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Schema refinement Problems Caused by redundancy Storing the same information redundantly, that is, in more than one place within a database, can lead to several problems: Redundant storage: Some information is stored repeatedly. Update anomalies: If one copy of such repeated data is updated, an inconsistency is created unless all copies are similarly updated. Insertion anomalies: It may not be possible to store some information unless some other information is stored as well. Deletion anomalies: It may not be possible to delete some information without losing some other information as well. Consider a relation obtained by translating a variant of the Hourly Emps entity set Ex: Hourly Emps(ssn, name, lot, rating, hourly wages, hours worked) The key for Hourly Emps is ssn. In addition, suppose that the hourly wages attribute is determined by the rating attribute. That is, for a given rating value, there is only one permissible hourly wages value. This IC is an example of a functional dependency. It leads to possible redundancy in the relation Hourly Emps Decompositions Intuitively, redundancy arises when a relational schema forces an association between attributes that is not natural. Functional dependencies (ICs) can be used to identify such situations and to suggest revetments to the schema. The essential idea is that many problems arising from redundancy can be addressed by replacing a relation with a collection of smaller relations. Each of the smaller relations contains a subset of the attributes of the original relation. This process is referred to as decomposition of the larger relation into the smaller relations We can deal with the redundancy in Hourly Emps by decomposing it into two relations: Hourly Emps2(ssn, name, lot, rating, hours worked) Wages(rating, hourly wages) Rating 8 5 hourly wages 10 7

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ssn 123-22-3666 231-31-5368 131-24-3650 434-26-3751 612-67-4134

Name Attishoo Smiley Smethurst Guldu Madayan

lot 48 22 35 35 35

rating 8 8 5 5 8

hours worked 40 30 30 32 40

Problem related to decomposition Unless we are careful, decomposing a relation schema can create more problems than it solves.

Two important questions must be asked repeatedly: 1. Do we need to decompose a relation? 2. What problems (if any) does a given decomposition cause? To help with the first question, several normal forms have been proposed for relations. If a relation schema is in one of these normal forms, we know that certain kinds of problems cannot arise.

Functional Dependencies

A functional dependency (FD) is a kind of IC that generalizes the concept of a key.

A functional dependency X Y holds over relation R if, for every allowable instance r of R: t1 r, t2 r, X (t1) = X (t2) implies Y (t1) = Y (t2) i.e., given two tuples in r, if the X values agree, then the Y values must also agree. (X and Y are sets of attributes.) An FD is a statement about all allowable relations. Must be identified based on semantics of application. Given some allowable instance r1 of R, we can check if it violates some FD f, but we cannot tell if f holds over R! K is a candidate key for R means that K R However, K R does not require K to be minimal!

Example: Constraints on Entity Set Consider relation obtained from Hourly_Emps: Hourly_Emps (ssn, name, lot, rating, hrly_wages, hrs_worked) Notation: We will denote this relation schema by listing the attributes: SNLRWH
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This is really the set of attributes {S,N,L,R,W,H}. Sometimes, we will refer to all attributes of a relation by using the relation name. (e.g., Hourly_Emps for SNLRWH) Some FDs on Hourly_Emps: ssn is the key: S SNLRWH rating determines hrly_wages: R W
R 8 5 W 10 7

S 1 2 3 -2 2 -3 6 6 6 2 3 1 -3 1 -5 3 6 8 1 3 1 -2 4 -3 6 5 0 4 3 4 -2 6 -3 7 5 1 6 1 2 -6 7 -4 1 3 4

N A ttis h o o S m ile y S m e th u r s t G u ld u M ad ayan

L 48 22 35 35 35

R 8 8 5 5 8

H 40 30 30 32 40

S 1 2 3 -2 2 -3 6 6 6 2 3 1 -3 1 -5 3 6 8 1 3 1 -2 4 -3 6 5 0 4 3 4 -2 6 -3 7 5 1 6 1 2 -6 7 -4 1 3 4

N A ttis h o o S m ile y S m e th u rs t G u ld u M adayan

L 48 22 35 35 35

R 8 8 5 5 8

W 10 10 7 7 10

H 40 30 30 32 40

Problems due to R W : Update anomaly: Can we change W in just the 1st tuple of SNLRWH? Insertion anomaly: What if we want to insert an employee and dont know the hourly wage for his rating? Deletion anomaly: If we delete all employees with rating 5, we lose the information about the wage for rating 5!

Constraints on a Relationship Set Suppose that we have entity sets Parts, Suppliers, and Departments, as well as a relationship set Contracts that involves all of them. We refer to the schema for Contracts as CQPSD. A contract with contract id. C species that a supplier S will supply some quantity Q of a part P to a department D. We might have a policy that a department purchases at most one part from any given supplier. Thus, if there are several contracts between the same supplier and department, we know that the same part must be involved in all of them. This constraint is an FD, DS P.

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Reasoning About FDs Given some FDs, we can usually infer additional FDs: ssndid, didlot implies ssnlot An FD f is implied by a set of FDs F if f holds whenever all FDs in F hold. F + = closure of F is the set of all FDs that are implied by F. Armstrongs Axioms (X, Y, Z are sets of attributes): Reflexivity: If X Y, then Y X Augmentation: If X Y, then XZ YZ for any Z Transitivity: If X Y and Y Z, then X Z These are sound and complete inference rules for FDs.

Additional rules (that follow from AA): Union: If XY and XZ, then XYZ Decomposition: If X YZ, then X Y and X Z Example: Contracts(cid,sid,jid,did,pid,qty,value), and C is the key: C CSJDPQV Project purchases each part using single contract: JP C Dept purchases at most one part from a supplier: S D P JPC, C CSJDPQV imply JP CSJDPQV SD P implies SDJJP SDJJP, JPCSJDPQV imply SDJ CSJDPQV Computing the closure of a set of FDs can be expensive. Typically, we just want to check if a given FD X Y is in the closure of a set of FDs F. An efficient check: Compute attribute closure of X (denoted X + ) wrt F: Set of all attributes A such that X A is in F + Check if Y is in X + Does F = {AB, B C, C DE } imply AE? + i.e, is AE in the closure F + ? Equivalently, is E in A ?

Closure of a Set of FDs The set of all FDs implied by a given set F of FDs is called the closure of F and is denoted as F+. The following three rules, called Armstrong's Axioms, can be applied repeatedly to infer all FDs implied by a set F of FDs. We use X, Y, and Z to denote sets of attributes over a relation schema R: Reflexivity: If X Y, then X Y.
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Augmentation: If X Y, then XZ YZ for any Z. Transitivity: If X Y and Y Z, then X Z. Armstrong's Axioms are sound in that they generate only FDs in F+ when applied to a set F of FDs. They are complete in that repeated application of these rules will generate all FDs in the closure F+. It is convenient to use some additional rules while reasoning about F+: Union: If X Y and X Z, then X YZ. Decomposition: If X YZ, then X Y and X Z. These additional rules are not essential; their soundness can be proved using Armstrong's Axioms.

Attribute Closure If we just want to check whether a given dependency, say, X Y, is in the closure of a set F of FDs, We can do so efficiently without computing F+. We first compute the attribute closure X+ with respect to F, which is the set of attributes A such that X A can be inferred using the Armstrong Axioms. The algorithm for computing the attribute closure of a set X of attributes is closure = X; repeat until there is no change: { if there is an FD U V in F such that U subset of closure, then set closure = closure union of V }

NORMAL FORMS The normal forms based on FDs are first normal form (1NF), second normal form (2NF), third normal form (3NF), and Boyce-Codd normal form (BCNF). These forms have increasingly restrictive requirements: Every relation in BCNF is also in 3NF, Every relation in 3NF is also in 2NF, and every relation in 2NF is in 1NF. A relation is in first normal form if every field contains only atomic values, that is, not lists or sets. This requirement is implicit in our definition of the relational model. Although some of the newer database systems are relaxing this requirement, 2NF is mainly of historical interest. 3NF and BCNF are important from a database design standpoint. If a relation is in a certain normal form (BCNF, 3NF etc.), it is known that certain kinds of problems are avoided/minimized. This can be used to help us decide whether decomposing the relation will help. Role of FDs in detecting redundancy: Consider a relation R with 3 attributes, ABC. No FDs hold: There is no redundancy here.
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Given AB: Several tuples could have the same A value, and if so, theyll all have the same B value!

FIRST Normal form 1NF (First Normal Form) a relation R is in 1NF if and only if it has only single-valued attributes (atomic values) EMP_PROJ (SSN, PNO, HOURS, ENAME, PNAME, PLOCATION) PLOCATION is not in 1NF (multi-valued attrib.) solution: decompose the relation EMP_PROJ2 (SSN, PNO, HOURS, ENAME, PNAME) LOC (PNO, PLOCATION) SECOND Normal form 2NF (Second Normal Form) a relation R in 2NF if and only if it is in 1NF and every non-key column depends on a key not a subset of a key all nonprime attributes of R must be fully functionally dependent on a whole key(s) of the relation, not a part of the key no violation: single-attribute key or no nonprime attribute 2NF (Second Normal Form) violation: part of a key non-key EMP_PROJ2 (SSN, PNO, HOURS, ENAME, PNAME) SSN ENAME PNO PNAME solution: decompose the relation EMP_PROJ3 (SSN, PNO, HOURS) EMP (SSN, ENAME) PROJ (PNO, PNAME) THIRD Normal form 3NF (Third Normal Form) a relation R in 3NF if and only if it is in 2NF and every non-key column does not depend on another non-key column all nonprime attributes of R must be non-transitively functionally dependent on a key of the relation violation: non-key non-key 3NF (Third Normal Form) SUPPLIER (SNAME, STREET, CITY, STATE, TAX) SNAME STREET, CITY, STATE
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STATE TAX (non-key non-key) SNAME STATE TAX (transitive FD)

solution: decompose the relation SUPPLIER2 (SNAME, STREET, CITY, STATE) TAXINFO (STATE, TAX) BCNF Relation R with FDs F is in BCNF if, for all X A in F + A X (called a trivial FD), or X contains a key for R. In other words, R is in BCNF if the only non-trivial FDs that hold over R, are key constraints. No dependency in R that can be predicted using FDs alone. If we are shown two tuples that agree upon the X value, we cannot infer the A value in one tuple from the A value in the other. If example relation is in BCNF, the 2 tuples must be identical (since X is a key).
X x x Y y1 y2 A a ?

Relation R with FDs F is in 3NF if, for all X A in F + A X (called a trivial FD), or X contains a key for R, or A is part of some key for R. Minimality of a key is crucial in third condition above. If R is in BCNF, obviously in 3NF. If R is in 3NF, some redundancy is possible. It is a compromise, used when BCNF is not achievable (e.g., no ``good decomposition, or performance considerations). Lossless-join, dependency-preserving decomposition of R into a collection of 3NF relations always possible.

Decomposition of a Relation Scheme Suppose that relation R contains attributes A1 ... An. A decomposition of R consists of replacing R by two or more relations such that: Each new relation scheme contains a subset of the attributes of R (and no attributes that do not appear in R), and Every attribute of R appears as an attribute of one of the new relations. Intuitively, decomposing R means we will store instances of the relation schemes produced by the decomposition, instead of instances of R. E.g., Can decompose SNLRWH into SNLRH and RW.
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Example Decompositions should be used only when needed. SNLRWH has FDs SSNLRWH and RW Second FD causes violation of 3NF; W values repeatedly associated with R values. Easiest way to fix this is to create a relation RW to store these associations, and to remove W from the main schema: i.e., we decompose SNLRWH into SNLRH and RW

Problems with Decompositions There are three potential problems to consider: Some queries become more expensive. e.g., How much did sailor Joe earn? (salary = W*H) Given instances of the decomposed relations, we may not be able to reconstruct the corresponding instance of the original relation! Fortunately, not in the SNLRWH example. Checking some dependencies may require joining the instances of the decomposed relations. Fortunately, not in the SNLRWH example. Tradeoff: Must consider these issues vs. redundancy.

Lossless join Decomposition Decomposition of R into X and Y is lossless-join w.r.t. a set of FDs F if, for every instance r that satisfies F: X (r) > Y (r) = r < It is always true that r X (r) > Y (r) < In general, the other direction does not hold. If it does, the decomposition is lossless-join. It is essential that all decompositions used to deal with redundancy be lossless! The decomposition of R into X and Y is lossless-join wrt F, if and only if the closure of F contains: X Y X, or X Y Y In particular, the decomposition of R into UV and R - V is lossless-join if U V holds over R.

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Dependency preserving Decomposition Consider CSJDPQV, C is key, JP C and SD P. BCNF decomposition: CSJDQV and SDP Problem: Checking JP C requires a join! Dependency preserving decomposition (Intuitive): If R is decomposed into X, Y and Z, and we enforce the FDs that hold on X, on Y and on Z, then all FDs that were given to hold on R must also hold. Projection of set of FDs F: If R is decomposed into X, projection of F onto X (denoted FX ) is the set of FDs U V in F+ (closure of F ) such that U, V are in X. Decomposition of R into X and Y is dependency preserving if (FX union FY ) + = F + i.e., if we consider only dependencies in the closure F + that can be checked in X without considering Y, and in Y without considering X, these imply all dependencies in F +. Important to consider F +, not F, in this definition: ABC, A B, BC, CA, decomposed into AB and BC. Dependency preserving does not imply lossless join: ABC, A B, decomposed into AB and BC.

Decomposition into BCNF Consider relation R with FDs F. If X Y violates BCNF, decompose R into R - Y and XY. Repeated application of this idea will give us a collection of relations that are in BCNF; lossless join decomposition, and guaranteed to terminate. e.g., CSJDPQV, key C, JP C, SD P, J S To deal with SD P, decompose into SDP, CSJDQV. To deal with J S, decompose CSJDQV into JS and CJDQV In general, several dependencies may cause violation of BCNF. The order in which we ``deal with them could lead to very different sets of relations!

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BCNF and Dependency Preservation In general, there may not be a dependency preserving decomposition into BCNF. e.g., CSZ, CSZ, Z C Cant decompose while preserving 1st FD; not in BCNF. Similarly, decomposition of CSJDQV into SDP, JS and CJDQV is not dependency preserving (w.r.t. the FDs JPC, SD P and J S). However, it is lossless join decomposition. In this case, adding JPC to the collection of relations gives us a dependency preserving decomposition.

Decomposition into 3NF Obviously, the algorithm for lossless join decomposition into BCNF can be used to obtain lossless join decomposition into 3NF. To ensure dependency preservation, one idea: If X Y is not preserved, add relation XY. Problem is that XY may violate 3NF. Refinement: Instead of the given set of FDs F, use a minimal cover for F.

Schema refinement in Data base Design Constraints on an Entity Set Consider the Hourly Emps relation again. The constraint that attribute ssn is a key can be expressed as an FD: { ssn } { ssn, name, lot, rating, hourly wages, hours worked} For brevity, we will write this FD as S -> SNLRWH, using a single letter to denote each attribute In addition, the constraint that the hourly wages attribute is determined by the rating attribute is an FD: RW. Identifying Attributes of Entities In particular, it shows that attributes can easily be associated with the `wrong' entity set during ER design. The ER diagram shows a relationship set called Works In that is similar to the Works In relationship set Using the key constraint, we can translate this ER diagram into two relations: Workers(ssn, name, lot, did, since)

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Identifying Entity Sets Let Reserves contain attributes S, B, and D as before, indicating that sailor S has a reservation for boat B on day D. In addition, let there be an attribute C denoting the credit card to which the reservation is charged. Suppose that every sailor uses a unique credit card for reservations. This constraint is expressed by the FD SC. This constraint indicates that in relation Reserves, we store the credit card number for a sailor as often as we have reservations for that sailor, and we have redundancy and potential update anomalies.

Multi valued Dependencies Suppose that we have a relation with attributes course, teacher, and book, which we denote as CTB. The meaning of a tuple is that teacher T can teach course C, and book B is a recommended text for the course. There are no FDs; the key is CTB. However, the recommended texts for a course are independent of the instructor.

There are three points to note here: The relation schema CTB is in BCNF; thus we would not consider decomposing it further if we looked only at the FDs that hold over CTB. There is redundancy. The fact that Green can teach Physics101 is recorded once per recommended text for the course. Similarly, the fact that Optics is a text for Physics101 is recorded once per potential teacher. The redundancy can be eliminated by decomposing CTB into CT and CB. Let R be a relation schema and let X and Y be subsets of the attributes of R. Intuitively, the multivalued dependency X Y is said to hold over R if, in every legal

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The redundancy in this example is due to the constraint that the texts for a course are independent of the instructors, which cannot be expressed in terms of FDs. This constraint is an example of a multivalued dependency, or MVD. Ideally, we should model this situation using two binary relationship sets, Instructors with attributes CT and Text with attributes CB. Because these are two essentially independent relationships, modeling them with a single ternary relationship set with attributes CTB is inappropriate.

Three of the additional rules involve only MVDs: MVD Complementation: If X Y, then X R XY MVD Augmentation: If X Y and W > Z, then WX YZ. MVD Transitivity: If X Y and Y Z, then X (Z Y ). Fourth Normal Form R is said to be in fourth normal form (4NF) if for every MVD X Y that holds over R, one of the following statements is true: Y subset of X or XY = R, or X is a super key. Join Dependencies A join dependency is a further generalization of MVDs. A join dependency (JD) { R1,.. Rn } is said to hold over a relation R if R1,. Rn is a lossless-join decomposition of R. An MVD X Y over a relation R can be expressed as the join dependency { XY,X(RY)} As an example, in the CTB relation, the MVD CT can be expressed as the join dependency { CT, CB} Unlike FDs and MVDs, there is no set of sound and complete inference rules for JDs.

Fifth Normal Form A relation schema R is said to be in fifth normal form (5NF) if for every JD { R1,. Rn } that holds over R, one of the following statements is true: Ri = R for some i, or The JD is implied by the set of those FDs over R in which the left side is a key for R. The following result, also due to Date and Fagin, identities, conditions again, detected using only FD information | under which we can safely ignore JD information. If a relation schema is in 3NF and each of its keys consists of a single attribute, it is also in 5NF.

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Inclusion Dependencies MVDs and JDs can be used to guide database design, as we have seen, although they are less common than FDs and harder to recognize and reason about. In contrast, inclusion dependencies are very intuitive and quite common. However, they typically have little influence on database design The main point to bear in mind is that we should not split groups of attributes that participate in an inclusion dependency. Most inclusion dependencies in practice are key-based, that is, involve only keys.

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