Course:

Database Management Systems

Credits: 3

Nguyen Thanh Tung

[email protected]
cse.hcmut.edu.vn/~thanhtung
Faculty of Computer Science & Engineering
HoChiMinh City University of Technology
Vietnam National University of HoChiMinh City

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References
[1] R. Elmasri, S. R. Navathe, Fundamentals of
Database Systems- 4th Edition, Pearson-
Addison Wesley, 2003.
[2] H. G. Molina, J. D. Ullman, J. Widom, Database
System Implementation, Prentice-Hall, 2000.
[3] H. G. Molina, J. D. Ullman, J. Widom, Database
Systems: The Complete Book, Prentice-Hall,
2002
[4] A. Silberschatz, H. F. Korth, S. Sudarshan,
Database System Concepts –3rd Edition,
McGraw-Hill, 1999.

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References
[1] R. Elmasri, S. R. Navathe, Fundamentals of
Database Systems- 4th Edition, Pearson-
Addison Wesley, 2003.
[2] H. G. Molina, J. D. Ullman, J. Widom, Database
System Implementation, Prentice-Hall, 2000.
[3] H. G. Molina, J. D. Ullman, J. Widom, Database
Systems: The Complete Book, Prentice-Hall,
2002
[4] A. Silberschatz, H. F. Korth, S. Sudarshan,
Database System Concepts –3rd Edition,
McGraw-Hill, 1999.

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Course outline
 C0. Overview of a DBMS
 C1. Disk Storage, Basic File Structures, and Hashing
 C2. Indexing Structures for Files
 C3. Algorithms for Query Processing and Optimization
 C4. Introduction to Transaction Processing Concepts
and Theory
 C5. Concurrency Control Techniques
 C6. Database Recovery Techniques

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Course outline - Timetable
 C0. Overview of a DBMS (w. 1)
 C1. Disk Storage, Basic File Structures, and Hashing
(w. 1, 2)
 C2. Indexing Structures for Files (w. 3, 4, 5)
 C3. Algorithms for Query Processing and Optimization
(w. 6, 7, 8)
 C4. Introduction to Transaction Processing Concepts
and Theory (w. 9, 10)
 C5. Concurrency Control Techniques (w. 11, 12)
 C6. Database Recovery Techniques (w. 13, 14)

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Three parts

 Storage management: how secondary storage is

used effectively to hold data and allow it to be
accessed quickly
 Query processing: how queries expressed in a
very high-level language such as SQL can be
executed efficiently
 Transaction management: how to support
transactions.

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Course: Database Management Systems

Chapter 0

An Overview of a Database
Management System

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What is a DBMS?

 The power of database comes from a body of

knowledge and technology that has developed over
several decades and is embodied in a specialized
software called a database management system,
or DBMS.
 A DBMS is a powerful tool for creating and
managing large amount of data efficiently and
allowing it to persist over long periods of time safely.

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DBMS Capabilities
The capabilities that a DBMS provides the user are:
 Persistent Storage. A DBMS supports the storage of very large
amounts of data that exists independently of any processes that
are using the data.
 Programming Interface. A DBMS allows the user to access and
modify data through a powerful query language.
 Transaction management. A DBMS supports concurrent
access to data, i.e., simultaneously access by many distinct
processes (called transaction) at once. To avoid some of the
undesirable consequences of simultaneous access, the DBMS
supports:
 isolation

 atomicity

 resiliency

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Overview of a Database Management
System
 In Fig. 1.1. we can see an outline of a complete
DBMS.
 Single boxes represent system components
 Double boxes represent in-memory data structures.
 Solid lines indicate control and data flows
 Dashed lines indicate data flow only.
 At the top level, we suggest that there are two
distinct sources of commands to the DBMS:
 Conventional users and application programs that ask for
data or modify data.
 A DBA (database administrator): a person or persons
responsible for the structure (schema) of the database.

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system component

in-memory structure

control/data flow

data flow

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Data-Definition Language Commands
 The second kind of commands is the simpler to process and
we can see its trail beginning at the upper right side of Fig.1.1.
 E.g., DBA for a university registrar’s database might decide
that there should be a relation with columns for a student, a
course that student has taken and a grade for that student in
that course. This structure and constraint information is all
part of the schema of the database. It is entered by the DBA,
who needs special authority to execute schema-altering
commands.
 These schema-altering DDL commands are parsed by a
DDL processor and passed to the execution engine, which
then goes through the index/file/record manager to alter the
metadata, that is, the schema information for the database.

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Overview of Query Processing
 The great majority of interactions with the DBMS
follow the path on the left side of Fig. 1.1.
 A user or application program initiates some action
that does not affect the schema of the database, but
may affect the content of the database (if the action
is a modification command) or will extract data
from the database (if the action is a query).
 There are two paths along which user actions affect
the database:
 Answering the query
 Transaction processing.

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Answering the query
 The query is parsed and optimized by a query compiler. The
resulting query plan is passed to the execution engine.
 The execution engine issues a sequence of requests for small
pieces of data, typically tuples of a relation, to a resource
manager that knows about data files, the format and size of
records in those files and index files.
 The requests for data are translated into pages and these
requests are passed to buffer manager. Buffer manager’s task
is to bring appropriate portions of the data from secondary
storage to main-memory buffers.
 Normally, the page or “disk blocks” is the unit of transfer between
buffers and disk. The buffer manager communicates with a
storage manager to get data from disk.
 The storage manager might involve operating-system
command, but more typically, DBMS issues commands directly
to the disk controller.

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Transaction processing
 Queries and other actions are grouped into
transactions, which are units that must be executed
atomically and in isolation; often each query or
modification action is a transaction itself.
 In addition, the execution of transactions must be
durable, meaning that the effect of any completed
transaction must be preserved even if the system
fails in some way after completion of the transaction.
 The transaction processor consists of two parts:
 A concurrency-control manager (scheduler) responsible
for assuring atomicity and isolation of transaction,
 A logging and recovery manager responsible for the
durability of transactions.

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Main-memory buffers and Buffer
Manager
 The data of a database normally resides in
secondary storage (magnetic disk). However, to
perform any operation on data, that data must be in
main memory.
 Buffer manager is responsible for partitioning the
available main memory into buffers, which are
page-sized regions into which disk blocks can be
transferred.
 All DBMS components that need information from
the disk will interact with the buffers and the buffer
manager, either directly or through the execution
engine.

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Buffer manager

The kinds of information that various components in

DBMS may need include:
 Data: the content of the database itself

 Metadata: the database schema that describes the

structure of, and the constraints on, the database.
 Statistics: information gathered and stored by the
DBMS about data properties such as the size of,
and the values in various relations or other
components of the database.
 Indexes: data structures that support efficient
access to the data.

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Transaction Processing
 It’s normal to group one or more database
operations into a transaction, which is a unit of
work that must be executed atomically and in
apparent isolation from other transactions.
 Besides, a DBMS offers the guarantee of durability:
that the work of a completed transaction will never
be lost.
 The transaction manager accepts transaction
commands from an application, which tell the
transaction manager:
 when transactions begin and end
 information about the expectations of the application.

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Transaction processor’s tasks

The transaction processor performs the tasks:

 Logging: In order to assure durability, every change
in the database is logged separately on disk. The
log manager follows one of several policies
designed to assure that no matter when a system
failure or “crash” occurs, the recovery manager will
be able to examine the log of changes and restore
the database to some consistent state. The log
manager initially writes the log in buffers and
negotiates with the buffer manager to make sure
that buffers are written to disk at appropriate times.

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Transaction processor’s tasks (cont.)
 Concurrent control: Transactions must appear to
execute in isolation. But in most systems, there will
be many transactions executing at once. Thus, the
scheduler (concurrency-control manager) must
assure that the individual actions of multiple
transactions are executed in such an order that the
net effect is the same as if the transactions had
been executed in their entirety, one-at-a-time.
 A typical scheduler does its work by maintaining locks on
certain pieces of the database. These locks prevent two
transactions from accessing the same piece of data in
ways that interact badly.
 Locks are stored in a main-memory lock table. The
scheduler affects the execution of queries and other
database operations by forbidding the execution engine
from accessing locked parts of the database.

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Transaction processor’s tasks (cont.)

 Deadlock resolution: As transactions compete for

resources through the locks that the scheduler
grants, they can get into a situation where none can
proceed because each needs something another
transaction has. The transaction manager has the
duty to intervene and cancel one or more
transactions to let the others proceed.

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The Query Processor
 The part of DBMS that most affects the performance
that the user sees is the query processor.
 The query processor consists of two components:
query compiler and execution engine.
 The query compiler, translates the query into an
internal form called a query plan. A query plan is a
sequence of operations to be performed on the
data. Often the operations in a query plan are
“relational algebra” operations.
 The query compiler consists of 3 major units: a
query parser, a query preprocessor, and a query
optimizer.

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Query Compiler’s components
 A query parser, which builds a tree structure from
the textual form of the query.
 A query preprocessor, which performs semantic
checks on the query (e.g., making sure all relations
mentioned by the query actually exist), and
performing some tree transformations to turn the
parse tree into tree of algebraic operators
representing the initial query plan.
 A query optimizer, which transforms the initial
query plan into the best available sequence of
operations on the actual data.
Note: The query compiler uses metadata and statistics
about the data to decide which sequence of
operations is likely to be the fastest.

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Execution Engine

 The execution engine has the responsibility for

executing each of the steps in the chosen query
plan.
 The execution engine interacts with most of the
other components of the DBMS, either directly or
through the buffers.
 It must get the data from the database into buffers
in order to manipulate that data.
 It needs to interact with the scheduler to avoid
accessing data that is locked, and with the log
manager to make sure that all the database
changes are properly logged.

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(Relational) DBMSs in Practice

 MySQL
 Oracle
 MS SQL Server
 IBM DB2
 …

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Assignments

 File structure  Query Processing

 Oracle  In Oracle
 Index  In SQL Server
 Index in Oracle  Transaction
 R-Tree/ Hilbert R-Tree  In Oracle
 Bitmap index  In SQL Server
 How to implement in Oracle  Recovery
 Cache  In Oracle
 In Oracle  In SQL Server
 In MySQL  Distributed DBMS
 Oracle

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Assignments - else
• Record
File Structure • File

• B+-Tree
Index • Bitmap
•?
MySQL Oracle
Cache • How

• Execution Plan
Query Processing •?
SQL
Server
Transaction •?

Recovery •?

Distributed DBMS •?

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Assessment
 Midterm: 50%
 Preliminary tests in class: 10%
 Test 1 (c. 1 + 2; w. 5): 5%
 Test 2 (c. 3 p.2 + 4 + 5; w. 13): 5%
 Midterm exam: 25%
 20 questions in 60 mins: 0.5 point/question
 Reviews: c.0-3
 Individual assignment: 15%
 Deadline for assignment submission: w. 14
 Oral presentation for an added bonus (max 10%): w. 14
 Final exam: 50%
 45 questions in 120 mins: 0.25 point/question
 Reviews: c. 0-6

Success in the course = { Midterm * 50% + Final exam * 50%  5.0 28

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