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This book introduces the fundamental concepts necessary
for designing, using, and implementing
database systems and database applications. Our presentation stresses the fundamentals
of database modeling and design, the languages and models provided by
the database management systems, and database system implementation techniques.
The book is meant to be used as a textbook for a one- or two-semester
course in database systems at the junior, senior, or graduate level, and as a reference
book. Our goal is to provide an in-depth and up-to-date presentation of the most
important aspects of database systems and applications, and related technologies.
We assume that readers are familiar with elementary programming and datastructuring
concepts and that they have had some exposure to the basics of computer
organization.
New to This Edition
The following key features have been added in the sixth edition:
■ A reorganization of the chapter ordering to allow instructors to start with
projects and laboratory exercises very early in the course
■ The material on SQL, the relational database standard, has been moved early
in the book to Chapters 4 and 5 to allow instructors to focus on this important
topic at the beginning of a course
■ The material on object-relational and object-oriented databases has been
updated to conform to the latest SQL and ODMG standards, and consolidated
into a single chapter (Chapter 11)
■ The presentation of XML has been expanded and updated, and moved earlier
in the book to Chapter 12
■ The chapters on normalization theory have been reorganized so that the first
chapter (Chapter 15) focuses on intuitive normalization concepts, while the
second chapter (Chapter 16) focuses on the formal theories and normalization
algorithms
■ The presentation of database security threats has been updated with a discussion
on SQL injection attacks and prevention techniques in Chapter 24,
and an overview of label-based security with examples
Preface
■ Our presentation on spatial databases and multimedia databases has been
expanded and updated in Chapter 26
■ A new Chapter 27 on information retrieval techniques has been added,
which discusses models and techniques for retrieval, querying, browsing,
and indexing of information from Web documents; we present the typical
processing steps in an information retrieval system, the evaluation metrics,
and how information retrieval techniques are related to databases and to
Web search
The following are key features of the book:
■ A self-contained, flexible organization that can be tailored to individual
needs
■ A Companion Website (http://www.aw.com/elmasri) includes data to be
loaded into various types of relational databases for more realistic student
laboratory exercises
■ A simple relational algebra and calculus interpreter
■ A collection of supplements, including a robust set of materials for instructors
and students, such as PowerPoint slides, figures from the text, and an
instructor’s guide with solutions
Organization of the Sixth Edition
There are significant organizational changes in the sixth edition, as well as improvement
to the individual chapters. The book is now divided into eleven parts as
follows:
■ Part 1 (Chapters 1 and 2) includes the introductory chapters
■ The presentation on relational databases and SQL has been moved to Part 2
(Chapters 3 through 6) of the book; Chapter 3 presents the formal relational
model and relational database constraints; the material on SQL (Chapters 4
and 5) is now presented before our presentation on relational algebra and calculus
in Chapter 6 to allow instructors to start SQL projects early in a course
if they wish (this reordering is also based on a study that suggests students
master SQL better when it is taught before the formal relational languages)
■ The presentation on entity-relationship modeling and database design is
now in Part 3 (Chapters 7 through 10), but it can still be covered before Part
2 if the focus of a course is on database design
■ Part 4 covers the updated material on object-relational and object-oriented
databases (Chapter 11) and XML (Chapter 12)
■ Part 5 includes the chapters on database programming techniques (Chapter
13) and Web database programming using PHP (Chapter 14, which was
moved earlier in the book)
■ Part 6 (Chapters 15 and 16) are the normalization and design theory chapters
(we moved all the formal aspects of normalization algorithms to Chapter 16)
viii Preface
Preface ix
■ Part 7 (Chapters 17 and 18) contains the chapters on file organizations,
indexing, and hashing
■ Part 8 includes the chapters on query processing and optimization techniques
(Chapter 19) and database tuning (Chapter 20)
■ Part 9 includes Chapter 21 on transaction processing concepts; Chapter 22
on concurrency control; and Chapter 23 on database recovery from failures
■ Part 10 on additional database topics includes Chapter 24 on database security
and Chapter 25 on distributed databases
■ Part 11 on advanced database models and applications includes Chapter 26
on advanced data models (active, temporal, spatial, multimedia, and deductive
databases); the new Chapter 27 on information retrieval and Web
search; and the chapters on data mining (Chapter 28) and data warehousing
(Chapter 29)
Contents of the Sixth Edition
Part 1 describes the basic introductory concepts necessary for a good understanding
of database models, systems, and languages. Chapters 1 and 2 introduce databases,
typical users, and DBMS concepts, terminology, and architecture.
Part 2 describes the relational data model, the SQL standard, and the formal relational
languages. Chapter 3 describes the basic relational model, its integrity constraints,
and update operations. Chapter 4 describes some of the basic parts of the
SQL standard for relational databases, including data definition, data modification
operations, and simple SQL queries. Chapter 5 presents more complex SQL queries,
as well as the SQL concepts of triggers, assertions, views, and schema modification.
Chapter 6 describes the operations of the relational algebra and introduces the relational
calculus.
Part 3 covers several topics related to conceptual database modeling and database
design. In Chapter 7, the concepts of the Entity-Relationship (ER) model and ER
diagrams are presented and used to illustrate conceptual database design. Chapter 8
focuses on data abstraction and semantic data modeling concepts and shows how
the ER model can be extended to incorporate these ideas, leading to the enhanced-
ER (EER) data model and EER diagrams. The concepts presented in Chapter 8
include subclasses, specialization, generalization, and union types (categories). The
notation for the class diagrams of UML is also introduced in Chapters 7 and 8.
Chapter 9 discusses relational database design using ER- and EER-to-relational
mapping.We end Part 3 with Chapter 10, which presents an overview of the different
phases of the database design process in enterprises for medium-sized and large
database applications.
Part 4 covers the object-oriented, object-relational, and XML data models, and their
affiliated languages and standards. Chapter 11 first introduces the concepts for
object databases, and then shows how they have been incorporated into the SQL
standard in order to add object capabilities to relational database systems. It then
x Preface
covers the ODMG object model standard, and its object definition and query languages.
Chapter 12 covers the XML (eXtensible Markup Language) model and languages,
and discusses how XML is related to database systems. It presents XML
concepts and languages, and compares the XML model to traditional database
models.We also show how data can be converted between the XML and relational
representations.
Part 5 is on database programming techniques. Chapter 13 covers SQL programming
topics, such as embedded SQL, dynamic SQL, ODBC, SQLJ, JDBC, and
SQL/CLI. Chapter 14 introduces Web database programming, using the PHP scripting
language in our examples.
Part 6 covers normalization theory. Chapters 15 and 16 cover the formalisms, theories,
and algorithms developed for relational database design by normalization. This
material includes functional and other types of dependencies and normal forms of
relations. Step-by-step intuitive normalization is presented in Chapter 15, which
also defines multivalued and join dependencies. Relational design algorithms based
on normalization, along with the theoretical materials that the algorithms are based
on, are presented in Chapter 16.
Part 7 describes the physical file structures and access methods used in database systems.
Chapter 17 describes primary methods of organizing files of records on disk,
including static and dynamic hashing. Chapter 18 describes indexing techniques for
files, including B-tree and B+-tree data structures and grid files.
Part 8 focuses on query processing and database performance tuning. Chapter 19
introduces the basics of query processing and optimization, and Chapter 20 discusses
physical database design and tuning.
Part 9 discusses transaction processing, concurrency control, and recovery techniques,
including discussions of how these concepts are realized in SQL. Chapter 21
introduces the techniques needed for transaction processing systems, and defines
the concepts of recoverability and serializability of schedules. Chapter 22 gives an
overview of the various types of concurrency control protocols, with a focus on
two-phase locking.We also discuss timestamp ordering and optimistic concurrency
control techniques, as well as multiple-granularity locking. Finally, Chapter 23
focuses on database recovery protocols, and gives an overview of the concepts and
techniques that are used in recovery.
Parts 10 and 11 cover a number of advanced topics. Chapter 24 gives an overview of
database security including the discretionary access control model with SQL commands
to GRANT and REVOKE privileges, the mandatory access control model
with user categories and polyinstantiation, a discussion of data privacy and its relationship
to security, and an overview of SQL injection attacks. Chapter 25 gives an
introduction to distributed databases and discusses the three-tier client/server
architecture. Chapter 26 introduces several enhanced database models for advanced
applications. These include active databases and triggers, as well as temporal, spatial,
multimedia, and deductive databases. Chapter 27 is a new chapter on information
retrieval techniques, and how they are related to database systems and to Web
search methods. Chapter 28 on data mining gives an overview of the process of data
mining and knowledge discovery, discusses algorithms for association rule mining,
classification, and clustering, and briefly covers other approaches and commercial
tools. Chapter 29 introduces data warehousing and OLAP concepts.
Appendix A gives a number of alternative diagrammatic notations for displaying a
conceptual ER or EER schema. These may be substituted for the notation we use, if
the instructor prefers. Appendix B gives some important physical parameters of
disks. Appendix C gives an overview of the QBE graphical query language. Appendixes
D and E (available on the book’s Companion Website located at
http://www.aw.com/elmasri) cover legacy database systems, based on the hierarchical
and network database models. They have been used for more than thirty
years as a basis for many commercial database applications and transactionprocessing
systems.We consider it important to expose database management students
to these legacy approaches so they can gain a better insight of how database
technology has progressed.
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