2

Introduction to
Database Management Systems
(DBMS)
4
Database Management
System (DBMS)
Definitions:

Data: Known facts that can be recorded and
that have implicit meaning
Database: Collection of related data
Ex. the names, telephone numbers and addresses
of all the people you know
Database Management System: A
computerized record-keeping system
5
DBMS (Contd.)
Goals of a Database Management System:
To provide an efficient as well as convenient
environment for accessing data in a database
Enforce information security: database security,
concurrence control, crash recovery
It is a general purpose facility for:
Defining database
Constructing database
Manipulating database
6
Benefits of database approach
Redundancy can be reduced
Inconsistency can be avoided
Data can be shared
Standards can be enforced
Security restrictions can be applied
Integrity can be maintained
Data independence can be provided
7
DBMS Functions
Data Definition
Data Manipulation
Data Security and Integrity
Data Recovery and Concurrency
Data Dictionary
Performance

8
Database System
Stored Data Defn.
Stored Database
Software to access stored data
Software to process queries/programs
DBMS
Software


Application Programs/Queries
Users
DATABASE
SYSTEM
(META-DATA).
9
Database System
user
query Q1
Database
scheme
Application
program query
Q2
Query processor DDL compiler
Database manager
File manager
Physical
database
Compiled query
Q2
Database
description
10
Categories of Data Models
Conceptual Physical Representational
Data Model
A set of concepts used to describe the structure of a
database
By structure, we mean the data types, relationships,
and constraints that should holds for the data

11
Database Architecture
Internal level
(storage view)
Conceptual level
(community user view)
External level
(individual user
views)
Database
12
An example of the three levels
SNo FName LName Age
Salary
SNo FName
LName

Age

Salary
SNo LName
BranchNo
struct STAFF {
int staffNo;
int branchNo;
char fName[15];
char lName[15];
struct date dateOfBirth;
float salary;
struct STAFF *next;
/* pointer to next Staff record
*/
};
index staffNo; index branchNo;
/* define indexes for staff */

BranchNo
Conceptual View
External View1
External View2

Internal
View

13
Schema
Schema: Description of data in terms of a data
model
Three-level DB Architecture defines following
schemas:
External Schema (or sub-schema)
Written using external DDL
Conceptual Schema (or schema)
Written using conceptual DDL
Internal Schema
Written using internal DDL or storage structure definition
14
Data Independence
Change the schema at one level of a database
system without a need to change the schema at
the next higher level
Logical data independence: Refers to the immunity
of the external schemas to changes in the conceptual
schema e.g., add new record or field
Physical data independence: Refers to the immunity
of the conceptual schema to changes in the internal
schema e.g., adding new index should not void
existing ones
15
HIERARCHICAL
NETWORK
RELATIONAL
TABLE
ROW
COLUMN
VALUE
TYPES OF DATABASE MODELS
16
DATA ANALYSIS
Entities - Attributes - Relationships - Integrity Rules
LOGICAL DESIGN
Tables - Columns - Primary Keys - Foreign Keys
PHYSICAL DESIGN
DDL for Tablespaces, Tables, Indexes
DATABASE DESIGN PHASES
Introduction to
Relational Databases:
RDBMS
18
Definition : RDBMS
It is a system in which, at a minimum :
The data is perceived by the user as tables ( and
nothing but tables ); and
The operators at the users disposal - e.g., for data
retrieval - are operators that generate new tables
from old, and those include at least SELECT,
PROJECT, and JOIN.
19
Features of an RDBMS
The ability to create multiple relations (tables)
and enter data into them
An interactive query language
Retrieval of information stored in more than
one table
Provides a Catalog or Dictionary, which itself
consists of tables ( called system tables )
20
Some Important Terms
Relation : a table
Tuple : a row in a table
Attribute : a Column in a table
Degree : number of attributes
Cardinality : number of tuples
Primary Key : a unique identifier for the table
Domain : a pool of values from which specific attributes
of specific relations draw their values
21
Properties of Relations (Tables)
There are no duplicate rows (tuples)
Tuples are unordered, top to bottom
Attributes are unordered, left to right
All attribute values are atomic ( or scalar )
Relational databases do not allow repeating
groups
22
Keys
Key
Super Key
Candidate Keys
Primary Key
Alternate Key
Secondary Keys

23
Keys and Referential Integrity
sid cid grade
53666 carnatic101 C
53688 reggae203 B
53650 topology112 A
53666 history105 B
sid name age
53666 Jones 18
53688 Smith 18
53650 Smith 19
gpa
3.4
3.2
3.8
login
Jones@cs
Smith@eecs
Smith@math
Enrolled
Student
Primary key
Foreign key referring to
sid of STUDENT relation
24
Relational Algebra
26
Relational Query Languages
Query languages: Allow manipulation and
retrieval of data from a database.
Relational model supports simple, powerful
QLs:
Strong formal foundation based on logic.
Allows for much optimization.
Query Languages != programming languages!
27
Example Instances
sid bid
22 101
58 103
day
10/10/99
11/12/99
sid sname age
22 Deepa 45.0
31 Laxmi 55.5
58 Roopa 35.0
rating
7
8
10
sid sname age
28 Yamuna 35.0
31 Laxmi 55.5
44 Geeta 35.0
rating
9
8
5
58 Roopa 35.0 10
R1
S1
S2
28
Relational Algebra
Basic operations:
Selection (o )
Projection (t)
Cross- product ( X)
Set- difference ( )
Union ( )

29
Projection
sname
Yamuna
Laxmi
Geeta
rating
9
8
5
Roopa 10
age
35.0
t
sname, rating
(S2)
t
age
(S2)
55.5
30
Selection
sid sname age
28 Yamuna 35.0
rating
9
58 Roopa 35.0 10
o
rating > 8
(S2)
sname
Yamuna
rating
9
Roopa 10
t
sname, rating
(S2) (o
rating > 8
(S2))
31
Union, Intersection, Set
Difference
sid sname age
22 Deepa 45.0
31 Laxmi 55.5
58 Roopa 35.0
rating
7
8
10
44 Geeta 35.0
28 Yamuna 35.0
5
9
sid sname age
22 Deepa 45.0
rating
7
sid sname age
31 Laxmi 55.5
58 Roopa 35.0
rating
8
10
S1 S2
S1 S2
S1 S2
32
Cross- Product
(sid) bid
22 101
58 103
day
10/10/99
11/12/99
(sid) sname age
22 Deepa 45.0
22 Deepa 45.0
31 Laxmi 55.5
rating
7
7
8
31 Laxmi 55.5
58 Roopa 35.0
58 Roopa 35.0
8
10
10
22 101 10/10/99
58 103 11/12/99
22 101 10/10/99
58 103 11/12/99
33
Joins
Condition Join :
(sid) bid
22 101
58 103
day
10/10/99
11/12/99
(sid) sname age
22 Deepa 45.0
31 Laxmi 55.5
rating
7
8
34
Equi-Join
bid
101
103
day
10/10/99
11/12/99
(sid) sname age
22 Deepa 45.0
58 Roopa 35.0
rating
7
10
35
Division
sno pno
s1 p1
s1 p2
s1 p3
s1 p4
s2 p1
s2 p2
s3 p2
s4 p2
s4 p4
A
pno
p2
pno
p1
p2
p4
pno
p2
p4
B1
B2
B3
sno
s1
s2
s3
s4
sno
s1
s4
sno
s1
A/B1 A/B2 A/B3
Not supported as a primitive operator, but useful for
expressing queries like:
Find sailors who have reserved all boats .
36
Introduction to Query
Optimization
38
Processing A High-level
Query
Query in a high level language
Intermediate form of query
Execution plan
Code to execute the query
SCANING, PARSING AND VALIDATING
QUERY OPTIMIZER
QUERY CODE GENERATOR
Result of query
RUNTIME DATABASE PROCESSOR

Typical steps
when processing
a high level
query.
39
Two Main Techniques for Query
Optimization
Heuristic Rules: A heuristic is a rule that works well
in most of cases, but not always. General Idea:
Many different relational algebra expressions (and thus
query trees) are equivalent.
Transform the initial query tree of a query into an
equivalent final query tree that is efficient to execute.
Cost based query optimization
Estimate the cost for each execution plan, and choose the
one with the lowest cost.
Can we get the best execution plan?
40
Motivating Example
select *
from R1, R2, R3
where R1.r2no=R2.r2no
and R2.r3no=R3.r3no
and R1.a=5000

NLJ
SS(R2) SS(R3)
NLJ
SS(R1, a=5000)
41
Alternative Plans 1(No Indexes)
select *
from R1, R2, R3
where R1.r2no=R2.r2no
and R2.r3no=R3.r3no
and R1.a=5000

NLJ
SS(R1, a=5000) SS(R2)
NLJ
SS(R3)
42
Alternative Plans 2 (With
Indexes)
select *
from R1, R2, R3
where R1.r2no=R2.r2no
and R2.r3no=R3.r3no
and R1.a=5000

NLJ
IS(R1, a=5000) SS(R2)
NLJ
SS(R3)
43
Conceptual Design
Using the
Entity- Relationship
Model
45
Overview of Database Design
Conceptual design : (ER Model is used at this
stage.)

Schema Refinement : (Normalization)

Physical Database Design and Tuning
46
E R Modeling
Conceptual Schema Design
Relational Calculus
- Formal Language for Relational D/B.
Relational Calculus
Predicate Calculus Domain Calculus
SQL / Tuple Based
Query By Examples
47
Design Phases
Requirements Collection
& Analysis
Data Requirements
Functional Requirements Conceptual Design
Logical Design
Physical Design
User Defined Operations
Data Flow Diagrams
Sequence Diagrams, Scenarios
Entity Types, Constraints , Relationships
No Implementation Details.
Ensures Requirements
Meets the Design
Data Model Mapping Type of Database is identified
Internal Storage Structures / Access Path / File Organizations
48
E-R Modeling
Entity
is anything that exists and is distinguishable
Entity Set
a group of similar entities
Attribute
properties that describe an entity
Relationship
an association between entities
49
Notations
ENTITY TYPE ( REGULAR )
WEAK ENTITY TYPE
RELATIONSHIP TYPE
WEAK RELATIONSHIP TYPE
50
CREATE TABLE Employees
(ssn CHAR (11),
name CHAR (20),
lot INTEGER,
PRIMARY KEY (ssn))
Employee
ssn name
lot
SSN NAME LOT
123- 22- 3666 Attishoo 48
231- 31- 5368 Smiley 22
131- 24- 3650 Smethurst 35
Entity
Entity Set
Attributes
51
52
ER Model
Department
did dname budget
since
Works_in
Employee
ssn name
lot
Reports_To
supervisor
Sub-
ordinate
53
CREATE TABLE Works_ In(
ssn CHAR (11),
did INTEGER,
since DATE,
PRIMARY KEY (ssn, did),
FOREIGN KEY (ssn)
REFERENCES Employees,
FOREIGN KEY (did)
REFERENCES Departments)
SSN DID SINCE
123-22-3666 51 1/1/91
123-22-3666 56 3/3/93
231-31-5368 51 2/2/92
ER Model (Contd.)
Works_ In
54
Manages
Department
did dname budget
since
Employee
ssn name
lot
Key Constraints
55
Key Constraints for Ternary Relationships
Department
did dname
since
Works_in
Employee
ssn name
lot
budget
Location
capacity
address
56
Participation Constraints
Department
did dname budget
since
Manages
Employee
ssn name
lot
Works_in
since
57
policy
Dependent
pname
age
cost
Employee
ssn name
lot
Weak Entities
58
ISA (is a) Hierarchies
Employee
ssn name
lot
Hourly_Emp
Hrs_worked
Hrly_wages
Contract_Emp
contractid
IsA
59
Employee
ssn
name
lot
monitors
project
pid pbudget
Started on
department
did dname
budget
sponsors
until
Aggregation
60
Works_ In does not allow an employee to work in a department
for two or more periods (why?)
Entity vs. Attribute
Works_in
Department
did dname budget
from
Employee
ssn
name
lot
to
61
Entity vs. Attribute (Contd.)
Works_in
Department
did dname budget
from
Employee
ssn
name
lot
to Duration
62
manages
Department
did dname budget
since
Employee
ssn
name
lot
DB
DB - Dbudget
Entity vs. Relationship
63
manages
Department
did dname
budget
since
Employee
ssn
name
lot
DBudget
Mgr_appt
Appt num
Entity vs. Relationship
64
Dependent
pname
age
cost
Employee
ssn name
lot
covers
Policy
policyid
Binary vs. Ternary Relationships
65
Dependent
pname
age
cost
Employee
ssn name
lot
Beneficiary
Policy
policyid
Better Design
purchaser
Binary vs. Ternary Relationships
66
Some constraints cannot be captured in ER diagrams:

Functional dependencies

Inclusion dependencies

General constraints

Constraints Beyond the ER Model
67
E-R Diagram
DEPARTMENT
DEPT_
EMP
EMPLOYEE
EMP_
DEP
DEPENDENT
PROJ_
WORK
PROJ_
MGR
PROJECT
SUPPLIER
SUPP_
PART_
PROJ
PART
PART_
STRUC
TURE
SUPP_
PART
M
M
M
M
M
M
M
M
M M
M
M
1
1 1
68
Example to Start with .
An Example Database Application called
COMPANY which serves to illustrate the ER
Model concepts and their schema design.

The following are collection from the Client.
69
Analysis
Company :
Organized into Departments, Each Department
has a name, no and manager who manages the
department. The Company keeps track of the
date that employee managing the department. A
Department may have a Several locations.
70
Analysis
Department :
A Department controls a number of Projects each of
which has a unique name , no and a single Location.
Employee :
Name, Age, Gender, BirthDate, SSN, Address, Salary.
An Employee is assigned to one department, may work
on several projects which are not controlled by the
department. Track of the number of hours per week is
also controlled.
71
Analysis.
Keep track of the dependents of each employee
for insurance policies : We keep each dependant
first name, gender, Date of birth and
relationship to the employee.
72
Now to our Company
DEPARTMENT
( Name , Number , { Locations } , Manager, Start Date )

PROJECT
( Name, Number, Location , Controlling Department )


EMPLOYEE
(Name (Fname, Lname) , SSN , Gender, Address, Salary
Birthdate, Department , Supervisor , (Workson ( Project , Hrs))

DEPENDENT
( Employee, Name, Gender, Birthdate , Relationship )
73
Example
Manage:
Department and Employee
Partial Participation
Relation Attribute : StartDate.
Works For:
Department and Employee
Total Participation

74
Example
Control :
Department , Project
Partial Participation from Department
Total Participation from Project
Control Department is a RKA.
Supervisor :
Employee, Employee
Partial and Recursive

75
Example
Works On :
Project , Employee
Total Participation
Hours Worked is a RKA.
Dependants of:
Employee , Dependant
Dependant is a Weaker
Dependant is Total , Employee is Partial.
76
One Possible mapping of the Problem
Statement
Work
s For
Department
Name No
Loc
Control
s
Project
Name
No
Loc
Work
sOn
manage
s
Sdate
Hours
Depend On
Name Sex
Bdate
Relationship
Supe
rvise
s
Employee
Address
Fname
Sex
SSN
Name
Bdate
Sal
Lname
Dependent
77
78
79
80
Schema Refinement
and
Normalization
82
Normalization and Normal
Forms
Normalization:
Decomposing a larger, complex table into several
smaller, simpler ones.
Move from a lower normal form to a higher Normal
form.
Normal Forms:
First Normal Form (1NF)
Second Normal Form (2NF)
Third Normal Form (3NF)
*Higher Normal Forms (BCNF, 4NF, 5NF ....)
In practice, 3NF is often good enough.
83
Why Normal Forms
The first question to ask is whether any
refinement is needed!
If a relation is in a certain normal form (BCNF,
3NF etc.), it is known that certain kinds of
problems are avoided/ minimized. This can be
used to help us decide whether decomposing the
relation will help.

84
The Evils of Redundancy
Redundancy is at the root of several problems
associated with relational schemas
More seriously, data redundancy causes several
anomalies: insert, update, delete
Wastage of storage.
Main refinement technique: decomposition
(replacing ABCD with, say, AB and BCD, or
ACD and ABD).
85
Refining an ER Diagram - Before
Department
did dname budget
since
Works_in
Employee
ssn
name
lot
86
Refining an ER Diagram - After
Works_in
since
Employee
ssn
name
lot
Department
did dname budget
87
First Normal Form
A table is in 1NF, if every row contains exactly one
value for each attribute.
Disallow multivalued attributes, composite attributes
and their combinations.
1NF states that :
domains of attributes must include only atomic (simple,
indivisible) values and that value of any attribute in a
tuple must be a single value from the domain of that
attribute.
By definition, any relational table must be in 1NF.
88
Functional Dependencies (FDs)
Provide a formal mechanism to express
constraints between attributes
Given a relation R, attribute Y of R is
functionally dependent on the attribute X of R
if & only if each X-value in R has associated
with it precisely one Y-value in R.
89
Full Dependency
Concept of full functional dependency
A FD x y is a full functional dependency if
removal of any attribute A from X means that the
dependency does not hold any more.
90
Partial Dependency
An F.D. x y is a partial dependency if there is
some attribute A e X that can be removed
from X and the dependency will still hold.
91
Example: Constraints on Entity Set
123- 22- 3666 Attishoo
231- 31- 5368
131- 24- 3650
434- 26- 3751
612- 67- 4134
Smiley
Smethurst
Guldu
Madayan
48
22
35
35
35
8
8
5
5
8
10
10
7
7
10
40
30
30
32
40
S N L R W H
5
8
7
10
R W
123- 22- 3666 Attishoo
231- 31- 5368
131- 24- 3650
434- 26- 3751
612- 67- 4134
Smiley
Smethurst
Guldu
Madayan
48
22
35
35
35
S N L
40
30
30
32
40
H
8
R
8
5
5
8
92
Second Normal Form (2NF)
A relation schema R is in 2NF if:
it is in 1NF and
every non-prime attribute A in R is fully functionally
dependent on the primary key of R.
2NF prohibits partial dependencies.

93
2NF: An Example
Emp{Eno, Dept, ProjCode, Hours}
Primary key: {Eno, ProjCode}
{Eno} -> {Dept}, {Eno, ProjCode} -> {Hours}
Test of 2NF
{Eno} -> {Dept}: partial dependency.
Emp is in 1NF, but not in 2NF.
Decomposition:
Emp {Eno, Dept}
Proj {Eno, ProjCode, Hours}
94
Transitive Dependency
An FD X Y in a relation schema R is a
transitive dependency if
there is a set of attributes Z that is not a subset of
any key of R, and
both X Z and Z Y hold.
95
Third Normal Form
A relation schema R is in 3NF if
It is in 2NF and
No nonprime attribute of R is transitively dependent
on the primary key.
3NF means that each non-key attribute
value in any tuple is truly dependent on
the Primary Key and not even partially on
other attributes.
3NF prohibits transitive dependencies.

96
3NF: An Example
Emp{Eno, Dept, Dept_Head}
Primary key: {Eno}
{Eno} -> {Dept}, {Dept} -> {Dept_Head}
Test of 3NF
{Eno} -> {Dept} -> {Dept_Head}: Transitive dependency.
Emp is in 2NF, but not in 3NF.
Decomposition:
Emp {Eno, Dept}
Dept {Dept, Dept_Head}
97
Boyce Codd Normal Form
The intention of BCNF is that- 3NF does not
satisfactorily handle the case of a relation
processing two or more composite or
overlapping candidate keys
98

BCNF ( Boyce Codd Normal
Form)
A Relation is said to be in Boyce Codd Normal
Form (BCNF) if and only if every determinant
is a candidate key.

99
Decomposition of a Relation
Scheme
Suppose that relation R contains attributes A1 ...
An. A decomposition of R consists of replacing
R by two or more relations such that:
Each new relation scheme contains a subset of the
attributes of R (and no attributes that do not appear
in R), and
Every attribute of R appears as an attribute of one of
the new relations.
100
101
102
103
104
105
106
Transaction,
Concurrency Control
and Recovery
108
Transaction
A sequence of many actions which are
considered to be one atomic unit of work.
Read, write, commit, abort
Governed by four ACID properties:
Atomicity, Consistency, Isolation, Durability
Has a unique starting point, some actions
and one end point
109
The ACID Properties
A tomicity: All actions in the transaction
happen, or none happen.
C onsistency: If each transaction is
consistent, and the DB starts consistent, it
ends up consistent.
I solation: Execution of one transaction is
isolated from that of other transactions.
D urability: If a transaction commits, its
effects persist.
110
Automicity
All-or-nothing, no partial results. An event either happens and is
committed or fails and is rolled back.
e.g. in a money transfer, debit one account, credit the other.
Either both debiting and crediting operations succeed, or
neither of them do.
Transaction failure is called Abort
Commit and abort are irrevocable actions. There is no undo for
these actions.
An Abort undoes operations that have already been executed
For database operations, restore the datas previous value
from before the transaction (Rollback-it); a Rollback
command will undo all actions taken since the last commit
for that user.
But some real world operations are not undoable.
Examples - transfer money, print ticket, fire missile

111
Consistency
Every transaction should maintain DB consistency
Referential integrity - e.g. each order references an
existing customer number and existing part numbers
The books balance (debits = credits, assets =
liabilities)
Consistency preservation is a property of a transaction,
not of the database mechanisms for controlling it
(unlike the A, I, and D of ACID)
If each transaction maintains consistency,
then a serial execution of transactions does also

112
Isolation
Intuitively, the effect of a set of transactions should
be the same as if they ran independently.
Formally, an interleaved execution of transactions is
serializable if its effect is equivalent to a serial one.
Implies a user view where the system runs each users
transaction stand-alone.
Of course, transactions in fact run with lots of
concurrency, to use device parallelism this will be
covered later.
Transactions can use common data (shared data)
They can use the same data processing mechanisms
(time sharing)

113
Durability
When a transaction commits, its results will survive
failures (e.g. of the application, OS, DB system even
of the disk).
Makes it possible for a transaction to be a legal
contract.
Implementation is usually via a log
DB system writes all transaction updates to a log file
to commit, it adds a record commit(Ti) to the log
when the commit record is on disk, the transaction is
committed.
system waits for disk ack before acknowledging to
user

114
Transaction processing
Can be automatic (controlled by the RDBMS) or
programmatic (programmed using SQL or other
supported programming languages, like
PL/SQL)

115
Why Have Concurrent Processes?
Better transaction throughput
Improved response time
Done via better utilization of resources:
While one processes is doing a disk read,
another can be using the CPU or reading
another disk.
116
Typical situations requiring
concurrency control
Exclusive access to an external device or shared
service (e.g., managing printer queues)
Coordination of applications which process
parallel data (e.g. parallel DB servers)
Disabling or enabling execution of the client
programs in a specific moment (typically for
database administration - e.g. database backups,
enforcing resource occupation, etc.)
Detection of transaction ends when managing
multiple sessions for connection to the database
(client/server architectures, Web access)


117
Problems with Concurrency (in absence
of locking)
Lost Update problem - losing values due to
intervention of write operation from other
overlapping transactions
Temporary Update problem - discarding
previous changes made by overlapping
transaction after rollback
Incorrect Summary problem - overwriting of
certain
values used for calculation by write operations
from other transactions


118
Lost Update Problem
Time
T
0
Transaction A
Transaction B Value
Start A 6
T
1
Read Value (6)
6
T
2
Add 2 (6+2=8) Read Value
(6)
6
T
3
Write Value (8) Add 3 (6+3=9) 8
T
4
End A Write Value (9) 9
Start B
What should the final Order Value be?
Which Update has been lost?
T
5
End B 9
119
Temporary Update Problem
Time
T
0
Transaction A Transaction B Value
Start A 6
T
1
Read Value (6)
6
T
2
Add 2 (8) 6
T
3
Write Value (8) 8
T
4
Failure: Rollback! 8 Read Value (8)
Start B
T
5
Write Value (6) Add 3 (8+3=11) 6
Write Value (11) T
6
End A
11
What should the final Order Value be?
Where is the temporary update?
T
5
End B 11
120
Incorrect Summary Problem
Time
T
0
Transaction A
Transaction B Values
T
1
Read 1
st
Value (6)
6
3
T
2
Add 2 (6+2=8)
6
3
T
3
Write 1
st
Value (8)
8
3
T
4
8
3
T
5
Add 2 (3+2 = 5)
8
3
Write 2
nd
Value (5)
8
5
Read 2
nd
Value (3) Read 1
st
Value (8)
Read 2
nd
Value (3)
Total Sum = 11
What should the total Order Value be?
Which order was accumulated before update, and which
after?
121


3.1 Database State and Changes
D1, D2 - Logically consistent states of the database data
T - Transaction for changing the database
t1, t2 - Absolute time before and after the transaction
122


active
partially
committed
committed
aborted
terminated
BEGIN

READ
,
WRITE
END

ROLLBACK
ROLLBACK
COMMIT
3.2 Transaction State and Progress
A transaction reaches its commit point when all
operations accessing the database are completed
and the result has been recorded in the log. It then
writes a [commit, <transaction-id>] and terminates.
When a system failure occurs, search the log file for entries
[start, <transaction-id>]
and if there are no logged entries [commit, <transaction-id>]
then undo all operations that have logged entries
[write, <transaction-id>, X, old_value, new_value]
123
Schedules
T1 T2
R(A)
W(A)
R(B)
W(B)
R(C)
W(C)
Schedule: Actions of transactions as seen by the DBMS

124
Serializable Schedule
A schedule whose effect on the DB state is
the same as that of some serial schedule
All serial schedules are serializable
But the reverse may not be true
125
Serializability Violations
T1 T2
R(A)
W(A)
R(A)
W(A)
R(B)
W(B)
commit
R(B)
W(B)
commit
Database is
inconsistent!
Transfer
Rs.10,000
from A to B
Add 6%
interest to A
& B
126
Cascading Aborts
T1 T2
R(A)
W(A)
R(A)
W(A)
abort
127
Recoverable Schedules
T1 T2
R(A)
W(A)
R(A)
W(A)
commit
abort
T1 T2
R(A)
W(A)
R(A)
W(A)
commit
commit
Unrecoverable Schedule Recoverable Schedule
128
Locking
The concept of locking data items is one of the main techniques
for controlling the concurrent execution of transactions.
A lock is a variable associated with a data item in the database.
Generally there is a lock for each data item in the database.
A lock describes the status of the data item with respect to
possible operations that can be applied to that item
used for synchronising the access by concurrent transactions
to the database items.
A transaction locks an object before using it
When an object is locked by another transaction, the requesting
transaction must wait

129
Locking Granularity
A database item which can be locked could be
a database record
a field value of a database record
the whole database
Trade-offs
coarse granularity
the larger the data item size, the lower the degree of
concurrency
fine granularity
the smaller the data item size, the more locks to be
managed and stored, and the more lock/unlock
operations needed.



130
Locking: A Technique for
Concurrency Control
-- S X
-- \ \ \
S \ \
X \
Compatibility matrix for lock types X and S
S: Shared lock
X: Exclusive lock
-- No lock
Locks are automatically obtained by DBMS.
Guarantees serializability!

131
Two- Phase Locking (2PL)
Strict 2PL:
If T wants to read an object, first obtains an S lock.
If T wants to modify an object, first obtains X lock.
Hold all locks until end of transaction.
Guarantees serializability, and recoverable schedule, too!
also avoids WW problems!
2PL:
Slight variant of strict 2PL
transactions can release locks before the end (commit or
abort)
But after releasing any lock it can acquire no new locks
Guarantees serializability
132
Handling a Lock Request
Lock Request (XID, OID, Mode)
Currently Locked?
Empty Wait Queue?
Currently X-locked?
Put on Queue
Grant Lock
Mode==X
Mode==S
No
No
No
Yes
Yes
Yes
133
134
Recovery
Occurs in case of transaction failures.

Database (DB) is restored to the most
recent consistent state just before the time
of failure.

To do this, the DB system needs
information about changes applied by
various transactions. It is the system log.
135
Recovery: Motivation
T1
T2
T3
T4
T5
crash
Atomicity: Undoing actions of transaction that do not
commit
Durability: Making sure all actions of committed
transactions survive system crashes
The Recovery Manager guarantees Atomicity & Durability.

136
Recovery Outline
Restore to most recent consistent state
just before time of failure
Use data in the log file
Catastrophic Failure
Restore database from backup
Replay transactions from log file
Database becomes inconsistent (non-
catastrophic errors)
Undo or Redo last transactions until
consistent state is restored

137
Logging
Record REDO and UNDO information, for
every update, in a log.
Sequential writes to log (put it on a separate disk).
Minimal info (diff) written to log, so multiple
updates fit in a single log page.
138
Handling the Buffer Pool
Desired
Trivial
When is buffer written back to disk?
Steal/No-steal
Can it be written before commit? (steal)
Or does it have to wait till after commit? (no-steal)
Force/No-force
Is it written immediately after commit? (force)
Or can it remain in memory? (no-force)

NoSteal Steal
NoForce
Force
139
Write- Ahead Logging (WAL)
The Write- Ahead Logging Protocol:
Must force the log record for an update before the
corresponding data page gets to disk.
Must write all log records for a transaction before
commit .
What goes into log:
BFIM needed for UNDO type algorithms
AFIM needed for REDO type algorithms


140
Checkpoints in the System Log
Checkpoint record written in log when all updated DB
buffers written out to disk
Any committed transaction occurring before checkpoint
in log can be considered permanent (wont have to be
redone after crash)
Actions
suspend execution of all transactions
force-write all modified buffers to disk
write checkpoint entry in log and force write log
resume transactions
Fuzzy checkpointing
resume transactions as soon as buffers written

141
142
143
BY :

ABURAFEY AZMI
Contact me on
Aburafey.blogspot.com
Gr8knowledge.blogspot.com
rafey111@rediffmail.com