Notesdbms

DBMS 15CS53
DATABASE MANAGEMENT SYSTEM

[As per Choice Based Credit System (CBCS) scheme]
(Effective from the academic year 2016 -2017)
SEMESTER – V
Subject Code 15CS53 IA Marks 20
Number of Lecture Hours/Week 4 Exam Marks 80
Total Number of Lecture Hours 50 Exam Hours 03
CREDITS – 04
Course objectives: This course will enable students to
Provide a strong foundation in database concepts, technology, and practice.
Practice SQL programming through a variety of database problems.
Demonstrate the use of concurrency and transactions in database
Design and build database applications for real world problems.
Module – 1 Teaching Hours 10

Introduction to Databases: Introduction, Characteristics of database approach, Advantages of
using the DBMS approach, History of database applications. Overview of Database Languages
and Architectures: Data Models, Schemas, and Instances. Three schema architecture and data
independence, database languages, and interfaces, The Database System environment.
Conceptual Data Modeling using Entities and Relationships: Entity types, Entity sets,
attributes, roles, and structural constraints, Weak entity types, ER diagrams, examples,
Specialization and Generalization.
Textbook 1:Ch 1.1 to 1.8, 2.1 to 2.6, 3.1 to 3.10

Relational Model: Relational Model Concepts, Relational Model Constraints and relational
database schemas, Update operations, transactions, and dealing with constraint violations.
Relational Algebra: Unary and Binary relational operations, additional relational operations
(aggregate, grouping, etc.) Examples of Queries in relational algebra. Mapping Conceptual
Design into a Logical Design: Relational Database Design using ER-to-Relational mapping.
SQL: SQL data definition and data types, specifying constraints in SQL, retrieval queries in
SQL, INSERT, DELETE, and UPDATE statements in SQL, Additional features of SQL.
Textbook 1: Ch4.1 to 4.5, 2.1 to 2.3, 6.1 to 6.5, 8.1; Textbook 2: 1.15

SQL : Advances Queries: More complex SQL retrieval queries, Specifying constraints as
assertions and action triggers, Views in SQL, Schema change statements in SQL. Database
Application Development: Accessing databases from applications, An introduction to JDBC,
JDBC classes and interfaces, SQLJ, Stored procedures, Case study: The internet Bookshop.
Internet Applications: The three-Tier application architecture, The presentation layer, The
Middle Tier
Textbook 1: Ch7.1 to 7.4; Textbook 2: 6.1 to 6.6, 7.5 to 7.7.
Dept of ISE, SJBIT Page 1

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Normalization: Database Design Theory – Introduction to Normalization using Functional and
Multivalued Dependencies: Informal design guidelines for relation schema, Functional
Dependencies, Normal Forms based on Primary Keys, Second and Third Normal Forms, Boyce-
Codd Normal Form, Multivalued Dependency and Fourth Normal Form, Join Dependencies and
Fifth Normal

Transaction Processing: Introduction to Transaction Processing, Transaction and System
concepts, Desirable properties of Transactions, Characterizing schedules based on recoverability,
Characterizing schedules based on Serializability, Transaction support in SQL. Concurrency
Control in Databases: Two-phase locking techniques for Concurrency control, Concurrency
control based on Timestamp ordering, Multiversion Concurrency control techniques, Validation
Concurrency control techniques, Granularity of Data items and Multiple Granularity Locking.
Introduction to Database Recovery Protocols: Recovery Concepts, NO-UNDO/REDO
recovery based on Deferred update, Recovery techniques based on immediate update, Shadow
paging, Database backup and recovery from catastrophic failures
Textbook 1: 20.1 to 20.6, 21.1 to 21.7, 22.1 to 22.4, 22.7.
Course outcomes: The students should be able to:

Identify, analyze and define database objects, enforce integrity constraints on a
Database using RDBMS.
Use Structured Query Language (SQL) for database manipulation.
Design and build simple database systems
Develop application to interact with databases.
Question paper pattern:

The question paper will have TEN questions.
There will be TWO questions from each module.
Each question will have questions covering all the topics under a module.
The students will have to answer FIVE full questions, selecting ONE full question from each
module.
Text Books:
1. Fundamentals of Database Systems, RamezElmasri and Shamkant B. Navathe, 7 th Edition,
2017, Pearson.
2. Database management systems, Ramakrishnan, and Gehrke, 3rd Edition, 2014, McGraw Hill
Reference Books:
1. SilberschatzKorth and Sudharshan, Database System Concepts, 6 th Edition, Mc- GrawHill,
2013.
MODULE-1

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Introduction to Database
1.1 Introduction
Database is a collection of related data. Database management system is software designed to
assist the maintenance and utilization of large scale collection of data. DBMS came into
existence in 1960 by Charles. Integrated data store which is also called as the first general
purpose DBMS. Again in 1960 IBM brought IMS-Information management system. In 1970
Edgor Codd at IBM came with new database called RDBMS. In 1980 then came SQL
Architecture- Structure Query Language. In 1980 to 1990 there were advances in DBMS e.g.
DB2, ORACLE.
Data
• Data is raw fact or figures or entity.
• When activities in the organization takes place, the effect of these activities need
to be recorded which is known as Data.
Information
• Processed data is called information
• The purpose of data processing is to generate the information required for
carrying out the business activities.
In general data management consists of following tasks

• Data capture: Which is the task associated with gathering the data as and when
they originate.
• Data classification: Captured data has to be classified based on the nature and
intended usage.
• Data storage: The segregated data has to be stored properly.
• Data arranging: It is very important to arrange the data properly
• Data retrieval: Data will be required frequently for further processing,
Hence it is very important to create some indexes so that data can be retrieved
easily.

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• Data maintenance: Maintenance is the task concerned with keeping the data upto-
date.
• Data Verification: Before storing the data it must be verified for any error.
• Data Coding: Data will be coded for easy reference.
• Data Editing: Editing means re-arranging the data or modifying the data for
presentation.
• Data transcription: This is the activity where the data is converted from one form
into another.
• Data transmission: This is a function where data is forwarded to the place where it
would be used further.
Metadata (meta data, or sometimes meta information) is "data about data", of any sort
in any media. An item of metadata may describe a collection of data including multiple
content items and hierarchical levels, for example a database schema. In data processing,
metadata is definitional data that provides information about or documentation of other
data managed within an application or environment. The term should be used with
caution as all data is about something, and is therefore metadata.
Database
• Database may be defined in simple terms as a collection of data
• A database is a collection of related data.
• The database can be of any size and of varying complexity.
• A database may be generated and maintained manually or it may be computerized.
Database Management System
• A Database Management System (DBMS) is a collection of program that enables
user to create and maintain a database.
• The DBMS is hence a general purpose software system that facilitates the process of defining
constructing and manipulating database for various applications.
1.1 Characteristics of DBMS

• To incorporate the requirements of the organization, system should be designed
for easy maintenance.

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• Information systems should allow interactive access to data to obtain new

information without writing fresh programs.
• System should be designed to co-relate different data to meet new requirements.
• An independent central repository, which gives information and meaning of
available data is required.
• Integrated database will help in understanding the inter-relationships between data
stored in different applications.
• The stored data should be made available for access by different users
simultaneously.
• Automatic recovery feature has to be provided to overcome the problems with
processing system failure.
DBMS Utilities
• A data loading utility:
Which allows easy loading of data from the external format without writing programs.
• A backup utility:
Which allows to make copies of the database periodically to help in cases of crashes and
disasters.
• Recovery utility:
Which allows to reconstruct the correct state of database from the backup and history of
transactions.
• Monitoring tools:
Which monitors the performance so that internal schema can be changed and database access can
be optimized.
• File organization:
Which allows restructuring the data from one type to another?
1.2 Difference between File system & DBMS

File System
1. File system is a collection of data. Any management with the file system, user has to
write the procedures
2. File system gives the details of the data representation and Storage of data.

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3. In File system storing and retrieving of data cannot be done efficiently.

4. Concurrent access to the data in the file system has many problems like
a. Reading the file while other deleting some information, updating some information
5. File system doesn’t provide crash recovery mechanism.
Eg. While we are entering some data into the file if System crashes then content of the
file is lost.
6. Protecting a file under file system is very difficult.
DBMS
1. DBMS is a collection of data and user is not required to write the procedures for
managing the database.
2. DBMS provides an abstract view of data that hides the details.
3. DBMS is efficient to use since there are wide varieties of sophisticated techniques to
store and retrieve the data.
4. DBMS takes care of Concurrent access using some form of locking.
5. DBMS has crash recovery mechanism, DBMS protects user from the effects of system
failures.
6. DBMS has a good protection mechanism.
DBMS = Database Management System
RDBMS = Relational Database Management System
A database management system is, well, a system used to manage
databases.
A relational database management system is a database management
system used to
manage relational databases. A relational database is one where tables of
data can have
relationships based on primary and foreign keys.
1.3 Advantages of DBMS.

Due to its centralized nature, the database system can overcome the disadvantages
of the file system-based system
1. Data independency:
Application program should not be exposed to details of data representation and storage
DBMS provides the abstract view that hides these details.

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2. Efficient data access.:

DBMS utilizes a variety of sophisticated techniques to store and retrieve data
efficiently.
3. Data integrity and security:
Data is accessed through DBMS, it can enforce integrity constraints.
E.g.: Inserting salary information for an employee.
4. Data Administration:
When users share data, centralizing the data is an important task, Experience
professionals can minimize data redundancy and perform fine tuning which reduces
retrieval time.
5. Concurrent access and Crash recovery:
DBMS schedules concurrent access to the data. DBMS protects user from the effects of
system failure.
6. Reduced application development time.
DBMS supports important functions that are common to many applications.
1.4 Functions of DBMS
• Data Definition: The DBMS provides functions to define the structure of the data in the
application. These include defining and modifying the record structure, the type and size of fields
and the various constraints to be satisfied by the data in each field.
• Data Manipulation: Once the data structure is defined, data needs to be inserted, modified or
deleted. These functions which perform these operations are part of DBMS. These functions can
handle plashud and unplashud data manipulation needs. Plashud queries are those which form
part of the application. Unplashud queries are ad-hoc queries which performed on a need basis.
• Data Security & Integrity: The DBMS contains modules which handle the security and integrity
of data in the application.
• Data Recovery and Concurrency: Recovery of the data after system failure and concurrent
access of records by multiple users is also handled by DBMS.
• Data Dictionary Maintenance: Maintaining the data dictionary which contains the data
definition of the application is also one of the functions of DBMS.

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• Performance: Optimizing the performance of the queries is one of the important functions of
DBMS.
1.5 Role of Database Administrator.
Typically there are three types of users for a DBMS:

1. The END User who uses the application. Ultimately he is the one who actually
puts the data into the system into use in business. This user need not know
anything about the organization of data in the physical level.
2. The Application Programmer who develops the application programs. He/She has
more knowledge about the data and its structure. He/she can manipulate the data
using his/her programs. He/she also need not have access and knowledge of the
complete data in the system.
3. The Data base Administrator (DBA) who is like the super-user of the system.
The role of DBA is very important and is defined by the following functions.
• Defining the schema: The DBA defines the schema which contains the structure of the data in
the application. The DBA determines what data needs to be present in the system and how this
data has to be presented and organized.
• Liaising with users: The DBA needs to interact continuously with the users to understand the
data in the system and its use. • Defining Security & Integrity checks: The DBA finds about the
access restrictions to be defined and defines security checks accordingly. Data
Integrity checks are defined by the DBA.
• Defining Backup/Recovery Procedures: The DBA also defines procedures for backup and
recovery. Defining backup procedure includes specifying what data is to be backed up, the
periodicity of taking backups and also the medium and storage place to backup data.
• Monitoring performance: The DBA has to continuously monitor the performance of the queries
and take the measures to optimize all the queries in the application.
1.6 Simplified Database System Environment

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A database management system (DBMS) is a collection of programs that

enables users to create and maintain database. The DBMS is a general
purpose software system that
facilitates the process of defining, constructing, manipulating and sharing
databases
among various users and applications. Defining a database specifying the
database
involves specifying the data types, constraints and structures of the data to
be stored in
the database. The descriptive information is also stored in the database in
the form
database catalog or dictionary; it is called meta-data.

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Manipulating the data includes the querrying the database to retrieve the
specific data.
An application program accesses the database by sending the qurries or
requests for data to DBMS.
The important function provided by the DBMS includes protecting the
database and
maintain the database.
1.7 Example of a Database (with a Conceptual Data Model)
• Mini-world for the example:
Part of a UNIVERSITY environment.
• Some mini-world entities:
STUDENTs
COURSEs
SECTIONs (of COURSEs)
(academic) DEPARTMENTs
INSTRUCTORs
Example of a Database (with a Conceptual Data Model)
• Some mini-world relationships:
SECTIONs are of specific COURSEs
STUDENTs take SECTIONs
COURSEs have prerequisite COURSEs
INSTRUCTORs teach SECTIONs
COURSEs are offered by DEPARTMENTs
STUDENTs major in DEPARTMENTs
1.7 Architecture of DBMS
A commonly used views of data approach is the three-level architecture suggested by

ANSI/SPARC (American National Standards Institute/Standards Planning and Requirements
Committee). ANSI/SPARC produced an interim report in 1972 followed by a final report in
1977. The reports proposed an architectural framework for databases. Under this approach, a

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database is considered as containing data about an enterprise. The three levels of the architecture
are three different views of the data:
External - individual user view
Conceptual - community user view
Internal - physical or storage view
The three level database architecture allows a clear separation of the information meaning
(conceptual view) from the external data representation and from the physical data structure
layout. A database system that is able to separate the three different views of data is likely to be
flexible and adaptable. This flexibility and adaptability is data independence that we have
discussed earlier.
We now briefly discuss the three different views.
The external level is the view that the individual user of the database has. This view is often a
restricted view of the database and the same database may provide a number of different views
for different classes of users. In general, the end users and even the application programmers are
only interested in a subset of the database. For example, a department head may only be
interested in the departmental finances and student enrolments but not the library information.
The librarian would not be expected to have any interest in the information about academic staff.
The payroll office would have no interest in student enrolments.
The conceptual view is the information model of the enterprise and contains the view of the
whole enterprise without any concern for the physical implementation. This view is normally
more stable than the other two views. In a database, it may be desirable to change the internal
view to improve performance while there has been no change in the conceptual view of the
database. The conceptual view is the overall community view of the database and it includes all
the information that is going to be represented in the database. The conceptual view is defined by
the conceptual schema which includes definitions of each of the various types of data. The
internal view is the view about the actual physical storage of data. It tells us what data is stored
in the database and how. At least the following aspects are considered at this level:
Storage allocation e.g. B-trees, hashing etc.

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Access paths e.g. specification of primary and secondary keys, indexes and pointers and
sequencing. Miscellaneous e.g. data compression and encryption techniques, optimization of the
internal structures.
Efficiency considerations are the most important at this level and the data structures are chosen
to provide an efficient database. The internal view does not deal with the physical devices
directly. Instead it views a physical device as a collection of physical pages and allocates space in
terms of logical pages.
The separation of the conceptual view from the internal view enables us to provide a logical
description of the database without the need to specify physical structures. This is often called
physical data independence. Separating the external views from the conceptual view enables us
to change the conceptual view without affecting the external views. This separation is sometimes
called logical data independence.
1.8 Data Independence
Data independence can be defined as the capacity to change the schema at one level without
changing the schema at next higher level. There are two types of data Independence. They are
1. Logical data independence. 2. Physical data independence.
1. Logical data independence is the capacity to change the conceptual schema without having to
change the external schema.
2. Physical data independence is the capacity to change the internal schema without
changing the conceptual schema.
When not to use a DBMS
• Main inhibitors (costs) of using a DBMS:
• High initial investment and possible need for additional hardware.
• Overhead for providing generality, security, concurrency control, recovery, and integrity
functions When a DBMS may be unnecessary:
• If the database and applications are simple, well defined and not expected to change.
• If there are stringent real-time requirements that may not be met because of DBMS overhead.
• If access to data by multiple users is not required. When no DBMS may suffice:
• If the database system is not able to handle the complexity of data because of
modeling limitations.
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• If the database users need special operations not supported by the DBMS.
1.9 Data Models, Schemas, and Instances
One fundamental characteristic of the database approach is that it provides some level of data
abstraction by hiding details of data storage that are irrelevant to database users.
A data model ---a collection of concepts that can be used to describe the conceptual/logical
structure of a database--- provides the necessary means to achieve this abstraction.
By structure is meant the data types, relationships, and constraints that should hold for the data.
Most data models also include a set of basic operations for specifying retrievals/updates.
Object-oriented data models include the idea of objects having behavior (i.e., applicable
methods) being stored in the database (as opposed to purely "passive" data).
According to C.J. Date (one of the leading database experts), a data model is an abstract, self-
contained, logical definition of the objects, operators, and so forth, that together constitute the
abstract machine with which users interact. The objects allow us to model the structure of data;
the operators allow us to model its behavior.
In the relational data model, data is viewed as being organized in two-dimensional tables
comprised of tuples of attribute values. This model has operations such as Project, Select, and
Join.
A data model is not to be confused with its implementation, which is a physical realization on a
real machine of the components of the abstract machine that together constitute that model.
Logical vs. physical!!
There are other well-known data models that have been the basis for database systems. The best-
known models pre-dating the relational model are the hierarchical (in which the entity types
form a tree) and the network (in which the entity types and relationships between them form a
graph).
Categories of Data Models (based on degree of abstractness):
 high-level/conceptual: (e.g., ER model of Chapter 3) provides a view close to the way

users would perceive data; uses concepts such as
o entity: real-world object or concept (e.g., student, employee, course, department,
event)
o attribute: some property of interest describing an entity (e.g., height, age, color)

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o relationship: an interaction among entities (e.g., works-on relationship between

an employee and a project)
 representational/implementational: intermediate level of abstractness; example is
relational data model (or the network model alluded to earlier). Also called record-based
model.
 low-level/physical: gives details as to how data is stored in computer system, such as
record formats, orderings of records, access paths (indexes). (See Chapters 13-14.)
1.9.1: Schemas, Instances, and Database State
One must distinguish between the description of a database and the database itself. The former is
called the database schema, which is specified during design and is not expected to change
often. (See Figure 2.1, p. 33, for schema diagram for relational UNIVERSITY database.)
The actual data stored in the database probably changes often. The data in the database at a
particular time is called the state of the database, or a snapshot.
Application requirements change occasionally, which is one of the reasons why software
maintenance is important. On such occasions, a change to a database's schema may be called for.
An example would be to add a Date_of_Birth field/attribute to the STUDENT table. Making
changes to a database schema is known as schema evolution. Most modern DBMS's support
schema evolution operations that can be applied while a database is operational.
1.10 DBMS Architecture and Data Independence
1.10.1: Three-Schema Architecture: (See Figure 2.2, page 34.) This idea was first described by
the ANSI/SPARC committee in late 1970's. The goal is to separate (i.e., insert layers of
"insulation" between) user applications and the physical database. C.J. Date points out that it is
an ideal that few, if any, real-life DBMS's achieve fully.
 internal level: has an internal/physical schema that describes the physical storage
structure of the database using a low-level data model)
 conceptual level: has a conceptual schema describing the (logical) structure of the whole
database for a community of users. It hides physical storage details, concentrating upon
describing entities, data types, relationships, user operations, and constraints. Can be
described using either high-level or implementational data model.
 external/view level: includes a number of external schemas (or user views), each of
which describes part of the database that a particular category of users is interested in,
hiding rest of database. Can be described using either high-level or implementational data
model. (In practice, usually described using same model as is the conceptual schema.)

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Users (including application programs) submit queries that are expressed with respect to the
external level. It is the responsibility of the DBMS to transform such a query into one that is
expressed with respect to the internal level (and to transform the result, which is at the internal
level, into its equivalent at the external level).
Example: Select students with GPA > 1.15.
Q:How is this accomplished?

A: By virtue of mappings between the levels:
 external/conceptual mapping (providing logical data independence)

 conceptual/internal mapping (providing physical data independence)
Data independence is the capacity to change the schema at one level of the architecture without
having to change the schema at the next higher level. We distinguish between logical and
physical data independence according to which two adjacent levels are involved. The former
refers to the ability to change the conceptual schema without changing the external schema. The
latter refers to the ability to change the internal schema without having to change the conceptual.
For an example of physical data independence, suppose that the internal schema is modified
(because we decide to add a new index, or change the encoding scheme used in representing
some field's value, or stipulate that some previously unordered file must be ordered by a
particular field ). Then we can change the mapping between the conceptual and internal schemas
in order to avoid changing the conceptual schema itself.
Not surprisingly, the process of transforming data via mappings can be costly (performance-
wise), which is probably one reason that real-life DBMS's don't fully implement this 3-schema
architecture.
1.11 Database Languages and Interfaces
A DBMS supports a variety of users and must provide appropriate languages and interfaces for
each category of users.
DBMS Languages
 DDL (Data Definition Language): used (by the DBA and/or database designers) to
specify the conceptual schema.
 SDL (Storage Definition Language): used for specifying the internal schema
 VDL (View Definition Language): used for specifying the external schemas (i.e., user
views)

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 DML (Data Manipulation Language): used for performing operations such as retrieval
and update upon the populated database
The above description represents some kind of ideal. In real-life, at least so far, the de facto
standard DBMS language is SQL (Standard Query Language), which has constructs to support
the functions needed by DDL, VDL, and DML languages. (Early versions of SQL had features in
support of SDL functions, but no more.)
1.11.1 DBMS Languages
menu-based, forms-based, gui-based, natural language, special purpose for parametric users, for
DBA.
1.11.2 DBMS Interfaces
 Menu-based interfaces for web clients or browsing

 Forms-based interfaces
 GUI's
 Natural Language Interfaces
 Speech Input and Output
 Interfaces for parametric users
 Interfaces for the DBA
1.11.3 Database System Environment
See Figure 2.3, page 41.
1.12 Classification of DBMS's
Based upon
 underlying data model (e.g., relational, object, object-relational, network)

 multi-user vs. single-user
 centralized vs. distributed
 cost
 general-purpose vs. special-purpose
 types of access path options
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Outline of Database Design
The main phases of database design are depicted in Figure 3.1, page 59:
 Requirements Collection and Analysis: purpose is to produce a description of the users'

requirements.
 Conceptual Design: purpose is to produce a conceptual schema for the database,
including detailed descriptions of entity types, relationship types, and constraints. All
these are expressed in terms provided by the data model being used. (Remark: As the ER
model is focused on precisely these three concepts, it would seem that the authors are
predisposed to using that data model!)
 Implementation: purpose is to transform the conceptual schema (which is at a
high/abstract level) into a (lower-level) representational/implementational model
supported by whatever DBMS is to be used.
 Physical Design: purpose is to decide upon the internal storage structures, access paths
(indexes), etc., that will be used in realizing the representational model produced in
previous phase.
1.13: Entity-Relationship (ER) Model
Our focus now is on the second phase, conceptual design, for which The Entity-Relationship
(ER) Model is a popular high-level conceptual data model.
In the ER model, the main concepts are entity, attribute, and relationship.
1.13.1 Entities and Attributes
Entity: An entity represents some "thing" (in the miniworld) that is of interest to us, i.e., about
which we want to maintain some data. An entity could represent a physical object (e.g., house,
person, automobile, widget) or a less tangible concept (e.g., company, job, academic course).
Attribute: An entity is described by its attributes, which are properties characterizing it. Each
attribute has a value drawn from some domain (set of meaningful values).
Example: A PERSON entity might be described by Name, BirthDate, Sex, etc., attributes, each
having a particular value.

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What distinguishes an entity from an attribute is that the latter is strictly for the purpose of
describing the former and is not, in and of itself, of interest to us. It is sometimes said that an
entity has an independent existence, whereas an attribute does not. In performing data modeling,
however, it is not always clear whether a particular concept deserves to be classified as an entity
or "only" as an attribute.
We can classify attributes along these dimensions:
 simple/atomic vs. composite

 single-valued vs. multi-valued (or set-valued)
 stored vs. derived (Note from instructor: this seems like an implementational detail that
ought not be considered at this (high) level of abstraction.)
A composite attribute is one that is composed of smaller parts. An atomic attribute is indivisible
or indecomposable.
 Example 1: A BirthDate attribute can be viewed as being composed of (sub-)attributes

for month, day, and year.
 Example 2: An Address attribute (Figure 1.14, page 64) can be viewed as being
composed of (sub-)attributes for street address, city, state, and zip code. A street address
can itself be viewed as being composed of a number, street name, and apartment number.
As this suggests, composition can extend to a depth of two (as here) or more.
To describe the structure of a composite attribute, one can draw a tree (as in the aforementioned
Figure 1.14). In case we are limited to using text, it is customary to write its name followed by a
parenthesized list of its sub-attributes. For the examples mentioned above, we would write
BirthDate(Month, Day, Year)

Address(StreetAddr(StrNum, StrName, AptNum), City, State, Zip)
Single- vs. multi-valued attribute: Consider a PERSON entity. The person it represents has (one)
SSN, (one) date of birth, (one, although composite) name, etc. But that person may have zero or
more academic degrees, dependents, or (if the person is a male living in Utah) spouses! How can
we model this via attributes AcademicDegrees, Dependents, and Spouses? One way is to allow
such attributes to be multi-valued (perhaps set-valued is a better term), which is to say that we
assign to them a (possibly empty) set of values rather than a single value.
To distinguish a multi-valued attribute from a single-valued one, it is customary to enclose the

former within curly braces (which makes sense, as such an attribute has a value that is a set, and
curly braces are traditionally used to denote sets). Using the PERSON example from above, we
would depict its structure in text as
PERSON(SSN, Name, BirthDate(Month, Day, Year), { AcademicDegrees(School, Level, Year) },

{ Dependents }, ...)

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Here we have taken the liberty to assume that each academic degree is described by a school,
level (e.g., B.S., Ph.D.), and year. Thus, AcademicDegrees is not only multi-valued but also
composite. We refer to an attribute that involves some combination of multi-valuedness and
compositeness as a complex attribute.
A more complicated example of a complex attribute is AddressPhone in Figure 1.15 (page 65).
This attribute is for recording data regarding addresses and phone numbers of a business. The
structure of this attribute allows for the business to have several offices, each described by an
address and a set of phone numbers that ring into that office. Its structure is given by
{ AddressPhone( { Phone(AreaCode, Number) }, Address(StrAddr(StrNum, StrName, AptNum),

City, State, Zip)) }
Stored vs. derived attribute: Perhaps independent and derivable would be better terms for these
(or non-redundant and redundant). In any case, a derived attribute is one whose value can be
calculated from the values of other attributes, and hence need not be stored. Example: Age can
be calculated from BirthDate, assuming that the current date is accessible.
The Null value: In some cases a particular entity might not have an applicable value for a
particular attribute. Or that value may be unknown. Or, in the case of a multi-valued attribute, the
appropriate value might be the empty set.
Example: The attribute DateOfDeath is not applicable to a living person and its correct value
may be unknown for some persons who have died.
In such cases, we use a special attribute value (non-value?), called null. There has been some
argument in the database literature about whether a different approach (such as having distinct
values for not applicable and unknown) would be superior.
1.13.2: Entity Types, Entity Sets, Keys, and Domains
Above we mentioned the concept of a PERSON entity, i.e., a representation of a particular person
via the use of attributes such as Name, Sex, etc. Chances are good that, in a database in which
one such entity exists, we will want many others of the same kind to exist also, each of them
described by the same collection of attributes. Of course, the values of those attributes will differ
from one entity to another (e.g., one person will have the name "Mary" and another will have the
name "Rumpelstiltskin"). Just as likely is that we will want our database to store information
about other kinds of entities, such as business transactions or academic courses, which will be
described by entirely different collections of attributes.
This illustrates the distinction between entity types and entity instances. An entity type serves as
a template for a collection of entity instances, all of which are described by the same collection

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of attributes. That is, an entity type is analogous to a class in object-oriented programming and
an entity instance is analogous to a particular object (i.e., instance of a class).
In ER modeling, we deal only with entity types, not with instances. In an ER diagram, each
entity type is denoted by a rectangular box.
An entity set is the collection of all entities of a particular type that exist, in a database, at some
moment in time.
Key Attributes of an Entity Type: A minimal collection of attributes (often only one) that, by
design, distinguishes any two (simultaneously-existing) entities of that type. In other words, if
attributes A1 through Am together form a key of entity type E, and e and f are two entities of type
E existing at the same time, then, in at least one of the attributes Ai (0 < i <= m), e and f must
have distinct values.
An entity type could have more than one key. (An example of this appears in Figure 3.7, page 67,
in which the CAR entity type is postulated to have both { Registration(RegistrationNum, State) }
and { VehicleID } as keys.)
Domains (Value Sets) of Attributes: The domain of an attribute is the "universe of values" from
which its value can be drawn. In other words, an attribute's domain specifies its set of allowable
values. The concept is similar to data type.
Example Database Application: COMPANY
Suppose that Requirements Collection and Analysis results in the following (informal)
description of the COMPANY miniworld:
The company is organized as a collection of departments.
 Each department
o has a unique name
o has a unique number
o is associated with a set of locations
o has a particular employee who acts as its manager (and who assumed that position
on some date)
o has a set of employees assigned to it
o controls a set of projects
 Each project
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o has a unique name
o has a unique number
o has a single location
o has a set of employees who work on it
o is controlled by a single department
 Each employee
o has a name
o has a SSN that uniquely identifies her/him
o has an address
o has a salary
o has a sex
o has a birthdate
o has a direct supervisor
o has a set of dependents
o is assigned to one department
o works some number of hours per week on each of a set of projects (which need
not all be controlled by the same department)
 Each dependent
o has first name
o has a sex
o has a birthdate
o is related to a particular employee in a particular way (e.g., child, spouse, pet)
o is uniquely identified by the combination of her/his first name and the employee
of which (s)he is a dependent
1.13.3 Initial Conceptual Design of COMPANY database

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Using the above structured description as a guide, we get the following preliminary design for
entity types and their attributes in the COMPANY database:
 DEPARTMENT(Name, Number, { Locations }, Manager, ManagerStartDate,

{ Employees }, { Projects })
 PROJECT(Name, Number, Location, { Workers }, ControllingDept)
 EMPLOYEE(Name(FName, MInit, LName), SSN, Sex, Address, Salary, BirthDate,
Dept, Supervisor, { Dependents }, { WorksOn(Project, Hours) })
 DEPENDENT(Employee, FirstName, Sex, BirthDate, Relationship)
Remarks: Note that the attribute WorksOn of EMPLOYEE (which records on which projects the
employee works) is not only multi-valued (because there may be several such projects) but also
composite, because we want to record, for each such project, the number of hours per week that
the employee works on it. Also, each candidate key has been indicated by underlining.
For similar reasons, the attributes Manager and ManagerStartDate of DEPARTMENT really
ought to be combined into a single composite attribute. Not doing so causes little or no harm,
however, because these are single-valued attributes. Multi-valued attributes would pose some
difficulties, on the other hand. Suppose, for example, that a department could have two or more
managers, and that some department had managers Mary and Harry, whose start dates were 10-4-
1999 and 1-13-2001, respectively. Then the values of the Manager and ManagerStartDate
attributes should be { Mary, Harry } and { 10-4-1999, 1-13-2001 }. But from these two attribute
values, there is no way to determine which manager started on which date. On the other hand, by
recording this data as a set of ordered pairs, in which each pair identifies a manager and her/his
starting date, this deficiency is eliminated. End of Remarks
1.14 Relationship Types, Sets, Roles, and Structural Constraints
Having presented a preliminary database schema for COMPANY, it is now convenient to clarify
the concept of a relationship (which is the last of the three main concepts involved in the ER
model).
Relationship: This is an association between two entities. As an example, one can imagine a
STUDENT entity being associated to an ACADEMIC_COURSE entity via, say, an ENROLLED_IN
relationship.
Whenever an attribute of one entity type refers to an entity (of the same or different entity type),
we say that a relationship exists between the two entity types.
From our preliminary COMPANY schema, we identify the following relationship types (using
descriptive names and ordering the participating entity types so that the resulting phrase will be
in active voice rather than passive):

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 EMPLOYEE MANAGES DEPARTMENT (arising from Manager attribute in

DEPARTMENT)
 DEPARTMENT CONTROLS PROJECT (arising from ControllingDept attribute in
PROJECT and the Projects attribute in DEPARTMENT)
 EMPLOYEE WORKS_FOR DEPARTMENT (arising from Dept attribute in EMPLOYEE
and the Employees attribute in DEPARTMENT)
 EMPLOYEE SUPERVISES EMPLOYEE (arising from Supervisor attribute in
EMPLOYEE)
 EMPLOYEE WORKS_ON PROJECT (arising from WorksOn attribute in EMPLOYEE and
the Workers attribute in PROJECT)
 DEPENDENT DEPENDS_ON EMPLOYEE (arising from Employee attribute in
DEPENDENT and the Dependents attribute in EMPLOYEE)
In ER diagrams, relationship types are drawn as diamond-shaped boxes connected by lines to the
entity types involved. See Figure 3.2, page 62. Note that attributes are depicted by ovals
connected by lines to the entity types they describe (with multi-valued attributes in double ovals
and composite attributes depicted by trees). The original attributes that gave rise to the
relationship types are absent, having been replaced by the relationship types.
A relationship set is a set of instances of a relationship type. If, say, R is a relationship type that
relates entity types A and B, then, at any moment in time, the relationship set of R will be a set of
ordered pairs (x,y), where x is an instance of A and y is an instance of B. What this means is that,
for example, if our COMPANY miniworld is, at some moment, such that employees e1, e3, and e6
work for department d1, employees e2 and e4 work for department d2, and employees e5 and e7
work for department d3, then the WORKS_FOR relationship set will include as instances the
ordered pairs (e1, d1), (e2, d2), (e3, d1), (e4, d2), (e5, d3), (e6, d1), and (e7, d3). See Figure 3.9 on page
71 for a graphical depiction of this.
Ordering of entity types in relationship types: Note that the order in which we list the entity
types in describing a relationship is of little consequence, except that the relationship name (for
purposes of clarity) ought to be consistent with it. For example, if we swap the two entity types
in each of the first two relationships listed above, we should rename them IS_MANAGED_BY and
IS_CONTROLLED_BY, respectively.
1.14.2 Degree of a relationship type: Also note that, in our COMPANY example, all
relationship instances will be ordered pairs, as each relationship associates an instance from one
entity type with an instance of another (or the same, in the case of SUPERVISES) relationship
type. Such relationships are said to be binary, or to have degree two. Relationships with degree
three (called ternary) or more are also possible, although not as common. This is illustrated in
Figure 3.10 (page 72), where a relationship SUPPLY (perhaps not the best choice for a name) has
as instances ordered triples of suppliers, parts, and projects, with the intent being that inclusion

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of the ordered triple (s2, p4, j1), for example, indicates that supplier s2 supplied part p4 to project
j1).
Roles in relationships: Each entity that participates in a relationship plays a particular role in
that relationship, and it is often convenient to refer to that role using an appropriate name. For
example, in each instance of a WORKS_FOR relationship set, the employee entity plays the role of
worker or (surprise!) employee and each department plays the role of employer or (surprise!)
department. Indeed, as this example suggests, often it is best to use the same name for the role as
for the corresponding entity type.
An exception to this rule occurs when the same entity type plays two (or more) roles in the same
relationship. (Such relationships are said to be reCURsive, which I find to be a misleading use of
that term. A better term might be self-referential.) For example, in each instance of a SUPERVISES
relationship set, one employee plays the role of supervisor and the other plays the role of
supervisee.
1.14.3 Constraints on Relationship Types
Often, in order to make a relationship type be an accurate model of the miniworld concepts that it
is intended to represent, we impose certain constraints that limit the possible corresponding
relationship sets. (That is, a constraint may make "invalid" a particular set of instances for a
relationship type.)
There are two main kinds of relationship constraints (on binary relationships). For illustration, let
R be a relationship set consisting of ordered pairs of instances of entity types A and B,
respectively.
 cardinality ratio:
o 1:1 (one-to-one): Under this constraint, no instance of A may particpate in more
than one instance of R; similarly for instances of B. In other words, if (a1, b1) and
(a2, b2) are (distinct) instances of R, then neither a1 = a2 nor b1 = b2.
Example: Our informal description of COMPANY says that every department has
one employee who manages it. If we also stipulate that an employee may not
(simultaneously) play the role of manager for more than one department, it
follows that MANAGES is 1:1.
o 1:N (one-to-many): Under this constraint, no instance of B may participate in

more than one instance of R, but instances of A are under no such restriction. In
other words, if (a1, b1) and (a2, b2) are (distinct) instances of R, then it cannot be
the case that b1 = b2.
Example: CONTROLS is 1:N because no project may be controlled by more than
one department. On the other hand, a department may control any number of
projects, so there is no restriction on the number of relationship instances in which
a particular department instance may participate. For similar reasons, SUPERVISES
is also 1:N.

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o N:1 (many-to-one): This is just the same as 1:N but with roles of the two entity
types reversed.
Example: WORKS_FOR and DEPENDS_ON are N:1.
o M:N (many-to-many): Under this constraint, there are no restrictions. (Hence,

the term applies to the absence of a constraint!)
Example: WORKS_ON is M:N, because an employee may work on any number of
projects and a project may have any number of employees who work on it.
Notice the notation in Figure 3.2 for indicating each relationship type's cardinality ratio.
Suppose that, in designing a database, we decide to include a binary relationship R as

described above (which relates entity types A and B, respectively). To determine how R
should be constrained, with respect to cardinality ratio, the questions you should ask are
these:
May a given entity of type B be related to multiple entities of type A?

May a given entity of type A be related to multiple entities of type B?
The pair of answers you get maps into the four possible cardinality ratios as follows:
(yes, yes) --> M:N

(yes, no) --> N:1
(no, yes) --> 1:N
(no, no) --> 1:1
 participation: specifies whether or not the existence of an entity depends upon its being
related to another entity via the relationship.
o total participation (or existence dependency): To say that entity type A is
constrained to participate totally in relationship R is to say that if (at some
moment in time) R's instance set is
{ (a1, b1), (a2, b2), ... (am, bm) },
then (at that same moment) A's instance set must be { a1, a2, ..., am }. In other
words, there can be no member of A's instance set that does not participate in at
least one instance of R.
According to our informal description of COMPANY, every employee must be

assigned to some department. That is, every employee instance must participate in
at least one instance of WORKS_FOR, which is to say that EMPLOYEE satisfies the
total participation constraint with respect to the WORKS_FOR relationship.

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In an ER diagram, if entity type A must participate totally in relationship type R,

the two are connected by a double line. See Figure 3.2.
o partial participation: the absence of the total participation constraint! (E.g., not
every employee has to participate in MANAGES; hence we say that, with respect to
MANAGES, EMPLOYEE participates partially. This is not to say that for all
employees to be managers is not allowed; it only says that it need not be the case
that all employees are managers.
1.14.4 Attributes of Relationship Types (page 76)
Relationship types, like entity types, can have attributes. A good example is WORKS_ON, each
instance of which identifies an employee and a project on which (s)he works. In order to record
(as the specifications indicate) how many hours are worked by each employee on each project,
we include Hours as an attribute of WORKS_ON. (See Figure 3.2 again.) In the case of an M:N
relationship type (such as WORKS_ON), allowing attributes is vital. In the case of an N:1, 1:N, or
1:1 relationship type, any attributes can be assigned to the entity type opposite from the 1 side.
For example, the StartDate attribute of the MANAGES relationship type can be given to either the
EMPLOYEE or the DEPARTMENT entity type.
1.15 Weak Entity Types: An entity type that has no set of attributes that qualify as a key is
called weak. (Ones that do are strong.)
An entity of a weak identity type is uniquely identified by the specific entity to which it is related
(by a so-called identifying relationship that relates the weak entity type with its so-called
identifying or owner entity type) in combination with some set of its own attributes (called a
partial key).
Example: A DEPENDENT entity is identified by its first name together with the EMPLOYEE
entity to which it is related via DEPENDS_ON. (Note that this wouldn't work for former
heavyweight boxing champion George Foreman's sons, as they all have the name "George"!)
Because an entity of a weak entity type cannot be identified otherwise, that type has a total
participation constraint (i.e., existence dependency) with respect to the identifying
relationship.
This should not be taken to mean that any entity type on which a total participation constraint
exists is weak. For example, DEPARTMENT has a total participation constraint with respect to
MANAGES, but it is not weak.
In an ER diagram, a weak entity type is depicted with a double rectangle and an identifying
relationship type is depicted with a double diamond.

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Design Choices for ER Conceptual Design: Sometimes it is not clear whether a particular
miniworld concept ought to be modeled as an entity type, an attribute, or a relationship type.
Here are some guidelines (given with the understanding that schema design is an iterative
process in which an initial design is refined repeatedly until a satisfactory result is achieved):
 As happened in our development of the ER model for COMPANY, if an attribute of entity

type A serves as a reference to an entity of type B, it may be wise to refine that attribute
into a binary relationship involving entity types A and B. It may well be that B has a
corresponding attribute referring back to A, in which case it, too, is refined into the
aforementioned relationship. In our COMPANY example, this was exemplified by the
Projects and ControllingDept attributes of DEPARTMENT and PROJECT, respectively.
 An attribute that exists in several entity types may be refined into its own entity type. For
example, suppose that in a UNIVERSITY database we have entity types STUDENT,
INSTRUCTOR, and COURSE, all of which have a Department attribute. Then it may be
wise to introduce a new entity type, DEPARTMENT, and then to follow the preceding
guideline by introducing a binary relationship between DEPARTMENT and each of the
three aforementioned entity types.
 An entity type that is involved in very few relationships (say, zero, one, or possibly two)
could be refined into an attribute (of each entity type to which it is related).

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Module 2
The Relational Data Model and Relational Database
Constraints and Relational Algebra
Origins
2.1 Relational Model Concepts
 Domain: A (usually named) set/universe of atomic values, where by "atomic" we mean

simply that, from the point of view of the database, each value in the domain is
indivisible (i.e., cannot be broken down into component parts).
Examples of domains (some taken from page 147):
o USA_phone_number: string of digits of length ten

o SSN: string of digits of length nine
o Name: string of characters beginning with an upper case letter
o GPA: a real number between 0.0 and 4.0
o Sex: a member of the set { female, male }
o Dept_Code: a member of the set { CMPS, MATH, ENGL, PHYS, PSYC, ... }
These are all logical descriptions of domains. For implementation purposes, it is

necessary to provide descriptions of domains in terms of concrete data types (or
formats) that are provided by the DBMS (such as String, int, boolean), in a manner
analogous to how programming languages have intrinsic data types.
 Attribute: the name of the role played by some value (coming from some domain) in the
context of a relational schema. The domain of attribute A is denoted dom(A).
 Tuple: A tuple is a mapping from attributes to values drawn from the respective domains
of those attributes. A tuple is intended to describe some entity (or relationship between
entities) in the miniworld.
As an example, a tuple for a PERSON entity might be
{ Name --> "Rumpelstiltskin", Sex --> Male, IQ --> 143 }

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 Relation: A (named) set of tuples all of the same form (i.e., having the same set of
attributes). The term table is a loose synonym. (Some database purists would argue that a
table is "only" a physical manifestation of a relation.)
 Relational Schema: used for describing (the structure of) a relation. E.g., R(A1,
A2, ..., An) says that R is a relation with attributes A1, ... An. The degree of a relation is
the number of attributes it has, here n.
Example: STUDENT(Name, SSN, Address)
(See Figure 2.1, page 149, for an example of a STUDENT relation/table having several
tuples/rows.)
One would think that a "complete" relational schema would also specify the domain of
each attribute.
 Relational Database: A collection of relations, each one consistent with its specified
relational schema.
2.1.2 Characteristics of Relations
Ordering of Tuples: A relation is a set of tuples; hence, there is no order associated with them.
That is, it makes no sense to refer to, for example, the 5th tuple in a relation. When a relation is
depicted as a table, the tuples are necessarily listed in some order, of course, but you should
attach no significance to that order. Similarly, when tuples are represented on a storage device,
they must be organized in some fashion, and it may be advantageous, from a performance
standpoint, to organize them in a way that depends upon their content.
Ordering of Attributes: A tuple is best viewed as a mapping from its attributes (i.e., the names
we give to the roles played by the values comprising the tuple) to the corresponding values.
Hence, the order in which the attributes are listed in a table is irrelevant. (Note that,
unfortunately, the set theoretic operations in relational algebra (at least how E&N define them)
make implicit use of the order of the attributes. Hence, E&N view attributes as being arranged as
a sequence rather than a set.)
Values of Attributes: For a relation to be in First Normal Form, each of its attribute domains
must consist of atomic (neither composite nor multi-valued) values. Much of the theory
underlying the relational model was based upon this assumption. Chapter 10 addresses the issue
of including non-atomic values in domains. (Note that in the latest edition of C.J. Date's book, he
explicitly argues against this idea, admitting that he has been mistaken in the past.)
The Null value: used for don't know, not applicable.
Interpretation of a Relation: Each relation can be viewed as a predicate and each tuple in that
relation can be viewed as an assertion for which that predicate is satisfied (i.e., has value true)
for the combination of values in it. In other words, each tuple represents a fact. Example (see

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Figure 2.1): The first tuple listed means: There exists a student having name Benjamin Bayer,
having SSN 305-61-2435, having age 19, etc.
Keep in mind that some relations represent facts about entities (e.g., students) whereas others
represent facts about relationships (between entities). (e.g., students and course sections).
The closed world assumption states that the only true facts about the miniworld are those
represented by whatever tuples currently populate the database.
2.1.3 Relational Model Notation: page 152
 R(A1, A2, ..., An) is a relational schema of degree n denoting that there is a relation R
having as its attributes A1, A2, ..., An.
 By convention, Q, R, and S denote relation names.
 By convention, q, r, and s denote relation states. For example, r(R) denotes one possible
state of relation R. If R is understood from context, this could be written, more simply, as
r.
 By convention, t, u, and v denote tuples.
 The "dot notation" R.A (e.g., STUDENT.Name) is used to qualify an attribute name, usually
for the purpose of distinguishing it from a same-named attribute in a different relation
(e.g., DEPARTMENT.Name).
2.2 Relational Model Constraints and Relational Database Schemas
Constraints on databases can be categorized as follows:
 inherent model-based: Example: no two tuples in a relation can be duplicates (because a

relation is a set of tuples)
 schema-based: can be expressed using DDL; this kind is the focus of this section.
 application-based: are specific to the "business rules" of the miniworld and typically
difficult or impossible to express and enforce within the data model. Hence, it is left to
application programs to enforce.
Elaborating upon schema-based constraints:
2.2.1 Domain Constraints: Each attribute value must be either null (which is really a non-value)
or drawn from the domain of that attribute. Note that some DBMS's allow you to impose the not
null constraint upon an attribute, which is to say that that attribute may not have the (non-)value
null.

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2.2.2 Key Constraints: A relation is a set of tuples, and each tuple's "identity" is given by the
values of its attributes. Hence, it makes no sense for two tuples in a relation to be identical
(because then the two tuples are actually one and the same tuple). That is, no two tuples may
have the same combination of values in their attributes.
Usually the miniworld dictates that there be (proper) subsets of attributes for which no two tuples
may have the same combination of values. Such a set of attributes is called a superkey of its
relation. From the fact that no two tuples can be identical, it follows that the set of all attributes
of a relation constitutes a superkey of that relation.
A key is a minimal superkey, i.e., a superkey such that, if we were to remove any of its attributes,
the resulting set of attributes fails to be a superkey.
Example: Suppose that we stipulate that a faculty member is uniquely identified by Name and
Address and also by Name and Department, but by no single one of the three attributes
mentioned. Then { Name, Address, Department } is a (non-minimal) superkey and each of
{ Name, Address } and { Name, Department } is a key (i.e., minimal superkey).
Candidate key: any key! (Hence, it is not clear what distinguishes a key from a candidate key.)
Primary key: a key chosen to act as the means by which to identify tuples in a relation.
Typically, one prefers a primary key to be one having as few attributes as possible.
2.2.3 Relational Databases and Relational Database Schemas
A relational database schema is a set of schemas for its relations (see Figure 5.5, page 157)
together with a set of integrity constraints.
A relational database state/instance/snapshot is a set of states of its relations such that no

integrity constraint is violated. (See Figure 5.6, page 159, for a snapshot of COMPANY.)
2.2.4 Entity Integrity, Referential Integrity, and Foreign Keys
Entity Integrity Constraint: In a tuple, none of the values of the attributes forming the
relation's primary key may have the (non-)value null. Or is it that at least one such attribute must
have a non-null value? In my opinion, E&N do not make it clear!
Referential Integrity Constraint: (See Figure 5.7) A foreign key of relation R is a set of its
attributes intended to be used (by each tuple in R) for identifying/referring to a tuple in some
relation S. (R is called the referencing relation and S the referenced relation.) For this to make
sense, the set of attributes of R forming the foreign key should "correspond to" some superkey of
S. Indeed, by definition we require this superkey to be the primary key of S.
This constraint says that, for every tuple in R, the tuple in S to which it refers must actually be in
S. Note that a foreign key may refer to a tuple in the same relation and that a foreign key may be

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part of a primary key (indeed, for weak entity types, this will always occur). A foreign key may
have value null (necessarily in all its attributes??), in which case it does not refer to any tuple in
the referenced relation.
Semantic Integrity Constraints: application-specific restrictions that are unlikely to be

expressible in DDL. Examples:
 salary of a supervisee cannot be greater than that of her/his supervisor

 salary of an employee cannot be lowered
2.3 Update Operations and Dealing with Constraint Violations
For each of the update operations (Insert, Delete, and Update), we consider what kinds of
constraint violations may result from applying it and how we might choose to react.
2.3.1 Insert:
 domain constraint violation: some attribute value is not of correct domain

 entity integrity violation: key of new tuple is null
 key constraint violation: key of new tuple is same as existing one
 referential integrity violation: foreign key of new tuple refers to non-existent tuple
Ways of dealing with it: reject the attempt to insert! Or give user opportunity to try again with
different attribute values.
2.3.2 Delete:
 referential integrity violation: a tuple referring to the deleted one exists.
Three options for dealing with it:

 Reject the deletion
 Attempt to cascade (or propagate) by deleting any referencing tuples (plus those that
reference them, etc., etc.)
 modify the foreign key attribute values in referencing tuples to null or to some valid
value referencing a different tuple
2.3.3 Update:
 Key constraint violation: primary key is changed so as to become same as another tuple's
 referential integrity violation:
o foreign key is changed and new one refers to nonexistent tuple

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o primary key is changed and now other tuples that had referred to this one violate
the constraint
2.3.4 Transactions: This concept is relevant in the context where multiple users and/or
application programs are accessing and updating the database concurrently. A transaction is a
logical unit of work that may involve several accesses and/or updates to the database (such as
what might be required to reserve several seats on an airplane flight). The point is that, even
though several transactions might be processed concurrently, the end result must be as though the
transactions were carried out sequentially. (Example of simultaneous withdrawals from same
checking account.)
2.4 Relational Model Concepts
 The model was first introduced by Tod Codd of IBM Research in 1970.
 It uses the concept of a mathematical relation. Hence, the database is a collection of
relations.
 A relation can be thought as a table of values, each row in the table represents a collection
of related data values.
 In relational model terminology, a row is called a tuple, a column header is called an
attribute.
 A relation schema R, denoted by R(A1,...,An) , is made up of a relation name R and a list
of attributes A1,...,An.
 The domain of Ai is denoted by dom(Ai).
 A relation schema that describes a relation R is called the name of this relation.
 The degree of a relation is the number of attributes in its relation schema.
For example, a relation schema of order 7
STUDENT(Name, SSN, HPhone, Address, WPhone, Age, GPA)
describes students. The relation student can be shown as follows:
Fig 7.1: The attributes and tuples of a relation STUDENT

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Characteristics of Relation
 A tuple can be considered as a set of (<attribute>, <value>) pairs. Thus the following two
tuples are identical:
 t1 = <(Name, B. Bayer),(SSN, 305-61-2435),(HPhone, 3731616),
 (Address, 291 Blue Lane),(WPhone, null),(Age, 23),(GPA, 3.25)>

 t2 = <(HPhone, 3731616),(WPhone, null),(Name, B. Bayer),(Age, 23),
(Address, 291 Blue Lane),(SSN, 305-61-2435),(GPA, 3.25)>
 Tuple ordering is not a part of relation, that is the following relation is identical to that of
Table 7.1.
Fig 7.2: The relation STUDENT from Figure 7.1, with a different order of tuples
Relational Model Notation
 A relation schema R of degree n is denoted by R(A1,...,An).

 An n-tuple t in a relation r(R) is dented by t = < v1,...,vn > , where
o vi is the value corresponding to attribute Ai .
o Both t[Ai] and t.Ai refer to the value Ai .
 The letters Q, R, S denote relation names.

 The letters q, r, s denote relation states.
 The letters t, u, v denote tuples.
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 An attribute A can be qualified with the relation name R using the dot notation R.A -for
example, STUDENT.Name or STUDENT.Age.
Relational Constraints and Relational Database Schemas
 Domain Constraints - specify that value of each attribute A i must be an atomic (not
divisible into components) value from the domain dom( Ai ).
 Key Constraints and Constraints on Null
Superkey of R: A set of attributes SK of R such that no two tuples in any valid relation
instance r(R) will have the same value for SK. That is, for any distinct tuples t1 and t2 in r(R),
o for any two distinct tuples t1 and t2 in a relation state r of R we have
o t1[SK] t2[SK]
(the subset of attributes SK is called a superkey of the relation schema R).
Key of R: A "minimal" superkey; that is, a superkey K such that removal of any attribute from
K results in a set of attributes that is not a superkey.
Example: The CAR relation schema:
CAR(State, Reg#, SerialNo, Make, Model, Year)
has two keys Key1 = {State, Reg#}, Key2 = {SerialNo}, which are also superkeys. {SerialNo,
Make} is a superkey but not a key.
If a relation has several candidate keys, one is chosen arbitrarily to be the primary key. The
primary key attributes are underlined.
For example, {SSN, Name, Age} is a superkey of relation in Figure 7.1 .
Subset: A set S2 is a subset of another set S1 if every element in S2 is in S1. S1 may have
exactly the same elements as S2. It is denoted by .
Proper Subset: A set S2 is a proper subset of another set S1 if every element in S2 is in
S1. And S1 has some elements which are not in S2.
 A key K of relation R is a superkey of R such that removing any attribute Ai from K
leaves K - A{i} is not a superkey. For example, the attribute set {SSN} is a key (also is a
superkey) of STUDENT. However, the superkey {SSN, Name, Age} is not a key of
STUDENT.

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 A relation schema may have more than one key. Each of the keys is called a candidate
key.
 One of the candidate keys, the primary key, is used to identify tuples in the relation.
 Some attributes are not permitted to be Null meaning unknown attribute value.
Relational Database Schema: A set S of relation schemas that belong to the same database. S is
the name of the database.
S = {R1, R2, ..., Rn}
Entity Integrity: The primary key attributes PK of each relation schema R in S cannot have null
values in any tuple of r(R). This is because primary key values are used to identify the individual
tuples.
t[PK] null for any tuple t in r(R).
Note: Other attributes of R may be similarly constrained to disallow null values, even though
they are not members of the primary key.
 A relational database usually contains several relations.

 A relational database schema S is a set of relation schemas S = {R1,...,Rn} and a set of
integrity constraints IC.
 Integrity constraints are specified on a database schema and are expected to hold on every
database state of that schema.
 A relational database state of S is a set of relation states DB = {r1,...,rn}, such that each ri
is a state of R1 and the ri relation states satisfy the integrity constraints specified in IC.
Example: - One possible relational database state corresponding to the COMPANY schema could
be as follows:

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2.5 Entity Integrity, Referential Integrity, and Foreign Keys
A constraint involving two relations (the previous constraints involve a single relation).
Used to specify a relationship among tuples in two relations: the referencing relation and the
referenced relation.
Tuples in the referencing relation R1 have attributes FK (called foreign key attributes) that
reference the primary key attributes PK of the referenced relation R2. A tuple t1 in R1 is said to
reference a tuple t2 in R2 if
t1[FK] = t2[PK]
A referential integrity constraint can be displayed in a relational database schema as a directed

arc from R1.FK to R2.
 Entity integrity constraint -The entity integrity constraint states that no primary key value
can be null. This is because the primary key value is used to identify individual tuples in
a relation: having null values for the primary keys implies that we cannot identify some
tuples. Key constraints and entity constraints are specified on individual relations.

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 Referential integrity constraint - The referential integrity constraint is specified between

two relations and is used to maintain the consistency among tuples of the two relations. A
tuple in one relation that refers to another relation must refer to an existing tuple in that
relation.
 Foreign key is a set of attributes of one relation R1 whose values are required to match
values of some candidate key of some relation R2 .
For example, the value of attribute DNO in every EMPLOYEE tuple must match the
DNUMBER value of some tuple in the DEPARTMENT relation.
Update Operations on Relations
Operations of the relational model:
1. Updates:
o Insert - to insert a new tuple or tuples in a relation,
o Delete - to delete tuples from a relation, and
o Update (or Modify) - to change the values of some attributes in existing tuples.

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2. Retrievals - these operations do not change the current state of the databases.
Note that update operations should not violate constraints on the relational databases.
The Insert Operation
This operation can violate all constraints in a relational database.Domain constraints can be
violated if an attribute value is given that does not appear in the corresponding domain. Key
constraints can be violated if a key value in the new tuple already exits in another tuple in the
relation R. Entity constraints can be violated if the primary key of the new tuple is null.
Referential integrity can be violated if the value of any foreign key in t refers to a tuple that does
not exist in the referenced relation. Examples of this operation:
 Insert <Àhmad',`Jabbar', null, `60/04/05',F,28000,null,4> into EMPLOYEE.
This insertion violates the entity integrity constraints (SSN=null).
Insert <Àlicia',`Zelaya',`999887777',`60/04/05',F ,28000,`987654321',4> into

EMPLOYEE.
This insertion violates the key constraint (SSN=999887777 is already exists).
 Insert <Àhmad',`Jabbar',`677678989',`60/04/05',M, 28000,`987654321',7> into

EMPLOYEE.
This insertion violates referential integrity (DNO=7, there is no DEPNUMBER=7 in

DEPARTMENT relation).
 Insert <Àhmad',`Jabbar',`987987987',`69/03/29',M,2800,null,4> into

EMPLOYEE.
This insertion is acceptable.
The Delete Operation
This operation can violate only referential integrity. Examples of delete operation:
 Delete the WORKS_ON tuple with SSN=`123456789' and PNO=1.
This deletion is acceptable.
 Delete the EMPLOYEE tuple with SSN=`999887777'.
This deletion violates the referential integrity (tuples in WORKS_ON refer to this tuple).

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 Delete the EMPLOYEE tuple with SSN=`333445555'.
This deletion violates referential integrity (tuples in EMPLOYEE, DEPARTMENT,

WORKS_ON, and DEPENDENT refer to this tuple).
The Update Operation
The new value must be of the correct data type and domain. Examples of update operation:
 Update the SALARY of the EMPLOYEE tuple with SSN=`999887777' to 28000.
This update is acceptable.
 Update the DNO of the EMPLOYEE tuple with SSN=`999887777' to 7.
This update violates referential integrity (there is no DNUMBER=7 in DEPARTMENT

relation).
 Update the SSN of the EMPLOYEE tuple with SSN=`999887777' to

`987654321'.
This update violates primary key and referential constraints.
 Integrity constraints should not be violated by the update

operations.
 Several update operations may have to be grouped together.
 Updates may propagate to cause other updates automatically. This
may be necessary to maintain integrity constraints.
 In case of
integrity violation, several actions can be taken:
 cancel the operation that causes the violation (REJECT option)
 perform the operation but inform the user of the violation
 trigger additional updates so the violation is corrected (CASCADE
option, SET NULL option)
 execute a user specified error correction routine
The Relational Algebra
Operations to manipulate relations.
Used to specify retrieval requests (queries).

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Query result is in the form of a relation
Relational Operations:
SELECT and PROJECT operations.
Set operations: These include UNION U, INTERSECTION | |, DIFFERENCE -, CARTESIAN

PRODUCT X.
JOIN operations .
Other relational operations: DIVISION, OUTER JOIN, AGGREGATE FUNCTIONS.
SELECT and PROJECT
SELECT operation (denoted by ):
 Selects the tuples (rows) from a relation R that satisfy a certain selection condition c
 Form of the operation: c
 The condition c is an arbitrary Boolean expression on the attributes of R
 Resulting relation has the same attributes as R
 Resulting relation includes each tuple in r(R) whose attribute values satisfy the condition
c
Examples:
DNO=4 (EMPLOYEE)
SALARY>30000 (EMPLOYEE)
 (EMPLOYEE)
(DNO=4 AND SALARY>25000) OR DNO=5
PROJECT operation (denoted by ):

 Keeps only certain
attributes (columns) from a relation R specified in an attribute list L
 Form of
operation: L (R)
 Resulting relation
has only those attributes of R specified in L

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 The PROJECT operation eliminates duplicate tuples in the resulting

relation so that it remains a mathematical set (no duplicate elements).
Example: SEX,SALARY(EMPLOYEE)
If several male employees have salary 30000, only a single tuple <M, 30000> is kept in the
resulting relation.
2.6 Duplicate tuples are eliminated by the operation.
Sequences of operations:
Several operations can be combined to form a relational algebra expression (query)
Example: Retrieve the names and salaries of employees who work in department 4:
FNAME,LNAME,SALARY ( DNO=4(EMPLOYEE) )
Alternatively, we specify explicit intermediate relations for each

step:
DEPT4_EMPS DNO=4(EMPLOYEE)

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p FNAME,LNAME,SALARY(DEPT4_EMPS)
Attributes can optionally be renamed in the resulting left-hand-side relation (this may be
required for some operations that will be presented later):
DEPT4_EMPS DNO=4 (EMPLOYEE)
(FIRSTNAME,LASTNAME,SALARY) (DEPT4_EMPS)
FNAME,LNAME,SALARY
Set Operations
Binary operations from mathematical set theory:
UNION: R1 R2, INTERSECTION: R1 R2, SET DIFFERENCE: R1 - R2, CARTESIAN
PRODUCT: R1 X R2.
For , , -, the operand relations R1(A1, A2, ..., An) and R2(B1, B2, ..., Bn) must have the same
number of attributes, and the domains of corresponding attributes must be compatible; that is,
dom(Ai) = dom(Bi) for i=1, 2, ..., n. This condition is called union compatibility. The resulting
relation for , , or - has the same attribute names as the first operand relation R1 (by
convention).

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2.7 CARTESIAN PRODUCT
R(A1, A2, ..., Am, B1, B2, ..., Bn) R1(A1, A2, ..., Am) X R2 (B1, B2, ..., Bn)
A tuple t exists in R for each combination of tuples t1 from R1 and

t2 from R2 such that:
t[A1, A2, ..., Am] = t1 and t[B1, B2, ..., Bn] = t2
If R1 has n1 tuples and R2 has n2 tuples, then R will have n1*n2 tuples.
CARTESIAN PRODUCT is a meaningless operation on its own. It can combine related tuples
from two relations if followed by the appropriate SELECT operation.
Example: Combine each DEPARTMENT tuple with the EMPLOYEE tuple of the manager.
DEP_EMP DEPARTMENT X EMPLOYEE
DEPT_MANAGER MGRSSN=SSN (DEP_EMP)

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JOIN Operations
THETA JOIN: Similar to a CARTESIAN PRODUCT followed by a SELECT. The condition c

is called a join condition.
R(A1, A2, ..., Am, B1, B2, ..., Bn) R1(A1, A2, ..., Am) c R2 (B1, B2, ..., Bn)
EQUIJOIN: The join condition c includes one or more equality comparisons involving
attributes from R1 and R2. That is, c is of the form:
(Ai=Bj) AND ... AND (Ah=Bk); 1<i,h<m, 1<j,k<n
In the above EQUIJOIN operation:
Ai, ..., Ah are called the join attributes of R1
Bj, ..., Bk are called the join attributes of R2

Example of using EQUIJOIN:
Retrieve each DEPARTMENT's name and its manager's name:

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T DEPARTMENT MGRSSN = SSN EMPLOYEE
RESULT  DNAME,FNAME,LNAME (T)
NATURAL JOIN (*):
In an EQUIJOIN R R1 c R2, the join attribute of R2 appear redundantly in the result relation
R. In a NATURAL JOIN, the redundant join attributes of R2 are eliminated from R. The
equality condition is implied and need not be specified.
R R1 *(join attributes of R1),(join attributes of R2) R2
Example: Retrieve each EMPLOYEE's name and the name of the DEPARTMENT he/she works
for:
T EMPLOYEE *(DNO),(DNUMBER) DEPARTMENT
RESULT FNAME,LNAME,DNAME (T)
If the join attributes have the same names in both relations, they need not be specified and we
can write R R1 * R2.
Example: Retrieve each EMPLOYEE's name and the name of his/her SUPERVISOR:
SUPERVISOR(SUPERSSN,SFN,SLN) pSSN,FNAME,LNAME(EMPLOYEE)
T EMPLOYEE * SUPERVISOR
RESULT FNAME,LNAME,SFN,SLN(T)

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Note: In the original definition of NATURAL JOIN, the join attributes were required to have
the same names in both relations.
There can be a more than one set of join attributes with a different meaning between the same
two relations. For example:
JOIN ATTRIBUTES
RELATIONSHIP
EMPLOYEE.SSN= EMPLOYEE manages
DEPARTMENT.MGRSSN
the DEPARTMENT
EMPLOYEE.DNO= EMPLOYEE works for
DEPARTMENT.DNUMBER the DEPARTMENT
Example: Retrieve each EMPLOYEE's name and the name of the DEPARTMENT he/she works
for:
T EMPLOYEE DNO=DNUMBER DEPARTMENT
RESULT FNAME,LNAME,DNAME (T)

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A relation can have a set of join attributes to join it with itself :
JOIN ATTRIBUTES RELATIONSHIP
EMPLOYEE(1).SUPERSSN= EMPLOYEE(2) supervises
EMPLOYEE(2).SSN EMPLOYEE(1)
One can think of this as joining two distinct copies of the relation, although only one relation
actually exists In this case, renaming can be useful.
Example: Retrieve each EMPLOYEE's name and the name of his/her SUPERVISOR:
SUPERVISOR(SSSN,SFN,SLN) SSN,FNAME,LNAME(EMPLOYEE)
T EMPLOYEE SUPERSSN=SSSN SUPERVISOR
RESULT FNAME,LNAME,SFN,SLN (T)
Complete Set of Relational Algebra Operations:
All the operations discussed so far can be described as a sequence

of only the operations SELECT, PROJECT, UNION, SET DIFFERENCE, and CARTESIAN
PRODUCT.
Hence, the set { , , , - , X } is called a complete set of relational
algebra operations. Any query language equivalent to these operations is called relationally
complete.
For database applications, additional operations are needed that
were not part of the original relational algebra. These include:
1. Aggregate functions and grouping.
2. OUTER JOIN and OUTER UNION.
Additional Relational Operations
AGGREGATE FUNCTIONS ( )
Functions such as SUM, COUNT, AVERAGE, MIN, MAX are often applied to sets of values or
sets of tuples in database applications

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<grouping attributes> <function list> (R)
The grouping attributes are optional
Example 1: Retrieve the average salary of all employees (no grouping needed):
(AVGSAL) AVERAGE SALARY (EMPLOYEE)
Example 2: For each department, retrieve the department number, the number of employees, and
the average salary (in the department):
(DNO,NUMEMPS,AVGSAL) DNO COUNT SSN, AVERAGE SALARY (EMPLOYEE)
DNO is called the grouping attribute in the above example
OUTER JOIN
In a regular EQUIJOIN or NATURAL JOIN operation, tuples in R 1 or R2 that do not have

matching tuples in the other relation do not appear in the result
Some queries require all tuples in R1 (or R2 or both) to appear in

the result
When no matching tuples are found, nulls are placed for the
missing attributes
LEFT OUTER JOIN: R1 X R2 lets every tuple in R1 appear in the result
RIGHT OUTER JOIN: R1 X R2 lets every tuple in R2 appear in the result
FULL OUTER JOIN: R1 X R2 lets every tuple in R1 or R2 appear in the result

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2.8 Data Definition, Constraints, and Schema Changes in SQL2
 Structured Query Language (SQL) was designed and implemented at IBM Research.
 Created in late 70’s, under the name of SEQUEL
 A standard version of SQL (ANSI 1986), is called SQL86 or SQL1.
 A revised version of standard SQL, called SQL2 (or SQL92).
 SQL are going to be extended with objectoriented and other recent database concepts.
 Consists of
 A Data Definition Language (DDL) for declaring database schemas
 Data Manipulation Language (DML) for modifying and querying database
instances
 In SQL, relation, tuple, and attribute are called table, row, and columns respectively.
 The SQL commands for data definition are CREATE, ALTER, and DROP.
 The CREATE TABLE Command is used to specify a new table by giving it a name and
specifying its attributes (columns) and constraints.
 Data types available for attributes are:
o Numeric integer, real (formated, such as DECIMAL(10,2))
o CharacterString fixedlength and varyinglength
o BitString fixedlength, varyinglength
o Date in the form YYYYMMDD
o Time in the form HH:MM:SS
o Timestamp includes both the DATE and TIME fields
o Interval to increase/decrease the value of date, time, or timestamp
Basic Queries in SQL
 SQL allows a table (relation) to have two or more tuples that are identical in all their
attributes values. Hence, an SQL table is not a set of tuple, because a set does not allow
two identical members; rather it is a multiset of tuples.
 A basic query statement in SQL is the SELECT statement.
 The SELECT statement used in SQL has no relationship to the SELECT operation of
relational algebra.

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The SELECT Statement
The syntax of this command is:

SELECT <attribute list>
FROM <table list>
WHERE <Condition>;
Some example:
Query 0: Retrieve the birthday and address of the employee(s) whose name is ‘John B. Smith’
Q0: SELECT BDATE, ADDRESS
FROM EMPLOYEE
WHERE FNAME = ‘John’ AND MINIT =‘B’ AND LNAME = ‘SMITH’
Query 1: Retrieve the name and address of all employee who work for the ‘Research’ Dept.
Q1: SELECT FNAME, LNAME, ADDRESS
FROM EMPLOYEE, DEPARTMENT
WHERE DNAME = ‘Research’ AND DNUMBER = DNO
Query 2: For every project located in ‘Stafford’, list the project number, the controlling
department number, and the department manager’s last name, address, and birthdate.
Q2: SELECT PNUMBER, DNUM, LNAME, ADDRESS, BDATE
FROM PROJECT, DEPARTMENT, EMPLOYEE
WHERE DNUM=DNUMBER AND MGRSSN=SSN AND PLOCATION =

‘Stafford’
Dealing with Ambiguous Attribute Names and Renaming (Aliening)
Ambiguity in the case where attributes are same name need to qualify the attribute using DOT
separator
e.g., WHERE DEPARTMENT.DNUMBER=EMPLOYEE.DNUMBER
More

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Ambiguity in the case of queries that refer to the same relation twice
Query 8: For each employee, retrieve the employee’s first and last name and the first and last
name of his or her immediate supervisor
Q8: SELECT E.FNAME, E.LNAME, S.FNAME, S.LNAME
FROM EMPLOYEE AS E, EMPLOYEE AS S
WHERE E.SUPERSSN=S.SSN
Unspecified WHEREClause and Use of Asterisk (*)
A missing WHEREclause indicates no conditions, which means all tuples are selected
In case of two or more table, then all possible tuple combinations are selected
Example: Q10: Select all EMPLOYEE SSNs , and all combinations of EMPLOYEE SSN and
DEPARTMENT DNAME
SELECT SSN, DNAME
More
To retrieve all the attributes, use * in SELECT clause
Retrieve all employees working for Dept. 5
SELECT *
FROM EMPLOYEE
WHERE DNO=5
Substring Comparisons, Arithmetic Operations, and Ordering
 like, binary operator for comparing strings

 %, wild card for strings
 _, wild card for characters
 ||, concatenate operation for strings
(name like ’%a_’) is true for all names having ‘a’ as second letter from the end.
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 Partial strings are specified by using '

 SELECT FNAME, LNAME
 FROM EMPLOYEE
WHERE FNAME LIKE '%Mc%';
 In order to list all employee who were born during 1960s we have the followings:
 SELECT FNAME, LNAME
 FROM EMPLOYEE
WHERE BDATE LIKE '6_______';
 SQL also supports addition, subtraction, multiplication and division (denoted by +, , *,
and /, respectively) on numeric values or attributes with numeric domains.
Examples: Show the resulting salaries if every employee working on the 'ProductX' project is
given a 10 percent raise.
SELECT FNAME, LNAME, 1.1*SALARY

FROM EMPLOYEE, WORKS_ON, PROJECT
WHERE SSN=ESSN AND PNO=PNUMBER AND PNAME='ProductX';
Retrieve all employees in department number 5 whose salary between $30000 and $40000.
SELECT *
FROM EMPLOYEE
WHERE (SALARY BETWEEN 30000 AND 40000) AND DNO=5;
It is possible to order the tuples in the result of a query.
SELECT DNAME, LNAME, FNAME, PNAME

FROM DEPARTMENT, EMPLOYEE, WORKS_ON, PROJECT
WHERE DNUMBER=DNO AND SSN=ESSN AND PNO=PNUMBER
ORDER BY DNAME, LNAME, FNAME;
The default order is in ascending order, but user can specify
ORDER BY DNAME DESC, LNAME ASC, FNAME, ASC;
Tables as Sets in SQL
SQL treats table as a multiset, which means duplicate tuples are OK
SQL does not delete duplicate because Duplicate elimination is an expensive operation (sort and
delete) user may be interested in the result of a query in case of aggregate function, we do not
want to eliminate duplicates
To eliminate duplicate, use DISTINCT
examples
Q11: Retrieve the salary of every employee , and (Q!2) all distinct salary values
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Q11: SELECT ALL SALARY
FROM EMPLOYEE
Q12: SELECT DISTINCT SALARY
FROM EMPLOYEE
More Complex SQL Queries
Complex SQL queries can be formulated by composing nested SELECT/FROM/WHERE

clauses within the WHEREclause of another query
Example: Q4: Make a list of Project numbers for projects that involve an employee whose last
name is ‘Smith’, either as a worker or as a manger of the department that controls the project
Q4 SELECT DISTINCT PNUMBER
FROM PROJECT
WHERE PNUMBER IN (SELECT PNUMBER
FROM PROJECT, DEPARTMENT, EMPLOYEE
WHERE DNUM=DNUMBER AND MGRSSN=SSN AND

LNAME=‘Smith’
OR PNUMBER IN (SELECT PNO
FROM WORKS_ON, EMPLOYEE
WHERE ESSN=SSN AND LNAME=‘Smith’)
IN operator and set of unioncompatible tuples
Example:
SELECT DISTINCT ESSN
FROM WORKS_ON
WHERE (PNO, HOURS) IN (SELECT PNO, HOURS
FROM WORKS_ON

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WHERE SSN=‘123456789’
ANY, SOME and >, <=,<>,etc.
The keyword ALL
In addition to the IN operator, a number of other comparison operators can be used to compare
a single value v to a set of multiset V.
ALL V returns TRUE if v is greater than all the value in the set
Select the name of employees whose salary is greater than the salary of all the
employees in department 5
SELECT LNAME, FNAME

FROM EMPLOYEE
WHERE SALARY > ALL (SELECT SALARY
FROM EMPLOYEE
WHERE DNO=5);
Ambiguity in nested query
SELECT E.FNAME, E.LNAME

FROM EMPLOYEE AS E
WHERE E.SSN IN (SELECT ESSN
FROM DEPENDENT
WHERE ESSN=E.SSN AND E.FNAM=DEPENDENT_NAME AND
SEX=E.SEX
Correlated Nested Query
Whenever a condition in the WHEREclause of a nested query references some attributes of a

relation declared in the outer query, the two queries are said to be correlated. The result of a
correlated nested query is different for each tuple (or combination of tuples) of the relation(s) the
outer query.
In general, any nested query involving the = or comparison operator IN can always be
rewritten as a single block query
FROM EMPLOYEE E, DEPENDENT D
WHERE E.SSN=D.ESSN AND E.SEX=D.SEX AND E.FNAME =D.DEPENDENT=NAME

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Query 12: Retrieve the name of each employee who has a dependent with the same
first name as the employee.
Q12: SELECT E.FNAME, E.LNAME
FROM EMPLOYEE AS E
WHERE E.SSN IN (SELECT ESSN
FROM DEPENDENT
WHERE ESSN=E.SSN AND
E.FNAME=DEPENDENT_NAME)
In Q12, the nested query has a different result for each tuple in the outer query.
The original SQL as specified for SYSTEM R also had a CONTAINS comparison operator,
which is used in conjunction with nested correlated queries This operator was dropped from the
language, possibly because of the difficulty in implementing it efficiently Most implementations
of SQL do not have this operator The CONTAINS operator compares two sets of values , and
returns TRUE if one set contains all values in the other set (reminiscent of the division operation
of algebra).
Query 3: Retrieve the name of each employee who works on all the projects controlled by
department number 5.
Q3: SELECT FNAME, LNAME
FROM EMPLOYEE WHERE ( (SELECT PNO FROM WORKS_ON WHERE SSN=ESSN)
CONTAINS (SELECT PNUMBER FROM PROJECT WHERE DNUM=5) )
In Q3, the second nested query, which is not correlated with the outer query, retrieves the project
numbers of all projects controlled by department 5.
The first nested query, which is correlated, retrieves the project numbers on which the employee
works, which is different for each employee tuple because of the correlation.
THE EXISTS AND UNIQUE FUNCTIONS IN SQL
EXISTS is used to check whether the result of a correlated nested query is empty (contains no
tuples) or not We can formulate Query 12 in an alternative form that uses EXISTS as Q12B
below.
Query 12: Retrieve the name of each employee who has a dependent with the same first name as
the employee.

FROM EMPLOYEE E
WHERE EXISTS (SELECT *
DBMS 15CS53
FROM DEPENDENT
WHERE E.SSN=ESSN AND SEX=E.SEX AND
E.FNAME=DEPENDENT_NAME
Query 6: Retrieve the names of employees who have no dependents.

Q6: SELECT FNAME, LNAME
FROM EMPLOYEE
WHERE NOT EXISTS (SELECT *
FROM DEPENDENT
WHERE SSN=ESSN)
In Q6, the correlated nested query retrieves all DEPENDENT tuples related to an EMPLOYEE
tuple. If none exist , the EMPLOYEE tuple is selected EXISTS is necessary for the expressive
power of SQL
EXPLICIT SETS AND NULLS IN SQL
It is also possible to use an explicit (enumerated) set of values in the WHEREclause rather than
a nested query Query 13: Retrieve the social security numbers of all employees who work on
project number 1, 2, or 3.
Retrieve SSNs of all employees who work on project number 1,2,3
SELECT DISTINCT ESSN

FROM WORKS_ON
WHERE PNO IN (1,2,3)
Null example
SQL allows queries that check if a value is NULL (missing or undefined or not applicable) SQL
uses IS or IS NOT to compare NULLs because it considers each NULL value distinct from other
NULL values, so equality comparison is not appropriate .
Retrieve the names of all employees who do not have supervisors
SELECT FNAME, LNAME
FROM EMPLOYEE
WHERE SUPERSSN IS NULL
Note: If a join condition is specified, tuples with NULL values for the join attributes are not
included in the result
Join Revisit

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Retrieve the name and address of every employee who works for ‘Search’ department
SELECT FNAME, LNAME, ADDRESS

FROM (EMPLOYEE JOIN DEPARTMENT ON DNO=DNUMBER)
WHERE DNAME=‘Search’
Aggregate Functions
Include COUNT, SUM, MAX, MIN, and AVG
Query 15: Find the sum of the salaries of all employees the ‘Research’ dept, and the max salary,
the min salary, and average:
SELECT SUM(SALARY), MAX(SALARY), MIN(SALARY) AVG(SALARY)
FROM EMPLOYEE
WHERE DNO=FNUMBER AND DNAME=‘RSEARCH’
Query 16: Find the maximum salary, the minimum salary, and the average salary among
employees who work for the 'Research' department.
Q16: SELECT MAX(SALARY), MIN(SALARY), AVG(SALARY)

WHERE DNO=DNUMBER AND DNAME='Research'
Queries 17 and 18: Retrieve the total number of employees in the company (Q17), and the
number of employees in the 'Research' department (Q18).
Q17: SELECT COUNT (*)

FROM EMPLOYEE
Q18: SELECT COUNT (*)
WHERE DNO=DNUMBER AND DNAME='Research'
Example of grouping
In many cases, we want to apply the aggregate functions to subgroups of tuples in a relation
Each subgroup of tuples consists of the set of tuples that have the same value for the grouping
attribute(s)
The function is applied to each subgroup independently
SQL has a GROUP BYclause for specifying the grouping attributes, which must also appear in
the SELECTclause

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For each project, select the project number, the project name, and the number of employees
who work on that projet
SELECT PNUMBER, PNAME, COUNT(*)
FROM PROJECT, WORKS_ON
WHERE PNUMBER=PNO
GROUP BY PNUMBER, PNAME
In Q20, the EMPLOYEE tuples are divided into groupseach group having the same value for the
grouping attribute DNO
The COUNT and AVG functions are applied to each such group of tuples separately.The
SELECTclause includes only the grouping attribute and the functions to be applied on each
group of tuples. A join condition can be used in conjunction with grouping
Query 21: For each project, retrieve the project number, project name, and the
number of employees who work on that project.
Q21: SELECT PNUMBER, PNAME, COUNT (*)
WHERE PNUMBER=PNO
In this case, the grouping and functions are applied after the
joining of the two relations
THE HAVINGCLAUSE:
Sometimes we want to retrieve the values of these functions for only those groups that satisfy
certain conditions. The HAVINGclause is used for specifying a selection condition on groups
(rather than on individual tuples)
Query 22: For each project on which more than two employees work , retrieve the project
number, project name, and the number of employees who work on that project.
Q22: SELECT PNUMBER, PNAME, COUNT (*)

WHERE PNUMBER=PNO
HAVING COUNT (*) > 2

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Module 3
SQL The Relational Database Standard
3.1 Update Statements in SQL
 The Insert Command
INSERT INTO EMPLOYEE
VALUES (‘Richard’,’K’,’Marini’,653298653’,’30dec52’,98 Oak Forest, Katy,

TX’,’M’,37000,’987654321’,4)
More on Insert
Use explicit attribute names:
INSERT INTO EMPLOYEE (FNAME, LNAME,SSN)
VALUES (‘Richard’,’Marini’, ‘653298653’
 The DELECT Command
DELETE FROM EMPLOYEE
WHERE LNAME=‘Brown’
 The UPDATE Command
Used to modify values of one or more selected tuples
Change the location and controlling department number of project number 10 to ‘Bellaire’ and 5
respectively

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UPDATE PROJECT
SET PLOCATION = ‘Bellaire’, DNUM=5
Where PNUMBER=10;
Views in SQL
A view refers to a single table that is derived from other tables
CREATE VIEW WORKS_ON1
AS SELECT FNAME, LNAME, PNAME, HOURS
FROM EMPLOYEE, PROJECT, WORKS_ON WHERE SSN=ESSN AND PNO=PNUMBER
More on View
CREATE VIEW DEPT_INFO(DEPT_NAME, NO_OF_EMPLS, TOTAL_SAL)
AS SELECT DNAME, COUNT(*), SUM(SALARY)
FROM DEPARTMENT, EMPLOYEE
WHERE DNUMBER=DNO
GROUP BY DNAME
More on view
Treat WORKS_ON1 like a base table as follows
SELECT FNAME, LNAME
FROM WORKS_ON1
WHERE PNMAE=‘PROJECTX’
Main advantage of view:
Simplify the specification of commonly used queries
More on View
A View is always up to date;

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A view is realized at the time we specify(or execute) a query on the view
DROP VIEW WORKS_ON1
Updating of Views
Updating the views can be complicated and ambiguous
In general, an update on a view on defined on a single table w/o any aggregate functions can be
mapped to an update on the base table
More on Views
We can make the following observations:
A view with a single defining table is updatable if we view contain PK or CK of the base table
View on multiple tables using joins are not updatable
View defined using grouping/aggregate are not updatable
Specifying General Constraints
Users can specify certain constraints such as semantics constraints
CREATE ASSERTION SALARY_CONSTRAINT
CHECK ( NOT EXISTS ( SELECT * FROM EMPLOYEE E, EMPLOYEE M, DEPARTMENT

D
WHERE E.SALARY > M. SALARY AND E.DNO=D.NUMBER AND D.MGRSSN=M.SSN))
Additional features
Granting and revoking privileges
Embedding SQL statements in a general purpose languages (C, C++, COBOL, PASCAL)
SQL can also be used in conjunction with a general purpose programming language, such as
PASCAL, COBOL, or PL/I. The programming language is called the host language. The
embedded SQL statement is distinguished from programming language statements by prefixing it
with a special character or command so that a preprocessor can extract the SQL statements. In
PL/I the keywords EXEC SQL precede any SQL statement. In some implementations, SQL

DBMS 15CS53
statements are passed as parameters in procedure calls. We will use PASCAL as the host
programming language, and a "$" sign to identify SQL statements in the program. Within an
embedded SQL command, we may refer to program variables, which are prefixed by a "%" sign.
The programmer should declare program variables to match the data types of the database
attributes that the program will process.These program variables may or may not have names
that are identical to their corresponding attributes.
Example: Write a program segment (loop) that reads a social security number
and prints out some information from the corresponding EMPLOYEE tuple
E1: LOOP:= 'Y';
while LOOP = 'Y' do
begin
writeln('input social security number:');
readln(SOC_SEC_NUM);
$SELECT FNAME, MINIT, LNAME, SSN, BDATE,
ADDRESS, SALARY
INTO %E.FNAME, %E.MINIT, %E.LNAME, %E.SSN,
%E.BDATE, %E.ADDRESS, %E.SALARY
FROM EMPLOYEE
WHERE SSN=%SOC_SEC_NUM ;
writeln( E.FNAME, E.MINIT, E.LNAME, E.SSN,
E.BDATE, E.ADDRESS, E.SALARY);
writeln('more social security numbers (Y or N)? ');
readln(LOOP)
end;
In E1, a single tuple is selected by the embedded SQL query; that is why we are able to assign
its attribute values directly to program variables. In general, an SQL query can retrieve many
tuples. The concept of a cursor is used to allow tupleatatime processing by the PASCAL
programCURSORS: We can think of a cursor as a pointer that points to a single tuple (row)
from the result of a query.The cursor is declared when the SQL query command is specified. A
subsequent OPEN cursor command fetches the query result and sets the cursor to a position
before the first row in the result of the query; this becomes the current row for the cursor.
Subsequent FETCH commands in the program advance the cursor to the next row and copy its
attribute values into PASCAL program variables specified in the FETCH command. An implicit
variable SQLCODE communicates to the program the status of SQL embedded commands. An
SQLCODE of 0 (zero) indicates successful execution. Different codes are returned to indicate
exceptions and errors. A special END_OF_CURSOR code is used to terminate a loop over the
tuples in a query result. A CLOSE cursor command is issued to indicate that we are done with
the result of the query
When a cursor is defined for rows that are to be updated the clause FOR UPDATE OF must be in
the cursor declaration, and a list of the names of any attributes that will be updated follows.The
condition WHERE CURRENT OF cursor specifies that the current tuple is the one to be updated
(or deleted)

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Example: Write a program segment that reads (inputs) a department name, then lists the names of
employees who work in that department, one at a time. The program reads a raise amount for
each employee and updates the employee's salary by that amount.
E2: writeln('enter the department name:'); readln(DNAME);

$SELECT DNUMBER INTO %DNUMBER
FROM DEPARTMENT
WHERE DNAME=%DNAME;
$DECLARE EMP CURSOR FOR
SELECT SSN, FNAME, MINIT, LNAME, SALARY
FROM EMPLOYEE
WHERE DNO=%DNUMBER
FOR UPDATE OF SALARY;
$OPEN EMP;
$FETCH EMP INTO %E.SSN, %E.FNAME, %E.MINIT,
%E.LNAME, %E.SAL;
while SQLCODE = 0 do
begin
writeln('employee name: ', E.FNAME, E.MINIT, E.LNAME);
writeln('enter raise amount: '); readln(RAISE);
$UPDATE EMPLOYEE SET SALARY = SALARY + %RAISE
WHERE CURRENT OF EMP;
$FETCH EMP INTO %E.SSN, %E.FNAME, %E.MINIT,
%E.LNAME, %E.SAL;
end;
$CLOSE CURSOR EMP;
3.2 Relational Database Design Using ER-to-Relational Mapping
Step 1: For each regular (strong) entity type E in the ER schema,

create a relation R that includes all the simple attributes of E.
EMPLOYEE
SSN Lname Fname
DEPARTMENT

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NUMBER NAME
Step 2: For each weak entity type W in the ER schema with owner
entity type E, create a relation R, and include all simple attributes (or
simple components of composite attributes) of W as attributes. In
addition, include as foreign key attributes of R the primary key
attribute(s) of the relation(s) that correspond to the owner entity
type(s).
DEPENDENT
EMPL-SSN NAME Relationship
Step 3: For each binary 1:1 relationship type R in the ER schema,

identify the relations S and T that correspond to the entity types
participating in R. Choose one of the relations, say S, and include the
primary key of T as a foreign key in S. Include all the simple attributes
of R as attributes of S.

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DEPARTMENT
MANAGER-SSN StartDate
Step 4: For each regular binary 1:N relationship type R identify the
relation (N) relation S. Include the primary key of T as a foreign key of
S. Simple attributes of R map to attributes of S.
EMPLOYEE
SupervisorSSN
Step 5: For each binary M:N relationship type R, create a relation S.

Include the primary keys of participant relations as foreign keys in S.
Their combination will be the primary key for S. Simple attributes of R
become attributes of S.

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WORKS-FOR
EmployeeSSN DeptNumber
Step 6: For each multi-valued attribute A, create a new relation R. This

relation will include an attribute corresponding to A, plus the primary
key K of the parent relation (entity type or relationship type) as a
foreign key in R. The primary key of R is the combination of A and K.
DEP-LOCATION
Location DEP-NUMBER
Step 7: For each n-ary relationship type R, where n>2, create a new
relation S to represent R. Include the primary keys of the relations
participating in R as foreign keys in S. Simple attributes of R map to
attributes of S. The primary key of S is a combination of all the foreign
keys that reference the participants that have cardinality constraint >
1.
For a recursive relationship, we will need a new relation.
Example: From Figure 3.2 to Figure 7.5
Summary
(Strong) Entity Type into Relation

 Include the simple attributes
 Include the simple components of the composite attributes
 Identify the primary keys
 Don’t include: non-simple components of composite attributes, foreign keys, derived attributes,
relational attributes

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Weak Entity+Relationship Types into Relation

 Include simple attributes
 Add the owner’s primary key attributes, as foreign key attributes
 Declare into a primary key the partial keys of the weak entity type combined with those
imported from the owner
Binary 1:1 Relationship Types into Foreign Keys

 Include as foreign keys, in the relation of one entity type, the primary keys of the other entity
type
 Include also the simple attributes of the relationship type
 If possible, the first entity type should have total participation in the relationship
Binary 1:N Relationship Types into Foreign Keys

 Add as foreign keys, to the relation of the entity type at the N side, the primary keys of the entity
type at the 1 side
 Include also the simple attributes of the relationship type
Binary M:N Relationship Type into Relation

 Set as foreign keys the primary keys of the participating entity types
 Include the simple attributes of the relationship type
Multivalued Attribute into Relation

 Include the given attribute
 Include as foreign keys the primary attributes of the entity/relationship type owning the
multivalued attribute
N-Ary Relationship Type
Similar to binary M:N relationship type
The Tuple Relational Calculus
 The tuple relational calculus is based on specifying a number of tuple variables.

 Each tuple variable usually ranges over a particular database relation.
 Relational calculus is a formal query language where we write one declarative expression to
sepecify a retrieval request (with no description).
 In relational algebra we must write a sequence of operations to specify a retrieval request. That
is, the relational algebra is a procedural, whereas the relational calculus is a non-procedural
language.
 Any retrieval that can be specified in the relational algebra can also be specified in the relational
calculus (and vice versa), that is, two languages are identical.

DBMS 15CS53
 A relational query language L is considered relationally complete if we can express in L any query
that can be expressed in relational calculus.
 A simple tuple relational calculus query is of the form
{t | COND(t)}
for example,
{t | EMPLOYEE(t) and t.SALARY > 50000}
The above query retrieves all attribute values for each selected EMPLOYEE tuple t.
{t.FNAME, t.LNAME | EMPLOYEE(t) and t.SALARY > 50000}
Tuple Variables and Range Relations
Examples
EMPLOYEE (FNAME, BINIT, LNAME, SSN, BDATE, ADDRESS, SEX, SALARY, SUPERSSN, DNO)
DEPT_LOC (DNUMBER, DLOCATION)
DEPARTMENT (DNAME, DNUMBER, MGRSSN, MGRSTARTDATE)
WORK_ON (ESSN, PNO, HOURS)
PROJECT (PNAME, PNUMBER, PLOCATION, DNUM)
DEPENDENT (ESSN, DEPENDENT_NAME, SEX, BDATE, RELATIONSHIP)
EMPLOYEE
Fname Lname SSN SupervisorSSN
DEPARTMENT
NAME NUMBER MANAGER-SSN StartDate
WORKS-FOR
EmployeeSSN DeptNumber

DBMS 15CS53
The existential and Universal Quantifiers
For example in the following formulas:
F1 : d.NAME = `Research'
F2 : ( t) (d.DNUMBER = t.DNO)
F3 : ( d) (d.MGRSSN=`333445555')
The tuple variable d is free in both F1 and F2, whereas it is bound to the universal quantifier in
F3.
Variable t is bound to the ( ) quantifier in F2.
A tuple variable t is bound if it is quantified. otherwise it is free.
Q1 (p 303) Retrieve the name and address of every employee who works for ‘Research’ department
{t.FNAME, t.LNAME, t.ADDRESS | EMPLOYEE(t) and
( d) (DEPARTMENT(d) and d.DNAME=’Research’ and d.DNUMBER=t.DNO) }
t is the only free variable (in the left of midbar), but it is then bound successively to each tuple.
Q2 (p 304) For every project located in ‘Stafford’, list the project number, the controlling
department number, and the department manager’s last name, address, and birthdate.
{p.NUMBER, p.DNUM, m.LNAME, m.BDATE, m.ADDRESS | PROJECT(p) and EMPLOYEE(m) and

p.PLOCATION=’Stafford’ and
( d)(DEPARTMENT(d) and p.DNUM = d.DNUMBER and d.MGRSSN=m.SSN) }

DBMS 15CS53
Q3' (p 304) Retrieve the name of each employee who works on some projects controlled by
{e.LNAME, e.FNAME | EMPLOYEE(e) and ((( x)( w)
(PROJECT(x))and WORKS_ON(w) and x.DNUM = 5) and w.ESSN=e.SSN and
x.PNUMBER=w.PNO)) }
Q3 (p 305) Retrieve the name of each employee who works on all the projects controlled by
{e.LNAME, e.FNAME | EMPLOYEE(e) and ( x) (not(PROJECT(x))or not (x.DNUM=5)or ( w)

(WORKS-ON(w) and w.ESSN=e.SSN and x.PNUMBER=w.PNO)) }
Find all employees which work in department #5.
{e.Fname, e.Lname | EMPLOYEE(e) and ( d w)(DEPARTMENT(d) and WORKS-FOR(w)

and w.EmployeeSSN = e.SSN and w.DeptNumber = 5) }
List the managers which have employees in all department.
{m.Fname, m.Lname | EMPLOYEE(m) and ( d e w)( not(DEPARTMENT(d)) or

EMPLOYEE(e) and WORKS-FOR(w) and e.SupervisorSSN = m.SSN and e.SSN =
w.EmployeeSSN and w.DeptNumber = d.NUMBER
)}
Safe Expressions
 A safe expression in relational calculus is one that is guaranteed to yield a finite number of tuples
as its result.
 The expression
{t | not (EMPLOYEE(t))}
is unsafe, because it yields all tuples in the universe that are not EMPLOYEE tuples.
 An expression is said to be safe if all values in its result are from the domain of the expression.
Quantifiers in SQL
 The EXISTS function in SQL is similar to the existential ( ) quantifier of the relational calculus.
 SELECT . . .
 FROM . . .

DBMS 15CS53
 WHERE EXISTS (SELECT *

 FROM R AS X
WHERE P(X));
 SQL does not include a universal quantifier.
 NOT EXISTS in the SQL supports universal quantifier.
The Domain Relational Calculus
 The domain relational calculus was developed almost concurrently with SQL at IBM Research.
 The domain calculus differs from the tuple calculus in the type of variables used in formulas.
 To form a relation of degree n for a query result, we must have n domain variables (one for each
attribute).
For example,
(EMPLOYEE)(qrstuvw) and q=`John' and r=`Smith') }

Or alternatively we can write
{tv | EMPLOYEE(`John', `Smith', q,r,s,t,u,v,w)}
Overview of the QBE Language
 The Query-By-Example (QBE) language is a graphical query language.

 It was developed at IBM Research and is available as an IBM commercial product as part of QMF
(Query Management Facility).
 The query is formulated by filling in templates of relations that are displayed on a monitor
screen.
 A domain variable is specified by the underscore character (_).
 A P. prefix denoteswe would like to print (or display) values in these columns.
 The constants specify values that must be exactly matched in these columns.

DBMS 15CS53
Module 4
Data Base design-1
4.1 Informal design guidelines for relation schemas
The four informal measures of quality for relation schema
 Semantics of the attributes

 Reducing the redundant values in tuples
 Reducing the null values in tuples
 Disallowing the possibility of generating spurious tuples
Semantics of relations attributes
Specifies how to interpret the attributes values stored in a tuple of the relation. In other words,
how the attribute value in a tuple relate to one another.

DBMS 15CS53
Guideline 1: Design a relation schema so that it is easy to explain its meaning. Do not combine
attributes from multiple entity types and relationship types into a single relation.
Reducing redundant values in tuples. Save storage space and avoid update anomalies.
 Insertion anomalies.
 Deletion anomalies.
 Modification anomalies.

DBMS 15CS53
Insertion Anomalies
To insert a new employee tuple into EMP_DEPT, we must include either the attribute values for that
department that the employee works for, or nulls.
It's difficult to insert a new department that has no employee as yet in the EMP_DEPT relation.
The only way to do this is to place null values in the attributes for employee. This causes a
problem because SSN is the primary key of EMP_DEPT, and each tuple is supposed to represent
an employee entity - not a department entity.
Deletion Anomalies
If we delete from EMP_DEPT an employee tuple that happens to represent the last employee working
for a particular department, the information concerning that department is lost from the database.
Modification Anomalies
In EMP_DEPT, if we change the value of one of the attributes of a particular department- say the
manager of department 5- we must update the tuples of all employees who work in that department.
Guideline 2: Design the base relation schemas so that no insertion, deletion, or modification
anomalies occur. Reducing the null values in tuples. e.g., if 10% of employees have offices, it is
better to have a separate relation, EMP_OFFICE, rather than an attribute OFFICE_NUMBER in
EMPLOYEE.
Guideline 3: Avoid placing attributes in a base relation whose values are mostly null.
Disallowing spurious tuples.

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Spurious tuples - tuples that are not in the original relation but generated by natural join of
decomposed subrelations.
Example: decompose EMP_PROJ into EMP_LOCS and EMP_PROJ1.
Fig. 14.5a
Guideline 4: Design relation schemas so that they can be naturally JOINed on primary keys or
foreign keys in a way that guarantees no spurious tuples are generated.
A functional dependency (FD) is a constraint between two sets of attributes from the database.
It is denoted by
X Y
We say that "Y is functionally dependent on X". Also, X is called the left-hand side of the FD. Y
is called the right-hand side of the FD.
A functional dependency is a property of the semantics or meaning of the attributes, i.e., a

property of the relation schema. They must hold on all relation states (extensions) of R. Relation
extensions r(R). A FD X Y is a full functional dependency if removal of any attribute from X
means that the dependency does not hold any more; otherwise, it is a partial functional
dependency.

DBMS 15CS53
Examples:
1. SSN ENAME
2. PNUMBER {PNAME, PLOCATION}
3. {SSN, PNUMBER} HOURS
FD is property of the relation schema R, not of a particular relation state/instance
Let R be a relation schema, where X R and Y R
t1, t2 r, t1[X] = t2[X] t1[Y] = t2[Y]
The FD X Y holds on R if and only if for all possible relations r(R), whenever two tuples of r
agree on the attributes of X, they also agree on the attributes of Y.
 the single arrow denotes "functional dependency"

 X Y can also be read as "X determines Y"
 the double arrow denotes "logical implication"
4.2 Inference Rules

IR1. Reflexivity e.g. X X
 a formal statement of trivial dependencies; useful for derivations

IR2. Augmentation e.g. X Y XZ Y
 if a dependency holds, then we can freely expand its left hand side
IR3. Transitivity e.g. X Y, Y Z X Z
 the "most powerful" inference rule; useful in multi-step derivations
Armstrong inference rules are
sound
meaning that given a set of functional dependencies F specified on a relation schema R,

any dependency that we can infer from F by using IR1 through IR3 holds every relation
state r of R that specifies the dependencies in F. In other words, rules can be used to
derive precisely the closure or no additional FD can be derived.
complete
meaning that using IR1 through IR3 repeatedly to infer dependencies until no more
dependencies can be inferred results in the complete set of all possible dependencies that
can be inferred from F. In other words, given a set of FDs, all implied FDs can be derived
using these 3 rules.
Closure of a Set of Functional Dependencies
Given a set X of FDs in relation R, the set of all FDs that are implied by X is called the
closure of X, and is denoted X+.

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Algorithms for determining X+
X+ := X;
repeat
oldX+ := X+
for each FD Y Z in F do
if Y Í X+ then X+ := X+ È Z;
until oldX+ = X+;
Example:
A BC
E CF
B E
CD EF
Compute {A, B}+ of the set of attributes under this set of FDs.
Solution:
Step1: {A, B}+ := {A, B}.
Go round the inner loop 4 time, once for each of the given FDs.
On the first iteration, for A BC
A {A, B}+
+
{A, B} := {A, B, C}.
Step2: On the second iteration, for E CF, Ï {A, B, C}
Step3 :On the third iteration, for B E

B {A, B,C}+
+
{A, B} := {A, B, C, E}.
Step4: On the fourth iteration, for CD EF remains unchanged.

DBMS 15CS53
Go round the inner loop 4 times again. On the first iteration result does not change; on the
second it expands to {A,B,C,E,F}; On the third and forth it does not change.
Now go round the inner loop 4 times. Closure does not change and so the whole process
terminates, with
{A,B}+ = {A,B,C,E,F}
Example.
F = { SSN ENAME, PNUMBER {PNAME, PLOCATION}, {SSN,PNUMBER}

HOURS }
{SSN}+ = {SSN, ENAME}
{PNUMBER}+ = ?
{SSN,PNUMBER}+ = ?
4.3 Normalization
The purpose of normalization.
 The problems associated with redundant data.

 The identification of various types of update anomalies such as insertion, deletion, and
modification anomalies.
 How to recognize the appropriateness or quality of the design of relations.
 The concept of functional dependency, the main tool for measuring the appropriateness of
attribute groupings in relations.
 How functional dependencies can be used to group attributes into relations that are in a known
normal form.
 How to define normal forms for relations.
 How to undertake the process of normalization.
 How to identify the most commonly used normal forms, namely first (1NF), second (2NF), and
third (3NF) normal forms, and Boyce-Codd normal form (BCNF).
 How to identify fourth (4NF), and fifth (5NF) normal forms.
Main objective in developing a logical data model for relational database systems is to create an
accurate representation of the data, its relationships, and constraints. To achieve this objective,
we must identify a suitable set of relations. A technique for producing a set of relations with
desirable properties, given the data requirements of an enterprise

DBMS 15CS53
NORMAL FORMS
A relation is defined as a set of tuples. By definition, all elements of a set are distinct; hence, all
tuples in a relation must also be distinct. This means that no two tuples can have the same
combination of values for all their attributes.
Any set of attributes of a relation schema is called a superkey. Every relation has at least one
superkey—the set of all its attributes. A key is a minimal superkey, i.e., a superkey from which
we cannot remove any attribute and still have the uniqueness constraint hold.
In general, a relation schema may have more than one key. In this case, each of the keys is called
a candidate key. It is common to designate one of the candidate keys as the primary key of the
relation. A foreign key is a key in a relation R but it's not a key (just an attribute) in other
relation R' of the same schema.
Integrity Constraints
The entity integrity constraint states that no primary key value can be null. This is because the primary
key value is used to identify individual tuples in a relation; having null values for the primary key implies
that we cannot identify some tuples.
The referential integrity constraint is specified between two relations and is used to maintain
the consistency among tuples of the two relations. Informally, the referential integrity constraint
states that a tuple in one relation that refers to another relation must refer to an existing tuple in
that relation.
An attribute of a relation schema R is called a prime attribute of the relation R if it is a member

of any key of the relation R. An attribute is called nonprime if it is not a prime attribute—that is,
if it is not a member of any candidate key.
The goal of normalization is to create a set of relational tables that are free of redundant data and
that can be consistently and correctly modified. This means that all tables in a relational database
should be in the in the third normal form (3 NF).
Normalization of data can be looked on as a process during which unsatisfactory relation

schemas are decomposed by breaking up their attributes into smaller relation schemas that
possess desirable properties. One objective of the original normalization process is to ensure that
the update anomalies such as insertion, deletion, and modification anomalies do not occur.
The most commonly used normal forms
 First Normal Form (1NF)

 Second Normal Form (2NF)
 Third Normal Form (3NF)
 Boyce-Codd Normal Form
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Other Normal Forms

 Fourth Normal Form
 Fifth Normal Form
 Domain Key Normal Form
First Normal Form (1NF)
First normal form is now considered to be part of the formal definition of a relation; historically,
it was defined to disallow multivalued attributes, composite attributes, and their combinations. It
states that the domains of attributes must include only atomic (simple, indivisible) values and
that the value of any attribute in a tuple must be a single value from the domain of that attribute.
Practical Rule: "Eliminate Repeating Groups," i.e., make a separate table for each set of related
attributes, and give each table a primary key.
Formal Definition: A relation is in first normal form (1NF) if and only if all underlying simple
domains contain atomic values only.
Second Normal Form (2NF)
Second normal form is based on the concept of fully functional dependency. A functional X Y
is a fully functional dependency is removal of any attribute A from X means that the dependency

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does not hold any more. A relation schema is in 2NF if every nonprime attribute in relation is
fully functionally dependent on the primary key of the relation. It also can be restated as: a
relation schema is in 2NF if every nonprime attribute in relation is not partially dependent on any
key of the relation.
Practical Rule: "Eliminate Redundant Data," i.e., if an attribute depends on only part of a
multivalued key, remove it to a separate table.
Formal Definition: A relation is in second normal form (2NF) if and only if it is in 1NF and
every nonkey attribute is fully dependent on the primary key.
Third Normal Form (3NF)
Third normal form is based on the concept of transitive dependency. A functional dependency X
Y in a relation is a transitive dependency if there is a set of attributes Z that is not a subset of
any key of the relation, and both X Z and Z Y hold. In other words, a relation is in 3NF if,
whenever a functional dependency
X A holds in the relation, either (a) X is a superkey of the relation, or (b) A is a prime attribute
of the relation.
Practical Rule: "Eliminate Columns not Dependent on Key," i.e., if attributes do not contribute to
a description of a key, remove them to a separate table.
Formal Definition: A relation is in third normal form (3NF) if and only if it is in 2NF and every
nonkey attribute is nontransitively dependent on the primary key.

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1NF: R is in 1NF iff all domain values are atomic.
2NF: R is in 2 NF iff R is in 1NF and every nonkey attribute is fully dependent on the key.
3NF: R is in 3NF iff R is 2NF and every nonkey attribute is non-transitively dependent on the
key.
Boyce-Codd Normal Form (BCNF)
A relation schema R is in Boyce-Codd Normal Form (BCNF) if whenever a FD X -> A holds in

R, then X is a superkey of R
 Each normal form is strictly stronger than the previous one:
 Every 2NF relation is in 1NF Every 3NF relation is in 2NF
 Every BCNF relation is in 3NF
 There exist relations that are in 3NF but not in BCNF
A relation is in BCNF, if and only if every determinant is a candidate key.
Additional criteria may be needed to ensure the the set of relations in a relational database are
satisfactory.

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If X Y is non-trivial then X is a super key

STREET CITY ZIP
{CITY,STREET } ZIP
ZIP CITY
 Insertion anomaly: the city of a zip code can’t be stored, if the street is not given
Normalization
STREET ZIP ZIP CITY
Relationship Between Normal Forms
Normalization Algorithms based on FDs to synthesize 3NF and BCNF describe two desirable
properties (known as properties of decomposition).

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 Dependency Preservation Property

 Lossless join property
Dependency Preservation Property enables us to enforce a constraint on the original relation
from corresponding instances in the smaller relations.
Lossless join property enables us to find any instance of the original relation from
corresponding instances in the smaller relations (Both used by the design algorithms to achieve
desirable decompositions).
A property of decomposition, which ensures that no spurious rows are generated when relations
are reunited through a natural join operation.
4.4 Algorithms for Relational Database Schema Design
Individual relations being in higher normal do not guarantee a good deign Database schema must
posses additional properties to guarantee a good design.
Relation Decomposition and Insufficiency of Normal Forms
Suppose R = { A1, A2, …, An} that includes all the attributes of the database. R is a universal
relation schema, which states that every attribute name is unique. Using FDs, the algorithms
decomposes the universal relation schema R into a set of relation schemas
D = {R1, R2, …, Rn} that will become the relational database schema; D is called a
decomposition of R. Each attribute in R will appear in at least one relation schema R i in the
decomposition so that no attributes are lost; we have
This is called attribute preservation condition of a decomposition.
Decomposition and Dependency Preservation
We want to preserve dependencies because each dependencies in F represents a constraint on the

database.
We would like to check easily that updates to the database do not result in illegal relations being
created.
It would be nice if our design allowed us to check updates without having to compute natural joins. To
know whether joins must be computed, we need to determine what functional dependencies may be
tested by checking each relation individually.

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Let F be a set of functional dependencies on schema R. Let D = {R1, R2, …, Rn} be a decomposition of R.
Given a set of dependencies F on R, the projection of F on Ri, pRi(F), where Ri is a subset of R, is the set
of all functional dependencies X®Y such that attributes in XÈY are all contained in Ri. Hence the
projection of F on each relation schema Ri in the decomposition D is the set of FDs in F+, such that all
their LHS and RHS attributes are in Ri. Hence, the projection of F on each relation schema Ri in the
decomposition D is the set of functional dependencies in F+.
((pR1(F))È (pR2(F))È … È(pRm(F)))+ = F+
i.e., the union of the dependencies that hold on each Ri belongs to D be equivalent to closure of F (all possible FDs)
/*Decompose relation, R, with functional dependencies, into relations, R1,..., Rn, with associated
functional dependencies,
F1,..., Fk.
The decomposition is dependency preserving if:
F+=(F1È...ÈFk)+ */
If each functional dependency specified in F either appeared directly in one of the relation
schema R in the decomposition D or could be inferred from the dependencies that appear in
some R.
Lossless-join Dependency
A property of decomposition, which ensures that no spurious rows are generated when relations
are reunited through a natural join operation.
Lossless-join property refers to when we decompose a relation into two relations - we can rejoin
the resulting relations to produce the original relation.
Decompose relation, R, with functional dependencies, F, into relations, R1 and R2, with attributes, A1
and A2, and associated functional dependencies, F1 and F2.
 Decompositions are projections of relational schemas

R A B C A,B A B B,C B C
a1 b1 c1 a1 b1 b1 c1

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a2 b2 c2 a2 b2 b2 c2
a3 b1 c3 a3 b1 b1 c3
 Old tables should be derivable from the newer ones through the natural join operation
A,B (R) B,C (R) A B C
a1 b1 c1
a2 b2 c2
a3 b1 c3
a1 b1 c3
a3 b1 c1
 Wrong!
 R1, R2 is a lossless join decomposition of R iff the attributes common to R1 and R2 contain a key
for at least one of the involved relations
RA B C A,B A B B,C B C
a1 b1 c1 a1 b1 b1 c1
a2 b2 c2 a2 b2 b2 c2
a3 b1 c1 a3 b1
 A,B (R) (R) = B

B,C
The decomposition is lossless iff:

 A1A2®A1\A2 is in F+, or
 A1A2®A2 \A1 is in F+
However, sometimes there is the requirement to decompose a relation into more than two
relations. Although rare, these cases are managed by join dependency and 5NF.
4.5 Multivalued Dependencies and Fourth Normal Form (4NF)
4NF associated with a dependency called multi-valued dependency (MVD). MVDs in a relation are due
to first normal form (1NF), which disallows an attribute in a row from having a set of values.

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MVD represents a dependency between attributes (for example, A, B, and C) in a relation, such
that for each value of A there is a set of values for B, and a set of values for C. However, the set
of values for B and C are independent of each other.
MVD between attributes A, B, and C in a relation using the following notation
A  B (A multidetermines B)
A  C
Formal Definition of Multivalued Dependency
A multivalued dependency (MVD) X Y specified on R, where X, and Y are both

subsets of R and Z = (R – (X Y)) specifies the following restrictions on r(R)
t3[X]=t4[X]=t1[X]=t2[X]
t3[Y] = t1[Y] and t4[Y] = t2[Y]
t3[Z] = t2[Z] and t4[Z] = t1 [Z]
Fourth Normal Form (4NF)
A relation that is in Boyce-Codd Normal Form and contains no MVDs. BCNF to 4NF involves
the removal of the MVD from the relation by placing the attribute(s) in a new relation along with
a copy of the determinant(s).
A Relation is in 4NF if it is in 3NF and there is no multivalued dependencies.

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Join Dependencies and 5 NF
A join dependency (JD), denoted by JD{R1, R2, …, Rn}, specified on relation schema R,
specifies a constraint on the states r of R. The constraint states that every legal state r of R should
have a lossless join decomposition into R1, R2, …, Rn; that is, for every such r we have
* (pR1(r), (pR2(r), … (pRn(r)) = r
Lossless-join property refers to when we decompose a relation into two relations - we can rejoin
the resulting relations to produce the original relation. However, sometimes there is the
requirement to decompose a relation into more than two relations. Although rare, these cases are
managed by join dependency and 5NF.
5NF (or project-join normal form (PJNF))

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A relation that has no join dependency.
Template Dependencies
The idea behind template dependencies is to specify a template—or example—that defines each
constraint or dependency. There are two types of templates: tuple-generating templates and
constraint-generating templates. A template consists of a number of hypothesis tuples that are
meant to show an example of the tuples that may appear in one or more relations. The other part
of the template is the template conclusion. For tuple-generating templates, the conclusion is a set
of tuples that must also exist in the relations if the hypothesis tuples are there. For constraint-
generating templates, the template conclusion is a condition that must hold on the hypothesis
tuples.
Domain Key Normal Form
The idea behind domain-key normal form (DKNF) is to specify (theoretically, at least) the
"ultimate normal form" that takes into account all possible types of dependencies and constraints.
A relation is said to be in DKNF if all constraints and dependencies that should hold on the
relation can be enforced simply by enforcing the domain constraints and key constraints on the
relation.
However, because of the difficulty of including complex constraints in a DKNF relation, its
practical utility is limited, since it may be quite difficult to specify general integrity constraints.
For example, consider a relation CAR(MAKE, VIN#) (where VIN# is the vehicle identification
number) and another relation MANUFACTURE(VIN#, COUNTRY) (where COUNTRY is the country of
manufacture). A general constraint may be of the following form: "If the MAKE is either Toyota or
Lexus, then the first character of the VIN# is a "J" if the country of manufacture is Japan; if the
MAKE is Honda or Acura, the second character of the VIN# is a "J" if the country of manufacture
is Japan." There is no simplified way to represent such constraints short of writing a procedure
(or general assertions) to test them.
Module 5
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Transaction Processing Concepts
 Introduction to Transaction Processing

 Transaction and System Concepts
 Desirable Properties of Transactions
 Schedules and Recoverability
 Serializability of Schedules
 Transaction Support in SQL
5.1 Introduction to Transaction Processing
Single-User Versus Multiuser Systems
 A DBMS is single-user id at most one user at a time can use the system, and it is multiuser if
many users can use the system—and hence access the database—concurrently.
 Most DBMS are multiuser (e.g., airline reservation system).
 Multiprogramming operating systems allow the computer to execute multiple programs (or
processes) at the same time (having one CPU, concurrent execution of processes is actually
interleaved).
 If the computer has multiple hardware processors (CPUs), parallel processing of multiple
processes is possible.

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5.2 Transactions, Read and Write Operations
 A transaction is a logical unit of database processing that includes one or more database access
operations (e.g., insertion, deletion, modification, or retrieval operations). The database
operations that form a transaction can either be embedded within an application program or
they can be specified interactively via a high-level query language such as SQL. One way of
specifying the transaction boundaries is by specifying explicit begin transaction and end
transaction statements in an application program; in this case, all database access operations
between the two are considered as forming one transaction. A single application program may
contain more than one transaction if it contains several transaction boundaries. If the database
operations in a transaction do not update the database but only retrieve data, the transaction is
called a read-only transaction.
 Read-only transaction - do not changes the state of a database, only retrieves data.
 The basic database access operations that a transaction can include are as follows:
o read_item(X): reads a database item X into a program variable X.
o write_item(X): writes the value of program variable X into the database item named X.
Executing a read_item(X) command includes the following steps:
1. Find the address of the disk block that contains item X.

2. Copy that disk block into a buffer in main memory (if that disk block is not already in
some main memory buffer).

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3. Copy item X from the buffer to the program variable named X.
Executing a write_item(X) command includes the following steps:
4. Find the address of the disk block that contains item X.

5. Copy that disk block into a buffer in main memory (if that disk block is not already in
some main memory buffer).
6. Copy item X from the program variable named X into its correct location in the buffer.
7. Store the updated block from the buffer back to disk (either immediately or at some
later point in time).
Why Concurrency Control Is Needed
 The Lost Update Problem.
This problem occurs when two transactions that access the same database items have
their operations interleaved in a way that makes the value of some database item
incorrect. Suppose that transactions T1 and T2 are submitted at approximately the same
time, and suppose that their operations are interleaved then the final value of item X is
incorrect, because T2 reads the value of X before T1 changes it in the database, and hence
the updated value resulting from T1 is lost. For example, if X = 80 at the start (originally

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there were 80 reservations on the flight), N = 5 (T1 transfers 5 seat reservations from the
flight corresponding to X to the flight corresponding to Y), and M = 4 (T2 reserves 4 seats
on X), the final result should be X = 79; but in the interleaving of operations, it is X = 84
because the update in T1 that removed the five seats from X was lost.
 The Temporary Update (or Dirty Read) Problem.
This problem occurs when one transaction updates a database item and then the
transaction fails for some reason. The updated item is accessed by another transaction
before it is changed back to its original value. Figure 19.03(b) shows an example where
T1 updates item X and then fails before completion, so the system must change X back to
its original value. Before it can do so, however, transaction T2 reads the "temporary"
value of X, which will not be recorded permanently in the database because of the failure
of T1. The value of item X that is read by T2 is called dirty data, because it has been
created by a transaction that has not completed and committed yet; hence, this problem is
also known as the dirty read problem.

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 The Incorrect Summary Problem.
If one transaction is calculating an aggregate summary function on a number of records

while other transactions are updating some of these records, the aggregate function may
calculate some values before they are updated and others after they are updated. For
example, suppose that a transaction T3 is calculating the total number of reservations on
all the flights; meanwhile, transaction T1 is executing. If the interleaving of operations
shown in Figure 19.03(c) occurs, the result of T3 will be off by an amount N because T3
reads the value of X after N seats have been subtracted from it but reads the value of Y
before those N seats have been added to it.
Another problem that may occur is called unrepeatable read, where a transaction T
reads an item twice and the item is changed by another transaction T' between the two
reads. Hence, T receives different values for its two reads of the same item. This may
occur, for example, if during an airline reservation transaction, a customer is inquiring
about seat availability on several flights. When the customer decides on a particular
flight, the transaction then reads the number of seats on that flight a second time before
completing the reservation.

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Why Recovery Is Needed
Whenever a transaction is submitted to a DBMS for execution, the system is responsible

for making sure that either (1) all the operations in the transaction are completed
successfully and their effect is recorded permanently in the database, or (2) the
transaction has no effect whatsoever on the database or on any other transactions. The
DBMS must not permit some operations of a transaction T to be applied to the database
while other operations of T are not. This may happen if a transaction fails after executing
some of its operations but before executing all of them.
Types of Failures
Failures are generally classified as transaction, system, and media failures. There are
several possible reasons for a transaction to fail in the middle of execution:
1. A computer failure (system crash): A hardware, software, or network error occurs in the
computer system during transaction execution. Hardware crashes are usually media
failures—for example, main memory failure.
2. A transaction or system error: Some operation in the transaction may cause it to fail,
such as integer overflow or division by zero. Transaction failure may also occur because
of erroneous parameter values or because of a logical programming error . In addition,
the user may interrupt the transaction during its execution.
3. Local errors or exception conditions detected by the transaction: During transaction

execution, certain conditions may occur that necessitate cancellation of the transaction.
For example, data for the transaction may not be found. Notice that an exception
condition , such as insufficient account balance in a banking database, may cause a
transaction, such as a fund withdrawal, to be canceled. This exception should be
programmed in the transaction itself, and hence would not be considered a failure.
4. Concurrency control enforcement: The concurrency control method (see Chapter 20)
may decide to abort the transaction, to be restarted later, because it violates
serializability (see Section 19.5) or because several transactions are in a state of
deadlock.
5. Disk failure: Some disk blocks may lose their data because of a read or write malfunction
or because of a disk read/write head crash. This may happen during a read or a write
operation of the transaction.
6. Physical problems and catastrophes: This refers to an endless list of problems that
includes power or air-conditioning failure, fire, theft, sabotage, overwriting disks or
tapes by mistake, and mounting of a wrong tape by the operator.
Failures of types 1, 2, 3, and 4 are more common than those of types 5 or 6. Whenever a
failure of type 1 through 4 occurs, the system must keep sufficient information to recover
from the failure. Disk failure or other catastrophic failures of type 5 or 6 do not happen
frequently; if they do occur, recovery is a major task.

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The concept of transaction is fundamental to many techniques for concurrency control

and recovery from failures.
Transaction and System Concepts
Transaction States and Additional Operations
A transaction is an atomic unit of work that is either completed in its entirety or not done
at all. For recovery purposes, the system needs to keep track of when the transaction
starts, terminates, and commits or aborts (see below). Hence, the recovery manager keeps
track of the following operations:
o BEGIN_TRANSACTION: This marks the beginning of transaction execution.

o READ or WRITE: These specify read or write operations on the database items that are
executed as part of a transaction.
o END_TRANSACTION: This specifies that READ and WRITE transaction operations have ended
and marks the end of transaction execution. However, at this point it may be necessary
to check whether the changes introduced by the transaction can be permanently applied
to the database (committed) or whether the transaction has to be aborted because it
violates serializability (see Section 19.5) or for some other reason.
o COMMIT_TRANSACTION: This signals a successful end of the transaction so that any changes
(updates) executed by the transaction can be safely committed to the database and will
not be undone.
o ROLLBACK (or ABORT): This signals that the transaction has ended unsuccessfully, so that
any changes or effects that the transaction may have applied to the database must be
undone.
Figure 19.04 shows a state transition diagram that describes how a transaction moves
through its execution states. A transaction goes into an active state immediately after it
starts execution, where it can issue READ and WRITE operations. When the transaction ends,
it moves to the partially committed state. At this point, some recovery protocols need to
ensure that a system failure will not result in an inability to record the changes of the
transaction permanently (usually by recording changes in the system log ). Once this
check is successful, the transaction is said to have reached its commit point and enters the
committed state. Once a transaction is committed, it has concluded its execution
successfully and all its changes must be recorded permanently in the database.

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The System Log
 To be able to recover from failures that affect transactions, the system maintains a log to keep
track of all transactions that affect the values of database items.
 Log records consists of the following information (T refers to a unique transaction_id):
1. [start_transaction, T]: Indicates that transaction T has started execution.
2. [write_item, T,X,old_value,new_value]: Indicates that transaction T has changed the

value of database item X from old_value to new_value.
3. [read_item, T,X]: Indicates that transaction T has read the value of database item X.
4. [commit,T]: Indicates that transaction T has completed successfully, and affirms that its
effect can be committed (recorded permanently) to the database.
5. [abort,T]: Indicates that transaction T has been aborted.
Desirable Properties of Transactions
Transactions should posses the following (ACID) properties:
Transactions should possess several properties. These are often called the ACID properties, and
they should be enforced by the concurrency control and recovery methods of the DBMS. The
following are the ACID properties:

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1. Atomicity: A transaction is an atomic unit of processing; it is either performed in its entirety or

not performed at all.
2. Consistency preservation: A transaction is consistency preserving if its complete execution
take(s) the database from one consistent state to another.
3. Isolation: A transaction should appear as though it is being executed in isolation from other
transactions. That is, the execution of a transaction should not be interfered with by any other
transactions executing concurrently.
4. Durability or permanency: The changes applied to the database by a committed transaction

must persist in the database. These changes must not be lost because of any failure.
The atomicity property requires that we execute a transaction to completion. It is the

responsibility of the transaction recovery subsystem of a DBMS to ensure atomicity. If a
transaction fails to complete for some reason, such as a system crash in the midst of transaction
execution, the recovery technique must undo any effects of the transaction on the database.
Schedules and Recoverability
A schedule (or history) S of n transactions T1, T2, ..., Tn is an ordering of the operations of the
transactions subject to the constraint that, for each transaction Ti that participates in S, the
operations of Ti in S must appear in the same order in which they occur in Ti. Note, however,
that operations from other transactions Tj can be interleaved with the operations of Ti in S. For
now, consider the order of operations in S to be a total ordering, although it is possible
theoretically to deal with schedules whose operations form partial orders.
Similarly, the schedule for Figure 19.03(b), which we call Sb, can be written as follows, if we
assume that transaction T1 aborted after its read_item(Y) operation:
Two operations in a schedule are said to conflict if they satisfy all three of the following
conditions:
1. they belong to different transactions;

2. they access the same item X; and

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3. at least one of the operations is a write_item(X).
For example, in schedule , the operations conflict, as do the operations

), and the operations w1(X) and w2(X). However, the operations r1(X) and
r2(X) do not conflict, since they are both read operations; the operations w2(X) and w1(Y) do not
conflict, because they operate on distinct data items X and Y; and the operations r1(X) and w1(X)
do not conflict, because they belong to the same transaction.
A schedule S of n transactions T1, T2, ..., Tn, is said to be a complete schedule if the following
conditions hold:
1. The operations in S are exactly those operations in T1, T2, ..., Tn, including a commit or abort
operation as the last operation for each transaction in the schedule.
2. For any pair of operations from the same transaction Ti, their order of appearance in S is the
same as their order of appearance in Ti.
3. For any two conflicting operations, one of the two must occur before the other in the schedule.
Characterizing Schedules Based on Recoverability
once a transaction T is committed, it should never be necessary to roll back T. The schedules that
theoretically meet this criterion are called recoverable schedules and those that do not are called
nonrecoverable, and hence should not be permitted.
A schedule S is recoverable if no transaction T in S commits until all transactions T' that have
written an item that T reads have committed. A transaction T reads from transaction T in a
schedule S if some item X is first written by and later read by T. In addition, should not
have been aborted before T reads item X, and there should be no transactions that write X after
writes it and before T reads it (unless those transactions, if any, have aborted before T reads
X).
Consider the schedule given below, which is the same as schedule except that two
commit operations have been added to :

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is not recoverable, because T2 reads item X from T1, and then T2 commits before T1
commits. If T1 aborts after the c2 operation in , then the value of X that T2 read is no longer
valid and T2 must be aborted after it had been committed, leading to a schedule that is not
recoverable. For the schedule to be recoverable, the c2 operation in must be postponed until
after T1 commits. If T1 aborts instead of committing, then T2 should also abort as shown in Se,
because the value of X it read is no longer valid.
In a recoverable schedule, no committed transaction ever needs to be rolled back. However, it is

possible for a phenomenon known as cascading rollback (or cascading abort) to occur, where
an uncommitted transaction has to be rolled back because it read an item from a transaction that
failed.
Serializability of Schedules
 If no interleaving of operations is permitted, there are only two possible arrangement for
transactions T1 and T2.
1. Execute all the operations of T1 (in sequence) followed by all the operations of T2 (in
sequence).
2. Execute all the operations of T2 (in sequence) followed by all the operations of T1
 A schedule S is serial if, for every transaction T all the operations of T are executed consecutively
in the schedule.
 A schedule S of n transactions is serializable if it is equivalent to some serial schedule of the

same n transactions.

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Transaction Support in SQL
 An SQL transaction is a logical unit of work (i.e., a single SQL statement).

 The access mode can be specified as READ ONLY or READ WRITE. The default is READ WRITE,
which allows update, insert, delete, and create commands to be executed.
 The diagnostic area size option specifies an integer value n, indicating the number of conditions
that can be held simultaneously in the diagnostic area.
 The isolation level option is specified using the statement ISOLATION LEVEL.
 the default isolation level is SERIALIZABLE.
A sample SQL transaction might look like the following:
EXEC SQL WHENEVER SQLERROR GOTO UNDO;

EXEC SQL SET TRANSACTION
READ WRITE
DIAGNOSTICS SIZE 5
ISOLATION LEVEL SERIALIZABLE;
EXEC SQL INSERT INTO EMPLOYEE (FNAME, LNAME, SSN, DNO, SALARY)
VALUES ('Jabbar', 'Ahmad', '998877665', 2, 44000);
EXEC SQL UPDATE EMPLOYEE

DBMS 15CS53
SET SALARY = SALARY * 1.1 WHERE DNO = 2;

EXEC SQL COMMIT;
GOTO THE_END;
UNDO: EXEC SQL ROLLBACK;
THE_END: . . . ;

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DBMS 15CS53

DATABASE MANAGEMENT SYSTEM

Module – 1 Teaching Hours 10

Module – 2 Teaching Hours 10

Module – 3 Teaching Hours 10

Dept of ISE, SJBIT Page 1

Module – 4 Teaching Hours 10

Module – 5 Teaching Hours 10

Course outcomes: The students should be able to:

Question paper pattern:

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In general data management consists of following tasks

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1.1 Characteristics of DBMS

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• Information systems should allow interactive access to data to obtain new

1.2 Difference between File system & DBMS

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3. In File system storing and retrieving of data cannot be done efficiently.

1.3 Advantages of DBMS.

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2. Efficient data access.:

1.4 Functions of DBMS

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Typically there are three types of users for a DBMS:

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A database management system (DBMS) is a collection of programs that

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1.7 Architecture of DBMS

A commonly used views of data approach is the three-level architecture suggested by

Dept of ISE, SJBIT Page 10

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1.8 Data Independence

1.9 Data Models, Schemas, and Instances

Logical vs. physical!!

Categories of Data Models (based on degree of abstractness):

 high-level/conceptual: (e.g., ER model of Chapter 3) provides a view close to the way

Dept of ISE, SJBIT Page 13

o relationship: an interaction among entities (e.g., works-on relationship between

1.9.1: Schemas, Instances, and Database State

1.10 DBMS Architecture and Data Independence

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Example: Select students with GPA > 1.15.

Q:How is this accomplished?

 external/conceptual mapping (providing logical data independence)

1.11 Database Languages and Interfaces

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1.11.1 DBMS Languages

1.11.2 DBMS Interfaces

 Menu-based interfaces for web clients or browsing

1.11.3 Database System Environment

See Figure 2.3, page 41.

1.12 Classification of DBMS's

 underlying data model (e.g., relational, object, object-relational, network)

Outline of Database Design

 Requirements Collection and Analysis: purpose is to produce a description of the users'

1.13: Entity-Relationship (ER) Model

1.13.1 Entities and Attributes

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