Strictly as per Revised Syllabus of

Anna University
Choice Based Credit System (CBCS)
Semester - IV (CSE / IT)

Database Management Systems

Mrs. Anuradha A. Puntambekar
M.E. (Computer)
Formerly Assistant Professor in
P.E.S. Modern College of Engineering,
Pune

® TM
ISBN 978-93-332-2129-0

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 Database Management Systems
Semester - IV (CSE / IT)

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 UNIT - I

Syllabus
Purpose of Database System - Views of data - Data Models- Database System Architecture -
Introduction to relational databases - Relational Model - Keys - Relational Algebra - SQL
fundamentals - Advanced SQL features - Embedded SQL - Dynamic SQL.

Contents
1.1 Introduction to Database Management
1.2 Purpose of Database System ...................................... May-07, 12, Dec.-04, ........... Marks 8
1.3 Views of Data ................................................................ May-16 ............................... Marks 16
1.4 Data Models ................................................................ Dec.-14, ................................ Marks 8
1.5 Database System Architecture .................................... May-12, 13, 14, 16, 17,
................................................................................. Dec.-08, 15, 17,................... Marks 16
1.6 Data Independence
1.7 Introduction to Relational Databases
1.8 Relational Model
1.9 Keys ........................................................................... May-06, 07, 12, Dec.-06, ..... Marks 4
1.10 Integrity Constraints ................................................. Dec.-05, ............................. Marks 10
1.11 Database integrity
1.12 Relational Algebra..................................................... May-03,04,05,14,15,16,17,18,
................................................................................. Dec.-02,07,08,11,15,16,17 . Marks 16
1.13 SQL Fundamentals ................................................... Dec.-15,............................... Marks 16
1.14 Advanced SQL Features
1.15 Dynamic SQL ............................................................. May-17, Dec.-17, ................ Marks 11
1.16 Two Marks Questions with Answers

(1 - 1)
Database Management Systems 1-2 Relational Databases

Part I : Introduction of DBMS

1.1 Introduction to Database Management

 Definition : A Database Management System (DBMS) is a collection of
interrelated data and various programs that are used to handle that data.
 The primary goal of DBMS is to provide a way to store and retrieve the required
information from the database in convenient and efficient manner.
 For managing the data in the database two important tasks are conducted -
(i) Define the structure for storage of information.
(ii) Provide mechanism for manipulation of information.
 In addition, the database systems must ensure the safety of information stored.
Database System Applications
There are wide range of applications that make use of database systems. Some of the
applications are -
1) Accounting : Database systems are used in maintaining information employees,
salaries, and payroll taxes.
2) Manufacturing : For management of supply chain and tracking production of
items in factories database systems are maintained.
3) For maintaining customer, product and purchase information the databases are
used.
4) Banking : In banking sector, for customer information, accounts and loan and for
performing banking applications the DBMS is used.
5) For purchase on credit cards and generation of monthly statements database
systems are useful.
6) Universities : The database systems are used in universities for maintaining student
information, course registration, and accounting.
7) Reservation systems : In airline/railway reservation systems, the database is used
to maintain the reservation and schedule information.
8) Telecommunication : In telecommunications for keeping records of the calls made,
generating monthly bills, maintaining balances on prepaid calling cards, and
storing information about communication networks the database systems are used.
1.2 Purpose of Database System AU : May-07, 12, Dec.-04

 Earlier database systems are created in response to manage the commercial data.
These data is typically stored in files. To allow users to manipulate these files
various programs are written for
Database Management Systems 1-3 Relational Databases

1) Addition of new data

2) Updating the data
3) Deleting the data.
 As per the addition of new need, separate application programs were required to
write. Thus as the time goes by, the system acquires more files and more
application programs.
 This typical file processing system is supported by conventional operating
system. Thus the file processing system can be described as –
 The system that stores the permanent records in files and it needs different
application programs to extract or add the records.
 Before introducing database management system, this file processing system was
in use. However, such a system has many drawbacks. Let us discuss them –
Disadvantages of Traditional File Processing System
The traditional file system has following disadvantages :
1) Data redundancy : Data redundancy means duplication of data at several places.
Since different programmers create different files and these files might have
different structures, there are chances that some information may appear repeatedly
in some or more format at several places.
2) Data inconsistency : Data inconsistency occurs when various copies of same data
may no longer get matched. For example changed address of an employee may be
reflected in one department and may not be available (or old address present) for
other department.
3) Difficulty in accessing data : The conventional file system does not allow to
retrieve the desired data in efficient and convenient manner.
4) Data isolation : As the data is scattered over several files and files may be in
different formats, it becomes to retrieve the desired data from the file for writing the
new application.
5) Integrity problems : Data integrity means data values entered in the database fall
within a specified range and are of correct format. With the use of several files
enforcing such constraint on the data becomes difficult.
6) Atomicity problems : An atomicity means particular operation must be carried out
entirely or not at all with the database. It is difficult to ensure atomicity in
conventional file processing system.
7) Concurrent access anomalies : For efficient execution, multiple users update data
simultaneously, in such a case data need to be synchronized. As in traditional file
systems, data is distributed over multiple files, one cannot access these files
concurrently.
Database Management Systems 1-4 Relational Databases

8) Security problems : Every user is not allowed to access all the data of database
system. Since application program in file system are added in an ad hoc manner,
enforcing such security constraints become difficult.
Database systems offer solutions to all the above mentioned problems.
Difference between Database System and Conventional File System
Sr. No. Database systems Conventional file systems

1. Data redundancy is less. Data redundancy is more.

2. Security is high. Security is very low.

3. Database systems are used when Conventional file systems are used where
security constraints are high. there is less demand for security constraints.
4. Database systems define the data in a File systems define the data in un-structured
structured manner. Also there is well manner. Data is usually in isolated form.
defined co-relation among the data.
5. Data inconsistency is less in database Data inconsistency is more in file systems.
systems.
6. User is unknown to the physical User locates the physical address of file to
address of the data used in database access the data in conventional file systems.
systems.
7. We can retrieve the data in any desired We cannot retrieve the data in any desired
format using database systems. format using file systems.

8. There is ability to access the data There is no ability to concurrently access the
concurrently using database systems. data using conventional file system.

Characteristics of Database Systems

Following are the characteristics of database system -
1) Representation of some aspects of real world applications.
2) Systematic management of information.
3) Representing the data by multiple views.
4) Efficient and easy implementation of various operations such as insertion, deletion
and updation.
5) It maintains data for some specific purpose.
6) It represents logical relationship between records and data.

Advantages of Database Systems

Following are the advantages of DBMS -
1) DBMS removes the data redundancy that means there is no duplication of data in
database.
2) DBMS allows to retrieve the desired data in required format.
Database Management Systems 1-5 Relational Databases

3) Data can be isolated in separate tables for convenient and efficient use.
4) Data can be accessed efficiently using a simple query language.
5) The data integrity can be maintained. That means – the constraints can be applied
on data and it should be in some specific range.
6) The atomicity of data can be maintained. That means, if some operation is
performed on one particular table of the database, then the change must be reflected
for the entire database.
7) The DBMS allows concurrent access to multiple users by using the synchronization
technique.
8) The security policies can be applied to DBMS to allow the user to access only
desired part of the database system.
Disadvantages of Database Systems
1) Complex design : Database design is complex, difficult and time consuming.
2) Hardware and software cost : Large amount of investment is needed to setup the
required hardware or to repair software failure.
3) Damaged part : If one part of database is corrupted or damaged, then entire
database may get affected.
4) Conversion cost : If the current system is in conventional file system and if we need
to convert it to database systems then large amount of cost is incurred in purchasing
different tools, and adopting different techniques as per the requirement.
5) Training : For designing and maintaining the database systems, the people need to
be trained

University Questions
1. Compare file system with database system AU : May-07, Marks 8, May-12, Marks 2

2. What are the advantages and disadvantages of DBMS ? AU : Dec.-04, Marks 4

1.3 Views of Data AU : May-16

 Database is a collection of interrelated data and set of programs that allow users to
access or modify the data.
 Abstract view of the system is a view in which the system hides certain details of
how the data are stored and maintained.
 The main purpose of database systems is to provide users with abstract view of
the data.
 The view of the system helps the user to retrieve data efficiently.
 For simplifying the user interaction with the system there are several levels of
abstraction - these levels are - Physical level, logical level and view level.
Database Management Systems 1-6 Relational Databases

1.3.1 Data Abstraction

Data abstraction : Data abstraction means retrieving only required amount of
information of the system and hiding background details.
There are several levels of abstraction that simplify the user interactions with the
system. These are
i) Physical level :

o This is the lowest level.

o This level describes how actually the data are stored.
o This level describes complex low level data structures.
2) Logical level :

o This is the next higher level, which describes the what data are stored in database.
o This level also describes the relationship among the data.
o The logical level thus describes then entire database in terms of small number of
relatively simple structures.
The database administrators use logical level of abstraction for deciding what
information to keep in database.
3) View level :

o This is highest level of abstraction that describes only part of the entire database.
o The view level can provide the access to only part of the database.
o This level helps in simplifying the interaction with the system.
o The system can provide multiple views of the same system.
o Clerk at the reservation system, can see only part of the database and can access the
required information of the passenger.
Fig. 1.3.1 shows the relationship among the three levels of abstraction.

Fig. 1.3.1 : Levels of data abstraction

Database Management Systems 1-7 Relational Databases

For example : Consider following record

type employee = record
empID:numeric(10)
empname:char(20)
dept_no:numeric(10)
salary:numeric(8,2)
end
This code defines a new record employee with four fields. Each field is associated with
field name and its type. There are several other records such as
department with fields dept_no, dept_name, building
customer with fields cust_id,cust_name
o At the physical level, the record - customer, employee, department can be
described as block of consecutive storage locations. Many database systems
hide lowest level storage details from database programmer.
o The type definition of the records is decided at the logical level. The
programmer work of the record at this level, similarly database
administrators also work at this level of abstraction.
o There is specific view of the record is allowed at the view level. For instance -
-customer can view the name of the employee, or id of the employee but
cannot access employee’s salary.

1.3.2 Instances and Schemas

Schema : The overall design of the database is called schema
For example - In a program we do variable declaration and assignment of values to the
variable. The variable declaration is called schema and the value assigned to the variable
is called instance. The schema for the student record can be
RollNo Name Marks

Instances : When information is inserted or deleted from the database then the
database gets changed. The collection of information at particular moment is called
instances. For example - following is an instance of student database
RollNo Name Marks

10 AAA 43

20 BBB 67
Database Management Systems 1-8 Relational Databases

Types of Schema : The database has several schema based on the levels of abstraction.
(1) Physical Schema : The physical schema is a database design described at the
physical level of abstraction.
(2) Logical Schema : The logical schema is a database design at the logical level of
abstraction.
(3) Subschema : A database may have several views at the view level which are
called subschemas.

1.3.3 Database Languages

There are two types of languages supported by database systems. These are -
(1) DDL -
 Data Definition Language (DDL) is a specialized language used to specify a
database schema by a set of definitions.
 It is a language which is used for creating and modifying the structures of tables,
views, indexes and so on.
 DDL is also used to specify additional properties of data.
 Some of the common commands used in DDL are -CREATE, ALTER, DROP.
 The main use of CREATE command is to build a new table. Using ALTER
command, the users can add up some additional column and drop existing
columns. Using DROP command, the user can delete table or view.
(2) DML
 DML stands for Data Manipulation Language.
 This language enables users to access or manipulate data as organized by
appropriate data model.
 The types of access are -

o Retrieval of information stored in the database

o Insertion of new information into the database.
o Deletion of information from the database.
o Modification of information stored in database.
 There are two types of DML -
o Procedural DML - Require a user to specify what data are needed and how to
get those data.
o Declarative DML - Require a user to specify what data are needed without
specifying how to get those data.
Database Management Systems 1-9 Relational Databases

 Query is a statement used for requesting the retrieval of information. This

retrieval of information using some specific language is called query language.

University Question
1. Briefly explain about views of data. AU : May-16, Marks 16

1.4 Data Models AU : Dec.-14

 Definition : It is a collection of conceptual tools for describing data, relationships

among data, semantics (meaning) of data and constraints.
 Data model is a structure below the database.
 Data model provides a way to describe the design of database at physical, logical
and view level.
 There are various data models used in database systems and these are as follows -
(1) Relational model :
o Relation model consists of collection of tables which stores data and also
represents the relationship among the data.
o Table is also known as relation.
o The table contains one or more columns and each column has unique name.
o Each table contains record of particular type, and each record type defines a
fixed number of fields or attributes.
o For example – Following figure shows the relational model by showing the
relationship between Student and Result database. For example – Student
Ram lives in city Chennai and his marks are 78. Thus the relationship
between these two databases is maintained by the SeatNo. Column

SeatNo Name City SeatNo Marks

101 Ram Chennai 101 78
102 Shyam Pune 102 95

Advantages :
(i) Structural Independence : Structural independence is an ability that allows us to
make changes in one database structure without affecting other. The relational
model have structural independence. Hence making required changes in the
database is convenient in relational database model.
(ii)Conceptual Simplicity : The relational model allows the designer to simply focus
on logical design and not on physical design. Hence relational models are
conceptually simple to understand.
Database Management Systems 1 - 10 Relational Databases

(iii) Query Capability : Using simple query language (such as SQL) user can get
information from the database or designer can manipulate the database structure.
(iv) Easy design,maintenance and usage : The relational models can be designed
logically hence they are easy to maintain and use.
Disadvantages :
(i) Relational model requires powerful hardware and large data storage devices.
(ii) May lead to slower processing time.
(iii) Poorly designed systems lead to poor implementation of database systems.

(2) Entity relationship model :

o As the name suggests the entity relationship model uses collection of basic
objects called entities and relationships.
o The entity is a thing or object in the real world.
o The entity relationship model is widely used in database design.
o For example - Following is a representation of Entity Relationship model in
which the relationship works_for is between entities Employee and
Department.

Advantages :
i) Simple : It is simple to draw ER diagram when we know entities and relationships.
ii) Easy to understand : The design of ER diagram is very logical and hence they are
easy to design and understand.
iii) Effective: It is effective communication tool.
iv) Integrated : The ER model can be easily integrated with Relational model.
v) Easy conversion: ER model can be converted easily into other type of models.
Disadvantages :
i) Loss of information : While drawing ER model some information can be hidden
or lost.
ii) Limited relationships : The ER model can represent limited relationships as
compared to other models.
Database Management Systems 1 - 11 Relational Databases

iii) No Representation for data manipulation : It is not possible to represent data

manipulation in ER model.

iv) No industry standard : There is no industry standard for notations of ER diagram.

(3) Object Based Data Model :

o The object oriented languages like C++, Java, C# are becoming the dominant
in software development.
o This led to object based data model.
o The object based data model combines object oriented features with relational
data model.

Advantages :
i) Enriched modelling : The object based data model has capability of modelling the
real world objects.

ii) Reusability : There are certain features of object oriented design such as inheritance,
polymorphism which help in reusability.

iii) Support for schema evolution : There is a tight coupling between data and
applications, hence there is strong support for schema evolution.

iv) Improved performance : Using object based data model there can be significant
improvement in performance using object based data model.

Disadvantages :
i) Lack of universal data model : There is no universally agreed data model for an
object based data model, and most models lack a theoretical foundation.
ii) Lack of experience : In comparison with relational database management the use of
object based data model is limited. This model is more dependent on the skilled
programmer.
iii)Complex : More functionalities present in object based data model make the design
complex.

(4) Semi-structured data model :

o The semi-structured data model permits the specification of data where
individual data items of same type may have different sets of attributes.
o The Extensible Markup Language (XML) is widely used to represent semi-
structured data model.
Database Management Systems 1 - 12 Relational Databases

Advantages
i) Data is not constrained by fixed schema.

ii) It is flexible.

iii) It is portable.
Disadvantage
i) Queries are less efficient than other types of data model.

University Question
1. Write short note on : Data model and its types. AU : Dec.-14, Marks 8

1.5 Database System Architecture AU : May-12, 13, 14, 16, 17, Dec.-08, 15, 17

• The typical structure of typical DBMS is based on relational data model as shown in
Fig. 1.5.1. (Refer page 1-14).

• Consider the top part of Fig. 1.5.1. It shows application interfaces used by naïve
users, application programs created by application programmers, query tools used
by sophisticated users and administration tools used by database administrator

• The lowest part of the architecture is for disk storage.

• The two important components of database architecture are - Query processor and
storage manager.

Query processor :

 The interactive query processor helps the database system to simplify and
facilitate access to data. It consists of DDL interpreter, DML compiler and query
evaluation engine.

 With the following components of query processor, various functionalities are

performed -

i) DDL interpreter : This is basically a translator which interprets the DDL

statements in data dictionaries.

ii) DML compiler : It translates DML statements query language into an evaluation
plan. This plan consists of the instructions which query evaluation engine
understands.
Database Management Systems 1 - 13 Relational Databases

iii) Query evaluation engine : It executes the low-level instructions generated by the
DML compiler.

 When a user issues a query, the parsed query is presented to a query optimizer,
which uses information about how the data is stored to produce an efficient
execution plan for evaluating the query. An execution plan is a blueprint for
evaluating a query. It is evaluated by query evaluation engine.

Storage manager :

o Storage manager is the component of database system that provides interface

between the low level data stored in the database and the application programs and
queries submitted to the system.
o The storage manager is responsible for storing, retrieving, and updating data in the
database. The storage manager components include -
i) Authorization and integrity manager : Validates the users who want to access
the data and tests for integrity constraints.

ii) Transaction manager : Ensures that the database remains in consistent despite
of system failures and concurrent transaction execution proceeds without
conflicting.

iii) File manager : Manages allocation of space on disk storage and

representation of the information on disk.

iv) Buffer manager : Manages the fetching of data from disk storage into main
memory. The buffer manager also decides what data to cache in main memory.
Buffer manager is a crucial part of database system.

o Storage manager implements several data structures such as -

i) Data files : Used for storing database itself.

ii) Data dictionary : Used for storing metadata, particularly schema of database.

iii) Indices : Indices are used to provide fast access to data items present in the
database
Database Management Systems 1 - 14 Relational Databases

Fig. 1.5.1 Architecture of database

Database Management Systems 1 - 15 Relational Databases

University Questions
1. Explain the overall architecture of database system in detail.
AU : May-14,17, Dec.-17, Marks 8, May-16, Marks 16
2. With the help of a neat block diagram explain basic architecture of a database management system.
AU : May-12, May 13, Marks 16,Dec.-15, Marks 8
Q. Explain component modules of a DBMS and their interactions with the architecture
AU : Dec 08, Marks 10

1.6 Data Independence

Definition : Data independence is an ability by which one can change the data at one
level without affecting the data at another level. Here level can be physical, conceptual or
external.
Data independence is one of the important characteristics of database management
system.
By this property, the structure of the database or the values stored in the database can
be easily modified by without changing the application programs.
There are two types of data independence

Fig. 1.6.1 Data independence

1. Physical Independence : This is a kind of data independence which allows the

modification of physical schema without requiring any change to the conceptual
schema. For example - if there is any change in memory size of database server then
it will not affect the logical structure of any data object.
2. Logical Independence : This is a kind of data independence which allows the
modification of conceptual schema without requiring any change to the external
schema. For example - Any change in the table structure such as addition or
deletion of some column does not affect user views.
Database Management Systems 1 - 16 Relational Databases

By these data independence the time and cost acquired by changes in any one level can
be reduced and abstract view of data can be provided to the user.

Part II Relational Databases

1.7 Introduction to Relational Databases

 Relation database is a collection of tables having unique names.
 For example – Consider the example of Student table in which the information
about the student is stored.
RollNo Name Phone
001 AAA 1111111111
002 BBB 2222222222
003 CCC 3333333333
Fig. 1.7.1 Student table
The above table consists of three column headers RollNo, Name and Phone.
Each row of the table indicates the information of each student by means of his
Roll Number, Name and Phone number.
Similarly consider another table named Course as follows –

CourseID CourseName Credits

101 Mechanical 4

102 Computer Science 6

103 Electrical 5

104 Civil 3

Fig. 1.7.2 Course table

Clearly, in above table the columns are CourseID, CourseName and Credits.
The CourseID 101 is associated with the course named Mechanical and associated
with the course of mechanical there are 4 credit points. Thus the relation is
represented by the table in the relation model. Similarly we can establish the
relationship among the two tables by defining the third table. For example –
Consider the table Admission as
RollNo CourseID
001 102
002 104
003 101
Fig. 1.7.3 Admission
Database Management Systems 1 - 17 Relational Databases

From this third table we can easily find out that the course to which the RollNo 001 is
admitted is computer Science.

1.8 Relational Model

There are some commonly used terms in Relational Model and those are -

Table or relation : In relational model, table is a collection of data items arranged in

rows and columns. The table cannot have duplicate data or rows. Below is an example of
student table

Roll No Name Marks Phone

001 AAA 88 1111111111

002 BBB 83 2222222222

003 CCC 98 3333333333

004 DDD 67 4444444444

Tuple or record or row : The single entry in the table is called tuple. The tuple
represents a set of related data. In above Student table there are four tuples. One of the
tuple can be represented as
001 AAA 88 1111111111

Attribute or columns : It is a part of table that contains several records. Each record
can be broken down into several small parts of data known as attributes. For example the
above table consists of four attributes such as RollNo,Name,Marks and Phone.

Relation schema : A relation schema describes the structure of the relation, with the
name of the relation (i.e. name of table), its attributes and their names and type.

Relation Instance : It refers to specific instance of relation i.e. containing a specific set
of rows. For example – the following is a relation instance – which contains the records
with marks above 80.
Database Management Systems 1 - 18 Relational Databases

RollNo Name Marks Phone

001 AAA 88 1111111111
002 BBB 83 2222222222
003 CCC 98 3333333333
Domain : For each attribute of relation, there is a set of permitted values called
domain. For example – in above table, the domain of attribute Marks is set of all possible
permitted marks of the students. Similarly the domain of Name attribute is all possible
names of students.
That means Domain of Marks attribute is (88,83,98)
Atomic : The domain is atomic if elements of the domain are considered to be
indivisible units. For example in above Student table, the attribute Phone is non-atomic.
NULL attribute : A null is a special symbol, independent of data type, which means
either unknown or inapplicable. It does not mean zero or blank. For example - Consider a
salary table that contains NULL
Emp# Job Name Salary Commission

E10 Sales 12500 32090

E11 Null 25000 8000

E12 Sales 44000 0

E13 Sales 44000 Null

Degree : It is nothing but total number of columns present in the relational database. In
given Student table –

Roll No Name Marks Phone

001 AAA 88 1111111111

002 BBB 83 2222222222

003 CCC 98 3333333333

The degree is 4.

Cardinality : It is total number of tuples present in the relational database. In above

given table the cardinality is 3

Example 1.8.1 Find out following for given Staff table

i) No of Columns
ii) No of tuples
iii) Different attributes
Database Management Systems 1 - 19 Relational Databases

iv) Degree
v) Cardinality

StaffID Name Sex Designation Salary DOJ

S001 John M Manager 50000 1 Oct. 2012

S002 Ram M Executive 20000 20 Jan. 2015

S003 Meena F Supervisor 40000 12 Aug. 2011

Solution :

i) No of Columns = 6
ii) No of Tuples= 3
iii) Different attributes are StaffID, Name,Sex, Designation, Salary, DOJ
iv) Degree= Total number of columns=6
v) Cardinality =Total number of rows = 3

1.9 Keys AU : May-06, 07, 12, Dec.-06

Keys are used to specify the tuples distinctly in the given relation.
Various types of keys used in relational model are – Superkey, Candidate Keys,
primary keys, foreign keys. Let us discuss them with suitable example
1) Super Key(SK): It is a set of one or more attributes within a table that can uniquely
identify each record within a table. For example – Consider the Student table as
follows –
Reg No. Roll No Phone Name Marks

R101 001 1111111111 AAA 88

R102 002 2222222222 BBB 83

R103 003 3333333333 CCC 98

R104 004 4444444444 DDD 67

Fig. 1.9.1 Student

The superkey can be represented as follows
Database Management Systems 1 - 20 Relational Databases

Clearly using the (RegNo) and (RollNo,Phone,Name) we can identify the records
uniquely but (Name, Marks) of two students can be same, hence this combination
not necessarily help in identifying the record uniquely.

2) Candidate Key(CK) : The candidate key is a subset of superset. In other words

candidate key is a single attribute or least or minimal combination of attributes that
uniquely identify each record in the table. For example - in above given Student
table, the candidate key is RegNo, (RollNo,Phone). The candidate key can be

Thus every candidate key is a superkey but every superkey is not a candidate key.
3) Primary Key(PK): The primary key is a candidate key chosen by the database
designer to identify the tuple in the relation uniquely. For example – Consider the
following representation of primary key in the student table
Database Management Systems 1 - 21 Relational Databases

Other than the above mentioned primary key, various possible primary keys can be
(RollNo), (RollNo,Name), (RollNo, Phone)
The relation among super key, candidate key and primary can be denoted by
Candidate Key=Super Key – Primary Key
Rules for Primary Key
(i) The primary key may have one or more attributes.
(ii) There is only one primary key in the relation.
(iii) The value of primary key attribute can not be NULL.
(iv) The value of primary key attribute does not get changed.
4) Alternate key : The alternate key is a candidate key which is not chosen by the
database designer to uniquely identify the tuples. For example –
Database Management Systems 1 - 22 Relational Databases

5) Foreign key : Foreign key is a single attribute or collection of attributes in one table
that refers to the primary key of other table.
 Thus foreign keys refer to primary key.
 The table containing the primary key is called parent table and the table
containing foreign key is called child table.
 Example -

From above example, we can see that two tables are linked. For instance we could
easily find out that the ‘Student CCC has opted for ComputerSci course’

University Question

1. Explain distinction among the terms primary key, candidate key, foreign key and super key with
suitable example AU : May-06, 07, 12, Dec.-06, Marks 4

1.10 Integrity Constraints AU : Dec.-05

Database integrity means correctness or accuracy of data in the database.A database

may have number of integrity constraints. For example –
(i) The Employee ID and Department ID must consists of two digits.
(ii) Every Employee ID must start with letter.
The integrity constraints are classified based on the concept of primary key and foreign
key. Let us discuss the classification of constraints based on primary key and foreign key
as follows –

1.10.1 Entity Integrity Rule

This rule states that “ In the relations , the value of attribute of primary key can not be
null”.
The NULL represents a value for an attribute that is currently unknown or is not
applicable for this tuple. The Nulls are always to deal with incomplete or exceptional
data.
Database Management Systems 1 - 23 Relational Databases

The primary key value helps in uniquely identifying every row in the table. Thus if the
users of the database want to retrieve any row from the table or perform any action on
that table, they must know the value of the key for that row. Hence it is necessary that the
primary key should not have the NULL value.

1.10.2 Referential Integrity Rule

 Referential integrity refers to the accuracy and consistency of data within a
relationship.
 In relationships, data is linked between two or more tables. This is achieved by
having the foreign key (in the associated table) reference a primary key value (in
the primary - or parent - table). Because of this, we need to ensure that data on
both sides of the relationship remain intact.
 The referential integrity rule states that “whenever a foreign key value is used it
must reference a valid, existing primary key in the parent table”.
 Example : Consider the situation where you have two tables : Employees and
Managers. The Employees table has a foreign key attribute entitled ManagedBy,
which points to the record for each employee’s manager in the Managers table.
Referential integrity enforces the following three rules :
i) You cannot add a record to the Employees table unless the ManagedBy attribute
points to a valid record in the Managers table. Referential integrity prevents the
insertion of incorrect details into a table. Any operation that doesn't satisfy
referential integrity rule fails.
ii) If the primary key for a record in the Managers table changes, all corresponding
records in the Employees table are modified.
iii) If a record in the Managers table is deleted, all corresponding records in the
Employees table are deleted.
Advantages of Referential Integrity
Referential integrity offers following advantages :
i) Prevents the entry of duplicate data.
ii) Prevents one table from pointing to a nonexistent field in another table.
iii) Guaranteed consistency between "partnered" tables.
iv) Prevents the deletion of a record that contains a value referred to by a foreign key in
another table.
v) Prevents the addition of a record to a table that contains a foreign key unless there is
a primary key in the linked table.
Database Management Systems 1 - 24 Relational Databases

University Question
1. Discuss the entity Integrity and referential integrity constraints. Why are they important ? Explain
them with suitable examples. AU : Dec.-05, Marks 10

1.11 Database integrity

 The foreign key is a key in one table that refers to the primary key of another table.
 The foreign key is basically used to link two tables. For example –
Consider Customer table as follows –

Customer

CustID Name City

C101 AAA Chennai

C102 BBB Mumbai

C103 CCC Pune

Order

OrderID Description CustID

111 Bolts C103

222 Nuts C103

333 Beams C101

444 Screws C102

555 Disks C101

 Note that the "CustID" column in the "Order" table points to the "CustID" column
in the "Customer" table.
 The "CustID" column in the "Customer" table is the PRIMARY KEY in the
"Customer" table.
 The "CustID" column in the "Order" table is a FOREIGN KEY in the "Order" table.
 The table containing the foreign key is called the child table, and the table
containing the primary key is called the referenced or parent table.
 The FOREIGN KEY constraint is used to prevent actions that would destroy links
between tables.
Database Management Systems 1 - 25 Relational Databases

 The FOREIGN KEY constraint also prevents invalid data from being inserted into
the foreign key column, because it has to be one of the values contained in the
table it points to.

1.12 Relational Algebra AU : May-03,04,05,14,15,16,17,18, Dec.-02,07,08,11,15,16,17

 There are two formal query languages associated with relational model and those
are relational algebra and relational calculus.

 Definition : Relational algebra is a procedural query language which is used to

access database tables to read data in different ways.

 The queries present in the relational algebra are denoted using operators.

 Every operator in relational algebra accepts relational instances (tables) as input

and returns relational instance as output. For example :

 Each relational algebra is procedural. That means Each relational query describes
a step-by-step procedure for computing the desired answer, based on the order in
which operators are applied in the query.

 A sequence of relational algebra operations forms a relational algebra expression,

whose result will also be a relation that represents the result of a database query.
The By composing the operators in relational expressions the complex relation can
be defined.
Database Management Systems 1 - 26 Relational Databases

1.12.1 Relational Operations

Various types of relational operations are as follows -

(1) Selection :
 This operation is used to fetch the rows or tuples from the table(relation).
 Syntax : The syntax is
predicate(relation)

 where σ represents the select operation. The predicate denotes some logic using
which the data from the relation(table) is selected.
 For example - Consider the relation student as follows

sid sname age gender

1 Ram 21 Male

2 Shyam 18 Male

3 Seeta 16 Female

4 Geeta 23 Female

Fig.1.12.1 Student Table

Query : Fetch students with age more than 18
We can write it in relational algebra as
age >18(Student)

The output will be -

sname
Ram
Geeta
Database Management Systems 1 - 27 Relational Databases

We can also specify conditions using and, or operators.

age >18 and gender = ‘Male’ (Student)
sname
Ram
(2) Projection :
 Project operation is used to project only a certain set of attributes of a relation.
That means if you want to see only the names all of the students in the Student
table, then you can use Project operation.
 Thus to display particular column from the relation, the projection operator is
used.
 It will only project or show the columns or attributes asked for, and will also
remove duplicate data from the columns.
 Syntax:
C1, C2… (r)
where C1, C2 etc. are attribute names(column names).
 For example - Consider the Student table given in Fig. 1.12.2.
Query : Display the name and age all the students
This can be written in relational algebra as
sname, age(Student)
Above statement will show us only the Name and Age columns for all the rows of data
in Student table.

sname age
Ram 21
Shyam 18
Seeta 16
Geeta 23

Fig. 1.12.2

(3) Cartesian product :

 This is used to combine data from two different relations(tables) into one and
fetch data from the combined relation.
 Syntax : A × B
 For example : Suppose there are two tables named Student and Reserve as follows
Database Management Systems 1 - 28 Relational Databases

Student Reserve
sid sname age sid isbn day
1 Ram 21 1 005 07-07-18

2 Shyam 18 2 005 03-03-17

3 Seeta 16 3 007 08-11-16

4 Geeta 23

 Query : Find the names of all the students who have reserved isbn = 005. To
satisfy this query we need to extract data from two table. Hence the cartesian
product operator is used as
(Student.sid = Reserve.sid
^
Reserve.Isbn =005(Student × Reserve)

As an output we will get

sid sname age sid isbn day

1 Ram 21 1 005 07-07-18

2 Shyam 18 2 005 03-03-18

Note : that although the sid columns is same, it is repeated.

(4) Set operations : Various set operations are - union, intersection and set-difference.
Let us understand each of these operations with the help of examples.
(i) Union:

o This operation is used to fetch data from two relations(tables) or temporary

relation(result of another operation).

o For this operation to work, the relations(tables) specified should have same
number of attributes(columns) and same attribute domain. Also the duplicate
tuples are automatically eliminated from the result.

o Syntax : A ∪ B
o where A and B are relations.
o For example : If there are two tables student and book as follows –
Database Management Systems 1 - 29 Relational Databases

Student Book
sid sname age isbn bname Author
1 Ram 21 005 DBMS XYZ

2 Shyam 18 006 OS PQR

3 Seeta 16 007 DAA ABC

4 Geeta 23

o Query : We want to display both the student name and book names from both the
tables then
Sname(Student) ∪ bname (Book)

(ii) Intersection :

o This operation is used to fetch data from both tables which is common in both
the tables.
o Syntax : A ∩ B
where A and B are relations.

o Example – Consider two tables – Student and Worker

Student Worker

Name Branch Name Salary

AAA ComputerSci XXX 3000
BBB Mechanical AAA 2000
CCC Civil YYY 1500
DDD Electrical DDD 2500

o Query : If we want to find out the names of the students who are working in a
company then
name(Student) ∩ name (Worker)

Name
AAA
DDD
(iii) Set-Difference : The result of set difference operation is tuples, which are
present in one relation but are not in the second relation.
Database Management Systems 1 - 30 Relational Databases

Syntax : A – B
For Example : Consider two relations Full_Time_Employee and Part_Time_Employee, if
we want to find out all the employee working for Fulltime, then the set difference
operator is used -
EmpName(Full_Time_Employee) - EmpName (Part_Time_Employee)

(5) Join : The join operation is used to combine information from two or more relations.
Formally join can be defined as a cross-product followed by selections and projections,
joins arise much more frequently in practice than plain cross-products. The join operator
is used as ⋈
There are three types of joins used in relational algebra
i) Conditional join : This is an operation in which information from two tables is
combined using some condition and this condition is specified along with the join
operator.

A ⋈cB = c(A × B)
Thus ⋈ is defined to be a cross-product followed by a selection. Note that the
condition c can refer to attributes of both A and B. The condition C can be specified
using <,<=,>,<= or = operators.
For example consider two table student and reserve as follows -

Student Reserve
sid sname age sid isbn day
1 Ram 21 1 005 07-07-18

2 Shyam 18 2 005 03-03-17

3 Seeta 16 3 007 08-11-16

4 Geeta 23

If we want the names of students with sid(Student) = sid(Reserve) and isbn = 005,
then we can write it using Cartesian product as -

(((Student.sid = Reserve.sid)  (Student × Reserve))

(Reserve.(Isbn) =005))

Here there are two conditions as

i) (Student.sid = Reserve.sid) and ii) (Reserve.isbn = 005) which are joined by 
operator.
Now we can use ⋈C instead of above statement and write it as –

(Student ⋈(Student.sid = Reserve.sid)  (Reserve.(Isbn) =005) Reserve))

Database Management Systems 1 - 31 Relational Databases

The result will be -

sid sname age isbn day
1 Ram 21 005 07-07-18

2 Shyam 18 005 03-03-18

ii) Equijoin : This is a kind of join in which there is equality condition between two
attributes(columns) of relations(tables). For example - If there are two table Book
and Reserve table and we want to find the book which is reserved by the student
having isbn 005 and name of the book is ‘DBMS’, then :

Book Reserve
isbn bname Author sid isbn day
005 DBMS XYZ 1 005 07-07-18

006 OS PQR 2 005 03-03-17

007 DAA ABC 3 007 08-11-16

(bname = ‘DBMS’ (Book ⋈ (Book.isbn = Reserve.isbn) Reserve)

Then we get
isbn bname Author sid day
005 DBMS XYZ 1 07-07-18

005 DBMS XYZ 2 03-03-18

iii)Natural Join : When there are common columns and we have to equate these
common columns then we use natural join. The symbol for natural join is simply ⋈
without any condition. For example, consider two tables -

Book Reserve
isbn bname Author sid isbn day

005 DBMS XYZ 1 005 07-07-18

006 OS PQR 2 005 03-03-17

007 DAA ABC 3 007 08-11-16

Now if we want to list the books that are reserved, then that means we want to
match Books.isbn with Reserve.isbn. Hence it will be simply
Database Management Systems 1 - 32 Relational Databases

Books ⋈ Reserve
(6) Rename operation : This operation is used to rename the output relation for any
query operation which returns result like Select, Project etc. Or to simply rename a
relation(table). The operator (rho) is used for renaming.
Syntax : (RelationNew, RelationOld)
For example : If you want to create a relation Student_names with sid and sname from
Student, it can be done using rename operator as :
ρ(Student_names, (sid.sname(Student))
(7) Divide operation
The division operator is used when we have to evaluate queries which contain the
keyword ALL.
It is denoted by A/B where A and B are instances of relation.
For example - Find all the customers having accounts in all the branches. For that
consider two tables - Customer and Account as
Customer Account
Name Branch Branch
A Pune Pune
B Mumbai Mumbai
A Mumbai
C Pune

Now A/B will give us

Name
A
Here We check all the branches from Account table against all the names from Customer
table. We can then find that only customer A has all the accounts in all the branches.
Formal Definition of Division Operation : The operation A/B is define as the set of all x
values (in the form of unary tuples) such that for every y value in (a tuple of) B, there is a
tuple <x,y> in A.
Example 1.12.1 Consider following databases reserves(sid, bid, day) sailors (sid, sname,
rating, age) boats (bid,bname,color)
(i) Find the names of sailors who have reserved boat number 103
(ii) Find the names of sailors who have reserved a red boat
Database Management Systems 1 - 33 Relational Databases

(iii) Find the id of sailors with age over 20 who have not reserved red boat
(iv) Find the names of sailors who have reserved at least one boat

Solution :
(i) (sname((bid=103 Reserves) ⋈ Sailors)

(ii) (sname((color=’red’ Boats) ⋈ Reserves ⋈ Sailors)

(iii) (sid((age>20 Sailors) - sid((color=’red’ Boats) ⋈ Reserves)

(iv) (sname(Sailors ⋈ Reserves)

Example 1.12.2 Consider the following expressions, which use the result of a redational
algebra operation as the input to another operation. For each expression explain in words
what the expression does : a) year≥2009(takes) ⋈ Student b) year≥2009(takes ⋈ Student) c) ID, name,
course-id (student ⋈ takes)

Solution :
a. Select each student who takes at least one course in 2009, display the student
information along with the information about what the courses the student took.
b. Select each student who takes at least one course in 2009, display the student
information along with the information about what the courses the student took but
the selection must be before join operation.
c. Display the ID, Name and Course_id of all the students who took any course in the
university.
Example 1.12.3 Consider following relational database
branch(branch_name, branch_city, assets)
customer (customer_name, customer_street, customer_city)
loan (loan_number, branch_name, amount)
borrower (customer_name, loan_number)
account (account_number, branch_name, balance)
depositor (customer_name, account_number)
i) Find the names of all branches located in “Chennai”.
ii) Find the names of all borrowers who have a loan in branch “ABC”.
Solution :
i) branch_name(branch_city =’Chennai’) (branch))

ii) customer_name(branch_name =’ABC’) (borrower ⋈ loan))

Database Management Systems 1 - 34 Relational Databases

Example 1.12.4 author (author_id, first_name, last_name)

author_pub(author_id, pub_id, author_position)
book(book_id, book_title, month, year, editor)
pub(pub_id, title, book_id)
(i) Give the relational algebra expression that returns names of all the authors that are book
editors
(ii) Give the relational algebra expression that returns names of all the authors that are not
book editors
(iii) Write a relational algebra expression that returns the names of all authors who have at
least one publication in the database.
Solution :

i) (first_name,last_name(author author_id = editor ⋈ book)

ii) (first_name,last_name((author_id (author) - editor (book) ) × author)

iii) (first_name,last_name (author × author_pub)
Example 1.12.5 Consider the following schema :
Supplier(sid, sname,address)
Parts(pid, pname, color)
Cataloge(sid,pid,cost)
Write the relational algebraic queries for the following :
i) Find the sids of supplier who supply some red or some green parts
ii) Find the sids of supplier who supply every red or some green parts
iii) Find the pids of parts supplied by at least two different suppliers
Solution :
i) ρ(R1, sid((pid color=’red’ Parts) ⋈ Cataloge))

ρ(R2, sid((pid color=’red’ Parts) ⋈ Cataloge))

R1 ∪ R2
ii) ρ(R1, sid, pidCataloge)/ (pid color=’red’ Parts) )
ρ(R2, sid((pid color=’red’ Parts) ⋈ Cataloge))
R1 ∪ R2
iii) ρ(R1, Cataloge)
ρ(R2, Cataloge)
(R1.pid R1.pid = R2.pid (R1× R2)
^R1.sid!=R2.sid
Database Management Systems 1 - 35 Relational Databases

Example 1.12.6 Consider the relational database

employee (person-name, street, city)
works (person-name, company-name, salary)
company (company-name, city)
manages (person-name, manager-name)
where primary keys are underlined.
(a) Find the names of all employees who work for First Bank Corporation
(b) Find the names, street address, and cities of residence of all employees who work for First
Bank Corporation and earn more than 200,000 per annum.
(c) Find the names of all employees in this database who live in the same city as the company
for which they work.
AU : Dec.-06, Marks 8

Solution :
a)  person-name(company-name = “First Bank Corporation”(works))

b)  person-name, street, city(company-name = “First Bank Corporation”  salary > 200000 (works ⋈ employee))

c)  person-name(works ⋈ employee ⋈ company))

University Questions
1. Explain select, project, cartesian product and join operations in relational algebra with an example
AU : May-18, Marks 13, Dec.-16, Marks 6
2. List operations of relational algebra and purpose of each with example
AU : May-17, Marks 5
3. Differentiate between foreign key constraints and referential Integrity constraints with suitable
example.
AU : Dec.-17, Marks 6
4. Explain various operations in relational algebra with examples
AU : May 03, Marks 10, Dec-07, Marks 8, Dec.- 08, Marks 10, May-14, Marks 16
5. Explain all join operations in relational algebra
AU : May 05, Marks 8
6. Briefly explain relational algebra
AU : May 04, Marks 8
7. What is rename operation in relational algebra ? Illustrate your answer with example
AU : Dec 02, Marks 2
Database Management Systems 1 - 36 Relational Databases

Part III Structured Query Language(SQL)

1.13 SQL Fundamentals AU : Dec.-15

 Structure Query Language(SQL) is a database query language used for storing

and managing data in Relational DBMS.
 Various parts of SQL are –
o Data Definition Language(DDL) : It consists of a set of commands for
defining relation schema, deleting relations, and modifying relation
schemas.
o Data Manipulation Language(DML) : It consists of set of SQL commands for
inserting tuples into relational schema, deleting tuples from or modifying
tuples in databases.
o Integrity : The SQL DDL includes commands for specifying integrity
constraints. These constraints must be satisfied by the databases.
o View definition : The SQL DDL contains the commands for defining views
for database.
o Transaction control : The SQL also includes the set of commands that
indicate beginning and ending of the transactions.
o Embedded SQL and Dynamic SQL : There is a facility of including SQL
commands in the programming languages like C,C++, COBOL or Java.
o Authorization : The SQL DDL includes the commands for specifying access
rights to relations and views.

1.13.1 Data Abstraction

The Basic data types used in SQL are –
(1) char(n): For representing the fixed length character string this data type is used.
For instance – to represent name,designation, coursename, we use this data type.
Instead of char we can also use character. The n is specified by the user.
(2) varchar(n) : The varchar means character varying. That means – for denoting the
variable length character strings this data type is used. The n is user specified
maximum character length.
(3) int : For representing the numeric values without precision, the int data type is
used.
(4) numeric : For representing, a fixed point number with user-specified precision this
data type is used. The number consists of m digits plus sign k digits are to the right
of precision. For instance the numeric(3,2) allows 333.11 but it does not allow
3333.11
Database Management Systems 1 - 37 Relational Databases

(5) smallint : It is used to store small integer value. It allows machine dependent subset
of integer type.
(6) real : It allows the floating point, double precision numbers.
(7) float(n) : For representing the floating point number with precision of at least n
digits this data type is used.

1.13.2 Basic Schema Definition

In this section, we will discuss various SQL commands for creating the schema
definition.
There are three types of SQL Languages -
1. DDL commands : DDL or Data Definition Language actually consists of the SQL
commands that can be used to define the database schema. It simply deals with
descriptions of the database schema and is used to create and modify the structure
of database objects in database.
Examples of DDL commands are :
 CREATE – is used to create the database or its objects such as table, function,
views and so on.
 DROP – is used to delete objects from the database.
 ALTER-is used to alter the structure of the database.
 TRUNCATE–is used to remove all records from a table, including all spaces
allocated for the records are removed.
 COMMENT –is used to add comments to the data dictionary.
 RENAME –is used to rename an object existing in the database.
2. DML commands : DML stands for Data Manipulation Language. These commands
deal with manipulation of data present in the database.
Examples of DML commands are :
 SELECT – is used to retrieve data from the a database.
 INSERT – is used to insert data into a table.
 UPDATE – is used to update existing data within a table.
 DELETE – is used to delete records from a database table.
3. DCL commands : It stands for Data Control Language. It includes commands such
as GRANT and REVOKE which mainly deals with the rights, permissions and other
controls of the database system.
Database Management Systems 1 - 38 Relational Databases

Examples of DCL commands :

 GRANT-gives user’s access privileges to database.
 REVOKE-withdraw user’s access privileges given by using the GRANT
command.
Let us discuss various commonly used SQL commands that help in building the basic
schema.
(1) Create Table : The database relation can be created by using the create table command

Syntax
create table table_name;
Example
create table Student
(RollNo int,
Name varchar(10),
Marks numeric(3,2),
Primary key(RollNo));
The primary key attribute must be non null and unique.
(2) Insert : The insert command is used to insert data into the table. There are two
syntaxes of inserting data into SQL

Syntax
i) Insert into table_name (column1, column2, column3, ...)
values (value1, value2, value3, ...);
ii) insert into table_name
values (value1, value2, value3, ...);
Example
(i) insert into Student(RollNo,Name,Makrs) values(101,’AAA’,56.45)
(ii) insert into Student values(101,’AAA’,56.45)
(3) Delete : This command is used to delete the existing record.

Syntax
delete from table_name
where condition;
Example
Delete from student
where RollNo=10
(4) Alter: The alter table statement is used to add, delete, or modify columns in an
existing table.
The alter table statement is also used to add and drop various constraints on an existing
table.
Database Management Systems 1 - 39 Relational Databases

Syntax for adding a columns

alter table table_name
add column_name datatype;
Example
Alter table student
Add address varchar(20
Syntax for dropping column
Alter table table_name
drop column column_name;
Example
Alter table student
drop column address;

1.13.3 Basic Structure of SQL Queries

The basic form of SQL queries is
SELECT-FROM-WHERE. The syntax is as follows :
SELECT [DISTINCT] target-list
FROM relation-list
WHERE qualification
 SELECT : This is one of the fundamental query command of SQL. It is similar to
the projection operation of relational algebra. It selects the attributes based on the
condition described by WHERE clause.
 FROM : This clause takes a relation name as an argument from which attributes
are to be selected/projected. In case more than one relation names are given, this
clause corresponds to Cartesian product.
 WHERE : This clause defines predicate or conditions, which must match in order
to qualify the attributes to be projected.
 Relation-list : A list of relation names(tables)
 target-list : A list of attributes of relations from relation list(tables)
 qualification : Comparisons of attributes with values or with other attributes
combined using AND, OR and NOT.
 DISTINCT is an optional keyword indicating that the answer should not contain
duplicates. Normally if we write the SQL without DISTINCT operator then it does
not eliminate the duplicates.
Example
SELECT sname
FROM Student
WHERE age>18
 The above query will return names of all the students from student table where
age of each student is greater than 18
Database Management Systems 1 - 40 Relational Databases

1.13.3.1 Queries on Multiple Relations

Many times it is required to access multiple relations(tables) to operate on some
information. For example consider two tables as Student and Reserve.

sid sname age sid isbn day

1 Ram 21 1 005 07-07-18

2 Shyam 18 2 007 03-03-18

3 Seeta 16 3 009

4 Geeta 23

Query : Find the names of students who have reserved the books with book isbn
Select Student.sname,Reserve.isbn
From Student, Reserve
Where Student.sid=Reserve.sid
Use of SQL Join
The SQL Joins clause is used to combine records from two or more tables in a database. A
JOIN is a means for combining fields from two tables by using values common to each.
Example : Consider two tables for using the joins in SQL. Note that cid is common
column in following tables.

Student Reserve

sid cid sname cid cname

1 101 Ram 101 Pune

2 101 Shyam 102 Mumbai

3 102 Seeta 103 Chennai

4 NULL Geeta

1) Inner Join :
 The most important and frequently used of the joins is the INNER JOIN. They are
also known as an EQUIJOIN.
 The INNER JOIN creates a new result table by combining column values of two
tables (Table1 and Table2) based upon the join-predicate.
 The query compares each row of table1 with each row of Table2 to find all pairs of
rows which satisfy the join-predicate.
Database Management Systems 1 - 41 Relational Databases

 When the join-predicate is satisfied, column values for each matched pair of rows
of A and B are combined into a result row. It can be represented as :

 Syntax : The basic syntax of the INNER JOIN is as follows.

SELECT Table1.column1, Table2.column2...
FROM Table1
INNER JOIN Table2
ON Table1.common_field = Table2.common_field;
 Example : For above given two tables namely Student and City, we can apply
inner join. It will return the record that are matching in both tables using the
common column cid. The query will be
SELECT *
FROM Student Inner Join City on Student.cid=City.cid
The result will be

sid cid sname cid cname

1 101 Ram 101 Pune

2 101 Shyam 101 Pune

3 102 Seeta 102 Mumbai

2) Left Join :
 The SQL LEFT JOIN returns all rows from the left table, even if there are no
matches in the right table. This means that if the ON clause matches 0 (zero)
records in the right table; the join will still return a row in the result, but with
NULL in each column from the right table.
 This means that a left join returns all the values from the left table, plus matched
values from the right table or NULL in case of no matching join predicate.
 It can be represented as -

 Syntax : The basic syntax of a LEFT JOIN is as follows.

SELECT
SELECT Table1.column1, Table2.column2...
Database Management Systems 1 - 42 Relational Databases

FROM Table1
LEFT JOIN Table2
ON Table1.common_field = Table2.common_field;
 Example : For above given two tables namely Student and City, we can apply Left
join. It will Return all records from the left table, and the matched records from
the right table using the common column cid. The query will be
SELECT *
FROM Student Left Join City on Student.cid=City.cid
The result will be

sid cid sname cid cname

1 101 Ram 101 Pune

2 101 Shyam 101 Pune

3 102 Seeta 102 Mumbai

4 NULL Geeta NULL NULL

3) Right Join :
 The SQL RIGHT JOIN returns all rows from the right table, even if there are no
matches in the left table.
 This means that if the ON clause matches 0 (zero) records in the left table; the join
will still return a row in the result, but with NULL in each column from the left
table.
 This means that a right join returns all the values from the right table, plus
matched values from the left table or NULL in case of no matching join predicate.
 It can be represented as follows :

 Syntax : The basic syntax of a RIGHT JOIN is as follow -

SELECT Table1.column1, Table2.column2...
FROM Table1
RIGHT JOIN Table2
ON Table1.common_field = Table2.common_field;
 Example : For above given two tables namely Student and City, we can apply
Right join. It will return all records from the right table, and the matched records
from the left table using the common column cid. The query will be
SELECT *
FROM Student Right Join City on Student.cid=City.cid
Database Management Systems 1 - 43 Relational Databases

The result will be –

sid cid sname cid cname

1 101 Ram 101 Pune

2 101 Shyam 101 Pune

3 102 Seeta 102 Mumbai

NULL NULL NULL 103 Chennai

4) Full Join :
 The SQL FULL JOIN combines the results of both left and right outer joins.
 The joined table will contain all records from both the tables and fill in NULLs for
missing matches on either side.
 It can be represented as

 Syntax : The basic syntax of a FULL JOIN is as follows :

SELECT Table1.column1, Table2.column2...
FROM Table1 FULL JOIN Table2 ON Table1.common_field = Table2.common_field;
The result will be -
 Example : For above given two tables namely Student and City, we can apply Full
join. It will return returns rows when there is a match in one of the tables using the
common column cid. The query will be -
SELECT *
FROM Student Full Join City on Student.cid=City.cid
The result will be -

sid cid sname cid cname

1 101 Ram 101 Pune

2 101 Shyam 101 Pune

3 102 Seeta 102 Mumbai

4 NULL Geeta NULL NULL

NULL NULL NULL 103 Chennai

Database Management Systems 1 - 44 Relational Databases

1.13.4 Additional Basic Operations

1) The Rename Operation : The SQL AS is used to assign temporarily a new name to a
table column or table(relation) itself. One reason to rename a relation is to replace a
long relation name with a shortened version that is more convenient to use
elsewhere in the query. For example – “Find the names of students and isbn of
book who reserve the books”.
Student Reserve
sid sname age sid isbn day
1 Ram 21 1 005 07-07-18
2 Shyam 18 2 007 03-03-18
3 Seeta 16 3 009 05-05-18
4 Geeta 23

Select S.sname,R.isbn
From Student as S, Reserve as R
Where S.sid=R.sid
In above case we could shorten the names of tables Student and Reserve as S and R
respectively.
Another reason to rename a relation is a case where we wish to compare tuples in the
same relation. We then need to take the Cartesian product of a relation with itself. For
example –
If the query is – Find the names of students who reserve the book of isbn 005. Then the
SQL statement will be –
Select S.sname,R.isbn
From Student as S, Reserve as R
Where S.sid=R.sid and S.isbn=005
2) Attribute Specification in Select clause : The symbol * is used in select clause to
denote all attributes. For example – To select all the records from Student table we
can write
Select* from Student
3) Ordering the display of tuples : For displaying the records in particular order we
use order by clause.
The general syntax with ORDER BY is
SELECT column_name(s)
FROM table_name
WHERE condition
ORDER BY column_name(s)
 Example : Consider the Student table as follows –
Database Management Systems 1 - 45 Relational Databases

sid sname marks city

1 AAA 60 Pune
2 BBB 70 Mumbai
3 CCC 90 Pune
4 DDD 55 Mumbai
Query : Find the names of students from highest marks to lowest
Select sname
From Student
Order By marks
We can also use the desc for descending order and asc for ascending order. For
example : .
In order to display names of the students in descending order of city – we can specify
Select sname
From Student
Order by city desc;
(4) Where clause Predicate :
(i) The between operator can be used to simplify the where clause which is used to
denote the value be less than or equal to some value and greater than or equal to
some other value. For example – of we want the names of the students whose marks
are between 80 and 90 then SQL statement will be
Select name
From Students
Where marks between 80 and 90;
Similarly we can make use of the comparison operators for various attributes. For
example - If the query is – Find the names of students who reserve the book of isbn 005.
Then the SQL statement will be –
Select sname
From Student , Reserve
Where (Student.sid,Reserve.isbn)=(Reserve.sid,005);
(ii) We can use AND, OR and NOT operators in the Where clause. For filtering the
records based on more than one condition, the AND and OR operators can be used.
The NOT operator is used to demonstrate when the condition is not TRUE.
Consider following sample database – Students database, for applying AND, OR and
NOT operators
sid sname marks city
1 AAA 60 Pune

2 BBB 70 Mumbai

3 CCC 90 Pune

4 DDD 55 Mumbai
Database Management Systems 1 - 46 Relational Databases

Syntax of AND
SELECT column1, column2, ...
FROM table_name
WHERE condition1 AND condition2 AND condition3 ...;
Example : Find the student having name “AAA” and lives in city “Pune”
SELECT *
FROM Students
Where sname=’AAA’ AND city=’Pune’
Output

sid sname marks city

1 AAA 60 Pune

Syntax OR
SELECT column1, column2, ...
FROM table_name
WHERE condition1 OR condition2 OR condition3 ...;
Example : Find the student having name “AAA” OR lives in city “Pune”
SELECT *
FROM Students
Where sname=’AAA’ OR city=’Pune’
Output

sid sname marks city

1 AAA 60 Pune

3 CCC 90 Pune

Syntax NOT
SELECT column1, column2, ..
FROM table_name
WHERE NOT condition
Example : Find the student who do not have city “Pune”
SELECT *
FROM Students
Where NOT city=’Pune’
Output

sid sname marks city

2 BBB 70 Mumbai
4 DDD 55 Mumbai
Database Management Systems 1 - 47 Relational Databases

1.13.5 Domain and Key Constraint

Domain Constraint
 A domain is defined as the set of all unique values permitted for an attribute. For
example, a domain of date is the set of all possible valid dates, a domain of Integer
is all possible whole numbers, and a domain of day-of-week is Monday, Tuesday
... Sunday.
 This in effect is defining rules for a particular attribute. If it is determined that an
attribute is a date then it should be implemented in the database to prevent
invalid dates being entered.
 Domain constraints are user defined data type and we can define them like this :
 Domain constraint = Data type + Constraints
 The constraints can be specified using NOT NULL / UNIQUE / PRIMARY KEY /
FOREIGN KEY / CHECK / DEFAULT.
 For example –
Create domain id_value integer
constraint id_test
check(value > 100);  cheking if stud_id value is greater than 100

create table student (

stu_id id_value PRIMARY KEY,
stu_name CHAR(30),
stu_age integer
);
Key Constraint
 A key constraint is a statement that a certain minimal subset of the fields of a
relation is a unique identifier for a tuple.
 For example - Consider the students relation and the constraint that no two
students have the same student id. This IC is an example of a key constraint.
 The definition of key constraints contain two parts -
o Two distinct tuples in a legal instance (an instance that satisfies all Integrity
Constraints including the key constraint) cannot have identical values in all the
fields of a key.
o No subset of the set of fields in a key is a unique identifier for a tuple.
 The first part of the definition means that, in any legal instance, the values in the
key fields uniquely identify a tuple in the instance. When specifying a key
constraint, the DBA or user must be sure that this constraint will not prevent them
from storing a 'correct' set of tuples. For example, several students may have the
same name, although each student has a unique student id. If the name field is
declared to be a key, the DBMS will not allow the Students relation to contain two
tuples describing different students with the same name.
Database Management Systems 1 - 48 Relational Databases

 The second part of the definition means, for example, that the set of fields
{RollNo, Name} is not a key for Students, because this set properly contains the
key {RollNo}. The set {RollNo, Name} is an example of a superkey, which is a set
of fields that contains a key.
 The key constraint can be specified using SQL as follows -

o In SQL, we can declare that a subset of the columns of a table constitute a key by
using the UNIQUE constraint.
o At most one of these candidate keys can be declared to be a primary key, using
the PRIMARY KEY constraint. For example -
CREATE TABLE Student(RollNo integer,
Name CHAR(20),
age integer,
UNIQUE(Name,age),
CONSTRAINT StudentKey PRIMARY KEY(RollNo))
This definition says that RollNo is a Primary key and Combination of Name and
age is also a key.

1.13.6 String Operations

 For string comparisons, we can use the comparison operators =, <, >,<=,>=,<>
with the ordering of strings determined alphabetically as usual.
 SQL also permits a variety of functions on character strings such as concatenation
suing operator||, extracting substrings, finding length of string, converting
strings to upper case(using function upper(s)) and lowercase(using function
lower(s)), removing spaces at the end of string(using function(trim(s)) and so on.
 Pattern matching can also be performed on strings using two types of special
characters –

o Percent(%): It matches zero, one or multiple characters

o Underscore(_): The _ character matches any single character.
 The percentage and underscore can be used in combinations.
 Patterns are case sensitive. That means upper case characters do not match
lowercase characters or vice versa.
 For instance :

o ‘Data%’ matches any string beginning with “Data”, For instance it could
be with “Database”, “DataMining”,”DataStructure”
o ‘_ _ _’ matches any string of exactly three characters.
o ‘_ _ _ %’matches any string of at least length 3 characters.
Database Management Systems 1 - 49 Relational Databases

 The LIKE clause can be used in WHERE clause to search for specific patterns.
 For example – Consider following Employee Database

EmpID EmpName Department Date_of_Join

1 Sunil Marketing 1-Jan

2 Mohsin Manager 2-Jan

3 Supriya Manager 3-Jan

4 Sonia Accounts 4-Jan

5 Suraj Sales 5-Jan

6. Archana Purchase 6-Jan

(1) Find all the employee with EmpName starting with “s”
SQL Statement:
SELECT * FROM Employee
WHERE EmpName LIKE ‘s%’
Output
EmpID EmpName Department Date_of_Join
1 Sunil Marketing 1-Jan
3 Supriya Manager 3-Jan
4 Sonia Accounts 4-Jan
5 Suraj Sales 5-Jan

(2) Find the names of employee whose name begin with S and end with a
SQL Statement :
SELECT EmpName FROM Employee
WHERE EmpName LIKE ‘S%a’
Output
EmpName
Supriya
Sonia
(3) Find the names of employee whose name begin with S and followed by exactly
four characters
SELECT EmpName FROM Employee
WHERE EmpName LIKE ‘S_ _ _ _ ‘
Database Management Systems 1 - 50 Relational Databases

Output

EmpName
Sunil

Sonia

Suraj

1.13.7 Set Operations

1) UNION : To use this UNION clause, each SELECT statement must have
i) The same number of columns selected
ii) The same number of column expressions
iii) The same data type and
iv) Have them in the same order
This clause is used to combine two tables using UNION operator. It replaces the OR
operator in the query. The union operator eliminates duplicate while the union all query
will retain the duplicates.

Syntax
The basic syntax of a UNION clause is as follows –
SELECT column1 [, column2 ]
FROM table1 [, table2 ]
[WHERE condition]
UNION
SELECT column1 [, column2 ]
FROM table1 [, table2 ]
[WHERE condition]
Here, the given condition could be any given expression based on your requirement.
Consider Following relations –

Student Reserve
sid sname age sid isbn day
1 Ram 21 1 005 07-07-18

2 Shyam 18 2 005 03-03-17

3 Seeta 16 3 007 08-11-16

4 Geeta 23
Database Management Systems 1 - 51 Relational Databases

Book
isbn bname Author
005 DBMS XYZ

006 OS PQR

007 DAA ABC

Example : Find the names of the students who have reserved the ‘DBMS’ book or ‘OS’
Book
The query can then be written by considering the Student, Reserve and Book table as
SELECT S.sname
FROM Student S, Reserve R, Book B
WHERE S.sid=R.sid AND R.isbn=B.isbn AND B.bname=’DBMS’
UNION
SELECT S.sname
FROM Student S, Reserve R, Book B
WHERE S.sid=R.sid AND R.isbn=B.isbn AND B.bname=’OS’
2) Intersect : The common entries between the two tables can be represented with the
help of Intersect operator. It replaces the AND operator in the query.

Syntax
The basic syntax of a INTERSECT clause is as follows –
SELECT column1 [, column2 ]
FROM table1 [, table2 ]
[WHERE condition]
INTERSECT
SELECT column1 [, column2 ]
FROM table1 [, table2 ]
[WHERE condition]
Example : Find the students who have reserved both the ‘DBMS’ book and ‘OS’ Book
The query can then be written by considering the Student, Reserve and Book table as
SELECT S.sid, S.sname
FROM Student S, Reserve R, Book B
WHERE S.sid=R.sid AND R.isbn=B.isbn AND B.bname=’DBMS’
INTERSECT
SELECT S.sname
FROM Student S, Reserve R, Book B
WHERE S.sid=R.sid AND R.isbn=B.isbn AND B.bname=’OS’
3) Except : The EXCEPT clause is used to represent the set-difference in the query.
This query is used to represent the entries that are present in one table and not in other.
Database Management Systems 1 - 52 Relational Databases

Syntax :
The basic syntax of a EXCEPT clause is as follows –
SELECT column1 [, column2 ]
FROM table1 [, table2 ]
[WHERE condition]
EXCEPT
SELECT column1 [, column2 ]
FROM table1 [, table2 ]
[WHERE condition]
Example : Find the students who have reserved both the ‘DBMS’ book but not reserved
‘OS’ Book
The query can then be written by considering the Student, Reserve and Book table as
SELECT S.sid, S.sname
FROM Student S, Reserve R, Book B
WHERE S.sid=R.sid AND R.isbn=B.isbn AND B.bname=’DBMS’
EXCEPT
SELECT S.sname
FROM Student S, Reserve R, Book B
WHERE S.sid=R.sid AND R.isbn=B.isbn AND
B.bname=’OS’

1.13.8 Aggregate Functions

 An aggregate function allows you to perform a calculation on a set of values to
return a single scalar value.
 SQL offers five built-in aggregate functions :
1. Average : avg
2. Minimum : min
3. Maximum : max
4. Total: sum
5. Count :

1.13.8.1 Basic Aggregation

 The aggregate functions that accept an expression parameter can be modified by
the keywords DISTINCT or ALL. If neither is specified, the result is the same as if
ALL were specified.
DISTINCT Modifies the expression to include only distinct
values that are not NULL
ALL Includes all rows where expression is not NULL
Database Management Systems 1 - 53 Relational Databases

 Syntax of all the Aggregate Functions

AVG( [ DISTINCT | ALL ] expression)
COUNT(*)
COUNT( [ DISTINCT | ALL ] expression )
MAX( [ DISTINCT | ALL ] expression)
MIN( [ DISTINCT | ALL ] expression)
SUM( [ DISTINCT | ALL ] expression)
 The avg function is used to compute average value. For example – To compute
average marks of the students we can use
SQL Statement
SELECT AVG(marks)
FROM Students
 The Count function is used to count the total number of values in the specified
field. It works on both numeric and non-numeric data type. COUNT (*) is a
special implementation of the COUNT function that returns the count of all the
rows in a specified table. COUNT (*) also considers Nulls and duplicates. For
example Consider following table
Test
id value
11 100
22 200
33 300
NULL 400
SQL Statement
SELECT COUNT(*)
FROM Test
Output
4
SELECT COUNT(ALL id)
FROM Test
Output
3
 The min function is used to get the minimum value from the specified column.
For example – Consider the above created Test table
SQL Statement
SELECT Min(value)
FROM Test
Output
100
Database Management Systems 1 - 54 Relational Databases

 The max function is used to get the maximum value from the specified column.
For example – Consider the above created Test table
SQL Statement
SELECT Max(value)
FROM Test
Output
400
 The sum function is used to get total sum value from the specified column. For
example – Consider the above created Test table
SQL Statement
SELECT sum(value)
FROM Test
Output
1000

1.13.8.2 Use of Group By and Having Clause

(i) Group By :
 The GROUP BY clause is a SQL command that is used to group rows that have the
same values.
 The GROUP BY clause is used in the SELECT statement.
 Optionally it is used in conjunction with aggregate functions.
 The queries that contain the GROUP BY clause are called grouped queries
 This query returns a single row for every grouped item.
 Syntax :
SELECT column_name(s)
FROM table_name
WHERE condition
GROUP BY column_name(s)
The general syntax with ORDER BY is
SELECT column_name(s)
FROM table_name
WHERE condition
GROUP BY column_name(s)
ORDER BY column_name(s)
 Example : Consider the Student table as follows -

sid sname marks city

1 AAA 60 Pune
2 BBB 70 Mumbai
3 CCC 90 Pune
4 DDD 55 Mumbai
Database Management Systems 1 - 55 Relational Databases

Query : Find the total marks of each student in each city

SELECT SUM(marks), city
FROM Student
GROUP BY city
Output
SUM(marks) city
150 Pune
125 Mumbai
(ii) Having :
 HAVING filters records that work on summarized GROUP BY results.
 HAVING applies to summarized group records, whereas WHERE applies to
individual records.
 Only the groups that meet the HAVING criteria will be returned.
 HAVING requires that a GROUP BY clause is present.
 WHERE and HAVING can be in the same query.
 Syntax :
SELECT column-names
FROM table-name
WHERE condition
GROUP BY column-names
HAVING condition
 Example : Consider the Student table as follows -
sid sname marks city

1 AAA 60 Pune

2 BBB 70 Mumbai

3 CCC 90 Pune

4 DDD 55 Mumbai

5 EEE 84 Chennai

Query : Find the total marks of each student in the city named ‘Pune’ and ‘Mumbai’ only
SELECT SUM(marks), city
FROM Student
GROUP BY city
HAVING city IN(‘Pune’,’Mumbai’)
Database Management Systems 1 - 56 Relational Databases

Output
 The result will be as follows –
SUM(marks) city
150 Pune
125 Mumbai

1.13.9 Nested Queries

In nested queries, a query is written inside a query. The result of inner query is used
in execution of outer query.
There are two types of nested queries :
i) Independent Query :
 In independent nested queries, query execution starts from innermost query
to outermost queries.
 The execution of inner query is independent of outer query, but the result of
inner query is used in execution of outer query.
 Various operators like IN, NOT IN, ANY, ALL etc are used in writing
independent nested queries.
 For example - Consider three tables namely Student, City and Student_City
as follows -
Student City
sid sname phone cid cname
1 Ram 1111 101 Pune

2 Shyam 2222 102 Mumbai

3 Seeta 3333 103 Chennai

4 Geeta 4444

Student_City
sid cid
1 101
1 103
2 101
3 102
4 102
4 103
Database Management Systems 1 - 57 Relational Databases

 Example 1 - If we want to find out sid who live in city ‘Pune’ or ‘Chennai’.
We can then write independent nested query using IN operator. Here we can
use the IN operator allows you to specify multiple values in a WHERE
clause. The IN operator is a shorthand for multiple OR conditions.

Step 1 : Find cid for cname=’Pune’ or ‘Chennai’. The query will be

SELECT cid
FROM City
WHERE cname=’Pune’ or ‘Chennai’

Step 2 : Using cid obtained in step 1 we can find the sid. The query will be
SELECT sid
FROM Student_City
WHERE cid IN
(SELECT cid FROM City WHERE cname=’Pune’ or cname=’Chennai’)
The inner query will return a set with members 101 and 103 and outer query will return
those sid for which cid is equal to any member of set (101 and 103 in this case). So, it will
return 1, 2 and 4.
 Example 2 : If we want to find out sname who live in city ‘Pune’ or ‘Chennai’.
SELECT sname FROM Student WHERE sid IN
(SELECT sid FROM Student_City WHERE cid IN
(SELECT cid FROM City WHERE cname=’Pune’ or cname=’Chennai’))

ii) Co-related Query :

In co-related nested queries, the output of inner query depends on the row which is
being currently executed in outer query. For example
If we want to find out sname of Student who live in city with cid as 101, it can be done
with the help of co-related nested query as :
SELECT sname FROM Student S WHERE EXISTS
(SELECT * FROM Student_City SC WHERE S.sid=SC.sid and SC.cid=101)
Here For each row of Student S, it will find the rows from Student_City where
S.sid = SC.sid and SC.cid=101.
If for a sid from Student S, atleast a row exists in Student_City SC with cid=101, then
inner query will return true and corresponding sid will be returned as output.

1.13.10 Modification of Databases

The modification of database is an operation for making changes in the existing
databases. Various operations of modification of database are – insertion, deletion and
updation of databases.
1. Deletion : The delete command is used to delete the existing record.
Database Management Systems 1 - 58 Relational Databases

Syntax
delete from table_name
where condition;
Example
delete from student
where RollNo=10
2. Insertion : The insert command is used to insert data into the table. There are two
syntaxes of inserting data into SQL

Syntax
(i) Insert into table_name (column1, column2, column3, ...)
values (value1, value2, value3, ...);
(ii) insert into table_name
values (value1, value2, value3, ...);
Example
(i) insert into Student(RollNo,Name,Makrs) values(101,’AAA’,56.45)
(ii) insert into Student values(101,’AAA’,56.45)
3. Update : The update statement is used to modify the existing records in the table.
update table_name
set column1=value1, column2=value2,…
where condition;
Example:
Delete student
Set Name=’WWW’
where RollNo=101
Example 1.13.1 Write the DDL, DML, DCL for the students database. Which contains
student details:name, id,DOB, branch, DOJ.
Course details : Course name, Course id, Stud.id,Faculty name, id, marks
AU : Dec.-17, Marks 15
Solution :

DDL Commands
CREATE TABLE Student
(
stud_name varchar(20),
stud_id int(3),
DOB varchar(15),
branch varchar(10),
DOJ varchar(15),
);
CREATE TABLE Course
(
Database Management Systems 1 - 59 Relational Databases

course_name varchar(20),
course_id int(5),
stud_id int(3),
facult_name varchar(20),
faculty_id varchar(5),
marks real
);
DML Commands
The commands which we will use here are insert and select. The insert command is
used to insert the values into database tables. Using the select command, the database
values can be displayed.
(1) Inserting values into Student table
insert into Student(stud_name,stud_id,DOB,branch,DOJ)
values(’AAA’,11,’01-10-1999’ , ’computers’,’5-3-2018’)

insert into Student(stud_name,stud_id,DOB,branch,DOJ)

values(’BBB’,12,’24-5-1988’ , ’Mechanical’,’17-2-2016’)

insert into Student(stud_name,stud_id,DOB,branch,DOJ)

values(’CCC’,13,’8-1-1990’ , ’Electrical’,’22-9-2017’)
(2) Inserting values into Course table
insert into Course(course_name,course_id,stud_id,faculty_name,faculty_id,marks)
values(’Basic’,101,11,’Archana’ ,’F001’,’50’)

insert into Course(course_name,course_id,stud_id,faculty_name,faculty_id,marks)

values(’Intermediate’,102,12,’Rupali’ ,’F002’,’70’)

insert into Course(course_name,course_id,stud_id,faculty_name,faculty_id,marks)

values(’Advanced’,103,13,’Sunil’ ,’F003’,’100’)
(3) Displaying records of Student table
Select * from Student;
(4) Displaying records of Course table
Select * from Course;
DCL Commands
Database Management Systems 1 - 60 Relational Databases

The DCL command is used to control privileges in Database. To perform any operation
in the database, such as for creating tables, sequences or views, a user needs privileges.
We will use the command GRANT.
To allow a user to create tables in the database, we can use the below command,
Grant create table to user1;
Example 1.13.2 C Write the following queries in relational algebra and SQL
(i) Find the names of employee who have borrowed a book published by McGraw Hill
(ii) Find the names of employees who have borrowed all books published by McGraw-Hill
AU : May 17, Marks 10

Solution :
We will assume the databases as –
member(memb_no, name, dob)
books(isbn, title, authors, publisher)
borrowed(memb_no, isbn, date)
(i) Relational Algebra :
name((publisher=’McGraw Hill’ books) ⋈ borrowed ⋈ member)
SQL :
SELECT name
FROM member
WHERE meber.memb_no=borrowed.memb_no
AND books.isbn=borrowed.isbn
AND books.publisher=’McGraw Hill’;
(ii) Relational Algebra
 (Tempname,( memb_no,isbn borrowed)/ isbn (publisher=’McGraw Hill’ books)))
name(Tempname ⋈ member)
SQL :
SELECT distinct M.name
FROM Member M,
WHERE NOT EXIST
(
(SELECT isbn
FROM books
WHERE publisher = ’McGrawHill’
)
EXCEPT
(SELECT isbn
FROM borrowed R
Database Management Systems 1 - 61 Relational Databases

WHERE R.memb_no = M.memb_no

)
)

Example 1.13.3 Assume the following table.

Degree (degcode, name, subject)
Candidate (seatno, degcode, name, semester, month, year, result)
Marks (seatno, degcode, semester, month, year, papcode, marks)
[degcode – degree code, name – name of the degree (Eg. MSc.), subject – subject of the course
(Eg. Physis), papcode – paper code (Eg. A1)]
Solve the following queries using SQL;
Write a SELECT statement to display,
(i) all the degree codes which are there in the candidate table but not present in degree table in
the order of degcode.
(ii) the name of all the candidates who have got less than 40 marks in exactly 2 subjects.
(iii) the name, subject and number of candidates for all degrees in which there are less than 5
candidates.
(iv) the names of all the candidate who have got highest total marks in MSc. Maths.
AU : Dec.-15, Marks 4 + 4 + 4 + 4
Solution :
(i) SELECT C.degcode
FROM Candidate C,
WHERE NOT EXISTS
(SELECT D.degcode
FROM Degree D
WHERE D.degcode=C.degcode)
ORDER by C.degcode
(ii) SELECT C.name
FROM Candidate C, Degree D, Marks M
WHERE
C.seatno=M.seatno AND C.degcode=D.degcode AND C.degcode=M.degcode AND
M.marks<40
GROUP BY C.seatno
HAVING count(D.subject)=2;
(iii) SELECT D.name,D.subject,count(*)
FROM degree D, Candidate C
WHERE D.degcode=C.degcode
HAVING( SELECT count(*) FROM Candidate <5);
(iv)SELECT C.name
FROM Candidate C, Degree D, Marks M
WHERE
Database Management Systems 1 - 62 Relational Databases

D.degname=’MSc’ AND D.subject=’Maths’ AND C.degcode=D.degcode AND

C.seatno=M.seatno AND
M.marks= (SELECT max(M.marks) FROM Marks M)
Example 1.13.4 Consider a student registration database comprising of the below given table
schema.
Student File
Student Number Student Name Address Telephone
Course File
Course Number Description Hours Professor Number
Professor File
Professor Number Name Office
Registration File
Student Number Course Number Date
Consider a suitable sample of tuples / records for the above mentioned tables and
write DML statements (SQL) to answer for the queries listed below.
i) Which courses does a specific professor teach ?
ii) What courses are taught by two specific professors ?
iii) Who teaches a specific course and where is his/her office ?
iv) For a specific student number, in which courses is the student registered and what
is his/her name ?
v) Who are the professors for a specific student ?
vi) Who are the students registered in a specific course ?
AU : May 15, Marks 16

Solution :
(i)
SELECT P.name,C.description
FROM Professor P, Course C
WHERE P.ProfessorNumber=C.ProfessorNumber
HAVING count(DISTINCT P.name)=2
(ii)
SELECT P.name,C.description
FROM Professor P, Course C
WHERE P.ProfessorNumber=C.ProfessorNumber
(iii)
SELECT P.name,P.office, C.description
FROM Professor P, Course C
WHERE P.ProfessorNumber=C.ProfessorNumber
Database Management Systems 1 - 63 Relational Databases

(iv)
SELECT S.StudentNumber,S.StudentNumber,C.Description
FROM Student S, Course C, Registration R
WHERE S.StudentNumber=R.StudentNumber AND C.CourseNumber=R.CourseNumber
(v)
SELECT S.StudentName, P.Name
FROM Student S, Course C, Professor P, Registration R
WHERE C.ProfessorNumber=P.ProfessorNumber
AND C.CourseNumber=R.CourseNumber
AND S.StudentNumber=R.StudentNumber
GROUP BY P.ProfessorNumber
(vi)
SELECT S.StudentName, C.Description
FROM Student S, Course C, Registration R
WHERE S.StudentNumber=R.StudentNumber
AND R.CourseNumber=C.CourseNumber
GROUP BY C.CourseNumber

University Questions
1. Explain aggregate functions in SQL with example. AU : May 18, Marks 13

2. Write DDL, DML,DCL commands for the students database. AU : Dec 17, Marks 7

3. Explain about SQL fundamentals. AU : May 16, Marks 8

4. Explain about Data Definition Language. AU : May 16, Marks 8

5. Explain the six clauses in the syntax of SQL query and show what type of constructs can be specified in
each of the six clauses. Which of the six clauses are required and which are optional.
AU : Dec 15, Marks 16
6. Explain- DDL and DML AU : Dec 14, Marks 8

1.14 Advanced SQL Features

1.14.1 Embedded SQL

 The programing module in which the SQL Statements are embedded is called
Embedded SQL module.
 It is possible to embed SQL statements inside the programming language such as C,
C++, PASCAL,Java and so on.
 It allows the application languages to communicate with DB and get requested result.

 The high level languages which supports embedding SQLs within it are also known as
host language.
Database Management Systems 1 - 64 Relational Databases

 An embedded SQL program must be processed by a special preprocessor prior to

compilation. The preprocessor replaces embedded SQL requests with host-language
declarations and procedure calls that allow runtime execution of the database accesses.
Then, the resulting program is compiled by the host-language compiler. This is the
main distinction between embedded SQL and JDBC or ODBC.
Example of Embedded SQL – Following program prompts the user for an order
number, retrieves the customer number, salesperson, and status of the order, and displays
the retrieved information on the screen.
int main() {
EXEC SQL INCLUDE SQLCA;
EXEC SQL BEGIN DECLARE SECTION;
int OrderID; /* Employee ID (from user) */
int CustID; /* Retrieved customer ID */
char SalesPerson[10] /* Retrieved salesperson name */
char Status[6] /* Retrieved order status */
EXEC SQL END DECLARE SECTION;

/* Set up error processing */

EXEC SQL WHENEVER SQLERROR GOTO query_error;
EXEC SQL WHENEVER NOT FOUND GOTO bad_number;

/* Prompt the user for order number */

printf ("Enter order number: ");
scanf_s("%d", &OrderID);

/* Execute the SQL query */

EXEC SQL SELECT CustID, SalesPerson, Status
FROM Orders
WHERE OrderID = :OrderID
INTO :CustID, :SalesPerson, :Status;

/* Display the results */

printf ("Customer number: %d\n", CustID);
printf ("Salesperson: %s\n", SalesPerson);
printf ("Status: %s\n", Status);
exit();

query_error:
printf ("SQL error: %ld\n", sqlca->sqlcode);
exit();

bad_number:
printf ("Invalid order number.\n");
exit();
}
Database Management Systems 1 - 65 Relational Databases

Features of Embedded SQL

(1) It is easy to use.
(2) It is ANSI/ISO standard programming language.
(3) It requires less coding
(4) The precompiler can optimize execution time by generating stored procedures for
the Embedded SQL statements.
(5) It is identical over different host languages, hence writing applications using
different programming languages is quite easy.

University Questions
1. What is the need of embedded SQL. AU : May 17, Dec 17, Marks 2

2. What is embedded SQL ? Give an example AU : Dec 16, Marks 5, May-14, Dec 14, Marks 8

1.15 Dynamic SQL AU : May-17, Dec.-17

 Dynamic SQL is a programming technique which allows to build the SQL statements
dynamically at runtime.
 Dynamic SQL statements are not embedded in the source program but stored as strings
of characters that are manipulated during a program's runtime.
 These SQL statements are either entered by a programmer or automatically generated
by the program.
 Dynamic SQL statements also may change from one execution to the next without
manual intervention.
 Dynamic SQL facilitates automatic generation and manipulation of program modules
for efficient automated repeating task preparation and performance.
 Dynamic SQL facilitates the development of powerful applications with the ability to
create database objects for manipulation according to user input.
 The simplest way to execute a dynamic SQL statement is with an EXECUTE
IMMEDIATE statement. This statement passes the SQL statement to the DBMS for
compilation and execution.
Example 1.15.1 Consider the relation student(Reg.No.,name,mark, and grade). Write
embedded dynamic SQL program in C language to retrieve all the students’ records whose
mark is more than 90. AU : May 17, Marks 11, Dec 17, Marks 6
Solution :
int main() {
/* Begin program */
EXEC SQL INCLUDE SQLCA;
Database Management Systems 1 - 66 Relational Databases

EXEC SQL BEGIN DECLARE SECTION

int Reg_No;
char name[10][10];
float marks;
char grade;

EXEC SQL END DECLARE SECTION

EXEC SQL WHENEVER SQLERROR STOP
EXEC SQL SELECT Reg_No,name,marks,grade
FROM Student
WHERE marks>90
INTO :Reg_No,:name,:marks,:grade;
/* Display the results */
printf ("Registration number: %d\n", Reg_No);
printf ("Name: %s\n", name);
printf ("Marks: %f\n", marks);
printf ("Grade: %c\n", grade);
exit();
EXEC SQL DISCONNECT
/* End program */
}

1.16 Two Marks Questions with Answers

Q.1 What is Database Management System ? Why do we need a DBMS ?
AU : May 05,Dec - 08

Ans. :
 A Database Management System (DBMS) is collection of interrelated data and various
programs that are used to handle the data.
 The primary goal of DBMS is to provide a way to store and retrieve the required
information from the database in convenient and efficient manner.

Q.2 What is the purpose of database management system ? AU : Dec 14

Ans. : The purpose of database management system is –

 Define the structure for storage of information.

 Provide mechanism for manipulation of information.

 In addition, the database systems must ensure the safety of information stored.

Q.3 List any two advantages of database systems AU : Dec 07

Ans. : Following are the advantages of DBMS -

Database Management Systems 1 - 67 Relational Databases

1) DBMS removes the data redundancy that means there is no duplication of data in
database.
2) DBMS allows to retrieve the desired data in required format.
3) Data can be isolated in separate tables for convenient and efficient use.
4) Data can be accessed efficiently using a simple query language.

Q.4 Define data abstraction AU : May 05

Ans. : Data abstraction means retrieving only required amount of information of the
system and hiding background details.

Q.5 What are three levels of data abstraction ? AU : Dec 02, 04,May 14, Dec 17

Ans. : The three levels of data abstraction are –

1. Physical Level
2. Logical Level
3. View Level

Q.6 Is it possible for several attributes to have same domain ? Illustrate your answer
with suitable example AU : Dec 04, Dec 15

Ans. : A domain is the set of legal values that can be assigned to an attribute. Each
attribute in a database must have a well-defined domain; we can’t mix values from
different domains in the same attribute. Hence it is not possible for several attributes to
have same domain.
For example - Student domain has attributes RollNo, Name, Address. Similarly
Employee domain has EmpID, Ename,Salary,Address. We can not define the same
domain for defining several attributes.

Q.7 Write the characteristic that distinguish the database approach with File based
approach AU : May 15, Dec 16

OR What are main differences between file processing system and a DBMS ?
AU : May 06, Dec 06

Ans. : Refer section 1.2

Q.8 Discuss briefly three major disadvantages of keeping organizational information in

a file processing system AU : Dec 04, May 16

Ans. : Refer Section 1.2

Q.9 What is data model ? AU : Dec 11

Database Management Systems 1 - 68 Relational Databases

Ans. :
 It is a collection of conceptual tools for describing data, relationships among data,
semantics (meaning) of data and constraints.
 Data model is a structure below the database.

Q.10 What are different types of data models ? AU : May 12

Ans. : Various types of data models are –

(1) Relational Data Model (2) Entity Relational Data Model

(3) Object Based Data Model (4) Semi-structured Data Model

Q.11 Name the categories of SQL commands AU : May 12

Ans. : The categories of SQL commands are –

(1) Data Definition Language (DDL)

(2) Data Manipulation Language (DML)
(3) Data Control Language (DCL)

Q.12 What is data definition language ? Give example AU : Dec 16, May 18

Ans. :
 Data Definition Language (DDL) is a specialized language used to specify a database
schema by a set of definitions.
 It is a language which is used for creating and modifying the structures of tables,
views, indexes and so on.
 Some of the common commands used in DDL are -CREATE, ALTER, DROP.

Q.13 Give brief description of DCL command AU : Dec 14

Ans. : DCL stands for Data Control Language. It includes commands such as GRANT
and REVOKE which mainly deals with the rights, permissions and other controls of
the database system.

Q.14 Define the term tuple AU : Dec 05

Ans. : Tuple means a row present in the table

Q.15 Why does SQL allow duplicate tuples in a table or in a query result ? AU : Dec 15

Ans. :
 Data can be the same. Two people may have the same name. Since SQL is a database
where you store your data and data can be duplicate.
Database Management Systems 1 - 69 Relational Databases

 But we can apply primary key constraints, Unique constraints or Distinct keyword to
identify the record uniquely

Q.16 Why key is essential? Write the different types of keys AU : Dec 04

Ans. :
 Keys are used to specify the tuples distinctly in the given relation.

 Various types of keys used in relational model are – Superkey, Candidate Keys,
primary keys, foreign keys.

Q.17 Define primary key. Give example. AU : May 09

Ans. :
 The primary key is a candidate key chosen by the database designer to identify the
tuple in the relation uniquely.
 For example – Consider a Student database as Student (RollNo,Name,Address). The
primary key for this database is RollNo.The primary is underlined.

Q.18 Define foreign key. Give example AU : May 18

Ans. :
 Foreign key is a single attribute or collection of attributes in one table that refers to the
primary key of other table.
 For example - Consider a Student database as Student (RollNo,Name,Address) and
Course(CourseId, CourseName, RollNo). Here RollNo is a foreign key

Q.19 What is the difference between primary key and foreign key ? AU : Dec 05

Ans. :
Primary Key Foreign Key
Primary key is a column or a set of Foreign key is a column or a set of
columns that can be used to uniquely columns that refer to a primary key or a
identify a row in a table candidate key of another table.

A table can have a single primary key, A table can have multiple foreign keys
that can reference different tables.

Q.20 What is referential integrity ? AU : May 04,08

Ans. :
 The referential integrity rule states that “whenever a foreign key value is used it
must reference a valid, existing primary key in the parent table”.
Database Management Systems 1 - 70 Relational Databases

 Example : Consider the situation where you have two tables : Employees and
Managers. The Employees table has a foreign key attribute entitled ManagedBy,
which points to the record for each employee’s manager in the Managers table.

Q.21 What is domain integrity? Give example AU : Dec 08

Ans. : Domain integrity ensures that all the data items in a column fall within a
defined set of valid values. Each column in a table has a defined set of values, such as the
set of all numbers for zip (five-digit), the set of all character strings for name.

Q.22 What are different types of integrity constraints used in designing relational
databases
AU : Dec 07

Ans. : Different types of integrity constraints are –

(1) Entity Integrity Constraint

(2) Referential Integrity Constraint
(3) Domain Integrity Constraint
(4) Key Integrity Constraint

Q.23 List the reasons why null value might be introduced into the database AU : May 06

Ans. : NULL is a special value provided by database in two cases – i) When field
values of some tuples are unknown(For e.g. city name is not assigned) and
ii) inapplicable(For e.g. middle name is not present).

Q.24 List various operators used in relational algebra AU : May 06

Ans. : Various operators used in Relational algebra are –

(1) Selection Operator(σ)

(2) Projection Operator(∏)
(3) Cartesian Product()
(4) Rename Operator()

Q.25 Describe briefly any two undesirable properties that a database design may have ?
AU : Dec 02

Ans. : The two undesirable properties that a database design may have –

(1) Repetition of data

(2) In-ability of representation of certain information in database.
Database Management Systems 1 - 71 Relational Databases

Q.26 Specify with suitable examples, the different types of keys used in database
management system. AU : Dec 02

Ans. : Refer section 1.9

Q.27 Define data independence. AU : May 08

Ans. : Data independence is an ability by which one can change the data at one level
without affecting the data at another level. Here level can be physical, conceptual or
external.

Q.28 Distinguish between Physical and logical data independence AU : May 03

Ans. : Refer Section 1.6

Q.29 What is meant by instance and Schema of the database AU : May 04, Dec 05

Ans. :

 When information is inserted or deleted from the database then the database gets
changed. The collection of information at particular moment is called instances.
 The overall design of the database is called schema

Q.30 Differentiate between Dynamic SQL and Static SQL

AU : Dec 14,May 15, Dec 15, Dec 16, Dec 17

Ans:
Sr.No. Static SQL Dynamic SQL

1 SQL statements are compiled at SQL statements are compiled at

compile time. run time.
2 It is more efficient. It is less efficient.

3 It is less flexible. It is more flexible.

4 It is used in the situations where It is used in situations where data

data is distributed uniformly is distributed non uniformly.


Database Management Systems 1 - 72 Relational Databases

Notes
 UNIT - II

Syllabus
Entity-Relationship model - E-R Diagrams - Enhanced-ER Model - ER-to-Relational Mapping -
Functional Dependencies - Non-loss Decomposition - First, Second, Third Normal Forms,
Dependency Preservation - Boyce/Codd Normal Form - Multi-valued Dependencies and Fourth
Normal Form - Join Dependencies and Fifth Normal Form.

Contents
2.1 Introduction to Entity Relationship Model
2.2 Mapping Cardinality
2.3 ER Diagrams
2.4 Enhanced ER Model
2.5 Examples based on ER Diagram
2.6 ER to Relational Mapping ................................. May-17, .............................. Marks 13
2.7 Concept of Relational Database Design
2.8 Functional Dependencies
2.9 Concept of Redundancy and Anomalies
2.10 Decomposition ................................................... Dec.-17, ................................ Marks 7
2.11 Normal Forms ........................................................ Dec.-14, 15, May-18 ........... Marks 16
2.12 Boyce / Codd Normal Form (BCNF)
2.13 Multivalued Dependencies and Fourth Normal Form May-14, Dec.-16 ................ Marks 16
2.14 Join Dependencies and Fifth Normal Form
2.15 Two Marks Questions with Answers

(2 - 1)
Database Management Systems 2-2 Database Design

Part I Entity Relationship Model

2.1 Introduction to Entity Relationship Model

Entity Relational model is a model for identifying entities to be represented in the
database and representation of how those entities are related.
Let us first understand the design process of database design.

2.1.1 Design Phases

Following are the six steps of database design process. The ER model is most relevant
to first three steps

Fig. 2.1.1 : Database design process

Step 1 : Requirement analysis :

 In this step, it is necessary to understand what data need to be stored in the
database, what applications must be built, what are all those operations that are
frequently used by the system.
 The requirement analysis is an informal process and it requires proper
communication with user groups.
 There are several methods for organizing and presenting information gathered in
this step.
 Some automated tools can also be used for this purpose.

Step 2 : Conceptual database design :

 This is a steps in which E-R Model i.e. Entity Relationship model is built.
 E-R model is a high level data model used in database design.
 The goal of this design is to create a simple description of data that matches with
the requirements of users.

Step 3 : Logical database design :

 This is a step in which ER model in converted to relational database schema,
sometimes called as the logical schema in the relational data model.
Database Management Systems 2-3 Database Design

Step 4 : Schema refinement :

 In this step, relational database schema is analyzed to identify the potential
problems and to refine it.
 The schema refinement can be done with the help of normalizing and
restructuring the relations.

Step 5 : Physical database design :

 In this step, the design of database is refined further.
 The tasks that are performed in this step are - building indexes on tables and
clustering tables, redesigning some parts of schema obtained from earlier design
steps.

Step 6 : Application and security design :

 Using design methodologies like UML(Unified Modeling Language) the design of
the database can be accomplished.
 The role of each entity in every process must be reflected in the application task.
 For each role, there must be the provision for accessing the some part of database
and prohibition of access to some other part of database.
 Thus some access rules must be enforced on the application(which is accessing
the database) to protect the security features.

2.1.2 ER Model
The ER data model specifies enterprise schema that represents the overall logical
structure of a database.
The E-R model is very useful in mapping the meanings and interactions of real-world
entities onto a conceptual schema.
The ER model consists of three basic concepts –

1) Entity Sets
 Entity : An entity is an object that exists and is distinguishable from other objects.
For example - Student named “Poonam” is an entity and can be identified by her
name. The entity can be concrete or abstract. The concrete entity can be - Person,
Book, Bank. The abstract entity can be like - holiday, concept entity is represented
as a box.
Student Employee Department
 Entity set : The entity set is a set of entities of the same types. For example - All
students studying in class X of the School. The entity set need not be disjoint. Each
entity in entity set have the same set of attributes and the set of attributes will
Database Management Systems 2-4 Database Design

distinguish it from other entity sets. No other entity set will have exactly the same
set of attributes.

2) Relationship Sets
Relationship is an association among two or more entities.
The relationship set is a collection of similar relationships. For example - Following
Fig. 2.1.2 shows the relationship works_for for the two entities Employee and
Departments.

Fig. 2.1.2 : Relation set

The association between entity sets is called as participation. that is, the entity sets E1,
E2, . . . , En participate in relationship set R.
The function that an entity plays in a relationship is called that entity’s role.

3) Attributes
Attributes define the properties of a data object of entity. For example if student is an
entity, his ID, name, address, date of birth, class are its attributes. The attributes help
in determining the unique entity. Refer Fig. 2.1.3 for Student entity set with attributes
- ID, name, address. Note that entity is shown by rectangular box and attributes are
shown in oval. The primary key is underlined.

Fig. 2.1.3 : Student entity set with attributes

Types of Attributes

1) Simple and Composite Attributes :

1) Simple attributes are attributes that are drawn from the atomic value domains
For example - Name = {Parth} ; Age = {23}
Database Management Systems 2-5 Database Design

2) Composite attributes: Attributes that consist of a hierarchy of attributes

For example - Address may consists of “Number”, “Street” and “Suburb”
→ Address = {59 + ‘JM Road’ + ‘ShivajiNagar’}

2) Single valued and multivalued :

 There are some attributes that can be represented using a single value. For
example - StudentID attribute for a Student is specific only one studentID.
 Multivalued attributes : Attributes that have a set of values for each entity. It is
represented by concentric ovals
For example - Degrees of a person: ‘ BSc’ , ‘MTech’, ‘PhD’

3) Derived attribute :
Derived attributes are the attributes that contain values that are calculated from other
attributes. To represent derived attribute there is dotted ellipse inside the solid ellipse. For
example –Age can be derived from attribute DateOfBirth. In this situation, DateOfBirth
might be called Stored Attribute.

Fig. 2.1.4
Database Management Systems 2-6 Database Design

2.2 Mapping Cardinality

Mapping Cardinality represents the number of entities to which another entity can be
associated via a relationship set.
The mapping cardinalities are used in representing the binary relationship sets.
Various types of mapping cardinalities are -
1) One to One : An entity A is associated with at least one entity on B and an entity B
is associated with at one entity on A. This can be represented as

2) One to Many : An entity in A is associated with any number of entities in B. An

entity in B, however, can be associated with at most one entity in A.

3) Many to One : An entity in A is associated with at most one entity in B. An entity in

B, however, can be associated with any number of entities in A.
Database Management Systems 2-7 Database Design

4) Many to many : An entity in A is associated with any number (zero or more) of

entities in B, and an entity in B is associated with any number (zero or more) of
entities in A.

2.3 ER Diagrams
An E-R diagram can express the overall logical structure of a database graphically.E-R
diagrams are used to model real-world objects like a person, a car, a company and the
relation between these real-world objects.

Features of ER model
i) E-R diagrams are used to represent E-R model in a database, which makes them
easy to be converted into relations (tables).
ii) E-R diagrams provide the purpose of real-world modeling of objects which makes
them intently useful.
iii) E-R diagrams require no technical knowledge and no hardware support.
iv) These diagrams are very easy to understand and easy to create even by a naive user.
v) It gives a standard solution of visualizing the data logically.

Various Components used in ER Model are -

Component Symbol Example
Entity : Any real-world
object can be represented
as an entity about which
data can be stored in a
database. All the real
world objects like a book,
an organization, a product,
a car, a person are the
examples of an entity.
Database Management Systems 2-8 Database Design

Relationship : Rhombus is
used to setup relationships
between two or more
entities.

Attribute : Each entity has

a set of properties. These
properties of each entity
are termed as attributes.
For example, a car entity
would be described by
attributes such as price,
registration number, model
number, color etc

Derived attribute :
Derived attributes are
those which are derived
based on other attributes,
for example, age can be
derived from date of birth.

To represent a derived
attribute, another dotted
ellipse is created inside the
main ellipse

Multivalued attribute : An
attribute that can hold
multiple values is known
as multivalued attribute.
We represent it with
double ellipses in an E-R
Diagram. E.g. A person can
have more than one phone
numbers so the phone
number attribute is
multivalued.
Database Management Systems 2-9 Database Design

Total participation : Each

entity is involved in the
relationship. Total
participation is represented
by double lines.

2.3.1 Mapping Cardinality Representation using ER Diagram

There are four types of relationships that are considered for key constraints.
i) One to one relation : When entity A is associated with at the most one entity B then
it shares one to one relation. For example - There is one project manager who
manages only one project.

ii) One to many : When entity A is associated with more than one entities at a time
then there is one to many relation. For example - One customer places order at a
time.

ii) Many to one : When more than one entities are associated with only one entity then
there is is many to one relation. For example - Many student take a
ComputerSciCourse.

Alternate representation can be

Database Management Systems 2 - 10 Database Design

iii) Many to many : When more than one entities are associated with more than one
entities. For example -Many teachers can teach many students.

Alternate representation can be

2.3.2 Ternary Relationship

The relationship in which three entities are involved is called ternary relationship. For
example -

2.3.3 Binary and Ternary Relationships

 Although binary relationships seem natural to most of us, in reality it is
sometimes necessary to connect three or more entities. If a relationship connects
three entities, it is called ternary or "3-ary."
 Ternary relationships are required when binary relationships are not sufficient to
accurately describe the semantics of an association among three entities.
 For example - Suppose, you have a database for a company that contains the
entities, PRODUCT, SUPPLIER, and CUSTOMER. The usual relationships might
be PRODUCT/ SUPPLIER where the company buys products from a supplier - a
normal binary relationship. The intersection attribute for PRODUCT/SUPPLIER is
wholesale_price
Database Management Systems 2 - 11 Database Design

Fig. 2.3.1 : A binary relationship of PRODUCT and

SUPPLIER and an intersection attribute, wholesale_price

 Now consider the CUSTOMER entity, and that the customer buys products. If all
customers pay the same price for a product, regardless of supplier, then you have
a simple binary relationship between CUSTOMER and PRODUCT. For the
CUSTOMER/ PRODUCT relationship, the intersection attribute is retail_price.

Fig. 2.3.2 : A binary relationship of PRODUCT and CUSTOMER

and an Intersection attribute, retail_price

 Single ternary relation : Now consider a different scenario. Suppose the customer
buys products but the price depends not only on the product, but also on the
supplier. Suppose you needed a customerID, a productID, and a supplierID to
identify a price. Now you have an attribute that depends on three things and
hence you have a relationship between three entities (a ternary relationship) that
will have the intersection attribute, price.
Database Management Systems 2 - 12 Database Design

Fig. 2.3.3 : Ternary relation

2.3.4 Weak Entity Set

 A weak entity is an entity that cannot be uniquely identified by its attributes
alone. The entity set which does not have sufficient attributes to form a primary
key is called as weak entity set.

Fig. 2.3.4 : Weak entity set

 Strong Entity Set

The entity set that has primary key is called as strong entity set

Weak entity rules

 A weak entity set has one or more many-one relationships to other (supporting)
entity sets.
 The key for a weak entity set is its own underlined attributes and the keys for the
supporting entity sets. For example - player-number and team-name is a key for
Players.

Difference between Strong and Weak Entity Set

Sr. No. Strong entity set Weak entity set
1 It has its own primary key. It does not have sufficient attribute to
form a primary key on its own.
Database Management Systems 2 - 13 Database Design

2. It is represented by rectangle It is represented by double rectangle.

3. It represents the primary key which It represents the partial key or

is underlined. discriminator which is represented by
dashed underline.

4. The member of strong entity set is The member of weak entity set is called
called as dominant entity set subordinate entity set.

5. The relationship between two The relationship between strong entity

strong entity sets is represented by set and weak entity set is represented
diamond symbol. by double diamond symbol.

6. The primary key is one of the The primary key of weak entity set is a
attributes which uniquely identifies combination of partial key and primary
its member. key of the strong entity set.

2.4 Enhanced ER Model

2.4.1 Specialization and Generalization

 Some entities have relationships that form hierarchies. For instance, Employee can
be an hourly employee or contracted employee.
 In this relationship hierarchies, some entities can act as superclass and some other
entities can act as subclass.
 Superclass : An entity type that represents a general concept at a high level, is
called superclass.
 Subclass : An entity type that represents a specific concept at lower levels, is
called subclass.
 The subclass is said to inherit from superclass. When a subclass inherits from one
or more superclasses, it inherits all their attributes. In addition to the inherited
attributes, a subclass can also define its own specific attributes.
 The process of making subclasses from a general concept is called specialization.
This is top-down process. In this process, the sub-groups are identified within an
entity set which have attributes that are not shared by all entities.
 The process of making superclass from subclasses is called generalization. This is
a bottom up process. In this process multiple sets are synthesized into high level
entities.
 The symbol used for specialization/ Generalization is
Database Management Systems 2 - 14 Database Design

 For example – There can be two subclass entities namely Hourly_Emps and
Contract_Emps which are subclasses of Empoyee class. We might have attributes
hours_worked and hourly_wage defined for Hourly_Emps and an attribute
contractid defined for ContractEmps.
Therefore, the attributes defined for an Hourly_Emps entity are the attributes for
Employees plus Hourly_Emps. We say that the attributes for the entity set
Employees are inherited by the entity set Hourly_Emps and that Hourly-Emps
ISA (read is a) Employees. It can be represented by following Fig. 2.4.1.

Fig. 2.4.1

2.4.2 Constraints on Specialization/Generalization

There are four types of constraints on specialization/generalization relationship. These
are -
1) Membership constraints : This is a kind of constraints that involves determining
which entities can be members of a given lower-level entity. There are two types of
membership constraints -
i) Condition defined : In condition-defined lower-level entity sets,membership
is evaluated on the basis of whether or not an entity satisfies an explicit
condition or predicate. For example - Consider the high-level entity Set
Employee that has attribute Employee_type. All Employee entities are
evaluated on defining Employee_type attribute. All entities that satisfy the
condition student type = “ContractEmployee” are included in Contracted
Employee. Since all the lower-level entities are evaluated on the basis of the
same attribute this type of generalization is said to be attribute-defined.
ii) User defined : This is kind of entity set that in which the membership is
manually defined.
2) Disjoint constraints : The disjoint constraint only applies when a superclass has
more than one subclass. If the subclasses are disjoint, then an entity occurrence can
be a member of only one of the subclasses. For entity Student has either
Postgraduate_Student entity or Undergraduate_Student
Database Management Systems 2 - 15 Database Design

3) Overlapping : When some entity can be a member of more than one subclasses. For
example - Person can be both a Student or a Staff. The And can be used to represent
this constraint.

4) Completeness : It specifies whether or not an entity in the higher-level entity set

must belong to at least one of the lower-level entity sets within the
generalization/specialization. This constraint may be one of the following -
i) Total generalization or specialization : Each higher-level entity must belong
to a lower-level entity set. For example - Account in the bank must either
Savings account or Current Account. The mandatory can be used to represent
this constraint.

ii) Partial generalization or specialization : Some higher-level entities may not

belong to any lower-level entity set.
Database Management Systems 2 - 16 Database Design

2.4.3 Aggregation
A feature of the entity relationship model that allows a relationship set to participate in
another relationship set. This is indicated on an ER diagram by drawing a dashed box
around the aggregation.
For example - We treat the relationship set work and the entity sets employee and
project as a higher-level entity set called work.

Fig. 2.4.2 : ER model with aggregation

2.5 Examples based on ER Diagram

Example 2.5.1 Draw the ER diagram for banking systems (home loan applications).
AU : Dec.-17, Marks 8
OR Draw an ER diagram corresponding to customers and loans. AU : May.-14, Marks 8

OR Write short notes on : E-R diagram for banking system . AU : Dec.-14, Marks 8
Database Management Systems 2 - 17 Database Design

Solution :

Example 2.5.2 Consider the relation schema given in Figure. Design and draw an ER
diagram that capture the information of this schema. AU : May-17, Marks 5

Employee(empno,name,office,age)
Books(isbn,title,authors,publisher)
Loan(empno,isbn,date)
Database Management Systems 2 - 18 Database Design

Solution :

Example 2.5.3 Construct an E-R diagram for a car insurance company whose customers own
one or more cars each.Each car has associated with it zero to any number of recorded
accidents. Each insurance policy covers one or more cars and has one or more premium
payments associated with it. Each payment is for particular period of time and has an
associated due date and date when the payment was received. AU : Dec.-16, Marks 7

Solution :

Example 2.5.4 A car rental company maintains a database for all vehicles in its current fleet.
For all vehicles, it includes the vehicle identification number license number, manufacturer,
model, date of purchase and color. Special data are included for certain types of vehicles.
Database Management Systems 2 - 19 Database Design

Trucks : Cargo capacity

Sports cars : horsepower, renter age requirement
Vans : number of passengers
Off-road vehicles : ground clearance, drivetrain (four-or two-wheel drive)
Construct an ER model for the car rental company database. AU : Dec.-15, Marks 16

Solution :

Example 2.5.5 Draw E-R diagram for the "Restaurant Menu Ordering System", which will
facilitate the food items ordering and services within a restaurant. The entire restaurant
scenario is detailed as follows. The customer is able to view the food items menu, call the
waiter, place orders and obtain the final bill through the computer kept in their table. The
Waiters through their wireless tablet PC are able to initialize a table for customers, control
the table functions to assist customers, orders, send orders to food preparation staff (chef)
and finalize the customer's bill. The Food preparation staffs (chefs), with their touch-display
interfaces to the system, are able to view orders sent to the kitchen by waiters. During
preparation they are able to let the waiter know the status of each item, and can send
notifications when items are completed. The system should have full accountability and
logging facilities, and should support supervisor actions to account for exceptional
Database Management Systems 2 - 20 Database Design

circumstances, such as a meal being refunded or walked out on. AU : May-15, Marks 16

Solution :

Example 2.5.6 A university registrar’s office maintains data about the following entities :
(1) courses, including number, title, credits, syllabus, and prerequisites;
(2) course offerings, including course number, year, semester, section number,
instructor(s), timings, and classroom;
(3) students, including student-id, name, and program; and
(4) instructors, including identification number, name, department, and title.
Further, the enrollment of students in courses and grades awarded to students in each
course they are enrolled for must be appropriately modeled. Construct an E-R diagram for
the registrar’s office. Document all assumptions that you make about the mapping
constraints.
AU : Dec.-13, Marks 10
Database Management Systems 2 - 21 Database Design

Solution :

Example 2.5.7 What is aggregation in ER model ? Develop an ER diagram using

aggregation that captures following information : Employees work for projects. An
employee working for particular project uses various machinery. Assume necessary
attributes. State any assumptions you make. Also discuss about the ER diagram you have
designed. AU : Dec.-11, Marks 8

Solution : Aggregation : Refer section 2.4.3.

ER Diagram : The ER diagram for above described scenario can be drawn as follows -

The above ER model contains the redundant information, because every Employee,
Project, Machinery combination in works_on relationship is also considered in manages
Database Management Systems 2 - 22 Database Design

relationship. To avoid this redundancy problem we can make use of aggregation

relationship in ER diagram as follows -

We can then create a binary relationship manages for between Manager and
(Employee, Project, Machinery).
Example 2.5.8 Construct an E-R diagram for a hospital with a set of patients and a set of
medical doctors. Associate with each patient a log of the various tests and examinations
conducted. AU : Dec.-07, Marks 8

Solution :
Database Management Systems 2 - 23 Database Design

2.6 ER to Relational Mapping AU : May-17, Marks 13

In this section we will discuss how to map various ER model constructs to Relational
Model construct.

2.6.1 Mapping of Entity Set to Relationship

 An entity set is mapped to a relation in a straightforward way.
 Each attribute of entity set becomes an attribute of the table.
 The primary key attribute of entity set becomes an entity of the table.
 For example - Consider following ER diagram.

The converted employee table is as follows -

EmpID EName Salary

201 Poonam 30000

202 Ashwini 35000

203 Sharda 40000

The SQL statement captures the information for above ER diageam as follows -

CREATE TABLE Employee( EmpID CHAR(11),

EName CHAR(30),
Salary INTEGER,
PRIMARY KEY(EmpID))

2.6.2 Mapping Relationship Sets(without Constraints) to Tables

 Create a table for the relationship set.
 Add all primary keys of the participating entity sets as fields of the table.
 Add a field for each attribute of the relationship.
 Declare a primary key using all key fields from the entity sets.
Database Management Systems 2 - 24 Database Design

 Declare foreign key constraints for all these fields from the entity sets.
For example - Consider following ER model

The SQL statement captures the information for relationship present in above ER
diagram as follows -

CREATE TABLE Works_In (EmpID CHAR(11),

DeptID CHAR(11),
EName CHAR(30),
Salary INTEGER,
DeptName CHAR(20),
Building CHAR(10),
PRIMARY KEY(EmpID,DeptID),
FOREIGN KEY (EmpID) REFERENCES Employee,
FOREIGN KEY (DeptID) REFERENCES Department
)

2.6.3 Mapping Relationship Sets( With Constraints) to Tables

 If a relationship set involves n entity sets and some m of them are linked via
arrows in the ER diagram, the key for anyone of these m entity sets constitutes a
key for the relation to which the relationship set is mapped.
 Hence we have m candidate keys, and one of these should be designated as the
primary key.
 There are two approaches used to convert a relationship sets with key constraints
into table.
 Approach 1 :

o By this approach the relationship associated with more than one entities is
separately represented using a table. For example - Consider following ER
diagram. Each Dept has at most one manager, according to the key
constraint on Manages.
Database Management Systems 2 - 25 Database Design

Here the constraint is each department has at the most one manager to manage it.
Hence no two tuples can have same DeptID. Hence there can be a separate table
named Manages with DeptID as Primary Key. The table can be defined using
following SQL statement

CREATE TABLE Manages(EmpID CHAR(11),

DeptID INTEGER,
Since DATE,
PRIMARY KEY(DeptID),
FOREIGN KEY (EmpID) REFERENCES Employees,
FOREIGN KEY (DeptID) REFERENCES Departments)

 Approach 2 :

o In this approach , it is preferred to translate a relationship set with key

constraints.
o It is a superior approach because, it avoids creating a distinct table for the
relationship set.
o The idea is to include the information about the relationship set in the
table corresponding to the entity set with the key, taking advantage of the
key constraint.
o This approach eliminates the need for a separate Manages relation, and
queries asking for a department's manager can be answered without
combining information from two relations.
o The only drawback to this approach is that space could be wasted if
several departments have no managers.
o The following SQL statement, defining a Dep_Mgr relation that captures
the information in both Departments and Manages, illustrates the second
approach to translating relationship sets with key constraints :
Database Management Systems 2 - 26 Database Design

CREATE TABLE Dep_Mgr ( DeptID INTEGER,

DName CHAR(20),
Budget REAL,
EmpID CHAR (11),
since DATE,
PRIMARY KEY (DeptID),
FOREIGN KEY (EmpID) REFERENCES Employees)

2.6.4 Mapping Weak Entity Sets to Relational Mapping

A weak entity can be identified uniquely only by considering the primary key of
another (owner) entity. Following steps are used for mapping Weka Entity Set to
Relational Mapping
 Create a table for the weak entity set.
 Make each attribute of the weak entity set a field of the table.
 Add fields for the primary key attributes of the identifying owner.
 Declare a foreign key constraint on these identifying owner fields.
 Instruct the system to automatically delete any tuples in the table for which there
are no owners
For example - Consider following ER model

Following SQL Statement illustrates this mapping

CREATE TABLE Department(DeptID CHAR(11),

DeptName CHAR(20),
Bldg_No CHAR(5),
PRIMARY KEY (DeptID,Bldg_No),
FOREIGN KEY(Bldg_No) References Buildings on delete cascade
)
Database Management Systems 2 - 27 Database Design

2.6.5 Mapping of Specialization / Generalization(EER Construct) to Relational

Mapping
The specialialization/Generalization relationship(Enhanced ER Construct) can be
mapped to database tables(relations) using three methods. To demonstrate the methods,
we will take the – InventoryItem, Book, DVD

Method 1 : All the entities in the relationship are mapped to individual tables

InventoryItem(ID , name)
Book(ID,Publisher)
DVD(ID, Manufacturer)

Method 2 : Only subclasses are mapped to tables. The attributes in the superclass
are duplicated in all subclasses. For example -

Book(ID,name,Publisher)
DVD(ID, name,Manufacturer)

Method 3 : Only the superclass is mapped to a table. The attributes in the subclasses
are taken to the superclass. For example -

InventoryItem(ID , name,Publisher,Manufacturer)

This method will introduce null values. When we insert a Book record in the table, the
Manufacturer column value will be null. In the same way, when we insert a DVD record
in the table, the Publisher value will be null.
Database Management Systems 2 - 28 Database Design

Example 2.6.1 Construct an E-R diagram for a hospital with a set of patients and a set of
medical doctors. Associate with each patient a log of the various tests and examinations
conducted. Also construct appropriate tables for the ER diagram you have drawn.
Solution :
ER Diagram - Refer example 2.5.8.
Relational Mapping

patients (P_id, name, insurance, date-admitted, date-checked-out)

doctors (Dr_id, name, specialization)
test (testid, testname, date, time, result)
doctor-patient (P_id, Dr_id)
test-log (testid, P_id) performed-by (testid, Dr_id)

University Question
1. Discuss the correspondence between the ER model construct and the relational model constructs.
Show how each ER model construct can be mapped to the relational model. Discuss the option for
mapping EER construct. AU : May-17, Marks 13

Part II Relational Database Design

2.7 Concept of Relational Database Design

 There are two primary goals of relational database design – i) to generate a set of
relation schemas that allows us to store information without unnecessary
redundancy, and ii) to allows us to retrieve information easily.
 For achieving these goals, the database design need to be normalized. That means
we have to check whether the schema is it normal form or not.
 For checking the normal form of the schema, it is necessary to check the functional
dependencies and other data dependencies that exists within the schema.
Hence before letting us know what the normalization means, it is necessary to
understand the concept of functional dependencies.
2.8 Functional Dependencies
Definition : Let P and Q be sets of columns, then: P functionally determines Q,
written P → Q if and only if any two rows that are equal on (all the attributes in) P must
be equal on (all the attributes in) Q.
In other words, the functional dependency holds if
T1.P = T2.P, then T1.Q=T2.Q
Database Management Systems 2 - 29 Database Design

Where notation T1.P projects the tuple T1 onto the attribute in P.

For example : Consider a relation in which the roll of the student and his/her name is
stored as follows :

R N
1 AAA
2 BBB
3 CCC
4 DDD
5 EEE

Fig. 2.8.1 : Table which holds functional

dependency i.e. R->B

Here, R->N is true. That means the functional dependency holds true here. Because for
every assigned RollNuumber of student there will be unique name. For instance : The
name of the Student whose RollNo is 1 is AAA. But if we get two different names for the
same roll number then that means the table does not hold the functional dependency.
Following is such table -

R N
1 AAA
2 BBB
3 CCC
1 XXX
2 YYY

Fig. 2.8.2 : Table which does not hold

functional dependency

In above table for RollNumber 1 we are getting two different names - “AAA” and
“XXX”. Hence here it does not hold the functional dependency.

2.8.1 Computing Closure Set of Functional Dependency

The closure set is a set of all functional dependencies implied by a given set F. It is
denoted by F+
The closure set of functional dependency can be computed using basic three rules
which are also called as Armstrong’s Axioms.
Database Management Systems 2 - 30 Database Design

These are as follows -

i) Reflexivity : If X  Y, then X Y
ii) Augmentation : If X Y, then XZ  YZ for any Z
iv) Transitivity : If X  Y and Y  Z, then X  Z
In addition to above axioms some additional rules for computing closure set of
functional dependency are as follows -
 Union : If X  Y and X Z then X YZ
 Decomposition : If X YZ, then X Y and X Z
Example 2.8.1 Compute the closure of the following set of functional dependencies for a
relation scheme R(A,B,C,D,E), F={A->BC, CD->E, B->D, E->A)
Solution : Consider F as follows
A->BC
CD->E
B->D
E->A
The closure can be written for each attribute of relation as follows
 (A)+ = Step 1 : {A} -> the attribute itself
Step 2 : {ABC} as A->BC
Step 3 : {ABCD} as B->D
Step 4 : {ABCDE} as CD->E
Step 5 : {ABCDE} as E->A and A is already present
Hence (A)+ ={ABCDE}
 (B)+ = Step 1:{B}
Step 2 : {BD} as B->D
Step 3 : {BD} as there is no BD pair on LHS of F
Hence (B)+ ={BD}
 (C)+ = Step 1 :{C}
Step 2 : {C} as there is no single C on LHS of F
Hence (C)+ ={C}
 (D)+ = Step 1 : {D}
Step 3 : {D} as there is no BD pair on LHS of F
Database Management Systems 2 - 31 Database Design

Hence (D)+ ={D}

 (E)+ = Step 1 : {E}
Step 2 : {EA} as E->A
Step 3 : {EABC} as A->BC
Step 4 : {EABCD} as B->D
Step 5 : {EABCD} as CD->E and E is already present
By rearranging we get {ABCDE}
Hence (E)+ ={ABCDE}
 (CD)+ = Step 1:{CD}
Step 2 :{CDE}
Step 3 :{CDEA}
Step 4 :{CDEAB}
By rearranging we get {ABCDE}
Hence (CD)+ ={ABCDE}
Example 2.8.2 Compute the closure of the following set of functional dependencies for a
relation scheme R(A,B,C,D,E), F={A->BC, CD->E, B->D, E->A) and Find the candidate
key.
Solution : For finding the closure of functional dependencies - Refer example 2.8.1.
We can identify candidate from the given relation schema with the help of functional
dependency. For that purpose we need to compute the closure set of attribute. Now we
will find out the closure set which can completely identify the relation R(A,B,C,D).
Let, (A)+ = {ABCDE}
(B)+ = {BD}
(C)+ = {C}
(D)+ = {D}
(E)+ = {ABCDE}
(CD)+ = {ABCDE}
Clearly, only (A)+,(E)+ and (CD)+ gives us {ABCD} i.e. complete relation R. Hence these
are the candidate keys.
Database Management Systems 2 - 32 Database Design

2.8.2 Canonical Cover or Minimal Cover

Formal Definition : A minimal cover for a set F of FDs is a set G of FDs such that :
1) Every dependency in G is of the form X->A, where A is a single attribute.
2) The closure F+ is equal to the closure G+.
3) If we obtain a set H of dependencies from G by deleting one or more dependencies
or by deleting attributes from a dependency in G, then F+ H+.

Concept of Extraneous Attributes

Definition : An attribute of a functional dependency is said to be extraneous if we can
remove it without changing the closure of the set of functional dependencies. The formal
definition of extraneous attributes is as follows:
Consider a set F of functional dependencies and the functional dependency    in F

 Attribute A is extraneous in if A , and F logically implies (F – {  }) ∪

{( – A )   }
 Attribute A is extraneous in if A and the set of functional dependencies
(F – {   }) ∪ {(  ( – A) } logically implies F.
Algorithm for computing Canonical Cover for set of functional Dependencies F
Fc = F
repeat
Use the union rule to replace any dependencies in Fc of the form
1  1 and 1  2 and 1  12
Find a functional dependency    in Fc with an extraneous attribute either in  or in .
/* The test for extraneous attributes is done using Fc, not F */
If an extraneous attribute is found, delete it from    in Fc .
until (Fc does not change)
Example 2.8.3 Consider the following functional dependencies over the attribute set
R(ABCDE) for finding minimal cover FD = {A->C, AC->D, B->ADE}
Solution :
Step 1 : Split the FD such that R.H.S contain single attribute. Hence we get
A->C
AC->D
B->A
Database Management Systems 2 - 33 Database Design

B->D
B->E
Step 2 : Find the redundant entries and delete them. This can be done as follows -

o For A->C : We find (A)+ by assuming that we delete A->C temporarily. We

get (A)+={A}. Thus from A it is not possible to obtain C by deleting A->C.
This means we can not delete A->C
o For AC->D : We find (AC)+ by assuming that we delete AC->D
temporarily. We get (AC)+={AC}. Thus by such deletion it is not possible to
obtain D. This means we can not delete AC->D
o For B->A : We find (B)+ by assuming that we delete B->A temporarily. We
get (B)+={BDE}. Thus by such deletion it is not possible to obtain A. This
means we can not delete B->A
o For B->D : We find (B)+ by assuming that we delete B->D temporarily. We
get (B)+={BEACD}. This shows clearly that even if we delete B->D we can
obtain D. This means we can delete B->A. Thus it is redundant.
o For B->E : We find (B)+ by assuming that we delete B->E temporarily. We
get (B)+={BDAC}. Thus by such deletion it is not possible to obtain E. This
means we can not delete B->E
To summarize we get now
A->C
AC->D
B->A
B->E
Thus R.H.S gets simplified.
Step 3 : Now we will simplify L.H.S.
Consider AC->D. Here we can split A and C. For that we find closure set of A and C.
(A)+ = (AC)
(C)+ = (C)
Thus C can be obtained from both A as well as C. That also means we need not have to
have AC on L.H.S. Instead, only A can be allowed and C can be eliminated. Thus after
simplification we get
A->D
Database Management Systems 2 - 34 Database Design

To summarize we get now

A->C
A->D
B->A
B->E
Thus L.H.S gets simplified.
Step 3 : The simplified L.H.S. and R.H.S can be combined together to form

A->CD
B->AE
This is a minimal cover or Canonical cover of functional dependencies.
2.9 Concept of Redundancy and Anomalies
Definition : Redundancy is a condition created in database in which same piece of
data is held at two different places.
Redundancy is at the root of several problems associated with relational schemas.
Problems caused by redundancy : Following problems can be caused by redundancy-
i) Redundant storage : Some information is stored repeatedly.
ii) Update anomalies : If one copy of such repeated data is updated then inconsistency
is created unless all other copies are similarly updated.
iii) Insertion anomalies : Due to insertion of new record repeated information get
added to the relation schema.
iv) Deletion anomalies : Due to deletion of particular record some other important
information associated with the deleted record get deleted and thus we may lose
some other important information from the schema.
Example : Following example illustrates the above discussed anomalies or redundancy
problems
Consider following Schema in which all possible information about Employee is
stored.
Database Management Systems 2 - 35 Database Design

1) Redundant storage : Note that the information about DeptID, DeptName and
DeptLoc is repeated.
2) Update anomalies : In above table if we change DeptLoc of Pune to Chennai, then
it will result inconsistency as for DeptID 101 the DeptLoc is Pune. Or otherwise, we
need to update multiple copies of DeptLoc from Pune to Chennai. Hence this is an
update anomaly.
3) Insertion anomalies : For above table if we want to add new tuple say
(5, EEE,50000) for DeptID 101 then it will cause repeated information of
(101, XYZ,Pune) will occur.
4) Deletion anomalies : For above table, if we delete a record for EmpID 4, then
automatically information about the DeptID 102,DeptName PQR and DeptLoc
Mumbai will get deleted and one may not be aware about DeptID 102. This causes
deletion anomaly.
2.10 Decomposition AU : Dec.-17, Marks 7

 Decomposition is the process of breaking down one table into multiple tables.
 Formal definition of decomposition is -
 A decomposition of relation Schema R consists of replacing the relation Schema by
two relation schema that each contain a subset of attributes of R and together
include all attributes of R by storing projections of the instance.
 For example - Consider the following table
Employee_Department table as follows -

Eid Ename Age City Salary Deptid DeptName

E001 ABC 29 Pune 20000 D001 Finance
E002 PQR 30 Pune 30000 D002 Production
E003 LMN 25 Mumbai 5000 D003 Sales
E004 XYZ 24 Mumbai 4000 D004 Marketing
E005 STU 32 Hyderabad 25000 D005 Human Resource
We can decompose the above relation Schema into two relation schemas as Employee
(Eid, Ename, Age, City, Salary) and Department (Deptid, Eid, DeptName). as follows -

Employee Table
Eid Ename Age City Salary
E001 ABC 29 Pune 20000
E002 PQR 30 Pune 30000
E003 LMN 25 Mumbai 5000
Database Management Systems 2 - 36 Database Design

E004 XYZ 24 Mumbai 4000

E005 STU 32 Hyderabad 25000

Department Table
Deptid Eid DeptName
D001 E001 Finance
D002 E002 Production
D003 E003 Sales
D004 E004 Marketing
D005 E005 Human Resource
 The decomposition is used for eliminating redundancy.
 For example : Consider following relation Schema R in which we assume that the
grade determines the salary, the redundancy is caused

Schema R

 Hence, the above table can be decomposed into two Schema S and T as follows :

Schema S Schema T
Name eid deptname Grade Grade Salary
AAA 121 Accounts 2 2 8000
AAA 132 Sales 3 3 7000
BBB 101 Marketing 4 4 7000
CCC 106 Purchase 2 2 8000

Problems Related to Decomposition :

Following are the potential problems to consider :
1) Some queries become more expensive.
2) Given instances of the decomposed relations, we may not be able to reconstruct the
corresponding instance of the original relation!
Database Management Systems 2 - 37 Database Design

3) Checking some dependencies may require joining the instances of the decomposed
relations.
4) There may be loss of information during decomposition.

Properties Associated With Decomposition

There are two properties associated with decomposition and those are –
1) Loss-less Join or non Loss Decomposition : When all information found in the
original database is preserved after decomposition, we call it as loss less or non loss
decomposition.
2) Dependency Preservation : This is a property in which the constraints on the
original table can be maintained by simply enforcing some constraints on each of
the smaller relations.

2.10.1 Non-loss Decomposition or Loss-less Join

The lossless join can be defined using following three conditions :
i) Union of attributes of R1 and R2 must be equal to attribute of R. Each attribute of R
must be either in R1 or in R2.
Att(R1) ∪ Att(R2) = Att(R)
ii) Intersection of attributes of R1 and R2 must not be NULL.
Att(R1) ∩ Att(R2) ≠ Φ
iii) Common attribute must be a key for at least one relation (R1 or R2)
Att(R1) ∩ Att(R2) -> Att(R1)
or Att(R1) ∩ Att(R2) -> Att(R2)
Example 2.10.1 Consider the following relation R(A,B,C,D)and FDs A->BC, is the decomposition
of R into R1(A,B,C), R2(A,D). Check if the decomposition is lossless join or not.
Solution :
Step 1 : Here Att(R1) ∪ Att(R2) = Att(R) i.e R1(A,B,C) ∪ R2(A,D)=(A,B,C,D) i.e R.
Thus first condition gets satisfied.
Step 2 : Here R1 ∩ R2={A}. Thus Att(R1) ∩ Att(R2) ≠ . Here the second condition
gets satisfied.
Step 3 : Att(R1) ∩ Att(R2) -> {A}. Now (A)+={A,B,C}  attributes of R1. Thus the
third condition gets satisfied.
This shows that the given decomposition is a lossless join.
Database Management Systems 2 - 38 Database Design

Example 2.10.2 Consider the following relation R(A,B,C,D,E,F) and FDs A->BC, C->A,
D->E, F->A, E->D is the decomposition of R into R1(A,C,D), R2(B,C,D), and R3(E,F,D).
Check for lossless.
Solution :
Step 1 : R1 R2 R3=R. Here the first condition for checking lossless join is satisfied
as (A,C,D)∪ (B,C,D) ∪ (E,F,D)={A,B,C,D,E,F} which is nothing but R.
Step 2 : Consider R1∩ R2={CD} and R2∩R3={D}. Hence second condition of
intersection not being  gets satisfied.
Step 3 : Now, consider R1(A,C,D) and R2(B,C,D). We find R1∩R2={CD}
(CD)+ = {ABCDE}  attributes of R1 i.e.{A,C,D}. Hence condition 3 for checking
lossless join for R1 and R2 gets satisfied.
Step 4 : Now, consider R2(B,C,D) and R3(E,F,D) . We find R2∩R3={D}.
(D)+={D,E} which is neither complete set of attributes of R2 or R3.[Note that F is
missing for being attribute of R3].
Hence it is not lossless join decomposition. Or in other words we can say it is a
lossy decomposition.
Example 2.10.3 Suppose that we decompose schema R=(A,B,C,D,E) into (A,B,C) (C,D,E)
Show that it is not a lossless decomposition.
Solution :
Step 1 : Here we need to assume some data for the attributes A, B, C, D, and E.
Using this data we can represent the relation as follows –
Relation R
A B C D E
a 1 x p q
b 2 x r s

Relation R1 = (A,B,C)
A B C
a 1 x
b 2 x

Relation R2 = (C,D,E)
C D E
x p q
x r s
Database Management Systems 2 - 39 Database Design

Step 2 : Now we will join these tables using natural join, i.e. the join based on
common attribute C. We get R1 ⋈ R2 as

A B C D E
a 1 x p q
Here we get more rows or
a 1 x r s tuples than original
b 2 x p q relation R

b 2 x r s
Clearly R1 ⋈ R2  R. Hence it is not lossless decomposition.

2.10.2 Dependency Preservation

 Definition : A Decomposition D = {R1, R2, R3….Rn} of R is dependency
preserving for a set F of Functional dependency if - (F1 ∪ F2 ∪ … ∪ Fm) = F.
 If decomposition is not dependency-preserving, some dependency is lost in the
decomposition.

Example 2.10.4 Consider the relation R (A, B, C) for functional dependency set {A -> B and
B -> C} which is decomposed into two relations R1 = (A, C) and R2 = (B, C). Then check if
this decomposition dependency preserving or not.
Solution : This can be solved in following steps :
Step 1 : For checking whether the decomposition is dependency preserving or not
we need to check
following condition

F+ = (F1 F2)+
Step 2 : We have with us the F+ ={ A->B and B->C }
+ +
Step 3 : Let us find (F1) for relation R1 and (F2) for relation R2

R1(A,C) R2(B,C)
A->A Trivial B->B Trivial
C->C Trivial C->C Trivial
A->C In (F)+A->B->C and it is Nontrivial B->C In (F)+ B->C and it is Non-Trivial
AC->AC Trivial BC->BC Trivial
A->B but is not useful as B is not part of R1 We can not obtain C->B
set
We can not obtain C->A
Database Management Systems 2 - 40 Database Design

Step 4 : We will eliminate all the trivial relations and useless relations. Hence we
can obtain R1 and R2 as

R1(A,C) R2(B,C)
A->C Nontrivial

B->C Non-Trivial

(F1∪ F2)+ = {A->C, B->C} {A->B, B->C} i.e.(F)+

Thus the condition specified in step 1 i.e. F+=(F1 F2)+ is not true. Hence it is not
dependency preserving decomposition.

Example 2.10.5 Let relation R(A,B,C,D) be a relational schema with following functional
dependencies {A->B, B->C,C->D, and D->B}. The decomposition of R into (A,B), (B,C)
and (B,D). Check whether this decomposition is dependency preserving or not.
Solution :
Step 1 : Let (F)+ = {A->B, B->C, C->D,D->B}.
Step 2 : We will find (F1)+, (F2)+, (F3)+ for relations R1(A,B) , R2(B,C) and R3(B,D) as
follows -

R1(A,B) R2(B,C) R3(B,D)

A->A Trivial B->B Trivial B->B Trivial
B->B Trivial C->C Trivial D->D Trivial
A->B ∵ (F)+ B->C ∵ (F)+ and it’s B-> D ∵ (F)+ as and
and it’s non Trivial non Trivial B->C->D and it’s non
B->A can not be Trivial
C->B ∵ In (F)+ and
obtained D->B ∵ (F)+ and it’s
C->D->C and it is
AB->AB Nontrivial non Trivial
BC->BC Trivial BD->BD Trivial

Step 3 : We will eliminate all the trivial relations and useless relations. Hence we
can obtain R1 ∪ R2 ∪ R3 as

R1(A,B) R2(B,C) R2(B,D)

A->B B->C B-> D
C->B D->B
Database Management Systems 2 - 41 Database Design

Step 4 : As from above FD’s we get

Step 5 : This proves that F+=(F1 F2 F3)+. Hence given decomposition is

dependency preserving.

University Question
1. Differentiate between lossless join decomposition and dependency preserving decomposition.
AU : Dec.-17, Marks 7

2.11 Normal Forms AU : Dec.-14, 15, May-18, Marks 16

 Normalization is the process of reorganizing data in a database so that it meets

two basic requirements:
1) There is no redundancy of data (all data is stored in only one place), and
2) data dependencies are logical (all related data items are stored together)
 The normalization is important because it allows database to take up less disk
space.
 It also help in increasing the performance.

2.11.1 First Normal Form

The table is said to be in 1NF if it follows following rules -
i) It should only have single (atomic) valued attributes/columns.
ii) Values stored in a column should be of the same domain
iii) All the columns in a table should have unique names.
iv) And the order in which data is stored, does not matter.
Consider following Student table
Student
sid sname Phone
1 AAA 11111
22222
2 BBB 33333
3 CCC 44444
55555
Database Management Systems 2 - 42 Database Design

As there are multiple values of phone number for sid 1 and 3, the above table is not in
1NF. We can make it in 1NF. The conversion is as follows -

sid sname Phone

1 AAA 11111
1 AAA 22222
2 BBB 33333
3 CCC 44444
3 CCC 55555

2.11.2 Second Normal Form

Before understanding the second normal form let us first discuss the concept of partial
functional dependency and prime and non prime attributes.

Concept of Partial Functional Dependency

Partial dependency means that a nonprime attribute is functionally dependent on part
of a candidate key.
For example : Consider a relation R(A,B,C,D) with functional dependency
{AB->CD,A->C}
Here (AB) is a candidate key because
(AB)+ = {ABCD}={R}
Hence {A,B} are prime attributes and {C,D} are non prime attribute. In A->C, the non
prime attribute C is dependent upon A which is actually a part of candidate key AB.
Hence due to A->C we get partial functional dependency.

Prime and Non Prime Attributes

 Prime attribute : An attribute, which is a part of the candidate-key, is known as a
prime attribute.
 Non-prime attribute : An attribute, which is not a part of the prime-key, is said to
be a non-prime attribute.
 Example : Consider a Relation R={A,B,C,D} and candidate key as AB, the Prime
attributes : A, B
Non Prime attributes : C, D

The Second Normal Form

For a table to be in the Second Normal Form, following conditions must be followed
i) It should be in the First Normal form.
ii) It should not have partial functional dependency.
Database Management Systems 2 - 43 Database Design

For example : Consider following table in which every information about a the
Student is maintained in a table such as student id(sid), student name(sname), course
id(cid) and course name(cname).

Student_Course
sid sname cid cname

1 AAA 101 C
2 BBB 102 C++
3 CCC 101 C
4 DDD 103 Java
This table is not in 2NF. For converting above table to 2NF we must follow the
following steps -
Step 1 : The above table is in 1NF.
Step 2 : Here sname and sid are associated similarly cid and cname are associated
with each other. Now if we delete a record with sid=2, then automatically the
course C++ will also get deleted. Thus,
sid->sname or cid->cname is a partial functional dependency, because {sid,cid}
should be essentially a candidate key for above table. Hence to bring the above table
to 2NF we must decompose it as follows :
Student
Here candidate key is
sid sname cid (sid,cid)
and
1 AAA 101
(sid,cid)->sname
2 BBB 102
3 CCC 101
4 DDD 103

Course
cid cname
Here candidate key is
101 C cid

102 C++ Here cid->cname

101 C
103 Java

Thus now table is in 2NF as there is no partial functional dependency

Database Management Systems 2 - 44 Database Design

2.11.3 Third Normal Form

Before understanding the third normal form let us first discuss the concept of
transitive dependency, super key and candidate key

Concept of Transitive Dependency

A functional dependency is said to be transitive if it is indirectly formed by two
functional dependencies. For example -
X -> Z is a transitive dependency if the following functional dependencies hold true :
X->Y
Y->Z

Concept of Super key and Candidate Key

Superkey : A super key is a set or one of more columns (attributes) to uniquely
identify rows in a table.
Candidate key : The minimal set of attribute which can uniquely identify a tuple is
known as candidate key. For example consider following table

RegID RollNo Sname

101 1 AAA
102 2 BBB
103 3 CCC
104 4 DDD

Superkeys
 {RegID}
 {RegID, RollNo}
 {RegID,Sname}
 {RollNo,Sname}
 {RegID, RollNo,Sname}

Candidate Keys
 {RegID}
 {RollNo}

Third Normal Form

A table is said to be in the Third Normal Form when,
i) It is in the Second Normal form.(i.e. it does not have partial functional dependency)
ii) It doesn't have transitive dependency.
Database Management Systems 2 - 45 Database Design

Or in other words
In other words 3NF can be defined as : A table is in 3NF if it is in 2NF and for each
functional dependency
X-> Y
at least one of the following conditions hold :
i) X is a super key of table
ii) Y is a prime attribute of table
For example : Consider following table Student_details as follows -

sid sname zipcode cityname state

1 AAA 11111 Pune Maharashtra

2 BBB 22222 Surat Gujarat
3 CCC 33333 Chennai Tamilnadu
4 DDD 44444 Jaipur Rajastan
5 EEE 55555 Mumbai Maharashtra
Here
Super keys : {sid},{sid,sname},{sid,sname,zipcode}, {sid,zipcode,cityname}… and so on.
Candidate keys : {sid}
Non-Prime attributes : {sname,zipcode,cityname,state}
The dependencies can be denoted as
sid->sname
sid->zipcode
zipcode->cityname
cityname->state
The above denotes the transitive dependency. Hence above table is not in 3NF. We can
convert it into 3NF as follows :
Student
sid sname zipcode
1 AAA 11111
2 BBB 22222
3 CCC 33333
4 DDD 44444
5 EEE 55555
Database Management Systems 2 - 46 Database Design

Zip
zipcode cityname state
11111 Pune Maharashtra
22222 Surat Gujarat
33333 Chennai Tamilnadu
44444 Jaipur Rajasthan
55555 Mumbai Maharashtra

Example 2.11.1 Consider the relation R = {A, B, C, D, E, F, G, H, I, J} and the set of

functional dependencies F= {{A, B} C, A {D, E}, B F, F {G, H}, D {I, J} }
1. What is the key for R ? Demonstrate it using the inference rules.
2. Decompose R into 2NF, then 3NF relations.
Solution : Let,
A  DE (given)
 A  D, A  E
As D  I J, A  I J
Using union rule we get
A  DEIJ
As AA
we get A  ADEIJ
Using augmentation rule we compute AB
AB  ABDEIJ
But AB  C (given)
 AB  ABCDEIJ
B  F (given) F  GH  B  GH (transitivity)
 AB  AGH is also true

Similarly AB  AF ∵ B  F (given)
Thus now using union rule
AB  ABCDEFGHIJ
 AB is a key
The table can be converted to 2NF as
Database Management Systems 2 - 47 Database Design

R1 = (A, B, C)

R2 = (A, D, E, I, J)

R3 = (B, F, G, H)

The above 2NF relations can be converted to 3NF as follows

R1 = (A, B, C)

R2 = (A, D, E)

R3 = (D, I, J)

R4 = (B, E)

R5 = (E, G, H).

University Questions
1. What is database normalization ? Explain the first normal form, second normal form and third
normal form. AU : May-18, Marks 13; Dec.-15, Marks 16

2. What are normal forms. Explain the types of normal form with an example.
AU : Dec.-14, Marks 16

2.12 Boyce / Codd Normal Form (BCNF)

Boyce and Codd Normal Form is a higher version of the Third Normal form. This
form deals with certain type of anomaly that is not handled by 3NF.
A 3NF table which does not have multiple overlapping candidate keys is said to be in
BCNF.
Or in other words,
For a table to be in BCNF, following conditions must be satisfied :
i) R must be in 3rd Normal Form
ii) For each functional dependency ( X → Y ), X should be a super Key. In simple
words if Y is a prime attribute then X can not be non prime attribute.
For example - Consider following table that represents that a Student enrollment for
the course -

Enrollment Table
sid course Teacher
1 C Ankita
1 Java Poonam
Database Management Systems 2 - 48 Database Design

2 C Ankita
3 C++ Supriya
4 C Archana
From above table following observations can be made :
 One student can enroll for multiple courses. For example student with sid=1 can
enroll for C as well as Java.
 For each course, a teacher is assigned to the student.
 There can be multiple teachers teaching one course for example course C can be
taught by both the teachers namely - Ankita and Archana.
 The candidate key for above table can be (sid,course), because using these two
columns we can find
 The above table holds following dependencies
o (sid,course)->Teacher
o Teacher->course
 The above table is not in BCNF because of the dependency teacher->course. Note
that the teacher is not a superkey or in other words, teacher is a non prime
attribute and course is a prime attribute and non-prime attribute derives the prime
attribute.
 To convert the above table to BCNF we must decompose above table into Student
and Course tables

Student
sid Teacher
1 Ankita
1 Poonam
2 Ankita
3 Supriya
4 Archana

Course
Teacher course
Ankita C
Poonam Java
Ankita C
Supriya C++
Archana C
Now the table is in BCNF
Database Management Systems 2 - 49 Database Design

Example 2.12.1 Consider a relation(A,B,C,D) having following FDs.{AB->C, AB->D,

C->A, B->D}. Find out the normal form of R.
Solution :
Step 1 : We will first find out the candidate key from the given FD.
(AB)+ = {ABCD} = R
(BC)+ = {ABCD} = R

(AC) + = {AC} R
There is no involvement of D on LHS of the FD rules. Hence D can not be part of any
candidate key. Thus we obtain two candidate keys (AB)+ and (BC)+. Hence
prime attributes = {A,B,C}
Non prime attributes = {D}
Step 2 : Now, we will start checking from reverse manner, that means from BCNF,
then 3NF, then 2NF.
Step 3 : For R being in BCNF for X->Y the X should be candidate key or super key.
From above FDs consider C->D in which C is not a candidate key or super key.
Hence given relation is not in BCNF.
Step 4 : For R being in 3NF for X->Y either i) the X should be candidate key or super
key or ii) Y should be prime attribute. (For prime and non prime attributes refer
step 1)

o For AB->C or AB->D the AB is a candidate key. Condition for 3NF is

satisfied.
o Consider C->A. In this FD the C is not candidate key but A is a prime
attribute. Condition for 3NF is satisfied.
o Now consider B->D. In this FD, the B is not candidate key, similarly D is
not a prime attribute. Hence condition for 3NF fails over here.
Hence given relation is not in 3NF.
Step 5 : For R being in 2NF following condition should not occur.
Let X->Y, if X is a proper subset of candidate key and Y is a non prime attribute. This
is a case of partial functional dependency.
For relation to be in 2NF there should not be any partial functional dependency.

o For AB->C or AB->D the AB is a complete candidate key. Condition for

2NF is satisfied.
Database Management Systems 2 - 50 Database Design

o Consider C->A. In this FD the C is not candidate key. Condition for 2NF is
satisfied.
o Now consider B->D. In this FD, the B is a part of candidate key(AB or BC),
similarly D is not a prime attribute. That means partial functional
dependency occurs here. Hence condition for 2NF fails over here.
Hence given relation is not in 2NF.
Therefore we can conclude that the given relation R is in 1NF.
Example 2.12.2 Consider a relation R(ABC) with following FD A->B, B->C and C->A.
What is the normal form of R ?
Solution :
Step 1 : We will find the candidate key
(A)+ = {ABC} =R
(B)+ = {ABC} =R
(C)+ = {ABC} =R
Hence A, B and C all are candidate keys
Prime attributes = {A,B,C}
Non prime attribute{}
Step 2 : For R being in BCNF for X->Y the X should be candidate key or super key.
From above FDs

o Consider A->B in which A is a candidate key or super key. Condition for

BCNF is satisfied.
o Consider B->C in which B is a candidate key or super key. Condition for
BCNF is satisfied.
o Consider C->A in which C is a candidate key or super key. Condition for
BCNF is satisfied.
This shows that the given relation R is in BCNF.
Example 2.12.3 Prove that any relational schema with two attributes is in BCNF.
Solution : Here, we will consider R={A,B} i.e. a relational schema with two attributes.
Now various possible FDs are A->B, B->A.
From the above FDs

o Consider A->B in which A is a candidate key or super key. Condition for

BCNF is satisfied.
Database Management Systems 2 - 51 Database Design

o Consider B->A in which B is a candidate key or super key. Condition for

BCNF is satisfied.
o Consider both A->B and B->A with both A and B is candidate key or super
key. Condition for BCNF is satisfied.
o No FD holds in relation R. In this {A,B} is candidate key or super key. Still
condition for BCNF is satisfied.
This shows that any relation R is in BCNF with two attributes.
2.13 Multivalued Dependencies and Fourth Normal Form
AU : May-14, Dec.-16, Marks 16

Concept of Multivalued Dependencies

 A table is said to have multi-valued dependency, if the following conditions are
true,
1) For a dependency A  B, if for a single value of A, multiple values of B
exists, then the table may have multi-values dependency.
2) Also, a table should have at-least 3 columns for it to have a multi-valued
dependency.
3) And, for a relation R(A,B,C), if there is a multi-valued dependency between,
A and B, then B and C should be independent of each other.
If all these conditions are true for any relation(table), it is said to have multi-valued
dependency.
 In simple terms, if there are two columns A and B - and for column A if there are
multiple values of column B then we say that MVD exists between A and B
 The multivalued dependency is denoted by
 If there exists a multivalued dependency then the table is not in 4th normal form.
 For example : Consider following table for information about student

Student
sid Course Skill

1 C English
C++ German
2 Java English
French
Here sid =1 leads to multiple values for courses and skill. Following table shows this
Database Management Systems 2 - 52 Database Design

sid Course Skill

1 C English
1 C++ German

1 C German

1 C++ English

2 Java English

2 Java French

Here sid and course are dependent but the Course and Skill are independent. The
multivalued dependency is denoted as :
sid Course
sid Skill

Fourth Normal Form

Definition : For a table to satisfy the Fourth Normal Form, it should satisfy the following
two conditions :
1) It should be in the Boyce-Codd Normal Form(BCNF).
2) And, the table should not have any multi-valued dependency.
For example : Consider following student relation which is not in 4NF as it contains
multivalued dependency.

Student Table
sid Course Skill

1 C English
1 C++ German
1 C German
1 C++ English
2 Java English
2 Java French
Now to convert the above table to 4NF we must decompose the table into following
two tables.
Database Management Systems 2 - 53 Database Design

Student_Course Table

Key : (sid,Course)
sid Course
1 C
1 C++
2 Java

Student_Skill Table

Key : (sid,Skill)
sid Skill
1 English
1 German
2 English
2 French
Thus the tables are now in 4NF.

University Questions
1. Explain first normal form, second normal form, third normal form and BCNF with example.
AU : Dec.-16, Marks 13
2. Explain Boyce Codd Normal form and fourth normal form with suitable example.
AU : May-14, Marks 16

2.14 Join Dependencies and Fifth Normal Form

Concept of Join Dependencies
o Join decomposition is a further generalization of Multivalued
dependencies.
o If the join of R1 and R2 over C is equal to relation R, then we can say that a
Join Dependency (JD) exists.
o Where R1 and R2 are the decompositions R1(A, B, C) and R2(C, D) of a
given relations R (A, B, C, D).
o Alternatively, R1 and R2 are a lossless decomposition of R.
o A JD ⋈ {R1, R2,..., Rn} is said to hold over a relation R if R1, R2,....., Rn is a
lossless-join decomposition.
Database Management Systems 2 - 54 Database Design

o The *(A, B, C, D), (C, D) will be a JD of R if the join of join's attribute is

equal to the relation R.
o Here, *(R1, R2, R3) is used to indicate that relation R1, R2, R3 and so on are
a JD of R.

Concept of Fifth Normal Form

The database is said to be in 5NF if -
i) It is in 4th Normal Form
ii) If we can decompose table further to eliminate redundancy and anomalies and
when we rejoin the table we should not be losing the original data or get a new
record(join Dependency Principle)
The fifth normal form is also called as project join normal form
For example - Consider following table

Seller Company Product

Rupali Godrej Cinthol

Sharda Dabur Honey
Sharda Dabur HairOil
Sharda Dabur Rosewater
Sunil Amul Icecream
Sunil Britania Biscuits
Here we assume the keys as{Seller, Company, Product}
The above table has multivalued dependency as
Seller {Company, Product}. Hence table is not in 4th Normal Form. To make the
above table in 4th normal form we decompose above table into two tables as
Seller_Company Seller_Product
Seller Company Seller Product
Rupali Godrej Rupali Cinthol
Sharda Dabur Sharda Honey
Sunil Amul Sharda HairOil
Sunil Britania Sharda RoseWater
Sunil Icecream
Sunil Biscuits
 Database Management Systems 2 - 55 Database Design

The above table is in 4th Normal Form as there is no multivalued dependency. But it
is not in 5th normal form because if we join the above two table we may get

Seller Company Product

Rupali Godrej Cinthol
Sharda Dabur Honey
Sharda Dabur HairOil
Sharda Dabur Rosewater
Sunil Amul Icecream
Sunil Amul Biscuits
Sunil Britania Icecream
Sunil Britania Biscuits
Newly added records
which are not present in
original table

To avoid the above problem we can decompose the tables into three tables as
Seller_Company, Seller_Product, and Company Product table
Seller_Company Seller_Product Company_Product
Seller Company Seller Product Company Product
Rupali Godrej Rupali Cinthol Godrej Cinthol
Sharda Dabur Sharda Honey Dabur Honey
Sunil Amul Sharda HairOil Dabur HairOil
Sunil Britania Sharda RoseWater Dabur RoseWater
Sunil Icecream Amul Icecream
Sunil Biscuit Britania Biscuit

Thus the table in in 5th normal form.

Database Management Systems 2 - 56 Database Design

2.15 Two Marks Questions with Answers

Q.1 Explain Entity Relationship model. AU : May-16

Ans. :  The ER data model specifies enterprise schema that represents the overall
logical structure of a database.
 The E-R model is very useful in mapping the meanings and interactions of real-
world entities onto a conceptual schema.

Q.2 Give the limitations of E-R model ? How do you overcome this ? AU : May-07
Ans. : 1) Loss of information content : Some information be lost or hidden in ER
model
2) Limited relationship representation : ER model represents limited relationship as
compared to another data models like relational model etc.
3) No representation of data manipulation : It is difficult to show data manipulation
in ER model.
4) Popular for high level design : ER model is very popular for designing high level
design.

Q.3 List the design phases of Entity Relationship model.

Ans. : 1) Requirement Analysis, 2) Conceptual Database Design, 3) Logical
Database Design, 4) Schema Refinement, 5) Physical Database Design,
6) Application and Security Design.

Q.4 What is an entity ? AU : May-14

Ans. :  An entity is an object that exists and is distinguishable from other objects.
 For example - Student named “Poonam” is an entity and can be identified by her
name. Entity is represented as a box, in ER model.

Q.5 What do you mean by derived attributes ?

Ans. :  Derived attributes are the attributes that contain values that are calculated
from other attributes.
 To represent derived attribute there is dotted ellipse inside the solid ellipse. For
example –Age can be derived from attribute DateOfBirth. In this situation,
DateOfBirth might be called Stored Attribute.

Q.6 What is a weak entity ? Give example. AU : Dec.-16, May-18

Ans. : Refer section 2.3.4

Q.7 What are the problems caused by redundancy ? AU : Dec.-17

Database Management Systems 2 - 57 Database Design

Ans. : Problems caused by Redundancy : Following problems can be caused by

redundancy -
i) Redundant Storage : Some information is stored repeatedly.
ii) Update Anomalies : If one copy of such repeated data is updated then
inconsistency is created unless all other copies are similarly updated.
iii) Insertion Anomalies : Due to insertion of new record repeated information get
added to the relation schema.
iv) Deletion Anomalies : Due to deletion of particular record some other important
information associated with the deleted record get deleted and thus we may lose
some other important information from the schema.

Q.8 Define functional dependency. AU : Dec 04,05, May 05,14,15

Ans. : Let P and Q be sets of columns, then : P functionally determines Q, written
P → Q if and only if any two rows that are equal on (all the attributes in) P must be equal
on (all the attributes in) Q.
In other words, the functional dependency holds if
T1.P = T2.P, then T1.Q=T2.Q
Where notation T1.P projects the tuple T1 onto the attribute in P.

Q.9 Why certain functional dependencies are called trivial functional dependencies ?
AU : May-06,12
Ans. :  A functional dependency FD : X → Y is called trivial if Y is a subset of X.
This kind of dependency is called trivial because it can be derived from common
sense. If one "side" is a subset of the other, it's considered trivial. The left side is
considered the determinant and the right the dependent.
 For example - {A,B} –> B is a trivial functional dependency because B is a subset of
A,B. Since {A,B} –> B includes B, the value of B can be determined. It's a trivial
functional dependency because determining B is satisfied by its relationship to
A,B

Q.10 Define normalization. AU : May -14

Ans. : Normalization is the process of reorganizing data in a database so that it meets
two basic requirements :
1) There is no redundancy of data (all data is stored in only one place), and
2) data dependencies are logical (all related data items are stored together)

Q.11 State anomalies of 1NF. AU : Dec.-15

Ans. : All the insertion, deletion and update anomalies are in 1NF relation
Database Management Systems 2 - 58 Database Design

Q.12 What is multivalued dependency ? AU : Dec. -06

Ans. : A table is said to have multi-valued dependency, if the following
conditions are true,
1) For a dependency A  B, if for a single value of A, multiple values of B exists, then
the table may have multi-values dependency.
2) Also, a table should have at-least 3 columns for it to have a multi-valued
dependency.
3) And, for a relation R(A,B,C), if there is a multi-valued dependency between,
A and B, then B and C should be independent of each other.

Q.13 Describe BCNF and describe a relation which is in BCNF. AU : Dec. -02
Ans. : Refer section 2.12.

Q.14 Why 4NF in normal form is more desirable than BCNF ? AU : Dec. -14
Ans. :
 4NF is more desirable than BCNF because it reduces the repetition of information.
 If we consider a BCNF schema not in 4NF we observe that decomposition into
4NF does not lose information provided that a lossless join decomposition is used,
yet redundancy is reduced.

Q.15 Give an example of a relation schema R and set of dependencies such that R is in
BCNF but not in 4NF. AU : May -12
Ans. : Consider relation R(A,B,C,D) with dependencies
AB C
ABC D
AC B
Here the only key is AB. Thus each functional dependency has superkey on the left.
But MVD has non-superky on its left. So it is not 4NF.

Q.16 Show that if a relation is in BCNF, then it is also in 3NF. AU : Dec.-12

Ans. :
 Boyce and Codd Normal Form is a higher version of the Third Normal form.
 A 3NF table which does not have multiple overlapping candidate keys is said to
be in BCNF. When the table is in BCNF then it doesn’t have partial functional
dependency as well as transitive dependency.
 Hence it is true that if relation is in BCNF then it is also in 3NF.
Database Management Systems 2 - 59 Database Design

Q.17 Why it is necessary to decompose a relation ? AU : May-07

Ans. :  Decomposition is the process of breaking down one table into multiple
tables.
 The decomposition is used for eliminating redundancy.

Q.18 Explain atleast two desirable properties of decomposition. AU : May-03,17, Dec.-05

Ans. :
There are two properties associated with decomposition and those are –
1) Loss-less Join or non Loss Decomposition : When all information found in the
original database is preserved after decomposition, we call it as loss less or non loss
decomposition.
2) Dependency Preservation : This is a property in which the constraints on the
original table can be maintained by simply enforcing some constraints on each of
the smaller relations.

Q.19 Explain with simple example lossless join decomposition. AU : May-03

Ans. : Refer section 2.10.1.


Database Management Systems 2 - 60 Database Design

Notes
 UNIT - III

Syllabus
Transaction Concepts - ACID Properties - Schedules - Serializability - Concurrency Control - Need
for Concurrency - Locking Protocols - Two Phase Locking - Deadlock - Transaction Recovery -
Save Points - Isolation Levels - SQL Facilities for Concurrency and Recovery.

Contents
3.1 Transaction Concepts ................................................. Dec.-14 ................................. Marks 4
3.2 ACID Properties ........................................................... May-14, 18 ........................... Marks 8
3.3 Transaction States ....................................................... Dec.-11, May-14,18 ............. Marks 8
3.4 Schedules
3.5 Serializability ................................................................ Dec.-15, May-15,18 ............. Marks 8
3.6 Transaction Isolation and Atomicity
3.7 Introduction to Concurrency Control
3.8 Need for Concurrency ................................................. May-17 ............................... Marks 13
3.9 Locking Protocols ......................................................... Dec-15,17, May-16 ............ Marks 16
3.10 Two Phase Locking..................................................... May-14,18, Dec.-16 ............. Marks 7
3.11 Time Stamp Based Protocol
3.12 Dead Lock ................................................................... Dec-14,15,16, May-09 ....... Marks 16
3.13 Transaction Recovery
3.14 Save Points
3.15 Isolation Levels
3.16 SQL Facilities for Concurrency and Recovery ............ May-14 ................................. Marks 8
3.17 Two Marks Questions with Answers

(3 - 1)
Database Management Systems 3-2 Transactions

Part I : Introduction Transactions

3.1 Transaction Concepts AU : Dec.-14, Marks 4

Definition : A transaction can be defined as a group of tasks that form a single

logical unit.
For example - Suppose we want to withdraw ` 100 from an account then we will
follow following operations :
1) Check account balance
2) If sufficient balance is present request for withdrawal.
3) Get the money
4) Calculate Balance = Balance –100
5) Update account with new balance.
The above mentioned four steps denote one transaction.
In a database, each transaction should maintain ACID property to meet the consistency
and integrity of the database.

University Question

1. Write a short note on – Transaction Concept AU : Dec.-14, Marks 4

3.2 ACID Properties AU : May-14, Marks 8

1) Atomicity :
 This property states that each transaction must be considered as a single unit and
must be completed fully or not completed at all.
 No transaction in the database is left half completed.
 Database should be in a state either before the transaction execution or after the
transaction execution. It should not be in a state ‘executing’.
 For example - In above mentioned withdrawal of money transaction all the five
steps must be completed fully or none of the step is completed. Suppose if
transaction gets failed after step 3, then the customer will get the money but the
balance will not be updated accordingly. The state of database should be either at
before ATM withdrawal (i.e customer without withdrawn money) or after ATM
withdrawal (i.e. customer with money and account updated). This will make the
system in consistent state.
Database Management Systems 3-3 Transactions

2) Consistency :
 The database must remain in consistent state after performing any transaction.
 For example : In ATM withdrawal operation, the balance must be updated
appropriately after performing transaction. Thus the database can be in consistent
state.
3) Isolation :
 In a database system where more than one transaction are being executed
simultaneously and in parallel, the property of isolation states that all the
transactions will be carried out and executed as if it is the only transaction in the
system.
 No transaction will affect the existence of any other transaction.
 For example : If a bank manager is checking the account balance of particular
customer, then manager should see the balance either before withdrawing the
money or after withdrawing the money. This will make sure that each individual
transaction is completed and any other dependent transaction will get the
consistent data out of it. Any failure to any transaction will not affect other
transaction in this case. Hence it makes all the transactions consistent.
4) Durability :
 The database should be strong enough to handle any system failure.
 If there is any set of insert /update, then it should be able to handle and commit to
the database.
 If there is any failure, the database should be able to recover it to the consistent
state.
 For example : In ATM withdrawal example, if the system failure happens after
Customer getting the money then the system should be strong enough to update
Database with his new balance, after system recovers. For that purpose the system
has to keep the log of each transaction and its failure. So when the system
recovers, it should be able to know when a system has failed and if there is any
pending transaction, then it should be updated to Database.

University Questions
1. Explain with an example the properties that must be satisfied by transaction
AU : May-18, Marks 7

2. Explain the ACID properties of transaction AU : May-14, Marks 8

Database Management Systems 3-4 Transactions

3.3 Transaction States AU : Dec.-11, May-14,18, Marks 8

Each transaction has following five states :

Fig. 3.3.1 Transaction States

1) Active : This is the first state of transaction. For example : insertion, deletion or
updation of record is done here. But data is not saved to database.
2) Partially Committed : When a transaction executes its final operation, it is said to be
in a partially committed state.
3) Failed : A transaction is said to be in a failed state if any of the checks made by the
database recovery system fails. A failed transaction can no longer proceed further.
4) Aborted : If a transaction is failed to execute, then the database recovery system will
make sure that the database is in its previous consistent state. If not, it brings the
database to consistent state by aborting or rolling back the transaction.
5) Committed : If a transaction executes all its operations successfully, it is said to be
committed. This is the last step of a transaction, if it executes without fail.
Example 3.3.1 Define a transaction. Then discuss the following with relevant examples :
1. A read only transaction 2. A read write transaction 3. An aborted transaction
AU : Dec.-11, Marks 8

Solution :
(1) Read only transaction
T1
Read(A)
Read(B)
Display(A-B)

(2) A read write transaction

T1
Read(A)
A=A+100
Write(A)
Database Management Systems 3-5 Transactions

(3)
T1 T2
Read(A) Assume A=100
A=A+50 A=150
Write(A)
Read(A) A=150
A=A+100 A=250

RollBack A=100 (restore back to original value which is before

Transaction T1)
Write(A)

University Questions
1. During execution, a transaction passes through several states, until it finally commits or aborts.
List all possible sequences of states through which transaction may pass. Explain why each state
transaction may occur ? AU : May-18, Marks 6

2. With a neat sketch explain the states of transaction. AU : May-14, Marks 8

3.4 Schedules
Schedule is an order of multiple transactions executing in concurrent environment.
Following figure represents the types of schedules.

Fig. 3.4.1 : Types of schedule

Serial Schedule : The schedule in which the transactions execute one after the other is
called serial schedule. It is consistent in nature. For example : Consider following two
transactions T1 and T2
Database Management Systems 3-6 Transactions

T1 T2

R(A)
W(A)
R(B)
W(B)
R(A)
W(A)
R(B)
W(B)
All the operations of transaction T1 on data items A and then B executes and then in
transaction T2 all the operations on data items A and B execute. The R stands for Read
operation and W stands for write operation.
Non Serial Schedule : The schedule in which operations present within the transaction
are intermixed. This may lead to conflicts in the result or inconsistency in the resultant
data. For example-
Consider following two transactions,
T1 T2

R(A)
W(A)
R(A)
W(B)
R(A)
W(B)
R(B)
W(B)
The above transaction is said to be non serial which result in inconsistency or conflicts
in the data.
3.5 Serializability AU : Dec.-15, May-15, 18, Marks 8

 When multiple transactions run concurrently, then it may lead to inconsistency of

data (i.e. change in the resultant value of data from different transactions).
 Serializability is a concept that helps to identify which non serial schedule and
find the transaction equivalent to serial schedule.
Database Management Systems 3-7 Transactions

 For example :
T1 A B T2

Initial 100 100

Value
A=A-10

W(A)

B=B+10

W(B)

90 110

A=A-10

W(A)

80 110

 In above transactions initially T1 will read the values from database as A=100,
B=100 and modify the values of A and B. But transaction T2 will read the modified
value i.e. 90 and will modify it to 80 and perform write operation. Thus at the end
of transaction T1 value of A will be 90 but at end of transaction T2 value of A will
be 80. Thus conflicts or inconsistency occurs here. This sequence can be converted
to a sequence which may give us consistent result. This process is called
serializability.
Difference between Serial Schedule and Serializable Schedule
Serial Schedule Serializable Schedule
No concurrency is allowed in serial schedule. Concurrency is allowed in serializable schedule.
In serial schedule, if there are two transactions In serializable schedule, if there are two
executing at the same time and no interleaving of transactions executing at the same time and
operations is permitted, then following can be the interleaving of operations is allowed there can be
possibilities of execution – different possible orders of executing an
(i) Execute all the operations of transactions T1 in individual operation of the transactions.
a sequence and then execute all the operations of
transactions T2 in a sequence.
(ii) Execute all the operations of transactions T2 in
a sequence and then execute all the operations of
transactions T1 in a sequence.
Database Management Systems 3-8 Transactions

Example of Serial Schedule Example of Serializable Schedule

T1 T2 T1 T2
Read(A) Read(A)
A=A-50 A=A-50
Write(A) Write(A)
Read(B) Read(B)
B=B+100 B=B+100
Write(B) Write(B)
Read(A) Read(B)
A=A+10 Write(B)
Write(A)

 There are two types of serializabilities : conflict serializability and view

serializability

3.5.1 Conflict Serializability

Definition : Suppose T1 and T2 are two transactions and I1 and I2 are the instructions in T1
and T2 respectively. Then these two transactions are said to be conflict Serializable, if both
the instruction access the data item d, and at least one of the instruction is write operation.
What is conflict ?: In the definition three conditions are specified for a conflict in conflict
serializability –
1) There should be different transactions
2) The operations must be performed on same data items
3) One of the operation must be the Write(W) operation

 We can test a given schedule for conflict serializability by constructing a

precedence graph for the schedule, and by searching for absence of cycles in the
graph.
 Predence graph is a directed graph, consisting of G=(V,E) where V is set of
vertices and E is set of edges. The set of vertices consists of all the transactions
participating in the schedule. The set of edges consists of all edges Ti →Tj for
which one of three conditions holds :
1. Ti executes write(Q) before Tj executes read(Q).
2. Ti executes read(Q) before Tj executes write(Q).
Database Management Systems 3-9 Transactions

3. Ti executes write(Q) before Tj executes write(Q).

 A serializability order of the transactions can be obtained by finding a linear order

consistent with the partial order of the precedence graph. This process is called
topological sorting.
Testing for serializability
Following method is used for testing the serializability : To test the conflict
serializability we can draw a graph G=(V,E) where V = vertices which represent the
number of transactions. E = edges for conflicting pairs.
Step 1 : Create a node for each transaction.
Step 2 : Find the conflicting pairs(RW, WR, WW) on the same variable(or data item) by
different transactions.
Step 3 : Draw edge for the given schedule. Consider following cases
1. Ti executes write(Q) before Tj executes read(Q), then draw edge from Ti to Tj.
2. Ti executes read(Q) before Tj executes write(Q) , then draw edge from Ti to Tj
3. Ti executes write(Q) before Tj executes write(Q), , then draw edge from Ti to Tj
Step 4 : Now, if precedence graph is cyclic then it is a non conflict serializable schedule
and if the precedence graph is acyclic then it is conflict serializable schedule.
Example 3.5.1 Consider the following two transactions and schedule (time goes from top to
bottom). Is this schedule conflict-serializable ? Explain why or why not.

T1 T2
R(A)
W(A)
R(A)
R(B)
R(B)
W(B)

Solution :
Step 1 : To check whether the schedule is conflict serializable or not we will check from
top to bottom. Thus we will start reading from top to bottom as
T1: R(A) -> T1:W(A) ->T2:R(A) -> T2:R(B) ->T1:R(B)->T1:W(B)
Database Management Systems 3 - 10 Transactions

Step 2 : We will find conflicting operations. Two operations are called as conflicting
operations if all the following conditions hold true for them-
i) Both the operations belong to different transactions.
ii) Both the operations are on same data item.
iii) At least one of the two operations is a write operation
From above given example in the top to bottom scanning we find the conflict as
T1:W(A) ->T2:R(A).

i) Here note that there are two different transactions T1 and T2,

ii) Both work on same data item i.e. A and

iii) One of the operation is write operation
Step 3 : We will build a precedence graph by drawing one node from each transaction. In
above given scenario as there are two transactions, there will be two nodes namely T1 and
T2

Step 4 : Draw the edge between conflicting transactions. For example in above given
scenario, the conflict occurs while moving from T1:W(A) to T2:R(A). Hence edge must be
from T1 to T2.

Step 5 : Repeat the step 4 while reading from top to bottom. Finally the precedence
graph will be as follows

Fig. 3.5.1 : Precedence graph

Step 6 : Check if any cycle exists in the graph. Cycle is a path using which we can start
from one node and reach to the same node. If the is cycle found then schedule is not
conflict serializable. In the step 5 we get a graph with cycle, that means given schedule is
not conflict serializable.
Example 3.5.2 Check whether following schedule is conflict serializable or not. If it is not
conflict serializable then find the serializability order.
Database Management Systems 3 - 11 Transactions

T1 T2 T3

R(A)
R(B)
R(B)
W(B)
W(A)
W(A)
R(A)
W(A)

Solution :
Step 1 : We will read from top to bottom, and build a precedence graph for conflicting
entries :

Fig. 3.5.2 Precedence graph

Step 2 : As there is no cycle in the precedence graph, the given sequence is conflict
serializable. Hence we can convert this non serial schedule to serial schedule. For that
purpose we will follow these steps to find the serializable order.
Step 3 : A serializability order of the transactions can be obtained by finding a linear
order consistent with the partial order of the precedence graph. This process is called
topological sorting.
Step 4 : Find the vertex which has no incoming edge which is T1. Finally find the vertex
having no outgoing edge which is T2. So in between them is T3. Hence the order will be
T1 – T3 –T2
3.5.2 View Serializability
If a given schedule is found to be view equivalent to some serial schedule, then it is called
as a view serializable schedule.
View Equivalent Schedule : Consider two schedules S1 and S2 consisting of transactions
Database Management Systems 3 - 12 Transactions

T1 and T2 respectively, then schedules S1 and S2 are said to be view equivalent schedule if
it satisfies following three conditions :
o If transaction T1 reads a data item A from the database initially in schedule S1,
then in schedule S2 also, T1 must perform the initial read of the data item X
from the database. This is same for all the data items. In other words - the
initial reads must be same for all data items.

o If data item A has been updated at last by transaction Ti in schedule S1, then in
schedule S2 also, the data item A must be updated at last by transaction Ti.

o If transaction Ti reads a data item that has been updated by the transaction Tj
in schedule S1, then in schedule S2 also, transaction Ti must read the same data
item that has been updated by transaction Tj. In other words the Write-Read
sequence must be same.

Steps to check whether the given schedule is view serializable or not

Step 1 : If the schedule is conflict serializable then it is surely view serializable because
conflict serializability is a restricted form of view serializability.
Step 2 : If it is not conflict serializable schedule then check whether there exist any blind
write operation. The blind write operation is a write operation without reading a value. If
there does not exist any blind write then that means the given schedule is not view
serializable. In other words if a blind write exists then that means schedule may or may
not be view conflict.
Step 3 : Find the view equivalence schedule
Example 3.5.3 Consider the following schedules for checking if these are view
serializable or not.

T1 T2 T3

W(C)
R(A)
W(B)
R(C)
W(B)
W(B)

Solution : i) The initial read operation is performed by T2 on data item A or by T1 on data

item C. Hence we will begin with T2 or T1. We will choose T2 at the beginning.
Database Management Systems 3 - 13 Transactions

ii) The final write is performed by T1 on the same data item B. Hence T1 will be at the
last position.
iii) The data item C is written by T3 and then it is read by T1. Hence T3 should appear
before T1.
Thus we get the order of schedule of view serializability as T2 – T1 – T3

Example 3.5.4 Consider following two transactions :

T1 : read(A)
read(B)
if A=0 then B:=B+1;
write(B)
T2 : read(B);
read(A);
if B=0 then A:=A+1;
write(A)
Let consistency requirement be A=0 V B=0 with A=B=0 the initial values.
1) Show that every serial execution involving these two transactions preserves the consistency
of the Database ?
2) Show a concurrent execution of T1 and T2 that produces a non serializable schedule ?
3) Is there a concurrent execution of T1 and T2 that produces a serializable schedule ?
Solution : 1) There are two possible executions: T1 ->T2 or T2->T1
Consider case T1->T2 then

A B
0 0
0 1
0 1
AB =A OR B=FT=T. This means consistency is met.
Consider case T2->T1 then

A B
0 0
1 0
1 0
AB = A OR B = FT = T. This means consistency is met.
Database Management Systems 3 - 14 Transactions

(2) The concurrent execution means interleaving of transactions T1 and T2. It can be
T1 T2
R(A)
R(B)
R(A)
R(B) If B=0 then
If A=0 then A=A+1
B=B+1 W(A)
W(B)
This is a non-serializable schedule.
(3) There is no concurrent execution resulting in a serializable schedule.
Example 3.5.5 Test serializability of the following schedule :
i) r1(x);r3(x);w1(x);r2(x);w3(x) ii) r3(x);r2(x);w3(x);r1(x);w1(x)

Solution : i) r1(x);r3(x);w1(x);r2(x);w3(x)

The r1 represents the read operation of transaction T1, w3 represents the write operation
on transaction T3 and so on. Hence from given sequence the schedule for three
transactions can be represented as follows :

T1 T2 T3

r1(x)

r3(x)

w1(x)

r2(x)

w3(x)

Step 1 : We will use the precedence graph method to check the serializability. As there
are three transactions, three nodes are created for each transaction.

Fig. 3.5.3 Nodes

Database Management Systems 3 - 15 Transactions

Step 2 : We will read from top to bottom. Initially we read r1(x) and keep on moving
bottom in search of write operation. Here all the transactions work on same data item i.e.
x. Now we get a write operation in T3 as w3(x). Hence the dependency is from T1 to T3.
Therefore we draw edge from T1 to T3.

Similarly, for r3(x) we get w1(x) pair. Hence there will be edge from T3 to T1. Continuing
in this fashion we get the precedence graph as

Fig. 3.5.4 Precedence Graph

Step 3 : As cycle exists in the above precedence graph, we conclude that it is not
serializable.
ii) r3(x);r2(x);w3(x);r1(x);w1(x)

From the given sequence the schedule can be represented as follows :

T1 T2 T3

r3(x)

r2(x)

w3(x)

r1(x)

w1(x)

Step 1 : Read the schedule from top to bottom for pair of operations. For r3(x) we get
w1(x) pair. Hence edge exists from T3 to T1 in precedence graph.

There is a pair from r2(x) : w3(x). Hence edge exists from T2 to T3.

There is a pair from r2(x) : w1(x). Hence edge exists from T2 to T1.

There is a pair from w3(x): r1(x). Hence edge exists from T3 to T1.
Database Management Systems 3 - 16 Transactions

Step 2 : The precedence graph will then be as follows –

Fig. 3.5.5 Precedence graph

Step 3 : As there is no cycle in the above graph, the given schedule is serializable.
Step 4 : The searializability order for consistent schedule will be obtained by applying
topological sorting on above drawn precedence graph. This can be achieved as follows,
Sub-Step 1 : Find the node having no incoming edge. We obtain T2 is such a node. Hence
T2 is at the beginning of the serializability sequence. Now delete T2. The Graph will be

Sub-Step 2 : Repeat sub-Step 1, We obtain T3 and T1 nodes as a sequence.

Thus we obtain the sequence of transactions as T2, T3 and T1. Hence the serializability
order is
r2(x);r3(x);w3(x):r1(x);w1(x)

Example 3.5.6 Consider the following schedules. The actions are listed in the order they are
scheduled, and prefixed with the transaction name.
S1 : T1 : R(X), T2 : R(X), T1 : W(Y), T2 : W(Y) T1 : R(Y), T2 : R(Y)
S2 : T3 : W(X), T1 : R(X), T1 : W(Y), T2 : R(Z), T2 : W(Z) T3 : R(Z)
For each of the schedules, answer the following questions :
i) What is the precedence graph for the schedule ?
ii) Is the schedule conflict-serializable ? If so, what are all the conflict equivalent serial
schedules ?
iii) Is the schedule view-serializable ? If so, what are all the view equivalent serial schedules ?
AU : May-15, Marks 2 + 7 + 7
Database Management Systems 3 - 17 Transactions

Solution : i) We will find conflicting operations. Two operations are called as conflicting
operations if all the following conditions hold true for them-

 Both the operations belong to different transactions.

 Both the operations are on same data item.
 At least one of the two operations is a write operation
For S1: From above given example in the top to bottom scanning we find the conflict as
o T1 : W(Y), T2 : W(Y) and

o T2 : W(Y), T1 : R(Y)

Hence we will build the precedence graph. Draw the edge between conflicting
transactions. For example in above given scenario, the conflict occurs while moving from
T1:W(Y) to T2:W(Y). Hence edge must be from T1 to T2. Similarly for second conflict, there
will be the edge from T2 to T1

Fig. 3.5.6 Precedence graph for S1

For S2: The conflicts are

o T3 : W(X), T1 : R(X)
o T2 : W(Z) T3 : R(Z)

Hence the precedence graph is as follows -

Fig. 3.5.7 Precedence graph for S2

(ii)
o S1 is not conflict-serializable since the dependency graph has a cycle.

o S2 is conflict-serializable as the dependency graph is acylic. The order T2-T3-

T1 is the only equivalent serial order.

(iii)
o S1 is not view serializable.

o S2 is trivially view-serializable as it is conflict serializable. The only serial

order allowed is

T2-T3-T1.
Database Management Systems 3 - 18 Transactions

University Questions
1. Explain Conflict serializability and view serializability.
AU : May-18, Marks 6, Dec.-15, Marks 8

3.6 Transaction Isolation and Atomicity

 The serializable schedule can be made consistent by applying conflict
serializability or view serializability.
 The serializable order makes a transaction isolation. But during the execution of
concurrent transactions in a given schedule, some of the transaction may get
failed(may be due to hardware or software failure)
 If the transaction gets failed we need to undo the effect of this transaction to
ensure the atomicity property of transaction. This makes the schedule acceptable
even after the failure.
 The schedule can be made acceptable by two techniques namely – Recoverable
Schedule and Cascadeless schedule.
3.6.1 Recoverable Schedule
Definition : A recoverable schedule is one where, for each pair of transactions Ti and Tj
such that Tj reads a data item previously written by Ti, the commit operation of Ti appears
before the commit operation of Tj
For example : Consider following schedule, consider A=100

T1 T2

R(A)
A=A+50
W(A)
R(A)
A=A-20
W(A)
Commit
Failure

some transaction…
Commit
Database Management Systems 3 - 19 Transactions

 The above schedule is inconsistent if failure occurs after the commit of T2.
 It is because T2 is dependable transaction on T1. A transaction is said to be
dependable if it contains a dirty read.
 The dirty read is a situation in which one transaction reads the data immediately
after the write operation of previous transaction
T1 T2

R(A)
A=A+50
W(A) Dirty read

R(A)
A=A-20
W(A)
Commit

Commit

 Now if the dependable transaction i.e. T2 is committed first and then failure occurs
then if the transaction T1 makes any changes then those changes will not be
known to the T2. This leads to non recoverable state of the schedule.

 To make the schedule recoverable we will apply the rule that - commit the
independent transaction before any dependable transaction.
 In above example independent transaction is T1, hence we must commit it before
the dependable transaction i.e. T2.

 The recoverable schedule will then be -

T T
1 2

R(A)
A=A+50
W(A)
R(A)
A=A-20
W(A)
Commit
Commit
Database Management Systems 3 - 20 Transactions

3.6.2 Cascadeless Schedule

Definition : If in a schedule, a transaction is not allowed to read a data item until the
last transaction that has written that data item is committed or aborted, then such a
schedule is known as a cascadeless schedule.

The cascadeless schedule allows only committed Read operation. For example :

T1 T2 T3

R(A)

A=A+50

W(A)

Commit

R(A)

A=A-20

W(A)

Commit

R(A)

W(A)

In above schedule at any point if the failure occurs due to commit operation before
every Read operation of each transaction, the schedule becomes recoverable and atomicity
can be maintained.

Part II : Concurrency Control

3.7 Introduction to Concurrency Control

 One of the fundamental properties of a transaction is isolation.
 When several transactions execute concurrently in the database, however, the
isolation property may no longer be preserved.
Database Management Systems 3 - 21 Transactions

 A database can have multiple transactions running at the same time. This is called
concurrency.
 To preserve the isolation property, the system must control the interaction among
the concurrent transactions; this control is achieved through one of a variety of
mechanisms called concurrency control schemes.
 Definition of concurrency control : A mechanism which ensures that
simultaneous execution of more than one transactions does not lead to any
database inconsistencies is called concurrency control mechanism.
 The concurrency control can be achieved with the help of various protocols such
as - lock based protocol, Deadlock handling, Multiple Granularity, Timestamp
based protocol, and validation based protocols.

3.8 Need for Concurrency AU : May-17, Marks 13

 Following are the purposes of concurrency control –

o To ensure isolation

o To resolve read-write or write-write conflicts

o To preserve consistency of database

 Concurrent execution of transactions over shared database creates several data

integrity and consistency problems – these are
(1) 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.
For example – Consider following transactions
(1) Salary of Employee is read during transaction T1.
(2) Salary of Employee is read by another transaction T2.
(3) During transaction T1, the salary is incremented by ` 200
(4) During transaction T2, the salary is incremented by ` 500
Database Management Systems 3 - 22 Transactions

The result of the above sequence is that the update made by transaction T1 is
completely lost. Therefor this problem is called as lost update problem.
(2) Dirty Read or Uncommited Read Problem : The dirty read is a situation in which
one transaction reads the data immediately after the write operation of previous
transaction

T1 T2

R(A)
A=A+50
W(A) Dirty read

R(A)
A=A-20
W(A)
Commit

Commit
For example – Consider following transactions -
Assume initially salary is = ` 1000
Database Management Systems 3 - 23 Transactions

(1) At the time t1, the transaction T2 updates the salary to `1200
(2) This salary is read at time t2 by transaction T1. Obviously it is ` 1200
(3) But at the time t3, the transaction T2 performs Rollback by undoing the changes
made by T1 and T2 at time t1 and t2.
(4) Thus the salary again becomes = ` 1000. This situation leads to Dirty Read or
Uncommited Read because here the read made at time t2(immediately after
update of another transaction) becomes a dirty read.

(3) Non-repeatable read Problem

This problem is also known as inconsistent analysis problem. This problem occurs
when a particular transaction sees two different values for the same row within its
lifetime. For example –

(1) At time t1, the transaction T1 reads the salary as ` 1000

(2) At time t2 the transaction T2 reads the same salary as ` 1000 and updates it to `1200
(3) Then at time t3, the transaction T2 gets committed.
(4) Now when the transaction T1 reads the same salary at time t4, it gets different value
than what it had read at time t1. Now, transaction T1 cannot repeat its reading
operation. Thus inconsistent values are obtained.
Hence the name of this problem is non-repeatable read or inconsistent analysis
problem.
Database Management Systems 3 - 24 Transactions

(4) Phantom read Problem

The phantom read problem is a special case of non repeatable read problem.
This is a problem in which one of the transaction makes the changes in the database
system and due to these changes another transaction can not read the data item which
it has read just recently. For example –

(1) At time t1, the transaction T1 reads the value of salary as ` 1000
(2) At time t2, the transaction T2 reads the value of the same salary as ` 1000
(3) At time t3, the transaction T1 deletes the variable salary.
(4) Now at time t4, when T2 again reads the salary it gets error. Now transaction T2 can
not identify the reason why it is not getting the salary value which is read just few
time back.
This problem occurs due to changes in the database and is called phantom read
problem.

University Question
1. Discuss the violations caused by each of the following: dirty read, non repeatable read and phantoms
with suitable example AU : May-17, Marks 13

3.9 Locking Protocols AU : May-16, Dec.-15, 17, Marks 16

3.9.1 Why Do we Need Locks ?

 One of the method to ensure the isolation property in transactions is to require
that data items be accessed in a mutually exclusive manner. That means, while
one transaction is accessing a data item, no other transaction can modify that data
item.
 The most common method used to implement this requirement is to allow a
transaction to access a data item only if it is currently holding a lock on that item.
 Thus the lock on the operation is required to ensure the isolation of transaction.
Database Management Systems 3 - 25 Transactions

3.9.2 Simple Lock Based Protocol

 Concept of Protocol : The lock based protocol is a mechanism in which there is
exclusive use of locks on the data item for current transaction.
 Types of Locks : There are two types of locks used -

Fig. 3.9.1 Types of locks

i) Shared Lock : The shared lock is used for reading data items only. It is denoted by
Lock-S. This is also called as read lock.
ii) Exclusive Lock : The exclusive lock is used for both read and write operations. It is
denoted as Lock-X. This is also called as write lock.
 The compatibility matrix is used while working on set of locks. The concurrency
control manager checks the compatibility matrix before granting the lock. If the
two modes of transactions are compatible to each other then only the lock will be
granted.
 In a set of locks may consists of shared or exclusive locks. Following matrix
represents the compatibility between modes of locks.
S X
S T F
X F F

Fig. 3.9.2 Compatibility matrix for locks

Here T stands for True and F stands for False. If the control manager get the
compatibility mode as True then it grant the lock otherwise the lock will be denied.
 For example : If the transaction T1 is holding a shared lock in data item A, then the
control manager can grant the shared lock to transaction T2 as compatibility is
True. But it cannot grant the exclusive lock as the compatibility is false. In simple
words if transaction T1 is reading a data item A then same data item A can be read
by another transaction T2 but cannot be written by another transaction.

 Similarly if an exclusive lock (i.e. lock for read and write operations) is hold on the
data item in some transaction then no other transaction can acquire Shared or
exclusive lock as the compatibility function denotes F. That means of some
Database Management Systems 3 - 26 Transactions

transaction is writing a data item A then another transaction can not read or write
that data item A.
Hence the rule of thumb is
i) Any number of transactions can hold shared lock on an item.
ii) But exclusive lock can be hold by only one transaction.

 Example of a schedule denoting shared and exclusive locks : Consider following

schedule in which initially A=100. We deduct 50 from A in T1 transaction and
Read the data item A in transaction T2. The scenario can be represented with the
help of locks and concurrency control manager as follows :
T1 T2 Concurrency control
manager
Lock-X(A)
Grant X(A,T1) because in T1
there is write operation.
Exclusive Lock
R(A)
A=A-50
W(A)
Unlock(A)
Lock-S(A)
Grant S(A,T2) because in T2
Shared Lock there is Read operation
R(A)
Unlock(A)

University Questions
1. State and explain the lock based concurrency control with suitable example
AU : Dec-17, Marks 13, May-16, Marks 16
2. What is Concurrency control ? How is implemented in DBMS ? Illustrate with suitable example.
AU : Dec-15, Marks 8

3.10 Two Phase Locking AU : May-14, 18, Dec.-16, Marks 7

 The two phase locking is a protocol in which there are two phases :
i) Growing phase (Locking phase) : It is a phase in which the transaction may
obtain locks but does not release any lock.
Database Management Systems 3 - 27 Transactions

ii) Shrinking phase (Unlocking phase) : It is a phase in which the transaction

may release the locks but does not obtain any new lock.
 Lock Point : The last lock position or first unlock position is called lock
point. For example

Lock(A)
Lock(B)
Lock(C)
….
… Lock Point

…
Unlock(A)
Unlock(B)
Unlock(C)
For example –
Consider following transactions
T1 T2
Lock-X(A) Lock-S(B)
Read(A) Read(B)
A=A-50 Unlock-S(B)
Write(A)
Lock-X(B)
Unlock-X(A)
B=B+100 Lock-S(A)
Write(B) Read(A)
Unlock-X(B) Unlock-S(A)

The important rule for being a two phase locking is - All Lock operations precede all
the unlock operations.
In above transactions T1 is in two phase locking mode but transaction T2 is not in two
phase locking. Because in T2, the Shared lock is acquired by data item B, then data item B
is read and then the lock is released. Again the lock is acquired by data item A , then the
data item A is read and the lock is then reloased. Thus we get lock-unlock-lock-unlock
sequence. Clearly this is not possible in two phase locking.
Database Management Systems 3 - 28 Transactions

Example 3.10.1 Prove that two phase locking guarantees serializability.

Solution:
o Serializability is mainly an issue of handling write operation. Because any
inconsistency may only be created by write operation.

o Multiple reads on a database item can happen parallely.

o 2-Phase locking protocol restricts this unwanted read/write by applying

exclusive lock.

o Moreover, when there is an exclusive lock on an item it will only be released

in shrinking phase. Due to this restriction there is no chance of getting any
inconsistent state.

The serializability using two phase locking can be understood with the help of
following example
Consider two transactions
T1 T2
R(A)
R(A)
R(B)
W(B)

Step 1 : Now we will apply two phase locking. That means we will apply locks in
growing and shrinking phase
T1 T2

Lock-S(A)
R(A)
Lock-S(A)
R(A)
Lock-X(B)
R(B)
W(B)

Unlock-X(B)
Unlock-S(A)
Database Management Systems 3 - 29 Transactions

Note that above schedule is serializable as it prevents interference between two

transactions.
The serializability order can be obtained based on the lock point. The lock point is
either last lock operation position or first unlock position in the transaction.
The last lock position is in T1, then it is in T2. Hence the serializability will be T1->T2

based on lock points. Hence The serializability sequence can be

R1(A);R2(A);R1(B);W1(B)

Limitations of Two Phase Locking Protocol

The two phase locking protocol leads to two problems – deadlock and cascading
roll back.

(1) Deadlock : The deadlock problem can not be solved by two phase locking.
Deadlock is a situation in which when two or more transactions have got a lock and
waiting for another locks currently held by one of the other transactions.
For example

T1 T2

Lock-X(A) Lock-X(B)

Read(A) Read(B)

A=A-50 B=B+100

Write(A) Write(B)

Delayed, Delayed,
wait for T2 wait for T1
to release to release
Lock on B Lock on A

(2) Cascading Rollback : Cascading rollback is a situation in which a single

transaction failure leads to a series of transaction rollback. For example –
Database Management Systems 3 - 30 Transactions

T1 T2 T3

Read(A)
Read(B)
C=A+B
Write(C)
Read(C)
Write(C)
Read(C)

When T1 writes value of C then only T2 can read it. And when T2 writes the value of C
then only transaction T3 can read it. But if the transaction T1 gets failed then
automatically transactions T2 and T3 gets failed.
The simple two phase locking does not solve the cascading rollback problem. To solve
the problem of cascading Rollback two types of two phase locking mechanisms can be
used.
3.10.1 Types of Two Phase Locking
(1) Strict Two Phase Locking : The strict 2PL protocol is a basic two phase protocol but
all the exclusive mode locks be held until the transaction commits. That means in other
words all the exclusive locks are unlocked only after the transaction is committed. That
also means that if T1 has exclusive lock, then T1 will release the exclusive lock only after
commit operation, then only other transaction is allowed to read or write. For example -
Consider two transactions
T1 T2

W(A)
R(A)
If we apply the locks then
T1 T2

Lock-X(A)
W(A)
Commit
Unlock(A)
Lock-S(A)
R(A)
Unlock-S(A)
Database Management Systems 3 - 31 Transactions

Thus only after commit operation in T1, we can unlock the exclusive lock. This ensures
the strict serializability.
Thus compared to basic two phase locking protocol, the advantage of strict 2PL
protocol is it ensures strict serializability.
(2) Rigorous Two Phase Locking : This is stricter two phase locking protocol. Here all
locks are to be held until the transaction commits. The transactions can be seriealized in
the order in which they commit.
example - Consider transactions
T1
R(A)
R(B)
W(B)
If we apply the locks then
T1
Lock-S(A)
R(A)
Lock-X(B)
R(B)
W(B)
Commit
Unlock(A)
Unlock(B)
Thus the above transaction uses rigorous two phase locking mechanism
Example 3.10.2 Consider the following two transactions :
T1:read(A)
Read(B);
If A=0 then B=B+1;
Write(B)
T2:read(B); read(A)
If B=0 then A=A+1
Write(A)
Add lock and unlock instructions to transactions T1 and T2, so that they observe two phase
locking protocol. Can the execution of these transactions result in deadlock ?
AU : Dec.-16, Marks 6
Database Management Systems 3 - 32 Transactions

Solution :
T1 T2
Lock-S(A) Lock-S(B)
Read(A) Read(B)
Lock-X(B) Lock-X(A)
Read(B) Read(A)
if A=0 then B=B+1 if B=0 then A=A+1
Write(B) Write(A)
Unlock(A) Unlock(B)
Commit Commit
Unlock(B) Unlock(A)
This is lock-unlock instruction sequence help to satisfy the requirements for strict two
phase locking for the given transactions.
The execution of these transactions result in deadlock. Consider following partial
execution scenario which leads to deadlock.
T1 T2
Lock-S(A) Lock-S(B)
Read(A) Read(B)
Lock-X(B) Lock-X(A)
Now it will wait for T2 to Now it will wait for T1 to
release exclusive lock on A release exclusive lock on B
3.10.2 Lock Conversion
Lock conversion is a mechanism in two phase locking mechanism - which allows
conversion of shared lock to exclusive lock or exclusive lock to shared lock.
Method of Conversion :
First Phase :
o can acquire a lock-S on item

o can acquire a lock-X on item

o can convert a lock-S to a lock-X (upgrade)

Second Phase :
o can release a lock-S

o can release a lock-X

o can convert a lock-X to a lock-S (downgrade)

Database Management Systems 3 - 33 Transactions

This protocol assures serializability. But still relies on the programmer to insert the
various locking instructions.

For example – Consider following two transactions –

T1 T2
R(A) R(A)
R(B) R(B)
…
R(C)
…
W(A)
Here if we start applying locks, then we must apply the exclusive lock on data item A,
because we have to read as well as write on data item A. Another transaction T2 does not
get shared lock on A until transaction T1 performs write operation on A. Since transaction
T1 needs exclusive lock only at the end when it performs write operation on A, it is better
if T1 could initially lock A in shared mode and then later change it to exclusive mode lock
when it performs write operation. In such situation, the lock conversion mechanism
becomes useful.
When we convert the shared mode lock to exclusive mode then it is called upgrading
and when we convert exclusive mode lock to shared mode then it is called downgrading.
Also note that upgrading takes place only in growing phase and downgrading takes
place only in shrinking phase. Thus we can refine above transactions using lock
conversion mechanism as follows –
T1 T2
Lock-S(A)
R(A)
Lock-S(A)
R(A)
Lock-S(B)
R(B)
Lock-S(B)
R(B)
Unlock(A)
Unlock(B)
…
Database Management Systems 3 - 34 Transactions

Lock-S(C)
R(C)
…
Upgrade(A)
W(A)
Unlock(A)
Unlock(B)
Unlock(C)

University Questions
1. What is concurrency control ? Explain two phase locking protocol with an example
AU : May-18, Marks 7

2. Illustrate two phase locking protocol with an example.

AU : May-14, Dec.-16, Marks 6

3.11 Time Stamp Based Protocol

 The time stamp ordering protocol is a scheme in which the order of transaction is
based on their timestamps. Thus the schedules are serialized according to their
timestamps.
 The timestamp-ordering protocol ensures that any conflicting read and write
operations are executed in timestamp order.
 There are two types of time stamps -
o Read Time stamp i.e. . R-timestamp(A) - It is the youngested time stamp that
performed on read operation.

o Write Time stamp i.e. W-timestamp(A) - It is the youngested time stamp that
performed on write operation.

 These timestamps are updated whenever a new read(A) or write(A) instruction is

executed.
 The timestamp-ordering protocol ensures that any conflicting read and write
operations are executed in timestamp order. This protocol operates as follows :
1. Suppose that transaction Ti issues read(A).
a. If TS(Ti) < W-timestamp(A), then Ti needs to read a value of A that was already
overwritten.
Hence, the read operation is rejected, and Ti is rolled back.
Database Management Systems 3 - 35 Transactions

For example : Consider two transactions T1 and T2 with timestamps 10 sec and
20 sec. That means younger transaction has already performed write operation and now
older transaction is issuing the Read (A) request. This is as shown below

T T
1 2
(10 sec) older (20 sec) younger
transaction transaction
W(A)
R(A)
Then W-timestamp(A) for transaction T2= 20 sec. and TS(T1) for R(A) = 10. i.e.

TS(T1) < W-timestamp(A). Hence reject R(A) of T1 and rollback.

b. If TS(Ti) ≥ W-timestamp(A), then the read operation is executed, and

R- timestamp(A) is set to the maximum of R-timestamp(A) and TS(Ti). For example :
T T
1 2
(20 sec) younger (10 sec) older
transaction transaction
W(A)
R(A)
Set R-timestamp (A) = 20 sec.
2. Suppose that transaction Ti issues write (A).
a. If TS(Ti)(older transaction) < R-timestamp (A) (younger transaction), and then if Ti
is attempting to Write an obsolete value of A. Then the system rejects the write
operation and rolls Ti back.

For example : Consider two transactions T1 and T2 with timestamps 10 sec and
20 sec.
T1 T2
(10 sec) older (20 sec) younger
transaction transaction
R(A)

W(A)

Here R2_TS(A)=20 sec and TS(T1)=10sec i.e. TS(T1)< R2_Timestamp(A), it is invalid

operation and then we must reject W(A) in T1 and must roll back.

b. If TS(Ti) < W-timestamp(A), then Ti is attempting to write an obsolete value of A.

Hence, the system rejects this write operation and rolls Ti back.
Database Management Systems 3 - 36 Transactions

For example : Consider two transactions T1 and T2 with timestamps 10 sec and
20 sec. That means younger transaction has already performed write operation and now
older transaction is issuing the write request. This is as shown below

T1 T2
(10 sec) older (20 sec) younger
transaction transaction
W(A)
W(A)
Here W-timestamp(A) of T2=20 sec and TS(T1) for write request =10 sec i.e.

TS(T1)< W-timestamp(A), it is invalid operation and then we must reject W(A) in T1

and must roll back.
c. Otherwise, the system executes the write operation and sets W-timestamp(A) to
TS(Ti).

For example just change the timestamps of T1 and T2. This can be as shown below -
T1 T2
(20 sec) (10 sec) older
younger transaction
transaction

R(A) or W(A)
W(A)
This is allowed and the write operation of T1 will be executed.

3.12 Dead Lock AU : May-09, Dec. 14, 15, 16, Marks 16

Deadlock is a specific concurrency problem in which two transactions depend on each

other for something.
For example – Consider that transaction T1 holds a lock on some rows of table A and
needs to update some rows in the B table. Simultaneously, transaction T2 holds locks on
some rows in the B table and needs to update the rows in the A table held by Transaction
T1.
Database Management Systems 3 - 37 Transactions

Now, the main problem arises. Now Transaction T1 is waiting for T2 to release its lock
and similarly, transaction T2 is waiting for T1 to release its lock. All activities come to a
halt state and remain at a standstill. This situation is called deadlock in DBMS.
Definition : Deadlock can be formally defined as - “ A system is in deadlock state if
there exists a set of transactions such that every transaction in the set is waiting for
another transaction in the set. “
There are four conditions for a deadlock to occur
A deadlock may occur if all the following conditions holds true.
1. Mutual exclusion condition : There must be at least one resource that cannot be
used by more than one process at a time.
2. Hold and wait condition : A process that is holding a resource can request for
additional resources that are being held by other processes in the system.
3. No preemption condition : A resource cannot be forcibly taken from a process.
Only the process can release a resource that is being held by it.
4. Circular wait condition : A condition where one process is waiting for a resource
that is being held by second process and second process is waiting for third process
….so on and the last process is waiting for the first process. Thus making a circular
chain of waiting.
Deadlock can be handled using two techniques –
1. Deadlock Prevention 2. Deadlock Detection and deadlock recovery
1. Deadlock Prevention :
For large database, deadlock prevention method is suitable. A deadlock can be
prevented if the resources are allocated in such a way that deadlock never occur. The
DBMS analyzes the operations whether they can create deadlock situation or not, If they
do, that transaction is never allowed to be executed.
There are two techniques used for deadlock prevention –
Database Management Systems 3 - 38 Transactions

(i) Wait-Die :
 In this scheme, if a transaction requests for a resource which is already held with a
conflicting lock by another transaction then the DBMS simply checks the
timestamp of both transactions. It allows the older transaction to wait until the
resource is available for execution.
 Suppose there are two transactions Ti and Tj and let TS(T) is a timestamp of any
transaction T. If T2 holds a lock by some other transaction and T1 is requesting for
resources held by T2 then the following actions are performed by DBMS :
o Check if TS(Ti) < TS(Tj) - If Ti is the older transaction and Tj has held some
resource, then Ti is allowed to wait until the data-item is available for
execution. That means if the older transaction is waiting for a resource which
is locked by the younger transaction, then the older transaction is allowed to
wait for resource until it is available.

o Check if TS(Ti) < TS(Tj) - If Ti is older transaction and has held some resource
and if Tj is waiting for it, then Tj is killed and restarted later with the random
delay but with the same timestamp.

Timestamp is a way of assigning priorities to each transaction when it starts. If

timestamp is lower then that transaction has higher priority. That means oldest
transaction has highest priority.
For example –
Let T1 is a transaction which requests the data item acquired by Transaction T2.
Similarly T3 is a transaction which requests the data item acquired by transaction T2.

Here TS(T1) i.e. Time stamp of T1 is less than TS(T3). In other words T1 is older than
T3. Hence T1 is made to wait while T3 is rolledback.
(ii) Wound- wait :
o In wound wait scheme, if the older transaction requests for a resource which
is held by the younger transaction, then older transaction forces younger one
to kill the transaction and release the resource. After some delay, the younger
transaction is restarted but with the same timestamp.
Database Management Systems 3 - 39 Transactions

o If the older transaction has held a resource which is requested by the Younger
transaction, then the younger transaction is asked to wait until older releases
it.

Suppose T1 needs a resource held by T2 and T3 also needs the resource held by T2,
with TS(T1)=5, TS(T2)=8 and TS(T3)=10, then T1 being older waits and T3 being younger
dies. After the some delay, the younger transaction is restarted but with the same
timestamp.
This ultimately prevents a deadlock to occur.
To summarize
Wait-Die Wound-wait

Older transaction needs a data older transaction waits younger transaction dies.
item held by younger
transaction
Younger transaction needs a Younger transaction dies Younger transaction dies.
data item held by older
transaction

2. Deadlock Detection :
 In deadlock detection mechanism, an algorithm that examines the state of the
system is invoked periodically to determine whether a deadlock has occurred or
not. If deadlock is occurrence is detected, then the system must try to recover from
it.
 Deadlock detection is done using wait for graph method.
Wait For Graph
o In this method, a graph is created based on the transaction and their lock. If
the created graph has a cycle or closed loop, then there is a deadlock.

o The wait for the graph is maintained by the system for every transaction
which is waiting for some data held by the others. The system keeps checking
the graph if there is any cycle in the graph.

o This graph consists of a pair G = (V, E), where V is a set of vertices and E is a
set of edges.

o The set of vertices consists of all the transactions in the system.

o When transaction Ti requests a data item currently being held by transaction

Tj , then the edge Ti → Tj is inserted in the wait-for graph. This edge is
removed only when transaction Tj is no longer holding a data item needed by
transaction Ti .
Database Management Systems 3 - 40 Transactions

For example – Consider following transactions, We will draw a wait for graph
for this scenario and check for deadlock.

T1 T2
R(A)
R(A)
W(A)
R(B)
W(A)
W(B)

We will use three rules for designing the wait-for graph-

Rule 1: If T1 has Read operation and then T2 has Write operation then draw an edge
T1->T2.
Rule 2: If T1 has Write operation and then T2 has Read operation then draw an edge
T1->T2
Rule 3: If T1 has Write operation and then T2 has Write operation then draw an edge
T1->T2
Let us draw wait-for graph
Step 1 : Draw vertices for all the transactions

Step 2 : We find the Read-Write pair from two different transactions reading from top to
bottom. If such as pair is found then we will add the edges between corresponding
directions. For instance -
Database Management Systems 3 - 41 Transactions

Step 3 :

As cycle is detected in the wait-for graph there is no need to further process. The
deadlock is present in this transaction scenario.
Example 3.12.1 Give an example of a scenario where two phase locking leads to deadlock.
AU : May-09, Marks 4
Solution : Following scenario of execution of transactions can result in deadlock.
T1 T2

Lock – S (A)
Lock – S (B)
Read (B)
These two
instructions Read (A)
cause a deadlock Lock – X (B)
situation.
Lock – X (A)

In above scenario, transaction T1 makes an exclusive lock on data item B and then
transaction T2 makes an exclusive lock on data item A. Here unless and until T1 does not
give up the lock (i.e. unlock) on B; T2 cannot read / write it. Similarly unless and until T2
does not give up the lock on A; T1 cannot read or write on A.

This is a purely deadlock situation in two phase locking.

University Questions

1. Outline deadlock handling mechanisms. AU : Dec-16, Marks 7

2. What is deadlock ? How does it occur ? How transactions can be written to

(i) Avoid deadlock.
(ii) Guarantee correct execution.
Illustrate with suitable example. AU : Dec.-15, Marks 16

3. Write short note on- Deadlock AU : Dec.-14, Marks 4

Database Management Systems 3 - 42 Transactions

3.13 Transaction Recovery

 An integral part of a database system is a recovery scheme that can restore the
database to the consistent state that existed before the failure.
 The recovery scheme must also provide high availability; that means, it must
minimize the time for which the database is not usable after a failure.
3.13.1 Failure Classification
Various types of failures are -
1. Transaction Failure : Following are two types of errors due to which the transaction
gets failed.

 Logical Error :
i) This error is caused due to internal conditions such as bad input, data not
found, overflow of resource limit and so on.
ii) Due to logical error the transaction can not be continued.

 System Error :
i) When the system enters in an undesired state and then the transaction can not
be continued then this type of error is called as system error.
2) System Crash : The situation in which there is a hardware malfunction, or a bug in
the database software or the operating system, and because of which there is a loss
of the content of volatile storage, and finally the transaction processing come to a
halt is called system crash.
3) Disk Failure : A disk block loses its content as a result of either a head crash or
failure during a data-transfer operation. The backup of data is maintained on the
secondary disks or DVD to recover from such failure.
3.13.2 Storage
A DBMS stores the data on external storage because the amount of data is very huge
and must persist across program executions.
The storage structure is a memory structure in the system. It has following categories -
1) Volatile :

 Volatile memory is a primary memory in the system and is placed along with the
CPU.
 These memories can store only small amount of data, but they are very fast. For
example - main memory, cache memory.
 A volatile storage cannot survive system crashes.
 That means data in these memories will be lost on failure.
Database Management Systems 3 - 43 Transactions

2) Non Volatile :
Non volatile memory is a secondary memory and is huge in size. For example : Hard
disk, Flash memory, magnetic tapes.
These memories are designed to withstand system crashes.
3) Stable :

 Information residing in stable storage is never lost.

 To implement stable storage, we replicate the information in several nonvolatile
storage media (usually disk) with independent failure modes.
Stable Storage Implementation
 Stable storage is a kind of storage on which the information residing on it is never
lost.
 Although stable storage is theoretically impossible to obtain it can be
approximately built by applying a technique in which data loss is almost
impossible.
 That means the information is replicated in several nonvolatile storage media
with independent failure modes.
 Updates must be done with care to ensure that a failure during an update to stable
storage does not cause a loss of information.
3.13.3 Recovery with Concurrent Transactions
There are four ways for recovery with concurrent transactions :
1) Interaction with concurrency control : In this scheme recovery depends upon the
concurrency control scheme which is used for the transaction. If a transaction gets
failed, then rollback and undo all the updates performed by transaction.
2) Transaction Rollback : In this scheme, if the transaction gets failed, then the failed
transaction can be rolled back with the help of log. The system scans the log
backward, and with the help of log entries the system can restore the data items.
3) Checkpoints : The checkpoints are used to reduce the number of log records.
4) Restart recovery : When the system recovers from the crash it constructs two lists :
Undo-list and Redo-list. The undo list consists of transactions to be undone. The
redo list consists of transactions to be redone. These two lists are handled as follows
Step 1 : Initially both the lists are empty.
Step 2 : The system scans the log entries from backwards. It scans each entry until it finds
first checkpoint record.
Database Management Systems 3 - 44 Transactions

3.13.4 Shadow Copy Technique

 In the shadow-copy scheme, a transaction that wants to update the database first
creates a complete copy of the database.
 All updates are done on the new database copy, leaving the original copy, the
shadow copy, untouched.
 If at any point the transaction has to be aborted, the system merely deletes the new
copy. The old copy of the database has not been affected.
 The current copy of the database is identified by a pointer, called db-pointer, which is
stored on disk.
 If the transaction partially commits, it is committed as follows :
o First, the operating system is asked to make sure that all pages of the new copy of
the database have been written out to disk.
o After the operating system has written all the pages to disk, the database system
updates the pointer db-pointer to point to the new copy of the database
o The new copy then becomes the current copy of the database.
o The old copy of the database is then deleted.
o The transaction is said to have been committed at the point where the
updated db-pointer is written to disk.
o The disk system guarantees that it will update
db-pointer atomically, as long as we make sure that db-pointer lies entirely
in a single sector.
Where is shadow copy technique used ?
o Shadow copy schemes are commonly used by text editors.
o Shadow copying can be used for small databases.
3.13.5 Log Based Recovery Approach
 Log is the most commonly used structure for recording the modifications that as
to be made in the actual database. Hence during the recovery procedure a log file
is maintained.
 A log record maintains four types of operations. Depending upon the type of
operations there are four types of log records-
1. <Start> Log record: It is represented as <Ti, Start>

2. <Update> Log record

Database Management Systems 3 - 45 Transactions

3. <Commit> Log record:It is represented as

<Ti, Commit>

4. <Abort> Log record: It is represented as

<Ti, Abort>

 The log contains various fields as shown in following Fig. 3.13.1. This structure is
for <update> operation
Transaction Data Item Old Value of New Value
ID(Ti) Name Data Item of Data Item

 For example : The sample log file is

Here 10 represents the old value before

<T1, Start>
commit operation and 20 is the new value
< T1,a,10,20> that needs to be updated in the database after
<T1, Commit> commit operation

Fig. 3.13.1 Sample Log File

 The log must be maintained on the stable storage and the entries in the log file are
maintained before actually updating the physical database.
 There are two approaches used for log based recovery technique - Deferred
Database Modification and Immediate Database Modification.
1. Deferred Database Modification :
 In this technique, the database is not updated immediately.
 Only log file is updated on each transaction.
 When the transaction reaches to its commit point, then only the database is
physically updated from the log file.
 In this technique, if a transaction fails before reaching to its commit point, it will
not have changed database anyway. Hence there is no need for the UNDO
operation. The REDO operation is required to record the operations from log file
to physical database. Hence deferred database modification technique is also
called as NO UNDO/REDO algorithm.
 For example :
Database Management Systems 3 - 46 Transactions

Consider two transactions T1 and T2 as follows :

T1 T2

Read (A, a) Read (C, c)

a = a – 10 c = c – 20
Write (A, a) Write (C, c)
Read (B, b)
b = b + 10
Write (B, b)
If T1 and T2 are executed serially with initial values of A = 100, B = 200 and C = 300,
then the state of log and database if crash occurs
a) Just after write (B, b)
b) Just after write (C, c)
c) Just after <T2, commit>
The result of above 3 scenarios is as follows :
Initially the log and database will be

Log Database

<T1, Start>

<T1, A, 90>

<T1, B, 210>

<T1, Commit>

A = 90
B = 210
<T2, Start>

<T2, C, 280>

<T2, Commit>

C = 280
a) Just after write (B, b)
Just after write operation, no commit record appears in log. Hence no write
operation is performed on database. So database retains only old values. Hence
A = 100 and B = 200 respectively.
Thus the system comes back to original position and no redo operation take place.
Database Management Systems 3 - 47 Transactions

The incomplete transaction of T1 can be deleted from log.

b) Just after write (C, c)

The state of log records is as follows
Note that crash occurs before T2 commits. At this point T1 is completed successfully,
so new values of A and B are written from log to database. But as T2 is not
committed, there is no redo (T2) and the incomplete transaction T2 can be deleted
from log.
The redo (T1) is done as < T1, commit> gets executed. Therefore A = 90, B = 210 and
C = 300 are the values for database.
c) Just after < T2, commit>

The log records are as follows :

< T1, Start>

< T1, A, 90>

< T1, B, 210>

< T1, Commit>

< T2, Start>

< T2, 6, 280>

< T2, Commit>

 Crash occurs here

Clearly both T1 and T2 reached at commit point and then crash occurs. So both redo
(T1) and redo (T2) are done and updated values will be A = 90, B = 210,
C = 280.
2. Immediate Database Modification :
In this technique, the database is updated during the execution of transaction even
before it reaches to its commit point.
If the transaction gets failed before it reaches to its commit point, then the a
ROLLBACK Operation needs to be done to bring the database to its earlier consistent
state. That means the effect of operations need to be undone on the database. For that
purpose both Redo and Undo operations are both required during the recovery. This
technique is known as UNDO/ REDO technique.
Database Management Systems 3 - 48 Transactions

For example : Consider Two transaction T1 and T2 as follows :

T1 T2

Read(A,a) Read(C,c)
a=a-10 c=c-20
Write(A,a) Write(C,c)
Read(B,b)
b=b+10
Write(B,b)
Here T1 and T2 are executed serially. Initially A=100, B=200 and C=300

If the crash occurs after

i) Just after Write(B,b) ii) Just after Write(C,c) iii) Just after <T2,Commit>

Then using the immediate Database modification approach the result of above three
scenarios can be elaborated as follows :
The contents of log and database is as follows :
Log Database
<T1,Start>
<T1,A,100,90>
A=90

<T1,B,200,210>
B=210

<T1,Commit>
<T2,Start>
<T2,C,300,280>
C=280

<T2,Commit>

The recovery scheme uses two recovery techniques -

i) UNDO (Ti) :The transaction Ti needs to be undone if the log contains <Ti,Start> but
does not contain <Ti,Commit>. In this phase, it restores the values of all data items
updated by Ti to the old values.

ii) REDO (Ti) : The transaction Ti needs to be redone if the log contains both <Ti,Start>
and <Ti,Commit>. In this phase, the data item values are set to the new values as
per the transaction. After a failure has occurred log record is consulted to determine
which transaction need to be redone.
Database Management Systems 3 - 49 Transactions

a) Just after Write (B,b) : When system comes back from this crash, it sees that there is
<T1, Start> but no <T1, Commit>. Hence T1 must be undone. That means old values
of A and B are restored. Thus old values of A and B are taken from log and both the
transaction T1 and T2 are re-executed.
b) Just after Write (C,c): Here both the redo and undo operations will occur
c) Undo : When system comes back from this crash, it sees that there is <T2, Start> but
no <T2, Commit>. Hence T2 must be undone. That means old values of C is
restored. Thus old value of C is taken from log and the transaction T2 is
re-executed.
d) Redo : The transaction T1 must be done as log contains both the <T1,Start> and
<T1,Commit>
So A=90, B=210 and C=300
e) Just after <T2,Commit> : When the system comes back from this crash, it sees that
there are two transaction T1 and T2 with both start and commit points. That means
T1 and T2 need to be redone. So A=90, B=210 and C=280
3.14 Save Points
The COMMIT, ROLLBACK, and SAVEPOINT are collectively considered as
Transaction Commands
(1) COMMIT : The COMMIT command is used to save permanently any transaction to
database.
When we perform, Read or Write operations to the database then those changes can
be undone by rollback operations. To make these changes permanent, we should
make use of commit
(2) ROLLBACK : The ROLLBACK command is used to undo transactions that have
not already saved to database. For example
Consider the database table as

RollNo Name

1 AAA

2 BBB

3 CCC

4 DDD

5 EEE

Fig.3.14.1 Student Table

Database Management Systems 3 - 50 Transactions

Following command will delete the record from the database, but if we immediately
performs ROLLBACK, then this deletion is undone.
For instance –
DELETE FROM Student
WHERE RollNo =2;
ROLLBACK;
Then the resultant table will be

RollNo Name

1 AAA
2 BBB
3 CCC
4 DDD
5 EEE

(3) SAVEPOINT : A SAVEPOINT is a point in a transaction when you can roll the
transaction back to a certain point without rolling back the entire transaction. The
SAVEPOINT can be created as
SAVEPOINT savepoint_name;
Then we can ROLLBACK to SAVEPOIT as
ROLLBACK TO savepoint_name;
For example – Consider Student table as follows –

RollNo Name

1 AAA
2 BBB
3 CCC
4 DDD
5 EEE

Fig.3.14.2 Student Table

Consider Following commands

SQL> SAVEPOINT S1
Database Management Systems 3 - 51 Transactions

SQL>DELETE FROM Student

Where RollNo=2;
SQL> SAVEPOINT S2
SQL>DELETE FROM Student
Where RollNo=3;
SQL> SAVEPOINT S3
SQL>DELETE FROM Student
Where RollNo=4
SQL> SAVEPOINT S4
SQL>DELETE FROM Student
Where RollNo=5
SQL> ROLLBACK TO S3;
Then the resultant table will be

RollNo Name

1 AAA
2 BBB
3 CCC
Thus the effect of deleting the record having RollNo 2, and RollNo3 is undone.
3.15 Isolation Levels
 The consistency of the database is maintained with the help of isolation
property(one of the property from ACID properties ) of transaction.
 The transaction should take place in a system in such a way that it is the only
transaction that is accessing the resources in a database system at particular
instance.
 Isolation levels defines the degree to which a transaction must be isolated from
the data modifications made by any other transaction in the database system.
 There are four levels of transaction isolation defined by SQL -
o Serializable :
 This is the Highest isolation level.
 Serializable execution is defined to be an execution of operations in which
concurrently executing transactions appears to be serially executing.
Database Management Systems 3 - 52 Transactions

o Repeatable Read :
 This is the most restrictive isolation level.
 The transaction holds read locks on all rows it references.
 It holds write locks on all rows it inserts, updates, or deletes.
 Since other transaction cannot read, update or delete these rows, it avoids non
repeatable read.
o Read Committed :
 This isolation level allows only committed data to be read.
 Thus it does not allows dirty read (i.e. one transaction reading of data
immediately after written by another transaction).
 The transaction hold a read or write lock on the current row, and thus prevent
other rows from reading, updating or deleting it.
o Read Uncommitted :
 It is lowest isolation level.
 In this level, one transaction may read not yet committed changes made by other
transaction.
 This level allows dirty reads.
In this level transactions are not isolated from each other.
3.16 SQL Facilities for Concurrency and Recovery AU : May-14, Marks 8

It is possible to achieve concurrency control and recovery using SQL statements.

Following is an illustration of implementation of isolation level
The different isolation levels can be set in SQL as follows
(1) READ UNCOMMITTED : It permits dirty reads, nonrepeatable reads, phantoms.
In SQL, we can write
SET TRANSACTION
ISOLATION LEVEL READ UNCOMMITTED
(2) READ COMMITTED : It permits nonrepeatable reads and phantoms, but
prohibits dirty reads
In SQL, we can write
SET TRANSACTION
ISOLATION LEVEL READ COMMITTED
(3) REPEATABLE READ : It permits phantoms, but not dirty reads, nor
nonrepeatable reads.
Database Management Systems 3 - 53 Transactions

In SQL, we can write

SET TRANSACTION
ISOLATION LEVEL REPEATABLE READ
(4) SERIALIZABLE : In this isolation level there is true two phase locking, and it
keeps all transactions serializable.
In SQL, we can write
SET TRANSACTION
ISOLATION LEVEL SERIALIZABLE
For example : Let us discuss the Implementation of READ COMMITTED isolation
level using SQL facilities.
Step 1 : Create Table
CREATE TABLE Emp(ID int,Name char(50),Salary int)
Step 2 : Insert values into the table
INSERT INTO Emp(ID,Name,Salary)
VALUES ( 1,'Sharda',1000)
INSERT INTO Emp(ID,Name,Salary)
VALUES( 2,'Ashwini',2000)
INSERT INTO Emp(ID,Name,Salary)
VALUES( 3,'Madhura',3000)
The Table will be
ID Name Salary
1 Sharda 1000
2 Ashwini 2000
3 Madhura 3000

Step 3 : In select query it will take only commited values of table. If any transaction is
opened and incompleted on table in others sessions then select query will wait till no
transactions are pending on same table. Read Committed is the default transaction
isolation level.
Session 1:
BEGIN TRAN
UPDATE emp SET Salary=999 WHERE ID=1
Database Management Systems 3 - 54 Transactions

WAITFOR DELAY '00:00:15'

COMMIT
Session 2 :
SET TRANSACTION ISOLATION LEVEL READ COMMITTED
SELECT Salary FROM emp WHERE ID=1
Step 4 : If we run above mentioned two sessions concurrently then
The output will be 999
Step 5 : Following SQL facilities demonstrate the REPEATABLE READ isolation level. In
this technique, select query data of table that is used under transaction of isolation level
"Repeatable Read" can not be modified from any other sessions till transaction is
completed.
Assume that we have already created database and inserted some values in it.
Session 1 :
SET TRANSACTION ISOLATION LEVEL REPEATABLE READ
BEGIN TRAN
SELECT * FROM emp WHERE ID IN(1,2)
WAITFOR DELAY '00:00:15'
SELECT * FROM Emp WHERE ID IN (1,2)
ROLLBACK
Session 2 :
UPDATE emp SET Salary=999 WHERE ID=1
If we run above two sessions concurrently, then Update command in session 2 will
wait till session 1 transaction is completed because emp table row with ID=1 has locked in
session1 transaction.

University Question

1. Write a note on – SQL facilities. AU : May-14, Marks 8

3.17 Two Marks Questions with Answers

Q.1 What is a transaction ? AU : May-04, Dec.05

Ans. : A transaction can be defined as a group of tasks that form a single logical unit.
Q.2 What does time to commit mean ? AU : May-04

Ans. :
 The COMMIT command is used to save permanently any transaction to database.
Database Management Systems 3 - 55 Transactions

 When we perform, Read or Write operations to the database then those changes
can be undone by rollback operations. To make these changes permanent, we
should make use of commit
Q.3 What are the various properties of transaction that the database system maintains to
ensure integrity of data. AU : Dec.-04

OR
Q.4 What are ACID properties ? AU : May-05,06,08,13,15,Dec.-07,14,17

Ans. : In a database, each transaction should maintain ACID property to meet the
consistency and integrity of the database. These are
(1) Atomicity (2) Consistency (3) Isolation (4) Durability
Q.5 Give the meaning of the expression ACID transaction. AU : Dec.-08

Ans. : The expression ACID transaction represents the transaction that follows the ACID
Properties.
Q.6 State the atomicity property of a transaction. AU : May-09,13

Ans. : This property states that each transaction must be considered as a single unit and
must be completed fully or not completed at all.
No transaction in the database is left half completed.
Q.7 What is meant by concurrency control ? AU : Dec.-15

Ans. : A mechanism which ensures that simultaneous execution of more than one
transactions does not lead to any database inconsistencies is called concurrency control
mechanism.
Q.8 State the need for concurrency control. AU : Dec.-17

OR
Q.9 Why is it necessary to have control of concurrent execution of transactions ? How is it
made possible ? AU : Dec.-02

Ans. : Following are the purposes of concurrency control –

o To ensure isolation :

o To resolve read-write or write-write conflicts :

o To preserve consistency of database :

Q.10 List commonly used concurrency control techniques. AU : Dec.-11

Ans. : The commonly used concurrency control techniques are –

i) Lock ii) Timestamp

iii) Snapshot Isolation
Database Management Systems 3 - 56 Transactions

Q.11 What is meant by serializability? How it is tested? AU : May-14,18, Dec.-14,16

Ans. : Serializability is a concept that helps to identify which non serial schedule and find
the transaction equivalent to serial schedule.
It is tested using precedence graph technique.
Q.12 What is serializable schedule ? AU : May-17

Ans. : The schedule in which the transactions execute one after the other is called serial
schedule. It is consistent in nature. For example : Consider following two transactions T1
and T2

T1 T2

R(A)
W(A)
R(B)
W(B)
R(A)
W(A)
R(B)
W(B)
All the operations of transaction T1 on data items A and then B executes and then in
transaction T2 all the operations on data items A and B execute. The R stands for Read
operation and W stands for write operation.
Q.13 When are two schedules conflict equivalent ? AU : Dec.-08

Ans. : Two schedules are conflict equivalent if :

 They contain the same set of the transaction.

 every pair of conflicting actions is ordered the same way.
For example –
Non Serial Schedule Serial Schedule

T1 T2 T1 T2

Read(A) Read(A)

Write(A) Write(A)

Read(A) Read(B)

Write(A) Write(B)

Read(B) Read(A)
Database Management Systems 3 - 57 Transactions

Write(B) Write(A)

Read(B) Read(B)

Write(B) Write(B)

Schedule S2 is a serial schedule because, in this, all operations of T1 are performed

before starting any operation of T2. Schedule S1 can be transformed into a serial schedule
by swapping non-conflicting operations of S1.
Hence both of the above the schedules are conflict equivalent.
Q.14 Define two phase locking. AU : May-13

Ans. : The two phase locking is a protocol in which there are two phases :
i) Growing Phase (Locking Phase) : It is a phase in which the transaction may obtain
locks but does not release any lock.
ii) Shrinking Phase (Unlocking Phase) : It is a phase in which the transaction may
release the locks but does not obtain any new lock.
Q.15 What is the difference between shared lock and exclusive lock? AU : May-18

Ans:

Shared Lock Exclusive Lock

Shared lock is used for when the transaction Exclusive lock is used when the transaction
wants to perform read operation. wants to perform both read and write operation.
Multiple shared lock can be set on a transactions Only one exclusive lock can be placed on a data
simultaneously. item at a time.
Using shared lock data item can be viewed. Using exclusive lock data can be inserted or
deleted.

Q.16 What type of lock is needed for insert and delete operations. AU : May-17

Ans. : The exclusive lock is needed to insert and delete operations.

Q.17 What benefit does strict two-phase locking provide ? What disadvantages result ?

AU : May-06, 07, Dec.-07

Ans. : Benefits :
1. This ensure that any data written by an uncommitted transaction are locked in
exclusive mode until the transaction commits and preventing other transaction from
reading that data .
2. This protocol solves dirty read problem.
Database Management Systems 3 - 58 Transactions

Disadvantage:
1. Concurrency is reduced.
Q.18 What is rigorous two phase locking protocol ? AU : Dec.-13

Ans. : This is stricter two phase locking protocol. Here all locks are to be held until the
transaction commits.
Q.19 Differentiate strict two phase locking and rigourous two phase locking protocol.
AU : May-16

Ans. :
 In Strict two phase locking protocol all the exclusive mode locks be held until the
transaction commits.
 The rigourous two phase locking protocol is stricter than strict two phase locking
protocol. Here all locks are to be held until the transaction commits.
Q.20 Define deadlock. AU : May-08,09,14

Ans. : Deadlock is a situation in which when two or more transactions have got a lock
and waiting for another locks currently held by one of the other transactions.
Q.21 List four conditions for deadlock. AU : Dec.-16

Ans. : 1. Mutual exclusion condition 2. Hold and wait condition 3.No preemption
condition 4.Circular wait condition
Q.22 Why is recovery needed ? AU : May-09

Ans. :
 A recovery scheme that can restore the database to the consistent state that
existed before the failure.
 Due to recovery mechanism, there is high availability of database to its users.


 UNIT - IV

Syllabus
RAID - File Organization - Organization of Records in Files - Indexing and Hashing - Ordered
Indices - B+ tree Index Files - B tree Index Files - Static Hashing - Dynamic Hashing - Query
Processing Overview - Algorithms for SELECT and JOIN operations - Query optimization using
Heuristics and Cost Estimation.

Contents
4.1 RAID......................................................................... May-07,15,16,17,
................................................................................. Dec.-06,13,14,15,16,........... Marks 16
4.2 File Organization ...................................................... Dec.-08, .............................. Marks 10
4.3 Organization of Records in File
4.4 Indexing and Hashing .............................................. Dec.-11,................................. Marks 6
4.5 Ordered Indices........................................................ Dec.-04, 08,15, May-06, .... Marks 10
4.6 B+ Tree Index Files .................................................. May-03, 06,16, Dec.-17, ... Marks 16
4.7 B Tree Index Files .................................................... May-08, Dec.-12,14, ........... Marks 16
4.8 Hashing .................................................................... Dec.- 04, 05, May-05, 14, ..... Marks 8
4.9 Static Hashing .......................................................... May-06, ................................. Marks 8
4.10 Dynamic Hashing ..................................................... May-04,07,18, Dec.-08,17 .. Marks 13
4.11 Query Processing Overview..................................... May-14, 16, 18, .................. Marks 16
4.12 Measure of Query Cost
4.13 Algorithms for SELECT Operation
4.14 Algorithms for JOIN Operation
4.15 Query Optimization using Heuristics
and Cost Estimation ................................................. Dec.-13, 16, May-15, ......... Marks 16
4.16 Two Marks Questions with Answers

(4 - 1)
Database Management Systems 4-2 Implementation Techniques

Part I : File Organization and Indexing

4.1 RAID AU : May-07,15,16,17, Dec.-06,13,14,15,16, Marks 16

 RAID stands for Redundant Array of Independent Disks. This is a technology in

which multiple secondary disks are connected together to increase the performance,
data redundancy or both.
 For achieving the data redundancy - in case of disk failure, if the same data is also
backed up onto another disk, we can retrieve the data and go on with the operation.
 It consists of an array of disks in which multiple disks are connected to achieve
different goals.
 The main advantage of RAID, is the fact that, to the operating system the array of
disks can be presented as a single disk.
Need for RAID
o RAID is a technology that is used to increase the performance.
o It is used for increased reliability of data storage.
o An array of multiple disks accessed in parallel will give greater throughput than a
single disk.
o With multiple disks and a suitable redundancy scheme, your system can stay up
and running when a disk fails, and even while the replacement disk is being
installed and its data restored.
Features
(1) RAID is a technology that contains the set of physical disk drives.
(2) In this technology, the operating system views the separate disks as a single logical
disk.
(3) The data is distributed across the physical drives of the array.
(4) In case of disk failure, the parity information can be helped to recover the data.

4.1.1 RAID Levels

Level : RAID 0
o In this level, data is broken down into blocks and these blocks are stored across all
the disks.
o Thus striped array of disks is implemented in this level. For instance in the
following figure blocks “A B” form a stripe.
Database Management Systems 4-3 Implementation Techniques

o There is no duplication of data in this level so once a block is lost then there is no
way recover it.
o The main priority of this level is performance and not the reliability.

Level : RAID 1
o This level makes use of mirroring. That means all data in the drive is duplicated to
another drive.
o This level provides 100% redundancy in case of failure.
o Only half space of the drive is used to store the data. The other half of drive is just
a mirror to the already stored data.
o The main advantage of this level is fault tolerance. If some disk fails then the other
automatically takes care of lost data.
Database Management Systems 4-4 Implementation Techniques

Level : RAID 2
o This level makes use of mirroring as well as stores Error Correcting Codes (ECC)
for its data striped on different disks.
o The data is stored in separate set of disks and ECC is stored another set of disks.
o This level has a complex structure and high cost. Hence it is not used
commercially.

Level : RAID 3
o This level consists of byte-level stripping with dedicated parity. In this level, the
parity information is stored for each disk section and written to a dedicated parity
drive.
o We can detect single errors with a parity bit. Parity is a technique that checks
whether data has been lost or written over when it is moved from one place in
storage to another.
o In case of disk failure, the parity disk is accessed and data is reconstructed from
the remaining devices. Once the failed disk is replaced, the missing data can be
restored on the new disk.
Database Management Systems 4-5 Implementation Techniques

Level : RAID 4
o RAID 4 consists of block-level stripping with a parity disk.
o Note that level 3 uses byte-level striping, whereas level 4 uses block-level striping.
Database Management Systems 4-6 Implementation Techniques

Level : RAID 5
o RAID 5 is a modification of RAID 4.
o RAID 5 writes whole data blocks onto different disks, but the parity bits generated
for data block stripe are distributed among all the data disks rather than storing
them on a different dedicated disk.

RAID : Level 6
o RAID 6 is a extension of Level 5
o RAID 6 writes whole data blocks onto different disks, but the two independent
parity bits generated for data block stripe are distributed among all the data
disks rather than storing them on a different dedicated disk.
o Two parities provide additional fault tolerance.
o This level requires at least four disks to implement RAID.
Database Management Systems 4-7 Implementation Techniques

The factors to be taken into account in choosing a RAID level are :

Monetary cost of extra disk-storage requirements.

1. Performance requirements in terms of number of I/O operations.
2. Performance when a disk has failed.
3. Performance during rebuild

University Questions
1. Explain what a RAID system is ? How does it improve performance and reliability. Discuss the level 3
and level 4 of RAID. AU : May-17, Marks (3+4+6)

2. Explain the concept of RAID. AU : Dec.-16, Marks 6, Dec.-14, Marks 8

3. Briefly explain RAID and RAID levels.
AU : Dec.-06, Marks 10, Dec.-13, May-15, 16, Marks 16
4. What is RAID ? List the different levels in RAID technology and explain its features.
AU : May-07, Dec.-15, Marks 8

4.2 File Organization AU : Dec.-08, Marks 10

 A file organization is a method of arranging records in a file when the file is stored on
disk.
 A file is organized logically as a sequence of records.
 Record is a sequence of fields.
 There are two types of records used in file organization (1) Fixed Length Record
(2) Variable Length Record.
Database Management Systems 4-8 Implementation Techniques

(1) Fixed Length Record

 A file where each records is of the same length is said to have fixed length records.
 Some fields are always the same length (e.g. PhoneNumber is always 10
characters).
 Some fields may need to be 'padded out' so they are the correct length.
 For example -
type Employee = record
EmpNo varchar(4)
Ename varchar(10)
Salary integer(5)
Phone varchar(10)
End

EmpNo EName Salary Phone

1111 AAA 1000 1111111111
2222 BBB 2000 2222222222
3333 CCC 3000 3333333333
4444 DDD 4000 4444444444
For instance the first record of example file can be stored as

1 1 1 1 A A A 1
0 0 0 1 1 1 1 1 1 1 1 1 1
Thus total 29 bytes are required to store.
Advantage :
 Access is fast because the computer knows where each record starts.
Disadvantage :
(1) Due to fixed size, some larger sized record may cross the block boundaries. That
means part of record will be stored in one block and other part of the record may be
stored in some another block. Thus we may require two block access for each read or
write.
(2) It is difficult to delete the record from this structure. If some intermediate record is
deleted from the file then the vacant space must be occupied by next subsequent
records.
 When a record is deleted,we could move the record that came after it into the space
formerly occupied by the deleted record. But this may require moving of multiple
records to occupy the vacant space. This is an undesirable solution to fill up the
vacant space of deleted records.
Database Management Systems 4-9 Implementation Techniques

 Another approach is to use a file header. At the beginning of the file, we allocate a
certain number of bytes as a file header. The header will contain information such as
address of the first record whose contents are deleted. We use this first record to store
the address of the second available record and so on. Thus the stored record addresses
are referred as pointer while the deleted records thus form a linked list which is called
as free list.
For example - Consider the employee record in a file is -

Emp No Ename Salary Phone

record 0 1111 AAA 1000 1111111111

record 1 2222 BBB 2000 2222222222
record 2 3333 CCC 3000 3333333333
record 3 4444 DDD 4000 4444444444
record 4 5555 EEE 5000 5555555555
record 5 6666 FFF 6000 6666666666
record 6 7777 GGG 7000 7777777777
The representation of records maintaining free list after deletion of record 1,3 and 5

 On insertion of a new record, we use the record pointed to by the header. We change
the header pointer to point to the next available record. If no space is available, we
add the new record to the end of the file.
Database Management Systems 4 - 10 Implementation Techniques

(2) Variable Length Record

 Variable-length records arise in a database in several ways:

(i) Storage of multiple record types in a file.
(ii) Record types that allow variable lengths for one or more fields.
(iii) Record types that allow repeating fields such as arrays or multisets.
 The representation of a record with variable-length attributes typically has two parts :
a) an initial part with fixed length attributes. This initial part of the record is
represented by a pair (offset, length). The offset denotes the starting address of the
record while the length represents the actual length of the length.
b) followed by data for variable length attributes.
 For example - Consider the employee records stored in a file as

record 0 1111 AAA 1000 1111111111

2222 BBB 2000 2222222222
record 1

record 2 3333 CCC 3000 3333333333

record 3 4444 DDD 4000 4444444444
record 4 5555 EEE 5000 5555555555
record 5 6666 FFF 6000 6666666666
record 6 7777 GGG 7000 7777777777

 The variable length representation of first record is,

 The figure also illustrates the use of a null bitmap, which indicates which attributes of
the record have a null value.
 The variable length record can be stored in blocks. A specialized structure called
slotted page structure is commonly used for organizing the records within a block.
This structure is as shown by following Fig. 4.2.1.
Database Management Systems 4 - 11 Implementation Techniques

Fig. 4.2.1

 This structure can be described as follows -

o At the beginning of each block there is a block header which contains -
 Total number of entries (i.e. records).
 Pointer to end of free list.
 Followed by an array of entries that contain size and location of each record.
o The actual records are stored in contiguous block. Similarly the free list is also
maintained as continuous block.
o When a new record is inserted then the space is allocated from the block of free
list.
o Records can be moved around within a page to keep them contiguous with no
empty space between them; entry in the header must be updated.

University Question
1. Describe different types of file organization. Explain using a sketch of each of the, with their advantages
and disadvantages. AU : Dec.-08, Marks 10

4.3 Organization of Records in File

There are three commonly used approaches of organizing records in file -

(1) Heap File Organization : Any record can be placed anywhere in the file where
there is a space. There is no ordering for placing the records in the file. Generally
single file is used.
(2) Sequential File Organization : Records are stored in sequential order based on
the value of search key.
Database Management Systems 4 - 12 Implementation Techniques

(3) Hashing File Organization : A hash function is used to obtain the location of the
record in the file. Based on the value returned by hash function, the record is
stored in the file.
4.3.1 Sequential File Organization
 The sequential file organization is a simple file organization method in which the
records are stored based on the search key value.
 For example – Consider following set of records stored according to the RollNo of
student. Note that we assume here that the RollNo is a search key.

Now if we want to insert following record

4 EEE
Then, we will insert it in sorted order of RollNo and adjust the pointers accordingly.

Fig. 4.3.1
 However, maintaining physical sequential order is very difficult as there can be
several insertions and deletions.
 We can maintain the deletion by next pointer chain.
 For insertion following rules can be applied -
o If there is free space insert record there.
Database Management Systems 4 - 13 Implementation Techniques

o If no free space, insert the record in an overflow block.

o In either case, pointer chain must be updated.
4.3.2 Multi-table Clustering File Organization
In a multitable clustering file organization, records of several different relations are
stored in the same file.
For example - Following two tables Student and Course
Sname Marks
Ankita 55
Ankita 67
Ankita 86
Prajkta 91

Sname Cname City

Ankita ComputerSci Chennai
Prajkta Electronics Pune

The multitable clustering organization for above tables is,

Ankita ComputerSci Chennai

Ankita 55

Ankita 67

Ankita 86

Prajkta Electronics Pune

Prajkta 91

This type of file organization is good for join operations such as Student Course.
This file organization results in variable size records.
The pointer chain can be added to the above records to keep track of address of next
record. It can be as shown in following Fig. 4.3.2
Database Management Systems 4 - 14 Implementation Techniques

Fig. 4.3.2

4.4 Indexing and Hashing AU : Dec.-11, Marks 10

 An index is a data structure that organizes data records on the disk to make the
retrieval of data efficient.
 The search key for an index is collection of one or more fields of records using which
we can efficiently retrieve the data that satisfy the search conditions.
 The indexes are required to speed up the search operations on file of records.
 There are two types of indices -
o Ordered Indices : This type of indexing is based on sorted ordering values.
o Hash Indices : This type of indexing is based on uniform distribution of values
across range of buckets. The address of bucket is obtained using the hash function.
 There are several techniques of for using indexing and hashing. These techniques are
evaluated based on following factors -
o Access Types : It supports various types of access that are supported efficiently.
o Access Time : It denotes the time it takes to find a particular data item or set items.
o Insertion Time : It represents the time required to insert new data item.
o Deletion Time : It represents the time required to delete the desired data item.
o Space overhead : The space is required to occupy the index structure. But
allocating such extra space is worth to achieve improved performance.
Example 4.4.1 Since indices speed query processing. Why might they not be kept on several
search keys? List as many reasons as possible. AU : Dec.-11, Marks 6

Solution : Reasons for not keeping several search indices include :

a. Every index requires additional CPU time and disk I/O overhead during inserts and
deletions.
b. Indices on non-primary keys might have to be changed on updates, although an index
on the primary key might not (as updates typically do not modify the primary key
attributes).
c. Each extra index requires additional storage space.
Database Management Systems 4 - 15 Implementation Techniques

d. For queries which involve conditions on several search keys, efficiency might not be
bad even if only some of the keys have indices on them.
Therefore database performance is improved less by adding indices when many
indices already exist.

4.5 Ordered Indices AU : Dec.-04, 08, 15, May-06, Marks 10

4.5.1 Primary and Clustered Indices

Primary Index :
 An index on a set of fields that includes the primary key is called a primary index. The
primary index file should be always in sorted order.
 The primary indexing is always done when the data file is arranged in sorted order
and primary indexing contains the primary key as its search key.
 Consider following scenario in which the primary index consists of few entries as
compared to actual data file.

Fig. 4.5.1 : Example of primary index

 Once if you are able to locate the first entry of the record containing block, other
entries are stored continuously. For example if we want to search a record for RegNo
11AS32 we need not have to search for the entire data file. With the help of primary
index structure we come to know the location of the record containing the RegNo
11AS30, now when the first entry of block 30 is located, then we can easily locate the
entry for 11AS32.
 We can apply binary search technique. Suppose there are n = 300 blocks in a main data
file then the number of accesses required to search the data file will be log2 n + 1 = (log2
300) + 1  9
 If we use primary index file which contains at the most n = 3 blocks then using binary
search technique, the number of accesses required to search using the primary index
file will be log2 n + 1 = (log2 3 ) + 1  3
Database Management Systems 4 - 16 Implementation Techniques

 This shows that using primary index the access time can be deduced to great extent.
Clustered Index :
 In some cases, the index is created on non-primary key columns which may not be
unique for each record. In such cases, in order to identify the records faster, we will
group two or more columns together to get the unique values and create index out of
them. This method is known as clustering index.
 When a file is organized so that the ordering of data records is the same as the
ordering of data entries in some index then say that index is clustered, otherwise it is
an unclustered index.
 Note that, the data file need to be in sorted order.
 Basically, records with similar characteristics are grouped together and indexes are
created for these groups.
 For example, students studying in each semester are grouped together. i.e.; 1st
semester students, 2nd semester students, 3rd semester students etc. are grouped.

Fig. 4.5.2 Clustered Index

4.5.2 Dense and Sparse Indices

There are two types of ordered indices :
1) Dense index :
 An index record appears for every search key value in file.
 This record contains search key value and a pointer to the actual record.
Database Management Systems 4 - 17 Implementation Techniques

 For example :

Fig. 4.5.3 : Dense index

2) Sparse index :
 Index records are created only for some of the records.
 To locate a record, we find the index record with the largest search key value less
than or equal to the search key value we are looking for.
 We start at that record pointed to by the index record, and proceed along the
pointers in the file (that is, sequentially) until we find the desired record.
 For example -

Fig. 4.5.4 : Sparse index

4.5.3 Single and Multilevel Indices

Single level indexing :
 A single-level index is an auxiliary file that makes it more efficient to search for a
record in the data file.
 The index is usually specified on one field of the file (although it could be specified on
several fields).
Database Management Systems 4 - 18 Implementation Techniques

 Each index can be in the following form.

Search Key Pointer to Record

 The index file usually occupies considerably less disk blocks than the data file because
its entries are much smaller.
 A binary search on the index yields a pointer to the file record.
 The types of single level indexing can be primary indexing, clustering index or
secondary indexing.
 Example : Following Fig. 4.5.5 represents the single level indexing -

Fig. 4.5.5 : Single level indexing

Database Management Systems 4 - 19 Implementation Techniques

Multilevel indexing :
 There is an immense need to keep the index records in the main memory so as to
speed up the search operations. If single-level index is used, then a large size index
cannot be kept in memory which leads to multiple disk accesses.
 Multi-level Index helps in breaking down the index into several smaller indices in
order to make the outermost level so small that it can be saved in a single disk block,
which can easily be accommodated anywhere in the main memory.
 The multilevel indexing can be represented by following Fig. 4.5.6

Fig. 4.5.6 Multilevel indexing

4.5.4 Secondary Indices
 In this technique two levels of indexing are used in order to reduce the mapping size
of the first level and in general.
 Initially, for the first level, a large range of numbers is selected so that the mapping
size is small. Further, each range is divided into further sub ranges.
 It is used to optimize the query processing and access records in a database with some
information other than the usual search key.
Database Management Systems 4 - 20 Implementation Techniques

 For example -

Fig. 4.5.7 Secondary Indexing

University Questions
1 Illustrate indexing and hashing techniques with suitable examples. AU : Dec.-15, Marks 8

[Note: For hashing technique : Refer section 4.8]

2. What is the use of an index structure and explain the concept of ordered indices. AU : Dec 04, Marks 8
3. What is the difference between primary index and secondary index ? AU : May 06, Marks 8
4 Explain the index schemas used in database systems AU : Dec.- 08, Marks 10

4.6 B+ Tree Index Files AU : May-03, 06,16, Dec.-17, Marks 16

 The B+ tree is similar to binary search tree. It is a balanced tree in which the internal
nodes direct the search.
 The leaf nodes of B+ trees contain the data entries.
Structure of B+ Tree

 The typical node structure of B+ node is as follows -

P1 K1 P2 K2 … Pn-1 Kn-1 Pn

 It contains up to n − 1 search-key values K1, K2, . . . , Kn−1, and n pointers P1, P2, . . . , Pn.
 The search-key values within a node are kept in sorted order; thus, if i < j, then Ki < Kj .
Database Management Systems 4 - 21 Implementation Techniques

 To retrieve all the leaf pages efficiently we have to link them using page pointers. The
sequence of leaf pages is also called as sequence set.
 Following Fig. 4.6.1 represents the example of B+ tree.

Fig. 4.6.1 B+ Tree

 The B+ tree is called dynamic tree because the tree structure can grow on insertion of
records and shrink on deletion of records.
Characteristics of B+ Tree
Following are the characteristics of B+ tree.

1) The B+ tree is a balanced tree and the operations insertions and deletion keeps the
tree balanced.
2) A minimum occupancy of 50 percent is guaranteed for each node except the root.
3) Searching for a record requires just traversal from the root to appropriate leaf.
4.6.1 Insertion Operation
Algorithm for insertion :
Step 1 : Find correct leaf L.
Step 2 : Put data entry onto L.

i) If L has enough space, done!

ii) Else, must split L (into L and a new node L2)
 Allocate new node
 Redistribute entries evenly
 Copy up middle key.
 Insert index entry pointing to L2 into parent of L.
Database Management Systems 4 - 22 Implementation Techniques

Step 3 : This can happen recursively

i) To split index node, redistribute entries evenly, but push up middle key. (Contrast
with leaf splits.)
Step 4 : Splits “grow” tree; root split increases height.

i) Tree growth: gets wider or one level taller at top.

Example 4.6.1 Construct B+ tree for following data. 30,31,23,32,22,28,24,29, where number
of pointers that fit in one node are 5.
Solution : In B+ tree each node is allowed to have the number of pointers to be 5. That
means at the most 4 key values are allowed in each node.
Step 1 : Insert 30,31,23,32. We insert the key values in ascending order.

Step 2 : Now if we insert 22, the sequence will be 22 , 23, 30, 31, 32. The middle key 30,
will go up.

Step 3 : Insert 28,24. The insertion is in ascending order.

Step 4 : Insert 29. The sequence becomes 22, 23, 24, 28, 29. The middle key 24 will go up.
Thus we get the B+ tree.
Database Management Systems 4 - 23 Implementation Techniques

Example 4.6.2 Construct B+ tree to insert the following (order of the tree is 3)
26,27,28,3,4,7,9,46,48,51,2,6
Solution : Order means maximum number of children allowed by each node. Hence
order 3 means at the most 2 key values are allowed in each node.
Step 1 : Insert 26, 27 in ascending order

Step 2 : Now insert 28. The sequence becomes 26,27,28. As the capacity of the node is full,
27 will go up. The B+ tree will be,

Step 3 : Insert 3. The partial B+ Tree will be,

Step 4 : Insert 4. The sequence becomes 3,4, 26. The 4 will go up. The partial B+ tree will
be -

Step 5 : Insert 7. The sequence becomes 4,7,26. The 7 will go up. Again from 4,7,27 the 7
will go up. The partial B+ Tree will be,
Database Management Systems 4 - 24 Implementation Techniques

Step 6 : Insert 9. By inserting 7,9, 26 will be the sequence. The 9 will go up. The partial B+
tree will be,

Step 7 : Insert 46. The sequence becomes 27,28,46. The 28 will go up. Now the sequence
becomes 9, 27, 28. The 27 will go up and join 7. The B+ Tree will be,

Step 8 : Insert 48. The sequence becomes 28,46,48. The 46 will go up. The B+ Tree will
become,

Step 9 : Insert 51. The sequence becomes 46,48,51. The 48 will go up. Then the sequence
becomes 28, 46, 48. Again the 46 will go up. Now the sequence becomes 7,27, 46. Now the
27 will go up. Thus the B+ tree will be
Database Management Systems 4 - 25 Implementation Techniques

Step 10 : Insert 2. The insertion is simple. The B+ tree will be,

Step 11 : Insert 6. The insertion can be made in a vacant node of 7(the leaf node). The final
B+ tree will be,
Database Management Systems 4 - 26 Implementation Techniques

4.6.2 Deletion Operation

Algorithm for deletion :
Step 1 : Start at root, find leaf L with entry, if it exists.
Step 2 : Remove the entry.
i) If L is at least half-full, done!
ii) If L has only d-1 entries,

 Try to re-distribute, borrowing keys from sibling.

(adjacent node with same parent as L).
 If redistribution fails, merge L and sibling.
Step 3 : If merge occurred, must delete entry (pointing to L or sibling) from parent of L.
Step 4 : Merge could propagate to root, decreasing height.
Example 4.6.3 Construct B+ Tree for the following set of key values
(2,3,5,7,11,17,19,23,29,31) Assume that the tree is initially empty and values are added in
ascending order. Construct B+ tree for the cases where the number of pointers that fit one node
is four. After creation of B+ tree perform following series of operations :
(a) Insert 9. (b) Insert 10. (c) Insert 8. (d) Delete 23. (e) Delete 19.
Solution : The number of pointers fitting in one node is four. That means each node
contains at the most three key values.
Step 1 : Insert 2, 3, 5.

Step 2 : If we insert 7, the sequence becomes 2, 3, 5, 7. Since each node can accommodate
at the most three key, the 5 will go up, from the sequence 2, 3, 5 , 7.
Database Management Systems 4 - 27 Implementation Techniques

Step 3 : Insert 11. The partial B+ tree will be,

Step 4 : Insert 17. The sequence becomes 5,7, 11,17. The element 11 will go up. Then the
partial B+ tree becomes,

Step 5 : Insert 19.

Step 6 : Insert 23. The sequence becomes 11,17,19,23. The 19 will go up.
Database Management Systems 4 - 28 Implementation Techniques

Step 7 : Insert 29. The partial B+ tree will be,

Step 8 : Insert 31. The sequence becomes 19,23,29, 31. The 29 will go up. Then at the upper
level the sequence becomes 5,11,19,29. Hence again 19 will go up to maintain the capacity
of node (it is four pointers= three key values at the most). Hence the complete B+ tree will
be,

(a) Insertion of 9 : It is very simple operation as the node containing 5,7 has one space
vacant to accommodate. The B+ tree will be,
Database Management Systems 4 - 29 Implementation Techniques

(b) Insert 10 : If we try to insert 10 then the sequence becomes 5,7,9,10. The 9 will go up.
The B+ tree will then become –

(c) Insert 8 : Again insertion of 8 is simple. We have a vacant space at node 5,7. So we just
insert the value over there. The B+ tree will be-

(d) Delete 23 : Just remove the key entry of 23 from the node 19,23. Then merge the
sibling node to form a node 19,29,31. Get down the entry of 11 to the leaf node.
Attach the node of 11,17 as a left child of 19.
Database Management Systems 4 - 30 Implementation Techniques

(e) Delete 19 : Just delete the entry of 19 from the node 19,29,31. Delete the internal node
key 19. Copy the 29 up as an internal node as it is an inorder successor node.

Merits of B+ Index Tree Structure

1. In B+ tree the data is stored in leaf node so searching of any data requires scanning
only of leaf node alone.
2. Data is ordered in linked list.
3. Any record can be fetched in equal number of disk accesses.
4. Range queries can be performed easily as leaves are linked up.
5. Height of the tree is less as only keys are used for indexing.
6. Supports both random and sequential access.
Demerits of B+ Index Tree Structure

1. Extra insertion of non leaf nodes.

2. There is space overhead.

University Questions
1 Explain the B+ tree indexes on multiple keys with suitable example. AU : Dec.-17, Marks 7

2 Briefly explain about B+ index file with example. AU : May-16, Marks 16

3. What are the merits and demerits of B+ tree index structures. AU : May-03, Marks 4

4. Describe structure of B+ tree and list the characteristics of B+ tree.

AU : May-03, Marks 6, May-06, Marks 8

4.7 B Tree Index Files AU : May-08, Dec.-12, 14, Marks 16

 B-tree indices are similar to B+-tree indices.

 The primary distinction between the two approaches is that a B-tree eliminates the
redundant storage of search-key values.
Database Management Systems 4 - 31 Implementation Techniques

 B-tree is a specialized multiway tree used to store the records in a disk.

 There are number of subtrees to each node. So that the height of the tree is relatively
small. So that only small number of nodes must be read from disk to retrieve an item.
The goal of B-trees is to get fast access of the data.
 A B-tree allows search-key values to appear only once (if they are unique), unlike a
B+-tree, where a value may appear in a nonleaf node, in addition to appearing in a leaf
node.

Fig. 4.7.1 B-Tree

Example 4.7.1 Create B tree of order 3 for following data: 20,10,30,15,12,40,50.
Solution : The B tree of order 3 means at the most two key values are allowed in each
node of B-Tree.

Step 1 : Insert 20,10 in ascending order

Step 2 : If we insert the value 30. The sequence becomes 10,20,30. As only two key values
are allowed in each node (being order 3), the 20 will go up.

Step 3 : Now insert 15.

Database Management Systems 4 - 32 Implementation Techniques

Step 4 : Insert 12. The sequence becomes 10, 12, 15. The middle element 12 will go up.

Step 5 : Insert 40

Step 6 : Insert 50. The sequence becomes 30,40,50. The 40 will go up. But again it forms
12,20,40 sequence and then 20 will go up. Thus the final B Tree will be,

This is the final B-Tree

Difference between B Tree and B+ Tree

B Trees B+ Trees
In a B-tree you can store both keys and data in In a B+ tree you have to store the data in the leaf
the internal and leaf nodes. nodes only.
It wastes space. It does not waste space.
The leaf node cannot store using linked list. The leaf nodes are connected using linked list.
Searching becomes difficult in B-tree as data Searching of any data in a B+ tree is very easy
cannot be found in the leaf node. because all data is found in leaf nodes.
The B-tree does not store redundant search key. The B-tree stores redundant search key.

University Questions
1. Explain detail about i) B+ tree index ii) B tree index files
AU : Dec.-14, Marks 16, May-08, Marks 10
2. Write down detailed notes on ordered indices and B-tree index files AU : Dec.-12, Marks 16
Database Management Systems 4 - 33 Implementation Techniques

4.8 Hashing AU : Dec.- 04, 05, May-05, 14, Marks 8

 Hash file organization method is the one where data is stored at the data blocks
whose address is generated by using hash function.
 The memory location where these records are stored is called as data block or bucket.
This bucket is capable of storing one or more records.
 The hash function can use any of the column value to generate the address. Most of
the time, hash function uses primary key to generate the hash index - address of the
data block.
 Hash function can be simple mathematical function to any complex mathematical
function.
 For example - Following figure represents the records of student can be searched
using hash based indexing. In this example the hash function is based on the age field
of the record. Here the index is made up of data entry k* which is actual data record.
For a hash function the age is converted to binary number format and the last two
digits are considered to locate the student record.

Fig. 4.8.1 : Hash based indexing

4.8.1 Basic Terms used in Hashing

1) Hash Table : Hash table is a data structure used for storing and retrieving data
quickly. Every entry in the hash table is made using Hash function.
2) Hash function :
 Hash function is a function used to place data in hash table.
 Similarly hash function is used to retrieve data from hash table.
 Thus the use of hash function is to implement hash table.
Database Management Systems 4 - 34 Implementation Techniques

For example : Consider hash function as key mod 5. The hash table of size 5.

3) Bucket : The hash function H(key) is used to map several dictionary entries in the
hash table. Each position of the hash table is called bucket.
4) Collision : Collision is situation in which hash function returns the same address
for more than one record.
For example :

5) Probe : Each calculation of an address and test for success is known as a probe.
6) Synonym : The set of keys that has to the same location are called synonyms. For
example - In above given hash table computation 25 and 55 are synonyms.
7) Overflow : When hash table becomes full and new record needs to be inserted
then it is called overflow.
For example -

Fig. 4.8.2 : Overflow situation

Database Management Systems 4 - 35 Implementation Techniques

University Questions

1 Write a note on hashing. AU : May-14, Dec.- 05, Marks 8

2 Describe hash file organization. AU : Dec.-04, May-05, Marks 8

4.9 Static Hashing AU : May-06, Marks 8

 In this method of hashing, the resultant data bucket address will be always same.
Index Stud_RollNo
0 34780
1 34781
2 34782
3 34783
4 34784
5 34785
6 34786
7 34787
8 34788
9 34789

 That means, if we want to generate

Index Stud_RollNo
address for Stud_RollNo = 34789.
0 34780
Here if we use mod 10 hash
1 34781 35111
function, it always result in the same
bucket address 9. There will not be 2 34782
any changes to the bucket address 3 34783
here. 4 34784
 Hence number of data buckets in 5 34785
the memory for this static hashing 6 34786
remains constant throughout. In
7 34787
our example, we will have ten data
8 34788
buckets in the memory used to store
the data. 9 34789
Table 4.9.1

 If there is no space for some data entry then we can allocate new overflow page, put
the data record onto that page and add the page to overflow chain of the bucket. For
example if we want to add the Stud_RollNo= 35111 in above hash table then as there
is no space for this entry and the hash address indicate to place this record at index 1,
we create overflow chain as shown in Table 4.9.1.
Database Management Systems 4 - 36 Implementation Techniques

Example 4.9.1 Why is hash structure not the best choice for a search key on which range of
queries are likely ? AU : May-06, Marks 8

Solution :

 A range query cannot be answered efficiently using a hash index, we will have to read
all the buckets.
 This is because key values in the range do not occupy consecutive locations in the
buckets, they are distributed uniformly and randomly throughout all the buckets.
Advantages of Static Hashing
(1) It is simple to implement.
(2) It allows speedy data storage.
Disadvantages of Static Hashing
There are two major disadvantages of static hashing :

1) In static hashing, there are fixed number of buckets. This will create a problematic
situation if the number of records grow or shrink.
2) The ordered access on hash key makes it inefficient.
4.9.1 Open Hashing
The open hashing is a form of static hashing technique. When the collision occurs, that
means if the hash key returns the same address which is already allocated by some data
record, then the next available data block is used to enter new record instead of
overwriting the old record. This technique is also called as linear probing. For example
Consider insertion of record 105 in the hash table below with the hash function h (key)
mod 10.
Index Stud_RollNo
0 10
1 1
2 22
3
4
5 55
6 106
7
8 88
9 19
Database Management Systems 4 - 37 Implementation Techniques

The 105 is probed at next empty data block as follows -

Index Stud_RollNo
0 10
1 1
2 22
3
4
5 55
6 106
7 105
8 88
9 19

Advantages :
1) It is faster technique.
2) It is simple to implement.
Disadvantages:
1) It forms clustering, as the record is just inserted to next free available slot.
2) If the hash table gets full then the next subsequent records can not be
accommodated.

4.10 Dynamic Hashing AU : May-04,07,18, Dec.-08,17, Marks 13

 The problem with static hashing is that it does not expand or shrink dynamically as
the size of the database grows or shrinks.

 Dynamic hashing provides a mechanism in which data buckets are added and
removed dynamically and on-demand.

 The most commonly used technique of dynamic hashing is extendible hashing.

4.10.1 Extendible Hashing
The extendible hashing is a dynamic hashing technique in which, if the bucket is
overflow, then the number of buckets are doubled and data entries in buckets are re-
distributed.
Database Management Systems 4 - 38 Implementation Techniques

Example of extendible hashing :

In extendible hashing technique the directory of pointers to bucket is used. Refer
following Fig. 4.10.1

Fig. 4.10.1 Extendible hashing

To locate a data entry, we apply a hash function to search the data we us last two
digits of binary representation of number. For instance binary representation of
32* = 10000000. The last two bits are 00. Hence we store 32* accordingly.
Insertion operation :
 Suppose we want to insert 20* (binary 10100). But with 00, the bucket A is full. So we
must split the bucket by allocating new bucket and redistributing the contents, across
the old bucket and its split image.
 For splitting, we consider last three bits of h(r).
 The redistribution while insertion of 20* is as shown in following Fig. 4.10.2
Database Management Systems 4 - 39 Implementation Techniques

Decimal Value Binary Value

32 100000
16 10000
1 0001
5 0101
29 011101
21 010101
10 01010
3 011
7 0111
15 01111
4 100
12 01100
20 010100

Fig. 4.10.2 : During insertion process

The split image of bucket A i.e. A2 and old bucket A are based on last two bits i.e. 00.
Here we need two data pages, to adjacent additional data record. Therefore here it is
necessary to double the directory using three bits instead of two bits. Hence,

 There will be binary versions for buckets A and A2 as 000 and 100.
 In extendible hashing, last bits d is called global depth for directory and d is called
local depth for data pages or buckets. After insetion of 20*, the global depth becomes
3 as we consider last three bits and local depth of A and A2 buckets become 3 as we
are considering last three bits for placing the data records. Refer Fig. 4.10.3.
(Note : Student should refer binary values given in Fig. 4.10.2, for understanding insertion
operation)
Database Management Systems 4 - 40 Implementation Techniques

Fig. 4.10.3 : After insertion of 20*

 Suppose if we want to insert 11*, it belongs to bucket B, which is already full. Hence
let us split bucket B into old bucket B and split image of B as B2.
 The local depth of B and B2 now becomes 3.
 Now for bucket B, we get and 1 = 001
11 = 10001
 For bucket B2, we get
5 = 101
29 = 11101
and 21 =10101

After insertion of 11* we get the scenario as follows,

Database Management Systems 4 - 41 Implementation Techniques

Fig. 4.10.4 : After insertion of 11*

Example 4.10.1 The following key values are organized in an extendible hashing technique.
1 3 5 8 9 12 17 28. Show the extendible hash structure for this file if the hash function is h(x) =
x mod 8 and buckets can hold three records. Show how extendable hash structure changes as the
result of each of the following steps :
Insert 2
Insert 24
Delete 5
Delete 12
Solution :
Step 1 : Initially we assume the hash function based on last two bits, of result of hash
function.
1 mod 8 = 1 = 001
3 mod 8 = 3 = 011
5 mod 8 = 5 = 101
Database Management Systems 4 - 42 Implementation Techniques

8 mod 8 = 0 = 000
9 mod 8 = 1 = 001
12 mod 8 = 4 = 100
17 mod 8 = 1 = 001
28 mod 8 = 4 = 100
The extendible hash table will be,

Hence we will extend the table by assuming the bit size as 3. The above indicated bucket
A will split based on 001 and 101.
Database Management Systems 4 - 43 Implementation Techniques

a) Insert 2 will be 2 mod 8 = 2 = 010. If we consider last two digits i.e. 10 then there is no
bucket. So we get,
Database Management Systems 4 - 44 Implementation Techniques

b) Insert 24 : 24 mod 8 = 0 = 000. The bucket in which 24 can be inserted is 8, 12, 28. But
as this bucket is full we split it in two buckets based on digits 000 100.
Database Management Systems 4 - 45 Implementation Techniques

c) Delete 5 : On deleting 5, we get one bucket pointed by 101 as empty. This will also
result in reducing the local depth of the bucket pointed by 001. Hence we get,
Database Management Systems 4 - 46 Implementation Techniques

(d) Delete 12 : We will simply delete 12 from the corresponding bucket there can not be
any merging of buckets on deletion. The result of deletion is as given below -
Database Management Systems 4 - 47 Implementation Techniques

Difference between Static and Dynamic Hashing

Sr. No. Static Hashing Dynamic Hashing

1. The number of buckets are fixed. The number of buckets are not fixed.

2. Chaining is used There is no need of chaining.

3. Open hashing and Closed hashing are Extendible hashing and linear hashing
forms of static hashing. are forms of dynamic hashing.
4. Space overhead is more. Minimum space overhead due to
dynamic nature.
5. As file grows the performance of static There is no degradation in performance
hash function decreases. when the file grows.
6. The bucket address table is not required. The bucket address table is required.

7. The bucket is directly accessed. The bucket address table is used to access
the bucket.
Database Management Systems 4 - 48 Implementation Techniques

University Questions
1. What is hashing? Explain static hashing and dynamic hashing with an example.
AU : May-18, Marks 13
2. Explain the distinction between static and dynamic hashing. Discuss the relative merits of each technique
in database applications. AU : Dec.-17, Marks 13
3. Describe briefly static and dynamic hashing. AU : May-04, Marks 8, Dec.-08, Marks 6
4. Explain various hashing techniques. AU : May-07, Marks 8

Part II : Query Processing

4.11 Query Processing Overview AU : May-14, 16, 18, Marks 16

 Query processing is a collection of activities that are involved in extracting data from
database.
 During query processing there is translation high level database language queries into
the expressions that can be used at the physical level of filesystem.
 There are three basic steps involved in query processing and those are –
1. Parsing and Translation
o In this step the query is translated into its internal form and then into relational
algebra.
o Parser checks syntax and verifies relations.
o For instance - If we submit the query as,
SELECT RollNo, name
FROM Student
HAVING RollNo=10
Then it will issue a syntactical error message as the correct query should be
SELECT RollNo, name
FROM Student
HAVING RollNo=10
Thus during this step the syntax of the query is checked so that only correct and verified
query can be submitted for further processing.

2. Optimization :
o During this process the query evaluation plan is prepared from all the relational
algebraic expressions.
o The query cost for all the evaluation plans is calculated.
o Amongst all equivalent evaluation plans the one with lowest cost is chosen.
Database Management Systems 4 - 49 Implementation Techniques

o Cost is estimated using statistical information from the database catalog, such as
the number of tuples in each relation, size of tuples, etc.
3. Evaluation
o The query-execution engine takes a query-evaluation plan,executes that plan, and
returns the answers to the query.
The above describe steps are represented by following Fig. 4.11.1 –

Fig. 4.11.1 Query processing

For example - If the SQL query is,
SELECT balance
FROM account
WHERE balance<1000
Step 1 : This query is first verified by the parser and translator unit for correct syntax. If
so then the relational algebra expressions can be obtained. For the above given queries
there are two possible relational algebra
(1)  balance<1000( balance(account))

(2) balance ( balance<1000 (account))

Step 2 :
Query Evaluation Plan : To specify fully how to evaluate a query, we need not only to
provide the relational-algebra expression, but also to annotate it with instructions
specifying how to evaluate each operation. For that purpose, using the order of evaluation
of queries, two query evaluation plans are prepared. These are as follows
Database Management Systems 4 - 50 Implementation Techniques

Fig. 4.11.2 Query evaluation plans

Associated with each query evaluation plan there is a query cost. The query optimization
selects the query evaluation plan having minimum query cost.
Once the query plan is chosen, the query is evaluated with that plan and the result of the
query is output.

University Questions

1. Briefly explain about query processing. AU : May-14, 16, Marks 16

2. What is query optimization? Outline the steps in query optimization. AU : May-18, Marks 13

4.12 Measure of Query Cost

 There are multiple possible evaluation plans for a query, and it is important to be able
to compare the alternatives in terms of their estimated cost and choose the best plan.
 There are many factors that contribute to query cost are -
o Disk access
o CPU time to execute the query
o Cost of communication in distributed and parallel database system.
 The cost of access data from disk is an important cost. Normally disk access is
relatively slow as compared to in-memory operations. Moreover, the CPU speed is
much faster than the disk speed. Hence the time spent in disk is relatively dominant
factor in query execution.
 Computing CPU access time is comparatively harder, hence we will not consider the
CPU time to execute the query.
 Similarly the cost of communication does not matter for simple large databases
present in the centralized database system.
 Typically disk access is the predominant cost and is also relatively easy to estimate,
taking into account:
o Number of seeks × average-seek-cost
o Number of blocks read × average-block-read-cost
o Number of blocks written × average-block-write-cost
Database Management Systems 4 - 51 Implementation Techniques

 Cost to write a block is greater than cost to read a block because data is read back after
being written to ensure that the write was successful.
 We use number of block transfers from disk and number of disk seeks to estimate
the Query cost.
 Let,
o b be the number to blocks
o S be the number of Seeks
o tT is average time required to transfer a block of data, in seconds
o tS is average block access time in seconds.
Then query cost can be computed using following formula b*tT+S*tS

4.13 Algorithms for SELECT Operation

For selection operation, the file scan is an important activity. Basically file scan is a
based on searching algorithms. These searching algorithms locate and retrieve the records
that fulfills a selection condition.
Let us discuss various algorithms used for SELECT Operation based in file scan
Algorithm A1 : Linear Search

 Scan each file block and test all records to see whether they satisfy the selection
condition
Cost = br block transfers + 1 seek
Where,
br denotes number of blocks containing records from relation r

 If selection is on a key attribute, can stop on finding record

Cost = (br/2) block transfers + 1 seek

 Advantages of Linear Search

o Linear search works even-if there is no selection condition specified.
o For linear search, there is no need to have records in the file in ordered form.
o Linear search works regardless of indices.
Algorithm A2 : Binary Search
 Applicable if selection is an equality comparison on the attribute on which file is
ordered.
 Assume that the blocks of a relation are stored contiguously.
 Cost estimate is nothing but the number of disk blocks to be scanned.
Cost of locating the first tuple by a binary search on the blocks = ⌈log2(br)⌉ × (tT + tS )
Database Management Systems 4 - 52 Implementation Techniques

Where,
br denotes number of blocks containing records from relation r
tT is average time required to transfer a block of data, in seconds
tS is average block access time, in seconds

 If there are multiple records satisfying the selection add transfer cost of the number of
blocks containing records that satisfy selection condition.
4.14 Algorithms for JOIN Operation
 JOIN operation is the most time consuming operation to process.
 There are Several different algorithms to implement joins
1. Nested-loop join
2. Block nested-loop join
3. Indexed nested-loop join
4. Merge-join
5. Hash-join
Choice of a particular algorithm is based on cost estimate.
Algorithm For Nested Loop Join
This algorithm is for computing r s
Let, r is called the outer relation and s the inner relation of the join.
for each tuple tr in r do begin
for each tuple ts in s do begin
test pair (tr,ts) to see if they satisfy the join condition 
if  is satisfied, then, add (tr , ts) to the result.
end
end
 This algorithm requires no indices and can be used with any kind of join condition.
 It is expensive since it examines every pair of tuples in the two relations.
 In the worst case, if there is enough memory only to hold one block of each relation,
the estimated cost is
 nr × bs + br block transfers, plus nr + br seeks
 If the smaller relation fits entirely in memory, use that as the inner relation
o Reduces cost to br + bs block transfers and 2 seeks
 For example - Assume the query CUSTOMERS ORDERS (with join attribute only
being CName)
Number of records of customer : 10000 order : 5000
Database Management Systems 4 - 53 Implementation Techniques

Number of blocks of customer : 400 order : 100

Formula Used :
(1) nr × bs + br block transfers,
(2) nr + br seeks

r is outer relation and s is inner relation.

With order as outer relation:
nr = 5000 bs = 400, br = 100
5000 × 400 + 100 = 2000100 block transfers and
5000 + 100 = 5100 seeks
With customer as the outer relation:
nr=10000, bs=100, br=400
10000 × 100 + 400 = 1000400 block transfers and
10000+400 =10400 seeks
If smaller relation (order ) fits entirely in memory, the cost estimate will be:
br + bs = 500 block transfers

Algorithm For Block Nested Loop Join

Variant of nested-loop join in which every block of inner relation is paired with every
block of outer relation.

This algorithm is for computing r ⋈ s

Let, r is called the outer relation and s the inner relation of the join.
for each block Br of r do
for each block Bs of s do
for each tuple tr in Br do begin
for each tuple ts in Bs do begin
test pair (tr , ts) to see if they satisfy the join condition 
if  is satisfied, then, add (tr , ts) to the result.
end
end
end
end
Worst case estimate: br × bs + br block transfers + 2 × br seeks
Each block in the inner relation s is read once for each block in the outer relation.
Best case : br + bs block transfers + 2 seeks
Database Management Systems 4 - 54 Implementation Techniques

(3) Merge Join

 In this operation, both the relations are sorted on their join attributes. Then merged
these sorted relations to join them.
 Only equijoin and natural joins are used.
 The cost of merge join is,
br + bs block transfers + ⌈br /bb⌉ + ⌈bs/bb⌉ seeks + the cost of sorting, if relations are
unsorted.
(4) Hash Join

 In this operation, the hash function h is used to partition tuples of both the relations.
 h maps A values to {0, 1, ..., n}, where A denotes the attributes of r and s used in the
join.
 Cost of hash join is :
3(br + bs ) + 4 × n block transfers + 2(⌈br /bb⌉ + ⌈bs/bb⌉) seeks
If the entire build input can be kept in main memory no partitioning is required
Cost estimate goes down to br + bs.

4.15 Query Optimization using Heuristics and Cost Estimation

AU : Dec. -13, 16, May-15, Marks 16

4.15.1 Heuristic Estimation

 Heuristic is a rule that leads to least cost in most of cases.
 Systems may use heuristics to reduce the number of choices that must be made in a
cost-based fashion.
 Heuristic optimization transforms the query-tree by using a set of rules that typically t
improve execution performance. These rules are
1. Perform selection early (reduces the number of tuples)
2. Perform projection early (reduces the number of attributes)
3. Perform most restrictive selection and join operations before other similar
operations (such as cartesian product).
 Some systems use only heuristics, others combine heuristics with partial cost-based
optimization.
Steps in Heuristic Estimation
Step 1 : Scanner and parser generate initial query representation
Step 2 : Representation is optimized according to heuristic rules
Step 3 : Query execution plan is developed
Database Management Systems 4 - 55 Implementation Techniques

For example : Suppose there are two relational algebra -

(1) city= “Pune” (cname Branch) Account Customer)

(2) cname(city=”Pune(Branch Account Customer))

The query evaluation plan can be drawn using the query trees as follows -

Fig. 4.15.1 Query evaluation plan

Out of the above given query evaluation plans, the Fig. 4.15.1 (b) is much faster than
Fig. 4.15.1 (a) because – in Fig. 4.15.1 (a) the join operation is among Branch, Account and
Customer, whereas in Fig. 4.15.1 (b) the join of (Account and Customer) is made with the
selected tuple for City=”Pune” . Thus the output of entire table for join operation is much
more than the join for some selected tuples. Thus we get choose the optimized query.

4.15.2 Cost based Estimation

 A cost based optimizer will look at all of the possible ways or scenarios in which a
query can be executed.
 Each scenario will be assigned a ‘cost’, which indicates how efficiently that query can
be run.
 Then, the cost based optimizer will pick the scenario that has the least cost and
execute the query using that scenario, because that is the most efficient way to run the
query.
 Scope of query optimization is a query block. Global query optimization involves
multiple query blocks.
 Cost components for query execution
o Access cost to secondary storage
o Disk storage cost
o Computation cost
Database Management Systems 4 - 56 Implementation Techniques

o Memory usage cost

o Communication cost
 Following information stored in DBMS catalog and used by optimizer
o File size
o Organization
o Number of levels of each multilevel index
o Number of distinct values of an attribute
o Attribute selectivity
 RDBMS stores histograms for most important attributes

University Questions

1. Explain query optimization with an example AU : Dec,-16, Marks 8

2. Discuss about the Join order optimization and Heuristic optimization algorithms.
AU : May-15, Marks 16
3. Give a detailed description about query processing and optimization. Explain the cost estimation of query
optimization. AU : Dec.-13, Marks 16

4.16 Two Marks Questions with Answers

Q.1 What is the need for RAID? AU : May-13

Ans. : Refer section 4.1

Q.2 Define Software and hardware RAID systems AU : May-16

Ans. : Hardware RAID : The hardware-based array manages the RAID
subsystem independently from the host. It presents a single disk per RAID array to
the host.

Software RAID : Software RAID implements the various RAID levels in the kernel
disk code. It offers the cheapest possible solution, as expensive disk controller
cards.

Q.3 What are ordered indices ? AU : June-09,Dec. -11,17, May-14

Ans. : This is type of indexing which is based on sorted ordering values. Various
ordered indices are primary indexing, secondary indexing.

Q.4 What are the two types of ordered indices ? AU : Dec.-06

Ans. : Two types of ordered indices are - Primary indexing and secondary indexing.
The primary indexing can be further classified into dense indexing and sparse indexing
and single level indexing and multilevel indexing.

Q.5 Give the comparison between ordered indices and hashing AU : Dec.-06
Database Management Systems 4 - 57 Implementation Techniques

Ans. :
(1) If range of queries are common, ordered indices are to be used.
(2) The buckets containing records can be chained in sorted order in case of ordered
indices.
(3) Hashing is generally better at retrieving records having a specified value of the
key.
(4) Hash function assigns values randomly to buckets. Thus, there is no simple notion
of “next bucket in sorted order.”
Q.6 What are the causes of bucket overflow in a hash file organization ?
Ans. : Bucket overflow can occur for following reasons -
(1) Insufficient buckets : For the total number of buckets there are insufficient
number of buckets to occupy.
(2) Skew : Some buckets are assigned more records than are others, so a bucket might
overflow even while other buckets still have space. This situation is known as
bucket skew.
Q.7 What can be done to reduce the occurrences of bucket overflows in a hash file
organization ? AU : May-07, June-09, Dce.-12
Ans. :
(1) A bucket is a unit of storage containing one or more records (a bucket is typically a
disk block).
(2) The file blocks are divided into M equal-sized buckets, numbered bucket0,
bucket1... bucketM-1. Typically, a bucket corresponds to one (or a fixed number
of) disk block.
(3) In a hash file organization we obtain the bucket of a record directly from its
search-key value using a hash function, h (K).
(4) To reduce overflow records, a hash file is typically kept 70-80% full.
(5) The hash function h should distribute the records uniformly among the buckets;
otherwise, search time will be increased because many overflow records will exist.
Q.8 Distinguish between dense and sparse indices. AU : May-08, June-09

Ans. : Refer section 4.5.2.

Q.9 When is it preferable to use a dense index rather than a sparse index ? Explain
your answer. AU : Dec. -11

Ans. :
1. It is preferable to use a dense index instead of a sparse index when the file is not
sorted on the indexed field.
2. Or when the index file is small compared to the size of memory.
Database Management Systems 4 - 58 Implementation Techniques

Q.10 How does B-tree differs from a B+ tree? Why is a B+ tree usually preferred as an
access structure to a data file? AU : Dec.-08

Ans. : Refer section 4.7.

Q.11 What are the disadvantages of B tree over B+ tree AU : Dec.-16

Ans. :
(1) Searching of a key value becomes difficult in B-tree as data can not be found in the
leaf node.
(2) The leaf node can not store linked list and thus wastes the space.

Q.12 Mention different hashing techniques. AU : May-12

Ans. : Two types of hashing techniques are –

i) Static hashing ii) Dynamic hashing.

Q.13 List the mechanisms to avoid collision during hashing AU : Dec.-16

Ans. : Collision Resolution techniques are :
(1) Separate chaining
(2) Open addressing techniques : (i) Linear probing (ii) Quadratic probing

Q.14 What is the basic difference between static hashing and dynamic hashing?
AU : May-13, 15, Dec.-14, 15

Ans. : Refer section 4.10.

Q.15 What is the need for query optimization?

AU : May - 15

Ans. : Query optimization is required for fast execution of long running complex
queries.

Q.16 Which cost component are used most commonly as the basis for cost function
AU : May-17

Ans. : Disk access or secondary storage access is considered most commonly as a

basis for cost function.

Q.17 What is query execution plan ?

AU : May-17

Ans. : To specify fully how to evaluate a query, we need not only to provide the
relational-algebra expression, but also to annotate it with instructions specifying how
to evaluate each operation. This annotated structure is called query execution plan.


 UNIT - V

Syllabus
Distributed Databases : Architecture, Data Storage, Transaction Processing - Object-based
Databases : Object Database Concepts, Object-Relational features, ODMG Object Model, ODL,
OQL - XML Databases : XML Hierarchical Model, DTD, XML Schema, XQuery - Information
Retrieval: IR Concepts, Retrieval Models, Queries in IR systems.

Contents
5.1 Architecture of Distributed Databases...................... May-03,14,16,17,
................................................................................. Dec.-04,07,16,17,................ Marks 16
5.2 Data Storage ............................................................ Dec.-04, May-06, .................. Marks 8
5.3 Transaction Processing............................................ Dec.-12,14, May-18, ............. Marks 8
5.4 Object Database Concepts ...................................... May-18 ................................ Marks 13
5.5 Object Relational Features....................................... Dec.-16,............................... Marks 13
5.6 ODMG Object Model
5.7 XML Hierarchical Mode
5.8 DTD .......................................................................... Dec.-16................................ Marks 15
5.9 XML Schema
5.10 XQuery ..................................................................... May-17 .................................. Marks 5
5.11 IR Concepts
5.12 Retrieval Models
5.13 Queries in IR Systems
5.14 Two Marks Questions with Answers

(5 - 1)
Database Management Systems 5-2 Advanced Topics

Part I : Distributed Databases

5.1 Architecture of Distributed Databases

AU : May-03,14,16,17, Dec.-04,07,16,17, Marks 16
Definition of Distributed Databases : A distributed database system consists of
loosely coupled sites(computer) that share no physical components and each site is
associated a database system.
The software that maintains and manages the working of distributed databases is
called distributed database management system.
The database system that run on each site is independent of each other. Refer Fig. 5.1.1.
The transactions can access data at one or more sites.

Fig. 5.1.1 Distributed Database System

Features of Distributed Database System
(1) The distributed databases appear as a single database to the user.
(2) Data is stored at different sites.
(3) The sites are interconnected by network.
(4) Different sites cooperate each other during transaction processing.
(5) Distributed database management system has full functionality of database
management system.
Advantages of Distributed Database System
(1) There is fast data processing as several sites participate in request processing.
(2) Reliability and availability of this system is high.
(3) It possess reduced operating cost.
(4) It is easier to expand the system by adding more sites.
(5) It has improved sharing ability and local autonomy.
Database Management Systems 5-3 Advanced Topics

Disadvantages of Distributed Database System

(1) The system becomes complex to manage and control
(2) The security issues must be carefully managed.
(3) The system require deadlock handling during the transaction processing otherwise
the entire system may be in inconsistent state.
(4) There is need of some standardization for processing of distributed database
system.
5.1.1 Homogeneous and Heterogeneous Databases
There are two types of distributed databases –
(1) Homogeneous Databases

 The homogeneous databases are kind of database systems in which all sites have
identical software running on them. Refer Fig. 5.1.2

Fig. 5.1.2 Homogeneous databases

 In this system, all the sites are aware of the other sites present in the system and
they all cooperate in processing user’s request.
 Each site present in the system, surrenders part of its autonomy in terms of right
to change schemas or software.
 The homogeneous database system appears as a single system to the user.
(2) Heterogeneous Databases
 The heterogeneous databases are kind of database systems in which different sites
have different schema or software. Refer Fig. 5.1.3.
Database Management Systems 5-4 Advanced Topics

Fig. 5.1.3 Heterogeneous databases

 The participating sites are not aware of other sites present in the system.
 These sites provide limited facilities for cooperation in transaction processing.

University Questions

1. What are the various features of distributed database versus centralized database system?
AU : Dec.-17, Marks 6, May-17, Marks 8

2. Explain the architecture of a distributed database. AU : Dec.-16, Marks 7

3. Explain about distributed databases and their characteristics, functions and advantages and
disadvantages. AU : Dec.-07, May-14, Marks 8, May-16, Marks 16

4. Explain design of distributed database. AU : Dec.-04, Marks 8

5. Discuss homogeneous and heterogeneous databases reference to distributed databases.

AU : May-03, Marks 8

5.2 Data Storage AU : Dec.-04, May-06, Marks 8

There are two approaches of storing relation r in distributed database –

(1) Replication : System maintains multiple copies of data, stored in different sites,
for faster retrieval and fault tolerance.
(2) Fragmentation : Relation is partitioned into several fragments stored in distinct
sites.
Database Management Systems 5-5 Advanced Topics

5.2.1 Data Replication

 Concept : Data replication means storing a copy or replica of a relation fragments
in two or more sites.
 There are two methods of data replication – (1) Full Replication (2) Partial
Replication.
o Full Replication : In this approach the entire relation is stored at all the sites.
In this approach full redundant databases are those in which every site
contains a copy of entire database.
o Partial Replication : In this approach only some fragments of relation are
replicated on the sites.
Advantages
(1) Availability : Data replication facilitates increased availability of data.
(2) Parallelism : Queries can be processed by several sites in parallel
(3) Faster Accessing : The relation r is locally available at each site, hence data
accessing becomes faster.
Disadvantages
(1) Increased cost of update : The major disadvantage of data replication is increased
cost of updated. That means each replica of relation r must be updated from all the
sites if user makes a request for some updates in relation.
(2) Increased complexity in concurrency control : It becomes complex to implement
the concurrency control mechanism for all the sites containing replica.
5.2.2 Data Fragmentation
 Concept : Data fragmentation is a division of relation r into fragments r1,r2, r3,…,rn
which contain sufficient information to reconstruct relation r.
 There are two approaches of data fragmentation – (1) Horizontal Fragmentation
and (2) Vertical Fragmentation.
o Horizontal Fragmentation : In this approach, each tuple of r is assigned to
one or more fragments. If relation R is fragmented in r1 and r2 fragments,
then to bring these fragments back to R we must use union operation. That
means R = r1 r2
o Vertical Fragmentation : In this approach, the relation r is fragmented based
on one or more columns. If relation R is fragmented into r1 and r2 fragments
using vertical fragmentation then to bring these fragments back to original
relation R we must use join operation. That means R = r1 r2

 For example – Consider following relation r

Student(RollNo, Marks,City)
Database Management Systems 5-6 Advanced Topics

The values in this schema are inserted as

RollNo Marks City

R101 55 Pune

R102 66 Chennai

R103 77 Mumbai
Fig. 5.2.1 Student Table
Horizontal Fragmentation 1 :
SELECT * FROM Student WHERE Marks >50 AND City=’Pune’
We will get

R101 55 Pune

Horizontal Fragmentation 2 :
SELECT * FROM Student WHERE Marks >50 AND City=’Mumbai’
We will get

R103 77 Mumbai

Vertical Fragmentation 1 :
SELECT * FROM RollNo

R101

R102

R103

Vertical Fragmentation 2 :
SELECT * FROM city

Pune

Chennai

Mumbai

University Questions
1. What are data fragmentations ? Explain various approaches for fragmenting a relation with example.
AU : May-06, Marks 6
2. Explain in detail various approaches used for storing a relation in distributed databases.

AU : Dec.-04, Marks 8
Database Management Systems 5-7 Advanced Topics

5.3 Transaction Processing AU : Dec.-12,14, May-18,Marks 8

In distributed system transaction initiated at one site can access or update data at other
sites. Let us discuss various basic concepts used during transaction processing in
distributed systems –
 Local and Global Transactions :
Local transaction Ti is said to be local if it is initiated at site Si and can access or update
data at site Si only.
Global transaction Ti initiated by site Si is said to be global if it can access or update
data at site Si, Sj,Sk and so on.
 Coordinating and Participating Sites :

The site at which the transaction is initiated is called coordinating site. The
participating sites are those sites at which the sub-transactions are executing. For example
– If site S1 initiates the transaction T1 then it is called coordinating site. Now assume that
transaction T1(initiated at S1) can access site S2 and S3. Then sites S2 and S3 are called
participating sites.

To access the data on site S2, the transaction T1 needs another transaction T12 on site
S2 similarly to access the data on site S3,the transaction T2 needs some transaction say T13
on site S3. Then transactions T12 and T13 are called sub-transactions. The above described
scenario can be represented by following Fig. 5.3.1.

Fig. 5.3.1

 Transaction Manager :

The transaction manager manages the execution of those transactions (or

subtransactions) that access data stored in a local site.
The tasks of transaction manager are –
Database Management Systems 5-8 Advanced Topics

(1) To maintain the log for recovery purpose.

(2) Participating in coordinating the concurrent execution of the transactions
executing at that site.
 Transaction Coordinator :
The transaction coordinator coordinates the execution of the various transactions (both
local and global) initiated at that site.
The tasks of Transaction coordinator are –
(1) Starting the execution of transactions that originate at the site.
(2) Distributing subtransactions at appropriate sites for execution
Let TC denotes the transaction coordinator and TM denotes the transaction manager,
then the system architecture can be represented as

Fig. 5.3.2 System Architecture

5.3.1 Two Phase Commit Protocol

 The atomicity is an important property of any transaction processing. What is this
atomicity property?? This property means either the transaction will execute
completely or it won’t execute at all.
 The Commit protocol ensures the atomicity across the sites in following ways –
i) a transaction which executes at multiple sites must either be committed at all the
sites, or aborted at all the sites.
ii) not acceptable to have a transaction committed at one site and aborted at
another
 There are two types of important sites involving in this protocol –
o One Coordinating Site
Database Management Systems 5-9 Advanced Topics

o One or more Participating sites

Two Phase Commit Protocol
This protocol works in two phases – i) Voting phase and ii) Decision Phase.
Phase 1 : Obtaining Decision or Voting Phase
Step 1 : Coordinator site Ci asks all participants to prepare to commit transaction Ti.
o Ci adds the records <prepare T> to the log and writes the log to stable
storage.
o It then sends prepare T messages to all participating sites at which T will get
executed

Fig. 5.3.3

Step 2 : Upon receiving message, transaction manager at participating site determines

if it can commit the transaction
o If not, add a record <no T> to the log and send abort T message to
coordinating site Ci. Even

Fig. 5.3.4

o If the transaction can be committed, then:

 add the record <ready T> to the log
 force all records for T to stable storage
 send ready T message to Ci
Database Management Systems 5 - 10 Advanced Topics

Fig. 5.3.5
Phase 2 : Recoding Decision Phase
 T can be committed of Ci received a ready T message from all the participating
sites : otherwise T must be aborted.
 Coordinator adds a decision record, <commit T> or <abort T>, to the log and forces
record onto stable storage. Once the record stable storage it is irrevocable (even if
failures occur)

 Coordinator sends a message to each participant informing it of the decision

(commit or abort)
 Participants take appropriate action locally.
Database Management Systems 5 - 11 Advanced Topics

Failure of Site
There are various cases at which failure may occur
(1) Failure of Participating Sites
 If any of the participating sites gets failed then when participating site Si recovers,
it examines the log entry made by it to take the decision about executing
transaction.
o If the log contains <commit T> record: participating site executes redo (T)
o If the log contains <abort T> record: participating site executes undo (T)
o If the log contains <ready T> record: participating site must consult
Coordinating site to take decision about execution of transaction T.
 If T committed, redo (T)
 If T aborted, undo (T)

 If the log of participating site contains no record then that means Si gets failed
before responding to Prepare T message from coordinating site. In this case it
must abort T
(2) Failure of Coordinator
 If coordinator fails while the commit protocol for T is executing then participating
sites must take decision about execution of transaction T :
i) If an active participating site contains a <commit T> record in its log, then T must
be committed.
ii) If an active participating site contains an <abort T> record in its log, then T must
be aborted.
iii) If some active participating site does not contain a <ready T> record in its log,
then the failed coordinator Ci cannot have decided to commit T. Can therefore
abort T.
iv) If none of the above cases holds, then all participating active sites must have a
<ready T> record in their logs, but no additional control records (such as <abort
T> of <commit T>). In this case active sites must wait for coordinator site Ci to
recover, to find decision.
Two phase locking protocol has blocking problem.
What is blocking Problem ?
It is a stage at which active participating sites may have to wait for failed coordinator
site to recover.
The solution to this problem is to use three phase locking protocol.
Database Management Systems 5 - 12 Advanced Topics

5.3.2 Three Phase Commit Protocol

 The three phase locking is an extension of two phase locking protocol in which
eliminates the blocking problem.
 Various assumptions that are made for three phase commit protocol are –
o No network partitioning.
o At any point at least one site must be up.
o At the most k sites(participating as well as coordinating ) can fail.

 Phase 1 : This phase is similar to phase 1 of two phase protocol. That means
Coordinator site Ci asks all participants to prepare to commit transaction Ti. The
coordinator then makes the decision about commit or abort based on the response
from all the participating sites.
 Phase 2 : In phase 2 coordinator makes a decision as in 2Phase Commit which is
called the pre-commit decision <Pre-commit, T> , and records it in multiple (at
least K) participating sites.
 Phase 3 : In phase 3, coordinator sends commit/abort message to all participating
sites.
 Under three phase protocol, the knowledge of pre-commit decision can be used to
commit despite coordinator site failure. That means if the coordinating site in case
gets failed then one of the participating site becomes the coordinating site and
consults other participating sites to know the Pre-commit message which they
possess. Thus using this pre-commit message the decision about commit/abort is
taken by this new coordinating site.
 This protocol avoids blocking problem as long as less than k sites fail.
Advantage of Three Phase commit protocol
(1) It avoid blocking problem
Drawbacks of Three Phase commit protocol
(1) The overhead is increased.

University Questions

1. Explain with diagrammatic illustration the architecture of a distributed database management system.
AU : May-18, Marks 5
2. Write short note on distributed transactions. AU : Dec.-14, Marks 8

3. Discuss in detail about two phase commit protocol. AU : Dec.-12, May 16, Marks 8
Database Management Systems 5 - 13 Advanced Topics

Part II : Object Based Databases

5.4 Object Database Concepts AU : May-18, Marks 13

 Traditional applications are designed for business applications such as inventory,

employee, university, bank, library, air-line reservation systems, and so on.
 These applications require relatively simple data types that are well suited to the
relational data model. But database systems were applied to a wider range of
applications, such as computer-aided design and geographical information
systems. Hence such systems require complex data type and processing.
 The object based database provide the solution to model the real world object and
their behavior. It is an alternative to relational database model.
5.4.1 Complex Data Types
 Complex data types have grown more important in recent years to model some
real world data attributes. For instance - Address can be viewed as a – i) Single
string, or ii) Separate attributes for each part or iii) Composite attributes.
 Normally it is also convenient to store multivalued attributes as-it is, without
creating a separate relation to store the values in first normal form.
 Complex data types can be used in the database applications such as –
o Computers Aided Design(CAD)
o Hypertext database
o Multimedia and image databases.

5.4.2 Object Oriented Data Model

 Object oriented paradigm encapsulate data and corresponding methods in a single
entity called object.
 The object oriented data model is a logical data model just like ER model. Loosely
object can be thought as an entity of E-R model.
 Object oriented data model helps in adapting object oriented paradigm to
database systems.
 In object oriented database, information is represented in the form of objects.
 Object oriented databases are exactly same as object oriented programming
languages. If we can combine the features of relational model (transaction,
concurrency, recovery) to object oriented databases, the resultant model is called
as object oriented database model.
Database Management Systems 5 - 14 Advanced Topics

 The core object oriented Data model consists of following object oriented
concepts –
o Object and Object Identifier : Any real world entity is modeled as object.
Associated with each object there is an unique ID maintained which is called
object identifier(OID). Object identifiers used to uniquely identify objects.
Object identifiers are unique. No two objects have the same identifier. each
object has only one object identifier.
o Attribute and method : Every object has state and behavior. The state is a set
of values for attributes of the object. The behavior is set of methods. For
example – Object named circle has state radius and computing its area is a
behavior.
o Class : Class is a means of grouping all the objects which share the same set
of attributes and methods. An object must belong to only one class as an
instance of that class (instance-of relationship). A class is similar to an abstract
data type.
o Class Hierarchy and Inheritance : The class hierarchy is used to represent the
Inheritance property of object oriented paradigm. The inheritance is a
mechanism in which a new class is derived from existing class.
5.4.2.1 Object Structure
 Object is a fundamental unit of object oriented programming in which data value
and code is encapsulated in a single unit.
 Conceptually all interactions among the objects and rest of the system are carried
out by using messages. Thus the interface among various objects and rest of the
system is messages. Messages can be implemented as procedure invocations.
 In general, an object has associated with it:
o A set of variables that contain the data for the object. The value of each
variable is itself an object.
o A set of messages to which the object responds.
o A set of methods, each of which is a body of code to implement each
message; a method returns a value as the response to the message.

 Methods are programs written in general-purpose language with the following

features -
o Only variables in the object itself may be referenced directly.
o Data in other objects are referenced only by sending messages.
o Methods can be read-only or update methods. Read-only methods do not
change the value of the object.
Database Management Systems 5 - 15 Advanced Topics

 For example – the object Circle can have methods such as compute_area()
5.4.2.2 Object Classes
 Similar objects are grouped into classes. In other words, object is an instance of a
class. For example
class Student {
/*variables*/
Int RollNo;
String Name;
String address;
/*Messages*/
String get_name();
String get_address();
Int get_RollNo();
}
Methods can be defined separately. For example
int get_rollNo()
{
Return RollNo;
}
5.4.2.3 Inheritance
In object oriented database schema, there can be large number of classes. Some classes
are similar and can be derived from old existing classes. The classes are placed into
specialization or Is-a hierarchy.
For example – Consider following ER model -

Fig. 5.4.1 Class Hierarchy

The class hierarchy can be defined in pseudo-code in which the variables associated
with each class are as follows
Database Management Systems 5 - 16 Advanced Topics

class Person
{
String name;
String address;
}
class Student isa Person //Inheritance: Deriving child class
{
int RollNo;
String Course_taken;
}
class Employee isa Person
{
date join-date;
int salary;
}
class Teacher isa Employee
{
String Subject;
}
class Accountant isa Employee
{
int office_no;
}
 The keyword isa is used to indicate that a class is a specialization of another class.
The specialization of a class are called subclasses. For example - Employee is a
subclass of Person. Conversely, Person is a superclass of class Employee.
 Class hierarchy and inheritance of properties from more general classes.
 The important benefit of using inheritance is code-reusability. This can be
achieved by means of substitutability property.
 Substitutability means any method of a class, say person, can be invoked equally
well with any object belonging to any subclass, such as subclass Teacher of
Person.
5.4.2.4 Multiple Inheritance
 In most cases, tree-structured organization of classes is adequate to describe
applications. In such cases, all superclasses of a class are ancestors of descendants
of another in the hierarchy. However, there are situations that cannot be
represented well in a tree-structured class hierarchy.
 To avoid the conflicts between two occurrences, we use multiple inheritance.
Database Management Systems 5 - 17 Advanced Topics

 Multiple inheritance is an ability of class to inherit variables from multiple super

classes. The class – subclass relationship is represented by directed acyclic
graph(DAG). For example –

Fig. 5.4.2 Multiple inheritance

 Handling name conflicts : When multiple inheritance is used, there is potential

ambiguity if the same variable or method can be inherited from more than one
superclass.
5.4.2.5 Object Identity
 For identifying the RDBMS record uniquely in the table, we use primary key
associated with it. In object oriented database management system we use Object
Id to identify the record.
 Associated with each object there is an unique ID maintained which is called
object identifier(OID).
 An object retains its identity even if some or all the values of the variables or
definitions of methods change over time.
 The concept of object identity does not apply to tuples of relational database. It is
a stronger notion of identity.
 The difference between primary of RDBMS and object ID of OODBMS is that
primary key is explicit; that means it is visible to the user whereas the object ID is
implicit; that means it is hidden from external world.
 It has several forms of identity :
o Value : The data value is used for identity. For example the primary key of
the tuple in a relational database.
Database Management Systems 5 - 18 Advanced Topics

o Name : The user supplied name is used for identity. For example file name
can be used for identity of object.
o Built-in : A notion of identity is built-into the data model or programming
languages, and no user-supplied identifier is required.

 Object identity is typically implemented via a unique, system-generated OID. The

value of the OID is not visible to the external user, but is used internally by the
system to identify each object uniquely and to create and manage inter-object
references.
5.4.2.6 Object Containment
The objects that contain another objects are called composite objects or complex
objects.
There can be multiple levels of object containment. These levels can be represented
using containment hierarchy.
For example - The following Fig. 5.4.3 represents the design of simple document The
document contains the text in the form of paragraphs. Each paragraph contains word.
Each word is made up of come characters.
Also note that there can be some size and style for each paragraph, word and each
character.

Fig. 5.4.3 Containment Hierarchy

Database Management Systems 5 - 19 Advanced Topics

 The links between classes must be interpreted as is-part-of, rather than the is-a
interpretation of links in an inheritance hierarchy.
 Containment allows data to be viewed at different granularities by different users.
For example - document can be viewed by a reader for simply reading purpose,
the size and style of paragraphs can be viewed by DTP operator or proof editor
for editing purpose.
 The containment hierarchy can be used to find all object contained in document
object.
 In certain applications, an object may be contained in several objects. In such
cases, the containment relationship is represented by a DAG rather than by a
hierarchy.
5.4.3 Object Oriented Languages
 The expression of object-orientation can be done in one of two ways –
1. The concepts of object-orientation can be used purely as a design tool, and are
encoded into, For example - a relational database. Example - ER modeling.
2. The concepts of object-orientation are incorporated into a language that is
used to manipulate the database.
 There are several possible languages into which the concepts can be integrated.
o Object-relational systems - Add complex types and object-orientation to
relational language.
o Persistent programming languages - Extend object-oriented programming
language to deal with databases by adding concepts such as persistence and
collections
5.4.4 Persistent Programming Languages
 Persistent Programming languages allow objects to be created and stored in a
database, and used directly from a programming language.
 The persistent data is a data that continue to exist even after the program that
created it has terminated.
 The persistent programming language allows data to be manipulated directly
from the programming language and there is no need to go through SQL.
 Using persistent programming language, the format changes are carried out
transparently by system.
 Without a persistent language format changes becomes a burden on the
programmer. As it may cause more code to be written.
 This language allows objects to be manipulated in-memory.
Database Management Systems 5 - 20 Advanced Topics

Drawbacks
 If the programming errors occur then it might damage the database system.
 Due to complexity of programming languages, high level of optimization can not
be achieved.
 It does not support declarative query as well as relational database.
5.4.4.1 Persistence of Object
Persistence of object can be achieved by following approaches –

(1) Persistence by Class : Declare all objects of the class to be persistent to achieve the
persistence of the objects.
(2) Persistence by Creation : Introduce new syntax to create persistent objects.
(3) Persistence by marking : An object that is to persist beyond program execution is
marked as persistent before program termination.
(4) Persistence by Reference : One or more objects can be explicitly declared as (root)
persistent objects. All other objects are persistent if they are referred, directly or
indirectly, from a root persistent object.
Thus it is easy to make the entire data structure persistent by merely declaring the root
of the structure as persistent.
5.4.4.2 Object Identity and Pointers
 A persistent object is assigned a persistent object identifier.
 There are several degrees of permanence of object identity
o Intraprocedure : Identity persists only during the execution of a single
procedure, e.g., local variables within procedures.
o Intraprogram : Identity persists only during the execution of a single program
or query, e.g., global variables in programming languages, and main memory
or virtual memory pointers.
o Interprogram : Identity persists from one program execution to another, e.g.,
pointers to file system data on disk but may change if the way data is stored
in the file system is changed.
o Persistent : Identity persists not only among program executions but also
among structural reorganizations of the data. This is the persistent form of
identity required for object-oriented systems.

 In persistent extension of C++, object identifiers are implemented as “persistent

pointers'' which can be viewed as a pointer to an object in the database.
5.4.4.3 Storage and Access of Persistent Objects
 Storage : The storage of code can data of persistent object can be done as follows
Database Management Systems 5 - 21 Advanced Topics

o The source code that implements the methods should be stored in the
database as a part of the schema, along with type definition.
o The data is stored individually for each object.

 Access : For finding the persistent objects –

o Give names to objects like we give names to files. But it works only for small
sets of objects.
o Expose object identifiers(OID) or persistent pointers to the objects.
o Store the collections of object and allow programs to iterate over the
collections to find required objects. The collections can be modeled as objects
of a collection type.

University Question

1. Explain the necessary characteristics a system must satisfy to be considered as an object oriented
database management system. AU : May-18, Marks 13

5.5 Object Relational Features AU : Dec.-16, Marks 13

The relational model with object database enhancement is called as object relational
model.
Following are some object database features that can be included in SQL

(1) For specifying the complex objects some type constructors can be added. For
example – row type corresponds to tuple in the schema, array type is for
specifying the collection. Some other types of constructors are set, list, and bag.
(2) The mechanism of for specifying the object identity through the use of reference
type is be included.
(3) The relationships can be specified using reference.
(4) Encapsulation of operation is provided through the mechanism of user defined
types(UDT). Similarly the concept of user defined routines allow the definition of
general methods.
(5) The mechanism of inheritance can be provided using the keyword UNDER.
Example 5.5.1 Suppose that you have been hired as a consultant to choose a database system
for your client's application. For each of the following, applications, state what type of
database system (relational, persistent programming language-based OODB, object
relational; do not specify a commercial product) you would recommend. Justify your
recommendation.
(i) A computer-aided design system for a manufacturer of airplanes.
(ii) A system to track contributions made to candidates for public office.
(iii) An information system to support the making of movies. AU : Dec.-16, Marks 13
Database Management Systems 5 - 22 Advanced Topics

Solution :

(i) A Computer-Aided Design (CAD) system for a manufacturer of airplanes

o An OODB system would be suitable for this.
o That is because CAD requires complex data types, and being computation
oriented, CAD tools are typically used in a programming language
environment needing to access the database.
(ii) A system to track contributions made to candidates for public office
o A relational system would be used for this.
o Because data types are expected to be simple, and it requires a powerful
querying mechanism.

(iii) An information system to support the making of movies

o For this system, will be extensive use of multimedia and other complex data
types. But queries are probably simple.
o Hence an object relational system can be used to model this type of system.

5.6 ODMG Object Model

 The ODMG stands for Object Database Management Group.
 This group has come up with the specification for using object oriented database
in specific manner. This specification id popularly known as ODMG object Model.
 The ODMG specification has three parts -

ODL : The Object Definition Language is similar to Data Definition Language(DDL) in

SQL.
OQL : The object Query Language is similar to the concept of Data Manipulation
Language(DML) but it provides the support for SQL SELECT and JOIN form of queries
and does not provide support for SQL INSERT, UPDATE and DELETE.
OML : It is an extension to OQL but it is in generalized form that can be used in object
oriented languages. It is language specific. It provides support for SQL INSERT, UPDATE
or DELETE operations.
Database Management Systems 5 - 23 Advanced Topics

5.6.1 ODL
(1) Declaring Classes Using ODL
For declaring classes using ODL we need to use –

(i) keyword interface

(ii) The name of the class
(iii) The list of attributes of the class declared using the keyword attribute
For example –
interface Student
{
attribute integer RollNo;
attribute string Name;
attribute string address;
attribute string course_id;
};

(2) Declaring Relationships

The SQL makes use of foreign key concept to establish relationships between two
tables. In the similar manner ODL makes use of keyword relationship to declare the
relationship among two relational schema.
Suppose we have two classes namely X and Y. While declaring class X we want to
establish relationship with class Y then we add following statement in class X
relationship Y x_y_relation;
where x_y_relation is a name of relationship.
Thus class X is linked with class B.
For example –
interface Student
{
attribute integer RollNo;
attribute string Name;
attribute string address;
attribute string course_id;
relationship Course Stud_Course_rel;
};
(3) Declaring Key
As we know that the keys are used to identify the tuple in the relationship. Some of the
attribute(column) can be declared as a key to identify the record uniquely. In ODL we use
the keyword key to make particular attribute a key.
Database Management Systems 5 - 24 Advanced Topics

For example -
interface Student(Key RollNo)
{
attribute integer RollNo;
attribute string Name;
attribute string address;
attribute string course_id;
};

5.6.2 OQL
 Object Query Language (OQL) is a query language standard for object-oriented
databases modeled after SQL.
 The following rules apply to OQL statements
(1) All complete statements must be terminated by a semi-colon.
(2) A list of entries in OQL is usually separated by commas but not terminated
by a comma(,).
(3) Strings of text are enclosed by matching quotation marks.
 Basic From of OQL: SELECT, FROM, WHERE
Syntax
SELECT <list of values>
FROM <list of collections and variable assignments>
WHERE <condition>
Where the SELECT clause extracts those elements of a collection meeting a specific
condition. By using the keyword DISTINCT duplicated elements in the resulting
collection get eliminated. Collections in FROM can be either extents (persistent names -
sets) or expressions that evaluate to a collection (a set).
Example : Give the names of people who are older than 30 years old:
SELECT SName: p.name
FROM p in People
WHERE p.age > 30
DOT notations and Path expressions
We use the dot notation and path expressions to access components of complex values.
For example
ta.salary -> real
t.students -> set of tuples of type tuple(name: string, fee: real) representing students
t.salary -> real
Database Management Systems 5 - 25 Advanced Topics

Part III : XML Databases

5.7 XML Hierarchical Model

 XML stands for eXtensible Markup Language.
 This scripting language is similar to HTML. That means, this scripting language
contains various tags. But these tags are not predefined tags, in-fact user can
define his own tags.
 Thus HTML is designed for representation of data on the web page whereas the
XML is designed for transport or to store data.
 There are two key components in XML document - Element and Attribute.

(1) Element
o In XML the basic entity is element. The elements are used for defining the
tags. The elements typically consist of opening and closing tag. Mostly only
one element is used to define a single tag.
o The syntax of writing any element for opening tag is
<element name>
o The syntax of writing any closing element for closing tag is
</element name >
o For example -
o <Student> I am learning Computer Engineering </Student>
o Every XML must have a single root element.
o The other elements are called the container elements. There can be one or
more elements inside the container elements such elements are called the
child elements.
o An empty tag can be defined by putting a / (forward slash) before closing
bracket.
o For example -
<Student/>
Database Management Systems 5 - 26 Advanced Topics

XML Document
<Person>  Root Element
<Personal-Info>  Container Element
<Name>Anuradha</Name>  Child Element
<City> Pune</City>
</Personal-Info>
<Hobby>
<first>Reading</first>
<second>Programming</second>
<third>Singing</third>
</Hobby>
</Person>
The above XML document can be represented as

Fig. 5.7.1 Sample tree model or hierarchical model

That is why XML is called Tree model or hierarchical model.
(2) Attribute
 The attributes must be enclosed within double quotes or a single quote.
 For example -
<Person flag="true">  attribute
<name>Parth</name>
<grade>B</grade>
</Person>

5.7.1 Types of XML Documents

There are three main types of XML documents –
(1) Data Centric XML documents :
o These documents have many small data items that follow specific structure.
Hence data can be extracted from specific structure.
o These documents follow predefined schema that defines tag names.
(2) Document Centric XML documents
o These are type of XML documents that contain large amounts of text, such as
articles of book.
o There are very few or no structured data elements in these documents.
Database Management Systems 5 - 27 Advanced Topics

(3) Hybrid XML documents

o These documents contain the parts that contain unstructured data.
o These documents may or may not have predefined schema.
XML documents that do not follow predefined schema of element names and
corresponding tree structure are known as schemaless XML Documents
5.8 DTD AU : Dec.-16, Marks 15

 The DTD stands for Document Type Definition.

 The document type definition is used to define the basic building block of any xml
document.
 Using DTD we can specify the various elements types, attributes and their
relationship with one another.
 Basically DTD is used to specify the set of rules for structuring data in any XML
file.
 For example : If we want to put some information about some students in XML
file then, generally we use tag student followed by his/her name, address,
standard and marks. That means we are actually specifying the manner by which
the information should be arranged in the XML file. And for this purpose the
Document Type Definition is used.
 Various building blocks of XML are -
1. Elements
The basic entity is element. The elements are used for defining the tags. The elements
typically consist of opening and closing tag. Mostly only one element is used to define a
single tag.
2. Attribute
The attributes are generally used to specify the values of the element. These are
specified within the double quotes.
For example -
<flag type="True">
The type attribute of the element flag is having the value True.
3. CDATA
CDATA stands for character data. This character data will be parsed by the parser.
4. PCDATA
It stands for Parsed Character Data (i.e. text). Any parsable character data should not
contain the markup characters. The markup characters are < or > or &. If we want to use
less than, greater than or ampersand characters then make use of &lt; , &gt; or &amp;
Database Management Systems 5 - 28 Advanced Topics

Example
Consider following xml document -
<?xml version="1.0" encoding="UTF-8"?>
<!DOCTYPE student [
<!ELEMENT student (name,address,std,marks)>
<!ELEMENT name (#PCDATA)>
<!ELEMENT address (#PCDATA)>
<!ELEMENT std (#PCDATA)>
<!ELEMENT marks (#PCDATA)>
]>
<student>
<name> Anand</name>
<address>Pune</address>
<std>Second</std>
<marks>70 percent</marks>
</student>
Output

Example 5.8.1 : Create a DTD for a catalog of four stroke motorbikes, where each motor bike has
the following child elements -make, model, year, colo, engine, chasis number and
accessories. The engine element has the child elements engine number, number of cylinders,
type of fuel. The accessories element has the attributes like disc brake,auto-start and radio,
each of which is required and has the possible values yes and no.
Solution :

automobile.dtd
<!ELEMENT Catalog (MotorBike)*>
<!ELEMENT MotorBike (make, model, year,color, engine,chasis-num,accessories ) >
<!ELEMENT make (#PCDATA)>
<!ELEMENT model (#PCDATA)>
<!ELEMENT year (#PCDATA)>
Database Management Systems 5 - 29 Advanced Topics

<!ELEMENT color (#PCDATA)>

<!ELEMENT engine (engin-num,cylinders-num,fuel-type)>
<!ELEMENT chasis-num (#PCDATA)>
<!ELEMENT accessories (#PCDATA)>
<!ATTLIST accessories disc-brake (yes|no) #REQUIRED
auto-start (yes|no) #REQUIRED
radio (yes|no) #REQUIRED>

Example 5.8.2 : Give the DTD or XML Schema for an XML representation of the following
nested-relational schema :
Emp = (ename, ChildrenSet setof(Children), SkillsSet setof(Skills))
Children = (name, Birthday)
Birthday = (day, month, year)
Skills = (type, ExamsSet setoff(Exams))
Exams = (year, city). AU : Dec.-16, Marks 15

Solution : The DTD can be as given below

<!DOCTYPE db [
<!ELEMENT emp (ename, children*, skills*)>
<!ELEMENT children (name, birthday)>
<!ELEMENT birthday (day, month, year)>
<!ELEMENT skills (type, exams+)>
<!ELEMENT exams (year, city)>
<!ELEMENT ename( #PCDATA )>
<!ELEMENT name( #PCDATA )>
<!ELEMENT day( #PCDATA )>
<!ELEMENT month( #PCDATA )>
<!ELEMENT year( #PCDATA )>
<!ELEMENT type( #PCDATA )>
<!ELEMENT city( #PCDATA )>
]>
Merits of DTD
1. DTDs are used to define the structural components of XML document
2. These are relatively simple and compact.
3. DTDs can be defined inline and hence can be embedded directly in the XML
document.
Demerits of DTD
1. The DTDs are very basic and hence cannot be much specific for complex
documents.
2. The language that DTD uses is not an XML document. Hence various frameworks
used by XML cannot be supported by the DTDs.
Database Management Systems 5 - 30 Advanced Topics

3. The DTD cannot define the type of data contained within the XML document.
Hence using DTD we cannot specify whether the element is numeric, or string or
of date type.
4. There are some XML processor which do not understand DTDs.

5.9 XML Schema

 The XML schemas are used to represent the structure of XML document.
 The goal or purpose of XML schema is to define the building blocks of an XML
document. These can be used as an alternative to XML DTD.
 The XML schema language is called as XML Schema Definition (XSD) language.
 XML schema defines elements, attributes, elements having child elements, order
of child elements. It also defines fixed and default values of elements and
attributes.
 XML schema also allows the developer to use data types.
How to write a simple schema ?
Step 1 : We will first write a simple xsd file in which the desired structure of the XML
document is defined. I have named it as StudentSchema.xsd
This file contains the complex type with four child simple type elements.
XML Schema [StudentSchema.xsd]
<?xml version="1.0"?>
<xs:schema xmlns:xs="http://www.w3.org/2001/XMLSchema">
<xs:element name="Student">
<xs:complexType>
<xs:sequence>
<xs:element name="name" type="xs:string"/>
<xs:element name="address" type="xs:string"/>
<xs:element name="std" type="xs:string"/>
<xs:element name="marks" type="xs:string"/>
</xs:sequence>
</xs:complexType>
</xs:element>
</xs:schema>
Script Explanation :
1) The xs is qualifier used to identify the schema elements and types.
2) The document element of schema is xs:schema. The xs:schema is the root element.
It takes the attribute xmlns:xs which has the value
http://www.w3.org/2001/XMLSchema. This declaration indicates that document
should follow the rules of XML schema. The XML schema rules are defined by the
W3 recommendation in year 2001.
Database Management Systems 5 - 31 Advanced Topics

3) Then comes xs:element which is used to define the xml element. In above case the
element Student is of complex type who have four child elements : name, address,
std and marks. All these elements are of simple type string.
Step 2 : Now develop XML document in which the desired values to the XML
elements can be given. I have named this file as MySchema.xml
XML Document [MySchema.xml]
<?xml version="1.0" encoding="UTF-8"?>
<Student xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance"
xsi:noNamespaceSchemaLocation="StudentSchema.xsd">
<name>Anand</name>
<address>Pune</address>
<std>Second</std>
<marks>70 percent</marks>
</Student>
Script Explanation :
1) In above XML document, the first line is typical in which the version and encoding
is specified.
2) There is xmlns:xsi attribute of document which indicates that XML document is an
instance of XML schema. And it has come from the namespace
“http://www.w3.org/2001/XMLSchema-instance.”
3) To tie this XML document with the some Schema definition we use the attribute
xsi:noNamespace SchemaLocation. The value that can be passed to this attribute
is the name of xsd file “StudentSchema.xsd”.
4) After this we can define the child elements.
Step 3 : See the output in the browser window as follows -
Database Management Systems 5 - 32 Advanced Topics

Advantages of schema
1. The schemas are more specific.
2. The schema provide the support for data types .
3. The XML schema is written in XML itself and has a large number of built in and
derived types.
4. The XML schema is the W3C recommendation. Hence it is supported by various
XML validator and XML processors.
Disadvantages of schema
1. The XML schema is complex to design and hard to learn.
2. The XML document cannot be if the corresponding schema file is absent.
3. Maintaining the schema for large and complex operations sometimes slows down
the processing of XML document.
Difference between DTD and XML Schema
Sr. No. DTD Schema

1. DTD are basic for defining the structural Schema are specific for complex operations
components of XML. while defining the structural components of
XML.

2. DTD does not have ability to define the Schemas have ability to define the type of
type of data. data.

3. Simple and small applications can be built Large number of complex applications can
using DTD be built using schema.

4. DTDs allow inline definitions XML schema does not allow inline
definitions.

5. DTD is not strongly typed language. XML schema is strongly typed.

5.10 XQuery AU : May-17, Marks 5

 XQuery is used to query the XML database. It is just similar to SQL to database.
 XQuery is supported by all major databases.
 Its main task is to get information out of XML databases.
 Example of XQuery
Step 1: Consider following simple XML document(this document is saved by name
students.xml) that stores student information
<students>
<student>
Database Management Systems 5 - 33 Advanced Topics

<name>AAA</name>
<age>15</age>
<student>
<name>BBB</name>
<age>16</age>
<student>
<name>CCC</name>
<age>17</age>
<student>
<name>DDD</name>
<age>18</age>
</student>
<student>
<name>EEE</name>
<age>19</age>
<student>
<name>FFF</name>
<age>20</age>
</students>
Step 2 : We can write the XQuery as follows –
for $x in doc("students.xml")/students/student  Here x is a variable
where $x/age>16  Query
return $x/name  returns names of students satisfying the query
This query will return the names of students having the age >16.
Step 3 : The result will be –
CCC

DDD

EEE

FFF

Example 5.10.1 : Consider following nested-relational schema:

Emp = (ename, ChildrenSet setof(Children), SkillsSet setof(Skills))
Children = (name, Birthday)
Birthday = (day, month, year)
Skills = (type, ExamsSet setoff(Exams))
Exams = (year, city).
(1) Find the names of all employees who have a child who has a birthday in March.
(2) Find those employees who took an examination for the skill type “painting” in
Database Management Systems 5 - 34 Advanced Topics

the city “Chennai”.

(3) List all skill types in Emp.
For performing above mentioned tasks write XQuery statements.
Solution : Assume we have created DTD for given schema (Refer Example 5.8.2 for DTD)
(1) Find the names of all employees who have a child who has a birthday in March.
for $e in /db/emp,
$m in distinct($e/children/birthday/month)
where $m = ’March’
return $e/ename
(2) Find those employees who took an examination for the skill type “painting” in the
city “Chennai”.
for $e in /db/emp
$s in $e/skills[type=’painting’]
$exam in $s/exams
where $exam/city= ’Chennai’
return $e/ename
(3) List all skill types in Emp.
for $t in distinct (/db/emp/skills/type)
return $e/ename
Advantages of XQuery
 Using XQuery both hierarchical and tabular data can be retrieved.
 XQuery can be used to query tree and graphical structure.
 XQuery can be directly used to build web pages.
 XQuery can be used to transform XML documents.

University Question
1. Explain the process of querying XML data with an example. AU : May-17, Marks 5

Part IV : Information Retrieval

5.11 IR Concepts
What is Structured and Unstructured Data?
 Structured data is a form of data in which the information is in most organized
form. For example- Student record such as
Student(RollNo, Name, Address,Marks)

 Unstructured data is more like human language. It doesn’t fit nicely into
relational databases. For example - emails, text documents (Word docs, PDFs,
Database Management Systems 5 - 35 Advanced Topics

etc.), social media posts, videos, audio files, and images all of these represent
unstructured form of data.
 Useful information is locked up in all unstructured data. The information in
emails and social media, for example, holds important insight that can be used for
operational intelligence, marketing intelligence, and more.
 There are various ways to retrieve useful information from unstructured data. The
most popularly used technique is use of queries.
 Definition of Information Retrieval : Information Retrieval(IR) is the process of
retrieving documents from a collection in response to a query submitted by a user.
Concept of Query
 Information Retrieval system is beyond database systems that do not limit its user
to use specific query language, nor do they expect its user to know the structure of
schema.
 User can make use of free form of search request which is called as query to
retrieve information from IR system. This query is also called as keyword search
query.
Characteristics of IR Systems
 The IR system is characterized at different levels : i) By types of users ii) Types of
data iii) Types of information need.
 Types of Users :
o There are two types of users – expert user and layperson user.
o The expert user is a kind of user who is searching for specific information that
is clear in his mind. He/She also knows the form of query to be submitted to
get the desired information. For example – User who wants to get the
information about particular book.
o The layperson user is a user with generic information need. This type of user
can not create highly relevant queries for search.For example – Student
searching for information on particular topic.

 Types of Data :
o Search systems can be tailored to specific types of data.
o For example, the problem of retrieving information about a specific topic may
be handled more efficiently by customized search systems that are built to
collect and retrieve only information related to that specific topic.
o These domain specific or vertical IR systems are not as large as generic
WWW. The information can be retrieved efficiently from such IR systems.
Database Management Systems 5 - 36 Advanced Topics

 Types of Information Need :

o Normally three types of search can be made for information retrieval.

o Navigational Search : It refers to finding a particular piece of information that

user needs quickly. For example – Finding the site of ‘Anna University’
o Informational Search : It refers to finding current information about some
topic. For example information finding about current News.
o Transactional Search : It refers to reach a site in which further interaction
happen. For instance – making online reservation, purchasing product online.
Difference between Database Systems and Information Retrieval Systems
Sr. No. Database System IR System

1. It makes use of structured data. It makes use of unstructured data.

2. It is schema driven. There is no fixed schema in IR system.

3. Relational data model is used. Free-form Query model is used.

4. Query returns data. Search request returns list or pointers to

documents that may contain the desired
information.

5. Results are based on exact matching. Results are based on approximate matching.

5.11.1 Modes of Interaction

 There are two main modes of interaction with IR system – 1. Retrieval and
2. Browsing
Database Management Systems 5 - 37 Advanced Topics

 Definition of Retrieval : Retrieval is concerned with the extraction of relevant

information from a repository of documents through an IR query.
 Definition of Browsing: Browsing signifies the activity of a user visiting or
navigating through similar or related documents based on the user’s assessment
of relevance. It is flexible mode of interaction.
 Consider following scenario –“ A user types a query Programming languages and
he gets list of documents containing the term Programming language. While
going through these pages he/she might click on the word Java. Further while
going through the information on Java, he might come across the word web
service and then he could pick up the web service for weather forecast which
might be of his/her interest.” This complete scenario of obtaining the desired
information is called web browsing.
 Hyperlinks are used to interconnect Web pages and are mainly used for
browsing.
 Anchor texts are text phrases within documents used to label hyperlinks and are
very relevant to browsing.
 Web search combines both the activities i.e. retrieval and browsing.
 Web search engine maintains an indexed repository of web pages. The most
relevant web pages are returned to the user if possible in descending order of
their relevance.(That means most relevant web page is list at the top, then less
relevant, then lesser relevant and so on).
5.11.2 IR Processing
IR Processing Approaches
There are two main approaches of information Retrieval -

(1) Statistical Approach :

o In this approach, the documents are first analyzed and broken down into
chunks of text.
o Each word(chunk) is counted for its relevance.
o These words are then compared against the query to test the significant
degree of match.
Database Management Systems 5 - 38 Advanced Topics

o Based on this matching, the ranked list of documents containing these words
is presented to the user.
(2) Semantic Approach :
o In this approach the knowledge base technique of information retrieval is
used.
o The syntactical, lexical, sentential, discourse based and pragmatic level of
words are used to prepare knowledge base for understanding.
o In practice, semantic approaches also apply some form of statistical analysis
to improve retrieval process.
Generic IR Framework
Following Fig. 5.11.1 represents the various stages involved in an IR processing.

Fig. 5.11.1 Generic IR framework

The stages at the left – such as preprocessing, modeling, indexing are all offline process
which prepare a set of documents for efficient retrieval.
The steps involved in query formation, query processing, searching mechanism,
document retrieval, and relevance feedback are shown on the right.
5.12 Retrieval Models
(1) Boolean Model
 In this model, the queries are using operators such as AND, OR , NOT.
Database Management Systems 5 - 39 Advanced Topics

 The documents are represented as set of terms.

 In this model retrieval and relevance are based on “exact match” with query. The
partial matches retrieved documents not ranked.
 There is no concept such as ranking of documents. All the retrieved documents
are considered as equally important.
 These models make it easy to associate metadata information and write queries
that match the contents of the documents as well as other properties of
documents, such as date of creation, author, and type of document.
(2) Vector Space Model
 It is an algebraic model for representing text documents.
 The vector space model provides a framework in which term weighting, ranking
of retrieved documents, and relevance feedback are possible.
 In this model documents and queries are both vectors.
–
d = (wi ,1,wi, 2,…,wi,j)

Where each wi,j is a weight for term j in document i.

 This model is based on bags of words representation.

 Similarity of a document vector to a query vector = cosine of the angle between
them.

Sim (di, q) = cos  (x  y = |x||y| cos )

di q  wij x Wqj

= j
|di||q|  2  2
j Wij j Wqj

 Cosine is a normalized dot product.

 Documents ranked by decreasing cosine value sim(d,q) = 1 when d = q sim(d,q) = 0
when d and q share no terms.
 In the classic vector space model, the term-specific weights in the document
vectors are products of local and global parameters. The model is known as term
frequency-inverse document frequency model. The weight vector for document
d is vd= [w1,d, w2,d,…,wN,d]T
Database Management Systems 5 - 40 Advanced Topics

|D|
Wt,d = tft, d  log
|{d  D|t  d}|
and
 tft, d is term frequency of term t in document d (a local parameter)
|D|
 log is inverse document frequency (a global parameters). |D| is
|{d  D|t  d}|
the total number of documents in the document set; |{d  D| t  d}| is the
number of documents containing the term t.
(3) Probabilistic Model
 The vector space model assumes that those documents closer to the query in
cosine space are more relevant to the query vector.
 In the probabilistic model, a more concrete and definitive approach is taken:
ranking documents by their estimated probability of relevance with respect to the
query and the document.
 In the probabilistic framework, the IR system has to decide whether the
documents belong to the relevant set or the non-relevant set for a query.
 To make this decision, it is assumed that a predefined relevant set and
nonrelevant set exist for the query, and the task is to calculate the probability that
the document belongs to the relevant set and compare that with the probability
that the document belongs to the nonrelevant set.
 Given the document representation D of a document, estimating the relevance R
and nonrelevance NR of that document involves computation of conditional
probability P(R|D) and P(NR|D). These conditional probabilities can be
calculated using Bayes’ Rule
o P(R|D) = P(D|R) × P(R)/P(D)
o P(NR|D) = P(D|NR) × P(NR)/P(D)
(4) Semantic Model
 In semantic models, the process of matching documents to a given query is based
on concept level and semantic matching instead of index term (keyword)
matching.
 This allows retrieval of relevant documents that share meaningful associations
with other documents in the query result.
 Semantic approaches include different levels of analysis, such as morphological,
syntactic, and semantic analysis, to retrieve documents more effectively.
Database Management Systems 5 - 41 Advanced Topics

 In morphological analysis the parts of query such as noun, verbs, adjective and so
on are analyzed.
 In syntactical analysis complete phrases in the document are parsed and then
analyzed.
 In semantic analysis to resolve the ambiguities in the words the synonyms are
used. For this analysis complex knowledgebase and information retrieval heuristic
is used.
 These systems often require techniques from artificial intelligence and expert
systems. Knowledge bases like Cyc and WordNet have been developed for use in
knowledge-based IR systems based on semantic models.
5.13 Queries in IR Systems
Various types of queries used for information retrieval are as given below -
(1) Keyword Queries
o This is the simplest and most commonly used form of queries.
o Various keywords are used for searching the desired documents. These
keywords are combined using AND, OR operators.
o The query containing keyword “Java Programming” will return the
documents containing the words “Java” and “Programming”
o Some systems remove the most commonly used words such as a , the , of and
so on.
o All retrieval models support for keyword queries.
(2) Boolean Queries
o Some IR systems allow using of boolean operators such as AND, OR, NOR
for formulation of query.
o AND(or dot operator) means both the terms are required, OR(+ operator)
means either term1 or term2 must be present and NOT(–) means list the
documents not containing particular term.
o Complex Boolean queries can be built out of these operators and their
combinations, and they are evaluated according to the classical rules of
Boolean algebra.
o No ranking is possible, because a document either satisfies such a query (is
“relevant”) or does not satisfy it.
o A document is retrieved for a Boolean query if the query is logically true as an
exact match in the document.
Database Management Systems 5 - 42 Advanced Topics

(3) Phrase Queries

o A phrase query consists of a sequence of words that makes up a phrase. The
phrase is generally enclosed within double quotes.
o Each retrieved document must contain at least one instance of the exact
phrase.
o It is more restrictive form of queries. For example “Java Programming” will
result the list of documents containing both the terms Java and Programming.
(4) Proximity Queries
o Proximity search refers to a search that accounts for how close within a record
multiple terms should be to each other.
o Each search engine can define proximity operators differently, and the search
engines use various operator names such as NEAR, ADJ(adjacent), or AFTER.
(5) Wildcard Queries
o Wildcard searching is generally meant to support regular expressions and
pattern matching-based searching in text.
o For example the word data* will return Database, dataset, datastructure and
so on.
(6) Natural Language Queries
o There are a few natural language search engines that aim to understand the
structure and meaning of queries written in natural language text, generally
as a question or narrative.
o The system tries to formulate answers for such queries from retrieved results.
o Some search systems are starting to provide natural language interfaces to
provide answers to specific types of questions. Such questions are usually
easier to answer.
5.14 Two Marks Questions with Answers
Q.1 Define Distributed Database Management system. AU : May-08,18, Dec.-16

Ans. : A distributed database system consists of loosely coupled sites(computer) that

share no physical components and each site is associated a database system.
Q.2 What are two approaches to store a relation in the distributed database?
AU : May-04

Ans. : (1) Replication : System maintains multiple copies of data, stored in different sites,
for faster retrieval and fault tolerance.
(2) Fragmentation : Relation is partitioned into several fragments stored in distinct
sites.
Database Management Systems 5 - 43 Advanced Topics

Q.3 What are various fragmentations? State various fragmentations with example.
AU : Dec.-17

Ans. : There are two types of fragmentations – horizontal fragmentation and vertical
fragmentation
Example – Refer section 5.2.2.
Q.4 What are the advantages of distributed databases ? AU : Dec.-04, May-08

Ans. :
(1) There is fast data processing as several sites participate in request processing.
(2) Reliability and availability of this system is high.
(3) It possess reduced operating cost.
(4) It is easier to expand the system by adding more sites.
(5) It has improved sharing ability and local autonomy.
Q.4 List out the reasons for development of distributed databases. AU : May-06

Ans: Following are the reasons for development of distributed databases –

(1) To control the data present at geographically different sites.
(2) To obtain highly available and reliable data processing systems
Q.5 Difference between Homogeneous and Heterogeneous Schema
Ans. :
Homogeneous Schema Heterogeneous Schema

It contains identical software. It contains different software.

It shares global schema. It has different schemas.

Each site provides part of its autonomy in terms Each site maintains its own right to change the
of right to change or software. schema or software.

Due to same schema- there is no problems in Due to different schemas, there are lot of
query processing. problems in query processing.

Q.6 What are the advantages of fragmentation ?

Ans. :
(1) It allows parallel processing on fragments of a relation.
(2) It allows a relation to be split so that tuples are located where they are most
frequently accessed.
Database Management Systems 5 - 44 Advanced Topics

Q.7 Give an example of two phase commit protocol. AU : Dec.-15

Ans. : Refer Section 5.3.1.

Q.8 How does the concept of an object in the object oriented model differ from the concept
of an entity in an entity relationship model ? AU : Dec.-16

Ans. : •An entity is simply a collection of variables or data items.

 An object is an encapsulation of data as well as the methods (code) to operate on
the data.
 The data members of an object are directly visible only to its methods.
 The outside world can gain access to the object’s data only by passing pre-defined
messages to it, and these messages are implemented by the methods.
Q.9 State the functions of XML Schema. AU : Dec.-17

Ans. : • The XML schemas are used to represent the structure of XML document.
 The goal or purpose of XML schema is to define the building blocks of an XML
document. These can be used as an alternative to XML DTD.
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