o The transaction is put into undo state if the recovery system sees a log with <Tn,

Start> but no commit or abort log found. In the undo-list, all the transactions are
undone, and their logs are removed.
o For example: Transaction T4 will have <Tn, Start>. So T4 will be put into undo list
since this transaction is not yet complete and failed amid.

INDEXING TECHNIQUES:

B+ Tree

o The B+ tree is a balanced binary search tree. It follows a multi-level index format.
o In the B+ tree, leaf nodes denote actual data pointers. B+ tree ensures that all leaf
nodes remain at the same height.
o In the B+ tree, the leaf nodes are linked using a link list. Therefore, a B+ tree can
support random access as well as sequential access.

Structure of B+ Tree

o In the B+ tree, every leaf node is at equal distance from the root node. The B+ tree is
of the order n where n is fixed for every B+ tree.
o It contains an internal node and leaf node.

Internal node

o An internal node of the B+ tree can contain at least n/2 record pointers except the root
node.
o At most, an internal node of the tree contains n pointers.

Leaf node
 o The leaf node of the B+ tree can contain at least n/2 record pointers and n/2 key
values.
o At most, a leaf node contains n record pointer and n key values.
o Every leaf node of the B+ tree contains one block pointer P to point to next leaf node.

Searching a record in B+ Tree

Suppose we have to search 55 in the below B+ tree structure. First, we will fetch for the
intermediary node which will direct to the leaf node that can contain a record for 55.

So, in the intermediary node, we will find a branch between 50 and 75 nodes. Then at the
end, we will be redirected to the third leaf node. Here DBMS will perform a sequential search
to find 55.

B+ Tree Insertion

Suppose we want to insert a record 60 in the below structure. It will go to the 3rd leaf node
after 55. It is a balanced tree, and a leaf node of this tree is already full, so we cannot insert
60 there.

In this case, we have to split the leaf node, so that it can be inserted into tree without affecting
the fill factor, balance and order.

The 3rd leaf node has the values (50, 55, 60, 65, 70) and its current root node is 50. We will
split the leaf node of the tree in the middle so that its balance is not altered. So we can group
(50, 55) and (60, 65, 70) into 2 leaf nodes.
If these two has to be leaf nodes, the intermediate node cannot branch from 50. It should have
60 added to it, and then we can have pointers to a new leaf node.

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This is how we can insert an entry when there is overflow. In a normal scenario, it is very
easy to find the node where it fits and then place it in that leaf node.

B+ Tree Deletion

Suppose we want to delete 60 from the above example. In this case, we have to remove 60
from the intermediate node as well as from the 4th leaf node too. If we remove it from the
intermediate node, then the tree will not satisfy the rule of the B+ tree. So we need to modify
it to have a balanced tree.

After deleting node 60 from above B+ tree and re-arranging the nodes, it will show as
follows:

File Organization

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

Objective of file organization

o It contains an optimal selection of records, i.e., records can be selected as fast as

possible.
o To perform insert, delete or update transaction on the records should be quick and
easy.
o The duplicate records cannot be induced as a result of insert, update or delete.
o For the minimal cost of storage, records should be stored efficiently.

Types of file organization:

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

Types of file organization are as follows:

o Sequential file organization

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

Sequential File Organization

This method is the easiest method for file organization. In this method, files are stored
sequentially. This method can be implemented in two ways:

1. Pile File Method:

o It is a quite simple method. In this method, we store the record in a sequence, i.e., one
after another. Here, the record will be inserted in the order in which they are inserted
into tables.
o In case of updating or deleting of any record, the record will be searched in the
memory blocks. When it is found, then it will be marked for deleting, and the new
record is inserted.

Insertion of the new record:

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

2. Sorted File Method:

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

Insertion of the new record:

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

Pros of sequential file organization

o It contains a fast and efficient method for the huge amount of data.
o In this method, files can be easily stored in cheaper storage mechanism like magnetic
tapes.
o It is simple in design. It requires no much effort to store the data.
 o This method is used when most of the records have to be accessed like grade
calculation of a student, generating the salary slip, etc.
o This method is used for report generation or statistical calculations.

Cons of sequential file organization

o It will waste time as we cannot jump on a particular record that is required but we
have to move sequentially which takes our time.
o Sorted file method takes more time and space for sorting the records.

Heap file organization

o It is the simplest and most basic type of organization. It works with data blocks. In
heap file organization, the records are inserted at the file's end. When the records are
inserted, it doesn't require the sorting and ordering of records.
o When the data block is full, the new record is stored in some other block. This new
data block need not to be the very next data block, but it can select any data block in
the memory to store new records. The heap file is also known as an unordered file.
o In the file, every record has a unique id, and every page in a file is of the same size. It
is the DBMS responsibility to store and manage the new records.

Insertion of a new record

Suppose we have five records R1, R3, R6, R4 and R5 in a heap and suppose we want to insert
a new record R2 in a heap. If the data block 3 is full then it will be inserted in any of the
database selected by the DBMS, let's say data block 1.

If we want to search, update or delete the data in heap file organization, then we need to
traverse the data from staring of the file till we get the requested record.

If the database is very large then searching, updating or deleting of record will be time-
consuming because there is no sorting or ordering of records. In the heap file organization,
we need to check all the data until we get the requested record.

Pros of Heap file organization

o It is a very good method of file organization for bulk insertion. If there is a large
number of data which needs to load into the database at a time, then this method is
best suited.
o In case of a small database, fetching and retrieving of records is faster than the
sequential record.

Cons of Heap file organization

o This method is inefficient for the large database because it takes time to search or
modify the record.
o
 o This method is inefficient for large databases.

Hash File Organization

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

When a record has to be received using the hash key columns, then the address is generated,
and the whole record is retrieved using that address. In the same way, when a new record has
to be inserted, then the address is generated using the hash key and record is directly inserted.
The same process is applied in the case of delete and update.

In this method, there is no effort for searching and sorting the entire file. In this method, each
record will be stored randomly in the memory.
Indexed sequential access method (ISAM)

ISAM method is an advanced sequential file organization. In this method, records are stored
in the file using the primary key. An index value is generated for each primary key and
mapped with the record. This index contains the address of the record in the file.
If any record has to be retrieved based on its index value, then the address of the data block is
fetched and the record is retrieved from the memory.

Pros of ISAM:

o In this method, each record has the address of its data block, searching a record in a
huge database is quick and easy.
o This method supports range retrieval and partial retrieval of records. Since the index
is based on the primary key values, we can retrieve the data for the given range of
value. In the same way, the partial value can also be easily searched, i.e., the student
name starting with 'JA' can be easily searched.

Cons of ISAM

o This method requires extra space in the disk to store the index value.
o When the new records are inserted, then these files have to be reconstructed to
maintain the sequence.
o When the record is deleted, then the space used by it needs to be released. Otherwise,
the performance of the database will slow down.

Cluster file organization

o When the two or more records are stored in the same file, it is known as clusters.
These files will have two or more tables in the same data block, and key attributes
which are used to map these tables together are stored only once.
o This method reduces the cost of searching for various records in different files.
o The cluster file organization is used when there is a frequent need for joining the
tables with the same condition. These joins will give only a few records from both
tables. In the given example, we are retrieving the record for only particular
departments. This method can't be used to retrieve the record for the entire
department.
In this method, we can directly insert, update or delete any record. Data is sorted based on the
key with which searching is done. Cluster key is a type of key with which joining of the table
is performed.

Types of Cluster file organization:

Cluster file organization is of two types:

1. Indexed Clusters:

In indexed cluster, records are grouped based on the cluster key and stored together. The
above EMPLOYEE and DEPARTMENT relationship is an example of an indexed cluster.
Here, all the records are grouped based on the cluster key- DEP_ID and all the records are
grouped.

2. Hash Clusters:
It is similar to the indexed cluster. In hash cluster, instead of storing the records based on the
cluster key, we generate the value of the hash key for the cluster key and store the records
with the same hash key value.

Pros of Cluster file organization

o The cluster file organization is used when there is a frequent request for joining the
tables with same joining condition.
o It provides the efficient result when there is a 1:M mapping between the tables.

Cons of Cluster file organization

o This method has the low performance for the very large database.
o If there is any change in joining condition, then this method cannot use. If we change
the condition of joining then traversing the file takes a lot of time.
o This method is not suitable for a table with a 1:1 condition.

Indexing in DBMS

o Indexing is used to optimize the performance of a database by minimizing the number

of disk accesses required when a query is processed.
o The index is a type of data structure. It is used to locate and access the data in a
database table quickly.

Index structure:

Indexes can be created using some database columns.

o The first column of the database is the search key that contains a copy of the primary
key or candidate key of the table. The values of the primary key are stored in sorted
order so that the corresponding data can be accessed easily.
o The second column of the database is the data reference. It contains a set of pointers
holding the address of the disk block where the value of the particular key can be
found.
Indexing Methods

Ordered indices

The indices are usually sorted to make searching faster. The indices which are sorted are
known as ordered indices.

Example: Suppose we have an employee table with thousands of record and each of which is
10 bytes long. If their IDs start with 1, 2, 3....and so on and we have to search student with
ID-543.

o In the case of a database with no index, we have to search the disk block from starting
till it reaches 543. The DBMS will read the record after reading 543*10=5430 bytes.
o In the case of an index, we will search using indexes and the DBMS will read the
record after reading 542*2= 1084 bytes which are very less compared to the previous
case.

Primary Index

o If the index is created on the basis of the primary key of the table, then it is known as
primary indexing. These primary keys are unique to each record and contain 1:1
relation between the records.
o As primary keys are stored in sorted order, the performance of the searching operation
is quite efficient.
o The primary index can be classified into two types: Dense index and Sparse index.

Dense index
 o The dense index contains an index record for every search key value in the data file. It
makes searching faster.
o In this, the number of records in the index table is same as the number of records in
the main table.
o It needs more space to store index record itself. The index records have the search key
and a pointer to the actual record on the disk.

Sparse index

o In the data file, index record appears only for a few items. Each item points to a block.
o In this, instead of pointing to each record in the main table, the index points to the
records in the main table in a gap.

Clustering Index

o A clustered index can be defined as an ordered data file. Sometimes the index is
created on non-primary key columns which may not be unique for each record.
o In this case, to identify the record faster, we will group two or more columns to get
the unique value and create index out of them. This method is called a clustering
index.
o The records which have similar characteristics are grouped, and indexes are created
for these group.

Example: suppose a company contains several employees in each department. Suppose we

use a clustering index, where all employees which belong to the same Dept_ID are
considered within a single cluster, and index pointers point to the cluster as a whole. Here
Dept_Id is a non-unique key.

The previous schema is little confusing because one disk block is shared by records which
belong to the different cluster. If we use separate disk block for separate clusters, then it is
called better technique.
Secondary Index

In the sparse indexing, as the size of the table grows, the size of mapping also grows. These
mappings are usually kept in the primary memory so that address fetch should be faster. Then
the secondary memory searches the actual data based on the address got from mapping. If the
mapping size grows then fetching the address itself becomes slower. In this case, the sparse
index will not be efficient. To overcome this problem, secondary indexing is introduced.

In secondary indexing, to reduce the size of mapping, another level of indexing is introduced.
In this method, the huge range for the columns is selected initially so that the mapping size of
the first level becomes small. Then each range is further divided into smaller ranges. The
mapping of the first level is stored in the primary memory, so that address fetch is faster. The
mapping of the second level and actual data are stored in the secondary memory (hard disk).
For example:

o If you want to find the record of roll 111 in the diagram, then it will search the highest
entry which is smaller than or equal to 111 in the first level index. It will get 100 at
this level.
o Then in the second index level, again it does max (111) <= 111 and gets 110. Now
using the address 110, it goes to the data block and starts searching each record till it
gets 111.
o This is how a search is performed in this method. Inserting, updating or deleting is
also done in the same manner.

Hashing

In a huge database structure, it is very inefficient to search all the index values and reach the
desired data. Hashing technique is used to calculate the direct location of a data record on the
disk without using index structure.

In this technique, data is stored at the data blocks whose address is generated by using the
hashing function. The memory location where these records are stored is known as data
bucket or data blocks.
In this, a hash function can choose any of the column value to generate the address. Most of
the time, the hash function uses the primary key to generate the address of the data block. A
hash function is a simple mathematical function to any complex mathematical function. We
can even consider the primary key itself as the address of the data block. That means each
row whose address will be the same as a primary key stored in the data block.

The above diagram shows data block addresses same as primary key value. This hash
function can also be a simple mathematical function like exponential, mod, cos, sin, etc.
Suppose we have mod (5) hash function to determine the address of the data block. In this
case, it applies mod (5) hash function on the primary keys and generates 3, 3, 1, 4 and 2
respectively, and records are stored in those data block addresses.
Types of Hashing:

o Static Hashing
o Dynamic Hashing

Static Hashing

In static hashing, the resultant data bucket address will always be the same. That means if we
generate an address for EMP_ID =103 using the hash function mod (5) then it will always
result in same bucket address 3. Here, there will be no change in the bucket address.

Hence in this static hashing, the number of data buckets in memory remains constant
throughout. In this example, we will have five data buckets in the memory used to store the
data.
Operations of Static Hashing

o Searching a record

When a record needs to be searched, then the same hash function retrieves the address of the
bucket where the data is stored.

o Insert a Record

When a new record is inserted into the table, then we will generate an address for a new
record based on the hash key and record is stored in that location.

o Delete a Record

To delete a record, we will first fetch the record which is supposed to be deleted. Then we
will delete the records for that address in memory.

o Update a Record

To update a record, we will first search it using a hash function, and then the data record is
updated.

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If we want to insert some new record into the file but the address of a data bucket generated
by the hash function is not empty, or data already exists in that address. This situation in the
static hashing is known as bucket overflow. This is a critical situation in this method.
To overcome this situation, there are various methods. Some commonly used methods are as
follows:

1. Open Hashing

When a hash function generates an address at which data is already stored, then the next
bucket will be allocated to it. This mechanism is called as Linear Probing.

For example: suppose R3 is a new address which needs to be inserted, the hash function
generates address as 112 for R3. But the generated address is already full. So the system
searches next available data bucket, 113 and assigns R3 to it.

2. Close Hashing

When buckets are full, then a new data bucket is allocated for the same hash result and is
linked after the previous one. This mechanism is known as Overflow chaining.

For example: Suppose R3 is a new address which needs to be inserted into the table, the
hash function generates address as 110 for it. But this bucket is full to store the new data. In
this case, a new bucket is inserted at the end of 110 buckets and is linked to it.
Dynamic Hashing

o The dynamic hashing method is used to overcome the problems of static hashing like
bucket overflow.
o In this method, data buckets grow or shrink as the records increases or decreases. This
method is also known as Extendable hashing method.
o This method makes hashing dynamic, i.e., it allows insertion or deletion without
resulting in poor performance.

How to search a key

o First, calculate the hash address of the key.

o Check how many bits are used in the directory, and these bits are called as i.
o Take the least significant i bits of the hash address. This gives an index of the
directory.
o Now using the index, go to the directory and find bucket address where the record
might be.

How to insert a new record

o Firstly, you have to follow the same procedure for retrieval, ending up in some
bucket.
o If there is still space in that bucket, then place the record in it.
o If the bucket is full, then we will split the bucket and redistribute the records.

For example:
Consider the following grouping of keys into buckets, depending on the prefix of their hash
address:

The last two bits of 2 and 4 are 00. So it will go into bucket B0. The last two bits of 5 and 6
are 01, so it will go into bucket B1. The last two bits of 1 and 3 are 10, so it will go into
bucket B2. The last two bits of 7 are 11, so it will go into B3.

Insert key 9 with hash address 10001 into the above structure:

o Since key 9 has hash address 10001, it must go into the first bucket. But bucket B1 is
full, so it will get split.
o The splitting will separate 5, 9 from 6 since last three bits of 5, 9 are 001, so it will go
into bucket B1, and the last three bits of 6 are 101, so it will go into bucket B5.
o Keys 2 and 4 are still in B0. The record in B0 pointed by the 000 and 100 entry
because last two bits of both the entry are 00.
o Keys 1 and 3 are still in B2. The record in B2 pointed by the 010 and 110 entry
because last two bits of both the entry are 10.
 o Key 7 are still in B3. The record in B3 pointed by the 111 and 011 entry because last
two bits of both the entry are 11.

Advantages of dynamic hashing

o In this method, the performance does not decrease as the data grows in the system. It
simply increases the size of memory to accommodate the data.
o In this method, memory is well utilized as it grows and shrinks with the data. There
will not be any unused memory lying.
o This method is good for the dynamic database where data grows and shrinks
frequently.

Disadvantages of dynamic hashing

o In this method, if the data size increases then the bucket size is also increased. These
addresses of data will be maintained in the bucket address table. This is because the
data address will keep changing as buckets grow and shrink. If there is a huge
increase in data, maintaining the bucket address table becomes tedious.
o In this case, the bucket overflow situation will also occur. But it might take little time
to reach this situation than static hashing.