Copyright © 2007 Ramez Elmasri and Shamkant B.

Navathe Slide 2- 1
Chapter 2
Database System Concepts and
Architecture

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe

Outline
 Data Models and Their Categories
 History of Data Models
 Schemas, Instances, and States
 Three-Schema Architecture
 Data Independence
 DBMS Languages and Interfaces
 Database System Utilities and Tools
 Centralized and Client-Server Architectures
 Classification of DBMSs

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 3

Data Models
 Data Model:
 A set of concepts to describe the structure of a database
which helps in achieving data abstraction, the operations
for manipulating these structures, and certain constraints
that the database should obey.
 Data Model Structure and Constraints:
 Constructs are used to define the database structure
 Constructs typically include elements (and their data
types) as well as groups of elements (e.g. entity, record,
table), and relationships among such groups
 Constraints specify some restrictions on valid data; these
constraints must be enforced at all times

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 4

Data Models (continued)
 Data Model Operations:
 These operations are used for specifying database
retrievals and updates by referring to the
constructs of the data model.
 Operations on the data model may include basic
model operations (e.g. generic insert, delete,
update) and user-defined operations (e.g.
compute_student_gpa, update_inventory)

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 5

Categories of Data Models
 Conceptual (high-level, semantic) data models:
 Provide concepts that are close to the way many users
perceive data.
 (Also called entity-based or object-based data models.)
 Uses concepts such as entities, attributes and relationships.
 Entities represent real world object or concept.
 Attribute further describe an entity.
 Relationships is an association among two or more entities.
 Physical (low-level, internal) data models:
 Provide concepts that describe details of how data is stored
in the computer by representing the format like access path.
 Access path is the structure for efficient searching of
database records.

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 6

 Implementation (representational) data models:
 Provide concepts that fall between the above two, used by
many commercial DBMS implementations (e.g. relational
data models used in many commercial systems).
 Represents data using record structures hence called
record-based data models.
 Three Categories of Representational Data Models are
 Relational Data Model.
 Network Data Model.
 Hierarchical Data Model.

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 7

Schemas versus Instances
 Database Schema or subset of Meta Data:
 The description of a database.
 Includes descriptions of the database structure,
data types, and the constraints on the database.
 Schema Diagram:
 An illustrative display of (most aspects of) a
database schema. For Student:
Name Roll No BRANCH ADDRESS

 Schema Construct:
 A component of the schema or an object within
the schema, e.g., STUDENT, COURSE.
Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 8
Schemas versus Instances
 Database State(instance or snapshot):
 The actual data stored in a database at a
particular moment in time. This includes the
collection of all the data in the database.
 Also called database instance (or occurrence or
snapshot).
 The term instance is also applied to individual
database components, e.g. record instance, table
instance, entity instance

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 9

Database Schema
vs. Database State
 Database State:
 Refers to the content of a database at a moment
in time.
 Initial Database State:
 Refers to the database state when it is initially
loaded into the system.
 Valid State:
 A state that satisfies the structure and constraints
of the database.

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 10

Database Schema
vs. Database State (continued)
 Distinction
 The database schema changes very infrequently.
 The database state changes every time the
database is updated.

 Schema is also called intension.

 State is also called extension.

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 11

Example of a Database Schema

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 12

Example of a database state

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 13

Three-Schema Architecture
 Proposed to support DBMS characteristics of:
 Program-data independence.
 Support of multiple views of the data.
 Not explicitly used in commercial DBMS products,
but has been useful in explaining database
system organization

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 14

Three-Schema Architecture
 Defines DBMS schemas at three levels:
 Internal schema at the internal level to describe physical
storage structures and access paths (e.g indexes).
 Typically uses a physical data model.
 Conceptual schema at the conceptual level to describe the
structure and constraints for the whole database for a
community of users.
 Uses a conceptual or an implementation data model.
 External schemas at the external level to describe the
various user views.
 Usually uses the same data model as the conceptual schema.

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 15

The three-schema architecture

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 16

Three-Schema Architecture
 Mappings among schema levels are needed to
transform requests and data.
 Programs refer to an external schema, and are
mapped by the DBMS to the internal schema for
execution.
 Data extracted from the internal DBMS level is
reformatted to match the user’s external view (e.g.
formatting the results of an SQL query for display
in a Web page)

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 17

Data Independence
 Logical Data Independence:
 The capacity to change the conceptual schema
without having to change the external schemas
and their associated application programs.
 Physical Data Independence:
 The capacity to change the internal schema
without having to change the conceptual schema.
 For example, the internal schema may be changed
when certain file structures are reorganized or new
indexes are created to improve database
performance

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 18

Data Independence (continued)
 When a schema at a lower level is changed, only
the mappings between this schema and higher-
level schemas need to be changed in a DBMS
that fully supports data independence.
 The higher-level schemas themselves are
unchanged.
 Hence, the application programs need not be
changed since they refer to the external schemas.

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 19

DBMS Languages
 Data Definition Language (DDL)
 Data Manipulation Language (DML)
 High-Level or Non-procedural Languages: These
include the relational language SQL
 May be used in a standalone way or may be
embedded in a programming language
 Low Level or Procedural Languages:
 These must be embedded in a programming
language

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 20

DBMS Languages
 Data Definition Language (DDL):
 Used by the DBA and database designers to
specify the conceptual schema of a database.
 In many DBMSs, the DDL is also used to define
internal and external schemas (views).
 In some DBMSs, separate storage definition
language (SDL) and view definition language
(VDL) are used to define internal and external
schemas respectively.
 SDL is typically realized via DBMS commands
provided to the DBA and database designers

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 21

DBMS Languages
 Data Manipulation Language (DML):
 Used to specify database retrievals and updates
 DML commands (data sublanguage) can be
embedded in a general-purpose programming
language (host language), such as COBOL, C, C+
+, or Java.
 A library of functions can also be provided to access
the DBMS from a programming language
 Alternatively, stand-alone DML commands can be
applied directly (called a query language).

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 22

Types of DML
 High Level or Non-procedural Language:
 For example, the SQL relational language
 Are “set”-oriented and specify what data to retrieve
rather than how to retrieve it.
 Also called declarative languages.
 Low Level or Procedural Language:
 Retrieve data one record-at-a-time;
 Constructs such as looping are needed to retrieve
multiple records, along with positioning pointers.

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 23

DBMS Interfaces
 Stand-alone query language interfaces
 Example: Entering SQL queries at the DBMS
interactive SQL interface (e.g. SQL*Plus in
ORACLE)
 Programmer interfaces for embedding DML in
programming languages
 User-friendly interfaces
 Menu-based, forms-based, graphics-based, etc.

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 24

DBMS Programming Language Interfaces
 Programmer interfaces for embedding DML in a
programming languages:
 Embedded Approach: e.g embedded SQL (for C,
C++, etc.), SQLJ (for Java)
 Procedure Call Approach: e.g. JDBC for Java,
ODBC for other programming languages
 Database Programming Language Approach:
e.g. ORACLE has PL/SQL, a programming
language based on SQL; language incorporates
SQL and its data types as integral components

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 25

User-Friendly DBMS Interfaces
 Menu-based, popular for browsing on the web
 Forms-based, designed for naïve users
 Graphical User Interface
 (Uses Point and Click, Drag and Drop, etc.. to pick certain
parts of the displayed diagram.)
 Natural language: requests in written English
 It has its own Schema and dictionaries
 Refers to them while interpreting a request
 If interpretation is successful a high level query language is
generated. And submits to the DBMS for Query processing.

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 26

Other DBMS Interfaces
 Combinations of the above:
 For example, both menus and forms used extensively in
Web database interfaces
 Speech as Input and Output
 Web Browser as an interface
 Parametric interfaces have a small set of operations that
they must perform repeatedly. e.g., bank tellers using
function keys.
 Interfaces for the DBA:
 Creating user accounts, granting authorizations
 Setting system parameters
 Changing schemas or access paths

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 27

Database System Utilities
 To perform certain functions such as:
 Loading data stored in files into a database.
Includes data conversion tools.
 Backing up the database periodically on tape.
 Reorganizing database file structures.
 Report generation utilities.
 Performance monitoring utilities.
 Other functions, such as sorting, user monitoring,
data compression, etc.

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 28

Other Tools
 Data dictionary / repository:
 Used to store schema descriptions and other
information such as design decisions, application
program descriptions, user information, usage
standards, etc.(i.e. catalog information)
 Active data dictionary is accessed by DBMS
software and users/DBA.
 Passive data dictionary is accessed by
users/DBA only.

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 29

Other Tools
 Application Development Environments: provides an
environment for developing database applications.
Examples
 PowerBuilder (Sybase)
 JBuilder (Borland)
 JDeveloper 10G (Oracle)
 CASE (computer-aided software engineering) tools:
used during the design of the database.

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 30

Typical DBMS Component Modules

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 31

 DDL Compiler: Processes schema definition and
stores it into the catalog.
 Query Compiler : handles high level queries .
 It analyses and interprets Query by creating a
Database access code and calls runtime database
processor to execute the code.
 Pre-Compiler: Extracts DML commands from an
application program.
 DML Compiler: Extracted DML commands are sent to
the DML Compiler for compilation of DML commands
into object code.
Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 32
 The rest of the Application Program (i.e. after extracting
the DML commands ) and object code generated from the
DML Compiler are linked together to form Compiled
Transactions or canned transactions which are used by
parametric users which in turn calls runtime Database
processor.
 Runtime Database Processor: It handles database
accesses at runtime and also receives retrieval and
update requests and carries them onto the stored
database.
 Stored Data manager: It controls access to the
information that is stored on disk and carries out data
transfer between disk and main memory.
Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 33
Centralized and
Client-Server DBMS Architectures
 Earlier, mainframe computers were used to process all system
functions.
 Users accessed systems via computer terminals which
provided only display capabilities but no processing
capabilities.
 So processing is performed remotely on the computer system.
Only display information is sent to the terminals.
 As prices of hardware declined terminals are replaced by PCs
& workstations.
 Initially the PCs and Workstations were used as display
terminals but as DBMS were Centralized such as all the
functionalities of DBMS, user processing, execution of
Application program all were done at one machine.

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 34

 Centralized DBMS:
 Combines everything into single system including-

DBMS software, hardware, application programs, and

user interface processing software.
 User can still connect through a remote terminal –

however, all processing is done at centralized site.

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 35

A Physical Centralized Architecture

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 36

Basic 2-tier Client-Server Architectures
 Specialized Servers with Specialized functions
 Print server
 File server
 DBMS server
 Web server
 Email server
 Clients can access the specialized servers as
needed

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 37

Logical two-tier client server architecture

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 38

Clients
 Provide appropriate interfaces through a client
software module to access and utilize the various
server resources.
 Clients may be diskless machines or PCs or
Workstations with disks with only the client
software installed.
 Connected to the servers via some form of a
network.
 (LAN: local area network, wireless network, etc.)

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 39

DBMS Server
 Provides database query and transaction services to the
clients
 Relational DBMS servers are often called SQL servers,
query servers, or transaction servers
 Applications running on clients utilize an Application
Program Interface (API) to access server databases via
standard interface such as:
 ODBC: Open Database Connectivity standard
 JDBC: for Java programming access
 Client and server must install appropriate client module
and server module software for ODBC or JDBC
 See Chapter 9

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 40

Two Tier Client-Server Architecture
 A client program may connect to several DBMSs,
sometimes called the data sources.
 In general, data sources can be files or other
non-DBMS software that manages data.
 Other variations of clients are possible: e.g., in
some object DBMSs, more functionality is
transferred to clients including data dictionary
functions, optimization and recovery across
multiple servers, etc.

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 41

Three Tier Client-Server Architecture
 Common for Web applications
 Intermediate Layer called Application Server or Web
Server:
 Stores the web connectivity software and the business logic
part of the application used to access the corresponding
data from the database server
 Acts like a conduit for sending partially processed data
between the database server and the client.
 Three-tier Architecture Can Enhance Security:
 Database server only accessible via middle tier
 Clients cannot directly access database server

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 42

Three-tier client-server architecture

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 43

Classification of DBMSs
 Several criteria is used to classify DBMS:
 Data Model.
 Number of users.
 Cost of DBMS.
 Number of sites.
 Types of access paths.
 Generality.

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 44

 Based on the data model used
 Traditional: Relational, Network, Hierarchical.
 Emerging: Object-oriented, Object-relational.
 Other classifications
 Single-user (typically used with personal
computers)
vs. multi-user (most DBMSs).
 Centralized (uses a single computer with one
database)
vs. distributed (uses multiple computers, multiple
databases)

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 45

Variations of Distributed DBMSs
(DDBMSs)
 Homogeneous DDBMS
 Heterogeneous DDBMS
 Federated or Multidatabase Systems
 Distributed Database Systems have now come to
be known as client-server based database
systems because:
 They do not support a totally distributed
environment, but rather a set of database servers
supporting a set of clients.

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 46

Cost considerations for DBMSs
 Cost Range: from free open-source systems to
configurations costing millions of dollars
 Examples of free relational DBMSs: MySQL, PostgreSQL,
others
 Commercial DBMS offer additional specialized modules,
e.g. time-series module, spatial data module, document
module, XML module
 These offer additional specialized functionality when
purchased separately
 Sometimes called cartridges (e.g., in Oracle) or blades
 Different licensing options: site license, maximum number
of concurrent users (seat license), single user, etc.

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 47

History of Data Models
 Network Model
 Hierarchical Model
 Relational Model
 Object-oriented Data Models
 Object-Relational Models

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 48

History of Data Models
 Network Model:
 The first network DBMS was implemented by
Honeywell in 1964-65 (IDS System).
 Adopted heavily due to the support by CODASYL
(Conference on Data Systems Languages)
(CODASYL - DBTG report of 1971).
 Later implemented in a large variety of systems -
IDMS (Cullinet - now Computer Associates), DMS
1100 (Unisys), IMAGE (H.P. (Hewlett-Packard)),
VAX -DBMS (Digital Equipment Corp., next
COMPAQ, now H.P.).

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 49

Example of Network Model Schema

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 50

Network Model
 Advantages:
 Network Model is able to model complex
relationships and represents semantics of
add/delete on the relationships.
 Can handle most situations for modeling using
record types and relationship types.
 Language is navigational; uses constructs like
FIND, FIND member, FIND owner, FIND NEXT
within set, GET, etc.
 Programmers can do optimal navigation through the
database.

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 51

Network Model
 Disadvantages:
 Navigational and procedural nature of processing
 Database contains a complex array of pointers
that thread through a set of records.
 Little scope for automated “query optimization”

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 52

History of Data Models
 Hierarchical Data Model:
 Initially implemented in a joint effort by IBM and
North American Rockwell around 1965. Resulted
in the IMS family of systems.
 IBM’s IMS product had (and still has) a very large
customer base worldwide
 Hierarchical model was formalized based on the
IMS system
 Other systems based on this model: System 2k
(SAS inc.)

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 53

Hierarchical Model
 Advantages:
 Simple to construct and operate
 Corresponds to a number of natural hierarchically organized
domains, e.g., organization (“org”) chart
 Language is simple:
 Uses constructs like GET, GET UNIQUE, GET NEXT, GET
NEXT WITHIN PARENT, etc.
 Disadvantages:
 Navigational and procedural nature of processing
 Database is visualized as a linear arrangement of records
 Little scope for "query optimization"

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 54

History of Data Models
 Relational Model:
 Proposed in 1970 by E.F. Codd (IBM), first commercial
system in 1981-82.
 Now in several commercial products (e.g. DB2, ORACLE,
MS SQL Server, SYBASE, INFORMIX).
 Several free open source implementations, e.g. MySQL,
PostgreSQL
 Currently most dominant for developing database
applications.
 SQL relational standards: SQL-89 (SQL1), SQL-92 (SQL2),
SQL-99, SQL3, …
 Chapters 5 through 11 describe this model in detail

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 55

History of Data Models
 Object-oriented Data Models:
 Several models have been proposed for implementing in a
database system.
 One set comprises models of persistent O-O Programming
Languages such as C++ (e.g., in OBJECTSTORE or
VERSANT), and Smalltalk (e.g., in GEMSTONE).
 Additionally, systems like O2, ORION (at MCC - then
ITASCA), IRIS (at H.P.- used in Open OODB).
 Object Database Standard: ODMG-93, ODMG-version 2.0,
ODMG-version 3.0.
 Chapters 20 and 21 describe this model.

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 56

History of Data Models
 Object-Relational Models:
 Most Recent Trend. Started with Informix
Universal Server.
 Relational systems incorporate concepts from
object databases leading to object-relational.
 Exemplified in the latest versions of Oracle-10i,
DB2, and SQL Server and other DBMSs.
 Standards included in SQL-99 and expected to be
enhanced in future SQL standards.
 Chapter 22 describes this model.

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 57

Summary
 Data Models and Their Categories
 History of Data Models
 Schemas, Instances, and States
 Three-Schema Architecture
 Data Independence
 DBMS Languages and Interfaces
 Database System Utilities and Tools
 Centralized and Client-Server Architectures
 Classification of DBMSs

Copyright © 2007 Ramez Elmasri and Shamkant B. Navathe Slide 2- 58