Database Systems: A Practical Approach to Design, Implementation, and Management (2014) PDF

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"VUIPS Pearson Global Edition CONNOLLY_1292061189_mech.indd 1 23/06/14 2:23 pm  ONLINE ACCESS Thank you for purchasing a new copy of Database Systems, Sixth Edition. Your textbook includes one year of prepaid access to the book’s Companion Website. This prepaid subscription provides you with full access to the following student support areas: t
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JNQMFNFOUBUJPO Use a coin to scratch off the coating and reveal your student access code. Do not use a knife or other sharp object as it may damage the code. To access the Database Systems, Sixth Edition., Companion Website for the first time, you will need to register online using a computer with an Internet connection and a web browser. The process takes just a couple of minutes and only needs to be completed once. 1. Go to www.pearsonglobaleditions.com/connolly 2. Click on Companion Website. 3. Click on the Register button. 4. On the registration page, enter your student access code* found beneath the scratch-off panel. Do not type the dashes. You can use lower- or uppercase. 5. Follow the on-screen instructions. If you need help at any time during the online registration process, simply click the Need Help? icon. 6. Once your personal Login Name and Password are confirmed, you can begin using the Database Systems Companion Website! To log in after you have registered: You only need to register for this Companion Website once. After that, you can log in any time at www.pearsonglobaleditions.com/connolly by providing your Login Name and Password when prompted. *Important: The access code can only be used once. This subscription is valid for one year upon activation and is not transferable. If this access code has already been revealed, it may no longer be valid. If this is the case, you can purchase a subscription by going to www.pearsonglobaleditions.com/connolly and following the on-screen instructions. CONNOLLY_1292061189_ifc.indd 1 23/06/14 2:24 pm  DATABASE SYSTEMS A Practical Approach to Design, Implementation, and Management SIXTH EDITION GLOBAL EDITION A01_CONN3067_06_SE_FM.indd 1 17/06/14 5:38 PM A01_CONN3067_06_SE_FM.indd 2 17/06/14 5:38 PM  DATABASE SYSTEMS A Practical Approach to Design, Implementation, and Management SIXTH EDITION GLOBAL EDITION THOMAS M. CONNOLLY z CAROLYN E. BEGG UNIVERSITY OF THE WEST OF SCOTLAND Boston Columbus Indianapolis New York San Francisco Upper Saddle River Amsterdam Cape Town Dubai London Madrid Milan Munich Paris Montréal Toronto Delhi Mexico City São Paulo Sydney Hong Kong Seoul Singapore TaiPei Tokyo A01_CONN3067_06_SE_FM.indd 3 17/06/14 5:38 PM  Editorial Director, ECS: Marcia Horton Senior Production Manufacturing Head of Learning Asset Controller, Global Editions: Trudy Kimber Acquisition, Global Editions: Laura Dent Manufacturing Buyer: Linda Sager Acquisitions Editor: Matt Goldstein Art Director: Jayne Conte Acquisitions Editor, Cover Designer: Lumina Datamatics Global Editions: Subhasree Patra Text Designer: Susan Raymond Program Manager: Kayla Smith-Tarbox Manager, Text Permissions: Tim Nicholls Director of Marketing: Christy Lesko Text Permission Project Manager: Jenell Forschler Marketing Manager: Yezan Alayan Cover Image: © Africa Studio/ Marketing Assistant: Jon Bryant Shutterstock Director of Production: Erin Gregg Media Project Manager: Renata Butera Senior Managing Editor: Scott Disanno Full-Service Project Management: Vasundhara Sawhney/ Senior Project Manager: Marilyn Lloyd Cenveo® Publisher Media Producer, Global Editions: M Vikram Kumar Services Project Editor, Global Editions: K.K. Neelakantan Credits and acknowledgments borrowed from other sources and reproduced, with permission, in this textbook appear on the Credits page at the end of the book. Pearson Education Limited Edinburgh Gate Harlow Essex CM20 2JE England and Associated Companies throughout the world Visit us on the World Wide Web at: www.pearsonglobaleditions.com © Pearson Education Limited 2015 The rights of Thomas Connolly and Carolyn Begg to be identified as the authors of this work have been asserted by them in accordance with the Copyright, Designs and Patents Act 1988. Authorized adaptation from the United States edition, entitled Database Systems: A Practical Approach to Design, Implementation, and Management, 6th edition, ISBN 978-0-13-294326-0, by Thomas Connolly and Carolyn Begg, published by Pearson Education © 2015. All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording or otherwise, without either the prior written permission of the publisher or a license permitting restricted copying in the United Kingdom issued by the Copyright Licensing Agency Ltd, Saffron House, 6–10 Kirby Street, London EC1N 8TS. All trademarks used herein are the property of their respective owners. The use of any trademark in this text does not vest in the author or publisher any trademark ownership rights in such trademarks, nor does the use of such trademarks imply any affiliation with or endorsement of this book by such owners. British Library Cataloguing-in-Publication Data A catalogue record for this book is available from the British Library 10 9 8 7 6 5 4 3 2 1 15 14 13 12 11 ISBN 10: 1-292-06118-9 ISBN 13: 978-1-292-06118-4 Typeset by Cenveo Publishing Services. Printed and bound by Courier Westford in The United States of America. A01_CONN3067_06_SE_FM.indd 4 03/07/14 9:49 AM  To Sheena, for her patience, understanding, and love. To our beautiful children Kathryn, Michael and Stephen with all our love. And to my brother, Francis, who died during the writing of this book. Thomas M. Connolly To my past, present, and future students at UWS. Carolyn E. Begg A01_CONN3067_06_SE_FM.indd 5 17/06/14 5:38 PM A01_CONN3067_06_SE_FM.indd 6 17/06/14 5:38 PM  Brief Contents Preface 35 Part 1 Background 49 Chapter 1 Introduction to Databases 51 Chapter 2 Database Environment 83 Chapter 3 Database Architectures and the Web 105 Part 2 The Relational Model and Languages 147 Chapter 4 The Relational Model 149 Chapter 5 Relational Algebra and Relational Calculus 167 Chapter 6 SQL: Data Manipulation 191 Chapter 7 SQL: Data Definition 233 Chapter 8 Advanced SQL 271 Chapter 9 Object-Relational DBMSs 291 Part 3 Database Analysis and Design 343 Chapter 10 Database System Development Lifecycle 345 Chapter 11 Database Analysis and the DreamHome Case Study 375 Chapter 12 Entity–Relationship Modeling 405 Chapter 13 Enhanced Entity–Relationship Modeling 433 Chapter 14 Normalization 451 Chapter 15 Advanced Normalization 481 Part 4 Methodology 501 Chapter 16 Methodology—Conceptual Database Design 503 Chapter 17 Methodology—Logical Database Design for the Relational Model 527 7 A01_CONN3067_06_SE_FM.indd 7 17/06/14 5:38 PM  8 | Brief Contents Chapter 18 Methodology—Physical Database Design for Relational Databases 561 Chapter 19 Methodology—Monitoring and Tuning the Operational System 585 Part 5 Selected Database Issues 605 Chapter 20 Security and Administration 607 Chapter 21 Professional, Legal, and Ethical Issues in Data Management 641 Chapter 22 Transaction Management 667 Chapter 23 Query Processing 727 Part 6 Distributed DBMSs and Replication 783 Chapter 24 Distributed DBMSs—Concepts and Design 785 Chapter 25 Distributed DBMSs—Advanced Concepts 831 Chapter 26 Replication and Mobile Databases 875 Part 7 Object DBMSs 939 Chapter 27 Object-Oriented DBMSs—Concepts and Design 941 Chapter 28 Object-Oriented DBMSs—Standards and Systems 995 Part 8 The Web and DBMSs 1045 Chapter 29 Web Technology and DBMSs 1047 Chapter 30 Semistructured Data and XML 1129 Part 9 Business Intelligence 1221 Chapter 31 Data Warehousing Concepts 1223 Chapter 32 Data Warehousing Design 1257 Chapter 33 OLAP 1285 Chapter 34 Data Mining 1315 A01_CONN3067_06_SE_FM.indd 8 17/06/14 5:38 PM  Brief Contents | 9 Appendices 1329 A Users’ Requirements Specification for DreamHome Case Study A-1 B Other Case Studies B-1 C Alternative ER Modeling Notations C-1 D Summary of the Database Design Methodology for Relational Databases D-1 E Introduction to Pyrrho: A Lightweight RDBMS E-1 F File Organizations and Indexes (Online) F-1 G When Is a DBMS Relational? (Online) G-1 H Commercial DBMSs: Access® and Oracle® (Online) H-1 I Programmatic SQL (Online) I-1 J Estimating Disk Space Requirements (Online) J-1 K Introduction to Object-Oriented Concepts (Online) K-1 L Example Web Scripts (Online) L-1 M Query-By-Example (QBE) (Online) M-1 N Third Generation Manifestos (Online) N-1 O Postgres—An Early ORDBMS (Online) O-1 References R-1 Further Reading FR-1 Index IN-1 A01_CONN3067_06_SE_FM.indd 9 17/06/14 5:38 PM A01_CONN3067_06_SE_FM.indd 10 17/06/14 5:38 PM  Contents Preface 35 Part 1 Background 49 Chapter 1 Introduction to Databases 51 1.1 Introduction 52 1.2 Traditional File-Based Systems 55 1.2.1 File-Based Approach 55 1.2.2 Limitations of the File-Based Approach 60 1.3 Database Approach 62 1.3.1 The Database 63 1.3.2 The Database Management System (DBMS) 64 1.3.3 (Database) Application Programs 65 1.3.4 Components of the DBMS Environment 66 1.3.5 Database Design: The Paradigm Shift 69 1.4 Roles in the Database Environment 69 1.4.1 Data and Database Administrators 69 1.4.2 Database Designers 70 1.4.3 Application Developers 71 1.4.4 End-Users 71 1.5 History of Database Management Systems 71 1.6 Advantages and Disadvantages of DBMSs 75 Chapter Summary 79 Review Questions 80 Exercises 80 Chapter 2 Database Environment 83 2.1 The Three-Level ANSI-SPARC Architecture 84 2.1.1 External Level 85 2.1.2 Conceptual Level 86 2.1.3 Internal Level 86 2.1.4 Schemas, Mappings, and Instances 87 2.1.5 Data Independence 88 2.2 Database Languages 89 2.2.1 The Data Definition Language (DDL) 90 11 A01_CONN3067_06_SE_FM.indd 11 17/06/14 5:38 PM  12 | Contents 2.2.2 The Data Manipulation Language (DML) 90 2.2.3 Fourth-Generation Languages (4GLs) 92 2.3 Data Models and Conceptual Modeling 93 2.3.1 Object-Based Data Models 94 2.3.2 Record-Based Data Models 94 2.3.3 Physical Data Models 97 2.3.4 Conceptual Modeling 97 2.4 Functions of a DBMS 97 Chapter Summary 102 Review Questions 103 Exercises 104 Chapter 3 Database Architectures and the Web 105 3.1 Multi-user DBMS Architectures 106 3.1.1 Teleprocessing 106 3.1.2 File-Server Architecture 107 3.1.3 Traditional Two-Tier Client–Server Architecture 108 3.1.4 Three-Tier Client–Server Architecture 111 3.1.5 N-Tier Architectures 112 3.1.6 Middleware 113 3.1.7 Transaction Processing Monitors 115 3.2 Web Services and Service-Oriented Architectures 117 3.2.1 Web Services 117 3.2.2 Service-Oriented Architectures (SOA) 119 3.3 Distributed DBMSs 120 3.4 Data Warehousing 123 3.5 Cloud Computing 125 3.5.1 Benefits and Risks of Cloud Computing 127 3.5.2 Cloud-based database solutions 130 3.6 Components of a DBMS 134 3.7 Oracle Architecture 137 3.7.1 Oracle’s Logical Database Structure 137 3.7.2 Oracle’s Physical Database Structure 140 Chapter Summary 144 Review Questions 145 Exercises 145 Part 2 The Relational Model and Languages 147 Chapter 4 The Relational Model 149 4.1 Brief History of the Relational Model 150 4.2 Terminology 152 4.2.1 Relational Data Structure 152 A01_CONN3067_06_SE_FM.indd 12 17/06/14 5:38 PM  Contents | 13 4.2.2 Mathematical Relations 155 4.2.3 Database Relations 156 4.2.4 Properties of Relations 156 4.2.5 Relational Keys 158 4.2.6 Representing Relational Database Schemas 159 4.3 Integrity Constraints 161 4.3.1 Nulls 161 4.3.2 Entity Integrity 162 4.3.3 Referential Integrity 162 4.3.4 General Constraints 163 4.4 Views 163 4.4.1 Terminology 163 4.4.2 Purpose of Views 164 4.4.3 Updating Views 165 Chapter Summary 165 Review Questions 166 Exercises 166 Chapter 5 Relational Algebra and Relational Calculus 167 5.1 The Relational Algebra 168 5.1.1 Unary Operations 168 5.1.2 Set Operations 171 5.1.3 Join Operations 174 5.1.4 Division Operation 177 5.1.5 Aggregation and Grouping Operations 178 5.1.6 Summary of the Relational Algebra Operations 180 5.2 The Relational Calculus 181 5.2.1 Tuple Relational Calculus 181 5.2.2 Domain Relational Calculus 184 5.3 Other Languages 186 Chapter Summary 187 Review Questions 187 Exercises 188 Chapter 6 SQL: Data Manipulation 191 6.1 Introduction to SQL 192 6.1.1 Objectives of SQL 192 6.1.2 History of SQL 193 6.1.3 Importance of SQL 195 6.1.4 Terminology 195 6.2 Writing SQL Commands 195 A01_CONN3067_06_SE_FM.indd 13 17/06/14 5:38 PM  14 | Contents 6.3 Data Manipulation 196 6.3.1 Simple Queries 197 6.3.2 Sorting Results (ORDER BY Clause) 205 6.3.3 Using the SQL Aggregate Functions 207 6.3.4 Grouping Results (GROUP BY Clause) 209 6.3.5 Subqueries 212 6.3.6 ANY and ALL 214 6.3.7 Multi-table Queries 216 6.3.8 EXISTS and NOT EXISTS 222 6.3.9 Combining Result Tables (UNION, INTERSECT, EXCEPT) 223 6.3.10 Database Updates 225 Chapter Summary 229 Review Questions 230 Exercises 230 Chapter 7 SQL: Data Definition 233 7.1 The ISO SQL Data Types 234 7.1.1 SQL Identifiers 234 7.1.2 SQL Scalar Data Types 235 7.2 Integrity Enhancement Feature 240 7.2.1 Required Data 240 7.2.2 Domain Constraints 240 7.2.3 Entity Integrity 241 7.2.4 Referential Integrity 242 7.2.5 General Constraints 243 7.3 Data Definition 244 7.3.1 Creating a Database 244 7.3.2 Creating a Table (CREATE TABLE) 245 7.3.3 Changing a Table Definition (ALTER TABLE) 248 7.3.4 Removing a Table (DROP TABLE) 249 7.3.5 Creating an Index (CREATE INDEX) 250 7.3.6 Removing an Index (DROP INDEX) 250 7.4 Views 251 7.4.1 Creating a View (CREATE VIEW) 251 7.4.2 Removing a View (DROP VIEW) 253 7.4.3 View Resolution 254 7.4.4 Restrictions on Views 255 7.4.5 View Updatability 255 7.4.6 WITH CHECK OPTION 256 7.4.7 Advantages and Disadvantages of Views 258 7.4.8 View Materialization 260 A01_CONN3067_06_SE_FM.indd 14 17/06/14 5:38 PM  Contents | 15 7.5 Transactions 261 7.5.1 Immediate and Deferred Integrity Constraints 262 7.6 Discretionary Access Control 262 7.6.1 Granting Privileges to Other Users (GRANT) 264 7.6.2 Revoking Privileges from Users (REVOKE) 265 Chapter Summary 267 Review Questions 268 Exercises 268 Chapter 8 Advanced SQL 271 8.1 The SQL Programming Language 272 8.1.1 Declarations 272 8.1.2 Assignments 273 8.1.3 Control Statements 274 8.1.4 Exceptions in PL/SQL 276 8.1.5 Cursors in PL/SQL 277 8.2 Subprograms, Stored Procedures, Functions, and Packages 280 8.3 Triggers 281 8.4 Recursion 287 Chapter Summary 288 Review Questions 289 Exercises 289 Chapter 9 Object-Relational DBMSs 291 9.1 Advanced Database Applications 292 9.2 Weaknesses of RDBMSs 297 9.3 Storing Objects in a Relational Database 302 9.3.1 Mapping Classes to Relations 303 9.3.2 Accessing Objects in the Relational Database 304 9.4 Introduction to Object-Relational Database Systems 305 9.5 SQL:2011 308 9.5.1 Row Types 309 9.5.2 User-Defined Types 310 9.5.3 Subtypes and Supertypes 313 9.5.4 User-Defined Routines 314 9.5.5 Polymorphism 317 9.5.6 Reference Types and Object Identity 318 9.5.7 Creating Tables 318 9.5.8 Querying Data 321 A01_CONN3067_06_SE_FM.indd 15 17/06/14 5:38 PM  16 | Contents 9.5.9 Collection Types 323 9.5.10 Typed Views 326 9.5.11 Persistent Stored Modules 327 9.5.12 Triggers 327 9.5.13 Large Objects 330 9.5.14 Recursion 331 9.6 Object-Oriented Extensions in Oracle 331 9.6.1 User-Defined Data Types 332 9.6.2 Manipulating Object Tables 337 9.6.3 Object Views 338 9.6.4 Privileges 339 Chapter Summary 340 Review Questions 340 Exercises 341 Part 3 Database Analysis and Design 343 Chapter 10 Database System Development Lifecycle 345 10.1 The Information Systems Lifecycle 346 10.2 The Database System Development Lifecycle 347 10.3 Database Planning 347 10.4 System Definition 350 10.4.1 User Views 350 10.5 Requirements Collection and Analysis 350 10.5.1 Centralized Approach 352 10.5.2 View Integration Approach 352 10.6 Database Design 354 10.6.1 Approaches to Database Design 355 10.6.2 Data Modeling 355 10.6.3 Phases of Database Design 356 10.7 DBMS Selection 359 10.7.1 Selecting the DBMS 359 10.8 Application Design 363 10.8.1 Transaction Design 364 10.8.2 User Interface Design Guidelines 365 10.9 Prototyping 367 10.10 Implementation 367 10.11 Data Conversion and Loading 368 A01_CONN3067_06_SE_FM.indd 16 17/06/14 5:38 PM  Contents | 17 10.12 Testing 368 10.13 Operational Maintenance 369 10.14 CASE Tools 370 Chapter Summary 372 Review Questions 373 Exercises 374 Chapter 11 Database Analysis and the DreamHome Case Study 375 11.1 When Are Fact-Finding Techniques Used? 376 11.2 What Facts Are Collected? 377 11.3 Fact-Finding Techniques 378 11.3.1 Examining Documentation 378 11.3.2 Interviewing 378 11.3.3 Observing the Enterprise in Operation 379 11.3.4 Research 380 11.3.5 Questionnaires 380 11.4 Using Fact-Finding Techniques: A Worked -Example 381 11.4.1 The DreamHome Case Study—An Overview of the Current System 382 11.4.2 The DreamHome Case Study—Database Planning 386 11.4.3 The DreamHome Case Study—System Definition 392 11.4.4 The DreamHome Case Study—Requirements Collection and Analysis 393 11.4.5 The DreamHome Case Study—Database Design 401 Chapter Summary 402 Review Questions 402 Exercises 402 Chapter 12 Entity–Relationship Modeling 405 12.1 Entity Types 406 12.2 Relationship Types 408 12.2.1 Degree of Relationship Type 410 12.2.2 Recursive Relationship 412 12.3 Attributes 413 12.3.1 Simple and Composite Attributes 413 12.3.2 Single-valued and Multi-valued Attributes 414 12.3.3 Derived Attributes 414 12.3.4 Keys 415 12.4 Strong and Weak Entity Types 417 12.5 Attributes on Relationships 418 A01_CONN3067_06_SE_FM.indd 17 17/06/14 5:38 PM  18 | Contents 12.6 Structural Constraints 419 12.6.1 One-to-One (1:1) Relationships 420 12.6.2 One-to-Many (1:*) Relationships 421 12.6.3 Many-to-Many (*:*) Relationships 422 12.6.4 Multiplicity for Complex Relationships 423 12.6.5 Cardinality and Participation Constraints 424 12.7 Problems with ER Models 426 12.7.1 Fan Traps 426 12.7.2 Chasm Traps 428 Chapter Summary 430 Review Questions 430 Exercises 431 Chapter 13 Enhanced Entity–Relationship Modeling 433 13.1 Specialization/Generalization 434 13.1.1 Superclasses and Subclasses 434 13.1.2 Superclass/Subclass Relationships 435 13.1.3 Attribute Inheritance 436 13.1.4 Specialization Process 436 13.1.5 Generalization Process 437 13.1.6 Constraints on Specialization/Generalization 440 13.1.7 Worked Example of using Specialization/ Generalization to Model the Branch View of the DreamHome Case Study 441 13.2 Aggregation 445 13.3 Composition 446 Chapter Summary 447 Review Questions 448 Exercises 448 Chapter 14 Normalization 451 14.1 The Purpose of Normalization 452 14.2 How Normalization Supports Database Design 453 14.3 Data Redundancy and Update Anomalies 454 14.3.1 Insertion Anomalies 455 14.3.2 Deletion Anomalies 455 14.3.3 Modification Anomalies 456 14.4 Functional Dependencies 456 14.4.1 Characteristics of Functional Dependencies 456 14.4.2 Identifying Functional Dependencies 460 14.4.3 Identifying the Primary Key for a Relation Using Functional Dependencies 463 14.5 The Process of Normalization 464 A01_CONN3067_06_SE_FM.indd 18 17/06/14 5:38 PM  Contents | 19 14.6 First Normal Form (1NF) 466 14.7 Second Normal Form (2NF) 470 14.8 Third Normal Form (3NF) 471 14.9 General Definitions of 2NF and 3NF 473 Chapter Summary 475 Review Questions 475 Exercises 476 Chapter 15 Advanced Normalization 481 15.1 More on Functional Dependencies 482 15.1.1 Inference Rules for Functional Dependencies 482 15.1.2 Minimal Sets of Functional Dependencies 484 15.2 Boyce–Codd Normal Form (BCNF) 485 15.2.1 Definition of BCNF 485 15.3 Review of Normalization Up to BCNF440 15.4 Fourth Normal Form (4NF) 493 15.4.1 Multi-Valued Dependency 494 15.4.2 Definition of Fourth Normal Form 495 15.5 Fifth Normal Form (5NF) 495 15.5.1 Lossless-Join Dependency 496 15.5.2 Definition of Fifth Normal Form 496 Chapter Summary 498 Review Questions 498 Exercises 499 Part 4 Methodology 501 Chapter 16 Methodology—Conceptual Database Design 503 16.1 Introduction to the Database Design Methodology 504 16.1.1 What Is a Design Methodology? 504 16.1.2 Conceptual, Logical, and Physical Database Design 505 16.1.3 Critical Success Factors in Database Design 505 16.2 Overview of the Database Design Methodology 506 16.3 Conceptual Database Design Methodology 508 Step 1: Build Conceptual Data Model 508 Chapter Summary 524 Review Questions 524 Exercises 525 A01_CONN3067_06_SE_FM.indd 19 17/06/14 5:38 PM  20 | Contents Chapter 17 Methodology—Logical Database Design for the Relational Model 527 17.1 Logical Database Design Methodology for the Relational Model 528 Step 2: Build Logical Data Model 528 Chapter Summary 556 Review Questions 557 Exercises 557 Chapter 18 Methodology—Physical Database Design for Relational Databases 561 18.1 Comparison of Logical and Physical Database Design 562 18.2 Overview of the Physical Database Design Methodology 563 18.3 The Physical Database Design Methodology for Relational Databases 564 Step 3: Translate Logical Data Model for Target DBMS 564 Step 4: Design File Organizations and Indexes 569 Step 5: Design User Views 582 Step 6: Design Security Mechanisms 582 Chapter Summary 583 Review Questions 584 Exercises 584 Chapter 19 Methodology—Monitoring and Tuning the Operational System 585 19.1 Denormalizing and Introducing Controlled Redundancy 585 Step 7: Consider the Introduction of Controlled Redundancy 585 19.2 Monitoring the System to Improve Performance 598 Step 8: Monitor and Tune the Operational System 598 Chapter Summary 602 Review Questions 603 Exercises 603 Part 5 Selected Database Issues 605 Chapter 20 Security and Administration 607 20.1 Database Security 608 20.1.1 Threats 609 A01_CONN3067_06_SE_FM.indd 20 17/06/14 5:38 PM  Contents | 21 20.2 Countermeasures—Computer-Based Controls 611 20.2.1 Authorization 612 20.2.2 Access Controls 613 20.2.3 Views 616 20.2.4 Backup and Recovery 616 20.2.5 Integrity 617 20.2.6 Encryption 617 20.2.7 RAID (Redundant Array of Independent Disks) 618 20.3 Security in Microsoft Office Access DBMS 621 20.4 Security in Oracle DBMS 623 20.5 DBMSs and Web Security 627 20.5.1 Proxy Servers 628 20.5.2 Firewalls 628 20.5.3 Message Digest Algorithms and Digital Signatures 629 20.5.4 Digital Certificates 629 20.5.5 Kerberos 630 20.5.6 Secure Sockets Layer and Secure HTTP 630 20.5.7 Secure Electronic Transactions and Secure Transaction Technology 631 20.5.8 Java Security 632 20.5.9 ActiveX Security 634 20.6 Data Administration and Database Administration 634 20.6.1 Data Administration 635 20.6.2 Database Administration 636 20.6.3 Comparison of Data and Database Administration 636 Chapter Summary 637 Review Questions 638 Exercises 638 Chapter 21 Professional, Legal, and Ethical Issues in Data Management 641 21.1 Defining Legal and Ethical Issues in IT 642 21.1.1 Defining Ethics in the Context of IT 642 21.1.2 The Difference Between Ethical and Legal Behavior 643 21.1.3 Ethical Behavior in IT 644 21.2 Legislation and Its Impact on the IT Function 645 21.2.1 Securities and Exchange Commission (SEC) Regulation National Market System (NMS) 645 21.2.2 The Sarbanes-Oxley Act, COBIT, and COSO 646 21.2.3 The Health Insurance Portability and Accountability Act 649 21.2.4 The European Union (EU) Directive on Data Protection of 1995 650 21.2.5 The United Kingdom’s Data Protection Act of 1998 651 A01_CONN3067_06_SE_FM.indd 21 17/06/14 5:38 PM  22 | Contents 21.2.6 Access to Information Laws 652 21.2.7 International Banking—Basel II Accords 654 21.3 Establishing a Culture of Legal and Ethical Data Stewardship 655 21.3.1 Developing an Organization-Wide Policy for Legal and Ethical Behavior 655 21.3.2 Professional Organizations and Codes of Ethics 656 21.3.3 Developing an Organization-Wide Policy for Legal and Ethical Behavior for DreamHome 659 21.4 Intellectual Property 660 21.4.1 Patent 661 21.4.2 Copyright 661 21.4.3 Trademark 662 21.4.4 Intellectual Property Rights Issues for Software 662 21.4.5 Intellectual Property Rights Issues for Data 664 Chapter Summary 664 Review Questions 665 Exercises 666 Chapter 22 Transaction Management 667 22.1 Transaction Support 668 22.1.1 Properties of Transactions 671 22.1.2 Database Architecture 671 22.2 Concurrency Control 672 22.2.1 The Need for Concurrency Control 672 22.2.2 Serializability and Recoverability 675 22.2.3 Locking Methods 683 22.2.4 Deadlock 689 22.2.5 Timestamping Methods 692 22.2.6 Multiversion Timestamp Ordering 695 22.2.7 Optimistic Techniques 696 22.2.8 Granularity of Data Items 697 22.3 Database Recovery 700 22.3.1 The Need for Recovery 700 22.3.2 Transactions and Recovery 701 22.3.3 Recovery Facilities 704 22.3.4 Recovery Techniques 707 22.3.5 Recovery in a Distributed DBMS 709 22.4 Advanced Transaction Models 709 22.4.1 Nested Transaction Model 711 22.4.2 Sagas 712 22.4.3 Multilevel Transaction Model 713 22.4.4 Dynamic Restructuring 714 22.4.5 Workflow Models 715 A01_CONN3067_06_SE_FM.indd 22 17/06/14 5:38 PM  Contents | 23 22.5 Concurrency Control and Recovery in Oracle 716 22.5.1 Oracle’s Isolation Levels 717 22.5.2 Multiversion Read Consistency 717 22.5.3 Deadlock Detection 719 22.5.4 Backup and Recovery 719 Chapter Summary 722 Review Questions 723 Exercises 724 Chapter 23 Query Processing 727 23.1 Overview of Query Processing 729 23.2 Query Decomposition 732 23.3 Heuristical Approach to Query Optimization 736 23.3.1 Transformation Rules for the Relational Algebra Operations 736 23.3.2 Heuristical Processing Strategies 741 23.4 Cost Estimation for the Relational Algebra Operations 742 23.4.1 Database Statistics 742 23.4.2 Selection Operation (S = !p(R)) 743 23.4.3 Join Operation (T = (R 1F S)) 750 23.4.4 Projection Operation (S = !A1, A2,... , A m(R)) 757 23.4.5 The Relational Algebra Set Operations (T = R ! S, T = R " S, T = R – S) 759 23.5 Enumeration of Alternative Execution Strategies 760 23.5.1 Pipelining 761 23.5.2 Linear Trees 761 23.5.3 Physical Operators and Execution Strategies 762 23.5.4 Reducing the Search Space 764 23.5.5 Enumerating Left-Deep Trees 765 23.5.6 Semantic Query Optimization 766 23.5.7 Alternative Approaches to Query Optimization 767 23.5.8 Distributed Query Optimization 768 23.6 Query Processing and Optimization 768 23.6.1 New Index Types 771 23.7 Query Optimization in Oracle 772 23.7.1 Rule-Based and Cost-Based Optimization 772 23.7.2 Histograms 776 23.7.3 Viewing the Execution Plan 778 Chapter Summary 779 Review Questions 780 Exercises 781 A01_CONN3067_06_SE_FM.indd 23 17/06/14 5:38 PM  24 | Contents Part 6 Distributed DBMSs and Replication 783 Chapter 24 Distributed DBMSs—Concepts and Design 785 24.1 Introduction 786 24.1.1 Concepts 787 24.1.2 Advantages and Disadvantages of DDBMSs 791 24.1.3 Homogeneous and Heterogeneous DDBMSs 794 24.2 Overview of Networking 797 24.3 Functions and Architectures of a DDBMS 801 24.3.1 Functions of a DDBMS 801 24.3.2 Reference Architecture for a DDBMS 801 24.3.3 Reference Architecture for a Federated MDBS 803 24.3.4 Component Architecture for a DDBMS 804 24.4 Distributed Relational Database Design 805 24.4.1 Data Allocation 806 24.4.2 Fragmentation 807 24.5 Transparencies in a DDBMS 816 24.5.1 Distribution Transparency 816 24.5.2 Transaction Transparency 819 24.5.3 Performance Transparency 822 24.5.4 DBMS Transparency 824 24.5.5 Summary of Transparencies in a DDBMS 824 24.6 Date’s Twelve Rules for a DDBMS 825 Chapter Summary 827 Review Questions 828 Exercises 828 Chapter 25 Distributed DBMSs—Advanced Concepts 831 25.1 Distributed Transaction Management 832 25.2 Distributed Concurrency Control 833 25.2.1 Objectives 833 25.2.2 Distributed Serializability 834 25.2.3 Locking Protocols 834 25.3 Distributed Deadlock Management 837 25.4 Distributed Database Recovery 840 25.4.1 Failures in a Distributed Environment 841 25.4.2 How Failures Affect Recovery 842 25.4.3 Two-Phase Commit (2PC) 842 25.4.4 Three-Phase Commit (3PC) 849 25.4.5 Network Partitioning 852 25.5 The X/Open Distributed Transaction Processing Model 854 25.6 Distributed Query Optimization 856 A01_CONN3067_06_SE_FM.indd 24 17/06/14 5:38 PM  Contents | 25 25.6.1 Data Localization 858 25.6.2 Distributed Joins 861 25.6.3 Global Optimization 862 25.7 Distribution in Oracle 866 25.7.1 Oracle’s DDBMS Functionality 866 Chapter Summary 872 Review Questions 872 Exercises 873 Chapter 26 Replication and Mobile Databases 875 26.1 Introduction to Data Replication 876 26.1.1 Applications of Replication 877 26.1.2 Replication Model 878 26.1.3 Functional Model of Replication Protocols 879 26.1.4 Consistency 880 26.2 Replication Architecture 880 26.2.1 Kernel-Based Replication 880 26.2.2 Middleware-Based Replication 881 26.2.3 Processing of Updates 882 26.2.4 Propagation of Updates 884 26.2.5 Update Location (Data Ownership) 884 26.2.6 Termination Protocols 888 26.3 Replication Schemes 888 26.3.1 Eager Primary Copy 889 26.3.2 Lazy Primary Copy 894 26.3.3 Eager Update Anywhere 898 26.3.4 Lazy Update Anywhere 899 26.3.5 Update Anywhere with Uniform Total Order Broadcast 903 26.3.6 SI and Uniform Total Order Broadcast Replication 907 26.4 Introduction to Mobile Databases 913 26.4.1 Mobile DBMSs 915 26.4.2 Issues with Mobile DBMSs 916 26.5 Oracle Replication 929 26.5.1 Oracle’s Replication Functionality 929 Chapter Summary 936 Review Questions 937 Exercises 937 Part 7 Object DBMSs 939 Chapter 27 Object-Oriented DBMSs—Concepts and Design 941 27.1 Next-Generation Database Systems 943 A01_CONN3067_06_SE_FM.indd 25 17/06/14 5:38 PM  26 | Contents 27.2 Introduction to OODBMSs 945 27.2.1 Definition of Object-Oriented DBMSs 945 27.2.2 Functional Data Models 946 27.2.3 Persistent Programming Languages 951 27.2.4 Alternative Strategies for Developing an OODBMS 953 27.3 Persistence in OODBMSs 954 27.3.1 Pointer Swizzling Techniques 956 27.3.2 Accessing an Object 959 27.3.3 Persistence Schemes 961 27.3.4 Orthogonal Persistence 962 27.4 Issues in OODBMSs 964 27.4.1 Transactions 964 27.4.2 Versions 965 27.4.3 Schema Evolution 966 27.4.4 Architecture 969 27.4.5 Benchmarking 971 27.5 Advantages and Disadvantages of OODBMSs 974 27.5.1 Advantages 974 27.5.2 Disadvantages 976 27.6 Comparison of ORDBMS and OODBMS 978 27.7 Object-Oriented Database Design 979 27.7.1 Comparison of Object-Oriented Data Modeling and Conceptual Data Modeling 979 27.7.2 Relationships and Referential Integrity 980 27.7.3 Behavioral Design 982 27.8 Object-Oriented Analysis and Design with UML 984 27.8.1 UML Diagrams 985 27.8.2 Usage of UML in the Methodology for Database Design 990 Chapter Summary 992 Review Questions 993 Exercises 993 Chapter 28 Object-Oriented DBMSs—Standards and Systems 995 28.1 Object Management Group 996 28.1.1 Background 996 28.1.2 The Common Object Request Broker Architecture 999 28.1.3 Other OMG Specifications 1004 28.1.4 Model-Driven Architecture 1007 28.2 Object Data Standard ODMG 3.0, 1999 1007 28.2.1 Object Data Management Group 1009 28.2.2 The Object Model 1010 A01_CONN3067_06_SE_FM.indd 26 17/06/14 5:38 PM  Contents | 27 28.2.3 The Object Definition Language 1018 28.2.4 The Object Query Language 1021 28.2.5 Other Parts of the ODMG Standard 1027 28.2.6 Mapping the Conceptual Design to a Logical (Object-Oriented) Design 1030 28.3 ObjectStore 1031 28.3.1 Architecture 1031 28.3.2 Building an ObjectStore Application 1034 28.3.3 Data Definition in ObjectStore 1035 28.3.4 Data Manipulation in ObjectStore 1039 Chapter Summary 1042 Review Questions 1043 Exercises 1043 Part 8 The Web and DBMSs 1045 Chapter 29 Web Technology and DBMSs 1047 29.1 Introduction to the Internet and the Web 1048 29.1.1 Intranets and Extranets 1050 29.1.2 e-Commerce and e-Business 1051 29.2 The Web 1052 29.2.1 HyperText Transfer Protocol 1053 29.2.2 HyperText Markup Language 1055 29.2.3 Uniform Resource Locators 1057 29.2.4 Static and Dynamic Web Pages 1058 29.2.5 Web Services 1058 29.2.6 Requirements for Web–DBMS Integration 1059 29.2.7 Advantages and Disadvantages of the Web–DBMS Approach 1060 29.2.8 Approaches to Integrating the Web and DBMSs 1064 29.3 Scripting Languages 1065 29.3.1 JavaScript and JScript 1065 29.3.2 VBScript 1066 29.3.3 Perl and PHP 1067 29.4 Common Gateway Interface (CGI) 1067 29.4.1 Passing Information to a CGI Script 1069 29.4.2 Advantages and Disadvantages of CGI 1071 29.5 HTTP Cookies 1072 29.6 Extending the Web Server 1073 29.6.1 Comparison of CGI and API 1074 29.7 Java 1074 29.7.1 JDBC 1078 29.7.2 SQLJ 1084 A01_CONN3067_06_SE_FM.indd 27 17/06/14 5:38 PM  28 | Contents 29.7.3 Comparison of JDBC and SQLJ 1084 29.7.4 Container-Managed Persistence (CMP) 1085 29.7.5 Java Data Objects (JDO) 1089 29.7.6 JPA (Java Persistence API) 1096 29.7.7 Java Servlets 1104 29.7.8 JavaServer Pages 1104 29.7.9 Java Web Services 1105 29.8 Microsoft’s Web Platform 1107 29.8.1 Universal Data Access 1108 29.8.2 Active Server Pages and ActiveX Data Objects 1109 29.8.3 Remote Data Services 1110 29.8.4 Comparison of ASP and JSP 1113 29.8.5 Microsoft.NET 1113 29.8.6 Microsoft Web Services 1118 29.9 Oracle Internet Platform 1119 29.9.1 Oracle WebLogic Server 1120 29.9.2 Oracle Metadata Repository 1121 29.9.3 Oracle Identity Management 1121 29.9.4 Oracle Portal 1122 29.9.5 Oracle WebCenter 1122 29.9.6 Oracle Business Intelligence (BI) Discoverer 1122 29.9.7 Oracle SOA (Service-Oriented Architecture) Suite 1123 Chapter Summary 1126 Review Questions 1127 Exercises 1127 Chapter 30 Semistructured Data and XML 1129 30.1 Semistructured Data 1130 30.1.1 Object Exchange Model (OEM) 1132 30.1.2 Lore and Lorel 1133 30.2 Introduction to XML 1137 30.2.1 Overview of XML 1140 30.2.2 Document Type Definitions (DTDs) 1142 30.3 XML-Related Technologies 1145 30.3.1 DOM and SAX Interfaces 1146 30.3.2 Namespaces 1147 30.3.3 XSL and XSLT 1147 30.3.4 XPath (XML Path Language) 1148 30.3.5 XPointer (XML Pointer Language) 1149 30.3.6 XLink (XML Linking Language) 1150 30.3.7 XHTML 1150 30.3.8 Simple Object Access Protocol (SOAP) 1151 30.3.9 Web Services Description Language (WSDL) 1152 A01_CONN3067_06_SE_FM.indd 28 17/06/14 5:38 PM  Contents | 29 30.3.10 Universal Discovery, Description, and Integration (UDDI) 1152 30.3.11 JSON (JavaScript Object Notation) 1154 30.4 XML Schema 1156 30.4.1 Resource Description Framework (RDF) 1162 30.5 XML Query Languages 1166 30.5.1 Extending Lore and Lorel to Handle XML 1167 30.5.2 XML Query Working Group 1168 30.5.3 XQuery—A Query Language for XML 1169 30.5.4 XML Information Set 1179 30.5.5 XQuery 1.0 and XPath 2.0 Data Model (XDM) 1180 30.5.6 XQuery Update Facility 1.0 1186 30.5.7 Formal Semantics 1188 30.6 XML and Databases 1196 30.6.1 Storing XML in Databases 1196 30.6.2 XML and SQL 1199 30.6.3 Native XML Databases 1213 30.7 XML in Oracle 1214 Chapter Summary 1217 Review Questions 1219 Exercises 1220 Part 9 Business Intelligence 1221 Chapter 31 Data Warehousing Concepts 1223 31.1 Introduction to Data Warehousing 1224 31.1.1 The Evolution of Data Warehousing 1224 31.1.2 Data Warehousing Concepts 1225 31.1.3 Benefits of Data Warehousing 1226 31.1.4 Comparison of OLTP Systems and Data Warehousing 1226 31.1.5 Problems of Data Warehousing 1228 31.1.6 Real-Time Data Warehouse 1230 31.2 Data Warehouse Architecture 1231 31.2.1 Operational Data 1231 31.2.2 Operational Data Store 1231 31.2.3 ETL Manager 1232 31.2.4 Warehouse Manager 1232 31.2.5 Query Manager 1233 31.2.6 Detailed Data 1233 31.2.7 Lightly and Highly Summarized Data 1233 31.2.8 Archive/Backup Data 1233 31.2.9 Metadata 1234 31.2.10 End-User Access Tools 1234 A01_CONN3067_06_SE_FM.indd 29 17/06/14 5:38 PM  30 | Contents 31.3 Data Warehousing Tools and Technologies 1235 31.3.1 Extraction, Transformation, and Loading (ETL) 1236 31.3.2 Data Warehouse DBMS 1237 31.3.3 Data Warehouse Metadata 1240 31.3.4 Administration and Management Tools 1242 31.4 Data Mart 1242 31.4.1 Reasons for Creating a Data Mart 1243 31.5 Data Warehousing and Temporal Databases 1243 31.5.1 Temporal Extensions to the SQL Standard 1246 31.6 Data Warehousing Using Oracle 1248 31.6.1 Warehouse Features in Oracle 11g 1251 31.6.2 Oracle Support for Temporal Data 1252 Chapter Summary 1253 Review Questions 1254 Exercises 1255 Chapter 32 Data Warehousing Design 1257 32.1 Designing a Data Warehouse Database 1258 32.2 Data Warehouse Development Methodologies 1258 32.3 Kimball’s Business Dimensional Lifecycle 1260 32.4 Dimensionality Modeling 1261 32.4.1 Comparison of DM and ER models 1264 32.5 The Dimensional Modeling Stage of Kimball’s Business Dimensional Lifecycle 1265 32.5.1 Create a High-Level Dimensional Model (Phase I) 1265 32.5.2 Identify All Dimension Attributes for the Dimensional Model (Phase II) 1270 32.6 Data Warehouse Development Issues 1273 32.7 Data Warehousing Design Using Oracle 1274 32.7.1 Oracle Warehouse Builder Components 1274 32.7.2 Using Oracle Warehouse Builder 1275 32.7.3 Warehouse Builder Features in Oracle 11g 1279 Chapter Summary 1280 Review Questions 1281 Exercises 1282 Chapter 33 OLAP 1285 33.1 Online Analytical Processing 1286 33.1.1 OLAP Benchmarks 1287 A01_CONN3067_06_SE_FM.indd 30 17/06/14 5:38 PM  Contents | 31 33.2 OLAP Applications 1287 33.3 Multidimensional Data Model 1289 33.3.1 Alternative Multidimensional Data Representations 1289 33.3.2 Dimensional Hierarchy 1291 33.3.3 Multidimensional Operations 1293 33.3.4 Multidimensional Schemas 1293 33.4 OLAP Tools 1293 33.4.1 Codd’s Rules for OLAP Tools 1294 33.4.2 OLAP Server—Implementation Issues 1295 33.4.3 Categories of OLAP Servers 1296 33.5 OLAP Extensions to the SQL Standard 1300 33.5.1 Extended Grouping Capabilities 1300 33.5.2 Elementary OLAP Operators 1305 33.6 Oracle OLAP 1307 33.6.1 Oracle OLAP Environment 1307 33.6.2 Platform for Business Intelligence Applications 1308 33.6.3 Oracle Database 1308 33.6.4 Oracle OLAP 1310 33.6.5 Performance 1311 33.6.6 System Management 1312 33.6.7 System Requirements 1312 33.6.8 OLAP Features in Oracle 11g 1312 Chapter Summary 1313 Review Questions 1313 Exercises 1313 Chapter 34 Data Mining 1315 34.1 Data Mining 1316 34.2 Data Mining Techniques 1316 34.2.1 Predictive Modeling 1318 34.2.2 Database Segmentation 1319 34.2.3 Link Analysis 1320 34.2.4 Deviation Detection 1321 34.3 The Data Mining Process 1322 34.3.1 The CRISP-DM Model 1322 34.4 Data Mining Tools 1323 34.5 Data Mining and Data Warehousing 1324 34.6 Oracle Data Mining (ODM) 1325 34.6.1 Data Mining Capabilities 1325 A01_CONN3067_06_SE_FM.indd 31