the read and write
operations are performed without any error then it goes to “partially committed state”, if any instruction fails it
goes to “failed state”.
Partially Committed –
After completion of all the read and write operation the changes are made in main memory or local buffer. If
the the changes are made permanent on the Data Base then state will change to “committed state” and in case
of failure it will go to “failed state”.

BHABANI SHANKAR PRADHAN 284

 Transaction States in DBMS
Failed State –
When any instruction of the transaction fails it goes to “failed state” or if failure occurs in making permanent change of
data on Data Base.
Aborted State –
After having any type of failure the transaction goes from “failed state” to “aborted state” and in before states the
changes are only made to local buffer or main memory and hence these changes are deleted or rollback.
Committed State –
It is the stage when the changes are made permanent on the Data Base and transaction is complete and therefore
terminated in “terminated state”.
Terminated State –
If there is any roll back or the transaction come from “committed state” then the system is consistent and ready for new
transaction and the old transaction is terminated.
BHABANI SHANKAR PRADHAN 285
 CONCURRENT EXECUTIONS:-
Transaction processing systems usually allow multiple transactions to run concurrently.
In the serial execution- the transactions run serially that is one at a time, each transaction starting only
after the previous one has completed.
ADVANTAGES OF CONCURRENT EXECUTIONS:-
The following are two good advantages of concurrent execution over the serial execution:-
Improved throughput and resource utilization:-
While a read or write on behalf of one transaction is in progress on one disk, another transaction can be
running on the CPU, while another transaction can use another disk. All of this increases the throughput of
the system. (the number of transactions executed in a given amount of time.)
Resource utilization means the processor and disk spend less time idle or not performing any useful
work.
BHABANI SHANKAR PRADHAN 286
 CONCURRENT EXECUTIONS:-

Reduced waiting time:-

If transactions run serially, a short transaction may have to wait for a preceding long transaction to
complete.
But, concurrent execution reduces the unpredictable delays in running transactions.

BHABANI SHANKAR PRADHAN 287

SCHEDULE:-

The execution sequences are called schedules.

When the database system executes several transactions concurrently, the
corresponding schedule no longer needs to be serial.
If two transactions are running concurrently, the operating system may execute one
transaction for a little while, then perform a context switch, execute the second
transaction for some time, and then switch back to the first transaction for some time and
so on.

BHABANI SHANKAR PRADHAN 288

 EXAMPLE:- T1 T2
Read(A)
A:= A-50
Suppose in a schedule S, two transactions T1 and T2:- Write(A)

Transaction T1 transfers Rs 50 from account A to B and, Read(B)

B:=B+50
Transaction T2 transfers 10 percent of the balance from account Write(B)
A to account B. [Serial Schedule (S1)] Read(A)
Temp:=A*0.1
A:=A-temp

Write(A)
Read(B)
B:=B+temp
Write(B)

BHABANI SHANKAR PRADHAN 289

[Concurrent schedule (S2)]
T1 T2
Read(A)
A:= A-50
Write(A)

Read(B) Read(A)
B:=B+50 Temp:=A*0.1
Write(B) A:=A-temp

Write(A)
Read(B)
B:=B+temp
Write(B)

BHABANI SHANKAR PRADHAN 290

 SERIALIZABILITY:-

The database system must control concurrent execution of transactions, to ensure that the database
state remains consistent.
In the serializability there are mainly two concepts are involved:-
Conflict Serializability
View Serializability
Conflict Serializability:-
 Let us consider a schedule S in which there are two consecutive instructions, Ii and Ij, of transactions Ti and
Tj, respectively(i!=j).
If Ii and Ij refer to the same data item Q then the order of two transactions Ti and Tj may affect.

BHABANI SHANKAR PRADHAN 291

 SERIALIZABILITY:-
For that there are four cases that we need to consider:-
Ii =read(Q), Ij=read(Q) [Then the order of Ii and Ij does not matter, since the same values Q is read by Ti
and Tj.]
Ii=read(Q), Ij=write(Q) [If it comes before the Ij then Ti does not read.]
The value of Q, which is written by Tj in instruction Ij. If Ij comes before Ii , then Ti reads the value of Q
that is written by Tj. Thus the order Ii and Ij matters.
Ii=write(Q), Ij=read(Q) [The order of Ii and Ij matters for reasons similar to those of the previous case.]
Ii =write(Q), Ij=write(Q) [Since both the instructions are write operations, the order of the instructions
affect because the value of next read(Q) instruction of S affected.]
So we can say that Ii and Ij are conflict serializability if they are operations by different transactions Ti and Tj
on the same data item Q and at least one of those instructions is a write operation.
BHABANI SHANKAR PRADHAN 292
 View Serializability:-

Consider two schedules S and S| , where the same set of transactions participates in both schedules. The
schedule S and S| are said to be view equivalent if three conditions are met:-
For each data item Q, if transaction Ti reads the initial value of Q in schedule S, then transaction Ti must,
in schedule S|, also read the initial value of Q.
For each data item Q, if transaction Ti executes read(Q) in schedule S, and if that value was produced
by a write(Q) operation executed by transaction Tj, then the read(Q) operation of transactions Ti must in
schedule S| , also read the value of Q that was produced by the same write(Q) operation of transaction Tj.
For each data item Q, the transaction that performs the final write (Q) operation in schedule S must
perform the final write (Q) operation in schedule S|

BHABANI SHANKAR PRADHAN 293

RECOVERABILITY:-

If a transaction Ti fails, we need to undo the effect of this transaction to ensure that atomicity property of
the transaction. In a system that allows concurrent execution, it is necessary also to ensure that any
transaction Tj that is dependent on Ti(that is Tj has read data item written by Ti) is also aborted.
A recoverable schedule is one where, for each pair of transactions Ti and Tj such that Tj reads a data
item previously written by Ti, the commit operation of Ti appears before the commit operation of Tj.
If a schedule is recoverable, to recover correctly from the failure of transaction Ti, we may have to roll
back several transactions.
If a single transaction failure leads to a series of transaction rollback, it is a called as cascading rollback.
A cascade less rollback is one where, for each pair of transaction Ti and Tj such that Tj reads a data item
previously written by Ti, the commit operation of Ti appears before the read operation of Tj.
BHABANI SHANKAR PRADHAN 294
 PRECEDENCE GRAPH:-

This is the most simple and efficient method for determining conflict serializability of a schedule.
Precedence graph is a directed graph of a schedule.
Suppose the graph consists of a pair G=(V,E), where v is the set of vertices and E is set of edges.
The set of vertices consists of all the transactions participating in the schedule.
The set of edges consists of all edges Ti -> Tj for which one of three conditions holds:-
Ti executes write (Q) before Tj executes read (Q).
Ti executes read(Q) before Tj executes write(Q)
Ti executes write (Q) before Tj executes write (Q).
If an edge Ti ->Tj exists in the precedence graph then in any serial schedule S| equivalent to S, Ti must
appear before Tj.

BHABANI SHANKAR PRADHAN 295

PRECEDENCE GRAPH:-

All the instructions of Ti executed before the first

Ti Tj
instruction of Tj executed.

All the instructions of Tj executed before the first

Tj Ti
instruction of Ti executed.

It contains the edge Ti -> Tj, because Ti executes before Tj

Ti Tj
executes. It also contains the edge Tj -> Tj because Tj
executes before Ti executes.

BHABANI SHANKAR PRADHAN 296

 CONCURRENCY CONTROL:-

When several transactions execute concurrently in the database, the system must control the interaction among
the concurrent transactions, this control is achieved through one of a variety of mechanism called concurrency
control schema.
The following are the concurrency control schema:-
LOCK-BASED PROTOCOLS:-
In the concurrent execution of transactions, the data item must be accessed in a mutually exclusive
manner; that is, while one transaction is accessing a data item, no other transaction can modify that data
item.
The most common method used to implement this requirement is to allow a transaction to access a data
item only if it is currently holding a lock on that item.

BHABANI SHANKAR PRADHAN 297

 CONCURRENCY CONTROL:-

There are two modes in which a data item may be locked:-

Shared-mode lock:-
If a transaction Ti has obtained a shared-mode lock(denoted by S) an data item Q, then Ti can read, but
cannot write the data item Q.
Exclusive-mode lock:-
If a transaction Ti has obtained an exclusive-mode lock (denoted by X) on data item Q, then Ti can both read
and write Q.
The transaction requests for a shared or exclusive lock to the concurrency control manager. The transaction
can proceed with the operation only after the concurrency control manager grants the lock to the transaction.

BHABANI SHANKAR PRADHAN 298

 CONCURRENCY CONTROL:-

COMPATIBILITY FUNCTION:-

Let A and B represent shared and exclusive lock modes respectively.

Suppose that a transaction Ti requests a lock of mode A on item Q on which transaction Tj currently holds a
lock of mode B.
If transaction Ti can be granted a lock on Q immediately in spite of the presence of the mode B lock, then
we say mode A is compatible with mode B.
Shared mode is compatible with shared mode, but not with exclusive mode.
If transaction Ti is wanted to lock the item Q, which is locked by another transaction Tj is an incompatible
mode, then Ti have to wait until all incompatible mode have been released.
A transaction requests a shared lock on data item Q by executing the Lock-S(Q) instruction.
A transaction requests an exclusive lock on data item Q by executing the Lock-X(Q) instruction.
A transaction can unlock a data item by executing the unlock (Q) instruction.

BHABANI SHANKAR PRADHAN 299

 T1 T2 Concurrency
control Manager
CONCURRENCY CONTROL:- Lock-X(A) Grant-X(A,T1)
Read(A)
A:=A-100
Example:- suppose transaction T1 transfers Rs Unlock(A)
Lock-S(A) Grant-S(A,T2)
100 from account A to B and transaction T2 Read(A)
displays the total amount of moneys in account A Unlock(A)
Lock-S(B) Grant-S(B,T2)
and B that is , the sum A+B. Read(B)
Unlock(B)
Display(A+B)
Lock-X(A) Grant-X(A,T1)
Write(A)
Unlock(A)

Lock-S(B) Grant-S(B,T1)
Read(B)
B:=B+100
Unlock(B)
BHABANI SHANKAR PRADHAN 300
 CONCURRENCY CONTROL:-

TWO-PHASE LOCKING PROTOCOL:-

One protocol that ensures serializability is the two phase locking protocol.
This protocol requires that each transaction issue lock, and unlock requests in two phases:-
Growing phase:-
A transaction may obtain locks, but may not release any locks.
Shrinking phase:- A transaction may release locks, but may not obtain any new locks.
Initially, a transaction is in the growing phase. The transaction acquires locks as needed. Once the
transaction releases a lock, it enters the shrinking phase, and it can issue no more lock requests.
The point in the schedule where the transaction has obtained its final lock(the end of its growing phase) is
called the lock point of the transaction.

BHABANI SHANKAR PRADHAN 301

 CONCURRENCY CONTROL:-

STRICT TWO-PHASE LOCKING PROTOCOL:-

 Cascading rollbacks can be avoided by a modification of two phase locking called the strict two phase
locking protocol.
 This protocol requires not only that locking be two phase, but also that all exclusive-mode locks taken by a
transaction be held until that transaction commits.
RIGOROUS TWO PHASE LOCKING PROTOCOL:-
 It requires that all locks be held until the transaction commits.

BHABANI SHANKAR PRADHAN 302

 CONCURRENCY CONTROL:-

LOCK CONVERSION:-
The lock conversion is a mechanism for upgrading a shared lock to an exclusive lock and downgrading an
exclusive lock to a shared lock.
The conversion from shared to exclusive mode is denoted by upgrade and from exclusive to shared by
downgrade.
The upgrading can be taken place in the growing phase, whereas downgrading can take place in only
the shrinking phase.

BHABANI SHANKAR PRADHAN 303

 CONCURRENCY CONTROL:-

TIMESTAMP BASED PROTOCOLS:-

It is another method for determining the serializability.
In this method with each transaction Ti in the system, we associate a unique fixed timestamp, denoted by
TS (Ti).
This timestamp is assigned by the database system before the transaction Ti starts execution.
If a transaction Ti has been assigned by TS(Ti), and a new transaction Tj enters the system, then there must
be TS(Ti) < TS(Tj).

BHABANI SHANKAR PRADHAN 304

 CONCURRENCY CONTROL:-

There are two simples methods for implementing this scheme:-

Use the value of the system clock as the timestamp, a transaction’s timestamp is equal to the value of the
clock when the transaction enters the system.
Use a logical counter that is incremented after a new timestamp has been assigned; that is, a transaction’s
timestamp is equal to the value of the counter when the transaction enters the system.
To implement the method we associate with each data item Q two timestamp values:-
W-timestamp (Q):- denotes the largest timestamp of any transaction that executed write (Q) successfully.
R -timestamp (Q):- denotes the largest timestamp of any transaction that executed read (Q) successfully.

BHABANI SHANKAR PRADHAN 305

 Database Recovery
Basically, whenever a transaction is submitted to a DBMS for execution, the operating system is responsible for
making sure or to be confirmed that all the operation which need to be performed in the transaction have
completed successfully and their effect is either recorded in the database or the transaction doesn’t affect the
database or any other transactions.
The DBMS must not permit some operation of the transaction T to be applied to the database while other
operations of T is not. This basically may happen if a transaction fails after executing some of its operations but
before executing all of them.
Types of failures : There are basically following types of failures that may occur and leads to failure of the
transaction such as: Transaction failure
System failure
Media failure and so on.

BHABANI SHANKAR PRADHAN 306

 Types Of Failure

System crash –
A hardware, software or network error occurs comes under this category this types of failures basically
occurs during the execution of the transaction. Hardware failures are basically considered as Hardware
failure.
System error –
Some operation that is performed during the transaction is the reason for this type of error to occur, such as
integer or division by zero. This type of failures is also known as the transaction which may also occur
because of erroneous parameter values or because of a logical programming error. In addition to this user
may also interrupt the execution during execution which may lead to failure in the transaction.

BHABANI SHANKAR PRADHAN 307

 Types Of Failure

Local error : This basically happens when we are doing the transaction but certain conditions may occur that
may lead to cancellation of the transaction. This type of error is basically coming under Local error. The simple
example of this is that, when we want to debit money from an insufficient balance account which leads to the
cancellation of our request or transaction.
Concurrency control enforcement : The concurrency control method may decide to abort the transaction, to
start again because it basically violates serializability or we can say that several processes are in a deadlock.
Disk failure : This type of failure basically occur when some disk loses their data because of a read or write
malfunction or because of a disk read/write head crash. This may happen during a read /write operation of
the transaction.

BHABANI SHANKAR PRADHAN 308

 Database Recovery Techniques in DBMS

There are both automatic and non-automatic ways for both, backing up of data and recovery from any
failure situations. The techniques used to recover the lost data due to system crash, transaction errors, viruses,
catastrophic failure, incorrect commands execution etc. are database recovery techniques. So to prevent data
loss recovery techniques based on deferred update and immediate update or backing up data can be used.
Recovery techniques are heavily dependent upon the existence of a special file known as a system log. It
contains information about the start and end of each transaction and any updates which occur in the
transaction.
The log keeps track of all transaction operations that affect the values of database items. This information is
needed to recover from transaction failure.

BHABANI SHANKAR PRADHAN 309

 Database Recovery Techniques in DBMS

The log is kept on disk start_transaction(T): This log entry records that transaction T starts the execution.
read_item(T, X): This log entry records that transaction T reads the value of database item X.
write_item(T, X, old_value, new_value): This log entry records that transaction T changes the value of the database item
X from old_value to new_value. The old value is sometimes known as a before an image of X, and the new value is known
as an afterimage of X.
commit(T): This log entry records that transaction T has completed all accesses to the database successfully and its effect
can be committed (recorded permanently) to the database.
abort(T): This records that transaction T has been aborted.
checkpoint: Checkpoint is a mechanism where all the previous logs are removed from the system and stored permanently
in a storage disk. Checkpoint declares a point before which the DBMS was in consistent state, and all the transactions were
committed.
BHABANI SHANKAR PRADHAN 310
 Database Recovery Techniques in DBMS
There are two major techniques for recovery from non-catastrophic transaction failures: deferred updates
and immediate updates.
Deferred update – This technique does not physically update the database on disk until a transaction has reached
its commit point. Before reaching commit, all transaction updates are recorded in the local transaction workspace. If a
transaction fails before reaching its commit point, it do not have to change, hence UNDO is not needed. It may be
necessary to REDO the effect of the operations that are recorded in the local transaction workspace, because their
effect may not yet have been written in the database.
Immediate update – In the immediate update, the database may be updated by some operations of a transaction
before the transaction reaches its commit point. However, these operations are recorded in a log on disk before they
are applied to the database, making recovery still possible. If a transaction fails to reach its commit point, the effect
of its operation must be undone i.e. the transaction must be rolled back hence we require both undo and redo.

BHABANI SHANKAR PRADHAN 311

 Shadow Paging/ Shadow Copy Technique:-
This technique is based on making copies of the database, called shadow copies.
In this technique, a pointer called db-pointer is maintained on disk, which points to the current copy of the database.
In the shadow-copy technique, a transaction that wants to update the database first creates a complete copy of the
database. All updates are done on the new database copy or the shadow copy by leaving the original copy untouched. If
at any point the transaction has to be aborted, the system merely deletes the new copy as the old copy of the database
has not been affected.
Once the transaction has been committed, all the updates that is performed are in the database pointed to by db-
pointer.
Thus, either all updates of the transaction are reflected or none of the effects are reflected, regardless of transaction
failure.
The atomicity and durability property is implemented in shadow copy technique.

BHABANI SHANKAR PRADHAN 312

 DEADLOCK
A system in a situation where there exists a set of transactions such that every transactions in the set is
waiting for another transaction in the set .Thus ,we have arrived at a state where neither of these transactions
can ever proceed with its normal execution .This situation is called as deadlock.
For example ,there exists a set of waiting transactions { T0,T1,T2,………TN } such that T0 is waiting for a
data item that T1 holds and T1 is waiting for a data item that T2 holds, and so on …Tn-1 is waiting for a data
item that Tn holds ,and Tn is waiting for a data that T0 holds. None of the transactions can make progress in
such a situation .
There are three principles methods for dealing with the deadlock problem .These are:-
Deadlock prevention
Deadlock Detection
Deadlock Recovery

BHABANI SHANKAR PRADHAN 313

 Deadlock prevention:-

Deadlock prevention protocol is used to ensure that the system will never enter a deadlock state.
There are two approaches to deadlock prevention :-
The first approach ensures that no cyclic wait can occur by ordering the request for locks that means each
transaction locks all its data items before it begins execution .Either all are locked in one step or none are
locked.
The second approach for preventing deadlock is to use a preemption and transaction rollbacks in
preemption ,when a transaction T2 requests a lock that transaction T1 holds the lock granted to T1 may
be preempted by rolling back of T1,and granting the lock to T2. To control the preemption , we assign a
unique timestamp to each transaction should wait or roll back.

BHABANI SHANKAR PRADHAN 314

 Deadlock prevention:-

Two different deadlock prevention schemes using timestamps has been proposed:-
The wait-die scheme is a non-preemptive technique .When a transaction Ti requests a
data item currently held by Tj, Ti allowed to wait only if it has a timestamp smaller than
that of Tj(that is Ti older than Tj)otherwise ,Ti is rolled back(dies).
The wound-wait is a non-preemptive technique. It is counterpart of the wait-die
scheme .when a transaction Ti requests a data item currently held by Tj, Ti is allowed to
wait only if it has a timestamp larger than that of Tj(that is ,Ti is younger than
Tj),otherwise Tj is rolled back(dies).
BHABANI SHANKAR PRADHAN 315
 Deadlock detection:-

We can allow the system to enter a deadlock state, and then try to recover by using a deadlock detection
and deadlock recovery scheme
An algorithm that examines the state of the system is invoked periodically to determine whether a deadlock
has occurred .if one has ,then the system must attempt to recover from the deadlock
Deadlocks can be described in terms of a directed graph called as wait-for-graph.
The wait-for-graph consists of a pair G=(V,E),where V is a set of vertices and E is a set of edges. The set of
vertices consists of all the transaction in the system.
When transaction Ti requests a data item currently being held by transaction Tj, then the edge ti-->Tj is
inserted in the wait-for –graph.

BHABANI SHANKAR PRADHAN 316

 Deadlock detection:-
A deadlock exists in the system if and only if the wait-for-graph contains a
cycle. Each transaction involved deadlocked in the cycle. Each transaction involved
in the cycle is said to be deadlocked
To detect deadlocks, the system needs to maintain the wait-for-graph, and
periodically to invoke an algorithm that searches for a cycle in the graph.

A deadlock exists in the system if and only if the wait-for-graph contains a cycle. Each transaction involved
deadlocked in the cycle. Each transaction involved in the cycle is said to be deadlocked
To detect deadlocks, the system needs to maintain the wait-for-graph, and periodically to invoke an
algorithm that searches for a cycle in the graph.

BHABANI SHANKAR PRADHAN 317

Deadlock detection:-
In the example ,transaction T2,T3,nd T4 are all deadlocked ,because it contains the cycle
Transaction T2 is waiting for transaction T4
Transaction T4 is waiting for transaction T3
And ,transaction T3 is waiting for transaction T2,therefore the graph contains the cycle i.e;
T2→T4→T3→T2

BHABANI SHANKAR PRADHAN 318

 Deadlock recovery :-
When a detection algorithm determines that a deadlock exists, the system must recover from the
deadlock.
The most common solution is to rollback one or more transactions to break the deadlock.
Three actions need to be taken :-
 Selection of a victim :-
Given a set of deadlocked, we must determine which transaction transactions to roll back to break
the deadlock.
We should rollback those transactions that will give the minimum cost.

BHABANI SHANKAR PRADHAN 319

 Deadlock recovery :-
Rollback:-
once we have decided that a particular transaction must be rolled back, we must determine how far this
transaction should be rolled back.
The simplest solution is a total rollback; Abort the transaction and then restart it.
Partial rollback requires the system to maintain additional information about the state of all ruining
transactions.
Starvation:-
In the case of a selection of victim, it may happen that the same transaction is always picked as a victim.
As a result, this transaction never completes its designated task, thus this is a starvation.
We must ensure that a transaction can be picked as a victim only a small (finite) number of times. The
most common solution is to include the number of rollback in the cost factor.

BHABANI SHANKAR PRADHAN 320