1

BASIC TERMINOLOGIES
Database: Database is a collection of data which are organized in particular way to enable its users
to easily manage and update the data.

DBMS: DBMS is a system used to Define, Create, and Update and Control the data in database.
Example: XML files, MS ACCESS.

RDBMS: Relational Database Management System (RDBMS) is an advanced version of a DBMS.

RDBMS is a system software which is used to store the data which are in the form of tables. Here,
data is stored in rows and columns which is known as tuples and attribute. Example of RDBMS is
MySQL, Oracle, SQL Server, etc.

DBMS RDBMS
 DBMS stores data as a file  RDBMS, data is stored in the form of
tables.

 DBMS supports single users  RDBMS supports multiple users.

 DBMS does not support client-server  RDBMS supports client-server

architecture architecture.

 DBMS has low software and hardware  RDBMS has higher hardware and
requirements software requirements

 In DBMS, data redundancy is Occur  In RDBMS, keys and indexes do not allow
data redundancy

 Ex: XML Files, MICROSOFT ACCESS  MySQL, SQL SERVER

DATABASE MODEL:

A Database model defines how data will be stored, accessed and updated in a database
management system.

 Hierarchical Model
 Network Model
 Entity-relationship Model
 Relational Model

Hierarchical model:
In hierarchical model, data is organised into tree-like structure. one-to-many relationship between
data. For example, one department can have many courses. Child node has only one parent

Mahesh Kumar S
 2

Network Model:
This is an extension of the Hierarchical model. In this model data is organised more like a graph.
Child node may has more than one parent node. Many-to-many data relationships between data.

ER model: Entity-relationship Model used to represent the relationships into pictorial form .This
model is good to design a database, which can converted into tables in relational model

Let's take an example, If we have to design a School Database, then Student will be an entity with
attributes name, age, address etc. As Address is generally complex, it can be another entity with
attributes street name, pin code, city etc., and there will be a relationship between them.

RELATIONAL MODEL:

In this model, data is organised in two-dimensional table. This model used widely.

File vs Database Management approach

File management system
 A file management system is a collection of programs that manage and store data in files .
 It is the easiest way to store the data like text, videos, images, audios, etc. in general files .
 File systems contain information about size of the file, access permission, location and date
of created in the form of metadata. File systems use metadata to store and retrieve files from
Hard disk.
 Data redundancy is high in file management system. So, Data consistency is not met.

Mahesh Kumar S
 3

 For example, NTFS (New Technology file system) is the Windows file system, and EXT
(Extensible file system) is the Linux file system.

Limitations of File Management System:

1. Data Redundancy:

It is possible that the same information may be duplicated in different files. This leads to data
redundancy and cause for memory wastage.

2. Data Inconsistency:

Because of data redundancy, it is possible that data may not be in consistent state.

Note: Data consistency means any changes made to the one database are immediately reflected to
all other database.it is possible only when data has no redundancy.

3. Integrity Problems:

Data integrity means that the data contained in the database is correct and consistent. But
consistent is not possible in File based system.so Integrity problem occur.

4. Limited Data Sharing:

Data are found in various files. Also different files may have different formats and these files may be
stored in different folders. So, due to this data isolation, it is difficult to share data among different
applications.

5. Fixed Queries

Query or reports needed by the organization has to be developed by the application programmer.

Advantages of Database approach:

1. Reducing Data Redundancy

In a database as there is a single database and any change in it is reflected immediately. Because of
this, there is no chance of encountering duplicate data.

2. Data Consistency

Data consistency is ensured in a database because there is no data redundancy. Any changes made
to the database are immediately reflected to all the users and there is no data inconsistency.

3. Data Integrity

Mahesh Kumar S
 4

Data integrity means that the data is correct and consistent in the database. There are multiple
databases in a DBMS. Data integrity can be ensure in DBMS.

4. Sharing of Data

In DBMS, the users of the database can share the data among themselves. There are various levels
of authorisation to access the data. Many remote users can also access the database simultaneously
and share the data between themselves.

5. Data Security

Data Security is vital concept in a database. Only authorised users should be allowed to access the
Database.

6. Backup and Recovery

Database Management System automatically takes care of backup and recovery. The users don't
need to backup data periodically because this is taken care of by the DBMS. It also restores the
database after a crash or system failure.

Disadvantage of DBMS:

1. Increased Cost
2. Maintenance Cost
3. Frequent Upgrade needed
Three schema Architecture
The three schema architecture is used to separate the user applications and physical database. The
three schema architecture contains three-levels.
1. Internal Level
-describes the database structure.
- define how data will be stored in a block.
-Internal level is also known as physical level.
2. Conceptual Level
-describes what data are to be stored in the
database and also describes what relationship
exists among those data.
-Conceptual level is also known as logical level.
-Programmers and database administrators
work at this level.
3. External Level
-At the external level, a database contains
several schemas called as subschema.

Mahesh Kumar S
 5

-It describe the database which is interested by user group and hides the remaining database from
that user group.
-External schema is also known as view schema.

Types of Database Language

1. Data Definition Language

-DDL stands for Data Definition Language.
-used to define database structure.
-Task come under the DDL: - Create, Alter, Drop.

2. Data Manipulation Language

-DML stands for Data Manipulation Language.
-Used for accessing and manipulating data in a database & handles user requests.
-Task come under the DDL: - select ,insert, update

3. Data Control Language

-DCL stands for Data Control Language.
- Used to retrieve the saved data.
-Task come under the DCL:-
• Grant: Used to give permission for user to access the database.
• Revoke: Used to take back permission from the user.

4. Transaction Control Language

- used to save the changes made by the DML statement.
-tasks that come under TCL:
• Commit: Used to save the transaction on the database.
• Rollback: Used to restore the database to its original state

ER MODEL

-used to represent the relationships into pictorial form .So, Different clients can easily understand.
This model is good to design a database. It can converted into tables in relational model.

Mahesh Kumar S
 6

Entity, Entity Set –

An Entity is a table which used to represent the object with a physical existence – a particular
person, car, house, or employee – or the object with a conceptual existence – a company, a job, or a
university course.

For example, in a school database, students, teachers and courses offered can be considered as
different entities. All these entities have some attributes.

An entity set contain entities with attribute sharing similar values. For example, a Students set may
contain all the students of a school; likewise a Teachers set may contain all the teachers of a school.

Relationship
--participation (all the rows(tuples) participating or not)
Type of relationship
– one to one

–
– one to many or many to one

One to many: one customer has many account

Many to one: many student have one teacher
– many to many

ENTITY

Mahesh Kumar S
 7

Relationships between Entities - Weak and Strong

Weak Entity
- is an entity that depends on another entity.
-Like strong entity, weak entity does not have any primary key
-In ER MODEL, Weak entities represented with double rectangular box.
-Weak entity always has total participation but Strong entity may not have total participation.
Example:
A company may store the information of dependants (Parents, Children, Spouse) of an Employee.
But the dependents don’t have existence without the employee. So Dependent will be weak entity
type and Employee will be strong entity type for Dependant.

Attributes for any Entity

Key Attribute for any Entity

The attribute which uniquely identifies each entity in the entity set is called key attribute. For
example, Roll_No

Types of Attribute:
1. composite(fast name, last name) & simple attribute(name)
2. single value(pan no) & multivalued attribute(mobile no)
3. derived attribute (age)
4. complex attribute(address)

Mahesh Kumar S
 8

Derived Attribute for any Entity

Derived attributes are those which are derived based on other attributes, for example, age can be
derived from date of birth

Multivalued Attribute for any Entity: ex. phone number

Composite Attribute for any Entity: Ex. address

The improvement in DBMS:

1. Generalization
2. Specialization
3. Aggregation
These are 3 approaches added to Traditional ER Model for Database Modelling.
Generalization
-Generalization uses bottom-up approach
- Two or more than two lower level entities combine together to form a higher level new entity.

Mahesh Kumar S
 9

Example:
Let’s say we have two entities Student and Teacher.
Attributes of Entity Student are: Name, Address & Grade
Attributes of Entity Teacher are: Name, Address & Salary

These two entities have two common attributes: Name and Address, we can make a generalized
entity with these common attributes
After generalization:

Specialization
-Specialization is a top-down approach, and it is opposite to Generalization.

- In specialization, one higher level entity can be broken down into two lower level entities.

Mahesh Kumar S
 10

Aggregation
In Aggregation relation between two entities is treated as a single entity.

Ex:
Let’s consider the situation. There is a manager who manages Employee as well as projects.
Before aggregation:

After Aggregation:
A manager not only manages the employee working under
them but he has to manage the project as well. In such
scenario if entity “manager” makes a “manages” relationship
with either “employee” or “project” entity alone then it will
not make any sense because he has to manage both. In our
example, the relationship “works-on” between “employee” &
“project” acts as one entity that has a relationship “manages”
with the entity “manager”.

RELATIONAL MODEL:

In this model, data is organised in two-dimensional table which contain row and coloumn . This
model used widely.

Ex: Oracle Database, MySQL, Microsoft SQL Server

Mahesh Kumar S
 11

IMPORTANT TERMINOLOGIES in Relational model

1. Relation Schema: A relation schema represents the structure of the relation(table), name of
the relation(name of table), with its attributes.
e.g.; STUDENT (ROLL_NO, NAME, ADDRESS, PHONE and AGE) is relation schema for
STUDENT.
2. Tuple: Each row in the relation is known as tuple.
3. Degree: The number of attributes in the relation is known as degree of the relation.
4. Cardinality: The number of tuples in a relation is known as cardinality.
5. Attribute: Each column in a Table known as attribute. e.g., Student_Rollno, NAME,etc.
6. NULL Values: The value which is not known or unavailable is called NULL value. It is
represented by blank space
Introduction to Database Keys
1. Super Key
2. Candidate Key
3. Primary Key
4. Foreign Key
5. Unique Key
6. Composite Key

Keys used to identify relationships between tables and also to uniquely identify any row of
data inside a table. A Key can be a single attribute or a group of attributes.

1. Super Key
Super Keys are set of column which can uniquely identify each row within a table. Super Key is a
superset of Candidate key.

2. Candidate Key (primary attribute)

Candidate keys are the minimal set of column which can uniquely identify each row in a table.

3. Primary Key
Primary key is a candidate key which is used to uniquely identify each row(tuple) in a table. Primary
key has no null value. One table may contain only one primary key.

4. Foreign key
Foreign key is the column of table which is to point to the primary key of another table.Its used to
describe relationship b/w two tables.
For example, In a company, every employee works in a specific department .Here employee and
department are two different entities. So we can't store the information of the department in the
employee table.

Mahesh Kumar S
 12

We add primary key of DEPARTMENT table, Department_Id as a new attribute in the EMPLOYEE
table. Now in the EMPLOYEE table, Department_Id is the foreign key and both the tables are
related.

5. Composite Key
Composite key is a set of two or more columns that uniquely identify each row in a table.

6. Unique Key
A unique key is a set of one or more than one columns of a table that uniquely identify each row in a
table. Unique key can have NULL value. Multiple unique key can be found in a given table.

7. Secondary or Alternative key

The candidate key which are not selected as primary key are known as secondary keys or alternative
keys.

Note:

 Composite means more than one field makes the row unique. So a composite key has more
than one field. A Unique key can have 1 or more fields. So, all composite keys are unique keys
but all unique keys are not composite keys.
 Primary key will not accept NULL values whereas unique key can accept one NULL value. A
table can have only primary key whereas there can be multiple unique key on a table.

Here, Roll number is primary key and Citizen_ID is unique key. Citizen_ID column should be unique
because each citizen of a country must have his or her Unique identification number like Aadhaar
Number. But if student is migrated to another country in that case, he or she would not have any
Citizen_ID and the entry could have a NULL value.

Prime attribute: The prober subset of candidate keys.

Non-prime Attributes: Attributes other than Prime attributes.

Mahesh Kumar S
 13

Join Operations:
A JOIN is used to combine rows from two or more tables, based on a related column
between them.

Inner Join (Natural Join): An inner join combines two different tables and returns rows where the key
exists in both tables.
Outer Join:

 LEFT (OUTER) JOIN: Returns all records from the left table, and the matched
records from the right table
 RIGHT (OUTER) JOIN: Returns all records from the right table, and the matched
records from the left table
 FULL (OUTER) JOIN: Returns all records when there is a match in either left or
right table

CROSS JOIN (Cartesian Join): The CARTESIAN JOIN is also known as CROSS JOIN. In a CARTESIAN
JOIN there is a join for each row of one table to every row of another table. This usually happens
when the matching column or WHERE condition is not specified. i.e., the number of rows in the
result-set is the product of the number of rows of the two tables.

SELF JOIN: As the name signifies, in SELF JOIN a table is joined to itself. In other words we can say
that it is a join on certain condition between two copies of the same table. Here, the table has a
FOREIGN KEY which references its own PRIMARY KEY.Ex: The employee table might be joined to
itself in order to show the manager name and the employee name in the same row.

Equi Join: If you have written INNER join using where clause than using an equality operator as = will
be known as an equijoin. The main difference between Self Join and Equi Join is that In Self Join we
join one table to itself rather than joining two tables. Both Self Join and Equi Join are types of INNER
Join in SQL.

Table A:

Mahesh Kumar S
 14

Table B:

Natural Join (Inner Join): Table contain Only Common row (foreign key of A which are found
in primary key of B) from A AND B
Natural join of above table:

Left Outer Join: Table contain all row from table and their respective row from right table
using foreign key .if any foreign key of left table which is primary key of right table is missing
in right table, that respective column of row filled as NULL value.

Mahesh Kumar S
 15

Left join of above table:

Right Outer Join:

Full Outer Join:

Integrity Constraints
Data Integrity:

Data integrity means that the data is correct and consistent in the database.
Note: Data consistency means any changes made to the one database are immediately
reflected to all other database.it is possible only when data has no redundancy.

Example: Let us imagine we have a customer database where we have two tables i.e.
'customer_table'(customer_id, customer_name, purchase_id) and
'purchase_table'(purchase_id, purchhased_item). These two tables are related by purchase

Mahesh Kumar S
 16

id.Therefore any purchase is made by the customer then that data of the purchased item will
be stored in the purchase_table.

Integrity Constraints (Rules) in Relational Model

 Integrity Constraints are set of rules which are need to follow while entering data into the
database table

Types of Integrity Constraint

• Domain Integrity constraint

• Entity integrity constraint
• Referential Integrity constraint
• Key integrity constraints
Domain integrity Constraints:
These are attribute level constraints. An attribute can only take values which lie inside the domain
range. Example: If a constraint AGE>0 is applied, inserting negative value of AGE will result in failure.
Entity integrity constraints
The entity integrity constraint states that primary key value can't be null. This is because the primary
key value is used to identify individual rows in relation and if the primary key has a null value, then
we can't identify those rows. A table can contain a null value other than the primary key field.
Referential Integrity Constraints:
Referential Integrity: it is specified between two tables.
In the Referential integrity constraints, if a foreign key in Table 1 refers to the Primary Key of Table 2
the every value of the Foreign Key in Table 1 must be null or be available in Table 2.
Let us suppose we have 2 relations
BRANCH_CODE of STUDENT can only take the values which are present in BRANCH_CODE of
BRANCH table .

Mahesh Kumar S
 17

Key Integrity Constraints: It is used to maintain integrity of different keys which are available in
table.
The types of key constraints-
 Primary key constraints- It uniquely identifies a row in a table. Not contain Null value
 Unique key constraints- provides a unique/distinct values to specified columns.
 Foreign Key constraints- ensures referential integrity of the relationship
 NOT NULL constraints- ensures that the specified column doesn’t contain a NULL value.
 Check constraints- checks for the predefined conditions before inserting the data inside the
table.
 DEFAULT constraints: provides a default value to a column if none is specified.
Functional Dependency
 The functional dependency is a relationship that exists between two attributes. If column A
of a table uniquely identifies the column B of same table then it can represented as A->B
(Attribute B is functionally dependent on attribute A).
 Functional dependencies used in Normalization to reduce the Data redundancy.

Types of Functional Dependencies

 Trivial functional dependency:
 Non-trivial functional dependency
 Multivalued dependency
 Transitive dependency

Mahesh Kumar S
 18

Multivalued dependency in DBMS: if one attribute determinant more than one attributes which
have no dependency between them.
Transitive dependency:
A transitive functional dependency happens when a functional dependency is indirectly formed by
two functional dependencies.

{Company} -> {CEO} (if we know the compay, we know its CEO's name)
{CEO } -> {Age} If we know the CEO, we know the Age
Therefore according to the rule of rule of transitive dependency:
{ Company} -> {Age} should hold, that makes sense because if we know the company name, we can
know his age.
Partial Dependency
If the proper subset of candidate key determines non-prime attribute, is called partial dependency

Normalization
Keyword:
Data redundancy-same data occur different place
Data consistent- Data consistency means any changes made to the one database are immediately
reflected to all the users or all other database.it is possible only when data has no redundancy.
Not consistent-the age of person x is different in different table
Anomaly-something which different from what is expected/normal
Non-prime attribute-attribute which is not part of any candidate key

Mahesh Kumar S
 19

Proper subset of candidate key-if AB is candidate key. The proper subset of candidate key is {A,B}
Partial Dependency– If the proper subset of candidate key determines non-prime attribute, it is
called partial dependency.
Normalization of Database
Normalization is a method of organizing the data in the database which helps you to avoid data
redundancy, insertion, update & deletion anomaly in data base.

Problems without Normalization

-If a table is not properly normalized and have data redundancy then it will take extra memory
space.
-Data redundancy leads to Data inconsistent. Insertion, Updation and Deletion Anamolies are very
frequent if database is not normalized.
Example:

rollno name branch hod office_tel

401 Akon CSE Mr. X 53337

402 Bkon CSE Mr. X 53337
403 Ckon CSE Mr. X 53337
404 Dkon CSE Mr. X 53337

Above table is not normalized. There will be chance for data inconsistency if hod of branch CSE will
update. I think above table is Not in 3NF.Because,non key is determinant non key value.
branch->hod
branch->office_tel
The normalized version of above table:
Rollno Name Branch id
401 Akon 101
402 Bkon 101
403 Ckon 101
404 Dkon 101

Branch id Branch Hod Office_tel

101 CSE Mr.X 53337

Mahesh Kumar S
 20

Type of Anomalies:
There are three types of anomalies: insertion, update and deletion anomalies.

Insertion Anomaly
Unable to add new data to the database due to absence of other data .
-Let’s say we have a table that has 4 columns. Student ID, Student Name, Student Address and
Student Grades. Now when a new student enrol in school, even though first three attributes can be
filled but 4th attribute will have NULL value because he doesn't have any marks yet. If student grade
not accept null values, this student data could not entered into the database. This results in
database inconsistencies.
Updation Anomaly
-occur when forgetting to update the value of data in multiple places.
Let say we have 10 columns in a table out of which 2 are called employee Name and employee
address. Now if one employee changes its location then we would have to update the table. if the
table is not normalized one employee can have multiple entries(data redundancy ) and while
updating one of them might get missed. It will lead to data inconsistency.
Deletion Anomaly
-Deletion Anomalies happen when the deletion of unwanted information causes important
information to be deleted as well.
For example, if a single database record contains information about a particular product along with
information about a salesperson for the company. If the salesperson quits, then information about
the product is deleted along with salesperson information.
Type of Normalization
First Normal Form (1NF)
As per the rule of first normal form, an attribute (column) of a table cannot hold multiple
values. It should hold only atomic value(single value).

1 normalized form:

Mahesh Kumar S
 21

1. Second normal form (2NF)

A table is said to be in 2NF if both the following conditions hold:

 Table is in 1NF (First normal form)
 relation must not contain any partial dependency.
Note – If the proper subset of candidate key determines non-prime attribute( attribute that is
not part of any candidate key) , it is called partial dependency.

Functional dependency: teacher_id ->teacher_age

Candidate Keys: {teacher_id and subject}
Primary key: {teachere_id and subject}
Non prime attribute: teacher_age
Proper Subset of Candidate Key: teacher_id,subject
Prime attribute:teacher_id,subject
The table is in 1 NF because each attribute has atomic values. non prime attribute teacher_age is
dependent on teacher_id which is a proper subset of candidate key. This is a partial dependency
and so this relation is not in 2NF.
2 normalized form:

Mahesh Kumar S
 22

Third Normal Form (3NF)

Transitive dependency:
Non key->non key

Mahesh Kumar S
 23

Boyce and Codd Normal Form (BCNF)

This normal form is also referred as 3.5 normal forms

1. R must be in 3rd Normal Form

2. for each functional dependency ( X → Y ), X should be a super Key.

Functional dependencies in the table above:

emp_id -> emp_nationality
emp_dept -> {dept_type, dept_no_of_emp}
Candidate key: {emp_id, emp_dept}
The table is not in BCNF as neither emp_id nor emp_dept alone are keys.

Mahesh Kumar S
 24

Functional dependencies:
emp_id -> emp_nationality
emp_dept -> {dept_type, dept_no_of_emp}
Candidate keys:
For first table: emp_id
For second table: emp_dept
For third table: {emp_id, emp_dept}
This is now in BCNF as in both the functional dependencies left side part is a key.

Denormalization in Databases
 Denormalization is the process of increasing the redundancy in the database.
 It is the opposite process of normalization.
 It is mostly done for improving the performance.
 Denormalization adds redundant data into normalized database for reducing the problems
during database queries which combine data from the various tables into a single table.
Denormalization method:
 Adding Redundant columns:
In this method, only the redundant column which is frequently used is added to the main table.
Example:
We have to generate a
report where we have to
show employee details and
his department name. Here
we need to have join
EMPLOYEE with DEPT to get
department name.

But joining the huge EMPLOYEE and DEPT table will affect the
performance of the query. But we cannot merge DEPT with
EMPLOYEE. In this case, what we can add the redundant
column DEPT_NAME to EMPLOYEE, so that it avoids EMPLOYEE
TABLE join with DEPT TABLE and increasing the performance.

Mahesh Kumar S
 25

Pros of Denormalization:-
1. Retrieving data is faster.
2. Queries to retrieve can be simpler(and therefore less likely to have bugs), since we need to
look at fewer tables.

Cons of Denormalization:-
1. Updates and inserts are more expensive.
2. Data may be inconsistent.

Mahesh Kumar S
 26

TRANSACTION
• Transaction is a unit consist of logically related operation like(read, write)

For example, you are transferring money from your bank account to your friend’s account, the set of
operations would be like this:
1. Read your account balance
2. Deduct the amount from your balance
3. Write the remaining balance to your account
4. Read your friend’s account balance
5. Add the amount to his account balance
6. Write the new updated balance to his account
This whole set of operations can be called a transaction.

Transaction failure in between the operations

The transaction may fail before finishing the all the operations in the set. This can happen
due to power failure, system crash etc.
Assume that transaction fail after third operation (see the example above) then the amount
would be deducted from your account but your friend will not receive it.
To solve this problem, we have the following two operations.
 Commit: If all the operations in a transaction are completed successfully then commit
operation help to save those changes to the database permanently.
 Rollback: If any one of the operation fails then roll back operation help to restore the
database into its original state (before applying transaction).
Even though these operations can help us avoiding several issues that may arise during transaction
but they are not sufficient when two transactions are running concurrently. To handle those
problems we need to understand database ACID properties.

Mahesh Kumar S
 27

Transaction property (ACID)

The transaction has the four properties. These are used to maintain consistency in a database,
before and after transaction.

Property of Transaction

Atomicity
 The transaction cannot occur partially. Each transaction is treated as one unit. Atomicity
ensure that the transaction either completed successfully or not executed at all.
 Transaction control manager component responsible for atomicity.

Atomicity involves the following two operations:

Commit: If a transaction success then all the changes are visible.

Roll back: If a transaction fails then all the changes are not visible.

Example: Let's assume that following transaction T consisting of T1 and T2. A consists of Rs 600 and
B consists of Rs 300. Transfer Rs 100 from account A to account B.

T1 T2
Read(A) Read(B)
A:= A-100 Y:= Y+100
Write(A) Write(B)

After completion of the transaction, A consists of Rs 500 and B consists of Rs 400.

If the transaction T fails after the completion of transaction T1 but before completion of transaction
T2, then the amount will be deducted from A but not added to B. This shows the inconsistent
database state. In order to ensure correctness of database state, the transaction must be executed
in entirety.

Consistency
• It ensure that if the system is consistent before and after transaction
• User /application programmer responsible for consistent state.
For example: The total amount must be maintained before or after the transaction.
1. Total before T occurs = 600+300=900
2. Total after T occurs= 500+400=900
Isolation
• It ensure that no transaction should be affected by other parallelly executed transaction.
• In isolation, if the transaction T1 is being executed and is using the data item X then that data
item can't be accessed by any other transaction T2 until the transaction T1 ends.
• The concurrency control manager component responsible for isolation property.

Mahesh Kumar S
 28

Durability
 It ensure that all the updates made by transaction must become permanent in DB
irrespective of hardware and software failure.
 The recovery manager component is responsibility for durability.

States of Transaction
In a database, the transaction can be in one of the following states -

Active state
• Active state is the first state of the every transaction. In this state, transaction is being
executed.
• For example: Insertion or deletion or updating a record is done here. But all the records are
still not saved to the database.

Partially committed
• In the partially committed state, a transaction executes its final operation but the data is still
not saved to the database.
Committed
A transaction is said to be in a committed state if it executes all its operations successfully. In this
state, all the effects are now permanently saved on the database system.

Failed state
• If any of the query made from the database system fails then the transaction is said to be in
failed state.
• In the example of total mark calculation, if the database is not able to fire a query to fetch
the marks then the transaction will fail to execute.

Aborted − If transaction reached failed state, then the recovery manager rolls back all its write
operations on the database to bring the database back to its original state .
Schedule
Transactions are set of operations on database. If multiple transactions are running concurrently,
we need to perform the only one operation on the database. This sequence of operations is known
as Schedule.

Mahesh Kumar S
 29

1. Serial Schedule
In Serial schedule, one transaction is executed completely before execution of another transaction.
This type of execution also known as non-interleaved execution

2. Non-serial Schedule
In non-serial schedules,
 Multiple transactions execute concurrently.
 Operations of all the transactions are inter leaved or mixed with each other.

Mahesh Kumar S
 30

a. Serializable schedule
The non-serial schedule is said to be in a serializable schedule only when it is equivalent to the serial
schedules, for an n number of transactions. Here, multiple transactions can execute concurrently

Conflict Serializable: A schedule is called conflict serializable if it can be transformed into a serial
schedule by swapping non-conflicting operations.
View Serializable: To check whether a given schedule is view serializable, we need to check whether
the given schedule is View Equivalent to its serial schedule.
Two schedules T1 and T2 are said to be view equivalent, if they satisfy all the following conditions:

 Initial Read: Initial read of each data item in transactions must match in both schedules.
 Final Write: Final write operations on each data item must match in both the schedules.
 Update Read For example, In schedule S1, T1 performs a read operation on X after the write
operation on X by T2 then in S2, T1 should read the X after T2 performs write on X.
4. Non-Serializable Schedules
A non-serial schedule which is not serializable is called as a non-serializable schedule.
A non-serializable schedule may or may not consistent and may or may not recoverable.

Concurrency Control:
 Concurrency control enables the multiple users to access shared database at the same time.
 When multiple users(transaction) are accessing the database at the same time, and at least
one is updating data, there may be the chance of conflicts, which can result in data
inconsistencies.

Mahesh Kumar S
 31

Ex: Assume that two people who go to two different electronic machine at the same time to buy a
movie ticket for the same movie and the same show time.
However, there is only one seat left in for the movie show in that particular theatre. Without
concurrency control, it is possible that both person will end up purchasing a ticket. However,
concurrency control method does not allow this to happen. Concurrency control only provides a
ticket to the buyer who has completed the transaction process first.

We have concurrency control protocols to ensure atomicity and isolation of concurrent

transactions.
Problems of concurrency control
Following are the three problems in concurrency control.
1. Lost updates
2. Dirty read
3. Unrepeatable read(phantom read)

1. Lost update problem

• If two transactions T1 and T2 read a data and then update the data one after another , the
data updation of T1 will be overwritten by the T2.It will leads to Lost update
problem.(i.e.update made by one transaction is lost here)

At time t2, transaction-X reads A's value.

• At time t3, Transaction-Y reads A's value.
• At time t4, Transactions-X writes A's value on the basis of the value seen at time t2.
• At time t5, Transactions-Y writes A's value on the basis of the value seen at time t3.
• So at time t5, the update of Transaction-X is lost because Transaction Y overwrites it without
looking at its current value.
• Such type of problem is known as Lost Update Problem as update made by one transaction is
lost here.

2. Dirty Read(unpredictable read)

• Let consider this scenario. Transaction Y update A data.and transaction X read the data A
from database. But transaction Y is not complete due to system failure so the previous value
of data A rollback into the database. Now the transaction hold the value of data A which is
incorrect. This is called dirty read.

Mahesh Kumar S
 32

At time t2, transaction-Y writes A's value.

• At time t3, Transaction-X reads A's value.
• At time t4, Transactions-Y rollbacks. So, it changes A's value back to that of prior to t1.
• So, Transaction-X now contains a value which has never become part of the stable database.
3.Phantom Read Problem:

The phantom read problem occurs when a transaction reads a variable once but when it tries to
read that same variable again, an error occurs saying that the variable does not exist.

In the above example, once transaction 2 reads the variable X, transaction 1 deletes the variable X
without transaction 2’s knowledge. Thus, when transaction 2 tries to read X, again it is not able to it.

Concurrency Control Protocol

Concurrency control protocols ensure atomicity and isolation of concurrent transactions. The
concurrency control protocol can be divided into 3 categories:
1. Lock based protocol
A) Shared lock(lock-s)
Transaction can only perform read operation on data items
B) Exclusive lock(lock-x)
Transaction can perform read and write operation on data items.

Mahesh Kumar S
 33

2. Two phase locking protocol

 Growing Phase: In this phase transaction may obtain locks but may not release any locks.
 Shrinking Phase: In this phase, a transaction may release locks but not obtain any new
lock

3. Time-stamp protocol
A unique identifier created by DBMS which indicate the relative starting time of each
transaction.
Condition: Ts(1)<Ts(2)

Mahesh Kumar S
 34

Dead lock in DBMS:

It is a situation in which Two or more transaction hold lock and waiting for one another to release
locks. Real life example:
A) 2 person call each other at a same time. result: both are getting busy state.
B) Exam paper and pen: person A have pen and person B have paper. To complete the exam
successfully Person A need paper and Person B need pen.so, this is not possible .so dead lock
occur.

Mahesh Kumar S
 35

Necessary condition for Dead lock:

1. Hold and wait

Mahesh Kumar S
 36

2.Mutual exclusion:
3.No Pre-emption:

4.circular wait:

Mahesh Kumar S
 37

Starvation:
Starvation can be best explained with the help of an example – Suppose there are 3 transactions
namely T1, T2, and T3 in a database that are trying to acquire a lock on data item ‘ I ‘. Now, suppose
the scheduler grants the lock to T1(maybe due to some priority), and the other two transactions are
waiting for the lock. As soon as the execution of T1 is over, another transaction T4 also come over
and request unlock on data item ‘I’. Now, this time the scheduler grants lock to T4, and T2, T3 has to
wait again. In this way if new transactions keep on requesting the lock, T2 and T3 may have to wait
for an indefinite period of time, which leads to Starvation.

INDEXING

 The index is a type of data structure. It is used to locate and access the data in a database
table quickly.
 Indexing is used to increase the performance of a database by decrease the number of disk
accesses required when a query is processed.

Ex. Indexing in database systems is similar to what we see in books.

Structure of a index:

Mahesh Kumar S
 38

Type of index:

 Single level index

 Multi-level index

Single level index:

Here index table not divided into further small index.
Primary (ordered ) Index –
– Primary index is defined on an ordered data file. The index is created on primary key column.
Types of Primary index:
• Dense Index
• Sparse Index

Dense Index
In dense index, there is an index row for every primary key value in the database. This makes
searching faster but requires more space to store index records itself. Each Index row contain
primary key value and a pointer to the actual record on the disk.

Sparse Index
In sparse index, index records are not created for every primary key. To search a record, we first
proceed by index record and reach at the actual location of the data. If the data we are looking for is
not found in index record, we directly reach by following the index, then the system starts
sequential search until the desired data is found

Mahesh Kumar S
 39

Clustering Index
– A clustered index can be defined as an ordered data file. The index record is created on non-
primary key column.
– The rows which have similar characteristics are grouped, and indexes are created for these
group.
Example: suppose a company contains several employees in each department. Suppose we use a
clustering index, where all employees which belong to the same Dept_ID are considered within a
single cluster, and index pointers point to the cluster as a whole. Here Dept_Id is a non-unique key.

Secondary:
− Secondary index generated by using candidate key.
Secondary index enables accessing data file without using primary key. Secondary index must be a
dense index(index defined on each row). Order of the search key values in the index file and
the actual records are in different order.
 A file can have several secondary indexes.

Mahesh Kumar S
 40

Multilevel Index
When stored large number of data it may result to large number of index. With help of multi index
we can overcome this problem. In Multi-level Index ,the actual index table divided into several
smaller index table in order to make the outermost level as small which can be saved in a single disk
block.so that index table can easily be accommodated anywhere in the main memory.

B tree
A B-Tree of order m can have at most m-1 keys and m children.

A B tree of order m contains all the properties of an M way tree. In addition, it contains the following
properties.

1. Every node in a B-Tree contains at most m children.

2. Every node in a B-Tree except the root node and the leaf node contain at least m/2 children.
3. The root nodes must have at least 2 children nodes.
4. All leaf nodes must be at the same level.

B+ Tree
A B+ tree is a balanced binary search tree that follows a multi-level index format. The leaf nodes of a
B+ tree denote actual data pointers. B+ tree ensures that all leaf nodes remain at the same height,
thus balanced.

Mahesh Kumar S
 41

Additionally, the leaf nodes are linked using a link list; therefore, a B+ tree can support random
access as well as sequential access.
Structure of B+ Tree

Every leaf node is at equal distance from the root node. A B+ tree is of the order n where n is fixed
for every B+ tree.
Internal nodes −
• Internal (non-leaf) nodes contain at least ⌈n/2⌉pointers, except the root node.
• At most, an internal node can contain n pointers.
Leaf nodes −
• Leaf nodes contain at least ⌈n/2⌉record pointers and ⌈n/2⌉key values.
• At most, a leaf node can contain n record pointers and n key values.
• Every leaf node contains one block pointer P to point to next leaf node and forms a
linked list.

Mahesh Kumar S
 42

Imp points from above table: 1,2,5

Note:

B+ tree widely used in data base system.

Avl tree, red black tree not used in data base system. Because they have growth in depth wise not in
breath wise.so, they take more accessing time. B , B+ tree grow breadth wise and they take less
access time compare to other tree data structure.

Recovery management system

Atomicity is property of Transaction .It describes transaction as a unit.so, every transaction has only
two state either done or not done. For maintaining this property DBMS used two types of recovery
system.
1. Log based recovery
2. Using checkpoint (used for concurrent transactions)
1. Log-based Recovery
The log is a sequence of records (row). Log of each transaction is maintained in some stable storage
so that if any failure occurs, then it can be recovered from there.
2. Checkpoint
Recovery with Concurrent Transactions
When more than one transaction are being executed in parallel, the logs are interleaved (so, logs
not completed for particular transaction). At the time of recovery, it would become hard for the
recovery system to backtrack all logs, and then start recovering.
And also whenever transaction happened it stored in the log file. Because, in the long run the log
file may grow too big. Keeping and maintaining logs in real time may fill out all the memory space
available in the system.
To overcome this situation, most modern DBMS use the concept of 'checkpoints'.
Checkpoint is a mechanism where all the previous logs are removed from the system and stored
permanently in a storage disk. Checkpoint points to a point where all the previous transactions were
completed successfully.
When a system with concurrent transactions crashes and recovers, it behaves in the following
manner −

Mahesh Kumar S
 43

 The recovery system reads the logs backwards.

 It maintains two lists, an undo-list and a redo-list.
 If the recovery system sees a log with <T , Start> and <T , Commit> or just <T , Commit>, it
n n n

puts the transaction in the redo-list.

 If the recovery system sees a log with <T , Start> but no commit or abort log found, it puts the
n

transaction in undo-list.
All the transactions in the undo-list are undone and their logs are removed. All the transactions in
the redo-list redone and their logs are saved.

With

Mahesh Kumar S