DATABASE SYSTEMS (phần 1) ppt

.,
FUNDAMENTALS
OF
FourthEdition
DATABASE
SYSTEMS
FUNDAMENTALS
OF
Fourth
Edition
DATABASE
SYSTEMS
Ramez Elmasri
Department of Computer
Science
Engineering
University of
Texas
at Arlington
Shamkant B. N avathe
College
of Computing
Georgia
Institute of
Technology
•
•
.
~"-
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Boston

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New
York
London
Toronto
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City
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Kong
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/>Figure 12.14 is a logical data model diagram definition in Rational Rose®. Figure 12.15 is a graphi-
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drawn in Rational Rose®. IBM® has acquired Rational Rose®.
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Library of Congress Cataloging-in-Publication Data
Elmasri, Ramez.

Fundamentals of database systems /
Ramez
Elmasri,
Shamkant
B.
Navathe 4th
ed.
p. cm.
Includes bibliographical references and index.
ISBN 0-321-12226-7
I. Database management. 1. Navathe, Sham. II. Title.
QA
76.9.03E57
2003
005.74 dc21
2003057734
ISBN
0-321-12226-7
For information on obtaining permission for the use of material from this work, please submit a writ-
ten request to Pearson Education, Inc., Rights and Contracts Department, 75 Arlington St., Suite
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Copyright
©
2004
by Pearson Education, Inc.
All rights reserved. No part
of
this publication
may
be reproduced, stored in a retrieval system, or

transmitted, in any form or by any means, electronic, mechanical, photocopying, recording, or other-
wise, without the prior written permission of the publisher. Printed in the United States of America.
1 2 3 4 5 6 7 8 9
lO-HT
-06050403
To
Amalia with
love
R. E.
To
my motherVijayaand wifeAruna
for
their
love
and
support
S.
B.N.
Preface
This
book
introduces
the
fundamental
concepts
necessary for designing, using,
and
imple-
menting
database

systems
and
applications.
Our
presentations
stresses
the
fundamentals
of database
modeling
and
design,
the
languages
and
facilities
provided
by
the
database
management
systems,
and
system
implementation
techniques.
The
book
is
meant

to
be
used as a
textbook
for a
one-
or two-semester course in
database
systems at
the
junior,
senior or
graduate
level,
and
as a reference book. We assume
that
the
readers are familiar
with
elementary
programming
and
data-structuring
concepts
and
that
they
have
had

some exposure to
the
basic
computer
organization.
We
start
in
Part
I
with
an
introduction
and
a
presentation
of
the
basic
concepts
and
terminology,
and
database
conceptual
modeling
principles.
We
conclude
the

book
in
Parts 7
and
8
with
an
introduction
to
emerging
technologies,
such
as
data
mining, XML,
security,
and
Web
databases.
Along
the
way-in
Parts 2
through
6-we
provide an in-
depth
treatment
of
the

most
important
aspects of database
fundamentals.
The
following key features are
included
in
the
fourth
edition:
•
The
entire
book
follows a
self-contained,
flexible
organization
that
can
be tailored to
individual needs.
•
Coverage
of
data
modeling
now
includes

both
the
ER
model
and
UML.
• A
new
advanced
SQL
chapter
with
material
on
SQL
programming
techniques,
such
as
]DBC
and
SQL/CLl.
VII
viii Preface
• Two examples running throughout
the
book called
COMPANY
and UNIVER-
SITY

-allow
the reader to compare different approaches
that
use the same application.
• Coverage has
been
updated on security, mobile databases, GIS,
and
Genome
data
management.
• A new
chapter
on
XML
and
Internet
databases.
• A
new
chapter
on
data
mining.
• A significant revision of
the
supplements to include a robust set of materials for
instructors
and
students,

and
an
online
case study.
Main Differences from the Third Edition
There
are several organizational changes in
the
fourth edition, as well as some important
new chapters.
The
main
changes are as follows:
•
The
chapters on file organizations
and
indexing (Chapters 5
and
6 in
the
third edi-
tion)
have
been
moved
to
Part
4,
and

are
now
Chapters
13
and
14. Part 4 also
includes
Chapters
15
and
16 on query processing and optimization,
and
physical
database design
and
tuning
(this corresponds to
Chapter
18
and
sections 16.3-16.4 of
the
third
edition).
•
The
relational model coverage has
been
reorganized
and

updated in Part 2.
Chapter
5 covers relational model concepts
and
constraints.
The
material on relational alge-
bra
and
calculus is now together in
Chapter
6. Relational database design using ER-
to-relational
and
EER-to-relational mapping is in
Chapter
7.
SQL
is covered in
Chapters
8
and
9, with
the
new material in
SQL
programming techniques in sections
9.3 through 9.6.
• Part 3 covers database design theory and methodology. Chapters 10 and
lion

normal-
ization theory correspond to Chapters 14 and 15 of the third edition.
Chapter
12 on
practical database design has been updated to include more
UML
coverage.
•
The
chapters on transactions, concurrency control, and recovery (19, 20, 21 in the
third edition) are now Chapters 17, 18,
and
19 in Part 5.
•
The
chapters on object-oriented concepts,
ODMG
object model, and object-relational
systems
(11,12,13
in
the
third edition) are now 20, 21,
and
22 in Part 6.
Chapter
22
has
been
reorganized

and
updated.
• Chapters 10 and 17 of
the
third edition
have
been dropped.
The
material on
client-
server architectures has been merged into Chapters 2 and 25.
•
The
chapters on security,
enhanced
models (active, temporal, spatial, multimedia), and
distributed databases (Chapters
22, 23, 24 in
the
third edition) are now 23, 24, and 25
in Part 7.
The
security chapter has been updated.
Chapter
25 of
the
third edition on
deductive databases has been merged into
Chapter
24, and is now section 24.4.

•
Chapter
26 is a
new
chapter
on XML (eXtended Markup Language),
and
how it is
related to accessing relational databases over
the
Internet.
•
The
material on
data
mining
and
data
warehousing
(Chapter
26 of
the
third
edition)
has
been
separated
into
two chapters.
Chaprer

27
on
data
mining
has
been
expanded
and updated.
Contents
of
This Edition
Part 1 describes
the
basic
concepts
necessary for a good
understanding
of database design
and
implementation,
as well as
the
conceptual
modeling
techniques
used in database sys-
tems.
Chapters
1
and

2
introduce
databases,
their
typical users,
and
DBMS
concepts, ter-
minology,
and
architecture.
In
Chapter
3,
the
concepts
of
the
Entity-Relationship
(ER)
model
and
ER
diagrams are
presented
and
used to illustrate
conceptual
database design.
Chapter 4 focuses

on
data
abstraction
and
semantic
data
modeling
concepts
and
extends
the
ER
model to
incorporate
these ideas, leading to
the
enhanced-ER
(EER)
data
model
and
EER
diagrams.
The
concepts
presented
include
subclasses, specialization, generaliza-
tion, and
union

types (categories).
The
notation
for
the
class diagrams of
UML
are also
introduced in
Chapters
3
and
4.
Part 2 describes
the
relational
data
model
and
relational
DBMSs.
Chapter
5 describes
the basic
relational
model, its integrity
constraints
and
update
operations.

Chapter
6
describes
the
operations
of
the
relational
algebra
and
introduces
the
relational
calculus.
Chapter 7 discusses
relational
database design using
ER
and
EER-to-relational mapping.
Chapter 8 gives a
detailed
overview of
the
SQL language,
covering
the
SQL
standard,
which is

implemented
in
most
relational
systems.
Chapter
9 covers SQL programming
topics such as
SQL],
JDBC,
and
SQL/CLI.
Part
3 covers several topics
related
to
database
design.
Chapters
10
and
11
cover
the
formalisms, theories,
and
algorithms
developed
for
the

relational
database design by nor-
malization.
This
material
includes
functional
and
other
types of
dependencies
and
normal
forms of relarions. Step-by-step
intuitive
normalizarion is presented in
Chapter
10,
and
relational design algorithms are
given
in
Chapter
11,
which
also defines
other
types of
dependencies,
such

as
multivalued
and
join
dependencies.
Chapter
12 presents an over-
view of
the
different phases
of
the
database design process for medium-sized
and
large
applications, using
UML.
I Part 4 starts
with
a
description
of
the
physical file structures
and
access
methods
used
in database systems.
Chapter

13 describes primary
methods
of organizing files of records
on disk, including static
and
dynamic
hashing.
Chapter
14 describes
indexing
techniques
for files, including B-tree
and
B+-tree
data
structures
and
grid files.
Chapter
15 introduces
the basics of query processing
and
optimization,
and
Chapter
16 discusses physical data-
base design
and
tuning.
Part 5 discusses

transaction
processing,
concurrency
control,
and
recovery
tech-
niques, including discussions of
how
these
concepts
are realized in
SQL.
Preface IIX
x I
Preface
Part
6 gives a
comprehensive
introduction
to
object
databases
and
object-relational
systems.
Chapter
20 introduces
object-oriented
concepts.

Chapter
21 gives a
detailed
overview of
the
ODMG
object
model
and
its associated ODL
and
OQL languages.
Chapter
22 describes
how
relational databases are being
extended
to
include
object-oriented
con-
cepts
and
presents
the
features of
object-relational
systems, as well as giving an overview
of some of
the

features of
the
SQL3 standard,
and
the
nested
relational
data
model.
Parts 7
and
8
cover
a
number
of
advanced
topics.
Chapter
23 gives an overview of
database security
and
authorization, including
the
SQL
commands
to
GRANT
and
REVOKE privileges,

and
expanded
coverage
on
security
concepts
such as encryption,
roles,
and
flow control.
Chapter
24 introduces several
enhanced
database models for
advanced applications.
These
include active databases
and
triggers, temporal, spatial, mul-
timedia,
and
deductive databases.
Chapter
25 gives
an
introduction
to distributed data-
bases
and
the

three-tier
client-server
architecture.
Chapter
26 is a new
chapter
on
XML
(eXtended
Markup Language). It first discusses
the
differences
between
structured, semi-
structured,
and
unstructured models,
then
presents XML concepts,
and
finally compares
the
XML
model
to
traditional
database models.
Chapter
27
on

data
mining
has
been
expanded
and
updated.
Chapter
28 introduces
data
warehousing concepts. Finally,
Chap-
ter
29 gives
introductions
to
the
topics of mobile databases,
multimedia
databases,
GIS
(Geographic
Information
Systems),
and
Genome
data
management
in bioinformatics.
Appendix

A gives a
number
of alternative diagrammatic
notations
for displaying a con-
ceptual
ER or
EER
schema.
These
may be substituted for
the
notation
we use, if
the
instructor
so wishes.
Appendix
C gives some
important
physical parameters of disks. Appendixes B, E,
and
F are on
the
web site.
Appendix
B is a
new
case study
that

follows
the
design and imple-
mentation
of a bookstore's database. Appendixes E
and
F cover legacy database systems,
based
on
the
network
and
hierarchical database models.
These
have
been
used for over
thirty years as a basis for many existing commercial database applications
and
transaction-
processing systems and will take decades to replace completely. We consider it
important
to
expose students of database
management
to these long-standing approaches. Full chapters
from
the
third
edition

can
be found
on
the
web site for this edition.
Guidelines for Using This Book
There
are
many
different ways to
teach
a database course.
The
chapters
in Parts 1
through
5
can
be used in
an
introductory
course
on
database systems in
the
order
that
they
are
given

or in
the
preferred order of
each
individual instructor.
Selected
chapters
and
sec-
tions
may be left
out,
and
the
instructor
can
add
other
chapters
from
the
rest
of
the
book,
depending
on
the
emphasis if
the

course.
At
the
end
of
each
chapter's
opening
section,
we list sections
that
are
candidates
for being left
out
whenever
a less detailed discussion of
the
topic
in a particular
chapter
is desired. We suggest covering up to
Chapter
14 in an
introductory
database course
and
including selected parts of
other
chapters,

depending
on
the
background
of
the
students
and
the
desired coverage. For an emphasis
on
system
implementation
techniques,
chapters
from Parts 4
and
5
can
be included.
Chapters
3
and
4,
which
cover
conceptual
modeling
using
the

ER
and
EERmodels, are
important
for a good
conceptual
understanding
of databases. However,
they
may be par-
tially covered,
covered
later in a course, or
even
left
out
if
the
emphasis is
on
DBMS
imple-
mentation.
Chapters
13
and
14
on
file organizations
and

indexing
may also be covered
early on, later, or
even
left
out
if
the
emphasis is
on
database models
and
languages. For
students who
have
already
taken
a course
on
file organization, parts of
these
chapters
could be assigned as reading
material
or some exercises may be assigned
to
review
the
concepts.
A

total
life-cycle database design
and
implementation
project covers
conceptual
design
(Chapters
3
and
4),
data
model
mapping
(Chapter
7),
normalization
(Chapter
10), and
implementation
in SQL
(Chapter
9).
Additional
documentation
on
the
specific
RDBMS
would be required.

The
book
has
been
written
so
that
it is possible to
cover
topics in a variety of orders.
The
chart
included
here
shows
the
major
dependencies
between
chapters. As
the
diagram
illustrates, it is possible to
start
with
several different topics following
the
first
two
intro-

ductory chapters.
Although
the
chart
may seem complex, it is
important
to
note
that
if
the chapters are
covered
in order,
the
dependencies
are
not
lost.
The
chart
can
be
con-
sulted by instructors wishing to use
an
alternative
order
of
presentation.
For a single-semester course based

on
this book, some chapters
can
be assigned as read-
ing material. Parts
4,7,
and
8
can
be considered for such an assignment.
The
book
can
also
Preface IXI
xii
Preface
\
be used for a two-semester sequence.
The
first course,
"Introduction
to Database Design/
Systems," at
the
sophomore, junior, or senior level, could
cover
most of
Chapters
1

to
14.
The
second
course, "Database Design
and
Implementation
Techniques," at
the
senior or
first-year graduate level,
can
cover
Chapters
15 to 28.
Chapters
from Parts 7
and
8
can
be
used selectively in
either
semester,
and
material describing
the
DBMS available to
the
stu-

dents
at
the
local
institution
can
be covered in
addition
to
the
material in
the
book.
Supplemental Materials
The
supplements to this
book
have
been
significantly revised.
With
Addison-Wesley's
Database Place
there
is a robust set of
interactive
reference materials to
help
students
with

their
study of modeling, normalization,
and
SQL.
Each
tutorial
asks
students
to solve
problems (such as writing an
SQL
query, drawing an ER diagram or normalizing a rela-
tion),
and
then
provides
useful
feedback
based
on
the
student's
solution.
Addison-
Wesley's Database Place helps
students
master
the
key
concepts

of all database courses.
For more
information
visit aw.corn/databaseplace.
In
addition
the
following supplements are available to all readers of this
book
at
www.aw.com/cssupport.
•
Additional
content:
This
includes a
new
Case
Study
on
the
design
and
implementa-
tion
of a bookstore's database as well as
chapters
from previous editions
that
are

not
included
in
the
fourth
edition.
• A set
of
PowerPoint
lecture
notes
A solutions
manual
is also available to qualified instructors. Please
contact
your local
Addison-
Wesley sales representative, or send e-mail to aw.cseteaw.com, for
information
on
how
to
access it.
Acknowledgements
It is a great pleasure for us to acknowledge
the
assistance
and
contributions of a large num-
ber of individuals

to
this effort. First, we would like to
thank
our editors,
Maite
Suarez-
Rivas, Katherine
Harutunian,
Daniel Rausch,
and
Juliet Silveri. In particular we would like
to acknowledge
the
efforts
and
help
of Katherine
Harutunian,
our primary
contact
for
the
fourth edition. We would like to acknowledge also those persons who have contributed to
the
fourth edition. We appreciated
the
contributions of
the
following reviewers: Phil Bern-
hard,

Florida
Tech;
Zhengxin
Chen,
University ofNebraska at
Omaha;
Jan Chomicki,
Univer-
sity of
Buffalo;
Hakan
Ferhatosmanoglu, Ohio State
University;
Len Fisk,
California
State
University,
Chico;
William Hankley,
Kansas
State
University;
Ali
R. Hurson, Penn State Uni-
versitYi
Vijay Kumar, University of
Missouri-Kansas
CitYi Peretz Shoval, Ben-Gurion
Univer-
sity,

Israeli
Jason T. L. Wang, New
Jersey
Institute
of
Technology;
and Ed Omiecinski of
Georgia
Tech,
who
contributed
to
Chapter
27.
Ramez Elmasri would like to
thank
his students Hyoil
Han,
Babak Hojabri, Jack Fu,
Charley
Li,
Ande
Swathi,
and
Steven
Wu, who
contributed
to
the
material in

Chapter
26. He would also like to acknowledge
the
support provided by
the
University of Texas at
Arlington.
Sham
Navathe
would like to acknowledge
Dan
Forsythe and
the
following students
at Georgia Tech:
Weimin
Feng,
Angshuman
Guin,
Abrar
Ul-Haque, Bin Liu, Ying Liu,
Wanxia Xie and Waigen Yee.
We would like to repeat our
thanks
to those who have reviewed and contributed to
ptevious editions of
Fundamentals of
Database
Systems. For
the

first edition these individu-
als include
Alan
Apt
(editor),
Don
Batory,
Scott
Downing, Dennis Heimbinger, Julia
Hodges, Yannis Ioannidis, Jim Larson, Dennis McLeod, Per-Ake Larson,
Rahul
Patel,
Nicholas Roussopoulos, David Stemple, Michael Stonebraker, Frank Tampa, and Kyu-
Young
Whang; for
the
second edition they include
Dan
[oraanstad (editor), Rafi
Ahmed,
Antonio Albano, David Beech, Jose Blakeley, Panos Chrysanthis, Suzanne Dietrich, Vic
Ghorpadey, Goets Graefe, Eric Hanson,
[unguk
L. Kim, Roger King, Vram Kouramajian,
VijayKumar,
John
Lowther, Sanjay
Manchanda,
Toshimi Minoura, Inderpal Mumick, Ed
Omiecinski, Girish Pathak, Raghu Rarnakrishnan, Ed Robertson, Eugene Sheng, David

Stotts, Marianne Winslett,
and
Stan
Zdonick. For
the
third
edition
they include Suzanne
Dietrich, Ed Omiecinski, Rafi
Ahmed,
Francois Bancilhon, Jose Blakeley, Rick Cattell,
Ann Chervenak, David W. Embley,
Henry
A. Edinger, Leonidas Fegaras,
Dan
Forsyth,
Farshad Fotouhi, Michael Franklin, Sreejith
Gopinath,
Goetz Craefe, Richard Hull,
Sushil [ajodia, Ramesh K. Kame, Harish Kotbagi, Vijay Kumar, Tarcisio Lima, Ramon
A.
Mara-Toledo, Jack McCaw, Dennis McLeod, Rokia Missaoui, Magdi Morsi, M. Naraya-
naswamy, Carlos Ordonez, Joan Peckham, Betty Salzberg,
Ming-Chien
Shan,
[unping
Sun, Rajshekhar Sunderraman,
Aravindan
Veerasamy, and Emilia E. Villareal.
Last

but
not
l,ast,
we gratefully acknowledge
the
support, encouragement, and
patience of our families.
R.E.
S.B.N.
Preface I XIII
Contents
PART
1 INTRODUCTION AND
CONCEPTUAL
MODELING
CHA'1JTER
1 Databases and Database
Users
3
1.1
Introduction
4
1.2
An
Example 6
1.3 Characteristics of
the
Database
Approach
8

1.4 Actors
on
the
Scene 12
1.5 Workers
behind
the
Scene
14
1.6 Advantages of Using
the
DBMS
Approach
15
1.7 A Brief History of Database Applications 20
1.8
When
Not
to Use a DBMS 23
1.9 Summary 23
Review Questions 23
Exercises 24
Selected Bibliography 24
xv
xvi
Contents
CHAPTER
2 Database System Concepts and
Architecture
25

2.1
Data
Models, Schemas,
and
Instances 26
2.2
Three-Schema
Architecture
and
Data
Independence
29
2.3 Database Languages
and
Interfaces 32
2.4
The
Database System
Environment
35
2.5
Centralized
and
Client/Server
Architectures
for
DBMSs
38
2.6 Classification of Database
Management

Systems 43
2.7 Summary 45
Review
Questions
46
Exercises 46
Selected
Bibliography 47
CHAPTER
3 Data Modeling
Using
the Entity

Relationship
Model
49
3.1 Using High-Level
Conceptual
Data
Models for Database
Design 50
3.2
An
Example Database
Application
52
3.3
Entity
Types, Entity Sets,
Attributes,

and
Keys 53
3.4
Relationship
Types,
Relationship
Sets, Roles,
and
Structural
Constraints
61
3.5
Weak
Entity
Types 68
3.6 Refining
the
ER Design for
the
COMPANY
Database 69
3.7
ER Diagrams,
Naming
Conventions,
and
Design Issues 70
3.8
Notation
for

UML
Class Diagrams 74
3.9 Summary 77
Review
Questions
78
Exercises 78
Selected
Bibliography 83
CHAPTER
4 Enhanced Entity

Relationship and UML
Modeling
85
4.1 Subclasses, Superclasses,
and
Inheritance
86
4.2 Specialization
and
Generalization
88
4.3
Constraints
and
Characteristics of Specialization
and
Generalization
91

4.4
Modeling
of
UNION
Types Using Categories 98
4.5
An
Example
UNIVERSITY
EER
Schema
and
Formal Definitions
for
the
EER Model 101
Contents I xvii
4.6 Representing Specialization/Generalization
and
Inheritance
in
UML
Class Diagrams 104
4.7 Relationship Types of Degree
Higher
Than
Two
105
4.8
Data

Abstraction, Knowledge Representation,
and
Ontology
Concepts
110
4.9 Summary 115
Review Questions 116
Exercises 117
Selected Bibliography 121
PART
2
RELATIONAL
MODEL:
CONCEPTS,
CONSTRAINTS,
LANGUAGES,
DESIGN, AND
PROGRAMMING
CHAPTER
5 The Relational Data Model and
Relational Database Constraints 125
5.1 Relational Model
Concepts
126
5.2
Relational Model
Constraints
and
Relational Database
Schemas 132

5.3
Update
Operations
and
Dealing
with
Constraint
Violations 140
5.4 Summary 143
Review Questions 144
Exercist\ 144
Selected Bibliography 147
151
155
158
171
189
185
CHAPTER
6 The Relational Algebra and Relational
Calculus 149
6.1
Unary
Relational Operations: SELECT
and
PROJECT
6.2 Relational Algebra
Operations
from
Set

Theory
6.3 Binary
Relational
Operations: JOIN
and
DIVISION
6.4
Additional
Relational
Operations
165
6.5 Examples of Queries in Relational Algebra
6.6
The
Tuple
Relational Calculus 173
6.7
The
Domain
Relational Calculus 181
6.8 Summary 184
Review Questions
Exercises 186
Selected Bibliography
xviii
Contents
CHAPTER
7 Relational Database Design by
ER and EER

to

Relational Mapping 191
7.1 Relational Database Design Using ER-to-Relational
Mapping 192
7.2 Mapping
EER
Model Constructs to Relations 199
7.3 Summary 203
Review Questions 204
Exercises 204
Selected Bibliography 205
CHAPTER
8 sQL
99:
Schema Definition,
Basic Constraints, and Queries
207
8.1 SQL
Data
Definition
and
Data
Types 209
8.2 Specifying Basic Constraints in
SQL 213
8.3
Schema
Change
Statements

in SQL 217
8.4 Basic Queries in SQL 218
8.5 More
Complex
SQL Queries 229
8.6 Insert, Delete,
and
Update
Statements
in SQL 245
8.7
Additional
Features of SQL 248
8.8 Summary 249
Review Questions 251
Exercises 251
Selected Bibliography 252
CHAPTER
9 More SQL: Assertions, Views, and Programming
Techniques
255
9.1 Specifying
General
Constraints as Assertions 256
9.2 Views (Virtual Tables) in
SQL 257
9.3 Database Programming: Issues and Techniques 261
9.4 Embedded SQL, Dynamic SQL,
and
SQL] 264

9.5 Database Programming with Function Calls:
SQL/CLl
and
]OBC
275
9.6 Database Stored Procedures
and
SQL/PSM 284
9.7 Summary 287
Review Questions 287
Exercises 287
Selected Bibliography 289
PART
3
DATABASE
DESIGN
THEORY
AND
METHODOLOGY
CHAPTER
10
Functional Dependencies and
Normalization for Relational Databases
293
10.1 Informal Design Guidelines for Relation Schemas 295
10.2 Functional Dependencies 304
10.3 Normal Forms Based
on
Primary Keys 312
10.4 General Definitions of Second

and
Third
Normal Forms 320
10.5 Boyce-Codd Normal Form 324
10.6 Summary 326
Review Questions 327
Exercises 328
Selected Bibliography 331
Contents
I xix
CHAPTER
11 Relational Database Design
Algorithms and Further Dependencies
11.1
Properties of Relational Decompositions 334
11.2
Algorithmsfor
Relational Database Schema Design
11.3 Multivalued Dependencies and Fourth Normal Form
11.4 Join Dependencies and Fifth Normal Form 353
11.5 Inclusion Dependencies 354
11.6
Other
Dependencies and Normal Forms 355
11.7 Summary 357
Review Questions 358
Exercises 358
Selected Bibliography 360
333
340

347
CHAPTER
12 Practical Database Design Methodology
and
Use
of
UML
Diagrams
361
12.1
The
Role
ofInformation
Systems in Organizations 362
12.2
The
Database Design
and
Implementation Process 366
12.3 Use ofUML Diagrams as an
Aid
to Database Design
Specification 385
12.4 Rational Rose, A
UML
Based Design
Tool
395
12.5
Automated

Database Design Tools 402
12.6 Summary 404
Review Questions 405
Selected Bibliography 406
xx I Contents
PART
4
DATA
STORAGE,
INDEXING,
QUERY
PROCESSING,
AND
PHYSICAL
DESIGN
443
430
431
422
415
454
450
CHAPTER
13
Disk
Storage, Basic File Structures, and
Hashing
411
13.1 Introduction 412
13.2 Secondary Storage Devices

13.3 Bufferingof Blocks 421
13.4 Placing File Records on Disk
13.5 Operations
on
Files 427
13.6 Filesof Unordered Records (Heap Files)
13.7 Files of Ordered Records (Sorted Files)
13.8 Hashing Techniques 434
13.9
Other
Primary File Organizations 442
13.10 Parallelizing Disk Access Using
RAID
Technology
13.11 Storage Area Networks 447
13.12 Summary 449
Review Questions
Exercises 451
Selected Bibliography
CHAPTER
14 Indexing Structures for Files
455
14.1 Types of Single-Level Ordered Indexes 456
14.2 Multilevel Indexes 464
14.3 Dynamic Multilevel Indexes Using
B-Trees and W-Trees 469
14.4 Indexes on Multiple Keys 483
14.5
Other
Types ofIndexes 485

14.6 Summary 486
Review Questions 487
Exercises 488
Selected Bibliography 490
CHAPTER
15
Algorithms for Query Processing
and Optimization
493
15.1 Translating SQL Queries into Relational Algebra 495
15.2 Algorithms for External Sorting 496
15.3 Algorithms for
SELECT and JOIN Operations 498
15.4 Algorithms for PROJECT and SET Operations 508
15.5 Implementing Aggregate
Operations
and
Outer
Joins 509
15.6
Combining
Operations
Using Pipelining 511
15.7 Using Heuristics in Query Optimization 512
15.8 Using Selectivity
and
Cost
Estimates in Query Optimization 523
15.9 Overview of Query
Optimization

in ORACLE 532
15.10
Semantic
Query
Optimization
533
15.11 Summary 534
Review Questions 534
Exercises 535
Selected Bibliography 536
CHAPTER
16
Practical Database
Design
and
Tuning
537
16.1
Physical Database Design in Relational Databases 537
16.2
An
Overview of Database
Tuning
in
Relational
Systems 541
16.3 Summary 547
Review Questions 547
Selected Bibliography 548
PART

5
TRANSACTION
PROCESSING
CONCEPTS
Contents
I XXI
CHAPTER
17 Introduction to Transaction
Processing Concepts and
Theory
17.1
Introduction
to
Transaction
Processing 552
17.2
Transaction
and
System
Concepts
559
17.3 Desirable Properties of Transactions 562
17.4 Characterizing Schedules Based
on
Recoverability
17.5 Characterizing Schedules Based
on
Serializability
17.6
Transaction

Support
in SQL 576
17.7 Summary 578
Review Questions 579
Exercises 580
Selected Bibliography 581
551
563
566
CHAPTER
18
Concurrency Control Techniques
583
18.1
Two-Phase Locking
Techniques
for Concurrency
Control
584
18.2 Concurrency
Control
Based
on
Timestamp Ordering 594
18.3 Multiversion
Concurrency
Control
Techniques
596
18.4 Validation (Optimistic)

Concurrency
Control
Techniques 599
XXII
Contents
18.5 Granularity of Data Items and Multiple Granularity Locking 600
18.6 Using Locks for Concurrency
Control
in Indexes 605
18.7
Other
Concurrency
Control
Issues 606
18.8 Summary 607
Review Questions 608
Exercises 609
Selected Bibliography 609
CHAPTER
19
Database Recovery Techniques
611
19.1 Recovery Concepts 612
19.2 Recovery Techniques Based
on
Deferred
Update
618
19.3 Recovery Techniques Based
on

Immediate Update 622
19A Shadow Paging 624
19.5
The
ARIES Recovery Algorithm 625
19.6 Recovery in Multidatabase Systems 629
19.7 Database Backup and Recovery from Catastrophic Failures 630
19.8 Summary 631
Review Questions 632
Exercises 633
Selected Bibliography 635
PART
6
OBJECT
AND
OBJECT-RELATIONAL
DATABASES
CHAPTER
20
Concepts for Object Databases
639
20.1 Overview of
Object-Oriented
Concepts 641
20.2
Object
Identity,
Object
Structure, and Type Constructors
20.3 Encapsulation of Operations, Methods, and Persistence

20A Type
and
Class Hierarchies and Inheritance 654
20.5 Complex Objects 657
20.6
Other
Objected-Oriented Concepts 659
20.7 Summary 662
Review Questions 663
Exercises 664
Selected Bibliography 664
643
649
CHAPTER
21 Object Database Standards, Languages, and
Design
665
21.1 Overview of
the
Object
Model of
ODMG
666
Contents
I XX/II
21.2
The
Object
Definition Language ODL
679

21.3
The
Object
Query Language OQL
684
21.4 Overview of
the
c++
Language Binding 693
21.5
Object
Database
Conceptual
Design 694
21.6 Summary 697
Review Questions 698
Exercises 698
Selected Bibliography 699
702
709
725
728
CHAPTER
22 Object-Relational and Extended-Relational
Systems 701
22.1 Overview of SQL
and
Its Object-Relational Features
22.2 Evolution
and

Current
Trends of Database Technology
22.3
The
Informix Universal Server 711
22.4 Object-Relational Features of Oracle 8 721
22.5
Implementation
and
Related Issues for Extended Type
Systems 724
22.6
The
Nested Relational Model
22.7 Summary 727
Selected Bibliography
PART
7
FURTHER
TOPICS
CHAPTER
23 Database Security and Authorization 731
23.1
Introduction
to Database Security Issues 732
23.2 Discretionary Access
Control
Based on
Granting
and

Revoking
Privileges 735
23.3 Mandatory Access
Control
and
Role- Based Access
Control
for Multilevel Security 740
23.4 Introduction to Statistical Database Security 746
23.5 Introduction to Flow
Control
747
23.6 Encryption
and
Public Key Infrastructures 749
23.7 Summary 751
Review Questions 752
Exercises 753
Selected Bibliography 753
XXIV
Contents
CHAPTER
24
Enhanced Data Models for Advanced
Applications
755
24.1
Active
Database
Concepts

and
Triggers 757
24.2 Temporal Database
Concepts
767
24.3 Multimedia Databases 780
24.4 Introduction to Deductive Databases 784
24.5 Summary 797
Review Questions 797
Exercises 798
Selected Bibliography 801
CHAPTER
25
Distributed Databases and
Client-Server Architectures
803
25.1 Distributed Database
Concepts
804
25.2
Data
Fragmentation, Replication,
and
Allocation
Techniques for Distributed Database Design 810
25.3 Types of Distributed Database Systems 815
25.4 Query Processing in Distributed Databases 818
25.5 Overview of Concurrency
Control
and

Recovery in Distributed
Databases 824
25.6
An
Overview of 3-Tier Client-Server Architecture 827
25.7 Distributed Databases in Oracle 830
25.8 Summary 832
Review Questions 833
Exercises 834
Selected Bibliography 835
PART
8
EMERGING
TECHNOLOGIES
CHAPTER
26
XML
and Internet Databases 841
26.1 Structured, Semistructured,
and
Unstructured
Data
842
26.2
XML Hierarchical (Tree)
Data
Model 846
26.3
XML Documents, OTO,
and

XML
Schema
848
26.4
XML Documents
and
Databases 855
26.5
XML Querying 862
26.6 Summary 865
Review Questions 865
Exercises 866
Selected Bibliography 866
CHAPTER
27
Data Mining Concepts
867
27.1 Overview of Data Mining Technology 868
27.2 Association Rules 871
27.3 Classification 882
27.4 Clustering 885
27.5 Approaches to
Other
Data Mining Problems 888
27.6 Applications of Data Mining 891
27.7 Commercial Data Mining Tools 891
27.8 Summary 894
Review Questions 894
Exercises 895
Selected Bibliography 896

CHAPTER
28 Overview of Data Warehousing and
OLAP
899
28.1
Introduction, Definitions, and Terminology 900
28.2 Characteristics of
Data
Warehouses 901
28.3 Data Modeling for
Data
Warehouses 902
28.4 Building a Data Warehouse 907
28.5 Typical Functionality of a Data Warehouse 910
28.6 Data Warehouse Versus Views 911
28.7 Problems and
Open
Issues in Data Warehouses 912
28.8 Summary 913
Review Questions 914
Selected Bibliography 914
CHAPTER
29
Emerging Database Technologies and
Applications
915
29.1 Mobile Databases 916
29.2 Multimedia Databases 923
29.3 Geographic Information Systems 930
29.4

Genome
Data Management 936
Contents
I xxv
xxvi I Contents
APPENDIX
A
Alternative
Diagrammatic
Notations
947
APPENDIX
B
Database
Design
and
Application
Implementation
Case
Study-located
on
the
WI
APPENDIX
C
Parameters
of
Disks
951
APPENDIX

D
Overview
of
the
QBE Language
955
APPENDIX
E
Hierarchical
Data
Model-located
on
the
web
APPENDIX
F
Network
Data
Model-located
on
the
web
Selected Bibliography
963
Index
1009
INTRODUCTION
AND
CONCEPTUAL
MODELl

NG
Databases and
Database Users
Databases
and
database
systems
have
become
an essential
component
of
everyday life in
modern society.
In
the
course of a day,
most
of us
encounter
several activities
that
involve
some
interaction
with
a database. For
example,
if we go
to

the
bank
to deposit or
with-
draw funds, if we
make
a
hotel
or airline reservation, if we access a computerized library
catalog to
search
for a
bibliographic
item,
or if we buy some
item-such
as a book, toy,
or
computer-from
an
Internet
vendor
through
its
Web
page,
chances
are
that
our

activities
will involve
someone
or
some
computer
program
accessing a database.
Even
purchasing
items from a
supermarket
nowadays in
many
cases involves
an
automatic
update
of
the
database
that
keeps
the
inventory
of
supermarket
items.
These
interactions

are
examples
of
what
we may call
traditional
database
applications, in
which
most of
the
information
that
is stored
and
accessed is
either
textual or
numeric.
In
the
past
few years,
advances
in
technology
have
been
leading to
exciting

new
applications
of database systems.
Multimedia
databases
can
now
store
pictures,
video
clips,
and
sound
messages.
Geographic
information
systems
(CIS)
can
store
and
analyze maps,
weather
data,
and
satellite images.
Data
warehouses
and
online

analytical
processing
(ot.Ar)
systems are used in
many
companies
to
extract
and
analyze
useful
information
from very large databases for
decision
making.
Real-time
and
active
database
technology
is used in
controlling
industrial
and
manufacturing
processes.
And
database
search
techniques

are
being
applied
to
the
World
Wide
Web
to improve
the
search for
information
that
is
needed
by users browsing
the
Internet.
3