Syllabus

• UNIT-1 : INTRODUCTION Overview, Database System vs File System, Database System Concept and Architecture, Data
Model Schema and Instances, Data Independence and Database Language and Interfaces, Data Definitions Language,
DML, Overall Database Structure. Data Modeling Using the Entity Relationship Model: ER Model Concepts, Notation
for ER Diagram, Mapping Constraints, Keys, Concepts of Super Key, Candidate Key, Primary Key, Generalization,
Aggregation, Reduction of an ER Diagrams to Tables, Extended ER Model, Relationship of Higher Degree.
• UNIT-2 : RELATIONAL DATA MODEL Relational Data Model Concepts, Integrity Constraints, Entity Integrity, Referential
Integrity, Keys Constraints, Domain Constraints, Relational Algebra, Relational Calculus, Tuple and Domain Calculus.
Introduction on SQL: Characteristics of SQL, Advantage of SQL. SQl Data Type and Literals. Types of SQL Commands.
SQL Operators and Their Procedure. Tables, Views and Indexes. Queries and Sub Queries. Aggregate Functions. Insert,
Update and Delete Operations, Joins, Unions, Intersection, Minus, Cursors, Triggers, Procedures in SQL/PL SQL.
• UNIT-3 : DATA BASE DESIGN & NORMALIZATION Functional dependencies, normal forms, first, second, 3 third normal
forms, BCNF, inclusion dependence, loss less join decompositions, normalization using FD, MVD, and JDs, alternative
approaches to database design.
• UNIT-4 : TRANSACTION PROCESSING CONCEPT Transaction System, Testing of Serializability, Serializability of
Schedules, Conflict & View Serializable Schedule, Recoverability, Recovery from Transaction Failures, Log Based
Recovery, Checkpoints, Deadlock Handling. Distributed Database: Distributed Data Storage, Concurrency Control,
Directory System.
• UNIT-5 : CONCURRENCY CONTROL TECHNIQUES Concurrency Control, Locking Techniques for Concurrency Control,
Time Stamping Protocols for Concurrency Control, Validation Based Protocol, Multiple Granularity, Multi Version
Schemes, Recovery with Concurrent Transaction, Case Study of Oracle.
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 What is Data ?
• Data are characteristics or attributes, often numerical, collected through observation and can
be qualitative(descriptive) or quantitative(numerical). Any facts and figures about an entity is
called as Data.
• Data serves a crucial role in various sectors by facilitating analysis, supporting decision-making
processes, and being fundamental to research activities.

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 What is Information ?
• Data becomes information when analyzed and placed in context, providing a basis for
understanding, decision-making, and further analysis. Processed Data is called
information.

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 What is Data Base?
• A database is a structured collection of data, facilitating easy access,
management, and updates., generally stored and accessed electronically from a
computer system.

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 What is Data Base Management System?
• A DBMS is software facilitating efficient data storage, retrieval, and management in
databases.
• Ensures data safety and integrity, while offering accessibility and concurrency control.
• Supports functions like data querying, reporting, and analytics for informed decision-
making.

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 Aspect File System Database Management System

Slower data retrieval due to unstructured Structured querying capabilities allow for
Data Access
querying capabilities. quicker data access.

Challenges in correlating data across Facilitates data integration, reducing data

Data Isolation
separate files leading to data isolation. isolation issues.

Risk of inadvertent data alterations or Features to prevent unauthorized data

Data Integrity
deletions creating integrity problems. alterations, maintaining integrity.

Potential for data inconsistency due to Supports transaction properties like

Atomicity Problem incomplete operations, leading to atomicity, ensuring operations are either
atomicity problems. completed fully or not at all.

Conflicts and inconsistencies from Advanced concurrency controls to manage

Concurrent Access
simultaneous data access/modifications, multiple users accessing the database
Anomalies
causing concurrent access anomalies. simultaneously, reducing anomalies.
 View of Data Base (Data Abstraction)
• Physical Level

• Logical Level/ Conceptual Level

• View Level

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 View of Data Base (Data Abstraction)
• Physical Level: The internal schema details data storage and access on hardware,
featuring the lowest level of data abstraction with complex structures, predominantly
managed by the database administrator.

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 View of Data Base
• Logical Level/ Conceptual Level: Above the physical level, this level showcases
data as entity sets and their relationships, detailing the types and connections
between stored data in the database.

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 View of Data Base
• View Level: This is the pinnacle of data abstraction, displaying only a portion of
the entire database focusing on user-interest areas. It can represent multiple
views of the same data, allowing users to access information through various
applications from the database.

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 Data independence
• Data independence is defined as the capacity to change the schema at one level of a
database system without having to change the schema at the next higher level.
• Types of data independence :
• Physical data independence: a. Physical data independence is the ability to modify
internal schema without changing the conceptual schema. b. Modification at the
physical level is occasionally necessary in order to improve performance. c. It refers to
the immunity of the conceptual schema to change in the internal schema. d.
Examples of physical data independence are reorganizations of files, adding a new
access path or modifying indexes, etc.
• Logical data independence: a. Logical data independence is the ability to modify the
conceptual schema without having to change the external schemas or application
programs. b. It refers to the immunity of the external model to changes in the
conceptual model. c. Examples of logical data independence are addition/removal of
entities.
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 Instance and Schemas
• Instance of the Database:
• The collection of information stored in the database at a specific moment is known as an
instance of the database. It is a snapshot of the database that contains live data at that
moment, showing the current state of all records and transactions.

• Database Schema:
• The database schema refers to the overall design of the database, illustrating the logical
structure and organization of data. It defines how data is organized and how relationships
between data are handled, essentially serving as the blueprint for how the database is
constructed.

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 OLAP (Online Analytical OLTP (Online Transaction
Aspect
Processing) Processing)

Designed for complex data analysis Handles daily transactional data

Primary Function
and reporting. processing.

Star or snowflake schema, Normalized schema, optimizing for

Database Design
optimizing for read operations. write operations.

Complex queries involving Simple and standard queries

Query Complexity aggregations and computations focusing on CRUD operations
across multiple dimensions. (Create, Read, Update, Delete).

Deals with large volumes of data Processes a high number of small

Data Volume
for historical analysis. transactions.

Slower response time due to Fast response time to support high

Response Time
complex queKrineos.wledge Gate Websit transaction
e rates.
 Types of Data Base
• Commercial Database: Predominantly used in the business sector to handle
large volumes of transactions and customer data. A CRM system like Salesforce
which handles large volumes of customer data and transactions.

• Multimedia Database: Stores data types such as images, audio, and video files,
facilitating the management and retrieval of multimedia content. A digital asset
management system like Adobe Experience Manager that facilitates the storage
and retrieval of multimedia content.

• Deductive Database: Utilizes logic programming to derive information from

data stored in a database, allowing for more complex and analytical queries. A
database using Datalog (a query language) which allows for complex logical
queries and information derivation.
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• Temporal Database: Keeps track of changing data over time, allowing for
queries concerning time-based data. A historical trading database in the
financial sector which keeps track of stock prices over time.

• Geological Information System (GIS): Stores, organizes, and analyzes

geographical data, aiding in spatial analysis and mapping projects. A system like
ArcGIS which enables the storage, analysis, and visualization of geographical
data.

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 DBA(Database Administrator)
Database administrators hold authority over data and the programs facilitating data access. Their
roles/functions are:
• Schema Definition: DBA outlines the original database schema.
Achieved through writing definitions translated to permanent
labels in the data dictionary by the DDL compiler.
• Storage Structure and Access Method Definition: Responsible
for forming appropriate storage structures and access methods.
Achieved through writing definitions translated by the data
storage and definition language compiler.
• Schema and Physical Organization Modification: Involves altering
the database schema or physical storage organization. Changes are
implemented by writing definitions that modify the relevant
internal system tables.
• Granting of Authorization for Data Access: DBA grants varied types of data access authorization to
different database users.
• Integrity Constraint Specification: DBA implements and maintains integrity constraints to ensure data
accuracy and consistency.
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DBMS Architecture

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1. Query Processor: This is the component of a DBMS that interprets and executes user queries. It comprises several
sub-components including:
1. DML Compiler: Processes Data Manipulation Language (DML) statements into low-level instructions that can
be executed.
2. DDL Interpreter: Processes Data Definition Language (DDL) statements into metadata tables.
3. Embedded DML Pre-compiler: Translates DML statements embedded in application programs into
procedural calls.
4. Query Optimizer: Determines the most efficient way to execute a query by evaluating different query plans.
2. Storage Manager: Also known as the Database Control System, it is responsible for managing the data stored in
the database, ensuring its consistency and integrity. It includes the following sub-components:
1. Authorization Manager: Manages access controls and privileges.
2. Integrity Manager: Ensures that data modifications adhere to integrity constraints.
3. Transaction Manager: Manages concurrent access to the database and maintains database consistency
during transactions.
4. File Manager: Manages file space and data structures representing information in the database.
5. Buffer Manager: Manages data cache and data transfer between main memory and secondary storage.
3. Disk Storage: Represents the storage aspect of a DBMS, encompassing the following components:
1. Data Files: Files where the actual data is stored.
2. Data Dictionary: Repository containing information about the structure and characteristics of database
objects.
3. Indices: Data structures that facilitate faster data retrieval.
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A Database Management System (DBMS) consists of three primary components:

1. Internal Level: Concerns the physical storage of data in databases, overseeing data storage
on hardware devices, and managing low-level aspects like data compression and indexing.

2. Conceptual Level: Represents the logical layout of the database, detailing the schema with
tables and attributes and their interrelations. It's independent of specific DBMS
implementations, focusing on organizing and connecting data elements.

3. External Level: Embodies the user interface of the database, facilitating data access and
interaction through user-friendly views and interfaces tailored to various user groups.

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 ER Diagram
• Developed by Dr. Peter Chen in 1976, this conceptual level
method, grounded in real-world perceptions, facilitates
diagrammatic data representation, simplifying
comprehension for non-technical users.

• The E-R data model, central to database design, encapsulates

entities and their attributes within an enterprise schema,
serving as a clear, standardized tool for translating real-world
enterprise interactions into a conceptual schema.

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ER diagram for bank

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ER diagram for University System

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ER diagram for University System

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ER diagram for Marketing Company

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 ENTITY
• An entity is a thing or an object in the real world that is distinguishable from other object
based on the values of the attributes it possesses.

• An entity may be concrete, such as a person or a book, or it may be abstract, such as a course,
a course offering, or a flight reservation.

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• Types of Entity

• Tangible - Entities which physically exist in real world. E.g. - Car, Pen, locker

• Intangible - Entities which exist logically. E.g. – Account, video.

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• In ER diagram we cannot represent an entity, as entity is an instant not schema,
and ER diagram is designed to understand schema

• In a relational model entity is represented by a row or a tuple or a record in a

table.

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• ENTIY SET- Collection of same type of entities that share the same properties
or attributes.

• In an ER diagram an entity set is represented by a rectangle

• In a relational model it is represented by a separate table

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 ATTRIBUTES
• Attributes are the units defines and describe properties and characteristics of entities.

• Attributes are the descriptive properties possessed by each member of an entity set.
for each attribute there is a set of permitted values called domain.

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• In an ER diagram attributes are represented by ellipse or oval connected to rectangle.

• While in a relational model they are represented by independent column. e.g.

Instructor (ID, name, salary, dept_name)

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 Types of Attributes
• Single valued- Attributes having single value at any instance of time for an entity. E.g. –
Aadhar no, dob.

• Multivalued - Attributes which can have more than one value for an entity at same time. E.g.
- Phone no, email, address.
• A multivalued attribute is represented by a double ellipse in an ER diagram and by an
independent table in a relational model.
• Separate table for each multivalued attribute, by taking mva and pk of main table as fk in
new table

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 Customer
Customer ID First Name Surname Telephone Number
123 Rabri Devi Singh 555-861-2025, 192-122-1111
(555) 403-1659 Ext. 53; 182-929-
456 Imarti Devi Zhang
2929
789 Barfi Devi Doe 555-808-9633

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 Customer
Customer ID First Name Surname Telephone Number
123 Pooja Singh 555-861-2025, 192-122-1111
456 San Zhang (555) 403-1659 Ext. 53; 182-929-2929
789 John Doe 555-808-9633

जुगाड़ technology

Customer

Customer ID First Name Surname Telephone Number1 Telephone Number2

123 Pooja Singh 555-861-2025 192-122-1111

(555) 403-1659 Ext.
456 San Zhang 182-929-2929
53
789 John Doe 555-808-9633

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 Customer
Customer ID First Name Surname Telephone Number
123 Rabri Devi Singh 555-861-2025, 192-122-1111

456 Imarti Devi Zhang (555) 403-1659 Ext. 53; 182-929-2929

789 Barfi Devi Doe 555-808-9633

Customer Name Customer Phone Number

Customer ID Telephone Number
Customer ID First Name Surname
123 555-861-2025
123 Pooja Singh 123 192-122-1111
456 (555) 403-1659 Ext. 53
456 San Zhang
456 182-929-2929
789 John Doe 789 555-808-9633

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• Simple - Attributes which cannot be divided further into sub parts. E.g. Age

• Composite - Attributes which can be further divided into sub parts, as simple
attributes. A composite attribute is represented by an ellipse connected to an
ellipse and in a relational model by a separate column.

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• Stored - Main attributes whose value is permanently stored in database. E.g.
date_of_birth

• Derived -The value of these types of attributes can be derived from values of other
Attributes. E.g. - Age attribute can be derived from date_of_birth and Date attribute.

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Descriptive attribute - Attribute of relationship is called descriptive attribute.

• An attribute takes a null value when an entity does not have a value for it. The null
value may indicate “not applicable”— that is, that the value does not exist for the
entity.

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Relationship / Association

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 Relationship / Association
• Is an association between two or more entities of same or different entity set.

• In ER diagram we cannot represent individual relationship as it is an instance or

data.

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• In an ER diagram it is represented by a diamond, while in relational model
sometimes through foreign key and other time by a separate table.

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• Every relationship type has three components.

• Name

• Degree

• Structural constraints (cardinalities ratios, participation)

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• NAME- every relation must have a unique name.

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 Degree of a relationship/relationship set
• Means number of entities set(relations/tables) associated(participate) in the
relationship set.
• Most of the relationship sets in a data base system are binary.
• Occasionally however relationship sets involve more than two entity sets.
• Logically, we can associate any number of entity set in a relationship called N-ary
Relationship.

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• Unary Relationship - One single entity set participate in a Relationship, means
two entities of the same entity set are related to each other.

• These are also called as self -referential Relationship set.

• E.g.- A member in a team maybe supervisor of another member in team.

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• Binary Relationship - Two entity sets participate in a Relationship. It is
most common Relationship.

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• Ternary Relationship - When three entities participate in a Relationship. E.g.
The University might need to record which teachers taught which subjects in
which courses.

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• Quaternary Relationship - When four entities participate in a Relationship.

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• N-ary relationship – where n number of entity set are associated

• But the most common relationships in ER models are Binary.

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 Structural constraints (Cardinalities Ratios, Participation)

• An E-R enterprise schema may define certain constraints to which the contents
of a database must conform.

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 MAPPING CARDINALITIES / CARNINALITY RATIOS

• Express the number of entities to which another entity can be associated via a
relationship set. Four possible categories are-
• One to One (1:1) Relationship.
• One to Many (1: M) Relationship.
• Many to One (M: 1) Relationship.
• Many to Many (M: N) Relationship.

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One to One (1:1) Relationship - An entity in A is associated with at most one entity
in B, and an entity in B is associated with at most one entity in A.

E.g.- The directed line from relationship set advisor to both entities set indicates that ‘an instructor
may advise at most one student, and a student may have at most one advisor’.

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One to Many (1: M) Relationship - An entity in A is associated with any number
(zero or more) of entities in B. An entity in B, however, can be associated with at
most one entity in A.

E.g.- This indicates that an instructor may advise many students, but a student may
have at most one advisor.

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Many to One (M: 1) Relationship - An entity in A is associated with at most one
entity in B. An entity in B, however, can be associated with any number (zero or
more) of entities in A.

E.g.- This indicates that student may have many instructors but an instructor can
advise at most one student.

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Many to Many(M:N) Relationship - 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.

E.g.- This indicates a student may have many advisors and an instructor may advise
many students.

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• PARTICIPATION CONSTRAINTS- it defines participations of entities of an entity
type in a relationship.

• Partial participation

• Total Participation

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 STRONG AND WEAK ENTITY SET
• An entity set is called strong entity set, if it has a primary key, all the tuples in the set
are distinguishable by that key.
• An entity set that does not process sufficient attributes to form a primary key is called a
weak entity set.
• It contains discriminator attributes (partial key) which contain partial information about
the entity set, but it is not sufficient enough to identify each tuple uniquely.
Represented by double rectangle.

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• For a weak entity set to be meaningful and converted into strong entity set, it must be
associated with another strong entity set called the identifying or owner entity set i.e.
weak entity set is said to be existence dependent on the identity set.
• The identifying entity set is said to own weak entity set that it identifies.
• A weak entity set may participate as owner in an identifying relationship with another
weak entity set.

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• The relationship associating the weak entity set with the identifying entity set is called
the identifying relationship (double diamonds).
• The identifying relationship is many to one from the weak entity set to identifying
entity set, and the participation of the weak entity set in relationship is always total.
• The primary key of weak entity set will be the union of primary key and discriminator
attributes.

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 REASONS TO HAVE WEAK ENTITY SET

• Weak entities reflect the logical structure of an entity being dependent on

another.
• Weak entity can be deleted automatically when their strong entity is deleted.
• Without weak entity set it will lead to duplication and consequent possible
inconsistencies.

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 Conversion From ER Diagram To Relational Model
• Entity Set
• Convert every strong, weak entity set into a separate table. In weak entity set we make it
dependent onto one strong entity set (identifying or owner entity set).
• Relationship
• If Unary: No separate table is required, add a new column as fk which refer the pk of the same
table.
• if 1:1 No separate table is required, take pk of one side and put it as fk on other side, priority must
be given to the side having total participation.
• if 1:n or n:1 No separate table is required, modify n side by taking pk of 1 side a foreign key on n
side.
• If m-n Separate table is required take pk of both table and declare their combination as a pk of
new table
• (3 or More) Take the pk of all participating entity sets as fk and declare their combinations as pk in
the new table.
• Attributes
• Multivalued-A separate table must be taken for all multivalued attributes, where we take pk of the
main table as fk and declare combination of fk and multivalued attribute are pk in the new table.
• Composite Attributes-A separateKcnoo luw
mln
edmguesG
t baetetaW
keenbfsoitreall simple attributes of the composite
 Generalization
• Involves merging two lower-level entities to create a higher-level entity.
• A bottom-up approach that builds complexity from simpler components.
• Highlights similarities among lower-level entity sets while hiding differences.
• Leads to a simplified, structured data representation, aiding in database design
and querying processes.

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 Specialization
• A process where a higher-level entity is broken down into more specific, lower-
level entities.
• This top-down approach delineates complexity into simpler components.
• Acts as the converse of the generalization process, focusing on differentiating
properties rather than similarities.

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 Aggregation
• A concept wherein relationships are abstracted to form higher-level
entities, enabling a more organized representation of complex
relationships.

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 ADVANTAGES OF E-R DIGRAM
• Constructs used in the ER diagram can easily be transformed into relational
tables.
• It is simple and easy to understand with minimum training.

DISADVANTAGE OF E-R DIGRAM

• Loss of information content
• Limited constraints representation
• It is overly complex for small projects

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 RELATIONAL DATABASE MANAGEMENT SYSTEM
• A relational database management system (RDBMS),
conceptualized by Edgar F. Codd in 1970, serves as the foundation
for most contemporary commercial and open-source database
applications.
• Central to its design is the utilization of tables for data storage,
where it maintains and enforces specific data relationships,
marking a significant evolution in database design.

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 BASICS OF RDBMS
• Domain (set of permissible value in particular column) is a set of atomic values.
• By atomic we mean that each value in the domain is indivisible as far as the formal
relational model is concerned.
• A common method of specifying a domain is to specify a data type from which the
data values forming the domain are drawn.
• E.g. Names: The set of character strings that represent names of persons.

Domain/ NAME ID CITY COUNTRY HOBBY

NISHA 1 AGRA INDIA PLAYING
Field/ NIKITA 2 DELHI INDIA DANCING
Column/ AJAY 3 AGRA INDIA CHESS
ARPIT 4 PATNA INDIA READING
Arity/
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• Table (Relation) - A Relation is a set of tuples/rows/entities/records.

• Tuple - Each row of a Relation/Table is called Tuple.

• Arity/Degree - No. of columns/attributes of a Relation. E.g. - Arity is 5 in Table Student.

• Cardinality - No of rows/tuples/record of a Relational instance. E.g. - Cardinality is 4 in table

Student. NAME ID CITY COUNTRY HOBBY
NISHA 1 AGRA INDIA PLAYING
Rows/Tuples/Record/ NIKITA 2 DELHI INDIA DANCING
Cardinality AJAY 3 AGRA INDIA CHESS
ARPIT 4 PATNA INDIA READING

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 Properties of Relational tables
1. Cells contains atomic values

2. Values in a column are of the same kind

3. Each row is unique

4. No two tables can have the same name in a relational schema.

5. Each column has a unique name

6. The sequence of rows is insignificant

7. The sequence of columns is insignificant.

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 Problems in relational database
• Update Anomalies- Anomalies that cause redundant work to be done during
insertion into and Modification of a relation and that may cause accidental loss
of information during a deletion from a relation
• Insertion Anomalies

• Modification Anomalies

• Deletion Anomalies

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• Insertion anomalies: An independent piece of information cannot be recorded
into a relation unless an irrelevant information must be inserted together at the
same time.

Roll no name Age Br_code Br_name Br_hod_name

1 A 19 101 Cs Abc
2 B 18 101 Cs Abc
3 C 20 101 Cs Abc
4 D 20 102 Ec Pqr

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• Modification anomalies: The update of a piece of information must occur at
multiple locations.
Roll no name Age Br_code Br_name Br_hod_name
1 A 19 101 Cs Abc
2 B 18 101 Cs Abc
3 C 20 101 Cs Abc
4 D 20 102 Ec Pqr

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• Deletion Anomalies: The deletion of a piece of information unintentionally
removes other information.

Roll no name Age Br_code Br_name Br_hod_name

1 A 19 101 Cs Abc
2 B 18 101 Cs Abc
3 C 20 101 Cs Abc
4 D 20 102 Ec Pqr

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Roll no name Age Br_code Br_name Br_hod_name
1 A 19 101 Cs Abc
2 B 18 101 Cs Abc
3 C 20 101 Cs Abc
4 D 20 102 Ec Pqr
PK FK PK

Roll no name Age Br_code Br_code Br_name Br_hod_name

1 A 19 101 101 Cs Abc
2 B 18 101 102 ec Pqr
3 C 20 101
4 D 20 102

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 Purpose of Normalization
• Normalization may be simply defined as refinement process. Which includes creating
tables and establishing relationships between those tables according to rules designed
both to protect data and make the database more flexible by eliminating two factors;
• Redundancy
• Inconsistent Dependency
• With out normalization data base system may be inaccurate, slow and inefficient and
they might not produce the data we expect. A series of normal form tests that can
be carried out on individual relation schemas so that the relational database can
be normalized to any desired degree.
• 1NF>>>2NF>>3NF>>BCNF

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 Conclusion
1. Like every paragraph must have a single idea similarly every table must have a
single idea and if a table contains more than one idea then that table must be
decomposed until each table contains only one idea.

2. We need some tools to approach this decomposition or normalization on large

database which contains a number of table, and that tool is functional
dependencies.

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 Roll no name Age Br_code Br_name Br_hod_name
1 A 19 101 Cs Abc
2 B 18 101 Cs Abc
3 C 20 101 Cs Abc
4 D 20 102 Ec Pqr

Roll no name Age Br_code Br_code Br_name Br_hod_name

1 A 19 101 101 Cs Abc
2 B 18 101 102 ec Pqr
3 C 20 101
4 D 20 102

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Functional Dependency

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Br_code Br_hod_name

Br_code Br_hod_name

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Functional Dependency कोई बताता नह ,ी ी इसक feel आ जात
है

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 FUNCTIONAL DEPENDENCY
• A formal tool for analysis of relational schemas.
X Y Z
• In a Relation R, if ‘α’ ⊑ R AND ‘β’ ⊑ R, then 1 4 2
attribute or a Set of attribute ‘α’ Functionally 1 4 3
derives an attribute or set of attributes ‘β’, iff
2 6 3
each ‘α’ value is associated with precisely one ‘β’
3 2 2
value.
• For all pairs of tuples t1 and t2 in R such that
• If T1[α] = T2[α]
• Then, T1[β] = T2[β]

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Q Consider the following relation instance, which of the following
dependency doesn’t hold

A) A  b A B C
1 2 3
B) BC  A
4 2 3
C) B  C 5 3 3

D) AC  B
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• Trivial Functional dependency - If β is a subset of α, then the functional
dependency α  β will always hold.
X Y Z
जजसका होना न होना बराबर 1 4 2
हो 1 4 3
2 6 3
3 2 2

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 ATTRIBUTES CLOSURE/CLOSURE ON ATTRIBUTE SET/ CLOSURE SET OF ATTRIBUTES
• Attribute closure of an attribute set can be defined as set of attributes which can
be functionally determined from F.
• DENOTED BY F+
Q R(ABCDE)
R (A, B, C, D) R(ABCDEFG) A  BC
A→B AB CD  E
B→C BC  DE BD
AB → D AEG  G EA
A+ = (AC)+ =? (B)+ =

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 ARMSTRONG’S AXIOMS
1. An axiom or postulate is a statement that is taken to be true, to
serve as a premise or starting point for further reasoning and
arguments.
2. Armstrong's axioms are a set of axioms (or, more
precisely, inference rules) used to infer all the functional
dependencies on a relational database. They were developed
by William W. Armstrong in his 1974 paper.
3. The axioms are sound in generating only functional dependencies
in the closure of a set of functional dependencies (denoted as F+)
when applied to that set (denoted as F).

vikram sharma
 Armstrong Axioms

• Reflexivity: If Y is a subset of X, then X → Y

• Augmentation: If X → Y, then XZ → YZ

• Transitivity: If X → Y and Y → Z, then X → Z

vikram sharma
From these rules, we can derive these secondary rules-

• Union: If X → Y and X → Z, then X → YZ

• Decomposition: If X → YZ, then X → Y and X → Z

• Pseudo transitivity: If X → Y and WY → Z, then WX → Z

• Composition: If X → Y and Z → W, then XZ → YW

vikram sharma
 Why Armstrong axioms refers to the Sound and Complete
• By sound, we mean that given a set of functional dependencies F specified on a
relation schema R, any dependency that we can infer from F by using the
primary rules of Armstrong axioms holds in every relation state r of R that
satisfies the dependencies in F.

• By complete, we mean that using primary rules of Armstrong axioms repeatedly

to infer dependencies until no more dependencies can be inferred results in the
complete set of all possible dependencies that can be inferred from F.

vikram sharma
Equivalence of Two FD sets-

Two FD sets F1 and F2 are equivalent if –

F +=F +
1 2

Or

F1 ⊑ F2+ and F2 ⊑ F1+

vikram sharma
Q Consider the following set of fd R(ACDEH)
F G
AC A  CD

AC  D
E  AH
E  AD

EH

vikram sharma
 To find the MINIMAL COVER / CANONICAL COVER / IRREDUCIBLE SET
• A canonical cover (also known as a minimal cover) for a set of functional dependencies in a database is
a minimal set of functional dependencies that is equivalent to the original set, but with redundant
dependencies and extraneous attributes removed. It is used in the normalization process of database
design to simplify the set of functional dependencies and to find a good set of relations.

• There may be any following type of redundancy in the set of functional dependencies: -
• Complete production may be Redundant.

• One or more than one attributes may be redundant on right hand side of a production.

• One or more than one attributes may be redundant on Left hand side of a production.

vikram sharma
Q R(ABCD)

AB

CB

D  ABC

AC  D

vikram sharma
R(A,B,C)
AB
BC
AC
AB  B
AB  C
AC  B

vikram sharma
 Key

vikram sharma
 Super key
• Set of attributes using which we can identify each tuple uniquely is called Super
key.
• Let X be a set of attributes in a Relation R , if X+(Closure of X) determines all
attributes of R then X is said to be Super key of R .
• There should be at least one Super key in every relation.

vikram sharma
 Candidate key
• Minimal set of attributes using which we can identify each tuple uniquely is
called Candidate key. A super key is called candidate key if it’s No proper subset
is a super key. Also called as MINIMAL SUPER KEY.

• There should be at least one candidate key.

vikram sharma
Prime attribute - Attributes that are member of at least one
candidate Keys are called Prime attributes.

vikram sharma
 Primary key
• One of the candidate keys is selected by database administrator as a Primary
means to identify tuple is called primary Key. Primary Key attribute are not
allowed to have Null values. Exactly one Primary Key per table in RDMS.

• Candidate key which are not chosen as primary key is alternate key.

vikram sharma
 Foreign Keys
• A foreign key is a column or group of columns in a relational database table that
refers the primary key of the same table or some other table to represent
relationship.

• The concept of referential integrity is derived from foreign key theory.

vikram sharma
Roll no name Age Br_code Br_name Br_hod_name
1 A 19 101 Cs Abc
2 B 18 101 Cs Abc
3 C 20 101 Cs Abc
4 D 20 102 Ec Pqr
PK FK PK

Roll no name Age Br_code Br_code Br_name Br_hod_name

1 A 19 101 101 Cs Abc
2 B 18 101 102 ec Pqr
3 C 20 101
4 D 20 102

vikram sharma
PK FK
Roll no CR
1 1
2 2
3 1
4 2
5 1
6 2
7 1
8 2
9 1
10 2
11 1
12 2
13 1
14 2
15 null
vikram sharma
• Composite key – Composite key is a key composed of more than one
column sometimes it is also known as concatenated key.

• Secondary key – Secondary key is a key used to speed up the search

and retrieval contrary to primary key, a secondary key does not
necessary contain unique values.

vikram sharma
NORMAL FORM
vikram sharma
 FIRST NORMAL FORM
• 1NF is the initial step of database normalization.
• Implications of first normal form
• Atomic Values: Each cell in a table contains indivisible, atomic values. Means a Relation
should not contain any multivalued or composite attributes.
• Unique Columns: Each column must have a distinct name to identify the data it contains.
• Primary Key: A table in 1NF should have a primary key that uniquely identifies each record.
• Eliminating Duplicates: Duplicate rows are removed to prevent data redundancy.

vikram sharma
Prime attribute: - A attribute is said to be prime if it is part of any of the candidate key

Non-Prime attribute: - A attribute is said to be non-prime if it is not part of any of the candidate
key

Eg R(ABCD)
ABCD
Here candidate key is AB so, A and B are prime attribute, C and D are non-prime attributes.

vikram sharma
PARTIAL DEPENDENCY- When a non – prime attribute is dependent only on a part (Proper
subset) of candidate key then it is called partial dependency. (PRIME > NON-PRIME)

Full DEPENDENCY- When a non – prime attribute is dependent on the entire candidate key then
it is called Full dependency.

e.g. R(ABCD)
ABD
AC

vikram sharma
 SECOND NORMAL FORM
• Relation R is in 2NF if,
• R should be in 1 NF.
• R should not contain any Partial dependency. (that is every non-prime
attribute should be fully dependent upon candidate key)

vikram sharma
Q R(A, B, C) BC
A B C A B B C
a 1 X A 1 1 X
b 2 Y B 2 2 Y
a 3 Z A 3 3 z
C 3 Z C 3
D 3 Z D 3
E 3 Z E 3

vikram sharma
vikram sharma
TRANSITIVE DEPENDENCY – A functional dependency from non-Prime attribute to
non-Prime attribute is called transitive

E.g.- R(A, B, C, D) with A as a candidate key

AB
BC [ transitive dependency]
CD [transitive dependency]

vikram sharma
 THIRD NORMAL FORM

• Let R be the relational schema, it is said to be in 3 NF

• R should be in 2NF
• It must not contain any transitive dependency

vikram sharma
THIRD NORMAL FORM DIRECT DEFINATION

• A relational schema R is said to be 3 NF if every functional dependency

in R from α-->β, either α is super key or β is the prime attribute

vikram sharma
R(A, B, C) A B C A B B C
A 1 P A 1 1 P
AB B 2 Q B 2 2 Q
C 2 Q C 2 3 R
BC D 2 Q D 2 4 S
E 3 R E 3
F 3 R F 3
G 4 S G 4

vikram sharma
 BCNF (BOYCE CODD NORMAL FORM)
• A relational schema R is said to be BCNF if every functional
dependency in R from
• αβ
• α must be a super key

vikram sharma
R(A, B, C) A B C A B C B
AB  C
A C B A B B C
B B C B B C B
CB B A D B A D A
A A E A A E A
C C B C C
D C B D C
E C B e C
F C B f c

vikram sharma
 Some important note points on Normalization:

• A Relation with two attributes is always in BCNF.

• A Relation schema R consist of only prime attributes then R is always in 3NF, but
may or may not be in BCNF.

vikram sharma
Q Consider the universal relational schema R (A, B, C, D, E, F, G, H, I, J) and a set of
following functional dependencies.
F = {AB  C, A  DE, B  F, F  GH, D  IJ} determine the keys for R ?
Decompose R into 2nd normal form.

vikram sharma
Q Find the normal form of relation R(A, B, C, D, E) having FD set F= {A  B, BC  E,
ED  A}.

vikram sharma
 Multivalued Dependency

• Denoted by, A  B, Means, for every value of A, there may exist more than
one value of B.
• E.g. S_name   Club_name

S_Name Club_name
Kamesh Dance
Kamesh Guitar

vikram sharma
• A trivial multivalued dependency XY is one where either Y is
a subset of X, or X and Y together form the whole set of attributes
of the relation.

S_name   Club_name
S_name   Club_name
S_name   P_no

S_Name Club_name S_Name Club_name P_no

Kamesh Dance Kamesh Dance 123
Kamesh Guitar
Kamesh Guitar 123
Kamesh Dance 789
Kamesh Guitar 789

vikram sharma
E.g. let the constraint specified by MVD in relation Student as
S_name   Club_name
S_name   P_no

S_Name Club_name S_Name P_no

Kamesh Dance Kamesh 123
Kamesh Guitar Kamesh 789

S_Name Club_name P_no

Kamesh Dance 123
Kamesh Guitar 123
Kamesh Dance 789
Kamesh Guitar 789

NOTE: The above Student schema is in BCNF as no functional dependency holds on EMP, but
still redundancy due to MVD.

vikram sharma
 Each row indicates that a given restaurant can Restaurant Delivery Permutations
Restaurant Variety Delivery Area
deliver a given variety. The table has no non-key Chatora Sweets Samosa Hatibagan Market
attributes because its only key is {Restaurant, Chatora Sweets Samosa Chandni Chowk
Chatora Sweets Samosa Koramangala
Variety, Delivery Area}. Therefore, it meets all Chatora Sweets Dosa Hatibagan Market
normal forms up to BCNF. Chatora Sweets Dosa Chandni Chowk
Chatora Sweets Dosa Koramangala
 If we assume, however, that Variety offered by a Moolchand Ladoo Koramangala
Moolchand Dosa Koramangala
restaurant are not affected by delivery area (i.e. a Thaggu Samosa Hatibagan Market
restaurant offers all Variety it makes to all areas it Thaggu Samosa Chandni Chowk
Thaggu Ladoo Hatibagan Market
supplies), then it does not meet 4NF. The Thaggu Ladoo Chandni Chowk
problem is that the table features two non-trivial
multivalued dependencies on the {Restaurant}
attribute (which is not a super key). The
dependencies are:
o {Restaurant} {Variety}
o {Restaurant} {Delivery Area}
vikram sharma
• If we have two or more multivalued independent attributes in the same relation
schema, we get into a problem of having to repeat every value of one of the attributes
with every value of the other attribute to keep the relation state consistent and to
maintain the independence among the attributes involved. This constraint is specified
by a multivalued dependency.
Delivery Areas By Restaurant Varieties By Restaurant
Restaurant Delivery Area Restaurant Pizza Variety
Chatora Sweets Hatibagan Market Chatora Sweets Samosa
Chatora Sweets Chandni Chowk Chatora Sweets Dosa
Chatora Sweets Koramangala Moolchand Ladoo
Moolchand Koramangala Moolchand Dosa
Thaggu Hatibagan Market Thaggu Samosa
Thaggu Chandni Chowk Thaggu Ladoo

vikram sharma
• A relation is in 4NF iff
• It is in BCNF
• There must not exist any non-trivial multivalued dependency.

• Each MVD is decomposed in separate table, where it becomes trivial MVD.

vikram sharma
 Lossy/Lossless-Dependency Preserving Decomposition

• Because of a normalization a table is Decomposed into two or more tables, but

during this decomposition we must ensure satisfaction of some properties out of
which the most important is lossless join property / decomposition.

vikram sharma
• if we decompose a table r into two tables r1 and r2 because of normalization then
at some later stage if we want to join(combine) (natural join) these tables r1 and
r2, then we must get back the original table r, without any extra or less tuple.
But some information may be lost during retrieval of original relation or table.
For e.g. r
A B C
1 a p
2 b q
3 a r
r1 r2
A B B C

vikram sharma
 r
A B C
1 a p
2 b q
3 a r
r1 r2
A B B C
1 a a p
2 b b q
3 a A B C a r

vikram sharma
• Decomposition is lossy if R1 ⋈ R2 ⊃ R

• Decomposition is lossy if R ⊃ R1 ⋈ R2

vikram sharma
• Decomposition is lossless if R1 ⋈ R2 = R "The decomposition of relation R into R1 and R2
is lossless when the join of R1 and R2 yield the same relation as in R." which guarantees
that the spurious (extra or less) tuple generation problem does not occur with respect
to the relation schemas created after decomposition.

• This property is extremely critical and must be achieved at any cost.

• lossless Decomposition / NonAdditive Join Decomposition

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A B C D E
A 122 1 W A
E 236 4 X B
A 199 1 Y C
B 213 2 Z D

vikram sharma
How to check for lossless join decomposition using FD set, following conditions must hold:

• 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) U Att(R2) = Att(R)

• Intersection of Attributes of R1 and R2 must not be NULL. Att(R1) ∩ Att(R2) ≠ Φ

• Common attribute must be a key for at least one relation (R1 or R2)
• Att(R1) ∩ Att(R2)  (R1) or Att(R1) ∩ Att(R2)  (R2)

vikram sharma
Q R (A, B, C, D)
A B, BC, CD, DA
R1(A, B), R2(B, C) AND R3(C, D)

vikram sharma
Q R(ABCDE)(NF) R1(AB) R2(BC) R3(ABCD) R4(EG)
ABC
CDE
DE

vikram sharma
 5 NF/Project-Join Normal Form

• A Relational table R is said to be in 5th normal form if

• it is in 4 NF
• it cannot be further non-loss decomposed

vikram sharma
 Dependency Preserving Decomposition

• Let relation R be decomposed into Relations R1, R2, R3…………. RN with their respective
functional Dependencies set as F1, F2, F3…………. FN, then the Decomposition is Dependency
Preserving iff

• {F1 ∪ F2 ∪ F3 ∪ F4………. ∪ FN }+ = F+

• Dependency preservation proKpneorwtyle, daglethGoauteghWd

ebessiitreable, is sometimes sacrificed.
X = (PQRS)
F = {QR → S, R → P, S → Q}
Y = (PR) and Z = (QRS)

vikram sharma
 Indexing
Relational databases are based on set theory.
• In set theory, the order of elements is unimportant, similarly in database tables.
• However, in practical implementation, element order in tables is often specified.
• Various operations such as search, insertion, and deletion are influenced by the order
of elements in the tables.
• Elements in a table can be stored in two ways: sorted (ordered) or unsorted
(unordered).

vikram sharma
 File organization/ organization of records in a file
Ordered file organization
• All the records in the file are ordered on some search key field.
• Here binary search is possible. (give example of book page searching)
• Maintenance (insertion & deletion) is costly, as it requires reorganization of entire file.
• Notes that we will get binary search only if we are using that key for searching on which
indexing is done, otherwise it will behave as unsorted file.
• if file is unordered then no of block assesses required to reach correct block which contain
the desired record is O(log2n), where n is the number of blocks.

vikram sharma
 Unordered file organization
• Records are typically added at the end of the file, without following any specific order.
• This insertion method allows only linear search, resulting in slower search times.
• Despite slow searches, maintenance including insertion and deletion is simpler.
• No reorganization of the entire file is needed, making maintenance easier.
• If file is unordered then no of block assesses required to reach correct block which contain the
desired record is O(n), where n is the number of blocks.

vikram sharma
• Indexes are supplementary structures in databases, aiding in swift record
retrieval.
• They enable quick data access based on particular attributes identified for
indexing.
• This technique is similar to the index sections seen in books.
• Indexes provide secondary pathways to access records without changing their
physical position in the main file.

vikram sharma
• The size of index file is way smaller than that of the main file, as index file record
contain only two columns key (attribute in which searching is done) and block pointer
(base address of the block of main file which contains the record holding the key),
while main file contains all the columns.

vikram sharma
Q Suppose we have ordered file with records stored r = 30,000 on a disk with Block Size B
= 1024 B. File records are of fixed size and are unspanned with record length R = 100 B.
Suppose that ordering key field of file is 9 B long and a block pointer is 6 B long,
Implement primary indexing?

vikram sharma
1. Indexes can be established on any relation field, be it primary key or
non-key.
2. Each attribute can have a dedicated index file, meaning multiple
index files may exist for one main file.
3. Index files are always organized, allowing for the utilization of binary
search advantages, irrespective of the main file's order.
4. Indexing accelerates data retrieval time but also introduces space
overhead for storing the index file.
5. The correct block in the main file can be located with log2(number of
blocks in index file) + 1 accesses.

vikram sharma
 TYPES OF INDEXING

Index

Single
Multilevel
level

Primary Clustering Secondary Simple

B tree B+ tree
Index Index index multilevel

• In single-level indexing, an index file is created for the main file, marking the end
of the indexing process.
• Multiple-level indexing, on the other hand, involves creating an index for the
index file and continually repeating this procedure until only a single block
remains.
vikram sharma
 PRIMARY INDEXING
• Main file is always sorted according to primary key.
• Indexing is done on Primary Key, therefore called as primary indexing
• Index file have two columns, first primary key and second anchor pointer (base
address of block)
• It is an example of Sparse Indexing.
• Here first record (anchor record) of every block gets an entry in the index file
• No. of entries in the index file = No of blocks acquired by the main file.

vikram sharma
 CLUSTERED INDEXING
• Main file will be ordered on some non-key attributes

• No of entries in the index file = no of unique values of the attribute on which

indexing is done.

• It is the example of Sparse as well as dense indexing

vikram sharma
Q Suppose we have ordered file with records stored r = 30,000 on a disk with Block Size B
= 1024 B. File records are of fixed size and are unspanned with record length R = 100 B.
Suppose that ordering key field of file is 9 B long and a block pointer is 6 B long,
Implement Secondary indexing?

vikram sharma
 SECONDARY INDEXING
• Most common scenarios, suppose that we already have a primary indexing on primary key,
but there is frequent query on some other attributes, so we may decide to have one more
index file with some other attribute.
• Main file is ordered according to the attribute on which indexing is done(unordered).
• Secondary indexing can be done on key or non-key attribute.
• No of entries in the index file is same as the number of entries in the main file.
• It is an example of dense indexing.

vikram sharma
 Dense Vs Sparse
• Dense Index In dense index, there is an entry in the index file for every search key value
in the main file. This makes searching faster but requires more space to store index
records itself. Note that it is not for every record, it is for every search key value.
Sometime number of records in the main file > number of search keys in the main file,
for example if search key is repeated.

• Sparse Index-If an index entry is created only for some records of the main file, then it
is called sparse index. No. of index entries in the index file < No. of records in the main
file. Note: - dense and sparse are not complementary to each other, sometimes it is
possible that a record is both dense and sparse.

vikram sharma
 B tree
• A B-tree of order m if non-empty is an m-way search tree in which.
• The root has at least zero child nodes and at most m child nodes.
• The internal nodes except the root have at least celling(m/2) child nodes and at most m
child nodes.
• The number of keys in each internal node is one less than the number of child nodes and
these keys partition the subtrees of the nodes in a manner similar to that of m-way search
tree.
• All leaf nodes are on the same level(perfectly balanced).
Root Internal except Root Leaf
Rules MAX MIN
Rules MAX MIN Rules MAX MIN
CHILD m 0
CHILD m ⌈m/2⌉ CHILD 0 0
DATA m-1 1
DATA m-1 ⌈m/2⌉ - 1 DATA m-1 ⌈m/2⌉ - 1

vikram sharma
 Insertion in B-TREE

• A B-tree starts with a single root node (which is also a leaf node) at level 0 (zero). Once the root node is full with
m – 1 search key values and we attempt to insert another entry in the tree, the root node splits into two nodes at
level 1.

• Only the middle value is kept in the root node, and the rest of the values are split evenly between the other two
nodes. When a non-roof node is full and a new entry is inserted into it, that node is split into two nodes at the
same level, and the middle entry is moved to the parent node along with two pointers to the new split nodes.

• If the parent node is full, it is also split. Splitting can propagate all the way to the root node, creating a new level if
the root is split.

vikram sharma
Q Consider the following elements 5, 10, 12, 13, 14, 1, 2, 3, 4
insert them into an empty b-tree of order = 3.

vikram sharma
 Query Language
• After designing a data base, that is ER diagram followed by conversion in relational model
followed by normalization and indexing, now next task is how to store, retrieve and modify
data in the data base.
• So here we will be concentrating more on the retrieval part. Query languages are used for this
purpose. Query languages, data query languages or database query languages (DQLs)
are computer languages using which user request some information from the database. A well
known example is the Structured Query Language (SQL).

vikram sharma
 Procedural Query Language
• Here users instruct the system to performs a sequence of operations on the data base in order
to compute the desired result.

• Means user provides both what data to be retrieved and how data to be retrieved. e.g.
Relational Algebra.

vikram sharma
 Non-Procedural Query Language
• In nonprocedural language, the user describes the desired information without giving a
specific procedure for obtaining that information.

• What data to be retrieved e.g. Relational Calculus. Tuple relational calculus, Domain relational
calculus are declarative query languages based on mathematical logic

vikram sharma
• Relational Algebra (Procedural) and Relational Calculus (non-procedural) are mathematical
system/ query languages which are used for query on relational model.
• RA and RC are not executed in any computer they provide the fundamental mathematics on
which SQL is based.
• SQL (structured query language) works on RDBMS, and it includes elements of both procedural
or non-procedural query language.
Relational model RDBMS
RA, RC SQL
Algo Code
Conceptual Reality
Theoretical Practical

vikram sharma
 RELATIONAL ALGEBRA
• RA like any other mathematical system provides a number of operators and use relations
(tables) as operands and produce a new relation as their result.

3+4

Operand Operator Operand

A⊕B

vikram sharma
• Every operator in the RA accepts (one or two) relation/table as input arguments
and returns always a single relation instance as the result without a name.

* Knowl edg e GaWebsite

te
• It also does not consider duplicity by default as it is based on set theory. Same
query is written in RA and SQL the result may be different as SQL considers
duplication.

• As it is pure mathematics no use of English keywords. Operators are represented

using symbols.

vikram sharma
 BASIC / FUNDAMENTAL OPERATORS
• The fundamental operations in the relational algebra are select, project, union,
set difference, Cartesian product, and Rename.

Name Symbol
Select
(σ)
Project
(∏)
Union
(∪)
Set difference
(−)
Cross product
(Χ)
Rename
(ρ)
vikram sharma
 DERIVED OPERATORS

• There are several other operations namely: set intersection, natural

join, and assignment.

Name Symbol DERIVED FROM

Join (⋈) (Χ)
(−)
Intersection (∩) A∩B=A-(A-B)

Division (÷) (X,-, ∏)

Assignment (=)Knowledge Gate Website
• The select, project, and rename operations are called unary operations, because
they operate on one relation.

• Union, Cartesian product and set difference operate on pairs of relations and
are, therefore, called binary operations.

• Relational algebra also provides the framework for query optimization.

vikram sharma
Relational schema - A relation schema R, denoted by R (A1, A2, ..., An), is made up
of a relation name R and a list of attributes, A1, A2, ..., An. Each attribute Ai is the
name of a role played by some domain D in the relation schema R. It is use to
describe a Relation.
E.g. Schema representation of Table Student is as –
STUDENT (NAME, ID, CITY, COUNTRY, HOBBY).

Relational Instance - Relations with its data at particular instant of time.

vikram sharma
 The Project Operation (Vertical Selection)
• Main idea behind project operator is to select desired columns.
• The project operation is a unary operation that returns its
argument relation, with certain attributes left out.
• Projection is denoted by the uppercase Greek letter pi (Π). Mi
columns selected can be 1, Maximum selected Columns can be n - 1.

• Πcolumn_name (table_name)

vikram sharma
Q Write a RELATIONAL ALGEBRA query to find the name of all customer without duplication
having bank account?

Q Write a RELATIONAL ALGEBRA query to find all the details of bank branches?

vikram sharma
Q Write a RELATIONAL ALGEBRA query to find the name of all customer without duplication
having bank account?
Πcustomer_name (depositor)
Q Write a RELATIONAL ALGEBRA query to find all the details of bank branches?
(branch)

vikram sharma
 The Select Operation (Horizontal Selection)
• The select operation selects tuples that satisfy a given predicate/Condition p.

• Lowercase Greek letter sigma (σ) is used to denote selection.

• It is a unary operator.

• Eliminates only tuples/rows.

• σ condition (table_name)

vikram sharma
Q Write a RELATIONAL ALGEBRA query to find all account_no where balance is less the 1000?

Q Write a RELATIONAL ALGEBRA query to find branch name which is situated in Delhi and having
assets less than 1,00,000?

vikram sharma
Q Write a RELATIONAL ALGEBRA query to find all account_no where balance is less the 1000?
Πaccount_number(σ balance<1000 (account))
Q Write a RELATIONAL ALGEBRA query to find branch name which is situated in Delhi and having
assets less than 1,00,000?
Πbranch_name(σ (branch_city = delhi) ^ (assets < 1000) (branch))

vikram sharma
• Commutative in Nature, σp1 ^ p2(r) = σp2 ^ p1(r) = σp1( σp2(r)) = σp2( σp1(r))

• We allow comparisons using =, ≠, <, >, ≤ and ≥ in the selection predicate.

• Using the connectives and (∧), or (∨), and not (¬), we can combine several predicates into a
larger predicate.

• Minimum number of tuples selected can be 0, Maximum selected tuples can be all.

vikram sharma
 The Union Operation
• It is a binary operation, denoted, as in set theory, by ∪.

• Written as, Expression1 ∪ Expression2, r ∪ s = {t | t ∈ r or t ∈ s}

• For a union operation r ∪ s to be valid, we require that two conditio

• The relations r and s must be of the same arity. That is, they mus
of attributes.

• The domains of the ith attribute of r and the ith attribute of s must be the same, for all i.

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• Some points to remember

• Deg (R ∪ S) = Deg(R) = Deg(S)

• Max (ӀRӀ, ӀSӀ) <= ӀRUSӀ <= (ӀRӀ+ӀSӀ)

vikram sharma
Q Write a RELATIONAL ALGEBRA query to find all the customer name who have a loan or an
account or both?

Q Write a RELATIONAL ALGEBRA query to find all the customer name who have a loan but do not
have an account?

vikram sharma
Q Write a RELATIONAL ALGEBRA query to find all the customer name who have a loan or an
account or both?
Πcustomer_name(depositor)) U Πcustomer_name(borrower))

Q Write a RELATIONAL ALGEBRA query to find all the customer name who have a loan but do not
have an account?
Πcustomer_name(borrower)) - (Πcustomer_name(depositor)))

vikram sharma
 The Set-Difference Operation
• The set-difference operation, denoted by −, allows us to find tuples that are in
one relation but are not in another. It is a binary operator.
• The expression r − s produces a relation containing those tuples in r but not in s.
• We must ensure that set differences are taken between compatible relations.
• For a set-difference operation r − s to be valid, we require that the relations r
and s be of the same arity, and that the domains of the ith attribute of r and the
ith attribute of s be the same, for all i.
• 0 <= ӀR - SӀ <= ӀRӀ

vikram sharma
 The Cartesian-Product Operation
• The Cartesian-product operation, denoted by a cross (×), allows us to combine
information from any two relations.
• It is a binary operator; we write the Cartesian product of relations R1 and R2 as R1 × R2.
• Cartesian-product operation associates every tuple of R1 with every tuple of R2.
• R1 Χ R2 = {rs | r ∈ R1 and s ∈ R2}, contains one tuple <r, s> (concatenation of tuples r
and s) for each pair of tuples r ϵ R1, s ϵ R2.
R1 X R2
A R1.B R2.B C
R1 R2
A B B C
1 P Q X
2 Q R Y
3 R S Z
Knowledge Gate Website
 The Cartesian-Product Operation
• The Cartesian-product operation, denoted by a cross (×), allows us to combine
information from any two relations.
• It is a binary operator; we write the Cartesian product of relations R1 and R2 as R1 × R2.
• Cartesian-product operation associates every tuple of R1 with every tuple of R2.
• R1 Χ R2 = {rs | r ∈ R1 and s ∈ R2}, contains one tuple <r, s> (concatenation of tuples r
and s) for each pair of tuples r ϵ R1, s ϵ R2.
R1 X R2
A R1.B R2.B C
1 P Q X
R1 R2 1 P R Y
A B B C 1 P S Z
1 P Q X 2 Q Q X
2 Q R Y
2 Q R Y 2 Q S Z
3 R S Z 3 R Q X
3 R R Y
Knowledge3 GateRWebsite
S Z
 The Cartesian-Product Operation
• The Cartesian-product operation, denoted by a cross (×), allows us to combine
information from any two relations.
• It is a binary operator; we write the Cartesian product of relations R1 and R2 as R1 × R2.
• Cartesian-product operation associates every tuple of R1 with every tuple of R2.
• R1 Χ R2 = {rs | r ∈ R1 and s ∈ R2}, contains one tuple <r, s> (concatenation of tuples r
and s) for each pair of tuples r ϵ R1, s ϵ R2.
R1 X R2
A R1.B R2.B C
1 P Q X
R1 R2 1 P R Y
A B B C 1 P S Z
1 P Q X 2 Q Q X
2 Q R Y
2 Q R Y 2 Q S Z
3 R S Z 3 R Q X
3 R R Y
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S Z
• R1 Χ R2 returns a relational instance whose schema contains all the fields of R1 (in
order as they appear in R1) and all fields of R2 (in order as they appear in R2).

• If R1 has m tuples and R2 has n tuples the result will be having = m*n tuples.

• Same attribute name may appear in both R1 and R2, we need to devise a naming
schema to distinguish between these attributes.

vikram sharma
Q Write a RELATIONAL ALGEBRA query to find the name of all the customers along
with account balance, who have an account in the bank?

vikram sharma
Q Write a RELATIONAL ALGEBRA query to find the name of all the customers along
with account balance, who have an account in the bank?

Πcustomer_name,balance (σ account.account_number=depositor.account_number (account X depositor))

vikram sharma
 Rename Operation
• The results of relational algebra are also relations but
without any name. This Query do not change the name
of the table in the original data base, but create a new
copy of the table.
• The rename operation allows us to rename the output relation.
It is denoted with small Greek letter rho ρ. Where the result
of expression E is saved with name of x.
• ρx(A1, A2, A3, A4,…..AN)(E)

• ρLearner(Student)

• ρLearner(Stu_ID, User_Name, Age)(Student(Roll_No, Name, Age))

vikram sharma
 Additional/Derived Relational-Algebra Operations
• If we restrict ourselves to just the fundamental operations, certain common
queries are lengthy to express. Therefore, we use additional operations.

• These additional operations do not add any power to the algebra.

• They are used to simplify the queries.

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 Set-Intersection Opera
• We will be using ∩ symbol to denote set inter

• r ∩ s = r − (r − s)

• Set intersection is not a fundamental operation

power to the relational algebra.

• r ∩ s = {t | t ∈ r and t ∈ s}

• 0 <= Ӏ R∩S Ӏ <= min (ӀRӀ, ӀSӀ)

vikram sharma
Q Write a RELATIONAL ALGEBRA query to find all the customer name
who have both a loan and an account?

Πcustomer_name(depositor)) U Πcustomer_name(borrower))

vikram sharma
 The Natural-Join Operation *
• The natural join is a binary operation that allows us to combine certain
selections and a Cartesian product into one operation.
he natural join is a Lossy operator.

R1 R2
A B B C R1 ⋈ R2
1 P Q X A B C
2 Q R Y 2 Q X
3 R S Z 3 R Y

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 In general, the DIVISION operation is applied when we have query like student
who have completed both database1 and data base2 tasks.

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πStudent(R) − {πStudent[(πStudent(R) × S) −πStudent,Task(R)]}

vikram sharma
vikram sharma
 Introduction to SQL
• Structured Query Language is a domain-specific language (not general purpose) used in
programming and design for managing data held in a relational database management
system (RDBMS).

• Although we refer to the SQL language as a “query language,” it can do much more than just
query a database. It can define the structure of the data base, modify data in the database,
specify security constraints and number of other tasks.

• Originally based upon relational algebra(procedural) and tuple relational calculus (Non-
procedural) mathematical model.

vikram sharma
 Overview of the SQL Query Language
1. IBM developed the original version of SQL, originally called Sequel (Structured English Query
Language), as part of the System R project in the early 1970s.

2. The Sequel language has evolved since then, and its name has changed to SQL (Structured Query
Language) (some other company has trademark on the word sequel). SQL has clearly established itself
as the standard relational database language.

3. In 1986, the American National Standards Institute (ANSI) and the International Organization for
Standardization (ISO) published an SQL standard, called SQL-86.

4. The next version of the standard was SQL-89, SQL-92, SQL:1999, SQL:2003, SQL:2006, SQL:2008,
SQL:2011, SQL: 2016, SQL: 2019and most recently SQL:2023.

vikram sharma
 Classification of database languages
1. Data Definition Language (DDL) :
1. a. DDL is set of SQL commands used to create, modify and delete database structures but not data.
2. b. They are used by the DBA to a limited extent, a database designer, or application developer.
3. c. Create, drop, alter, truncate are commonly used DDL command. CREATE, ALTER, DROP, TRUNCATE,
COMMENT, GRANT, REVOKE statement

2. Data Manipulation Language (DML) :

1. a. A DML is a language that enables users to access or manipulates data as organized by the appropriate
data model.
2. b. There are two types of DMLs :
1. i. Procedural DMLs : It requires a user to specify what data are needed and how to get those data.
2. ii. Declarative DMLs (Non-procedural DMLs) : It requires a user to specify what data are needed without
specifying how to get those data.
3. c. Insert, update, delete, query are commonly used DML commands. INSERT, UPDATE, DELETE statement

vikram sharma
3. Data Control Language (DCL) :
1. a. It is the component of SQL statement that control access to data and to the database.
2. b. Commit, rollback command are used in DCL. GRANT and REVOKE statement

4. Data Query Language (DQL) :

1. a. It is the component of SQL statement that allows getting data from the database and imposing
ordering upon it.
2. b. It includes select statement. SELECT statement

4. View Definition Language (VDL) :

1. 1. VDL is used to specify user views and their mapping to conceptual schema.
2. 2. It defines the subset of records available to classes of users.
3. 3. It creates virtual tables and the view appears to users like conceptual level.
4. 4. It specifies user interfaces. SQL is a DML language.

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CREATE TABLE table_name (
column1 data_type [constraints],
column2 data_type [constraints],
column3 data_type [constraints],
...
);

CREATE TABLE Students (

StudentID INT PRIMARY KEY,
FirstName VARCHAR(50),
LastName VARCHAR(50),
Age INT,
Email VARCHAR(100)
);
vikram sharma
• list of some common data types supported by SQL along with a brief description of each:

• Numeric Data Types:

• 1. `INT`: For storing integer values.
• 2. `SMALLINT`: A smaller range of integers compared to INT.
• 3. `BIGINT`: For storing larger integers.
• 4. `DECIMAL(p, s)`: For storing exact numerical values, where `p` is the precision and `s` is
the scale.
• 5. `FLOAT`: For storing floating-point numbers.
• 6. `REAL`: A data type that can store floating-point numbers, generally with less precision
compared to FLOAT.

• String Data Types:

• 7. `VARCHAR(n)`: Variable-length character string, where `n` is the maximum length.
• 8. `CHAR(n)`: Fixed-length character string, where `n` is the length.
• 9. `TEXT`: For storing long text strings.

vikram sharma
Adding a New Column Renaming a Column
ALTER TABLE Employees
ALTER TABLE Employees
RENAME COLUMN PhoneNumber TO ContactNumber;
ADD PhoneNumber VARCHAR(15);
Dropping a Column Renaming a table
ALTER TABLE Employees ALTER TABLE Employees
DROP COLUMN PhoneNumber; RENAME TO Staff;

DROP TABLE table_name;

Modifying an Existing Column
ALTER TABLE Employees
MODIFY COLUMN PhoneNumber VARCHAR(20);

ALTER TABLE Employees

ALTER COLUMN PhoneNumber VARCHAR(20);

vikram sharma
CREATE TABLE Orders (
OrderID INT PRIMARY KEY,
CustomerID INT,
OrderDate DATE,
FOREIGN KEY (CustomerID) REFERENCES Customers (CustomerID)
);

ALTER TABLE Orders

ADD FOREIGN KEY (CustomerID) REFERENCES Customers (CustomerID);

vikram sharma
INSERT INTO table_name (column1, column2, column3, ...)
VALUES (value1, value2, value3, ...);

INSERT INTO Students (StudentID, FirstName, LastName, Age)

VALUES
(1, 'Amit', 'Sharma', 20),
(2, 'Priya', 'Gupta', 22),
(3, 'Ravi', 'Kumar', 19);

vikram sharma
DELETE FROM table_name
WHERE condition;

DELETE FROM Students

WHERE StudentID = 1;

DELETE FROM table_name;

vikram sharma
 Basic Structure of SQL Queries
• For any SQL as query, input and output both are relations. Number of relations inputs to a
query will be at least one, but output will always be a single relation without any name unless
specified, but columns will have names from input tables.

• The basic structure of an SQL query consists of three clauses: select, from, and where. The
query takes it’s input the relations listed in the from clause, operates on them as specified in
the where and select clauses, and then produces a relation as the result without any name
unless specified.

• A typical SQL query has the form.

Select A1, A2,..., An (Column name)

from r1, r2,... , rm (Relation/table name)
Where P; (Condition)
vikram sharma
 Select A1, A2,..., An (Column name)
from r1, r2,... , rm (Relation/table name)
Where P; (Condition)

1. It is to be noted only select and from are mandatory clauses, and if not required then it is not essential to write
where. If the where clause is omitted, the predicate P is true.

2. SQL in general is not case sensitive i.e. it doesn’t matter whether we write query in upper or lower case.

3. In practice, duplicate elimination is time-consuming. Therefore, SQL allows duplicates in relations as well as in
the results of SQL expressions. In those cases where we want to force the elimination of duplicates, we insert
the keyword distinct after select, will discuss in detail later. SQL allows us to use the keyword all to specify
explicitly that duplicates are not removed, Since duplicate retention is the default, we shall not use all in our
examples.

vikram sharma
 Select Clause
• The function of Select clause in SQL is more or less same as that of ‘∏’ projection in the relational
algebra. It is used to pick the column required in result of the query out of all the columns in
relation/table. (Vertical filtering)
• Select A1, A2,..., An (Column name)
• We can use ‘*’ to specify that we need all columns
• Select *
• The select clause may also contain arithmetic expressions involving the operators +, -, / and *
operating on constants or attributes of tuples. however, that it does not result in any change to the
relation/table.

Kno wledge Gate Web site

Q Write a SQL query to find all the details of bank branches?

Q Write a SQL query to find each loan number along with loan amount?

Q Write a SQL query to find the name of all customer without duplication having bank account?

Q Write a SQL query to find all account_no and balance with 6% yearly interest added to it?

vikram sharma
Q find all the details of bank branches?
Select *
from branch

Q find each loan number along with loan amount?

Select loan_number, amount
from loan

Q find the name of all customer without duplication having bank account?
Select distinct customer_name
from depositor

Q find all account_no and balance with 6% yearly interest added to it?
Select account_number, balance*1.06
from account

vikram sharma
 Select Clause with where clause
1. Where clause in SQL is same as ‘σ’ sigma of relational algebra where we specify the
conditions/Predicate (horizontal filtering).
2. Where clause can have expressions involving the comparison operators <, <, >, >=, <= and <>. SQL
allows us to use the comparison operators to compare strings and arithmetic expressions.
3. SQL allows the use of the logical connectives and, or, and not in the where clause.
4. SQL includes a between comparison operator to simplify where clauses that specify that a value be
less than or equal to some value and greater than or equal to some other value.
5. Similarly, we can use the not between comparison operator.

Knowled ge Gate Website

Q Write a SQL query to find all account_no where balance is less the 1000?

Q Write a SQL query to find branch name which is situated in Delhi and having assets less than 1,00,000?

Q Write a SQL query to find branch name and account_no which has balance greater than equal to 1,000 but less
than equal to 10,000?

vikram sharma
Q find all account_no where balance is less the 1000?
Select account_number
from account
Where balance < 1000

Q Write a SQL query to find branch name which is situated in Delhi and having assets less than 1,00,000?
Select branch_name
from branch
Where branch_city = ‘delhi’ and assets < 1,00,000

Q Write a SQL query to find branch name and account_no which has balance greater than equal to 1,000 but less
than equal to 10,000?
Select branch_name, account_number
from account
Where balance between 1000 and 10000

Select branch_name, account_number

from account
Where balance >= 1000 and balance<=10000

vikram sharma
 Set Operation
1. The SQL operations union, intersect, and except/minus operate on relations and corresponds to
the mathematical set-theory operations ∪, ∩ and – respectively.

2. The union operation automatically eliminates duplicates, unlike the select clause, If we want to
retain all duplicates, we must write union all in place of union.

3. The intersect operation automatically eliminates duplicates. If we want to retain all duplicates,
we must write intersect all in place of intersect.

4. If we want to retain duplicates, we must write except all in place of except.

vikram sharma
Q Write a SQL query to find all the customer name
a) who have a loan or an account or both ?

b) who have both a loan and an account?

c) who have a loan but do not have an account?

vikram sharma
Q Write a SQL query to find all the customer name
a) who have a loan or an account or both ?
Select customer_name
From depositor
Union
Select customer_name
From borrower
b) who have both a loan and an account?
Select customer_name
From depositor
intersect
Select customer_name
From borrower
c) who have a loan but do not have an account?
Select customer_name
From borrower
Except
Select customer_name
From depositor
vikram sharma
 Queries on Multiple Relations
• The from clause by itself defines a Cartesian product of the relations listed in the clause.
Cartesian product of two relations, which concatenates each tuple of the first relation with
every tuple of the second
• Since the same attribute name may appear in both r1 and r2, we prefix the name of the
relation from which the attribute originally came, before the attribute name.For those
attributes that appear in only one of the two schemas, we shall usually drop the relation-
name prefix. This simplification does not lead to any ambiguity.
• Cartesian Product is commutative in nature R1 X R2
A R1.B R2.B C
R2 1 P Q X
R1 1 P R Y
A B B C 1 P S Z
2 Q Q X
1 P Q X 2 Q R Y
2 Q R Y 2 Q S Z
3 R Q X
3 R S Z 3 R R Y
Knowledge Gate Website
3 R S Z
Q Write a RELATIONAL ALGEBRA query to find the name of all the customers along
with account balance, who have an account in the bank?

vikram sharma
Q find the name of all the customers with account balance, who have an account
in the bank?

Select customer_name, balance

From account, depositor
Where account.account_number = depositor.account_number

vikram sharma
 Natural Join
• To make the life of an SQL programmer easier for this common case, SQL supports an operation called
the natural join. The natural join operation like cartesian product operates on two relations and
produces a relation as the result.
• Natural join considers only those pairs of tuples with the same value on those attributes that appear in
the schemas of both relations. Notice that we do not repeat those attributes that appear in the
schemas of both relations; rather they appear only once.
• Notice also the order in which the attributes are listed: first the attributes common to the schemas of
both relations, second those attributes unique to the schema of the first relation, and finally, those
attributes unique to the schema of the second relation. Commutative in nature.

R1 R2
A B B C R1 ⋈ R2
1 P Q X A B C
2 Q R Y 2 Q X
3 R S Z edge Gate Webs ite
3 R Y
Knowl
Q Write a SQL query to find the name of all the customers along with account
balance, who have an account in the bank?

vikram sharma
Q Write a SQL query to find the name of all the customers along with account
balance, who have an account in the bank?
Select customer_name, balance
From account natural join depositor

vikram sharma
 Outer Join
• The problem with natural join or join or inner join is only those values that appears in both
relations will manage to reach final table, but if some value is explicitly in table one or in
second table then that information will be lost, and that will be loss of information.
• The outer join operation works in a manner similar to the join operations we have already
studied, but preserve those tuples that would be lost in a join, by creating tuples in the result
containing null values.
• There are in fact three forms of outer join:
• The left outer join (left join) preserves tuples only in the relation named before (to the
left of) the left outer join operation.
• The right outer join (right join) preserves tuples only in the relation named after (to the
right of) the right outer join operation.
• The full outer join preserves tuples in both relations.

vikram sharma
 R1 R2 R1 * R2 R1 ⋈ R2
A B B C A R1.B R2.B C A B C
1 P Q X 1 P Q X 2 Q X
2 Q R Y 1 P R Y 3 R Y
3 R S Z 1 P S Z
2 Q Q X
2 Q R Y
2 Q S Z
3 R Q X
3 R R Y
3 R S Z

R1 𝔴 R2 R1 ⟖R2 R1 𝔴 R2
A B C A B C A B C
1 P null 2 Q X 1 P null
2 Q X
2 Q X 3 R Y
3 R Y
3 R Y null S Z null S Z

vikram sharma
 Alias Operation/rename
• SQL aliases are used to give a table, or a column in a table, a temporary name. Just create a
new copy but do not change anything in the data base. An alias only exists for the duration of
the query.
• Aliases are often used to make column names more readable.
• It uses the as clause, taking the form: old-name as new-name. The as clause can appear in
both the select and from clauses.

vikram sharma
Q Write a SQL query to find the account_no along and balance with 8% interest, as
Account, total_balance?

vikram sharma
Q Write a SQL query to find the account_no along and balance with 8% interest, as
Account, total_balance?

Select account_number, balance*1.06 as total_balance

From account

vikram sharma
Q Write a SQL query to find the loan_no with maximum loan amount?
Select balance
From account
Except
Select A.balance
From account as A, account as B
Where A.balance <B.balance

vikram sharma
 Aggregate Functions
• Aggregate functions are functions that take a collection (a set or multiset) of values as input
and return a single value. SQL offers five built-in aggregate functions:
• Average: avg
• Minimum: min
• Maximum: max
• Total: sum
• Count: count
• The input to sum and avg must be a collection of numbers, but the other operators can
operate on collections of nonnumeric data types, such as strings, as well. Count is the only
aggregate function which can work with null, all other aggregate functions simply ignore null.
• We use the aggregate function count frequently to count the number of tuples in a relation.
The notation for this function in SQL is count (*).

vikram sharma
Q find the number of accounts in the bank?
Select count(*)
from account

Q find the average balance of every account in the banks from south_delhi branch?
Select avg(balance)
from account
Where branch_name = ‘south_delhi’

vikram sharma
Q Consider a table along with two query?

Select avg (balance)

from account
Account_no balance Branch_name
Abc123 100 N_delhi
Pqr123 500 S_mumbai
Wyz123 null S_delhi

Select sum(balance)/count(balance)
from account

vikram sharma
 Ordering the Display of Tuples
• SQL offers the user some control over the order in which tuples in a relation are displayed.
The order by clause causes the tuples in the result of a query to appear in sorted order.

Q find all the branch_name which are situated in Delhi in alphabetic order?
Select distinct branch_name
from branch
where branch_city = 'Delhi’
Order by branch_name aesc;

Select distinct branch_name

from branch
where branch_city = 'Delhi’
Order by branch_name desc;

vikram sharma
 String Operations
• SQL specifies strings by enclosing them in single quotes, for example, ’Computer’. The SQL
standard specifies that the equality operation on strings is case sensitive; as a result the
expression ‘Computer’ = ’computer’ evaluates to false.
• However, some database systems, such as MySQL and SQL Server, do not distinguish
uppercase from lowercase when matching strings; as a result, would evaluate to true on
these databases. This default behavior can, however, be changed, either at the database level
or at the level of specific attributes.

• SQL also permits a variety of functions on character strings, such as concatenating, extracting
substrings, finding the length of strings, converting strings to uppercase and lowercase,
removing spaces at the end of the string and so on. There are variations on the exact set of
string functions supported by different database systems.

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• Pattern matching can be performed on strings, using the operator like. We
describe patterns by using two special characters:
• Percent (%): The % character matches any substring.
• Underscore (_): The _ character matches any character.

• ’%Comp%’ matches any string containing “Comp” as a substring, for example,

’Intro to Computer Science’, and ’Computational Biology’.
• ’_ _ _’ matches any string of exactly three characters.
• ’_ _ _%’ matches any string of at least three characters.

vikram sharma
Q find all the branch name who have exactly 5 character in their name ?

Q find all the customer name who have ‘kumar’ in their name ?

vikram sharma
Q find all the branch name who have exactly 5 character in their name ?
Select branch_name
from branch
where branch_name like ‘_ _ _ _ _ _’

Q find all the customer name who have ‘kumar’ in their name ?
Select customer_name
from customer
where customer_name like ‘%kumar%’

vikram sharma
• We define the escape character for a like comparison using the escape keyword. To illustrate,
consider the following patterns, which use a backslash (\) as the escape character:

• like ’ab\%cd%’ escape ’\’ matches all strings beginning with “ab%cd”.

• like ’ab\\cd%’ escape ’\’ matches all strings beginning with “ab\cd”.

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 Group by clause
1. There are circumstances where we would like to work on a set of tuples in a relation rather
than working on the whole table as one unit.

2. The attribute or attributes given in the group by clause are used to form groups. Tuples with
the same value on all attributes in the group by clause are placed in one group.

vikram sharma
Q find the average account balance of each branch?
Select branch_name, avg(balance)
from account
Group by branch_name

vikram sharma
Q find the branch name of Gwalior city with average balance more than 1500?
Select branch.branch_name, avg(balance)
from branch, account
Where branch.branch_name = account.branch_name and branch_city = ‘gwalior’
Group by branch_name
Having avg(balance) > 1500

vikram sharma
• Trigger Definition
• A trigger is a special procedure that automatically activates in response to modifications on
a table or view in a database, aiding in maintaining data integrity.

• Usage of Triggers
• Triggers help maintain database integrity by automatically enforcing conditions or
modifying data during database operations. They are crucial for applying business rules,
auditing database alterations, and supporting data replication, ensuring compliance before
any data insertions, updates, or deletions.

vikram sharma
• Embedded SQL
• Embedded SQL is a method where SQL statements are incorporated directly into a
procedural programming language, such as C or Java. It allows the programmers to
integrate SQL queries within their code, facilitating the interaction between the
database and the application. Embedded SQL statements are static and defined at
compile time.
• Dynamic SQL
• Dynamic SQL, on the other hand, enables the construction of SQL statements
dynamically at runtime. It allows the creation of more flexible and adaptable
applications, where SQL statements can be generated and executed based on
changing conditions or user inputs. This makes it possible to create more complex
and adaptable database operations, though it might be more susceptible to SQL
injection attacks if not handled carefully.

vikram sharma
 Relational Calculus
• Relational calculus is non-procedural query language, where we have
to define what to get and not how to get it

Relational
Calculus

Tuple Domain
relational relational
calculus calculus

vikram sharma
 Tuple Relational Calculus
• TRC is based on specifying a number of tuple variables. Each tuple variable usually range over
a particular database relation, meaning that the variable may takes as its value from any
individual tuple of a relation.
• A simple tuple relational calculus query is of the form.
• {t| Condition(t)}
• Where t is a tuple variable and condition(t) is a conditional expression involving. The result of
such a query is the set of all tuple t that satisfy condition (t).

vikram sharma
 Student(Roll No, Name, Branch)
Q Find the details of all computer science students?
SQL: select * from student where branch = CSE
RA: {σ branch = CSE (Student)}
TRC: {t | Student(t) ∩ t. branch = CSE}
DRC:

vikram sharma
 Student(Roll No, Name, Branch)
Q Find the Roll No of all computer science students?

SQL: select Roll No from student where branch = CSE

RA: {∏roll no (σ branch = CSE (Student))}
TRC: {t. Roll No | Student(t) ∩ t. branch = CSE}
DRC:

vikram sharma
Q Find all the details of loan for amount over 1200?
{t| t ∈ loan ∧ t[amount] > 1200] }

vikram sharma
Q Find the loan number for each loan of amount over 1200?
{t| ∃s ∈ loan (t[loan number] = s[loan number]) ∧ s[amount] > 1200] }

vikram sharma
Q Find the name of all the customers who have a loan from Noida branch?
{t| ∃s ∈ borrower (t[customer name] = s[customer name])
∧ ∃u ∈ loan (u[customer name] = s[customer name])
∧ u[branch name] = ‘Noida’ }

vikram sharma
Q Find the name of all the customers who have a loan or account or both at the bank?
{t| ∃s ∈ borrower (t[customer name] = s[customer name])
V ∃u ∈ depositor (t[customer name] = u[customer name]) }

vikram sharma
Q Find the name of all the customers who have a loan and account both at the bank?
{t| ∃s ∈ borrower (t[customer name] = s[customer name])
∧ ∃u ∈ depositor (t[customer name] = u[customer name]) }

vikram sharma
Q Find the name of all the customers who have a loan from the bank and do not
have a account?
{t| ∃u ∈ depositor borrower (t[customer name] = u[customer name])
∧ ¬∃s ∈ borrower (t[customer name] = s[customer name]) }

vikram sharma
vikram sharma
vikram sharma
 Domain Relational Calculus
• Domain calculus differs from the tuple calculus in the type of variables used in
formulas: rather than having variables range over tuples.
• The variable range over single values from domains of attributes. To form a relation of
degree n for a query result, we must have n of these domain variables. One for each
attribute.
• An expression of the domain calculus is of the form
• (x1, x2, …, xn | COND(x1, x2, …, xn, xn+1, xn+2, …, x n+m ))
• Where x1, x2, …, xn are domain variables that range over domains and COND is a
condition of the domain relational calculus.

vikram sharma
 Student(Roll No, Name, Branch)
Q Find the details of all computer science students?
SQL: select * from student where branch = CSE
RA: {σ branch = CSE (Student)}

TRC: {t | Student(t) ∩ t. branch = CSE}

DRC: {(Roll No, Name, Branch) | Student (Roll no, Name, Branch) ∩ branch = CSE}

vikram sharma
 Student(Roll No, Name, Branch)
Q Find the Roll No of all computer science students?
SQL: select Roll No from student where branch = CSE
RA: {∏sname (σ branch = CSE (Student))}
TRC: {t. Roll No | Student(t) ∩ t. branch = CSE}
DRC: {(Roll No) | Student (Roll no, Name, Branch) (Name, Branch) ∩ branch = CSE}

vikram sharma
Example: Find all details of instructors whose salary is greater than $80,000

vikram sharma
Q Find the branch name, loan number and amount for loan of amount over 1200?
{ < l, b, a > | < l, b, a > ∈ loan ∧ a > 1200] }

vikram sharma
Q Find the loan number for each loan of amount over 1200?
{ < l > | ∃b, a < l, b, a > ∈ loan ∧ a > 1200] }

vikram sharma
Q Find the name of all the customers who have a loan from Noida branch with loan amount?
{ < c, a > | ∃l (< c, l > ∈ borrower ∧ ∃b (< l, b, a > ∈ loan ∧ b = ‘Noida’ ))}

vikram sharma
Q Find the name of all the customers who have a loan or account or both at the bank?
{ < c > | ∃l (< c, l > ∈ borrower ∧ ∃b, a (< l, b, a > ∈ loan ∧ b = ‘Noida’))
V ∃a (< c, a > ∈ depositor ∧ ∃b, a (< a, bn, bal > ∈ account ∧ bn = ‘Noida’))}

vikram sharma
vikram sharma
vikram sharma
 TRANSACTION
T1
• Why we study transaction?
Read(A)
• According to general computation principle (operating system)
we may have partially executed program, as the level of A = A-100
atomicity is instruction i.e. either an instruction is executed Write(A)
completely or not
Read(B)
• But in DBMS view, user perform a logical work(operation)
which is always atomic in nature i.e. either operation is
B = B+100
execute or not executed, there is no concept like partial Write(B)
execution. For example, Transaction T1 which transfer 100
units from account A to B.
• In this transaction if a failure occurs after Read(B) then the
final statue of the system will be inconsistent as 100 units are
debited from account A but not credited in account B, this will
generate inconsistency. Here for ‘consistency’ before (A + B) ==
after (A + B)”. vikram sharma
 What is transaction
• To remove this partial execution problem, we increase the level of atomicity and
bundle all the instruction of a logical operation into a unit called transaction.

• So formally ‘A transaction is a Set of logically related instructions to perform a

logical unit of work’.
T1
Read(A)
A = A-100
Write(A)
Read(B)
B = B+100
Write(B)
vikram sharma
• As here we are only concerned with DBMS so we well only two basic operation
on database.

• READ (X) - Accessing the database item x from disk (where database stored data)
to memory variable also name as X.

• WRITE (X) - Writing the data item from memory variable X to disk.

vikram sharma
 Desirable properties of transaction
• Now as the smallest unit which have atomicity in DBMS view is transaction, so if
want that our data should be consistent then instead of concentrating on data
base, we must concentrate on the transaction for our data to be consistent.

T1
Read(A)
A = A-100
Write(A)
Read(B)
B = B+100
Write(B)

vikram sharma
• Transactions should possess several properties, often called the ACID
properties; to provide integrity and consistency of the data in the
database. The following are the ACID properties:

vikram sharma
• Atomicity - A transaction is an atomic unit of processing; it should
either be performed in its entirety or not performed at all.

T1
Read(A)
A = A-100
Write(A)
Read(B)
B = B+100
Write(B)

vikram sharma
• Consistency - A transaction should be consistency preserving, meaning that if it
is completely executed from beginning to end without interference from other
transactions, it should take the database from one consistent state to another.

vikram sharma
• Isolation - A transaction should appear as though it is being executed in isolation
from other transactions, even though many transactions are executing
concurrently.
• That is, the execution of a transaction should not be interfered with by any other
transactions executing concurrently.

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• Durability - The changes applied to the database by a
committed transaction must persist in the database.

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 Transaction states
• ACTIVE - It is the initial state. Transaction remains in this state while it is
executing operations.

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 Transaction states
• PARTIALLY COMMITTED - After the final statement of a transaction has been
executed, the state of transaction is partially committed as it is still possible that
it may have to be aborted (due to any failure) since the actual output may still be
temporarily residing in main memory and not to disk.

vikram sharma
 Transaction states
• FAILED - After the discovery that the transaction can no longer proceed (because
of hardware /logical errors). Such a transaction must be rolled back.

vikram sharma
 Transaction states
• ABORTED - A transaction is said to be in aborted state when the when the
transaction has been rolled back and the database has been restored to its state
prior to the start of execution.

vikram sharma
 Transaction states
• COMMITTED - A transaction enters committed state after successful completion
of a transaction and final updation in the database.

vikram sharma
 Why we need concurrent execution
• Concurrent execution is necessary because-
• It leads to good database performance , less weighting time.
• Overlapping I/O activity with CPU increases throughput and response time.

vikram sharma
 PROBLEMS DUE TO CONCURRENT EXECUTION OF TRANSACTION

• But interleaving of instructions between transactions may also lead to many problems
that can lead to inconsistent database.

• Sometimes it is possible that even though individual transaction are satisfying the acid
properties even though the final statues of the system will be inconsistent.

vikram sharma
 Solution is Schedule
• When two or more transaction executed together or one after another then
they can be bundled up into a higher unit of execution called schedule.

vikram sharma
• Serial schedule - A serial schedule consists of sequence of instruction belonging to
different transactions, where instructions belonging to one single transaction appear
together. Before complete execution of one transaction another transaction cannot be
started. Every serial schedule lead database into consistent state.

vikram sharma
• Non-serial schedule - A schedule in which sequence of instructions of a transaction
appear in the same order as they appear in individual transaction but the instructions
may be interleaved with the instructions of different transactions i.e. concurrent
execution of transactions takes place.

vikram sharma
• Conclusion of schedules
• We do not have any method to proof that a schedule is consistent, but from the
above discussion we understand that a serial schedule will always be consistent.

• So if somehow we proof that a non-serial schedule will also have same effects as of
a serial schedule than we can proof that, this particular non-serial schedule will
also be consistent.

vikram sharma
On the basis of
SERIALIZABILITY

Conflict
serializable

View
serializable

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

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

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

vikram sharma
Conflict equivalent – if one schedule can be converted to another schedule by swapping
of non- conflicting instruction then they are called conflict equivalent schedule.

T1 T2 T1 T2
R(A) R(B)
A=A-50 B=B+50
R(B) R(A)
B=B+50 A=A-50
R(B) R(B)
B=B+50 B=B+50
R(A) R(A)
A=A+10 A=A+10
vikram sharma
 SERIALIZABILITY
• Conflicting instructions - Let I and J be two consecutive instructions belonging to two different
transactions Ti and Tj in a schedule S, the possible I and J instruction can be as-
• I= READ(Q), J=READ(Q) ->Non-conflicting
• I= READ(Q), J=WRITE(Q) ->Conflicting
• I= WRITE(Q), J=READ(Q) ->Conflicting
• I= WRITE(Q), J=WRITE(Q) ->Conflicting

• So, the instructions I and J are said to be conflicting, if they are operations by different
transactions on the same data item, and at least one of these instructions is a write operation.

vikram sharma
 CONFLICT SERIALIZABLE
• The schedules which are conflict equivalent to a serial schedule are called conflict serializable
schedule.
• If a schedule S can be transformed into a schedule S’ by a series of swaps of non- conflicting
instructions, we say that S and S’ are conflict equivalent. A schedule S is conflict serializable, if
it is conflict equivalent to a serial schedule.

vikram sharma
Q Consider the following schedule for transactions T1, T2 and T3: what is the correct
serialization of the above?

vikram sharma
 Procedure for determining conflict serializability of a schedule

• It can be determined using PRECEDENCE GRAPH method:

• A precedence graph consists of a pair G (V, E)
• V= set of vertices consisting of all the transactions participating in the schedule.
• E= set of edges consists of all edges Ti  Tj, for which one of the following conditions holds:
• Ti executes write(Q) before Tj executes read(Q)
• Ti executes read(Q) before Tj executes write(Q)
• Ti executes write(Q) before Tj executes write(Q)

• If an edge Ti  Tj exists in the precedence graph, then in any serial schedule S’ equivalent to S,
Ti must appear before Tj.
• If the precedence graph for S has no cycle, then schedule S is conflict serializable, else it is
not.

vikram sharma
 VIEW SERIALIZABLE
• If a schedule is not conflict serializable, still it can be consistent, so let us study a weaker form
of serializability called View serializability, and even if a schedule is view serializable still it can
be consistent.

• If a schedule is conflict serializable then it will also be view serializable, so we must check view
serializability only if a schedule is not conflict serializable.

vikram sharma
• Two schedules S and S’ are view equivalent, if they satisfy following conditions –

• For each data item Q, if the transaction Ti reads the initial value of Q in schedule S , then then the
transaction Ti must, in schedule S’ ,also read the initial value of Q.

• If a transaction Ti in schedule S reads any data item Q, which is updated by transaction Tj, then a
transaction Ti must in schedule S’ also read data item Q updated by transaction Tj in schedule S’.

• For each data item Q, the transaction (if any) that performs the final write(Q) operation in schedule
S, then the same transaction must also perform final write(Q) in schedule S’.

vikram sharma
 View Serializable

A schedule S is view serializable, if it is view equivalent to a serial schedule.

vikram sharma
On the basis of On the basis of
SERIALIZABILITY RECOVERABILITY

Conflict
Recoverable
serializable

View
Cascadeless
serializable

Strict

vikram sharma
 NON- RECOVERABLE Vs RECOVERABLE SCHEDULE
• A schedule in which for each pair of transaction Ti and Tj , such that if Tj reads a data item
previously written by Ti, then the commit or abort operation of Ti appears before Tj. Such a
schedule is called Non- Recoverable schedule.
• A schedule in which for each pair of transaction Ti and Tj , such that if Tj reads a data item
previously written by Ti, then the commit or abort of Ti must appear before Tj. Such a schedule
is called Recoverable schedule.

S S
T1 T2 T1 T2
R(X) R(X)
W(X) W(X)
R(X) R(X)
C C
C C
vikram sharma
 CASCADING ROLLBACK Vs CASCADELESS SCHEDULE
• It is a phenomenon, in which even if the schedule is recoverable, the a single transaction failure leads
to a series of transaction rollbacks, is called cascading rollback. Cascading rollback is undesirable, since
it leads to undoing of a significant amount of work. Uncommitted reads are not allowed in cascade less
schedule.

• A schedule in which for each pair of transactions Ti and Tj, such that if Tj reads a data item previously
written by Ti then the commit or abort of Ti must appear before read operation of Tj. Such a schedule
is called cascade less schedule.
S S
T1 T2 T3 T1 T2 T3
R(X) R(X)
W(X) W(X)
R(X) C
W(X) R(X)
R(X) W(X)
C C
C R(X)
C
Knowledge Gate Websiet
C
 Strict Schedule
• A schedule in which for each pair of transactions Ti and Tj, such that if Tj reads a data item
previously written by Ti then the commit or abort of Ti must appear before read and write
operation of Tj.

S1 S2 S3
T1 T2 T1 T2 T1 T2
R(a) R(a) R(a)
W(a) W(a) R(b)
W(a) C W(a)
C W(a) W(b)
R(a) R(a) C
C C R(a)
C

vikram sharma
vikram sharma
 Log based Recovery
• The system log, or transaction log, records all the changes or activities happening in the
database, ensuring that transactions are durable and can be recovered in the event of a
failure.

• Different types of log records represent various stages or actions in a transaction.

• <Ti start>: This log entry indicates that the transaction Ti has started its execution.
• < Ti, Xj, V1, V2>: This log entry documents a write operation. It states that transaction Ti has
changed the value of data item Xj from V1 to V2.
• < Ti commit>: This log entry marks the successful completion of transaction Ti.
• < Ti abort>: This log entry denotes that the transaction Ti has been aborted, either due to
an error or a rollback operation.

• Before any write operation modifies the database, a log record of that operation needs to be
created. This is to ensure that in case of a failure, the system can restore the database to a
consistent state using the log records.
vikram sharma
 Aspect Deferred Database Modification Immediate Database Modification

Write Operation Timing Only at the commit point. As soon as changes occur.

Reduced, as changes are batched

Increased, as each change triggers
and written at once during the
I/O Operations immediate write operations, leading
commit, saving on intermediate I/O
to more frequent I/O operations.
operations.

Simpler, as uncommitted changes More complex, as it may require

are not reflected in the database, undoing changes from uncommitted
Recovery Complexity
making rollback easier in case of transactions that have been written
failures. to the database.

vikram sharma
 Shadow Paging Recovery Technique

In the shadow paging recovery technique, the database maintains two page tables during a
transaction: the current page table (reflecting the state before the transaction began) and the
shadow page table (which tracks changes made during the transaction). Here's how it operates:

• Initialization: When a transaction begins, the database creates a shadow copy of the page
table. The database pages themselves are not duplicated; only the page table entries are
duplicated.

• Modifications: As the transaction progresses, any changes are reflected in the current page
table, while the shadow page table retains the original state. If a page is modified, a new copy
of the page is created, and the current page table is updated to point to this new version,
thereby ensuring that the shadow page table still points to the original unmodified page.

vikram sharma
• Commit: Upon transaction commit, the shadow page table is discarded, and the current page
table becomes the new committed state of the database. The database atomically switches to
using the current page table, ensuring that changes are installed all at once.

• Recovery: In case of a system failure before the transaction commits, the database can easily
recover by discarding the current page table and reverting back to the shadow page table,
thereby restoring the database to its state before the transaction began.

vikram sharma
 Data fragmentation
• Data fragmentation in the context of a Database Management System (DBMS) refers to the process of
breaking down a database into smaller, manageable pieces, and distributing these pieces across a
network of computers. This is a significant component in distributed database systems.
• Horizontal Fragmentation: In DBMS, horizontal fragmentation divides a table into sections based
on rows. Each fragment contains a subset of rows, usually segmented based on certain conditions
or attributes. This can enhance performance by facilitating parallel processing and quicker data
retrieval, especially useful in distributed database systems.
• Vertical Fragmentation: This fragmentation type divides a database table by columns, with
different sets of columns stored in separate fragments. This approach is employed when different
users require access to varied data attributes, promoting efficient data handling and minimizing
data transfer times, which is advantageous in scenarios where queries only necessitate a subset of
attributes.
• Hybrid Fragmentation: Hybrid or mixed fragmentation in DBMS combines both horizontal and
vertical strategies, optimizing data storage and retrieval for complex access patterns. This method
can potentially offer performance improvements by utilizing the merits of both horizontal and
vertical fragmentation, and is typically implemented in databases with complex, multifaceted data
access requirements.
vikram sharma
 Distributed database
• A distributed database is a database in which storage devices are not all attached to a
common processor. It may be stored in multiple computers, located in the same
physical location, or dispersed over a network of interconnected computers.

• Data Replication
• Advantages: Increased Availability, Improved Performance, Enhanced Reliability
• Disadvantages: Storage Costs, Maintenance Complexity, Write Complexity.

• Data Fragmentation
• Advantages: Efficient Data Access, Distributed Processing, Localized Management.
• Disadvantages: Complexity, Dependency on Network, Reconstruction Issues.

vikram sharma
 CONCURRENCY CONTROL
Here we will study those protocol which guarantee to generate schedule which
always satisfy desirable properties like conflict serializability. Along with we desire
the following properties from schedule generating protocols
• Concurrency should be as high as possible, as this is our ultimate goal
because of which we are making all the effort.
• The time taken by a transaction should also be less.
• Easy to understand and implement.

vikram sharma
• Time stamping based method: - Where before entering the system, a specific order is decided
among the transaction, so in case of a clash we can decide which one to allow and which to
stop.

• Lock based method: - where we ask a transaction to first lock a data item before using it. So
that no different transaction can use a data at the same time, removing any possibility of
conflict.
• 2 phase locking
1. Basic 2pl
2. Conservative 2pl
3. Rigorous 2pl
4. Strict 2pl
• Graph based protocol

• Validation based protocol – Majority of transactions are read only transactions, the rate of
conflicts among the transaction may be low, thus many of transaction, if executed without the
supervision of a concurrency control scheme, would nerveless leave the system in a consistent
state. vikram sharma
 TIME STAMP ORDERING PROTOCOL

• Basic idea of time stamping is to decide the order between the transaction
before they enter in the system using a stamp (time stamp), in case of any
conflict during the execution order can be decided using the time stamp.

• Let’s understand how this protocol works, here we have two idea of
timestamping, one for the transaction, and other for the data item.

vikram sharma
• Time stamp for transaction,

• With each transaction ti, in the system, we associate a unique fixed timestamp, denoted by
TS(ti).

• This timestamp is assigned by database system to a transaction at time transaction enters

into the system.

• If a transaction has been assigned a timestamp TS(ti) and a new transaction tj , enters into
the system with a timestamp TS(tj), then always TS(ti) <TS(tj).

vikram sharma
• Two things are to be noted

1. First time stamp of a transaction remain fixed throughout the execution

2. Second it is unique means no two transaction can have the same timestamp.

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• Time stamp with data item, in order to assure such scheme, the protocol maintains for each
data item Q two timestamp values:

1. W-timestamp(Q) is the largest time-stamp of any transaction that executed write(Q)

successfully.

2. R-timestamp(Q) is the largest time-stamp of any transaction that executed read(Q)

successfully.

• These timestamps are updated whenever a new read(Q) or write(Q) instruction is executed.

vikram sharma
• Suppose a transaction Ti request a read(Q)

1. If TS(Ti ) < W-timestamp(Q), then Ti needs to read a value of Q that was already
overwritten. Hence, the read operation is rejected, and Ti is rolled back.

2. If TS(Ti )≥ W-timestamp(Q), then the read operation is executed, and R-timestamp(Q) is

set to the maximum of R-timestamp(Q) and TS(Ti).

vikram sharma
• Suppose that transaction Ti issues write(Q).
1. If TS(Ti ) < R-timestamp(Q), then the value of Q that Ti is producing was needed previously, and
the system assumed that that value would never be produced. Hence, the write operation is
rejected, and Ti is rolled back.

2. If TS(Ti ) < W-timestamp(Q), then Ti is attempting to write an obsolete value of Q. Hence, this
write operation is rejected, and Ti is rolled back.

3. If TS(Ti ) ≥ R-timestamp(Q), then the write operation is executed, and W-timestamp(Q) is set to
max(W-timestamp(Q), TS(Ti )).

4. If TS(Ti ) ≥ W-timestamp(Q), then the write operation is executed, and W-timestamp(Q) is set to
max(W-timestamp(Q), TS(Ti )).

vikram sharma
 Conflict View Recoverability Cascadelessness Deadlock
Serializability Serializability Freedom

Time Stamp Ordering YES YES NO NO YES

Thomas Write Rule
Basic 2PL
Conservative 2PL
Rigorous 2PL
Strict 2PL

vikram sharma
 THOMAS WRITE RULE
• Thomas write is an improvement in time stamping protocol, which makes some modification
and may generate those protocols that are even view serializable, because it allows greater
potential concurrency.

• It is a Modified version of the timestamp-ordering protocol in which Blind write operations

may be ignored under certain circumstances.

• The protocol rules for read operations remain unchanged. while for write operation, there is
slightly change in Thomas write rule than timestamp ordering protocol.

vikram sharma
When Ti attempts to write data item Q,

• if TS(Ti ) < W-timestamp(Q), then Ti is attempting to write an obsolete value

of {Q}. Rather than rolling back Ti as the timestamp ordering protocol would
have done, this {write} operation can be ignored.

vikram sharma
• This modification is valid as the any transaction with TS(Ti ) < W-timestamp(Q), the value
written by this transaction will never be read by any other transaction performing Read(Q)
ignoring such obsolete write operation is considerable.

• Thomas' Write Rule allows greater potential concurrency. Allows some view-serializable
schedules that are not conflict serializable.

vikram sharma
 Conflict View Recoverability Cascadelessness Deadlock
Serializability Serializability Freedom

Time Stamp Ordering YES YES NO NO YES

Thomas Write Rule NO YES NO NO YES
Basic 2PL
Conservative 2PL
Rigorous 2PL
Strict 2PL

vikram sharma
 Lock Based Protocols
• To ensure isolation is to require that data items be accessed in a mutually
exclusive manner i.e. while one transaction is accessing a data item, no other
transaction can modify that data item. Locking is the most fundamental
approach to ensure this.

• Lock based protocols ensure this requirement. Idea is first obtain a lock on the
desired data item then if lock is granted then perform the operation and then
unlock it.

vikram sharma
• In general, we support two modes of lock because, to provide better concurrency.

• Shared mode
• If transaction Ti has obtained a shared-mode lock (denoted by S) on any data item
Q, then Ti can read, but cannot write Q, any other transaction can also acquire a
shared mode lock on the same data item(this is the reason we called this shared
mode).

• Exclusive mode
• If transaction Ti has obtained an exclusive-mode lock (denoted by X) on any data
item Q, then Ti can both read and write Q, any other transaction cannot acquire
either a shared or exclusive mode lock on the same data item. (this is the reason we
called this exclusive mode)

vikram sharma
 Lock –Compatibility Matrix
• Conclusion shared is compatible only with shared while exclusive is not compatible either with
shared or exclusive.
• To access a data item, transaction Ti must first lock that item, if the data item is already locked
by another transaction in an incompatible mode, or some other transaction is already waiting
in non-compatible mode, then concurrency control manager will not grant the lock until all
incompatible locks held by other transactions have been released. The lock is then granted.

vikram sharma
• Lock based protocol do not ensure serializability as granting and releasing of lock do not follow
any order and any transaction any time may go for lock and unlock. Here in the example
below we can see, that even this transaction in using locking but neither it is conflict
serializable nor independent from deadlock.
T1 T2
LOCK-X(A)
READ(A)
WRITE(A)
UNLOCK(A)
LOCK-S(B)
READ(B)
UNLOCK(B)
LOCK-X(B)
READ(B)
WRITE(B)
UNLOCK(B)
LOCK-S(A)
READ(A)
UNLOCK(A)
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• If we do not use locking, or if we unlock data items too soon after reading or writing them, we
may get inconsistent states, as there exists a possibility of dirty read. On the other hand, if we
do not unlock a data item before requesting a lock on another data item, concurrency will be
poor.

• We shall require that each transaction in the system follow a set of rules, called a locking
protocol, indicating when a transaction may lock and unlock each of the data items for e.g. 2pl
or graph based locking.

• Locking protocols restrict the number of possible schedules.

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 Two phase locking protocol(2PL)
• The protocol ensures that each transaction issue lock and unlock requests in two phases, note
that each transaction will be 2 phased not schedule.

• Growing phase- A transaction may obtain locks, but not release any locks.

• Shrinking phase- A transaction may release locks, but may not obtain any new locks.

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• Initially a transaction is in growing phase and acquires lock as needed and in between can
perform operation reach to lock point and once a transaction releases a lock, it can issue no
more lock requests i.e. it enters the shrinking phase.

T1 T2
LOCK-X(A)
READ(A)
WRITE(A)
LOCK-S(B)
READ(B)
LOCK-X(B)
READ(B)
WRITE(B)
LOCK-S(A)
READ(A)
UNLOCK(B)
UNLOCK(A)
UNLOCK(B)
Knowledge Gate WeUbNsLiOteCK(A)
 Conflict View Recoverability Cascadelessness Deadlock
Serializability Serializability Freedom

Time Stamp Ordering YES YES NO NO YES

Thomas Write Rule NO YES NO NO YES
Basic 2PL YES YES NO NO NO
Conservative 2PL

Rigorous 2PL
Strict 2PL

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 Properties
• 2PL ensures conflict serializability, and the ordering of transaction over lock points is itself a
serializability order of a schedule in 2PL.

• If a schedule is allowed in 2PL protocol then definitely it is always conflict serializable. But it is
not necessary that if a schedule is conflict serializable then it will be generated by 2pl.
Equivalent serial schedule is based on the order of lock points.

• View serializability is also guaranteed.

• Does not ensure freedom from deadlock

• May cause non-recoverability.

• Cascading rollback may occur.

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 Conservative 2PL
• The idea is there is no growing phase transaction start directly from lock point,
i.e. transaction must first acquire all the required locks then only it can start
execution. If all the locks are not available then transaction must release the
acquired locks and must wait.

• Shrinking phase will work as usual, and transaction can unlock any data item
anytime.

• we must have a knowledge in future to understand what is data required so

that we can use it

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 Conflict View Recoverability Cascadelessness Deadlock
Serializability Serializability Freedom

Time Stamp Ordering YES YES NO NO YES

Thomas Write Rule NO YES NO NO YES
Basic 2PL YES YES NO NO NO
Conservative 2PL YES YES NO NO YES
Rigorous 2PL
Strict 2PL

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 RIGOROUS 2PL
• Requires that all locks be held until the transaction commits.

• This protocol requires that locking be two phase and also all the locks taken be
held by transaction until that transaction commit.

• Hence there is no shrinking phase in the system.

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 Conflict View Recoverability Cascadelessness Deadlock
Serializability Serializability Freedom

Time Stamp Ordering YES YES NO NO YES

Thomas Write Rule NO YES NO NO YES
Basic 2PL YES YES NO NO NO
Conservative 2PL YES YES NO NO YES
Rigorous 2PL YES YES YES YES NO
Strict 2PL

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 STRICT 2PL
• that all exclusive-mode locks taken by a transaction be held until that transaction commits.
This requirement ensures that any data written by an uncommitted transaction are locked in
exclusive mode until the transaction commits, preventing any other transaction from reading
the data.

• This protocol requires that locking be two phase and also that exclusive –mode locks taken by
transaction be held until that transaction commits.

• So it is simplified form of rigorous 2pl

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 Conflict View Recoverability Cascadelessness Deadlock
Serializability Serializability Freedom

Time Stamp Ordering YES YES NO NO YES

Thomas Write Rule NO YES NO NO YES
Basic 2PL YES YES NO NO NO
Conservative 2PL YES YES NO NO YES
Rigorous 2PL YES YES YES YES NO
Strict 2PL YES YES YES YES NO

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 Multiple Granularity

IS IX S X
IS
IX
S
X

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 Multiple Granularity

IS IX S X
IS true true true false
IX true true false false
S true false true false
X false false false false

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 Validation-Based Protocols
• In cases where a majority of transactions are read-only transactions, the rate of conflicts
among transactions may be low.

• Thus, many of these transactions, if executed without the supervision of a concurrency-control

scheme, would nevertheless leave the system in a consistent state.

• A concurrency-control scheme imposes overhead of code execution and possible delay of

transactions. It may be better to use an alternative scheme that imposes less overhead.

• A difficulty in reducing the overhead is that we do not know in advance which transactions
will be involved in a conflict. To gain that knowledge, we need a scheme for monitoring the
system.

• The validation protocol requires that each transaction Ti executes in two or three different
phases in its lifetime, depending on whether it is a read-only or an update transaction. The
phases are, in order:
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• Read phase. During this phase, the system executes transaction Ti. It reads the values of the
various data items and stores them in variables local to Ti. It performs all write operations on
temporary local variables, without updates of the actual database.

• Validation phase. The validation test (described below) is applied to trans- action Ti. This
determines whether Ti is allowed to proceed to the write phase without causing a violation of
serializability. If a transaction fails the validation test, the system aborts the transaction.

• Write phase. If the validation test succeeds for transaction Ti, the temporary local variables
that hold the results of any write operations performed by Ti are copied to the database.
Read-only transactions omit this phase.

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