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To Beloved Bhagwan Sri Sathya Sai Baba, the very source
of my thoughts, words, and deeds
To my Graduate Teaching Assistants and students,
the very source of my inspiration
To my dear children, Sharda and Kausik, always concerned
about their dad overworking
To my dear wife Lalitha, a pillar of courage I always lean on
Uma
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Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.
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BRIEF CONTENTS
Preface xvii
Chapter 1
Database Systems: Architecture and Components 1
Chapter 2
Foundation Concepts 30
Chapter 3
Entity-Relationship Modeling 79
Chapter 4
Enhanced Entity-Relationship (EER) Modeling 141
Chapter 5
Modeling Complex Relationships 197
Chapter 6
The Relational Data Model 280
P a r t I I I : N o rm a l i z a t i o n
Chapter 7
Functional Dependencies 358
Chapter 8
Normal Forms Based on Functional Dependencies 395
Chapter 9
Higher Normal Forms 467
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viii Brief Contents
P a r t I V : D a t a b a s e I mp l e me n t a t i o n U s i n g th e R e l a t i o n a l
Data Model
Chapter 10
Database Creation 506
Chapter 11
Relational Algebra 539
Chapter 12
Structured Query Language (SQL) 567
Chapter 13
Advanced Data Manipulation Using SQL 635
Appendix A
Data Modeling Architectures Based on the Inverted Tree
and Network Data Structures 719
Appendix B
Object-Oriented Data Modeling Architectures 731
Index 743
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TABLE OF CONTENTS
Preface xvii
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x Table of Contents
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Table of Contents xi
P a r t I I I : N o rm a l i z a t i o n
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xii Table of Contents
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Table of Contents xiii
P a r t I V : Da t a b a s e I m p l e m e n t a t i o n U s i n g th e R e l a t i o n a l
Data Model
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xiv Table of Contents
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Table of Contents xv
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PREFACE
QUOTE
Everything should be made as simple as possible—but no simpler.
—Albert Einstein
Popular business database books typically provide broad coverage of a wide variety of
topics, including data modeling, database design and implementation, database
administration, the client/server database environment, the Internet database envi-
ronment, distributed databases, and object-oriented database development. This is
invariably at the expense of deeper treatment of critical topics, such as principles of
data modeling and database design. Using current business database books in our
courses, we found that in order to properly cover data modeling and database design,
we had to augment the texts with significant supplemental material (1) to achieve
precision and detail and (2) to impart the depth necessary for the students to gain a
robust understanding of data modeling and database design. In addition, we ended up
skipping several chapters as topics to be covered in a different course. We also know
other instructors who share this experience. Broad coverage of many database topics
in a single book is appropriate for some audiences, but that is not the aim of this
book.
The goal of Data Modeling and Database Design, Second Edition is to provide
core competency in the areas that every Information Systems (IS), Computer Science
(CS), and Computer Information Systems (CIS) student and professional should
acquire: data modeling and database design. It is our experience that this set of
topics is the most essential for database professionals, and that, covered in sufficient
depth, these topics alone require a full semester of study. It is our intention to
address these topics at a level of technical depth achieved in CS textbooks, yet make
palatable to the business student/IS professional with little sacrifice in precision. We
deliberately refrain from the mathematics and algorithmic solutions usually found in
CS textbooks, yet we attempt to capture the precision therein via heuristic
expressions.
Data Modeling and Database Design, Second Edition provides not just hands-on
instruction in current data modeling and database design practices, it gives readers a
thorough conceptual background for these practices. We do not subscribe to the idea
that a textbook should limit itself to describing what is actually being practiced.
Teaching only what is being practiced is bound to lead to knowledge stagnation.
Where do practitioners learn what they know? Did they invent the relational data
model? Did they invent the ER model? We believe that it is our responsibility to
present not only industry “best practices” but also to provide students (future practi-
tioners) with concepts and techniques that are not necessarily used in industry today
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xviii Preface
but can enliven their practice and help it evolve without knowledge stagnation. One
of the coauthors of this book has worked in the software development industry for
over 15 years, with a significant focus on database development. His experience indi-
cates that having a richness of advanced data modeling constructs available enhances
the robustness of database design and that practitioners readily adopt these techni-
ques in their design practices.
In a nutshell, our goal is to take an IS/CS/CIS student/professional through an
intense educational experience, starting at conceptual modeling and culminating in a
fully implemented database design—nothing more and nothing less. This educational
journey is briefly articulated in the following paragraphs.
STRUCTURE
We have tried very hard to make the book “fluff-free.” It is our hope that every sen-
tence in the book, including this preface, adds value to a reader’s learning (and foot-
notes are no exception to this statement).
The book begins with an introduction to rudimentary concepts of data, metadata,
and information, followed by an overview of data management. Pointing out the limita-
tions of file-processing systems, Chapter 1 introduces database systems as a solution to
overcome these limitations. The architecture and components of a database system that
makes this possible are discussed. The chapter concludes with the presentation of a
framework for the database system design life cycle. Following the introductory chapter
on database systems architecture and components, the book contains four parts.
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Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.
Preface xix
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xx Preface
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Preface xxi
database systems. We have chosen to limit the scope of this book exclusively to data
modeling and database design since we firmly believe that this set of topics is the
core of database systems and must be learned in depth by every IS/CS/CIS student
and practitioner. Any system designed robustly has the potential to best serve the
needs of the users. More importantly, a poor design is a virus that can ruin an
enterprise.
In this light, we believe these are the unique strengths of this book:
• It presents conceptual modeling using the entity-relationship modeling gram-
mar including extensive discussion of the enhanced entity-relationship (ER)
model.
We believe that a conceptual model should capture all possible constraints
conveyed by the business rules implicit in users’ requirement specifica-
tions. To that end, we posit that an ER diagram is not an ER model unless
accompanied by a comprehensive specification of characteristics of and
constraints pertaining to attributes. We accomplish this via a list of
semantic integrity constraints (sort of a conceptual data dictionary) that
will accompany an ER diagram, a unique feature that we have not seen in
other database textbooks. We also seek to demonstrate the systematic
development of a multi-layer conceptual data model via a comprehensive
illustration at the beginning of each Part. We consider the multi-layer
modeling strategy and the heuristics for systematic development as unique
features of this book.
• It includes substantial coverage of higher-degree relationships and other
complex relationships in the entity-relationship diagram.
Most business database books seem to provide only a cursory treatment of
complex relationships in an ER model. We not only cover relationships
beyond binary relationships (e.g., ternary and higher-degree relationships),
we also clarify the nuances pertaining to the necessity and efficacy of
higher-degree relationships and the various conditions under which even
recursive and binary relationships are aggregated in interesting ways to
form cluster entity types.
• It discusses the information-preserving issue in data model mapping and
introduces a new information-preserving grammar for logical data modeling.
Many computer scientists have noted that the major difficulty of logical
database design (i.e., transforming an ER schema into a schema in the lan-
guage of some logical model) is the information preservation issue. Indeed,
assuring a complete mapping of all modeling constructs and constraints
that are inherent, implicit or explicit, in the source schema (e.g., ER/EER
model) is problematic since constraints of the source model often cannot be
represented directly in terms of structures and constraints of the target
model (e.g., relational schema). In such a case, they must be realized
through application programs; alternatively, an information-reducing trans-
formation must be accepted (Fahrner and Vossen, 1995). In their research,
initially presented at the Workshop on Information Technologies (WITS) in
the ICIS (International Conference on Information Systems) in Brisbane,
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xxii Preface
SUPPORTING TECHNOLOGIES
Any business database book can be effective only when supporting technologies are
made available for student use. Yet, we don’t think that the type of book we are writ-
ing should be married to any commercial product. The specific technologies that will
render this book highly effective include a drawing tool (such as Microsoft Visio), a
software engineering tool (such as ERWIN, ORACLE/Designer, or Visible Analyst),
and a relational database management system (RDBMS) product (such as ORACLE,
SQL Server, or DB2).
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Editorial review has deemed that any suppressed content does not materially affect the overall learning experience. Cengage Learning reserves the right to remove additional content at any time if subsequent rights restrictions require it.
Preface xxiii
SUPPLEMENTAL MATERIALS
The following supplemental materials are available to instructors when this book is
used in a classroom setting. Some of these materials may also be found on the
Cengage Learning Web site at www.cengage.com.
• Electronic Instructor’s Manual: The Instructor’s Manual assists in class
preparation by providing suggestions and strategies for teaching the text, and
solutions to the end-of-chapter questions/problems.
• Sample Syllabi and Course Outline: The sample syllabi and course outlines
are provided as a foundation to begin planning and organizing your course.
• Cognero Test Bank: Cognero allows instructors to create and administer
printed, computer (LAN-based), and Internet exams. The Test Bank includes
an array of questions that correspond to the topics covered in this text,
enabling students to generate detailed study guides that include page refer-
ences for further review. The computer-based and Internet testing compo-
nents allow students to generate detailed study guides that include page
references for further review. The computer-based and Internet testing
components allow students to take exams at their computers, and also save
the instructor time by automatically grading each exam. The Test Bank is
also available in Blackboard and WebCT versions posted online at www
.course.com.
• PowerPoint Presentations: Microsoft PowerPoint slides for each chapter are
included as a teaching aid for classroom presentation, to make available to
students on the network for chapter review, or to be printed for classroom
distribution. Instructors can add their own slides for additional topics they
introduce to the class.
• Figure Files: Figure files from each chapter are provided for the instructor’s
use in the classroom.
• Data Files: Data files containing scripts to populate the database tables used
as examples in Chapters 11 and 12 are provided on the Cengage Learning
Web site at www.cengage.com.
ACKNOWLEDGMENTS
We have never written a textbook before. We have been using books written by our
academic colleagues, always supplemented with handouts that we developed our-
selves. Over the years, we accumulated a lot of supplemental material. In the begin-
ning, we took the positive feedback from the students about the supplemental
material rather lightly until we started to see comments like “I don’t know why I
bought the book; the instructor’s handouts were so good and much clearer than the
book” in the student evaluation forms. Our impetus to write a textbook thus origi-
nated from the consistent positive feedback from our students.
We also realized that, contrary to popular belief, business students are certainly
capable of assimilating intricate technical concepts; the trick is to frame the concepts
in meaningful business scenarios. The unsolicited testimonials from our alumni about
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xxiv Preface
the usefulness of the technical depth offered in our database course in solving real-
world design problems reinforced our faith in developing a book focused exclusively
on data modeling and database design that was technically rigorous but permeated
with business relevance.
Since we both teach database courses regularly, we have had the opportunity to
field-test the manuscript of this book for close to 10 years at both undergraduate-level
and graduate-level information systems courses in the Carl Lindner College of
Business at the University of Cincinnati and in the C. T. Bauer College of Business at
the University of Houston. Hundreds of students—mostly business students—have
used earlier drafts of this textbook so far. Interestingly, even the computer science
and engineering students taking our courses have expressed their appreciation of the
content. This is a long preamble to acknowledge one of the most important and for-
mative elements in the creation of this book: our students.
The students’ continued feedback (comments, complaints, suggestions, and criti-
cisms) have significantly contributed to the improvement of the content. As we were
cycling through revisions of the manuscript, the graduate teaching assistants of
Dr. Umanath were a constant source of inspiration. Their meaningful questions and
suggestions added significant value to the content of this book. Dr. Scamell was ably
assisted by his graduate assistants as well.
We would also like to thank the following reviewers whose critiques, comments,
and suggestions helped shape every chapter of this book’s first edition:
Akhilesh Bajaj, University of Tulsa
Iris Junlgas, Florida State University
Margaret Porciello, State University of New York/Farmingdale
Sandeep Purao, Pennsylvania State University
Jaymeen Shah, Texas State University
Last, but by no means the least, we gratefully acknowledge the significant contri-
bution of Deb Kaufmann and Kent Williams, the development editors of our first and
second editions, respectively. We cannot thank them enough for their thorough and
also prompt and supportive efforts.
Enjoy!
N. S. Umanath
R. W. Scamell
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CHAPTER 1
DATABASE SYSTEMS:
ARCHITECTURE AND
COMPONENTS
Data modeling and database design involve elements of both art and engineering.
Understanding user requirements and modeling them in the form of an effective logical
database design is an artistic process. Transforming the design into a physical database
with functionally complete and efficient applications is an engineering process.
To better comprehend what drives the design of databases, it is important to under-
stand the distinction between data and information. Data consists of raw facts—that is,
facts that have not yet been processed to reveal their meaning. Processing these facts
provides information on which decisions can be based.
Timely and useful information requires that data be accurate and stored in a manner
that is easy to access and process. And, like any basic resource, data must be managed
carefully. Data management is a discipline that focuses on the proper acquisition, storage,
maintenance, and retrieval of data. Typically, the use of a database enables efficient and
effective management of data.
This chapter introduces the rudimentary concepts of data and how information
emerges from data when viewed through the lens of metadata. Next, the discussion
addresses data management, contrasting file-processing systems with database systems.
This is followed by brief examples of desktop, workgroup, and enterprise databases. The
chapter then presents a framework for database design that describes the multiple tiers of
data modeling and how these tiers function in database design. This framework serves as a
roadmap to guide the reader through the remainder of the book.
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Chapter 1
the number 31 (obtained by summing the 10 digits). A mathematician may see a set of
2
prime numbers, viz., 2, 3, 5, 7, 11, 13, 17. Another might see a person’s phone number with
the first three digits constituting the area code and the remaining seven digits the local
phone number. On the other hand, if the first digit is used to represent a person’s gender
(1 for male and 2 for female) and the remaining nine digits the person’s Social Security
number, the 10 digits would mean something else. Numerous other interpretations are pos-
sible, but without a context it is impossible to say what the digits represent. However, when
framed in a specific context (such as being told that the first digit represents a person’s
gender and the remaining digits the Social Security number), the data is transformed into
information. It is important to note that “information” is not necessarily the “Truth” since
the same data yields different information based on the context; information is an inference.
Metadata, in a database environment, is data that describes the properties of data. It
contains a complete definition or description of database structure (i.e., the file structure,
data type, and storage format of each data item), and other constraints on the stored data.
For example, when the structure of the 10 digits 2357111317 is revealed, the 10 digits
become information, such as a phone number. Metadata defines this structure. In other
words, through the lens of metadata, data takes on specific meaning and yields information.1
Metadata may be characterized as follows:
• The lens to view data and infer information
• A precise definition of the context for framing the data
Table 1.1 contains metadata for the data associated with a manufacturing plant. Later
in this chapter, we will see that in a database environment, metadata is recorded in what
is called a data dictionary.
Record
Type Data Element Data Type Size Source Role Domain
As reflected in Table 1.1, the smallest unit of data is called a data element. A group of
related data elements treated as a unit (such as Pl_name, Pl_number, Budget, Building,
1
With the advent of the data warehouse, the term “metadata” assumes a more comprehensive
meaning to include business and technical metadata, which is outside the scope of the current
discussion.
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Database Systems: Architecture and Components
and No_of_employees) is called a record type. A set of values for the data elements con-
3
stituting a record type is called a record instance or simply a record. A file is a collection
of records. A file is sometimes referred to as a data set. A company with 10 plants would
have a PLANT file or a PLANT data set that contains 10 records.
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Chapter 1
billing systems. Nonetheless, understanding their limitations provides insight into the
4
development of and justification for database systems.
Figure 1.1 shows three file-processing systems for a hypothetical university. One pro-
cesses data for students, another processes data for faculty and staff, and a third processes
data for alumni. In such an environment, each file-processing system has its own collec-
tion of private files and programs that access these files.
While an improvement over the manual systems that preceded them, file-processing
systems suffer from a number of limitations:
• Lack of data integrity—Data integrity ensures that data values are correct,
consistent, complete, and current. Duplication of data in isolated file-
processing systems leads to the possibility of inconsistent data. Then it is
difficult to identify which of these duplicate data is correct, complete, and/
or current. This creates data integrity problems. For example, if an
employee who is also a student and an alumnus changes his or her mailing
address, files that contain the mailing address in three different file-
processing systems require updating to ensure consistency of information
across the board. Data redundancy across the three file-processing
systems not only creates maintenance inefficiencies, it also leads to the
problem of not knowing which is the current, correct, and /or complete
address of the person.
• Lack of standards—Organizations with file-processing systems often lack or
find it difficult to enforce standards for naming data items as well as for
accessing, updating, and protecting data. The absence of such standards can
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Database Systems: Architecture and Components
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Chapter 1
2
In a database context, the word “schema” stands for “description of metadata.”
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Database Systems: Architecture and Components
3
While an external schema is technically a collection of external subschemas or views, the term
“external schema” is used here in the context of either an individual user view or a collection of
different user views.
4
Informally, a “view” is a term that describes the information of interest to a user or a group of
users, where a user can be either an end user or a programmer. See Chapter 6 (Section 6.4) for
a more precise definition of a “view.”
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Chapter 1
schema. The internal schema describes the physical structure of the stored data (how the
8
data is actually laid out on storage devices) and the mechanism used to implement the
access strategies (indexes, hashed addresses, and so on). The internal schema is con-
cerned with efficiency of data storage and access mechanisms in the database. Thus, the
internal schema is technology dependent, while the conceptual schema and external
schemas are technology independent. In principle, user views are generated on demand
through logical reference to data items in the conceptual schema independent of the logi-
cal or physical structure of the data.
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