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DATABASE
SYSTEMCONCEPTS
DATABASE
SYSTEMCONCEPTS
FIFTH EDITION
^ I 1 ^ . 1 ' a I
Abraham Silberschatz
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Yale Un
Henry
Lehigb Un
S. Sud
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ffi nigher
Education
DATABASESYSTEMCONCEPTS,FIFTH EDITION
567890DOCIDOC09
ISBN: 978-0-07-295886-7
MHID: 0-07-295886-3
Publisher:Alan R. Apt
Developmental Editor: Melinda D. Bilecki
ExecutiveMarketing Manager:MichaelWeitz
Lead ProjectManager:Peggyl. Selle
Senior Production Supervisor:KaraKudronowicz
Designer:LaurieB. lanssen
Cover Designer:loAnne Schopler
(USE)Cover Image: @CraigAurnessfCorbis
Typeface:10112Palatino
IN
Printer: R. R. DonnelleyCrawfordsaille,
Silberschatz,Abraham.
Databasesystem concepts/ Avi Silberschatz,Hank Korth, S. Sudarshan.- Sth ed.
p. cm.
Includes bibliographical referencesand index.
ISBN 0-07-295886-3(hard copy: alk. paper)
1. Databasemanagement. I. Korth, Henry F. II. Sudarshan,S. [I. Title.
QA76.9.D355637 2006
005.74-dc22 2005006392
CIP
www.mhhe.com
In memoryof my fatherlosephSilberschatz
my motherVeraSilberschatz
and my grandparentsStephaand AaronRosenblum
Aai Silberschatz
Tomywife,loan
my children,
Abigailandloseph
andmyparents,HenryandFrances
HankKorth
S. Sudarshan
Preface xvii
Chapter 1 Introduction
1.1 Database-SystemApplications 1 1.9 TransactionManagement 22
1.2 Purpose of Database Systems 3 1.10 Data Mining and Analysis 23
1.3 View of Data 5 1.11 DatabaseArchitecture 24
1.4 Database Languages 9 1.1,2DatabaseUsersand Administrators
1.5 Relational Databases 11 1.13 History of DatabaseSystems 28
1.6 Database Design 1.4 1.14 Summary 30
1..7 Object-Based and Semistructured Exercises 31
Databases L9 BibliographicalNotes 32
1.8 Data Storage and Querying 20
PART1 I RELATIONALDATABASES
Chapter 3 SQL
3.1 Background 75 3.8 Complex Queries 97
3.2 DataDefinition 77 3.9 Views 99
3.3 BasicStructure of SQL Queries 80 3.10 Modification of the Database 103
3.4 SetOperations 87 3.11 |oinedRelationsx* 110
3.5 AggregateFunctions 89 3.12 Summary 115
3.6 Null Values 91 Exercises 11'6
3.7 Nested Subqueries 93 Bibliographical Notes 120
PART2 I DATABASEDESIGN
Chapter 10 XML
10.1 Motivation 395 10.6 Storageof XML Data 421,
10.2 Structure of XML Data 399 10.7 XML Applications 428
10.3 XML Document Schema 402 10.8 Summary 431.
10.4 Querying and Transformation 408 Exercises 433
10.5 Application Program Interfacesto Bibliographical Notes 436
XML 420
x Contents
PART 5 I TRANSACTIONMANAGEMENT
Chapter15 Transactions
15.1 TransactionConcept 609 15.6 Recoverability 626
15.2 TransactionState 612 15.7 Implementation of Isolation 627
15.3 Implementation of Atomicity and 15.8 Testingfor Serializability 628
Durability 61,5 15.9 Summary 630
15.4 ConcurrentExecutions 677 Exercises 632
15.5 Serializability 620 Bibliographical Notes 633
Chapter 16 ConcurrencyControl
16.1 Lock-BasedProtocols 635 16.7 Insert and DeleteOperations 664
16.2 Timestamp-BasedProtocols 648 16.8 Weak Levels of Consistency 667
16.3 Validation-BasedProtocols 651, 16.9 Concurrencyin Index Structuresx* 669
16.4 Multiple Granularity 653 16.10 Summary 673
16.5 Multiversion Schemes 656 Exercises 676
16.6 Deadlock Handling 659 Bibliographical Notes 680
Chapter 17 RecoverySystem
\7.1 Fallure Classification 683 17.7 Fallure with Loss of Nonvolatile
17.2 StorageStructure 684 Storage 702
17.3 Recoveryand Atomicity 688 17.8 Advanced RecoveryTechniques** 703
17.4 Log-BasedRecovery 689 17.9 RemoteBackup Systems 71,1,
17.5 Recoverywith Concurrent 17.10 Summary 713
Transactions 697 Exercises 716
L7.6 Buffer Management 699 Bibliographical Notes 71.8
PARTT I SYSTEMARCHITECTURE
Chapter20 Database-SystemArchitectures
20.1 CentralizedandClient-Server 20.5 NetworkTypes 801
Architectures 783 20.6 Summary 803
20.2 ServerSystemArchitectures 786 Exercises 805
20.3 Parallel Systems 790 Bibliographical Notes 807
20.4 Distributed Systems 797
PARTs I OTHERTOPICS
PART9 T CASESTUDIES
Chapter 26 PostgreSQl
26.1 Introduction 967 26.5 Storageand Indexing 988
26.2 User Interfaces 968 26.6 Query Processingand
26.3 SQLVariations and Extensions 97"1 Optimization 991
26.4 TransactionManagementin 26.7 SystemArchitecture 994
PostgreSQl 979 Bibliographical Notes 995
xiv Contents
Chapter 27 Oracle
27.L DatabaseDesign and Querying 27.6 SystemArchitecture 1'0L9
Tools 997 27.7 Replication,Distribution, and External
27.2 SQLVariations and Extensions 999 Data 1022
27.3 Storageand Indexing 1001 27.8 DatabaseAdministration Tools 1024
27.4 Query Processingand 27.9 DataMining 1025
Optimization 1010 Bibliographical Notes 1026
27.5 Consrrency Control and
Recovery 1.017
Bibliography 11"0L
Index 1129
Database management has evolved from a specialized computer application to a
central component of a modern computing environment, and, as a result, knowl-
edge about database systems has become an essential part of an education in com-
puter science. In this text, we present the fundamental concepts of database manage-
ment. These concepts include aspects of database design, database languages, and
database-system implementation.
This text is intended for a first course in databases at the junior or senior under-
graduate, or first-year graduate, level. In addition to basic material for a first course,
the text contains advanced material that can be used for course supplements, or as
introductory material for an advanced course.
We assume only a familiarity with basic data structures, computer organization,
and a high-level programming language such as Java, C, or Pascal. We present con-
cepts as intuitive descriptions, many of which are based on our running example of
a bank enterprise. Important theoretical results are covered, but formal proofs are
omitted. In place of proofs, figures and examples are used to suggest why a result is
true. Formal descriptions and proofs of theoretical results may be found in research
papers and advanced texts that are referenced in the bibliographical notes.
The fundamental concepts and algorithms covered in the book are often based
on those used in existing commercial or experimental database systems. Our aim is
to present these concepts and algorithms in a general setting that is not tied to one
particular database system. Details of particular database systems are discussed in
Part9, "Case Studies."
In this, the fifth edition of DatabaseSystemConcepts,we have retained the overall
style of the prior editions while evolving the content and organization to reflect the
changes that are occurring in the way databases are designed, managed, and used.
We have also taken into account trends in the teaching of database concepts and
made adaptations to facilitate these trends where appropriate. Before we describe the
content of the book in detail, we highlight some of the features of the fifth edition.
Preface
These changes allow students to begin writing SQL queries early in the
course, and gain familiarity with the use of database systems. This also al-
lows students to develop an intuition about database design that facilitates
the teaching of design methodology in Part 2 of the text. We have found that
students appreciate database-design issues better with this organization.
A new part (Part 2) that is devoted to database design. Part 2 of the text
contains three chapters devoted to the design of databases and database ap-
plications. We include here a chapter (Chapter 6) on the entity-relationship
model that includes all of the material from the corresponding chapter of the
fourth edition (Chapter 2), plus several significant updates. We also present in
Chapter 6 abrief overview of the process of database design. Instructors who
prefer to begin their course with the E-R model can begin with this chapter
without loss of continuity, as we have strived to avoid dependencies on any
prior chapter other than Chapter 1.
Chapter 7, on relational design, presents the material covered in Chapter 7
of the fourth edition, but does so in a new more readable style. Design con-
cepts from the E-R model are used to build an intuitive overview of relational
design issues, in advance of the presentation of the formal approach to design
using functional and multivalued dependencies and algorithmic normaliza-
tion. This chapter also includes a new section on temporal issues in database
design.
Part 2 concludes with a new chapter, Chapter 8, that describes the de-
sign and development of database applications, including Web applications,
servlets, JSP,triggers, and security issues. In keeping with the increased need
to secure software from attacks/ covelage of security has been significantly
expanded from the fourth edition.
Preface
The coverage of topics not listed above, including transaction processing (concur-
rency and recovery), storage structures, query processing, and distributed and par-
allel databases are all updated from their fourth-edition counterparts, though their
overall organization is relatively unchanged. The coverage of QBE in Chapter 5 has
been revised, removing syntactic details of aggregation and updates that do not cor-
respond to any actual implementation, while retaining the key concepts behind QBE.
Orgonizqtion
The text is organized in nine major parts, plus three appendices.
Part 9: Case Studies (Chapters 26 through 29).In this part we present case
studies of four leading database systems, including PostgreSQl, Oracle, IBM
DB2, andMicrosoft SQL Server. These chapters outline unique features of each
of these systems, and describe their internal structure. They provide a wealth
of interesting information about the respective products, and help you see
how the various implementation techniques described in earlier parts are used
in real systems. They also cover several interesting practical aspects in the de-
sign of real systems.
Online Appendices. Although most new database applications use either the
relational model or the object-relational model, the network and hierarchi-
cal data models are still in use in some legacy applications. For the benefit
of readers who wish to learn about these data models, we provide appen-
dices describing the network and hierarchical data models, in Appendices A
and B respectively; the appendices are available only online (http://www.db-
book.com).
Appendix C describes advanced relational database design, including the
theory of multivalued dependencies, join dependencies, and the project-join
and domain-key normal forms. This appendix is for the benefit of individuals
who wish to study the theory of relational database design in more detail, and
instructors who wish to do so in their courses. This appendix, too, is available
only online, on the Web page of the book.
In the fifth edition, we have divided the exercisesinto two sets:practice exercises
and exercises.The solutions for the practice exercisesare publicly available on the
Web page of the book. Students are encouraged to solve the practice exerciseson
their own, and later use the solutions on the Web page to checktheir own solutions.
Solutions to the other exercisesare available only to instructors (see "Instructor's
Note," below, for information on how to get the solutions).
Instructor'sNote
The book contains both basic and advanced material, which might not be covered in
a single semester. We have marked several sections as advanced, using the symbol
xx. These sections may be omitted if so desired, without a loss of continuity. Exercises
that are difficult (and can be omitted) are also marked using the symbol ",rx."
It is possible to design courses by using various subsets of the chapters. We outline
some of the possibilities here:
o Sections of Chapter 4 from Section 4.6 onward may be omitted from an intro-
ductory course.
o Chapter 5 can be omitted if students will not be using relational calculus, QBE
or Datalog as part of the course.
o Chapters 9 (Object-Based Databases), 10 (XML), and 74 (Query Optimization)
can be omitted from an introductory course.
o Both our coverage of transaction processing (Chapters 15 through 17) and our
coverage of database-system architecture (Chapters 20 through 22) consist of
an overview chapter (Chapters 15 and 20, respectively), followed by chap-
ters with details. You might choose to use Chapters 15 and 20, while omitting
Chapters 16, 17, 21, and 22, if you defer these latter chapters to an advanced
course.
o Chapters 18 and 19, covering data mining and information retrieval, can be
used as self-study material or omitted from an introductory course.
o Chapters 23 through 25 are suitable for an advanced course or for self-study
by students.
Model course syllabi, based on the text, can be found on the Web home page of the
book (seethe following section).
http://www db-book.com
Preface
For more information about how to get a copy of the instructor manual and the ques-
tion bank, pleasesend electronic mail to [email protected]. In the
United States,you may call800-338-3987.The McGraw-Hill Web page for this book
is
mhhe.com/siIberschatz
http://www.
Acknowledgments
This edition has benefited from the many useful comments provided to us by the
numerous students who have used the prior four editions. In addition, many people
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