DBMS: Basic Concepts

1. Introduction
2. Disadvantages of file oriented approach
3. Database
4. Why Database
5. Database Management System(DBMS)
6. Function of DBMS
7. Advantages of DBMS and disadvantage of DBMS
8. Database Basics
9. Three level architecture of DBMS
10. Database users
11. Database language
12. Database structure

Introduction:

In computerized information system data is the basic resource of the organization.

So, proper organization and management for data is required fro organization to run
smoothly. Database management system deals the knowledge of how data stored and
managed on a computerized information system. In any organization, it requires accurate
and reliable data for better decision making, ensuring privacy of data and controlling data
efficiently.
The examples include deposit and/or withdrawal from a bank,hotel,airline or railway
reservation, purchase items from supermarkets in all cases, a database is accessed.

What is data:

Data is the known facts or figures that have implicit meaning. It can also be defined as it
is the representation of facts ,concepts or instruction in a formal manner, which is suitable
for understanding and processing. Data can be represented in alphabets(A-Z, a-z),in
digits(0-9) and using special characters(+,-.#,$, etc)
e.g: 25, “ajit” etc.

Information:

Information is the processed data on which decisions and actions are based. Information
can be defined as the organized and classified data to provide meaningful values.

Eg: “The age of Ravi is 25”

File:
File is a collection of related data stored in secondary memory.
File Oriented approach:
The traditional file oriented approach to information processing has for each application a
separate master file and its own set of personal file. In file oriented approach the program
dependent on the files and files become dependent on the files and files become
dependents upon the programs
Disadvantages of file oriented approach:
1) Data redundancy and inconsistency:
The same information may be written in several files. This redundancy leads to
higher storage and access cost. It may lead data inconsistency that is the various
copies of the same data may longer agree for example a changed customer
address may be reflected in single file but not elsewhere in the system.

2) Difficulty in accessing data :

The conventional file processing system does not allow data to retrieve in
a convenient and efficient manner according to user choice.

3) Data isolation :
Because data are scattered in various file and files may be in different formats
with new application programs to retrieve the appropriate data is difficult.
4) Integrity Problems:
Developers enforce data validation in the system by adding appropriate code in
the various application programs. However when new constraints are added, it is
difficult to change the programs to enforce them.

5) Atomicity:

It is difficult to ensure atomicity in a file processing system when transaction

failure occurs due to power failure, networking problems etc.
(Atomicity: either all operations of the transaction are reflected properly in
the database or non are)
6) Concurrent access:
In the file processing system it is not possible to access a same file for
transaction at same time
7) Security problems:
There is no security provided in file processing system to secure the data from
unauthorized user access.

Database:
A database is organized collection of related data of an organization stored in
formatted way which is shared by multiple users.
The main feature of data in a database is:
 1. It must be well organized
2. it is related
3. It is accessible in a logical order without any difficulty
4. It is stored only
once for example:
Consider the roll no, name, address of a student stored in a student file. It is collection
of related data with an implicit meaning.
Data in the database may be persistent, integrated and shared.

Persistent:
If data is removed from database due to some explicit request from user to remove.
Integrated:
A database can be a collection of data from different files and when any redundancy
among those files is removed from database is said to be integrated data.
Sharing Data:
The data stored in the database can be shared by multiple users simultaneously without
affecting the correctness of data.

Why Database:

In order to overcome the limitation of a file system, a new approach was required.
Hence a database approach emerged. A database is a persistent collection of logically
related data. The initial attempts were to provide a centralized collection of data. A
database has a self describing nature. It contains not only the data sharing and integration
of data of an organization in a single database.

A small database can be handled manually but for a large database and having
multiple users it is difficult to maintain it, In that case a computerized database is useful.
The advantages of database system over traditional, paper based methods of record
keeping are:
 compactness:
No need for large amount of paper files
 speed:
The machine can retrieve and modify the data faster way then human being
 Less drudgery: Much of the maintenance of files by hand is eliminated
 Accuracy: Accurate, up-to-date information is fetched as per requirement of
the user at any time.

Database Management System (DBMS):

A database management system consists of collection of related data and refers to a set of
programs for defining, creation, maintenance and manipulation of a database.

Function of DBMS:
 1. Defining database schema: it must give facility for defining the database
structure also specifies access rights to authorized users.
2. Manipulation of the database: The dams must have functions like insertion of
record into database updation of data, deletion of data, retrieval of data
3. Sharing of database: The DBMS must share data items for multiple users
by maintaining consistency of data.
4. Protection of database: It must protect the database against unauthorized users.
5. Database recovery: If for any reason the system fails DBMS must facilitate data
base recovery.

Advantages of dbms:

Reduction of redundancies:

Centralized control of data by the DBA avoids unnecessary duplication of data and
effectively reduces the total amount of data storage required avoiding duplication in the
elimination of the inconsistencies that tend to be present in redundant data files.

Sharing of data:

A database allows the sharing of data under its control by any number of application
programs or users.

Data Integrity:

Data integrity means that the data contained in the database is both accurate and
consistent. Therefore data values being entered for storage could be checked to ensure
that they fall within a specified range and are of the correct format.

Data Security:

The DBA who has the ultimate responsibility for the data in the dbms can ensure that
proper access procedures are followed including proper authentication schemas for access
to the DBS and additional check before permitting access to sensitive data.

Conflict resolution:

DBA resolve the conflict on requirements of various user and applications. The DBA
chooses the best file structure and access method to get optional performance for the
application.

Data Independence:
Data independence is usually considered from two points of views; physically data
independence and logical data independence.
Physical data Independence allows changes in the physical storage devices or
organization of the files to be made without requiring changes in the conceptual view or
any of the external views and hence in the application programs using the data base.
Logical data independence indicates that the conceptual schema can be changed without
affecting the existing external schema or any application program.

Disadvantage of DBMS:
1. DBMS software and hardware (networking installation) cost is high
2. The processing overhead by the dbms for implementation of security, integrity
and sharing of the data.
3. centralized database control
4. Setup of the database system requires more knowledge, money, skills, and time.
5. The complexity of the database may result in poor performance.

Database Basics:

Data item:
The data item is also called as field in data processing and is the smallest unit of data
that has meaning to its users.
Eg: “e101”,”sumit”

Entities and attributes:

An entity is a thing or object in the real world that is distinguishable from all other
objects
Eg:
Bank,employee,student
Attributes are properties are properties of an
entity. Eg:
Empcode,ename,rolno,name

Logical data and physical data :

Logical data are the data for the table created by user in primary
memory. Physical data refers to the data stored in the secondary
memory.

Schema and sub-schema :

 A schema is a logical data base description and is drawn as a chart of
the types of data that are used . It gives the names of the entities and attributes and
specify the relationships between them.

A database schema includes such information as :

 Characteristics of data items such as entities and attributes .

 Logical structures and relationships among these data items .
 Format for storage representation.
 Integrity parameters such as physical authorization and back up policies.

A subschema is derived schema derived from existing schema as per the user
requirement. There may be more then one subschema create for a single conceptual
schema.

Three level architecture of DBMS :

External level View user1 View User n

Vie
w

Conceptual
level
Mapping supplied by DBMS

Conceptual view

Mapping supplied by DBMS/OS

Internal level
A database management system that provides three level of data is said to follow three-
level architecture .
 External level
 Conceptual level
 Internal level
External level :
The external level is at the highest level of database abstraction . At this level, there will
be many views define for different users requirement. A view will describe only a subset
of the database. Any number of user views may exist for a given global or subschema.

for example , each student has different view of the time table. the view of a student of
Btech (CSE) is different from the view of the student of Btech(ECE).Thus this level of
abstraction is concerned with different categories of users.
Each external view is described by means of a schema called schema or
schema.

Conceptual level :
At this level of database abstraction all the database entities and the
relationships among them are included . One conceptual view represents the entire
database . This conceptual view is defined by the conceptual schema.

The conceptual schema hides the details of physical storage structures and concentrate on
describing entities , data types, relationships, user operations and constraints.

It describes all the records and relationships included in the conceptual view
. There is only one conceptual schema per database . It includes feature that specify the
checks to relation data consistency and integrity.

Internal level :
It is the lowest level of abstraction closest to the physical storage method used .
It indicates how the data will be stored and describes the data structures and access
methods to be used by the database . The internal view is expressed by internal schema.
The following aspects are considered at this level:
1. Storage allocation e.g: B-tree,hashing
2. access paths eg. specification of primary and secondary keys,indexes etc
3. Miscellaneous eg. Data compression and encryption techniques,optimization of
the internal structures.

Database users :

Naive users :
Users who need not be aware of the presence of the database system or any other
system supporting their usage are considered naïve users . A user of an automatic teller
machine falls on this category.
Online users :
These are users who may communicate with the database directly via an online
terminal or indirectly via a user interface and application program. These users are
aware of the database system and also know the data manipulation language system.

Application programmers :

Professional programmers who are responsible for developing application programs

or user interfaces utilized by the naïve and online user falls into this category.

Database Administration :
A person who has central control over the system is called database administrator .
The function of DBA are :
1. creation and modification of conceptual Schema
definition
2. Implementation of storage structure and access method.
3. schema and physical organization modifications .
4. granting of authorization for data access.
5. Integrity constraints specification.
6. Execute immediate recovery procedure in case of failures
7. ensure physical security to database
Database language :

1) Data definition language(DDL) :

DDL is used to define database objects .The conceptual schema is
specified by a set of definitions expressed by this language. It also give some
details about how to implement this schema in the physical devices used to store
the data. This definition includes all the entity sets and their associated attributes
and their relation ships. The result of DDL statements will be a set of tables that
are stored in special file called data dictionary.

2) Data manipulation language(DML) :

A DML is a language that enables users to access or manipulate data stored in
the database. Data manipulation involves retrieval of data from the database,
insertion of new data into the database and deletion of data or modification of
existing data.
There are basically two types of DML:
 procedural: Which requires a user to specify what data is needed and
how to get it.
 non-rocedural: which requires a user to specify what data is needed
with out specifying how to get it.
 3) Data control language(DCL):
This language enables user to grant authorization and canceling
authorization of database objects.

Elements of DBMS:

DML pre-compiler:

It converts DML statement embedded in an application program to normal procedure

calls in the host language. The pre-complier must interact with the query processor in
order to generate the appropriate code.

DDL compiler:

The DDL compiler converts the data definition statements into a set of tables. These
tables contains information concerning the database and are in a form that can be used by
other components of the dbms.
File manager:

File manager manages the allocation of space on disk storage and the data structure used
to represent information stored on disk.

Database manager:

A database manager is a program module which provides the interface between the low
level data stored in the database and the application programs and queries submitted to
the system.
The responsibilities of database manager are:
1. Interaction with file manager: The data is stored on the disk using the file
system which is provided by operating system. The database manager
translate the the different DML statements into low-level file system
commands. so The database manager is responsible for the actual
storing,retrieving and updating of data in the database.
2. Integrity enforcement:The data values stored in the database must satisfy
certain constraints(eg: the age of a person can't be less then zero).These
constraints are specified by DBA. Data manager checks the constraints and if
it satisfies then it stores the data in the database.
3. Security enforcement:Data manager checks the security measures for
database from unauthorized users.
4. Backup and recovery:Database manager detects the failures occurs due to
different causes (like disk failure, power failure,deadlock,s/w error) and
restores the database to original state of the database.
5. Concurrency control:When several users access the same database file
simultaneously, there may be possibilities of data inconsistency. It is
 responsible of database manager to control the problems occurs for concurrent
transactions.
query processor:
The query processor used to interpret to online user’s query and convert it into an
efficient series of operations in a form capable of being sent to the data manager for
execution. The query processor uses the data dictionary to find the details of data file
and using this information it create query plan/access plan to execute the query.
Data Dictionary:
Data dictionary is the table which contains the information about database objects. It
contains information like
1. external, conceptual and internal database description
2. description of entities , attributes as well as meaning of data elements
3. synonyms, authorization and security codes
4. database authorization
The data stored in the data dictionary is called meta data.
DBMS STRUCTURE:

Naïve user Application programers On line user DBA

Application programs System calls Ddl compiler

Application prog obj code Dml precomplier Query processor Ddl compiler

Database manager

File manager

DBMS

Data file

Data dictionary

Q. List four significant differences between a file-processing system and a DBMS.

Answer: Some main differences between a database management system and a file-
processing system are:
• Both systems contain a collection of data and a set of programs which access that
data. A database management system coordinates both the physical and the
logical
 access to the data, whereas a file-processing system coordinates only the physical
access.
• A database management system reduces the amount of data duplication by
ensuring that a physical piece of data is available to all programs authorized to
have access to it, where as data written by one program in a file-processing
system may not be readable by another program.
• A database management system is designed to allow flexible access to data (i.e.,
queries), whereas a file-processing system is designed to allow predetermined
access to data (i.e., compiled programs).
• A database management system is designed to coordinate multiple users accessing
the same data at the same time. A file-processing system is usually designed to
allow one or more programs to access different data files at the same time. In a
file-processing system, a file can be accessed by two programs concurrently only
if both programs have read-only access to the file.

Q.Explain the difference between physical and logical data independence.

Answer:
• Physical data independence is the ability to modify the physical scheme without
making it necessary to rewrite application programs. Such modifications include
changing from unblocked to blocked record storage, or from sequential to random
access files.
• Logical data independence is the ability to modify the conceptual scheme without
making it necessary to rewrite application programs. Such a modification might
be adding a field to a record; an application program’s view hides this change
from the program.

Q. List five responsibilities of a database management system. For each

responsibility, explain the problems that would arise if the responsibility were not
discharged.
Answer: A general purpose database manager (DBM) has five responsibilities:
a. interaction with the file manager.
b. integrity enforcement.
c. security enforcement.
d. backup and recovery.
e. concurrency control.
If these responsibilities were not met by a given DBM (and the text points out that
sometimes a responsibility is omitted by design, such as concurrency control on a
single-user DBM for a micro computer) the following problems can occur,
respectively:

a. No DBM can do without this, if there is no file manager interaction then

nothing stored in the files can be retrieved.
 b. Consistency constraints may not be satisfied, account balances could go
below the minimum allowed, employees could earn too much overtime
(e.g.,hours > 80) or, airline pilots may fly more hours than allowed by law.
c. Unauthorized users may access the database, or users authorized to access
part of the database may be able to access parts of the database for which
they lack authority. For example, a high school student could get access to
national defense secret codes, or employees could find out what their
supervisors earn.
d. Data could be lost permanently, rather than at least being available in a
consistent state that existed prior to a failure.
e. Consistency constraints may be violated despite proper integrity
enforcement in each transaction. For example, incorrect bank balances
might be reflected due to simultaneous withdrawals and deposits, and so
on.
Q. What are five main functions of a database administrator?

Answer: Five main functions of a database administrator are:

 To create the scheme definition

 To define the storage structure and access methods
 To modify the scheme and/or physical organization when necessary
 To grant authorization for data access
 To specify integrity constraints

Q. List six major steps that you would take in setting up a database for a particular
enterprise.
Answer: Six major steps in setting up a database for a particular enterprise are:
 Define the high level requirements of the enterprise (this step generates a
document known as the system requirements specification.)
 Define a model containing all appropriate types of data and data
relationships.
 Define the integrity constraints on the data.
 Define the physical level.
 For each known problem to be solved on a regular basis (e.g., tasks to be
carried out by clerks or Web users) define a user interface to carry out the
task, and write the necessary application programs to implement the user
interface.
 Create/initialize the database
EXERCISES:

1. What is database management system

2. What are the disadvantage of file processing system

3. State advantage and disadvantage of database management system

4. What ate different types of database users
5. What is data dictionary and what are its contents
6. What are the function of DBA
7. What are the different database languages explain with example.
8. Explain the three layer architecture of DBMS.
9. Differentiate between physical data independence and logical data independence
10. Explain the function of data base manager
11. Explain meta data
 CHAPTER-2

ER-MODEL
Data model:
The data model describes the structure of a database. It is a collection of conceptual tools
for describing data, data relationships and consistency constraints and various types of
data model such as
1. Object based logical model
2. Record based logical model
3. Physical model

Types of data model:

1. Object based logical model
a. ER-model
b. Functional model
c. Object oriented model
d. Semantic model
2. Record based logical model
a. Hierarchical database model
b. Network model
c. Relational model
3. Physical model

Entity Relationship Model

The entity-relationship data model perceives the real world as consisting of basic objects,
called entities and relationships among these objects. It was developed to facilitate data
base design by allowing specification of an enterprise schema which represents the
overall logical structure of a data base.
Main features of ER-MODEL:
 Entity relationship model is a high level conceptual model
 It allows us to describe the data involved in a real world enterprise in terms of
objects and their relationships.
 It is widely used to develop an initial design of a database
 It provides a set of useful concepts that make it convenient for a developer to
move from a baseid set of information to a detailed and description of information
that can be easily implemented in a database system
 It describes data as a collection of entities, relationships and attributes.
Basic concepts:

The E-R data model employs three basic notions : entity sets, relationship sets and
attributes.
Entity sets:

An entity is a “thing” or “object” in the real world that is distinguishable from all other
objects. For example, each person in an enterprise is an entity. An entity has a set
properties and the values for some set of properties may uniquely identify an entity.
BOOK is entity and its properties(calles as attributes) bookcode, booktitle, price etc .
An entity set is a set of entities of the same type that share the same properties, or
attributes. The set of all persons who are customers at a given bank, for example, can be
defined as the entity set customer.
Attributes:

An entity is represented by a set of attributes. Attributes are descriptive properties

possessed by each member of an entity set.

Customer is an entity and its attributes are customerid, custmername, custaddress etc.

An attribute as used in the E-R model , can be characterized by the following attribute
types.
a) Simple and composite attribute:

simple attributes are the attributes which can’t be divided into sub
parts eg: customerid,empno
composite attributes are the attributes which can be divided into
subparts. eg: name consisting of first name, middle name, last name
address consisting of city,pincode,state
b) single-valued and multi-valued attribute:
The attribute having unique value is single –valued attribute
eg: empno,customerid,regdno etc.
The attribute having more than one value is multi-valued attribute
eg: phone-no, dependent name, vehicle

c) Derived Attribute:

The values for this type of attribute can be derived from the values of existing
attributes
eg: age which can be derived from (currentdate-birthdate)
experience_in_year can be calculated as (currentdate-
joindate)

d) NULL valued attribute:

The attribute value which is unknown to user is called NULL valued attribute.
Relationship sets:
A relationship is an association among several entities.
A relationship set is a set of relationships of the same type. Formally, it is a mathematical
relation on n>=2 entity sets. If E1,E2…En are entity sets, then a relation ship set R is a
subset of
{(e1,e2,…en)|e1Є E1,e2 Є E2..,en Є En}
where (e1,e2,…en) is a relation ship.

customer borro loan

Consider the two entity sets customer and loan. We define the relationship set borrow to
denote the association between customers and the bank loans that the customers have.

Mapping Cardinalities:
Mapping cardinalities or cardinality ratios, express the number of entities to which
another entity can be associated via a relationship set.
Mapping cardinalities are most useful in describing binary relationship sets, although
they can contribute to the description of relationship sets that involve more than two
entity sets.
For a binary relationship set R between entity sets A and B, the mapping cardinalities
must be one of the following:
one to one:

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

with at most one entity in A.
Eg: relationship between college and principal
11 11
college principal
has

One to many:

An entity in A is associated with any number of entities in B. An entity in B is associated

with at the most one entity in A.

Eg: Relationship between department and faculty

11 M1
Department
Works in Faculty
Many to one:
An entity in A is associated with at most one entity in B. An entity in B is associated with
any number in A.

1□ M□
Course Faculty
Teach es

Many –to-many:
Entities in A and B are associated with any number of entities from each other.

1□ M□
Customer Depos Account

More about entities and Relationship:

Recursive relationships:
When the same entity type participates more than once in a relationship type in different
roles, the relationship types are called recursive relationships.
Participation constraints:
The participation constraints specify whether the existence of any entity depends on its
being related to another entity via the relationship. There are two types of participation
constraints
Total :
.When all the entities from an entity set participate in a relationship type , is called total
participation. For example, the participation of the entity set student on the relationship
set must ‘opts’ is said to be total because every student enrolled must opt for a course.
Partial:
When it is not necessary for all the entities from an entity set to particapte ion a
relationship type, it is called participation. For example, the participation of the entity set
student in ‘represents’ is partial, since not every student in a class is a class
representative.
Weak Entity:
Entity types that do not contain any key attribute, and hence can not be identified
independently are called weak entity types. A weak entity can be identified by uniquely
only by considering some of its attributes in conjunction with the primary key attribute of
another entity, which is called the identifying owner entity.
Generally a partial key is attached to a weak entity type that is used for unique
identification of weak entities related to a particular owner type. The following
restrictions must hold:
 The owner entity set and the weak entity set must participate in one to may
relationship set. This relationship set is called the identifying relationship set of
the weak entity set.
 The weak entity set must have total participation in the identifying relationship.
Example:
Consider the entity type dependent related to employee entity, which is used to keep
track of the dependents of each employee. The attributes of dependents are : name
,birthrate, sex and relationship. Each employee entity set is said to its own the
dependent entities that are related to it. How ever, not that the ‘dependent’ entity does
not exist of its own., it is dependent on the employee entity. In other words we can
say that in case an employee leaves the organization all dependents related to without
the entity ‘employee’. Thus it is a weak entity.

Keys:
Super key:
A super key is a set of one or more attributes that taken collectively, allow us to
identify uniquely an entity in the entity set.
For example , customer-id,(cname,customer-id),(cname,telno)
Candidate key:
In a relation R, a candidate key for R is a subset of the set of attributes of R, which
have the following properties:
 Uniqueness: no two distinct tuples in R have the same values for
the candidate key
 Irreducible: No proper subset of the candidate key has the
uniqueness property that is the candidate key.
Eg: (cname,telno)
Primary key:
The primary key is the candidate key that is chosen by the database designer as the
principal means of identifying entities with in an entity set. The remaining candidate
keys if any, are called alternate key.
ER-DIAGRAM:

The overall logical structure of a database using ER-model graphically with the help
of an ER-diagram.
Symbols use ER- diagram:

entity

Weak entity
composite attribute
attribute
Relationship

Multi valued attribute

Derived attribute Identifying

Relationship
Key attribute

1 m
1 1

One-to -one One-to -

many m 1
m n

many-to -one many-to -many

Total participation Partial participation

Advanced ER-diagram:

Abstraction is the simplification mechanism used to hide superfluous details of a set of

objects. It allows one to concentrate on the properties that are of interest to the
application.
There are two main abstraction mechanism used to model information:
Generalization and specialization:
. Generalization is the abstracting process of viewing set of objects as a single
general class by concentrating on the general characteristics of the constituent sets while
suppressing or ignoring their differences. It is the union of a number of lower-level entity
types for the purpose of producing a higher-level entity type. For instance, student is a
generalization of graduate or undergraduate, full-time or part-time students. Similarly,
employee is generalization of the classes of objects cook, waiter, and cashier.
Generalization is an IS_A relationship; therefore, manager IS_AN employee, cook
IS_AN employee, waiter IS_AN employee, and so forth.
Specialization is the abstracting process of introducing new characteristics to an
existing class of objects to create one or more new classes of objects. This involves
taking a higher-level, and using additional characteristics, generating lower-level entities.
The lower-level entities also inherits the, characteristics of the higher-level entity. In
applying the characteristics size to car we can create a full-size, mid-size, compact or
subcompact car. Specialization may be seen as the reverse process of generalization
addition specific properties are introduced at a lower level in a hierarchy of objects.
 empno name
dob

employee
Generalization Specialization

Is Is
degree
degree

Full time employee Part-time employee

Is Is Is Is

faculty staff teaching casual

degree Intrest Intrest Classificatio hourrat

EMPLOYEE(empno,name,dob) Faculty(empno,degree,intrest)
FULL_TIME_EMPLOYEE(empno,sala Staff(empno,hour-rate)
ry) Teaching (empno,stipend)
PART_TIME_EMPLOYEE(empno,type)
Aggregation:
Aggregation is the process of compiling information on an object, there by abstracting a
higher level object. In this manner, the entity person is derived by aggregating the
characteristics of name, address, ssn. Another form of the aggregation is abstracting a
relationship objects and viewing the relationship as an object.
 Job

Branch
Employe
Works on

Manag

Manager
ER- Diagram For College Database

rollno
name addres
coursei cname duratio

Student Course
opts
N 1
1
M

has enroll ed Taug

1N
N 1 Work N fid

gaurdian Department Faculty addre

dno

Head
name dnam 1 name sal
addres 1
relationship

Date

Conversion of ER-diagram to relational database

Conversion of entity sets:
1. For each strong entity type E in the ER diagram, we create a relation R containing
all the single attributes of E. The primary key of the relation R will be one of the
key attribute of R.

STUDENT(rollno (primary key),name, address)

FACULTY(id(primary key),name ,address, salary)
COURSE(course-id,(primary key),course_name,duration)
DEPARTMENT(dno(primary key),dname)
 2. for each weak entity type W in the ER diagram, we create another relation R that
contains all simple attributes of W. If E is an owner entity of W then key attribute
of E is also include In R. This key attribute of R is set as a foreign key attribute of
R. Now the combination of primary key attribute of owner entity type and partial
key of the weak entity type will form the key of the weak entity type

GUARDIAN((rollno,name) (primary key),address,relationship)

Conversion of relationship sets:

Binary Relationships:
 One-to-one relationship:
For each 1:1 relationship type R in the ER-diagram involving two entities E1 and
E2 we choose one of entities(say E1) preferably with total participation and add
primary key attribute of another E as a foreign key attribute in the table of
entity(E1). We will also include all the simple attributes of relationship type R in
E1 if any, For example, the department relationship has been extended tp include
head-id and attribute of the relationship.

DEPARTMENT(D_NO,D_NAME,HEAD_ID,DATE_FROM)
 One-to-many relationship:
For each 1:n relationship type R involving two entities E1 and E2, we identify the
entity type (say E1) at the n-side of the relationship type R and include primary
key of the entity on the other side of the relation (say E2) as a foreign key
attribute in the table of E1. We include all simple attribute(or simple components
of a composite attribute of R(if any) in he table E1)
For example:
The works in relationship between the DEPARTMENT and FACULTY. For this
relationship choose the entity at N side, i.e, FACULTY and add primary key
attribute of another entity DEPARTMENT, ie, DNO as a foreign key attribute in
FACULTY.

FACULTY(CONSTAINS WORKS_IN
RELATIOSHIP)
(ID,NAME,ADDRESS,BASIC_SAL,DNO)

 Many-to-many relationship:

For each m:n relationship type R, we create a new table (say S) to represent R,
We also include the primary key attributes of both the participating entity types
as a foreign key attribute in s. Any simple attributes of the m:n relationship
type(or simple components as a composite attribute) is also included as attributes
of S. For example:
The M:n relationship taught-by between entities COURSE; and FACULTY shod
be represented as a new table. The structure of the table will include primary key
of COURSE and primary key of FACULTY entities.
TAUGHT-BY(ID (primary key of FACULTY table),course-id (primary key of
COURSE table)

 N-ary relationship:

For each n-anry relationship type R where n>2, we create a new table S to
represent R, We include as foreign key attributes in s the primary keys of the
relations that represent the participating entity types. We also include any simple
attributes of the n-ary relationship type(or simple components of complete
attribute) as attributes of S. The primary key of S is usually a combination of all
the foreign keys that reference the relations representing the participating entity
types.

Customer
Loan -
Loan
sanctio

Employee ,sancdate,loan_amount)
LOAN-SANCTION(cusomet-id ,loanno,emp
 Multi-valued attributes:

For each multivalued attribute ‘A’, we create a new relation R that includes an
attribute corresponding to plus the primary key attributes k of the relation that
represents the entity type or relationship that has as an attribute. The primary key
of R is then combination of A and k.
For example, if a STUDENT entity has rollno,name and phone number where
phone numer is a multivalued attribute the we will create table
PHONE(rollno,phoneno) where primary key is the combination,In the STUDENT
table we need not have phone number, instead if can be simply (rollno,name)
only.
PHONE(rollno,phoneno)
 Account_n name

Account branch

generalisation
specialisation
Is-a

intrest charges

Saving Current

 Converting Generalisation /specification hierarchy to tables:

A simple rule for conversion may be to decompose all the specialized entities into
table in case they are disjoint, for example, for the figure we can create the two
table as:
Account(account_no,name,branch,balance)
Saving account(account-no,intrest)
Current_account(account-no,charges)
Record Based Logical Model

Hierarchical Model:

 A hierarchical database consists of a collection of records which are connected to

one another through links.
 a record is a collection of fields, each of which contains only one data value.
 A link is an association between precisely two records.
 The hierarchical model differs from the network model in that the records are
organized as collections of trees rather than as arbitrary graphs.
Tree-Structure Diagrams:
 The schema for a hierarchical database consists of
o boxes, which correspond to record types
o lines, which correspond to links
 Record types are organized in the form of a rooted tree.
o No cycles in the underlying graph.
o Relationships formed in the graph must be such that only
one-to-many or one-to-one relationships exist between a parent and a
child.

Database schema is represented as a collection of tree-structure diagrams.

 single instance of a database tree
 The root of this tree is a dummy node
 The children of that node are actual instances of the
appropriate record type
When transforming E-R diagrams to corresponding tree-structure diagrams, we must
ensure that the resulting diagrams are in the form of rooted trees.

Single Relationships:

 Example E-R diagram with two entity sets, customer and account, related through
a binary, one-to-many relationship depositor.
 Corresponding tree-structure diagram has
o the record type customer with three fields: customer-name, customer-
street, and customer-city.
o the record type account with two fields: account-number and balance
o the link depositor, with an arrow pointing to customer

 If the relationship depositor is one to one, then the link depositor has two arrows.
 Only one-to-many and one-to-one relationships can be directly represented in the
hierarchical mode.

Transforming Many-To-Many Relationships:

 Must consider the type of queries expected and the degree to which the database
schema fits the given E-R diagram.
 In all versions of this transformation, the underlying database tree (or trees) will
have replicated records.

 Create two tree-structure diagrams, T1, with the root customer, and T2, with
the root account.
 In T1, create depositor, a many-to-one link from account to customer.
 In T2, create account-customer, a many-to-one link from customer to account.
Virtual Records:
 For many-to-many relationships, record replication is necessary to preserve the
tree-structure organization of the database.
o Data inconsistency may result when updating takes place
o Waste of space is unavoidable
 Virtual record — contains no data value, only a logical pointer to a particular
physical record.
 When a record is to be replicated in several database trees, a single copy of that
record is kept in one of the trees and all other records are replaced with a virtual
record.
 Let R be a record type that is replicated in T1, T2, . . ., Tn. Create a new virtual
record type virtual-R and replace R in each of the n – 1 trees with a record of type
virtual-R.
 Eliminate data replication in the diagram shown on page B.11; create virtual-
customer and virtual-account.
 Replace account with virtual-account in the first tree, and replace customer with
virtual-customer in the second tree.
 Add a dashed line from virtual-customer to customer, and from virtual-account to
account, to specify the association between a virtual record and its corresponding
physical record.
Network Model:
 Data are represented by collections of records.
o similar to an entity in the E-R model
o Records and their fields are represented as record type
 type customer = record type account = record type
customer-name: string; account-number: integer;
customer-street: string; balance: integer;
customer-city: string;
 end end
 Relationships among data are represented by links
o similar to a restricted (binary) form of an E-R relationship
o restrictions on links depend on whether the relationship is many-many,
many-to-one, or one-to-one.
Data-Structure Diagrams:
 Schema representing the design of a network database.
 A data-structure diagram consists of two basic components:
o Boxes, which correspond to record types.
o Lines, which correspond to links.
 Specifies the overall logical structure of the database.

For every E-R diagram, there is a corresponding data-structure diagram.

Since a link cannot contain any data value, represent an E-R relationship with
attributes with a new record type and links.

To represent an E-R relationship of degree 3 or higher, connect the participating

record types through a new record type that is linked directly to each of the original
record types.

1. Replace entity sets account, customer, and branch with record types account,
customer, and branch, respectively.
2. Create a new record type Rlink (referred to as a dummy record type).
3. Create the following many-to-one links:
o CustRlink from Rlink record type to customer record type
o AcctRlnk from Rlink record type to account record type
o BrncRlnk from Rlink record type to branch record type
The DBTG CODASYL Model:
o All links are treated as many-to-one relationships.
o To model many-to-many relationships, a record type is defined to represent the
relationship and two links are used.

DBTG Sets:

o The structure consisting of two record types that are linked together is referred
to in the DBTG model as a DBTG set
o In each DBTG set, one record type is designated as the owner, and the other
is designated as the member, of the set.
o Each DBTG set can have any number of set occurrences (actual instances of
linked records).
o Since many-to-many links are disallowed, each set occurrence has precisely
one owner, and has zero or more member records.
o No member record of a set can participate in more than one occurrence of the
set at any point.
o A member record can participate simultaneously in several set occurrences of
different DBTG sets.
o
RELATIONAL MODEL
Relational model is simple model is simple model in which database is represented as a
collection of “relations” where each relation is represented by two-dimensional table.

The relational model was founded by E.F.Codd of the IBM in 1972.The basic concept in
the relational model is that of a relation.
Properties:
o It is column homogeneous. In other words, in any given column of a table, all
items are of the same kind.
o Each item is a simple number or a character string. That is a table must be in first
normal form.
o All rows of a table are distinct.
o The ordering of rows with in a table is immaterial.
o The column of a table are assigned distinct names and the ordering of these
columns in immaterial.

Domain, attributes tuples and relational:

Tuple:
Each row in a table represents a record and is called a tuple .A table containing ‘n’
attributes in a record is called is called n-tuple.
Attributes:
The name of each column in a table is used to interpret its meaning and is called an
attribute.Each table is called a relation.
In the above table, account_number, branch name, balance are the attributes.
Domain:
A domain is a set of values that can be given to an attributes. So every attribute in a
table has a specific domain. Values to these attributes can not be assigned outside
their domains.
Relation:
A relation consist of
o Relational schema
o Relation instance

Relational schema:
A relational schema specifies the relation’ name, its attributes and the domain of each
attribute. If R is the name of a relation and A1,A2,… and is a list of attributes
representing R then R(A1,A2,…,an) is called a relational schema. Each attribute in
this relational schema takes a value from some specific domain called domain(Ai).
Example:
PERSON(PERSON_IDinteger,NAME: STRING,AGE:INTEGER,ADDRESS:string)
Total number of attributes in a relation denotes the degree of a relation.since the
PERSON relation schemea contains four attributes ,so this relation is of degree 4.

Relation Instance:
A relational instance denoted as r is a collection of tuples for a given relational
schema at a specific point of time.
A relation state r to the relations schema R(A1,A2…,An) also denoted by r® is a set
of n-tuples
R{t1,t2,…tm}
Where each n-tuple is an ordered list of n
values T=<v1,v2,….vn>
Where each vi belongs to domain (Ai) or contains null values.
The relation schema is also called ‘intension’ and the relation state is also called
‘extension’.
Eg:

Relation schema for student:

STUDENT(rollno:strinhg,name:string,city:string,age:integer)
 Relation instance:
Student:
Rollno Name City Age
101 Sujit Bam 23
102 kunal bbsr 22

Keys:
Super key:
A super key is an attribute or a set of attributes used to identify the records uniquely
in a relation.

For example , customer-id,(cname,customer-id),(cname,telno)

Candidate key:
Super keys of a relation can contain extra attributes . candidate keys are minimal
super keys. i.e, such a key contains no extraneous attribute. An attribute is called
extraneous if even after removing it from the key, makes the remaining attributes still
has the properties of a key.

In a relation R, a candidate key for R is a subset of the set of attributes of R, which

have the following properties:
 Uniqueness: no two distinct tuples in R have the same values for
the candidate key
 Irreducible: No proper subset of the candidate key has the
uniqueness property that is the candidate key.
 A candidate key’s values must exist. It can’t be null.
 The values of a candidate key must be stable. Its value can not change outside
the control of the system.

Eg: (cname,telno)
Primary key:
The primary key is the candidate key that is chosen by the database designer as the
principal means of identifying entities with in an entity set. The remaining candidate
keys if any are called alternate key.

RELATIONAL CONSTRAINTS:
There are three types of constraints on relational database that include
o DOMAIN CONSTRAINTS
o KEY CONSTRAINTS
o INTEGRITY CONSTRAINTS

DOMAIN CONSTRAINTS:
It specifies that each attribute in a relation an atomic value from the corresponding
domains. The data types associated with commercial RDBMS domains include:
 o Standard numeric data types for integer
o Real numbers
o Characters
o Fixed length strings and variable length strings
Thus, domain constraints specifies the condition that we to put on each instance of the
relation. So the values that appear in each column must be drawn from the domain
associated with that column.
Rollno Name City Age
101 Sujit Bam 23
102 kunal bbsr 22

Key constraints:
This constraints states that the key attribute value in each tuple msut be unique .i.e, no
two tuples contain the same value for the key attribute.(null values can allowed)

Emp(empcode,name,address) . here empcode can be unique

Integrity constraints:

There are two types of integrity constraints:

o Entity integrity constraints
o Referential integrity constraints

Entity integrity constraints:

It states that no primary key value can be null and unique. This is because the primary
key is used to identify individual tuple in the relation. So we will not be able to identify
the records uniquely containing null values for the primary key attributes. This constraint
is specified on one individual relation.

Referential integrity constraints:

It states that the tuple in one relation that refers to another relation must refer to an
existing tuple in that relation. This constraints is specified on two relations .
If a column is declared as foreign key that must be primary key of another table.

Department(deptcode,dname)
Here the deptcode is the primary
key.
Emp(empcode,name,city,deptcode).
Here the deptcode is foreign key.
CODD'S RULES

Rule 1 : The information Rule.

"All information in a relational data base is represented explicitly at the logical level and
in exactly one way - by values in tables."
Everything within the database exists in tables and is accessed via table access routines.
Rule 2 : Guaranteed access Rule.
"Each and every datum (atomic value) in a relational data base is guaranteed to be
logically accessible by resorting to a combination of table name, primary key value and
column name."

To access any data-item you specify which column within which table it exists, there is
no reading of characters 10 to 20 of a 255 byte string.
Rule 3 : Systematic treatment of null values.
"Null values (distinct from the empty character string or a string of blank characters and
distinct from zero or any other number) are supported in fully relational DBMS for
representing missing information and inapplicable information in a systematic way,
independent of data type."

If data does not exist or does not apply then a value of NULL is applied, this is
understood by the RDBMS as meaning non-applicable data.
Rule 4 : Dynamic on-line catalog based on the relational model.
"The data base description is represented at the logical level in the same way as-ordinary
data, so that authorized users can apply the same relational language to its interrogation
as they apply to the regular data."

The Data Dictionary is held within the RDBMS, thus there is no-need for off-line
volumes to tell you the structure of the database.
Rule 5 : Comprehensive data sub-language Rule.
"A relational system may support several languages and various modes of terminal use
(for example, the fill-in-the-blanks mode). However, there must be at least one language
whose statements are expressible, per some well-defined syntax, as character strings and
that is comprehensive in supporting all the following items

 Data Definition

 View Definition

 Data Manipulation (Interactive and by program).

 Integrity Constraints

 Authorization.
Every RDBMS should provide a language to allow the user to query the contents of the
RDBMS and also manipulate the contents of the RDBMS.
Rule 6 : .View updating Rule
"All views that are theoretically updateable are also updateable by the system."

Not only can the user modify data, but so can the RDBMS when the user is not logged-in.
Rule 7 : High-level insert, update and delete.
"The capability of handling a base relation or a derived relation as a single operand
applies not only to the retrieval of data but also to the insertion, update and deletion of
data."

The user should be able to modify several tables by modifying the view to which they act
as base tables.
Rule 8 : Physical data independence.
"Application programs and terminal activities remain logically unimpaired whenever any
changes are made in either storage representations or access methods."

The user should not be aware of where or upon which media data-files are stored
Rule 9 : Logical data independence.
"Application programs and terminal activities remain logically unimpaired when
information-preserving changes of any kind that theoretically permit un-impairment are
made to the base tables."

User programs and the user should not be aware of any changes to the structure of the
tables (such as the addition of extra columns).
Rule 10 : Integrity independence.
"Integrity constraints specific to a particular relational data base must be definable in the
relational data sub-language and storable in the catalog, not in the application programs."

If a column only accepts certain values, then it is the RDBMS which enforces these
constraints and not the user program, this means that an invalid value can never be
entered into this column, whilst if the constraints were enforced via programs there is
always a chance that a buggy program might allow incorrect values into the system.
Rule 11 : Distribution independence.
"A relational DBMS has distribution independence."

The RDBMS may spread across more than one system and across several networks,
however to the end-user the tables should appear no different to those that are local.
Rule 12 : Non-subversion Rule.
"If a relational system has a low-level (single-record-at-a-time) language, that low level
cannot be used to subvert or bypass the integrity Rules and constraints expressed in the
higher level relational language (multiple-records-at-a-time)."
RELATION ALGEBRA:
Relational algebra is a set of basic operations used to manipulate the data in relational
model. These operations enable the user to specify basic retrieval request. The result of
retrieval is anew relation, formed from one or more relation. These operation can be
classified in two categories.
 Basic Set Operation
 Union
 Intersection
 Set difference
 Cartesian product
 Relational operations
 Select
 Project
 Join
 Division

Basic set operation:

These are the binary operations; i.e, each is applied to two sets or relations. These two
relations should be union compatible except in case of Cartesian product.
Two relations R(A1,A2…,AN) and S(B1,B2…BN) are said to be union compatible if
they have the same degree n and domains of the corresponding attributes are also the
same; domain(Ai)=Domain(bI) for 1<=i<=n.

Union Operation – Example

Relations r, s: r s:

A B
 A B A B

 1  2
 2  3
 1

r s

 1
 2
 1
 3
UNION OPERATION:
Notation: r s
Defined as:
r s = {t | t r or t s}

For r s to be valid.
r, s must have the same arity (same number of attributes)
2. The attribute domains must be compatible (e.g., 2nd column of r deals
with the same type of values as does the 2nd column of s)
E.g. to find all customers with either an account or a loan  customer-name
(depositor)  customer-name (borrower)
Set Difference
Operation – Example
Relations r, s:
r – s:

A B
 A B A B

 1  2
 2  3
 1
s
r

 1
 1
Set Difference Operation

 Notation r – s
 Defined as:
 r – s = {t | t r and t s}
 Set differences must be taken between compatible relations.
o r and s must have the same arity
o attribute domains of r and s must be compatible
 Cartesian product – Example
A B C D E A B C D E

 1  10 1  10a  a
 2  10 1  10a  a
 20 1  20b  b
r 10 1  10b  b

ProjectsOperation –E x2 m e10 a
Relation r: A B C  a pl 10 a
 2  20 b
 10 1  2 
 20 1
 30 1 r x s:
 40 2

Notation r x s
A A C
Define d as: C
r xA,sC (r
Notatio = {t) q | t  r and q
□ Assume that at  1 of
tr ut )  d1 S) are disjoint. (That is, R S =
r(R ib 1 an s(1
 ).  es
(r)
A 1 , A 2 , … , A k =  o2
I f a tt r ib ut e s of s and r isjoint, then renaming must be
 1 s(S) a
where A1, A2 are attribu2te is a relation name.
name
□ used. 
The result is defined as the relation of k columns obtained by erasing the
columns that are not listed
□ Duplicate rows removed from result, since relations are sets
□ E.g. To eliminate the branch-name attribute of account

account-number, balance (account)
 Select Operation – Example

• Relation r A B C D

  11 77
  55 77
  12 3
1 3
2
  23 10
1

• A=B ^ D > 5 (r)

A B C D

  11 77
  23 10
2 1

Notation:  p(r)
p is called the selection predicate
Defined as:
p(r) = {t | t  r and p(t)}
Where p is a formula in propositional calculus consisting of
terms connected by :  (and),  (or),  (not) Each term is one of:
<attribute> op <attribute> or <constant>
where op is one of: =, , >, . <. 
Example of selection:
Q: Display the account details belonging to the branch “perryridge”. 
branch- name=“Perryridge”(account)
 Rename Operation
Allows us to name, and therefore to refer to, the results of relational-
algebra expressions.
Allows us to refer to a relation by more than one name.
Example:
 x (E)
returns the expression E under the name X
If a relational-algebra expression E has arity n, then
x (A1, A2, …, An) (E)
returns the result of expression E under the name X, and with the
attributes renamed to A1, A2, …., An.

Set-Intersection Operation
□ Notation: r  s
□ Defined as:
□ r  s ={ t | t  r and t  s }
□ Assume:
□ r, s have the same arity
□ attributes of r and s are compatible
□ Note: r  s = r - (r - s)
Set-Intersection Operation - Example
n Relation r, s:
A B A B
 1  2
 2  3
 1

r s
n r s
A B
 2
 Natural-Join Operation
□  NLoettartiaonnd: srbe relations on schemas R and S
respectively.
s Then, r s is a relation on schema R  S obtained as follows:
□ Consider each pair of tuples tr from r and ts from s.
□ If tr and ts have the same value on each of the attributes
in R  S, add a tuple t to the result, where

□ t has the same value as tr on r

□ t has the same value as ts on s

□ Example:
R = (A, B, C, D)
S = (E, B, D)
□ Result schema = (A, B, C, D, E)
□ r s is defined as:
r.A, r.B, r.C, r.D, s.E (r.B = s.B  r.D = s.D (r x s))

Natural Join Operation – Example

□ Relations r, s:
A B C D B D E

 1  a 1 a 
 2  a 3 a 
 4  b 1 a 
 1  a 2 b 
 2  b 3 b 
r s

r s
A B C D E

 1  a 
 1  a 
 1  a 
 1  a 
 2  b 


 Division Operation

rs
Suited to queries that include the phrase “for all”.
Let r and s be relations on schemas R and S
respectively where
R = (A1, …, Am, B1, …, Bn)
S = (B1, …, Bn)
The result of r s is a relation on schema
R – S = (A1, …, Am)

r  s = { t | t  R-S(r)   u  s ( tu  r ) }

Division Operation – Example

Relations r, s: A B
B
 1 s1
 2
2
 3
 1
 1
 1
 3
 4
r  s: A 6
r
1
 
  2
 Example Queries
n Find all customers who have an account from at
least the “Downtown” and the Uptown”
branches.
Query 1

CN(BN=“Downtown”(depositor account)) 

CN(BN=“Uptown”(depositor account))

where CN denotes customer-name and BN denotes

branch-name.

Query 2
customer-name, branch-name (depositor account)
 temp(branch-name) ({(“Downtown”), (“Uptown”)})

Example Queries
n Find all customers who have an account at all branches
located in Brooklyn city.

customer-name, branch-name (depositor account)

 branch-name (branch-city = “Brooklyn” (branch))
 Banking Example

branch (branch-name, branch-city, assets)

customer (customer-name, customer-street, customer-only)

account (account-number, branch-name, balance)

loan (loan-number, branch-name, amount)

depositor (customer-name, account-number)

borrower (customer-name, loan-number)

Example Queries

n Find all loans of over $1200

amount > 1200 (loan)

n Find the loan number for each loan of an amount greater than
$1200

loan-number (amount > 1200 (loan))



Example Queries

n Find the names of all customers who have a loan, an

account, or both, from the bank

customer-name (borrower)  customer-name (depositor)

n Find the names of all customers who have a loan and

an account at bank.

customer-name (borrower)  customer-name (depositor)

 Example Queries
Find the names of all customers who have a loan at the
Perryridge branch.

customer-name (branch-name=“Perryridge”
(borrower.loan-number = loan.loan-number(borrower x
loan)))

Find the names of all customers who have a loan at the

Perryridge
branch but do not have an account at any branch of the
bank.

customer-name (branch-name = “Perryridge”

(borrower.loan-number = loan.loan-number(borrower x loan))) –
customer-name(depositor)

Example Queries
n Find the names of all customers who have a loan at the
Perryridge branch.
Query 1
customer-name(branch-name = “Perryridge” (
borrower.loan-number = loan.loan-number(borrower x loan)))

 Query 2
customer-name(loan.loan-number = borrower.loan-
number( (branch-name = “Perryridge”(loan))
x borrower))

Example Queries
Find the largest account
balance n Rename account
relation as d n The query is:

balance(account) - account.balance
(account.balance < d.balance (account x d (account)))
 Aggregate functions:

Aggregation function takes a collection of values and returns a single

value as a result.
avg: average value
min: minimum value
max: maximum
value sum: sum of
values
count: number of values
Aggregate operation in relational algebra
G1, G2, …, Gn g F1( A1), F2( A2),…,
Fn( An) (E)
E is any relational-algebra expression
G1, G2 …, Gn is a list of attributes on which to group (can be
empty) Each Fi is an aggregate function.
Each Ai is an attribute name

Find sum of sal fo all emp records

Gsum(sal) (emp)

Find maximum salalry from emp table

Gmax(salary) (emp)

Find branch name and maximum salalry from emp table

Branch_name G,max(salary) (emp)

Aggregate Operation – Example

n Relation r:
A B C

  7
  7
  3
  10

g sum(c) (r)
sum-

2
OUTER JOIN:
The outer join operation is an extension of the join operation to deal with missing
information.
There are three forms of outer join
 left outer join
 right outer join
 full outer join
employee:
Empname Street City
Coyote Toon Hollywood
Rabbit Tunnel carrot
Smith Revolver Death valley
William Seaview Seattle

Ft_works:
Empname Branch name Salary
Coyote Mesa 1500
Rabbit Mesa 1300
Gates Redmond 5300
William Redmond 1500

Employee ft_works

Empname Street City Branch Salary

name
Coyote Toon Hollywood Mesa 1500
Rabbit Tunnel carrot Mesa 1300
William Seaview Seattle Redmond 1500

Left outer join:

It takes all tuples in the left relation that did not match with any tuple in the right
relation, pads the tuples with null values for all other attributes. The right relation
and adds them to the result of the natural join. In tuple (smith, Revolcer, Death
valley, null, null) is such a tuple. All information from the left relation is present
in the result of the left outer join.
Empname Street City Branch Salary
name
Coyote Toon Hollywood Mesa 1500
Rabbit Tunnel carrot Mesa 1300
William Seaview Seattle Redmond 1500
Smith Revolver Death valley Null null
Result of Employee ft_works

Right outer join:

It is symmetric with the left outer join. It pads tuples from the right relation that
did not match any from the left relation with nulls and adds them to the result of
the natural join. tuple(Gates,null,null,Redmond,5300) is such a tuple. Thus, all
information from the right relation is present in the result of the right outer join.
Empname Street City Branch Salary
name
Coyote Toon Hollywood Mesa 1500
Rabbit Tunnel carrot Mesa 1300
William Seaview Seattle Redmond 1500
gates Null null Redmond 5300

Full outer join:

It does both of those operations, padding tuples from the left relation that did not
match any from the right relation, as well as tuples from the right relation that did
not match any from the left relation, and adding them to the result of the join.
Figure 3.35 shows the result of a full outer join.
Since outer join operations may generate results containing null values, we need
to specify how the different relation-algebra operations deal with null values. It is
interesting to note that the outer join operations can be expressed by the basic
relational algebra operations. For instance the left outer join operation
Employee ft_works

Empname Street City Branch Salary

name
Coyote Toon Hollywood Mesa 1500
Rabbit Tunnel carrot Mesa 1300
William Seaview Seattle Redmond 1500
gates Null null Redmond 5300
Tuple Relational Calculus

The tuple relational calculus is a non procedural query language. It describes the
desired information with out giving a specific procedure for obtaining that
information.
A query in the tuple relational calculus is expressed as:

{t|P(t)}
where P is a formula. Several tuple variables may appear in a formula. A tuple
variable is said to be a free variable unless it is quantified by a or .

n A nonprocedural query language, where each query is of the form

BBaannQueries
Example kki i n n g g
E E xxaam m p p l l ee
{t | P (t) }
n Find the loan-number, branch-name, and amount for loans
of over
branch $1200
(branch-name, branch-city, assets)
cusn tomIt iser{t
the sloan
| t(c uset tom of alerl 1200}
t [amount] t-upnamleset,
scuuschtomthaterpr-sedtreeticat,ecPusistomtrueerf-orcitty)
ac co unt
t is a t up le vari ab le, t[ A] de not es
( a cc ount - num b er , br anc h-
n loan number for each loan of an amount greater than $1200
n Find the

tnamhe veal,uebalofanctupe)let on attribute A

|  s(loan-number,
{tdepo
loan  loan (t[loan-number] = s[loan-number]
r branch-name,
scustomer-name,
ito ( amount)  s [amount]  1200)}
n t  r denot account-number)

PPrel rresateetd d hatiicctupaalteteet isCCin

iouunlon
aNotice
a lthat
borrower
defined by
l cacrelation
(customer-name,
the query
lruschema
uss [loan-number]
FFoorrm
loan-number)
is m u u l l aa
implicitly
1. Set of attributes and constants
2. nP isof acomparformulisona opersimatilarorst:o(e.thg.a,tof,
S et
,the, ,pr,edi) cate calculus
Example Queries
E x a m p le
Find the names o f a ll cu sto m e rs
Q u ee r rii e s
h av in g a lo a n, an account, or both at
the bank
FFiinndd tthhee nnaammeess
ooff aall{t |
llcc s ssto
uu borrower(
tommee t[customer-name] =a
rsrshhaavivnigng s[customer-name])  u
alolaona,naant ath cce
ount,
Perryridge branch
ordepositor(
both at the
t[customer-name] = u[customer-name])
{t{t| |ssbboorrrroowweerr((t[tc[cuusstotommeerr--nnaammee]]
== ss[[ccuussttoommeerr--nnaammee]]) 
 u  lo a n ( u [ b ra n c h -
Find t hue n ad me pe os s o itfo ar( ll t c[c uu
 ns ato mm ee ]r -
s
=n toa“ P
m eer rr sy ri d g e ”
w h mo e h] a =v eu [ ac ul osatonmaenrd-
naanmaec])cou nt u [ lo a n-number] = s[loan-
at the b a n k
number]))}
Safety of Expressions
Find{tth|ens ambeosrroofwaellrc( ut[sctuosmtoemrsewr-
hnoamhaev] e= as[lcouasntoamndera-nname]) account u
a t th e b a n k
 d e p os it o r( t[customer-name] = u[customer-name])
It is possible to write tuple calculus expressions that generate
in{ftin| ites relbaotiorrnosw. er( t[customer-name] = s[customer-
 Domain Relational Calculus
A nonprocedural
queEryxlaangmuapgeleeqQuQivualeenrt
iinepsower to the tuple relational calculus
Each query is an expression of the form:

Q ue e r y - bm y - E B
Fin over
d th$ 1200
e l oan -n um b er, bra n
{  x1, x2, …, xn  | P(x1, x2, …, xn)}
ch-

x1, x2e, …{,, and am a oes|unt

xl,n br,epr ent fo
l,domb, aainans
x QBE
a m— Basic
p l eStructure
(Q B E )
nam r lo of
varloiablanes a > 1200}
P represents a formula similar to that of the predicate
calculus
Find the names of all customers who have a loan of over $1200
n A graphical query language which is based (roughly)
{ c  |  l, b, a ( c, l   borrower   l, b, a   loan  a >
on the domain relational calculus
1200)}
n Two dimensional syntax – system creates templates of
Find are
relations that the names
requestedof all customers
by users who have a loan from
the Perryridge branch and the loan amount:
n Queries are expressed “by example”
 The Result Relation

n Find the customer-name, account-number, and balance for

alll customers who have an account at the Perryridge
branch.
H We need to:
4 Join depositor and account.
4 Project customer-name, account-number and balance.
H To accomplish this we:
4 Create a skeleton table, called result, with attributes
customer- name, account-number, and balance.
4 Write the query.
 Aggregate Operations (Cont.)

n UNQ is used to specify that we want to eliminate duplicates

n Find the total number of customers having an account at the bank.

Modification of the Database – Deletion

n Deletion of tuples from a relation is expressed by use of

a D. command. In the case where we delete
information in only some of the columns, null values,
specified by –, are inserted.
n Delete customer Smith

n Delete the branch-city value of the branch whose

name is “Perryridge”.
 Deletion Query Examples

n Delete all loans with a loan amount between $1300 and $1500.
H For consistency, we have to delete information from
loan and borrower tables

Modification of the Database – Insertion

nInsertion is done by placing the I. operator in the query expression.

nInsert the fact that account A-9732 at the Perryridge branch has a balance of $7
 Modification of the Database – Updates
Use the U. operator to change a value in a tuple without
changing all values in the tuple. QBE does not allow
users to update the primary key fields.
Update the asset value of the Perryridge branch to $10,000,000.

Increase all balances by 5 percent.

RELATIONAL DATABASE DEGIN

Data base design is a process in which you create a logical data model for a database,
which store data of a company. It is performed after initial database study phase in the
database life cycle. You use normalization technique to create the logical data model for a
database and eliminate data redundancy. Normalization also allows you to organize data
efficiently in a data base and reduce anomalies during data operation. Various normal
forms, such as first, second and third can be applied to create a logical data model for a
database. The second and third normal forms are based on partial dependency and
transitivity dependency. Partial dependency occurs when a row of table is uniquely
identified by one column that is a part of a primary key. A transitivity dependency ours
when a non key column is uniquely identified by values in another non-key column of a
table.

Data base design process:

We can identify six main phases of the database design process:
1. Requirement collection and analysis
2. Conceptual data base design
3. Choice of a DBMS
4. Data model mapping(logical database design)
5. physical data base design
6. database system implementation and tuning

1. Requirement collection and analysis

Before we can effectively design a data base we must know and analyze the
expectation of the users and the intended uses of the database in as much as detail.
2. Conceptual data base design
The goal for this phase I s to produce a conceptual schema for the database that is
independent of a specific DBMS.
 We often use a high level data model such er-model during this
phase
 We specify as many of known database application on
transactions as possible using a notation the is independent of
any specific dbms.
 Often the dbms choice is already made for the organization the
intent of conceptual design still to keep , it as free as possible
from implementation consideration.
3. Choice of a DBMS
The choice of dbms is governed by a no. of factors some technical other economic
and still other concerned with the politics of the organization.
The economics and organizational factors that offer the choice of the dbms are:
Software cost, maintenance cost, hardware cost, database creation and conversion
cost, personnel cost, training cost, operating cost.
4. Data model mapping (logical database design)
During this phase, we map the conceptual schema from the high level data model
used on phase 2 into a data model of the choice dbms.
5. Physical databse design
During this phase we design the specification for the database in terms of physical
storage structure ,record placement and indexes.
6. Database system implementation and tuning
During this phase, the database and application programs are implemented, tested
and eventually deployed for service.
FUNCTIONAL DEPENDENCIES:
The functional dependency x→y
Holds on scema R if, in any legal relation r(R ), for all pairs of tuples t1 and t2 in r
such that t1[x]=t2[x]. it is also the case that t1[y]=t2[y]
CLOSURE OF A SET OF FUNCTIONAL DEPEDENCIES

Given a relational schema R, a functional dependencies f on R is logically implied

by a set of functional dependencies F on R if every relation instance r(R) that
satisfies F also satisfies f.

The closure of F, denoted by F +, is the set of all functional dependencies logically

implied by F.
The closure of F can be found by using a collection of rules called Armstrong
axioms.
Reflexivity rule: If A is a set of attributes and B is subset or equal to A,
then A→B holds.
Augmentation rule: If A→B holds and C is a set of attributes, then CA→CB
holds
Transitivity rule: If A→B holds and B→C holds, then A→C holds.
Union rule: If A→B holds and A→C then A→BC holds
Decomposition rule: If A→BC holds, then A→B holds and A→C holds.
Pseudo transitivity rule: If A→B holds and BC→D holds, then AC→D holds.

Suppose we are given a relation schema R=(A,B,C,G,H,I) and the set of function
dependencies
A→B,A→C,CG→H,CG→I,B→H
We list several members of F+ here:
 A→H, since A→B and B→H hold, we apply the transitivity rule.
 CG→HI. Since CG→H and CG→I , the union rule implies that CG→HI
 AG→I, since A→C and CG→I, the pseudo transitivity rule implies that
AG→I holds

Algorithm of compute F+ :
To compute the closure of a set of functional dependencies F:
F+ = F
repeat
for each functional dependency f in F+
apply reflexivity and augmentation rules on f
add the resulting functional dependencies to F+
for each pair of functional dependencies f1and f2 in F+
if f1 and f2 can be combined using transitivity
then add the resulting functional dependency to F+
until F+ does not change any further
Closure of Attribute sets:-

To test whether a set  is a super key, we must devise an algorithm for omputing
the set of attributes functionally determined by alpha. One way of doing this is to
compute F+ take all functional dependencies. However doing so can be
expensive, since F+ can be large.
 Closure of Attribute Sets

Given a set of attributes  define the closure of  under F

(denoted by +) as the set of attributes that are
functionally determined by 
under F:    is in F+ <=   +
>
Algorithm to compute  , the closure of  under F result := ; while
+

(changes to result) do for each    in F do

begin if   result then result :=
result   end
 Example of Attribute Set Closure
R = (A, B, C, G, H, I)
F = {A  B A  C CG  H CG  I B
H} (AG)+
1. result = AG
2. result = ABCG (A  C and A  B)
3. result = ABCGH (CG  H and CG  AGBC)
4. result = ABCGHI (CG  I and CG  AGBCH)
Is AG a candidate key?
Is AG a super key?
+
Does AG  R? == Is (AG)  R
Is any subset of AG a
superkey? Does A  R?
+
== Is (A) R Does G 
+
R? == Is (G) R
 Uses of Attribute Closure
There are several uses of the attribute closure
algorithm: Testing for superkey:
To test if  is a superkey, we compute +, and check if +
contains all attributes of R.
Testing functional dependencies
To check if a functional dependency    holds (or, in other words,
+ +
is in F ), just check if    .
That is, we compute + by using attribute closure, and then
check if it contains .
Is a simple and cheap test, and very useful
Computing closure of F
For each   R, we find the closure +, and for each S  +,
we output a functional dependency   S.
 Canonical Cover

Sets of functional dependencies may have redundant

dependencies that can be inferred from the others
Eg: A  C is redundant in: {A  B, B  C, A 
C} Parts of a functional dependency may be
redundant
E.g. on RHS: {A  B, B  C, A  CD} can be
simplified to {A  B, B  C, A  D}
E.g. on LHS: {A  B, B  C, AC  D} can be
simplified to {A  B, B  C, A  D}
Intuitively, a canonical cover of F is a “minimal” set of
functional dependencies equivalent to F, having no
redundant dependencies or redundant parts of
dependencies
 Extraneous Attributes
Consider a set F of functional dependencies and the functional dependency
 in F.
Attribute A is extraneous in  if A   and F logically implies (F – { 
})  {( – A)  }.
Attribute A is extraneous in  if A   and the set of
functional dependencies (F – {  })  { (
– A)} logically implies F.
Note: implication in the opposite direction is trivial in each of the
cases above, since a “stronger” functional dependency always
implies a weaker one
Example: Given F = {A C, AB C }
B is extraneous in AB  C because {A  C, AB  C} logically implies A 
C (I.e. the result of dropping B from AB  C).
Example: Given F = {A C, AB CD}
C is extraneous in AB  CD since AB  C can be inferred even
after deleting C
 Testing if an Attribute is Extraneous

Consider a set F of functional dependencies and the

functional dependency    in F.
To test if attribute A   is extraneous in 
compute ({} – A)+ using the dependencies in F
check that ({} – A)+ contains A; if it does, A is extraneous
To test if attribute A   is extraneous in 
compute + using only the dependencies in F’ = (F – {  })
 { ( – A)},
check that + contains A; if it does, A is extraneous
 Canonical Cover

A canonical cover for F is a set of dependencies Fc such that

F logically implies all dependencies in Fc, and
Fc logically implies all dependencies in F, and
No functional dependency in Fc contains an extraneous
attribute, and Each left side of functional dependency in Fc is
unique.
To compute a canonical cover for F: repeat Use the union rule to
replace any dependencies in F 1  1 and 1  2 with
1  1 2 Find a functional dependency    with an
extraneous attribute either in  or in  If an
extraneous
attribute is found, delete it from    until F does not
change Note: Union rule may become applicable after
some extraneous attributes have been deleted, so it
has to be re-applied
 Example of Computing a Canonical Cover
R = (A, B, C) F = {A BC B C A B AB  C}
Combine A BC and A B into A BC
Set is now {A  BC, B  C, AB  C}
A is extraneous in AB  C
Check if the result of deleting A from AB  C is implied by the
other dependencies
Yes: in fact, B  C is already present!
Set is now {A  BC, B  C}
C is extraneous in A  BC
Check if A  C is logically implied by A  B and the other
dependencies Yes: using transitivity on A  B and B  C.
Can use attribute closure of A in more complex cases
The canonical cover is: A B B C
LOSS LESS DECOMPOSITION:

A decomposition of a relation scheme R<S,F> into the relation schemes

Ri(1<=i<=n) is said to be a lossless join decomposition or simply lossless if for
every relation R that satisfies the FDs in F, the natural join of the projections or R
gives the original relation R, i.e,
R= R1( R ) R2( R ).................
Rn( R )

If R is subset of R1( R )  R2( R ).................

Rn( R )
Then the decomposition is called lossy.

DEPEDENCY PRSERVATION:

Given a relation scheme R<S,F> where F is the associated set of functional

dependencies on the attributes in S,R is decomposed into the relation schemes
R1,R2,…Rn with the fds F1,F2…Fn, then this decomposition of R is dependency
preserving if the closure of F’ (where F’=F1 U F2 U … Fn)

Example:
Let R(A,B,C) AND F={A→B}. Then the decomposition of R into R1(A,B) and
R2(A,C) is lossless because the FD { A→B} is contained in R1 and the common
attribute A is a key of R1.

Example:

Let R(A,B,C) AND F={A→B}. Then the decomposition of R into R1(A,B) and
R2(B,C) is not lossless because the common attribute B does not functionally
determine either A or C. i.e, it is not a key of R1 or R 2.

Example:

Let R(A,B,C,D) and F={A→B, A→C, C→D,}. Then the decomposition of R into
R1(A,B,C) with the FD F1={ A→B , A→C }and R2(C,D) with FD F2={ C→D} .
In this decomposition all the original FDs can be logically derived from F1 and
F2, hence the decomposition is dependency preserving also . the common
attribute C forms a key of R2. The decomposition is lossless.

Example:

Let R(A,B,C,D) and F={A→B, A→C, A→D,}. Then the decomposition of R into
R1(A,B,D) with the FD F1={ A→B , A→D }and R2(B,C) with FD F2={ } is
lossy because the common attribute B is not a candidate key of either R1 and R2 .
In addition , the fds A→C is not implied by any fds R1 or R2. Thus the
decomposition is not dependency preserving.
 Full functional dependency:
Given a relational scheme R and an FD X→Y ,Y is fully functional dependent on
X if there is no Z, where Z is a proper subset of X such that Z→Y. The
dependency X→Y is left reduced, there being no extraneous attributes attributes
in the left hand side of the dependency.

Partial dependency:
Given a relation dependencies F defined on the attributes of R and K as a
candidate key ,if X is a proper subset of K and if F|= X→A, then A is said to be
partial dependent on K

Prime attribute and non prime attribute:

A attribute A in a relation scheme R is a prime attribute or simply prime if A is
part of any candidate key of the relation. If A is not a part of any candidate key of
R, A is called a nonprime attribute or simply non prime .

Trivial functional dependency:

A FD X→Y is said to be a trivial functional dependency if Y is subset of X.

NORMALIZATION

The basic objective of normalization is to reduce redundancy which means that

information is to be stored only once. Storing information several times leads to
wastage of storage space and increase in the total size of the data stored. Relations
are normalized so that when relations in a database are to be altered during the life
time of the database, we do not lose information or introduce inconsistencies. The
type of alterations normally needed for relations are:

o Insertion of new data values to a relation. This should be possible without

being forced to leave blank fields for some attributes.
o Deletion of a tuple, namely, a row of a relation. This should be possible
without losing vital information unknowingly.
o Updating or changing a value of an attribute in a tuple. This should be
possible without exhaustively searching all the tuples in the relation.

PROPERTIES OF NORMALIZED RELATIONS

Ideal relations after normalization should have the following properties so that the
problems mentioned above do not occur for relations in the (ideal) normalized form:
 1. No data value should be duplicated in different rows unnecessarily.
2. A value must be specified (and required) for every attribute in a row.
3. Each relation should be self-contained. In other words, if a row from a
relation is deleted, important information should not be accidentally lost.
4. When a mw is added to a relation, other relations in the database should
not be affected.
5. A value of an attribute in a tuple may be changed independent of other
tuples in the relation and other relations.

The idea of normalizing relations to higher and higher normal forms is to attain the goals
of having a set of ideal relations meeting the above criteria.

Unnormalized relation:

Defn: An unnormalized relation contains non atomic values.

Each row may contain multiple set of values for some of the columns, these multiple
values in a single row are also called non atomic values.

FIRST NORMAL FORM:

Defn: A relation scheme is said to be in first normal form(1NF) if the values in the
domain of each attribute of the relation are atomic. In other words, only one value is
associated with each attribute and the value is not a set of values or a list of values.

Functional dependencies are:

orderno → orderdate

SECOND NORMAL FORM:

Defn: A relation scheme R<S,F> is in second normal form(2NF) if it is in the !NF and if
all non prime attributes are fully functionally dependent on the relation keys.

A relation is said to be in2NF if it is in 1NF and non-key attributes are functionally

dependent on the key attribute(s). Further. if the key has more than one attribute then no
non-key attributes should be functionally dependent upon a part of the key attributes.
Consider, for example, the relation given in table 1. This relation is in 1NF. The key is
(Order no.. Item code). The dependency diagram for attributes of this relation is shown in
figure 5. The non-key attribute Price_Unit is functionally dependent on Item code which
is part of the relation key. Also, the non-key attribute Order date is functionally
dependent on Order no. which is a part of the relation key.
Thus the relation is not in 2NF. It can be transformed to 2NF by splitting it into three
relations as shown in table 3.
In table 3 the relation Orders has Order no. as the key. The relation Order details has the
composite key Order no. and Item code. In both relations the non-key attributes are
functionally dependent on the whole key. Observe that by transforming to 2NF relations
the
THIRD NORMAL FORM:
Defn: A relational scheme R<S,F> is in third normal form(3NF) if for all non trivial
function dependencies in F+ of the form X→A, either X contains a key(i.e, X is super
key) or A is a prime key attribute.

A Third Normal Form normalization will be needed where all attributes in a relation tuple
are not functionally dependent only on the key attribute. If two non-key attributes are
functionally dependent, then there will be unnecessary duplication of data. Consider the
relation given in table 4. Here. Roll no. is the key and all other attributes are

functionally dependent on it. Thus it is in 2NF. If it is known that in the college all first
year students are accommodated in Ganga hostel, all second year students in Kaveri, all
third year students in Krishna, and all fourth year students in Godavari, then the non-key
attribute Hostel name is dependent on the non-key attribute Year. This dependency is
shown in figure 6.
Observe that given the year of student, his hostel is known and vice versa. The
dependency of hostel on year leads to duplication of data as is evident from table 4. If it is
decided to ask all first year students to move to Kaveri hostel, and all second year
students to Ganga hostel. this change should be made in many places in table 4. Also,
when a student's year of study changes, his hostel change should also be noted in Table 4.
This is undesirable. Table 4 is said to be in 3NF if it is in 2NF and no non-key attribute
is functionally dependent on any other non-key attribute. Table 4 is thus not in 3NF. To
transform it to 3NF, we should introduce another relation which includes the
functionally related non-key attributes. This is shown in table 5.

BOYCE CODD NORMAL FORM:

Defn: a normalized relation scheme R<S,F> is in Boyce Codd normal form if for every
nontrivial FD in F+ of the form X→A where X is subset of S and AЄS, X is a super key
of R.
Assume that a relation has more than one possible key. Assume further that the
composite keys have a common attribute. If an attribute of a composite key is dependent
on an attribute of the other composite key, a normalization called BCNF is needed.
Consider. as an
example, the relation Professor:
It is assumed that
1. A professor can work in more than one department
2. The percentage of the time he spends in each department is given.
3. Each department has only one Head of Department.

The relationship diagram for the above relation is given in figure 8. Table 6 gives the
relation attributes. The two possible composite keys are professor code and Dept. or
Professor code and Hcad of Dept. Observe that department as well as Head of Dept. are
not non-key attributes. They are a part of a composite key
MULTIVALUED DEPEDENCY:
Defn:Given a relation scheme R, Le X and Y be subsets of attributes of R. then the multi
valued dependency X →→Y holds in a relation R defined on R if given two tuples t1 and
t2 in R with t1(X)=t2(X);
R contains two tuples t3 and t4 with the following characteristics: t1,t2,t3,t4 have the X
value i.e,
T1(X)= T2(X)=T3(X)= T4(X)
The Y values of t1 and t3 are the same and the Y values of t2 and t4 are the same
.i.e, T1(Y)= T2(Y)=T3(Y)= T4(Y)

TRIVIAL MULTIVALED DEPEDENCY:

A trivial multi valued dependency is one that is satisfied by all relations R on a relation
scheme R with XY is subset or equal to R. Thus, a MVD X →→Y is trivial if Y is sub
set or equal to X or XY=R.
FOURTH NORMAL FORM:

Defn:
Given a relation scheme R such that the set D of FDs and MVDs are satisfied, consider
a set attributes X and Y where X is subset or equal to R,Y is subset or equal to Y. The
reltion scheme R is in 4NF if for all mutivalued dependencies of the form X →→Y Є D+
Either X →→Y is a trivial MVD or X is super key of R.

When attributes in a relation have multivalucd dependency, further Normalisation to 4NF

and 5NF are required. We will illustrate this with an example. Consider a vendor
supplying
many items to many projects in an organisation. The following are the assumptions:
1. A vendor is capable of supplying many items.
2. A project uses many items
3. A vendor supplies to many projects.
4. An item may be supplied by many vendors.
Table 8 gives a relation for this problem and figure 10 lhe dependency diagram(s).
TRANSCATION:

A transaction is a unit of program execution that accesses and possibly updates

various data items. Usually, a transaction is initiated by a user program written in a high-
level data-manipulation language or programming language (for example, SQL, COBOL,
C, C++, or Java), where it is delimited by statements (or function calls) of the form begin
transaction and end transaction. The transaction consists of all operations executed
between the begin transaction and end transaction. To ensure integrity of the data, we
require that the database system maintain the following properties of the transactions:
 Atomicity. Either all operations of the transaction are reflected properly in the
database, or none are.
 Consistency. Execution of a transaction in isolation (that is, with no other
transaction executing concurrently) preserves the consistency of the database.
 Isolation. Even though multiple transactions may execute concurrently, the
system guarantees that, for every pair of transactions Ti and Tj , it appears to Ti
that either Tj finished execution before Ti started, or Tj started execution after Ti
finished. Thus, each transaction is unaware of other transactions executing
concurrently in the system.
 Durability. After a transaction completes successfully, the changes it has
made to the database persist, even if there are system failures.

These properties are often called the ACID properties; the acronym is derived
from the first letter of each of the four properties.
Let Ti be a transaction that transfers $50 from account A to account B. This
transaction can be defined as
Ti: read(A);
A := A − 50;
write(A);
read(B);
B := B + 50;
write(B).
TRANSCATION STATE:

A transaction must be in one of the following states:

• Active, the initial state; the transaction stays in this state while it is executing
• Partially committed, after the final statement has been executed
• Failed, after the discovery that normal execution can no longer proceed
• Aborted, after the transaction has been rolled back and the database has
been restored to its state prior to the start of the transaction
• Committed, after successful completion

The state diagram corresponding to a transaction appears in Figure 15.1. We say

that a transaction has committed only if it has entered the committed state. Similarly,we
say that a transaction has aborted only if it has entered the aborted state. A transaction is
said to have terminated if has either committed or aborted.
A transaction starts in the active state. When it finishes its final statement, it enters the
partially committed state. At this point, the transaction has completed its execution, but it
is still possible that it may have to be aborted, since the actual output may still be
temporarily residing in main memory, and thus a hardware failure may preclude its
successful completion.
The database system then writes out enough information to disk that, even in the event of
a failure, the updates performed by the transaction can be re-created when the system
restarts after the failure. When the last of this information is written out, the transaction
enters the committed state.

 It can restart the transaction, but only if the transaction was aborted as a result of
some hardware or software error that was not created through the internal logic of
the transaction. A restarted transaction is considered to be a new transaction.
  It can kill the transaction. It usually does so because of some internal logical
error that can be corrected only by rewriting the application program, or because
the input was bad, or because the desired data were not found in the database.

Concurrent Executions:
Multiple transactions are allowed to run concurrently in the
system. Advantages are:
increased processor and disk utilization, leading to better transaction
throughput: one transaction can be using the CPU while another is reading
from or writing to the disk
reduced average response time for transactions: short transactions need not
wait behind long ones.
Concurrency control schemes – mechanisms to achieve isolation, i.e., to control the
interaction among the concurrent transactions in order to prevent them from
destroying the consistency of the database
Schedules
Schedules – sequences that indicate the chronological order in which instructions of
concurrent transactions are executed
🟊 a schedule for a set of transactions must consist of all instructions of those
transactions
🟊 must preserve the order in which the instructions appear in each individual
transaction
Example Schedules
Let T1 transfer $50 from A to B, and T2 transfer 10% of the balance from A to B. The
following is a serial schedule (Schedule 1 in the text), in which T1 is followed by T2.

Let T1 and T2 be the transactions defined previously. The following schedule

(Schedule 3 in the text) is not a serial schedule, but it is equivalent to Schedule 1.
In both Schedule 1 and 3, the sum A + B is preserved.

Serializability:
 Basic Assumption – Each transaction preserves database consistency.
 Thus serial execution of a set of transactions preserves database consistency.
 A (possibly concurrent) schedule is serializable if it is equivalent to a serial
schedule. Different forms of schedule equivalence give rise to the notions of:
o conflict serializability
o view serializability
 We ignore operations other than read and write instructions, and we assume that
transactions may perform arbitrary computations on data in local buffers in
between reads and writes. Our simplified schedules consist of only read and
write instructions.
Conflict Serializability
 Instructions li and lj of transactions Ti and Tj respectively, conflict if and only if
there exists some item Q accessed by both li and lj, and at least one of these
instructions wrote Q.
o li = read(Q), lj = read(Q). li and lj don’t conflict.
o li = read(Q), lj = write(Q). They conflict.
o li = write(Q), lj = read(Q). They conflict
o li = write(Q), lj = write(Q). They conflict
 Intuitively, a conflict between li and lj forces a (logical) temporal order between
them. If li and lj are consecutive in a schedule and they do not conflict, their
results would remain the same even if they had been interchanged in the schedule.
 If a schedule S can be transformed into a schedule S´ by a series of swaps of non-
conflicting instructions, we say that S and S´ are conflict equivalent.
 We say that a schedule S is conflict serializable if it is conflict equivalent to a
serial schedule
 Example of a schedule that is not conflict serializable:
T3 T4
read(Q)
write(Q)
write(Q)

We are unable to swap instructions in the above schedule to obtain either the serial
schedule < T3, T4 >, or the serial schedule < T4, T3 >.
  Schedule 3 below can be transformed into Schedule 1, a serial schedule where
T2 follows T1, by series of swaps of non-conflicting instructions. Therefore
Schedule 3 is conflict serializable.

View Serializability
Let S and S´ be two schedules with the same set of transactions. S and S´ are view
equivalent if the following three conditions are met:
1. For each data item Q, if transaction Ti reads the initial value of Q
in schedule S, then transaction Ti must, in schedule S´, also read
the initial value of Q.
2. For each data item Q if transaction Ti executes read(Q) in
schedule S, and that value was produced by transaction Tj (if any),
then transaction Ti must in schedule S´ also read the value of Q
that was produced by transaction Tj .
3. For each data item Q, the transaction (if any) that performs the
final write(Q) operation in schedule S must perform the final
write(Q) operation in schedule S´.
As can be seen, view equivalence is also based purely on reads and writes alone.
 A schedule S is view serializable it is view equivalent to a serial
schedule.
 Every conflict serializable schedule is also view serializable.
 Schedule 9 (from text) — a schedule which is view-serializable but not
conflict serializable.

 Every view serializable schedule that is not

conflict serializable has blind writes.
Cascading rollback – a single transaction failure leads to a series of transaction
rollbacks. Consider the following schedule where none of the transactions has
yet committed (so the schedule is recoverable)

If T10 fails, T11 and T12 must also be rolled back.

Can lead to the undoing of a significant amount of work
Concurrency Control

 Lock-Based Protocols
 Timestamp-Based Protocols
 Validation-Based Protocols
 Multiple Granularity
 Multiversion Schemes
 Deadlock Handling
Lock-Based Protocols
 A lock is a mechanism to control concurrent access to a data item
 Data items can be locked in two modes :
o exclusive (X) mode. Data item can be both read as well as written. X-lock
is requested using lock-X instruction.
o shared (S) mode. Data item can only be read. S-lock is requested using
lock-S instruction.
 Lock requests are made to concurrency-control manager. Transaction can proceed
only after request is granted.
 Lock-compatibility matrix




 A transaction may be granted a lock on an item if the requested lock is compatible
with locks already held on the item by other transactions
 Any number of transactions can hold shared locks on an item, but if any
transaction holds an exclusive on the item no other transaction may hold any lock
on the item.
 If a lock cannot be granted, the requesting transaction is made to wait till all
incompatible locks held by other transactions have been released. The lock is
then granted.
 Example of a transaction performing locking:
T2: lock-S(A);
read (A);
unlock(A);
lock-S(B);
read (B);
unlock(B);
display(A+B)
 Locking as above is not sufficient to guarantee serializability — if A and B get
updated in-between the read of A and B, the displayed sum would be wrong.
  A locking protocol is a set of rules followed by all transactions while requesting
and releasing locks. Locking protocols restrict the set of possible schedules.

Pitfalls of Lock-Based Protocols:

 Consider the partial schedule

 Neither T3 nor T4 can make progress — executing lock-S(B) causes T4 to wait

for T3 to release its lock on B, while executing lock-X(A) causes T3 to wait for
T4 to release its lock on A.
 Such a situation is called a deadlock.
o To handle a deadlock one of T3 or T4 must be rolled
back and its locks released.
The Two-Phase Locking Protocol

One protocol that ensures serializability is the two-phase locking protocol. This protocol
requires that each transaction issue lock and unlock requests in two phases:
1. Growing phase. A transaction may obtain locks, but may not release any lock.
2. Shrinking phase. A transaction may release locks, but may not obtain
any new locks.
Initially, a transaction is in the growing phase. The transaction acquires locks as
needed. Once the transaction releases a lock, it enters the shrinking phase, and
it can issue no more lock requests.
For example, transactions T3 and T4 are two phase. On the other hand, transactions
T1 and T2 are not two phase. Note that the unlock instructions do not need to appear
at the end of the transaction. For example, in the case of transaction T3, we could
move the unlock(B) instruction to just after the lock-X(A) instruction, and still retain
the two-phase locking property.

Cascading rollbacks can be avoided by a modification of two-phase locking called the

strict two-phase locking protocol. This protocol requires not only that locking be two
phase, but also that all exclusive-mode locks taken by a transaction be held until that
transaction commits. This requirement ensures that any data written by an uncommitted
transaction are locked in exclusive mode until the transaction commits, preventing any
other transaction from reading the data.

Timestamp-Based Protocols

Timestamps:

With each transaction Ti in the system, we associate a unique fixed timestamp, denoted
by TS(Ti). This timestamp is assigned by the database system before the transaction Ti
starts execution. If a transaction Ti has been assigned timestamp TS(Ti), and a new
transaction Tj enters the system, then TS(Ti) < TS(Tj ). There are two simple methods for
implementing this scheme:
1. Use the value of the system clock as the timestamp; that is, a transaction’s
timestampis equal to the value of the clock when the transaction enters the
system.
2. Use a logical counter that is incremented after a new timestamp has been
assigned; that is, a transaction’s timestamp is equal to the value of the counter
When the transaction enters the system.
The timestamps of the transactions determine the serializability order. Thus, if
TS(Ti) < TS(Tj ), then the system must ensure that the produced schedule is equivalent
to a serial schedule in which transaction Ti appears before transaction Tj .
To implement this scheme, we associate with each data item Q two
timestamp values:
• W-timestamp(Q) denotes the largest timestamp of any transaction that
executed write(Q) successfully.
• R-timestamp(Q) denotes the largest timestamp of any transaction that
executed read(Q) successfully.
These timestamps are updated whenever a new read(Q) or write(Q) instruction
is executed.

The Timestamp-Ordering Protocol:

The timestamp-ordering protocol ensures that any conflicting read and write operations
are executed in timestamp order. This protocol operates as follows:
1. Suppose that transaction Ti issues read(Q).
 If TS(Ti) < W-timestamp(Q), then Ti needs to read a value of Q that was
already overwritten. Hence, the read operation is rejected, and Ti is rolled
back.
 If TS(Ti) ≥ W-timestamp(Q), then the read operation is executed, and
Rtimestamp(Q) is set to the maximum of R-timestamp(Q) and TS(Ti).
2. Suppose that transaction Ti issues write(Q).
o If TS(Ti) < R-timestamp(Q), then the value of Q that Ti is producing was
needed previously, and the system assumed that that value would never be
produced. Hence, the system rejects the write operation and rolls Ti back.
o If TS(Ti) < W-timestamp(Q), then Ti is attempting to write an obsolete
value of Q. Hence, the system rejects this write operation and rolls Ti
back. Otherwise, the system executes the write operation and sets W-
timestamp( Q) to TS(Ti).
o
 Deadlock Handling
System is deadlocked if there is a set of transactions such
that every transaction in the set is waiting for another
transaction in the set.
Deadlock prevention protocols ensure that the system will never
enter into a deadlock state. Some prevention strategies :
Require that each transaction locks all its data items before
it begins execution (predeclaration).
Impose partial ordering of all data items and require that a
transaction can lock data items only in the order
specified by the partial order (graph-based protocol).

Deadlock Handling

Consider the following two transactions:

T1: write (X) T2: write(Y)
write(Y)

write(X) Schedule with deadlock

T T

lock-X on
X
write (X) lock-X on Y
write (X)
wait for lock-X on
wait for lock-X on X
 Following schemes use transaction timestamps for the
sake of deadlock prevention alone.

1. The wait–die scheme is a non preemptive technique. When

transaction Ti requests
a data item currently held by Tj , Ti is allowed to wait only if it has a
timestamp smaller than that of Tj (that is, Ti is older than Tj ).
Otherwise, Ti is rolled back (dies).
For example, suppose that transactions T22, T23, and T24 have
timestamps 5, 10, and 15, respectively. If T22 requests a data item
held
wait.by T23,requests
If T24 then T22a will
data item held by T23, then T24 will be rolled
back.
2 There are, however, significant differences in the way that the It
two
schemes w.operate.
The wound–wait scheme is a preemptive technique. is a
counterpart to the ait–die scheme. When transaction Ti requests a
◼ In the wait–die scheme, an older transaction must wait for a younger one
datatoitem currently held by Tj , Ti is allowed to wait only if it has a
timestamp
release its data larger than that
item. Thus, the of Tj (that
older is, Ti is younger
the transaction gets,than
the Tj ). it
more
tends Otherwise,
to wait. o TjBy is rolled back in
contrast, (Tj the
is wounded by Ti). scheme,
wound–wait Returningan to ur
older
example,
transaction withwaits
never transactions T22, T23,
for a h younger and T24, if T22 requests a
transaction.
◼ In the wait–die scheme, if a transaction Ti dies and is rolled back because
it
requested a data item held by transaction Tj, then Ti may reissue the
same sequence of requests when it is restarted. If the data item is still
held by Tj , then Ti will die again. Thus, Ti may die several times
before acquiring the needed data item. Contrast this series of events
with what happens in the wound–wait scheme. Transaction Ti is wounded
and rolled back because Tj requested a data item that it holds. When Ti is
restarted and requests the data item now being held by Tj , Ti waits.
Thus, there may be fewer rollbacks in the wound–wait scheme.
The major problem with both of these schemes is that unnecessary
rollbacks may occur.

□ Timeout-Based Schemes :
🟉 a transaction waits for a lock only for a specified amount
of time. After that, the wait times out and the transaction is
rolled back.
🟉 thus deadlocks are not possible
🟉 simple to implement; but starvation is possible. Also
difficult to determine good value of the timeout interval.
 Deadlock Detection (Cont.)

Wait-for graph without a cycle Wait-for graph with a cycle

 Deadlock Detection

Deadlocks can be described as a wait-for graph, which consists

of a pair G = (V,E),
V is a set of vertices (all the transactions in the system)
E is a set of edges; each element is an ordered pair Ti Tj.
If Ti  Tj is in E, then there is a directed edge from Ti to Tj,
implying that Ti is waiting for Tj to release a data item.
When Ti requests a data item currently being held by Tj,
then the edge Ti Tj is inserted in the wait-for graph.
This edge is removed only when Tj is no longer holding
a data item needed by Ti.
The system is in a deadlock state if and only if the wait-for
graph has a cycle. Must invoke a deadlock-detection
algorithm periodically to look for cycles.
Recovery from Deadlock:

When a detection algorithm determines that a deadlock exists, the system must recover
from the deadlock. The most common solution is to roll back one or more transactions to
break the
deadlock. Three actions need to be taken:
1. Selection of a victim. Given a set of deadlocked transactions, we must determine
which transaction (or transactions) to roll back to break the deadlock. We should roll
back those transactions that will incur the minimum cost. Unfortunately, the term
minimum cost is not a precise one. Many factors may determine the cost of a rollback,
including
a. How long the transaction has computed, and how much longer the
transaction will compute before it completes its designated task.
b. How many data items the transaction has used.
c. How many more data items the transaction needs for it to complete.
d. How many transactions will be involved in the rollback.
2. Rollback. Once we have decided that a particular transaction must be rolled back, we
must determine how far this transaction should be rolled back. The simplest solution is a
total rollback: Abort the transaction and then restart it. However, it is more effective to
roll back the transaction only as far as necessary to break the deadlock. Such partial
rollback requires the system to maintain additional information about the state of all the
running transactions. Specially, the sequence of lock requests/grants and updates
performed by the transaction needs to be recorded. The deadlock detection mechanism
should decide which locks the selected transaction needs to release in order to break the
deadlock. The selected transaction must be rolled back to the point where it obtained the
.rst of these locks, undoing all actions it took after that point. The recovery mechanism
must be capable of performing such partial rollbacks. Furthermore, the transactions must
be capable of resuming execution after a partial rollback. See the bibliographical notes
for relevant references.
3. Starvation. In a system where the selection of victims is based primarily on cost
factors, it may happen that the same transaction is always picked as a victim. As a result,
this transaction never completes its designated task, thus there is starvation. We must
ensure that transaction can be picked as a victim only a (small) .nite number of times. The
most common solution is to include the number of rollbacks in the cost factor.