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MODULE 3: SQL DML (Data Manipulation

Language), Physical Data Organization
PREPARED BY SHARIKA T
R, SNGCE

PREPARED BY SHARIKA T R,
SNGCE

SYLLABUS
• SQL DML (Data Manipulation Language)
▫ SQL queries on single and multiple tables, Nested queries (correlated and
non-correlated), Aggregation and grouping, Views, assertions, Triggers,
SQL data types.
• Physical Data Organization
▫ Review of terms: physical and logical records, blocking factor, pinned and
unpinned organization. Heap files, Indexing, Singe level indices, numerical
examples, Multi-level-indices, numerical examples, B-Trees & B+-Trees
(structure only, algorithms not required), Extendible Hashing, Indexing on
multiple keys – grid files
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Data-manipulation language(DML)
• The SQL DML provides the ability to query information from
the database and to insert tuples into, delete tuples from, and
modify tuples in the database.
▫ Integrity
 The SQL DDL includes commands for specifying integrity
constraints that the data stored in the database must satisfy.
Updates that violate integrity constraints are disallowed.
▫ View definition
 The SQL DDL includes commands for defining views.
▫ Transaction control
 SQL includes commands for specifying the beginning and ending of
transactions.

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Basic Retrieval Queries in SQL

• SQL has one basic statement for retrieving information from a
database; the SELECT statement
• This is not the same as the SELECT operation of the relational
algebra
• Important distinction between SQL and the formal relational model;
▫ SQL allows a table (relation) to have two or more tuples that are
identical in all their attribute values
▫ Hence, an SQL relation (table) is a multi-set (sometimes called a bag)
of tuples;
▫ it is not a set of tuples SQL relations can be constrained to be sets by
specifying PRIMARY KEY or UNIQUE attributes, or by using the
DISTINCT option in a query
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SELECT <attribute list>

FROM <table list>
WHERE <condition>
• <attribute list>
▫ is a list of attribute names whose values are to be retrieved by the
query
• <table list>
▫ is a list of the relation names required to process the query
• <condition>
▫ is a conditional (Boolean) expression that identifies the tuples to
be retrieved by the query

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PREPARED BY SHARIKA T R,

QO. Retrieve the birth date and address of the

SNGCE

employee(s) whose name is ‘John B. Smith’.

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Q1. Retrieve the name and address of all

PREPARED BY SHARIKA T R,
SNGCE

employees who work for the ‘Research’

department.

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Q 2. For every project located in ‘Stafford’, list the project

number, the controlling department number, and the
department manager’s last name, address, and birth date.
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Ambiguous Attribute Names, Aliasing,

Renaming, and Tuple Variables
• In SQL, we can use the same name for two (or more)
attributes as long as the attributes are in different relations
• a multitable query refers to two or more attributes with the
same name, we must qualify the attribute name with the
relation name to prevent ambiguity
• This is done by prefixing the relation name to the attribute
name and separating the two by a period(.).

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Q8. For each employee, retrieve the employee’s

SNGCE

first and last name and

the first and last name of his or her immediate
supervisor.
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• Alternative relation names E and S are called aliases or

tuple variables, for the EMPLOYEE relation.
• An alias follow the keyword AS
• It is also possible to rename the relation attributes within
the query in SQL by giving them aliases.

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Unspecified WHERE Clause and Use of the

Asterisk
• missing WHERE clause indicates no condition on tuple
selection;
▫ hence, all tuples of the relation specified in the FROM sclause
qualify and are selected for the query result
• If more than one relation is specified in the FROM clause
and there is no WHERE clause, then the CROSS
PRODUCT all possible tuple combinations of these
relations is selected

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Q 9 and 10. Select all EMPLOYEE Ssns (Q9) and all

SNGCE

combinations of
EMPLOYEE Ssn and DEPARTMENT Dname (Q10) in the
database.
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• To retrieve all the attribute values of the selected tuples, we do

not have to list the attribute names explicitly in SQL;
• we just specify an asterisk (*), which stands for all the
attributes

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Q1C retrieves all the attribute values of any

EMPLOYEE who works in DEPARTMENT number
5
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Q1D Retrieves all the attributes of an EMPLOYEE and

SNGCE

the attributes of the DEPARTMENT in which he or she

works for every employee of the ‘Research’
department

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SNGCE

Q10A specifies the CROSS PRODUCT of the

EMPLOYEE and DEPARTMENT relations
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Tables as Sets in SQL

• SQL usually treats a table not as a set but rather as a multiset;
▫ duplicate tuples can appear more than once in a table, and in the result
of a query.
• SQL does not automatically eliminate duplicate tuples in the results
of queries, for the following reasons
▫ Duplicate elimination is an expensive operation.
 One way to implement it is to sort the tuples first and then eliminate
duplicates.
▫ The user may want to see duplicate tuples in the result of a query.
▫ When an aggregate function is applied to tuples, in most cases we do
not want to eliminate duplicates

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DISTINCT Keyword
• to eliminate duplicate tuples from the result of an SQL
querys we use the keyword DISTINCT in the SELECT
clause
• only distinct tuples should remain in the result
• a query with SELECT DISTINCT eliminates duplicates,
whereas a query with SELECT ALL does not.
• SELECT with neither ALL nor DISTINCT is equivalent to
SELECT ALL
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Q11 retrieves the salary of every

employee without distinct

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Q11A retrieves the salary of every

employee using keyword DISTINCT

Duplicate
eliminated
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UNION, EXCEPT and INTERSECT

• set union (UNION), set difference (EXCEPT), and set intersection
(INTERSECT) operations.
• The relations resulting from these set operations are sets of tuples;
that is, duplicate tuples are eliminated from the result.
• These set operations apply only to union-compatible relations, so
we must make sure that the two relations on which we apply the
operation have the same attributes and that the attributes appear
in the same order in both relations

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SNGCE

Q4. Make a list of all project numbers for projects that

involve an employee whose last name is ‘Smith’, either as a
worker or as a manager of the department that controls the
project

The first SELECT query retrieves the projects that involve a ‘Smith’ as manager of
the department that controls the project, and the second retrieves the projects that
involve a ‘Smith’ as a worker on the project. Notice that if several employees have the
last name ‘Smith’, the project names involving any of them will be retrieved.
Applying the UNION operation to the two SELECT queries gives the desired result.
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UNION ALL
• The UNION ALL command combines the result set of two
or more SELECT statements (allows duplicate values).
• The following SQL statement returns the cities (duplicate
values also) from both the "Customers" and the "Suppliers"
table:

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This SQL UNION ALL example would return the supplier_id multiple times in
the result set if that same value appeared in both the suppliers and orders table.
The SQL UNION ALL operator does not remove duplicates. If you wish to remove
duplicates, try using the UNION operator.
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INTERSECT Operator
• INTERSECT operator is used to
return the records that are in
common between two SELECT
statements or data sets.
• If a record exists in one query and not
in the other, it will be omitted from
the INTERSECT results.
• It is the intersection of the two
SELECT statements.
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• In this SQL INTERSECT example, if a supplier_id

appeared in both the suppliers and orders table, it would
appear in your result set.

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EXCEPT
• The SQL EXCEPT clause/operator is used to combine two
SELECT statements and returns rows from the first
SELECT statement that are not returned by the second
SELECT statement.
▫ This means EXCEPT returns only rows, which are not
available in the second SELECT statement.
• Just as with the UNION operator, the same rules apply
when using the EXCEPT operator.

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Substring Pattern Matching and Arithmetic

Operators
• LIKE comparison operator
▫ This can be used for string pattern matching
▫ Partial strings are specified using two reserved characters
 % replaces an arbitrary number of zero or more characters, and
 the underscore (_) replaces a single character

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SNGCE

Q 12. Retrieve all employees whose address is

in Houston, Texas.
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Q 12A. Find all employees who were born

during the 1950s.

• To retrieve all employees who were born during the

1950s,
• Here, ‘5’ must be the third character of the string
(according to our format for date),
• so we use the value ‘_ _ 5 _ _ _ _ _ _ _’, with each
underscore serving as a placeholder for an arbitrary
character.

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SNGCE

• If an underscore or % is needed as a literal character in the string,

the character should be preceded by an escape character, which is
specified after the string using the keyword ESCAPE.
• For example, ‘AB\_CD\%EF’ ESCAPE ‘\’ represents the literal
• string ‘AB_CD%EF’ because \ is specified as the escape character.
• Any character not used in the string can be chosen as the escape
character.
• Also, we need a rule to specify apostrophes or single quotation
marks (‘ ’) if they are to be included in a string because they are
used to begin and end strings.
• If an apostrophe (’) is needed, it is represented as two consecutive
apostrophes (”) so that it will not be interpreted as ending the
string.
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• The standard arithmetic operators for addition (+),

subtraction (–), multiplication (*), and division (/) can be
applied to numeric values or attributes with numeric
domains

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Q13. Show the resulting salaries if every employee

working on the ‘ProductX’ project is given a 10
percent raise.

suppose that we want to see the effect of giving all employees who work on the
‘ProductX’ project a 10 percent raise; we can issue Query 13 to see what their
salaries would become. This example also shows how we can rename an
attribute in the query result using AS in the SELECT clause.
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• For string data types, the concatenate operator || can be used

in a query to append two string values.
• For date, time, timestamp, and interval data types, operators
include incrementing (+) or decrementing (–) a date, time, or
timestamp by an interval.
• In addition, an interval value is the result of the difference
between two date, time, or timestamp values.
• Another comparison operator, which can be used for
convenience, is BETWEEN

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Q 14. Retrieve all employees in department 5

whose salary is between
$30,000 and $40,000.

The condition (Salary BETWEEN 30000 AND 40000) in Q14

is equivalent to the condition
((Salary >= 30000) AND (Salary <= 40000))
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Ordering of Query Results

• The ORDER BY statement in sql is used to sort the fetched
data in either ascending or descending according to one or
more columns.
▫ By default ORDER BY sorts the data in ascending order.
▫ We can use the keyword DESC to sort the data in descending
order and the keyword ASC to sort in ascending order.

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SNGCE

Q. Fetch all data from the table Student and

sort the result in descending order according
to the column ROLL_NO

Student Table
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Sort according to multiple columns PREPARED BY SHARIKA T R,

SNGCE

Q. Fetch all data from the table Student and then sort the
result in ascending order first according to the column Age.
and then in descending order according to the column
ROLL_NO.
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Q15. Retrieve a list of employees and the projects they

are working on, ordered by department and, within
each department, ordered alphabetically by
last name, then first name.

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SNGCE

NESTING OF QUERIES
• A complete SELECT query, called a nested query , can be
specified within the WHERE-clause of another query,
called the outer query
• Many of the previous queries can be specified in an
alternative form using nesting
•
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Q1: SELECT FNAME,LNAME, ADDRESS

FROM EMPLOYEE
WHERE DNO IN (SELECT DNUMBER
FROM DEPARTMENT
WHERE DNAME=’Research’)

• The nested query selects the number of the 'Research' department

• The outer query select an EMPLOYEE tuple if its DNO value is in th result of
either nested query
• The comparison operator IN compares a value v with a set (or multi-set) of
values V, and evaluates to TRUE if v is one of the elements in V
• In general, we can have several levels of nested queries
• A reference to an unqualified attribute refers to the relation declared in the
innermost nested query
• In this example, the nested query is not correlated with the outer query

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SNGCE

Q. Returns the names of employees whose

salary is greater than the salary of all the
employees in department 5
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CORRELATED NESTED QUERIES

• If a condition in the WHERE-clause of a nested query
references an attribute of a relation declared in the outer
query , the two queries are said to be correlated
• The result of a correlated nested query is different for each
tuple (or combination of tuples) of the relation(s) the outer
query

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Query: Retrieve the name of each employee

who has a dependent with the same first name
as the employee.

Here the nested query has a different result for each tuple in the outer
query.
A query written with nested SELECT... FROM... WHERE... blocks and using
the = or IN comparison operators can always be expressed as a single block
query.
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A Simple Retrieval Query in SQL

• A simple retrieval query in SQL can consist of up to four
clauses,
▫ but only the first two SELECT and FROM are mandatory
▫ the clauses between square brackets [ ... ] being optional:

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SNGCE

• The SELECT-clause lists the attributes or functions to be

retrieved
• The FROM-clause specifies all relations (or aliases) needed in
the query but not those needed in nested queries
• The WHERE-clause specifies the conditions for selection and
join of tuples from the relations specified in the FROM-clause
• GROUP BY specifies grouping attributes
• HAVING specifies a condition for selection of groups
• ORDER BY specifies an order for displaying the result of a
query
• A query is evaluated by first applying the WHERE-clause,
then GROUP BY and HAVING, and finally the SELECT-clause
• There are three SQL commands to modify the database;
INSERT, DELETE, and UPDATE
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The EXISTS and UNIQUE Functions in SQL

• EXISTS function in SQL is used to check whether the result
of a correlated nested query is empty (contains no tuples)
or not
• The result of EXISTS is a Boolean value
▫ TRUE if the nested query result contains at least one tuple, or
▫ FALSE if the nested query result contains no tuples.

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SNGCE

SELECT E.Fname, E.Lname

FROM EMPLOYEE AS E
WHERE EXISTS
( SELECT *
FROM DEPENDENT AS D
WHERE E.Ssn=D.Essn AND E.Sex=D.Sex
);
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OUTPUT

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SNGCE

• EXISTS(Q) returns TRUE if there is at least one tuple in

the result of the nested query Q, and it returns FALSE
otherwise.
• On the other hand, NOT EXISTS(Q) returns TRUE if there
are no tuples in the result of nested query Q, and it returns
FALSE otherwise
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Q. Retrieve the names of employees who have

no dependents.

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SNGCE

OUTPUT
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Aggregate Functions in SQL

• Aggregate functions are used to summarize information
from multiple tuples into a single-tuple summary.
• Grouping is used to create sub-groups of tuples before
summarization.
• A number of built-in aggregate functions exist:
1. COUNT,
2. SUM,
3. MAX,
4. MIN, and
5. AVG

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SNGCE

• COUNT function returns the number of tuples or values as

specified in a query.
• The functions SUM, MAX, MIN, and AVG can be applied to
a set or multiset of numeric values and return, respectively,
the sum, maximum value, minimum value, and average
(mean) of those values
• These functions can be used in the SELECT clause or in a
HAVING clause
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SNGCE

Q19. Find the sum of the salaries of all

employees, the maximum salary,
the minimum salary, and the average salary.

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SNGCE

Q21. Retrieve the total number of employees

in the company

SELECT COUNT(*)
FROM EMPLOYEE;
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Q22. The number of employees in the

‘Research’ department

Here the asterisk (*) refers to the rows (tuples),

so COUNT (*) returns the number of rows in the
result of the query. We may also use the COUNT
function to count values in a column rather
than tuples

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SNGCE

Query 23. Count the number of distinct salary

values in the database.

If we write COUNT(SALARY) instead of

COUNT(DISTINCT SALARY) then
duplicate values will not be eliminated.
However, any tuples with NULL for SALARY
will not be counted. In general, NULL values
are discarded when aggregate functions are
applied to a particular column
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Q. Retrieve the names of all employees who

have two or more dependents

The correlated nested query counts the number

of dependents that each employee
has; if this is greater than or equal to two, the
employee tuple is selected.

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SNGCE

Grouping: The GROUP BY and HAVING Clauses

• In many cases we want to apply the aggregate functions to subgroups of
tuples in a relation, where the subgroups are based on some attribute
values.
• For example,
▫ we may want to find the average salary of employees in each department or
▫ the number of employees who work on each project.
• In these cases we need to partition the relation into nonoverlapping subsets
(or groups) of tuples.
• Each group (partition) will consist of the tuples that have the same value of
some attributes called the grouping attributes.
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GROUP BY
• The GROUP BY clause specifies the grouping attributes,
which should also appear in the SELECT clause,
• so that the value resulting from applying each aggregate
function to a group of tuples appears along with the value
of the grouping attributes

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SNGCE

Q24. For each department, retrieve the

department number, the number of employees
in the department, and their average salary

the EMPLOYEE tuples are partitioned into groups—each group having

the same value for the grouping attribute Dno. Hence, each group contains the
employees who work in the same department.
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If NULLs exist in the grouping attribute, then a separate group is created for all
tuples with a NULL value in the grouping attribute.
For example, if the EMPLOYEE table had some tuples that had NULL for the
grouping attribute Dno, there would be a separate group for those tuples in the
result of Q24

Query 25. For each project, retrieve the

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SNGCE

project number, the project name, and the

number of employees who work on that
project.
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SNGCE

HAVING clause
• In GROUP BY the grouping and functions are applied after the
joining of the two relations.
• Sometimes we want to retrieve the values of these functions only
for groups that satisfy certain conditions
• HAVING clause, which can appear in conjunction with a GROUP
BY clause
• HAVING provides a condition on the summary information
regarding the group of tuples associated with each value of the
grouping attributes.
• Only the groups that satisfy the condition are retrieved in the
result of the query.
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Q 26. For each project on which more than two PREPARED BY SHARIKA T R,
SNGCE

employees work, retrieve

the project number, the project name, and the
number of employees who work
on the project.

PREPARED BY SHARIKA T R,

After applying the WHERE clause but

SNGCE

before applying HAVING

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After applying the HAVING clause condition

Query 27. For each project, retrieve the

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project number, the project name, and the

number of employees from department 5 who
work on the project.
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SQL JOIN
• How do I get data from multiple tables?
▫ A SQL JOIN combines records from two tables.
▫ A JOIN locates related column values in the two tables.
▫ A query can contain zero, one, or multiple JOIN operations.
▫ INNER JOIN is the same as JOIN; the keyword INNER is
optional

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• Four different types of JOINs

1. (INNER) JOIN:
 Select records that have matching values in both
tables.
2. FULL (OUTER) JOIN:
 Selects all records that match either left or right
table records.
3. LEFT (OUTER) JOIN:
 Select records from the first (left-most) table
with matching right table records.
4. RIGHT (OUTER) JOIN:
 Select records from the second (right-most)
table with matching left table records
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JOIN Syntax
• The general syntax is
SELECT column-names
FROM table-name1 INNER JOIN table-name2
ON column-name1 = column-name2
WHERE condition
• The INNER keyword is optional: it is the default as well as
the most commonly used JOIN operation.
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Example
• Problem: List all orders with customer information
SELECT OrderNumber, TotalAmount, FirstName, LastName, City,
Country
FROM Order JOIN Customer
ON Order.CustomerId = Customer.Id

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SQL LEFT JOIN

• A LEFT JOIN performs a join starting with the first (left-
most) table.
• Then, any matched records from the second table (right-
most) will be included.
• LEFT JOIN and LEFT OUTER JOIN are the same.
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The SQL LEFT JOIN syntax

• The general LEFT JOIN syntax is
SELECT column-names
FROM table-name1 LEFT JOIN table-name2
ON column-name1 = column-name2
WHERE condition
• The general LEFT OUTER JOIN syntax is
SELECT column-names
FROM table-name1 LEFT OUTER JOIN table-name2
ON column-name1 = column-name2
WHERE condition

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SQL LEFT JOIN

Example
• Problem: List all customers and the total amount they
spent irrespective whether they placed any orders or not.
SELECT OrderNumber, TotalAmount, FirstName, LastName, City,
Country
FROM Customer C LEFT JOIN [Order] O
ON O.CustomerId = C.Id
ORDER BY TotalAmount
• The ORDER BY TotalAmount shows the customers without
orders first (i.e. TotalMount is NULL).
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SQL RIGHT JOIN

• A RIGHT JOIN performs a join starting with the second
(right-most) table and then any matching first (left-most)
table records. RIGHT JOIN and RIGHT OUTER JOIN are
the same.
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The SQL RIGHT JOIN syntax

• The general syntax is
SELECT column-names
FROM table-name1 RIGHT JOIN table-name2
ON column-name1 = column-name2
WHERE condition
The general RIGHT OUTER JOIN syntax is:
SELECT column-names
FROM table-name1 RIGHT OUTER JOIN table-name2
ON column-name1 = column-name2
WHERE condition

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SQL RIGHT JOIN

Examples
• Problem: List customers that have not placed orders
SELECT TotalAmount, FirstName, LastName, City,
Country
FROM [Order] O RIGHT JOIN Customer C
ON O.CustomerId = C.Id
WHERE TotalAmount IS NULL
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SQL FULL JOIN Statement

• FULL JOIN returns all matching records from both tables
whether the other table matches or not.
• Be aware that a FULL JOIN can potentially return very
large datasets.
• These two: FULL JOIN and FULL OUTER JOIN are the
same.

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The SQL FULL JOIN syntax

• The general syntax is:
SELECT column-names
FROM table-name1 FULL JOIN table-name2
ON column-name1 = column-name2
WHERE condition
• The general FULL OUTER JOIN syntax is:
SELECT column-names
FROM table-name1 FULL OUTER JOIN table-name2
ON column-name1 = column-name2
WHERE condition
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SQL FULL JOIN

Examples
• Problem: Match all customers and suppliers by country
SELECT C.FirstName, C.LastName, C.Country AS
CustomerCountry,
S.Country AS SupplierCountry, S.CompanyName
FROM Customer C FULL JOIN Supplier S
ON C.Country = S.Country
ORDER BY C.Country, S.Country
• This returns suppliers that have no customers in their country and
customers that have no suppliers in their country, and customers and
suppliers that are from the same country.

Q 20. Find the sum of the salaries of all PREPARED BY SHARIKA T R,

SNGCE

employees of the ‘Research’

department, as well as the maximum salary,
the minimum salary, and the average salary in
this department.
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SQL Query Order of Execution

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Views (Virtual Tables) in SQL

• A view in SQL terminology is a single table that is derived from
other tables
• These other tables can be base tables or previously defined views
• A view does not necessarily exist in physical form;
▫ it is considered to be a virtual table, in contrast to base tables,
▫ whose tuples are always physically stored in the database.
• This limits the possible update operations that can be applied to
views, but it does not provide any limitations on querying a view.
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• We can think of a view as a way of specifying a

table that we need to reference frequently, even
though it may not exist physically.
• Views, which are a type of virtual tables allow
users to do the following
▫ Structure data in a way that users or classes of
users find natural or intuitive.
▫ Restrict access to the data in such a way that a
user can see and (sometimes) modify exactly what
they need and no more.
▫ Summarize data from various tables which can be
used to generate reports.

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Example
• In COMPANY databasewe may frequently issue queries that retrieve the
employee name and the project names that the employee works on.
• Rather than having to specify the join of the three tables EMPLOYEE,
WORKS_ON, and PROJECT every time we issue this query, we can define
a view that is specified as the result of these joins.
• Then we can issue queries on the view, which are specified as
single_x0002_table retrievals rather than as retrievals involving two joins
on three tables.
• We call the EMPLOYEE, WORKS_ON, and PROJECT tables the defining
tables of the view.
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Specification of Views in SQL

• In SQL, the command to specify a view is CREATE VIEW.
• The view is given a (virtual) table name (or view name), a list of
attribute names, and a query to specify the contents of the view.
• If none of the view attributes results from applying functions or
arithmetic operations,
▫ we do not have to specify new attribute names for the view,
▫ since they would be the same as the names of the attributes of the
defining tables in the default case

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V1

V2
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• We can specify SQL queries on a view in the same way

we specify queries involving base tables.
• For example,
▫ to retrieve the last name and first name of all
employees who work on the ‘ProductX’ project, we can
utilize the WORKS_ON1 view and specify the query as
in QV1:

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• A view is supposed to be always up-to-date;

▫ if we modify the tuples in the base tables on which the view is
defined, the view must automatically reflect these changes.
• Hence, the view is not realized or materialized at the time of view
definition but rather at the time when we specify a query on the
view.
• It is the responsibility of the DBMS and not the user to make sure
that the view is kept up-to-date

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DROP VIEW
• If we do not need a view any more, we can use the DROP
VIEW command to dispose of it.
• For example, to get rid of the view V1, we can use the SQL
statement in V1A:
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View Implementation, View Update,

SNGCE

and Inline Views

• query modification
▫ involves modifying or transforming the view query (submitted by the
user) into a query on the underlying base tables.
▫ For example, the query QV1 would be automatically modified to the
following query by the DBMS

▫ The disadvantage of this approach is that it is inefficient for views defined

via complex queries that are time-consuming to execute,
▫ especially if multiple queries are going to be applied to the same view
within a short period of time.

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View Materialization
• involves physically creating a temporary view table when the view
is first queried and keeping that table on the assumption that
other queries on the view will follow
• an efficient strategy for automatically updating the view table
when the base tables are updated must be developed in order to
keep the view up-to-date.
• Techniques using the concept of incremental update have been
developed for this purpose,
▫ where the DBMS can determine what new tuples must be inserted,
deleted, or modified in a materialized view table when a database
update is applied to one of the defining base tables
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• The view is generally kept as a materialized (physically

stored) table as long as it is being queried.
• If the view is not queried for a certain period of time, the
system may then automatically remove the physical table
and recompute it from scratch when future queries
reference the view

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UPDATING VIEWS
• There are certain conditions needed to be satisfied to update a view
1. The view is defined based on one and only one table.
2. The view must include the PRIMARY KEY of the table based upon
which the view has been created.
3. The view should not have any field made out of aggregate functions.
4. The view must not have any DISTINCT clause in its definition.
5. The view must not have any GROUP BY or HAVING clause in its
definition.
6. The view must not have any SUBQUERIES in its definitions.
7. If the view you want to update is based upon another view, the later
should be updatable.
8. Any of the selected output fields (of the view) must not use
constants, strings or value expressions.
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Uses of a View
• Restricting data access
▫ Views provide an additional level of table security by restricting
access to a predetermined set of rows and columns of a table.
• Hiding data complexity
▫ A view can hide the complexity that exists in a multiple table join.
• Simplify commands for the user
▫ Views allows the user to select information from multiple tables
without requiring the users to actually know how to perform a join.
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• Store complex queries

▫ Views can be used to store complex queries.
• Rename Columns
▫ Views can also be used to rename the columns without
affecting the base tables provided the number of columns in
view must match the number of columns specified in select
statement. Thus, renaming helps to to hide the names of the
columns of the base tables.
• Multiple view facility
▫ Different views can be created on the same table for different
users.

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Specifying General Constraints as Assertions in

SQL
• Assertions = conditions that the database must always satisfy
• Domain constraints and referential-integrity constraints are specific
forms of assertions
• CHECK – verify the assertion on one-table, one-attribute
• ASSERTION – verify one or more tables, one or more attributes
• Some constraints cannot be expressed by using only domain
constraints or referential-integrity constraints; for example,
▫ “Every department must have at least five courses offered
every semester” – must be expressed as an assertion

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Example 1
• For each tuple in the student relation, the value of the
attribute tot_cred must equal the sum of credits of courses
that the student has completed successfully.

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• The total length of all movies by a given studio

shall not exceed 10,000 minutes

• Since this constraint involves only the relation

Movies, it can be expressed as a tuple-based
CHECK constraint
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TRIGGER
• A trigger is a stored procedure in database which automatically
invokes whenever a special event in the database occurs.
• action to be taken when certain events occur and when certain
conditions are satisfied.
• For example,
▫ a trigger can be invoked when a row is inserted into a specified table
or when certain table columns are being updated.
▫ it may be useful to specify a condition that, if violated, causes some
user to be informed of the violation
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Benefits of Triggers
• Generating some derived column values automatically
• Enforcing referential integrity
• Event logging and storing information on table access
• Auditing
• Synchronous replication of tables
• Imposing security authorizations
• Preventing invalid transactions

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Creating Triggers
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• CREATE [OR REPLACE] TRIGGER trigger_name

▫ Creates or replaces an existing trigger with the
trigger_name.
• {BEFORE | AFTER | INSTEAD OF}
▫ This specifies when the trigger will be executed.
▫ The INSTEAD OF clause is used for creating trigger on a
view.
• {INSERT [OR] | UPDATE [OR] | DELETE}
▫ This specifies the DML operation.
• [OF col_name]
▫ This specifies the column name that will be updated.
• [ON table_name]
▫ This specifies the name of the table associated with the
trigger.

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• [REFERENCING OLD AS o NEW AS n]

▫ This allows you to refer new and old values for various DML statements,
such as INSERT, UPDATE, and DELETE.
• [FOR EACH ROW]
▫ This specifies a row-level trigger, i.e., the trigger will be executed for
each row being affected.
▫ Otherwise the trigger will execute just once when the SQL statement is
executed, which is called a table level trigger.
• WHEN (condition)
▫ This provides a condition for rows for which the trigger would fire.
▫ This clause is valid only for row-level triggers.
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Example
• creates a row-level trigger for
the customers table that would
fire for INSERT or UPDATE or
DELETE operations performed
on the CUSTOMERS table.
• This trigger will display the
salary difference between the
old values and new values

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• The following points need to be considered here −

▫ OLD and NEW references are not available for table-level triggers,
rather you can use them for record-level triggers.
▫ If you want to query the table in the same trigger, then you should
use the AFTER keyword,
 because triggers can query the table or change it again only after
the initial changes are applied and the table is back in a consistent
state.
▫ The above trigger has been written in such a way that it will fire
before any DELETE or INSERT or UPDATE operation on the
table,
 but you can write your trigger on a single or multiple operations,
for example BEFORE DELETE,
 which will fire whenever a record will be deleted using the DELETE
operation on the table.

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Triggering a Trigger
• Here is one INSERT statement, which will create a new record in the
table

• When a record is created in the CUSTOMERS table, the above create

trigger, display_salary_changes will be fired and it will display the
following result

Because this is a new record, old salary is

not available and the above result comes as null.
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• The UPDATE statement will update an existing

record in the table

• When a record is updated in the CUSTOMERS

table, the above create trigger,
display_salary_changes will be fired and it will
display the following result

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SYLLABUS
• SQL DML (Data Manipulation Language)
▫ SQL queries on single and multiple tables, Nested queries (correlated and
non-correlated), Aggregation and grouping, Views, assertions, Triggers,
SQL data types.
• Physical Data Organization
▫ Review of terms: physical and logical records, blocking factor, pinned and
unpinned organization. Heap files, Indexing, Singe level indices, numerical
examples, Multi-level-indices, numerical examples, B-Trees & B+-Trees
(structure only, algorithms not required), Extendible Hashing, Indexing on
multiple keys – grid files

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Physical Files
• Physical files contain the actual data that is stored on the
system, and a description of how data is to be presented to
or received from a program.
• They contain only one record format, and one or more
members.
• Records in database files can be externally or program-
described.
• A physical file can have a keyed sequence access path.
▫ This means that data is presented to a program in a sequence
based on one or more key fields in the file.
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Logical files
• Logical files do not contain data.
• They contain a description of records found in one or more
physical files.
• A logical file is a view or representation of one or more
physical files.
• Logical files that contain more than one format are referred
to as multi-format logical files.
• If your program processes a logical file which contains
more than one record format, you can use a read by record
format to set the format you wish to use.

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• Typical database applications need only a small portion of

the database at a time for processing.
• Whenever a certain portion of the data is needed, it must
be located on disk, copied to main memory for processing,
and then rewritten to the disk if the data is changed.
• The data stored on disk is organized as files of records.
• Each record is a collection of data values that can be
interpreted as facts about entities, their attributes, and
their relationships.
• Records should be stored on disk in a manner that makes it
possible to locate them efficiently when they are needed

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File organizations
• File organization refers to the organization of the data of a
file into records, blocks, and access structures; this
includes the way records and blocks are placed on the
storage medium and interlinked.
• An access method, on the other hand, provides a group of
operations that can be applied to a file.
• In general, it is possible to apply several access methods to
a file organization
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Primary file organizations

• Primary file organizations determines how the file records are physically
placed on the disk, and hence how the records can be accessed.
1. Heap file (or unordered file) places the records on disk in no particular
order by appending new records at the end of the file
2. Sorted file (or sequential file) keeps the records ordered by the value of a
particular field (called the sort key).
3. Hashed file uses a hash function applied to a particular field (called the
hash key) to determine a record’s placement on disk.
4. Other primary file organizations, such as B-trees, use tree structures

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Secondary organization
• A secondary organization or auxiliary access structure
allows efficient access to file records based on alternate
fields than those that have been used for the primary file
organization
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Records and Record Types

• Data is usually stored in the form of records.
• Each record consists of a collection of related data values
or items, where each value is formed of one or more bytes
and corresponds to a particular field of the record.
• Records usually describe entities and their attributes.
• A collection of field names and their corresponding data
types constitutes a record type or record format definition.
• A data type, associated with each field, specifies the types
of values a field can take

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Files, Fixed-Length Records, and Variable-

Length Records
• A file is a sequence of records.
• In many cases, all records in a file are of the same record
type.
• If every record in the file has exactly the same size (in
bytes), the file is said to be made up of fixed-length
records.
• If different records in the file have different sizes, the file is
said to be made up of variable-length records.
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Spanned and Unspanned Organization

• A block is the unit of data transfer between disk and memory
• When the block size is larger than the record size, each block will
contain numerous records, although some files may have unusually
large records that cannot fit in one block.
• Part of the record can be stored on one block and the rest on another.
• A pointer at the end of the first block points to the block containing
the remainder of the record. This organization is called spanned
because records can span more than one block.
• Whenever a record is larger than a block, we must use a spanned
organization.
• If records are not allowed to cross block boundaries, the organization
is called unspanned.
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Blocking factor for the file

• The records of a file must be allocated to disk blocks because a
block is the unit of data transfer between disk and memory.
• When the block size is larger than the record size, each block will
contain numerous records, although some files may have
unusually large records that cannot fit in one block.
• Suppose that the block size is B bytes.
• For a file of fixed-length records of size R bytes, with B ≥ R, we can
fit bfr =└ B / R┘ records per block.
• The value bfr is called the blocking factor for the file.
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• In general, R may not divide B exactly, so we have some unused space in

each block equal to
B − (bfr * R) bytes
• To utilize this unused space, we can store part of a record on one block and
the rest on another.
• A pointer at the end of the first block points to the block containing the
remainder of the record in case it is not the next consecutive block on disk.
• This organization is called spanned because records can span more than
one block.
• Whenever a record is larger than a block, we must use a spanned
organization.
• If records are not allowed to cross block boundaries, the organization is
called unspanned
• If the average record is large, it is advantageous to use spanning to reduce
the lost space in each block

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• For variable-length records using spanned organization,

each block may store a different number of records.
• In this case, the blocking factor bfr represents the average
number of records per block for the file.
• We can use bfr to calculate the number of blocks b needed
for a file of r records:
b = ⎡(r/bfr)⎤ blocks
• where the ⎡(x)⎤ (ceiling function) rounds the value x up to
the next integer.
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Question
• Number of records=100000
• record size=100 bytes
• block size=512 byte
• for spanned orgaization number of
blocks needed= 100000 × 100 ÷ 512
= 19523 blocks
• In case of unspanned organization
• No of record per block=└512/100┘=5 record/block
• Total no of blocks= 100000/5 = 20000 blocks
• so we can see in unspanned need 468 disk blocks in case of
unspanned organisation

PREPARED BY SHARIKA T R,
SNGCE

• How many disk block required to store 2000 records each

of size 100bytes. Given block size is 512 bytes

• For spanned organisation

no. of disk block= 2000 × 100 ÷ 512 =┌390.6┐ =391 block

• For unspanned organisation

No. of record per block=└512/100┘ = 5 records per block
No. disk block= 2000/5 =400
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Allocating File Blocks on Disk

• Contiguous allocation,
▫ the file blocks are allocated to consecutive disk blocks.
▫ This makes reading the whole file very fast using double buffering, but it
makes expand_x0002_ing the file difficult.
• Linked allocation
▫ each file block contains a pointer to the next file block.
▫ This makes it easy to expand the file but makes it slow to read the whole file.
• Clusters allocation
▫ A combination of the two allocates clusters of consecutive disk blocks, and
the clusters are linked.
▫ Clusters are sometimes called file segments or extents.
• Indexed allocation
▫ where one or more index blocks contain pointers to the actual file blocks

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File Headers
• A file header or file descriptor contains information about a
file that is needed by the system programs that access the
file records.
• The header includes information to determine the disk
addresses of the file blocks as well as to record format
descriptions,
▫ which may include field lengths and the order of fields within
a record for fixed-length unspanned records and field type
codes, separator characters, and record type codes for
variable-length records.
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• To search for a record on disk, one or more blocks are copied into main
memory buffers.
• Programs then search for the desired record or records within the buffers,
using the information in the file header.
• If the address of the block that contains the desired record is not known,
the search programs must do a linear search through the file blocks.
• Each file block is copied into a buffer and searched until the record is
located or all the file blocks have been searched unsuccessfully.
• This can be very time-consuming for a large file. The goal of a good file
organization is to locate the block that contains a desired record with a
minimal number of block transfers.

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Operation on Files SNGCE

• Typical file operations include:

▫ OPEN: Readies the file for access, and associates a pointer
that will refer to a current file record at each point in time.
▫ FIND: Searches for the first file record that satisfies a certain
condition, and makes it the current file record.
▫ FINDNEXT: Searches for the next file record (from the
current record) that satisfies a certain condition, and makes it
the current file record.
▫ READ: Reads the current file record into a program variable.
▫ INSERT: Inserts a new record into the file & makes it the
current file record.
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▫ DELETE: Removes the current file record from the file,

usually by marking the record to indicate that it is no
longer valid.
▫ MODIFY: Changes the values of some fields of the
current file record.
▫ CLOSE: Terminates access to the file.
▫ REORGANIZE: Reorganizes the file records.
▫ For example, the records marked deleted are physically
removed from the file or a new organization of the file
records is created.
▫ READ_ORDERED: Read the file blocks in order of a
specific field of the file.

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Files of Unordered Records (Heap Files)

• records are placed in the file in the order in which they are
inserted, so new records are inserted at the end of the file.
• This organization is often used with additional access
paths, such as the secondary indexes
• Insertion
▫ Inserting a new record is very efficient.
▫ The last disk block of the file is copied into a buffer, the new
record is added, and the block is then rewritten back to disk.
▫ The address of the last file block is kept in the file header.
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• Searching
▫ searching a record using any search condition involves a
linear search through the file block by block an expensive
procedure.
▫ If only one record satisfies the search condition, then, on
the average, a program will read into memory and search
half the file blocks before it finds the record.
▫ For a file of b blocks, this requires searching (b/2) blocks,
on average.
▫ If no records or several records satisfy the search
condition, the program must read and search all b blocks
in the file

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• Deletion
▫ a program must first find its block, copy the block into a buffer,
delete the record from the buffer, and finally rewrite the block back
to the disk.
▫ This leaves unused space in the disk block.
▫ Deleting a large number of records in this way results in wasted
storage space.
▫ Another technique used for record deletion is to have an extra byte
or bit, called a deletion marker, stored with each record.
▫ A record is deleted by setting the deletion marker to a certain
value. A different value for the marker indicates a valid (not
deleted) record. Search programs consider only valid records in a
block when conducting their search.
▫ Both of these deletion techniques require periodic reorganization
of the file to reclaim the unused space of deleted records
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• We can use either spanned or unspanned organization for

an unordered file, and it may be used with either fixed-
length or variable-length records.
• Modifying a variable-length record may require deleting
the old record and inserting a modified record because the
modified record may not fit in its old space on disk

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SNGCE

• For a file of unordered fixed-length records using unspanned

blocks and contiguous allocation, it is straightforward to access
any record by its position in the file.
• If the file records are numbered 0, 1, 2, ..., r − 1 and the records in
each block are numbered 0, 1, ..., bfr − 1, where bfr is the blocking
factor, then the ith record of the file is located in block ⎣(i/bfr)⎦and
is the (i mod bfr)th record in that block.
• Such a file is often called a relative or direct file because records
can easily be accessed directly by their relative positions.
• Accessing a record by its position does not help locate a record
based on a search condition; however, it facilitates the
construction of access paths on the file, such as the indexes
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Files of Ordered Records (Sorted Files)

• We can physically order the records of a file on disk based
on the values of one of their fields called the ordering field.
• This leads to an ordered or sequential file.
• If the ordering field is also a key field of the file a field
guaranteed to have a unique value in each record then the
field is called the ordering key for the file.

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SNGCE
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Ordered records advantages over unordered

files
• First, reading the records in order of the ordering key values becomes
extremely efficient because no sorting is required.
• Second, finding the next record from the current one in order of the
ordering key usually requires no additional block accesses because the next
record is in the same block as the current one
• Third, using a search condition based on the value of an ordering key field
results in faster access when the binary search technique is used, which
constitutes an improvement over linear searches, although it is not often
used for disk files.
• Ordered files are blocked and stored on contiguous cylinders to minimize
the seek time

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SNGCE

• A binary search for disk files can be done on the blocks rather than on the
records.
• Suppose that the file has b blocks numbered 1, 2, ..., b; the records are
ordered by ascending value of their ordering key field; and we are searching
for a record whose ordering key field value is K.
• A binary search usually accesses log2(b) blocks, whether the record is found
or not an improvement over linear searches, where, on the average, (b/2)
blocks are accessed when the record is found and b blocks are accessed
when the record is not found.
• Ordering does not provide any advantages for random or ordered access of
the records based on values of the other nonordering fields of the file. In
these cases, we do a linear search for random access.
• To access the records in order based on a nonordering field, it is necessary
to create another sorted copy in a different order of the file
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• Inserting and deleting records are expensive operations for an

ordered file because the records must remain physically ordered.
• To insert a record, we must find its correct position in the file,
based on its ordering field value, and then make space in the file to
insert the record in that position.
• For a large file this can be very time consuming because, on the
average, half the records of the file must be moved to make space
for the new record.
• This means that half the file blocks must be read and rewritten
after records are moved among them.
• For record deletion, the problem is less severe if deletion markers
and periodic reorganization are used.

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Average Access Times

■ The following table shows the average access time to

access a specific record for a given type of file
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• Consider an unordered file of 100000 records with record

size of 100 bytes stored on block of 4096byte with an
unspanned record organization. Assume that no system
relation information stored in block. On average how many
block would be access to find particular records
Ans. No. of records per block=└4096/100┘=40
No. of blocks=100000/40=2500 blocks
Average number of block access to search a record=b/2
=2500/2=1250block access

PREPARED BY SHARIKA T R,
SNGCE

• Consider an sorted file of 100000 records with record size

of 100 bytes stored on block of 4096byte with an
unspanned record organization. Assume that no system
relation information stored in block. On average how many
block would be access to find particular records if search is
based on ordering field .
Ans. No. of records per block=└4096/100┘=40
No. of blocks=100000/40=2500 blocks
Average number of block access to search a record=log2 b
=log2 2500=12 blocks
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Hashed Files
■ Hashing for disk files is called External Hashing
■ The file blocks are divided into M equal-sized buckets, numbered
bucket0, bucket1, ..., bucketM-1
 Typically, a bucket corresponds to one (or a fixed number of) disk
block.
■ One of the file fields is designated to be the hash key of the file.
■ The record with hash key value K is stored in bucket i, where i=h(K),
and h is the hashing function.
■ Search is very efficient on the hash key.
■ Collisions occur when a new record hashes to a bucket that is already
full.
 An overflow file is kept for storing such records.
 Overflow records that hash to each bucket can be linked together.

■ There are numerous methods for collision resolution, including the

following:
■ Open addressing: Proceeding from the occupied position specified
by the hash address, the program checks the subsequent positions in
order until an unused (empty) position is found.
■ Chaining: For this method, various overflow locations are kept,
usually by extending the array with a number of overflow positions.
In addition, a pointer field is added to each record location. A
collision is resolved by placing the new record in an unused overflow
location and setting the pointer of the occupied hash address
location to the address of that overflow location.
■ Multiple hashing: The program applies a second hash function if the
first results in a collision. If another collision results, the program
uses open addressing or applies a third hash function and then uses
open addressing if necessary.
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Static External Hashing for Disk Files

■ Hashing for disk files is called external hashing.
■ To suit the characteristics of disk storage, the target address
space is made of buckets, each of which holds multiple records.
■ A bucket is either one disk block or a cluster of contiguous disk
blocks.
■ The hashing function maps a key into a relative bucket number,
rather than assigning an absolute block address to the bucket.
■ A table maintained in the file header converts the bucket
number into the corresponding disk block address
■ Here we have fixed number of buckets allocated so it is also
called static external hashing
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■ To reduce overflow records, a hash file is typically kept 70-80% full.

■ The hash function h should distribute the records uniformly among
the buckets
 Otherwise, search time will be increased because many overflow
records will exist.
■ Main disadvantages of static external hashing:
 Fixed number of buckets M is a problem if the number of records in
the file grows or shrinks.
 Ordered access on the hash key is quite inefficient (requires sorting
the records).
 searching for a record given a value of some field other than the hash
field is as expensive as in the case of an unordered file

Hashed Files - Overflow handling

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Dynamic And Extendible Hashed Files

■ Dynamic and Extendible Hashing Techniques
 Hashing techniques are adapted to allow the dynamic growth and
shrinking of the number of file records.
 These techniques include the following: dynamic hashing, extendible
hashing, and linear hashing.
■ Both dynamic and extendible hashing use the binary representation of
the hash value h(K) in order to access a directory.
 In dynamic hashing the directory is a binary tree.
 In extendible hashing the directory is an array of size 2d where d is
called the global depth.

■ The directories can be stored on disk, and they expand or shrink

dynamically.
 Directory entries point to the disk blocks that contain the stored
records.
■ An insertion in a disk block that is full causes the block to split into
two blocks and the records are redistributed among the two blocks.
 The directory is updated appropriately.
■ Dynamic and extendible hashing do not require an overflow area.
■ Linear hashing does require an overflow area but does not use a
directory.
 Blocks are split in linear order as the file expands.
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Extendible Hashing

PREPARED BY SHARIKA T R,
SNGCE

Types of Single-level Ordered Indexes

Primary Indexes
Clustering Indexes
Secondary Indexes
Multilevel Indexes
Dynamic Multilevel Indexes Using B-Trees and B+-Trees
Indexes on Multiple Keys
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Index Structures
SNGCE

• Indexing is a data structure technique to efficiently

retrieve records from the database files based on some
attributes on which the indexing has been done.
• An index on a database table provides a convenient
mechanism for locating a row (data record) without
scanning the entire table and thus greatly reduces the
time it takes to process a query.
• The index is usually specified on one field of the file.
• One form of an index is a file of entries <field value,
pointer to record>, which is ordered by field value.
• The index file usually occupies considerably less disk
blocks than the data file because its entries are much
smaller.

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SNGCE

• Advantages:
▫ Stores and organizes data into computer files.
▫ Makes it easier to find and access data at any given time.
▫ It is a data structure that is added to a file to provide faster
access to the data.
▫ It reduces the number of blocks that the DBMS has to check.
• Disadvantages
▫ Index needs to be updated periodically for insertion or deletion
of records in the main table.
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Types of index
• Indexes can be characterized as
1. Dense index
2. Sparse index
• A dense index has an index entry for every search key
value (and hence every record) in the data file.
• A sparse (or nondense) index, on the other hand, has
index entries for only some of the search values.

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Structure of index
• An index is a small table having only two columns.
• The first column contains a copy of the primary or
candidate key of a table
• The second column contains a set of pointers holding the
address of the disk block where that particular key value
can be found.
• If the indexes are sorted, then it is called as ordered
indices.
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Primary Index
• Primary index is defined on an ordered data file. The data
file is ordered on a key field.
• The key field is generally the primary key of the relation.
• A primary index is a nondense (sparse) index, since it
includes an entry for each disk block of the data file and the
keys of its anchor record rather than for every search value.

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SNGCE

Figure 5.1: Primary Index on the Ordering Key Field of the File
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Example
• Suppose we have an ordered file with 30,000
records and stored on a disk of block size 1024
bytes and records are of fixed size, unspanned
organisation.
• Record length = 100 bytes. How many block access
if using a primary index file, with an ordering key
field of the file 9 bytes and block pointer size 6
bytes.

PREPARED BY SHARIKA T R,
SNGCE

Ans. Ordering key field of file V=9 byte

Block pointer P=6 byte
we need to construct a primary index for the file
size of each index entry= 9+6=15 byte
so blocking fctor of index entry=
└1024/15┘=68 entries per block
Total no of entries per block=┌3000/68┐=45
To do binary search =┌log2 bi┐=┌log2 45┐=6 blocks
To search for a record using index we need additional one
block acess =6+1=7 block access
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Clustering Index
• If file records are physically ordered on a nonkey field
which does not have a distinct value for each record that
field is called the clustering field and the data file is called a
clustered file.
• clustering index speeds up retrieval of all the records that
have the same value for the clustering field.
• This differs from a primary index, which requires that the
ordering field of the data file have a distinct value for each
record.

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No. of index record= No. of distinct

data records
Sorted index file
Sorted data file
need >=log2 bi+1

Figure 5.2: A Clustering Index on Dept_number Ordering Nonkey Field of a File

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Question
• Suppose we have an ordered file with 30,0000 records and
stored on a disk of block size 4096 bytes and records are of
size 100 byte, unspanned organisation.
• The ordered file is based on non key field
(department_name). How many block access if using a
primary index file, with an ordering key field of the file 5
bytes and block pointer size 6 bytes. There are 1000
department and 300 employees per department.

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SNGCE

No of record=300000
Block size=4096 b
Record size=100 b
Block ptr=6 b
Clustered Index
Without index:
No of blocks=┌300000/40┐=7500
No. of block access= log2 7500=13
With clustered index
No of index record=┌4096/(6+5)┐=4096/11=372
Total no of index record=1000 department
No of clustered index blocks=┌ 1000/372┐ =3 blocks
No of clock access= ┌log2 3┐ +1= 2+1=3 block access
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Secondary Index
• A secondary index provides a secondary means of accessing a file for
which some primary access already exists.
• The secondary index may be on a field which is a candidate key and has
a unique value in every record, or a non-key with duplicate values.
• The index is an ordered file with two fields.
• The first field is of the same data type as some non-ordering field of the
data file that is an indexing field.
• The second field is either a block pointer or a record pointer.
• There can be many secondary indexes (and hence, indexing fields) for
the same file.
• Includes one entry for each record in the data file; hence, it is a dense
index.

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SNGCE

Example
• Consider an unordered file with 10^8 records with record
size of 400 bytes with an unspanned organization. Suppose
that we construct a single level secondary index for the file
where search key field is 16 bytes and block pointer is 4
byte. Assume disk block size is 4096
• How many blocks are reqired to store the data file?
• How many blocks are required to store the index file?
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• Disk file
▫ No of data records/ block=4096/400=10
▫ No of data block required=ceil(10^8/10)=10^7
• Index file
▫ Size of one index record=16+4=20 byte
▫ No of index record= No of data record=10^8
 secondary index on key field
▫ No of index record per block=4096/20=204
▫ No of index block required=ceil(10^8/204)=490197

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SNGCE

Example 2
• Consider an unordered file with 10^8 records with record
size of 400 bytes with an spanned organization. Suppose
that we construct a single level secondary index for the file
where search key field is 16 bytes and block pointer is 4
byte. Assume disk block size is 4096
• How many blocks are reqired to store the data file?
• How many blocks are required to store the index file?
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• Disk file
▫ No of data block required=ceil(10^8*400/4096)=9765625
• Index file
▫ Size of one index record=16+4=20 byte
▫ No of index record= No of data record=10^8
 secondary index on key field
▫ No of index block required=ceil(10^8*20/4096)=488282

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SNGCE

Example
• Consider an unordered file with 30000 records with record
size of 100 bytes with an unspanned organization. Suppose
that we construct a secondary index for the key field with
key field size is 9 bytes and block pointer is 6 byte. Assume
disk block size is 1024
• Average number of disk block access to search for record
without index
• Average number of disk block access to search for record
with index
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• Disk file
▫ No of data records/ block=1024/100=10
▫ No of data block required=ceil(30000/10)=3000
▫ Average no of disk access= ceil(3000/2)=1500
• Index file
▫ Size of one index record=9+6=15 byte
▫ No of index record= No of data record=3000
 secondary index on key field
▫ No of index record per block=1024/15=68
▫ No of index block required=ceil(30000/68)=442
▫ Avg no of disk block access required=cei(log2 442)+1 =10

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Figure 5.3: Dense Secondary Index (with Block Pointer) on a Non

Ordering Key Field of the File
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Figure 5.4: Secondary Index (with Record Pointer) on a Non Key Field implemented
using one level of indirection so that Index entries are of Fixed Length and have unique
field values

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Single level and Multi-level indexing

• Because a single-level index is an ordered file, we can
create a primary index to the index itself;
• In this case, the original index file is called the first-
level index and the index to the index is called the
second-level index.
• We can repeat the process, creating a third, fourth, ...,
top level until all entries of the top level fit in one disk
block.
• A multi-level index can be created for any type of first-
level index (primary, secondary, clustering) as long as
the first-level index consists of more than one disk
block

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Figure 5.5: Two-Level Primary Index

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Example
• Consider a file of 16384 records. Each record is 32 bytes
long and its key field is of size 6 bytes. The file is ordered
on a non-key field, and the file organization is
unspanned. The file is stored in a file system with block
size 1024 bytes, and the size of a block pointer is 10 bytes.
If the secondary index is built on the key field of the
file, and a multi-level index scheme is used to store
the secondary index, the number of first-level and second-
level blocks in the multi-level index are?

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• Number of records in file = 16384

• Record size = 32 bytes
• Key Size = 6 bytes
• Block Size on file system = 1024 bytes
• Size of Block Pointer = 10 bytes
• Size of a record or index Entry = 10 + 6 = 16
ordered on a non-key field
secondary index is built on the key field of the file,
multi-level index scheme is used
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• Without Indexing
▫ No of data record per block=1024/32=32
▫ No of data block=16384/32=512
• Indexing First Level:
▫ No of index record=16384
 secondary index is built on the key field of the
file
 ordered
▫ No of index record per block =1024/(6+10)=64
▫ No of index blocks=16384/64=256

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• Indexing Second Level

▫ No of index records=256
▫ ordered on a non-key field
▫ No of index record per block=1024/16=64
▫ No of index block =256/64=4 blocks
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Example 2

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Given
• No of records=10000
• record size=80byte
• key field=15byte
• block size=512byte
• block pointer size=6 byte
SORTED ON PRIMARY KEY
UNSPANNED ORGANISATION
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• No index used( data file)

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▫ No of record per block=512/80=6

▫ No of data block needed=10000/6=1667
▫ No of block access needed = log2 1667=11
• Single level primary index
▫ No of index record=1667
▫ No of index record per block =512/(15+6)=24
▫ No of index block needed=1667/24=70
▫ No of block access needed=log2 70 +1=7+1=8
• Multilevel Primary Index
▫ No of multilevel index record=70
▫ No of multilevel index record/block=512/(15+6)=24
▫ No of multilevel index record =70/24=3
▫ No of block access=log2 3+2=5

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Search Trees
• A search tree is slightly different from a multilevel index.
• A search tree of order p is a tree such that each node contains at most
p−1 search values and p pointers in the order
<P1K1, P2K2, ..., Pq−1Kq−1, Pq>, where q ≤ p.
• Each Pi is a pointer to a child node (or a NULL pointer), and each Ki is a
search value from some ordered set of values.
• Two constraints must hold at all times on the search tree:
1. Within each node, K1 < K2 < ... < Kq−1.
2. For all values X in the subtree pointed at by Pi, we have Ki−1<X < Ki
for 1<i < q; X < Ki for i=1; and Ki−1 < X for i = q
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Figure 5.6: A node in a search tree with pointers to subtrees below it

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Binary Search Tree

• Binary Search Tree is a node-based
binary tree data structure which
has the following properties:
▫ The left subtree of a node contains only
nodes with keys lesser than the node’s
key.
▫ The right subtree of a node contains
only nodes with keys greater than the
node’s key.
▫ The left and right subtree each must
also be a binary search tree.
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B-Trees SNGCE

• The B-tree has additional constraints that ensure that the

tree is always balanced.
• A B-tree of order p, when used as an access structure on a
key field to search for records in a data file, can be defined as
follows:
1. Each internal node in the B-tree is of the form
 <P1, <K1, Pr1>, P2, <K2, Pr2>, ..., <Kq–1, Prq–1>, Pq>
where q ≤ p.
 Each Pi is a tree pointer a pointer to another node in the
Btree.
 Each Pri is a data pointer a pointer to the record whose
search key field value is equal to Ki.

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2. Within each node, K1 < K2 < ... < Kq−1.

3. For all search key field values X in the subtree pointed at by Pi,
we have: Ki–1 < X < Ki for 1 < i < q; X < Ki for i = 1; and Ki–1 <
X for i = q.
4. Each node has at most p tree pointers.
5. Each node, except the root and leaf nodes, has at least
┌(p/2)┐tree pointers. The root node has at least two tree
pointers unless it is the only node in the tree.
6. A node with q tree pointers, q ≤ p, has q – 1 search key field
values (and hence has q – 1 data pointers).
7. All leaf nodes are at the same level. Leaf nodes have the same
structure as internal nodes except that all of their tree pointers
Pi are NULL
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Figure 5.7: B-tree structures. (a) A node in a B-tree with q – 1

search values.
(b) A B-tree of order p = 3.The values were inserted in the
order 8, 5, 1, 7, 3, 12, 9, 6.

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• A B-tree starts with a single root node (which is also a leaf node) at
level 0 (zero).
• Once the root node is full with p – 1 search key values and we
attempt to insert another entry in the tree, the root node splits into
two nodes at level 1.
• Only the middle value is kept in the root node, and the rest of the
values are split evenly between the other two nodes.
• When a nonroot node is full and a new entry is inserted into it,
▫ that node is split into two nodes at the same level, and the middle
entry is moved to the parent node along with two pointers to the new
split nodes.
• If the parent node is full, it is also split. Splitting can propagate all
the way to the root node, creating a new level if the root is split.
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• If deletion of a value causes a node to be less than half full,

▫ it is combined with its neighboring nodes, and this can also
propagate all the way to the root.
▫ Hence, deletion can reduce the number of tree levels.

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Properties of a B-tree
• For a tree to be classified as a B-tree, it must fulfill the
following conditions:
▫ the nodes in a B-tree of order m can have a maximum of m
children
▫ each internal node (non-leaf and non-root) can have at least (m/2)
children (rounded up)
▫ the root should have at least two children – unless it’s a leaf
▫ a non-leaf node with k children should have k-1 keys
▫ all leaves must appear on the same level
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Building a B-tree
• Since we’re starting with an empty tree, the first item we insert
will become the root node of our tree.
• At this point, the root node has the key/value pair.
• The key is 1, but the value is depicted as a star to make it easier to
represent, and to indicate it is a reference to a record.
• The root node also has pointers to its left and right children shown
as small rectangles to the left and right of the key.
• Since the node has no children, those pointers will be empty for
now:

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We know that this tree has order of 3, so it can have

only up to 2 keys in it. So we can add the payload with
key 2 to the root node in ascending order:

Next, if we wanted to insert 3, for us to keep the tree

balanced and fulfilling the conditions of a B-tree we
need to perform what is called a split operation.
We can determine how to split the node by picking
the middle key.
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Now, let’s insert 4. To determine where this needs to be placed we must

remember that B-trees are organized such that sub-trees on the right have
greater keys than sub-trees on the left. Consequently, Key 4 belongs in the
right sub-tree. And since the right sub-tree still has the capacity, we can
simply add 4 to it alongside 3 in ascending order:
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Our right sub-tree is now at full capacity, so to insert 5 we need to use the same
splitting logic explained above. We split the node into two so that Key 3 goes to a
left sub-tree and 5 goes to a right sub-tree leaving 4 to be promoted to the root
node alongside 2.

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This rebalancing gives us space in the rightmost sub-tree to insert 6:

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Next, we try to insert 7. However, since the rightmost tree is now at full capacity
we know that we need to do another split operation and promote one of the keys.
But wait! The root node is also at full capacity, which means that it also needs to
be split.
So, we end up doing this in two steps. First, we need to split the right nodes 5 and
6 so that 7 will be on the right, 5 will be on the left, and 6 will be promoted.
Then, to promote 6, we need to split the root node such that 4 will become a part
of new root and 6 and 2 become the parents of the right and left subtree.

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Continuing in this way, we fill the tree by adding Keys 8,9 and 10 until we
get the final tree:
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B+-Trees
• In a B+-tree, data pointers are stored only at the leaf nodes
of the tree; hence, the structure of leaf nodes differs from
the structure of internal nodes.
• The leaf nodes have an entry for every value of the search
field, along with a data pointer to the record.

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• The structure of the internal nodes of a B+ tree of order p is as

SNGCE

follows:
1. Each internal node is of the form <P1, K1, P2, K2, ..., Pq – 1, Kq –1,
Pq> where q ≤ p and each Pi is a tree pointer.
2. Within each internal node, K1 < K2 < ... < Kq−1.
3. For all search field values X in the subtree pointed at by Pi, we have
Ki−1 < X≤ Ki for 1 < i < q; X ≤ Ki for i = 1; and Ki−1 < X for i = q.
4. Each internal node has at most p tree pointers.
5. Each internal node, except the root, has at least ┌(p/2)┐ tree
pointers. The root node has at least two tree pointers if it is an
internal node.
6. An internal node with q pointers, q ≤ p, has q − 1 search field values.
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• The structure of the leaf nodes of a B+-tree of order p is as

follows:
1. Each leaf node is of the form <<K1, Pr1>, <K2, Pr2>, ..., <Kq–
1, Prq–1>, Pnext> where q ≤ p, each Pri is a data pointer, and
Pnext points to the next leaf node of the B+-tree.
2. Within each leaf node, K1 ≤ K2 ... , Kq−1, q ≤ p.
3. Each Pri is a data pointer that points to the record whose
search field value is Ki or to a file block containing the record
4. Each leaf node has at least ┌(p/2)┐ values.
5. All leaf nodes are at the same level.

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B+Tree

Figure 5.8: The nodes of a B+-tree. (a) Internal node of a B+-tree

with q – 1 search values.
(b) Leaf node of a B+-tree with q – 1 search values and q – 1 data
pointers.
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• When a leaf node is full and a new entry is inserted there, the node overflows
and must be split.
• The first j = ┌((pleaf + 1)/2)┐entries in the original node are kept there, and
the remaining entries are moved to a new leaf node.
• The jth search value is replicated in the parent internal node, and an extra
pointer to the new node is created in the parent.
• These must be inserted in the parent node in their correct sequence.
• If the parent internal node is full, the new value will cause it to overflow also,
so it must be split.
• The entries in the internal node up to Pj—the jth tree pointer after inserting
the new value and pointer, where j = ⎣((p + 1)/2)⎦—are kept, while the jth
search value is moved to the parent, not replicated.
• A new internal node will hold the entries from Pj+1 to the end of the entries in
the node
• This splitting can propagate all the way up to create a new root node and
hence a new level for the B+-tree.
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Building a B+tree

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When we come to insert Key 3, we find that in doing so we will exceed the
capacity of the root node.Similar to a normal B-tree this means we need
to perform a split operation. However, unlike with the B-tree, we must
copy-up the first key in the new rightmost leaf node. As mentioned, this is
so we can make sure we have a key/value pair for Key 2 in the leaf nodes:
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Next, we add Key 4 to the rightmost leaf node. Since it’s full, we need to
perform another a split operation and copy-up Key 3 to the root node:

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Now, let’s add 5 to the rightmost leaf node. Once again to keep the order, we’ll split
the leaf node and copy-up 4. Since that will overflow the root node, we’ll have to
perform another split operation splitting the root node into two nodes and promoting
3 into a new root node
Notice the difference between splitting a leaf node and splitting an internal node.
When we split the internal node in the second split operation we didn’t copy-up Key
3.
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In the same way, we keep adding the keys from 6 to 10, each time splitting and
copying-up when necessary until we have reached our final tree:

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• Most multi-level indexes use B-tree or B+-tree data structures because of the
insertion and deletion problem.
• This leaves space in each tree node (disk block) to allow for new index
entries.
• These data structures are variations of search trees that allow efficient
insertion and deletion of new search values.
• In B-Tree and B+-Tree data structures, each node corresponds to a disk
block.
• Each node is kept between half-full and completely full.
• An insertion into a node that is not full is quite efficient.
• If a node is full the insertion causes a split into two nodes.
• Splitting may propagate to other tree levels.
• A deletion is quite efficient if a node does not become less than half full.
• If a deletion causes a node to become less than half full, it must be merged
with neighboring nodes
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B-trees in the Context of Databases

• DBMSs leverage the logarithmic efficiency of B-tree
indexing to reduce the number of reads required to find a
particular record.
• B-trees are typically constructed so that each node takes up
a single page in memory and they are designed to reduce
the number of accesses by requiring that each node be at
least half full.

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Difference between B-tree and B+-tree

• In B+trees, search keys can be repeated but this is not the case for B-trees
• B+trees allow satellite data to be stored in leaf nodes only, whereas B-trees
store data in both leaf and internal nodes
• In B+trees, data stored on the leaf node makes the search more efficient
since we can store more keys in internal nodes
▫ this means we need to access fewer nodes
• Deleting data from a B+tree is easier and less time consuming because we
only need to remove data from leaf nodes
• Leaf nodes in a B+tree are linked together making range search operations
efficient and quick
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• Finally, although B-trees are useful, B+trees are more popular.

In fact, 99% of database management systems use B+trees for
indexing.
• This is because the B+tree holds no data in the internal nodes.
• This maximizes the number of keys stored in a node thereby
minimizing the number of levels needed in a tree.
• Smaller tree depth invariably means faster search.

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Indexes on Multiple Keys

• Till now we have assumed that the primary or secondary
keys on which files were accessed were single attributes
(fields).
• In many retrieval and update requests, multiple attributes
are involved.
• If a certain combination of attributes is used frequently, it
is advantageous to set up an access structure to provide
efficient access by a key value that is a combination of
those attributes.
• keys containing multiple attributes as composite keys
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Grid File

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• for n search keys, the grid array would have n dimensions.

• The grid array thus allows a partitioning of the file along
the dimensions of the search key attributes and provides an
access by combinations of values along those dimensions.
• Grid files perform well in terms of reduction in time for
multiple key access.
• However, they represent a space overhead in terms of the
grid array structure.
• Moreover, with dynamic files, a frequent reorganization of
the file adds to the maintenance cost.
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References
• Elmasri R. and S. Navathe, Database Systems: Models,
Languages, Design and Application Programming,
Pearson Education, 2013.
• https://www.baeldung.com/cs/b-trees-vs-btrees
• https://www.cs.usfca.edu/~galles/visualization/BTree.htm
• https://www.cs.usfca.edu/~galles/visualization/BPlusTree
.html

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MODULE 3 ENDS