数据库系统概念(英文第6版)概览

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"数据库系统概念Database System Concept（英文第6版）" 这本由Abraham Silberschatz、Henry F. Korth和S. Sudarshan合著的《数据库系统概念》是数据库领域的经典教材，已经更新到了第六版。书籍内容涵盖了数据库系统的基础到高级概念，适合对数据库感兴趣的读者，包括学生和专业人士。在第一章"Introduction"中，介绍了数据库系统的基本应用、目标、数据视角、数据库语言、关系数据库、设计方法、数据存储与查询、事务管理、系统架构、数据挖掘与信息检索、专业数据库以及数据库用户和管理员的角色。此外，还简述了数据库系统的历史。第二章"Introduction to the Relational Model"深入讲解了关系模型的结构，包括数据库模式、键、模式图、关系查询语言和操作。这一章旨在帮助读者理解关系模型的核心概念。第三章"Introduction to SQL"介绍了SQL查询语言的概述，包括数据定义、基本查询结构、额外的操作、集合操作、空值处理、聚合函数、嵌套子查询以及数据库的修改。读者将通过这一章掌握SQL的基本用法。第四章"Intermediate SQL"进一步探讨了SQL，涉及连接表达式、视图、事务、完整性约束、SQL数据类型和模式以及授权。这些内容有助于读者提升SQL操作的复杂度。第五章"Advanced SQL"讲解了如何从编程语言访问SQL，函数和过程，触发器，递归查询，高级聚合功能，以及在线分析处理（OLAP）。这一章旨在让读者掌握更高级的SQL技巧。第六章"Formal Relational Query Languages"介绍了形式化的关系查询语言，如关系代数、元组关系演算和域关系演算，帮助读者理解理论基础。第七章"Database Design and the E-R Model"涵盖了数据库设计过程和实体关系模型，包括约束、属性冗余消除、ER图、关系模式的转换以及扩展的ER特性。这一章强调了良好的设计实践。第八章"Relational Database Design"讨论了良好关系设计的特点，如原子域和第一范式，函数依赖的分解，以及更高范式的概念。此外，还介绍了数据库设计流程和时间数据的建模。第九章"Application Design and Development"讲述了应用程序设计与开发，涵盖应用程序、用户界面、Web基础、Servlets和JSP、应用架构、快速应用开发、性能优化以及安全问题，包括加密的应用。第十章"Storage and File Structure"探讨了物理存储介质的概述，磁盘和闪存存储，RAID技术，辅助存储，文件组织，记录在文件中的组织，数据字典存储，以及数据库缓冲区。第十一章"Indexing and Hashing"阐述了索引和哈希的基本概念，包括有序索引、B+树索引文件、多键访问、静态和动态哈希，以及位图索引。这一章提供了对不同索引技术比较的理解。每章末尾都提供了练习题和参考文献，以巩固学习并引导进一步研究。这本书全面地介绍了数据库系统的各个方面，是数据库学习者的宝贵资源。

Preface

Database management has evolved from a specialized computer application to a

central component of a modern computing environment, and, as a result, knowl-

edge about database systems has become an essential part of an education in

computer science. In this text, we present the fundamental concepts of database

management. These concepts include aspects of database design, database lan-

guages, and database-system implementation.

This text is intended for a ﬁrst course in databases at the junior or senior

undergraduate, or ﬁrst-year graduate, level. In addition to basic material for

a ﬁrst course, the text contains advanced material that can be used for course

supplements, or as introductory material for an advanced course.

We assume only a familiarity with basic data structures, computer organi-

zation, and a high-level programming language such as Java, C, or Pascal. We

present concepts as intuitive descriptions, many of which are based on our run-

ning example of a university. Important theoretical results are covered, but formal

proofs are omitted. In place of proofs, ﬁgures and examples are used to suggest

why a result is true. Formal descriptions and proofs of theoretical results may

be found in research papers and advanced texts that are referenced in the biblio-

graphical notes.

The fundamental concepts and algorithms covered in the book are often

based on those used in existing commercial or experimental database systems.

Our aim is to present these concepts and algorithms in a general setting that is

not tied to one particular database system. Details of particular database systems

are discussed in Part 9, “Case Studies.”

In this, the sixth edition of Database System Concepts,wehaveretainedthe

overall style of the prior editions while evolving the content and organization to

reﬂect the changes that are occurring in the way databases are designed, managed,

and used. We have also taken into account trends in the teaching of database

concepts and made adaptations to facilitate these trends where appropriate.

xvi Preface

Organization

The text is organized in nine major parts, plus ﬁve appendices.

•

Overview (Chapter 1). Chapter 1 provides a general overview of the nature

and purpose of database systems. We explain how the concept of a database

system has developed, what the common features of database systems are,

what a database system does for the user, and how a database system in-

terfaces with operating systems. We also introduce an example database

application: a university organization consisting of multiple departments,

instructors, students, and courses. This application is used as a running ex-

ample throughout the book. This chapter is motivational, historical, and ex-

planatory in nature.

•

Part 1: Relational Databases (Chapters 2 through 6). Chapter 2 introduces

the relational model of data, covering basic concepts such as the structure

of relational databases, database schemas, keys, schema diagrams, relational

query languages, and relational operations. Chapters 3, 4, and 5 focus on the

most inﬂuential of the user-oriented relational languages:

SQL.Chapter6cov-

ers the formal relational query languages: relational algebra, tuple relational

calculus, and domain relational calculus.

The chapters in this part describe data manipulation: queries, updates, in-

sertions, and deletions, assuming a schema design has been provided. Schema

design issues are deferred to Part 2.

•

Part 2: Database Design (Chapters 7 through 9). Chapter 7 provides an

overview of the database-design process, with major emphasis on database

design using the entity-relationship data model. The entity-relationship data

model provides a high-level view of the issues in database design, and of the

problems that we encounter in capturing the semantics of realistic applica-

tions within the constraints of a data model.

UML class-diagram notation is

also covered in this chapter.

Chapter 8 introduces the theory of relational database design. The the-

ory of functional dependencies and normalization is covered, with emphasis

on the motivation and intuitive understanding of each normal form. This

chapter begins with an overview of relational design and relies on an intu-

itive understanding of logical implication of functional dependencies. This

allows the concept of normalization to be introduced prior to full coverage

of functional-dependency theory, which is presented later in the chapter. In-

structors may choose to use only this initial coverage in Sections 8.1 through

8.3 without loss of continuity. Instructors covering the entire chapter will ben-

eﬁt from students having a good understanding of normalization concepts to

motivate some of the challenging concepts of functional-dependency theory.

Chapter 9 covers application design and development. This chapter empha-

sizes the construction of database applications with Web-based interfaces. In

addition, the chapter covers application security.

Preface xvii

•

Part 3: Data Storage and Querying (Chapters 10 through 13). Chapter 10

deals with storage devices, ﬁles, and data-storage structures. A variety of

data-access techniques are p resented in Chapter 11, including B

-tree indices

and hashing. Chapters 12 and 13 address query-evaluation algorithms and

query optimization. These chapters provide an understanding of the internals

of the storage and retrieval components of a database.

•

Part 4: Transaction Management (Chapters 14 through 16). Chapter 14 fo-

cuses on the fundamentals of a transaction-processing system: atomicity,

consistency, isolation, and durability. It provides an overview of the methods

used to ensure these properties, including locking and snapshot isolation.

Chapter 15 focuses on concurrency control and presents several techniques

for ensuring serializability, including locking, timestamping, and optimistic

(validation) te chniques. The chapter also covers deadlock issues. Alterna-

tives to serializability are covered, most notably the widely-used snapshot

isolation, which is discussed in detail.

Chapter 16 covers the primary techniques for ensuring correct transac-

tion execution despite system crashes and storage failures. These techniques

include logs, checkpoints, and database dumps. The widely-used

ARIES al-

gorithm is presented.

•

Part 5: System Architecture (Chapters 17 through 19). Chapter 17 covers

computer-system architecture, and describes the inﬂuence of the underly-

ing computer system on the database system. We discuss centralized sys-

tems, client–server systems, and parallel and distributed architectures in this

chapter.

Chapter 18, on parallel databases, explores a variety of parallelization

techniques, including

I/O parallelism, interquery and intraquery parallelism,

and interoperation and intraoperation parallelism. The chapter also describes

parallel-system design.

Chapter 19 covers distributed database systems, revisiting the issues

of database d esign, transaction management, and query evaluation and op-

timization, in the context of distributed databases. The chapter also cov-

ers issues of system availability during failures, heterogeneous distributed

databases, cloud-based databases, and distributed d irectory systems.

•

Part 6: Data Warehousing, Data Mining, and Information Retrieval (Chap-

ters 20 and 21). Chapter 20 introduces the concepts of data warehousing

and data mining. Chapter 21 describes information-retrieval techniques for

querying textual data, including hyperlink-based techniques used in Web

search engines.

Part 6 uses the modeling and language concepts from Parts 1 and 2, but

does not depend on Parts 3, 4, or 5. It can therefore be incorporated easily

into a course that focuses on

SQL and on database design.

xviii Preface

•

Part 7: Specialty Databases (Chapters 22 and 23). Chapter 22 covers object-

based databases. The chapter describes the object-relational data model,

which extends the relational data model to support complex data types, type

inheritance, and object identity. The chapter also describes database access

from object-oriented programming languages.

Chapter 23 covers the

XML standard for data representation, which is seeing

increasing use in the exchange and storage of complex data. The chapter also

describes query languages for

XML.

•

Part 8: Advanced Topics (Chapters 24 through 26). Chapter 24 covers ad-

vanced issues in application development, including performance tuning,

performance benchmarks, database-application testing, and standardization.

Chapter 25 covers spatial and geographic data, temporal data, multimedia

data, and issues in the management of mobile and personal databases.

Finally, Chapter 26 deals with advanced transaction processing. Top-

ics covered in the chapter include transaction-processing monitors, t ransac-

tional workﬂows, electronic commerce, high-performance transaction sys-

tems, real-time transaction systems, and long-duration transactions.

•

Part 9: Case Studies (Chapters 27 through 30). In this part, we present case

studies of four of the leading database systems, PostgreSQL, Oracle,

IBM DB2,

and Microsoft

SQL Server. These chapters outline unique features of each of

these systems, and describe their internal structure. They provide a wealth of

interesting information about the respective products, and help you see how

the various implementation techniques described in earlier p arts are used

in real systems. They also cover several interesting practical aspects in t he

design of real systems.

•

Appendices. We provide ﬁve appendices that cover material that is of histor-

ical nature or is advanced; these appendices are available only online on the

Web site of the book (

http://www.db-book.com). An exception is Appendix A,

which presents details of our university schema including the full schema,

DDL, and all the tables. This appendix appears in the actual text.

Appendix B describes other relational query languages, including

QBE

Microsoft Access, and Datalog.

Appendix C describes advanced relational database design, including the

theory of multivalued dependencies, join dependencies, and the project-join

and domain-key normal forms. This appendix is for the beneﬁt of individuals

who wish to study the theory of relational database design in more detail,

and instructors who wish to do so in their courses. This appendix, too, is

available only online, on the Web site of the book.

Although most new database applications use either the relational model

or the object-relational model, the network and hierarchical d ata models are

still in use in some legacy applications. For the beneﬁt of readers who wish to

learn about these data models, we provide appendices describing the network

and hierarchical data models, in Appendices D and E respectively.

Preface xix

The Sixth Edition

The production of this sixth edition has been guided by the many comments and

suggestions we received concerning the earlier editions, by our own observations

while teaching at Yale University, Lehigh University, and

IIT Bombay, and by our

analysis of the directions in which database technology is evolving.

We have replaced the earlier running example of bank enterprise with a uni-

versity example. This example has an immediate intuitive connection to students

that assists not only in remembering the example, but, more importantly, in gain-

ing d eeper insight into the various design decisions that need to be made.

We have reorganized the book so as to collect all of our

SQL coverage together

and place it early in the book. Chapters 3, 4, and 5 present complete

SQL coverage.

Chapter 3 presents the basics of the language, with more advanced features in

Chapter 4. In Chapter 5, we present

JDBC along with other means of accessing

SQL from a general-purpose programming language. We present triggers and re-

cursion, and then conclude with coverage of online analytic processing (

OLAP).

Introductory courses may choose to cover only certain sections of Chapter 5 or

defer sections until after the coverage of database design without loss of continu-

ity.

Beyond these two major changes, we revised the material in each chapter,

bringing the older material up-to-date, adding discussions on recent develop-

ments in database technology, and improving descriptions of topics that students

found difﬁcult to understand. We have also added new exercises and updated

references. The list of speciﬁc changes includes the following:

•

Earlier coverage of SQL. Many instructors use SQL as a key component of term

projects (see our Web site,

www.db-book.com, for sample projects). In order to

give students ample time for the projects, particularly for universities and

colleges on the quarter system, it is essential to teach

SQL as early as possible.

With this in mind, we have undertaken several changes in organization:

◦

A new chapter on the relational model (Chapter 2) pre cedes

SQL,laying

the conceptual foundation, without getting lost in details of relational

algebra.

◦

Chapters 3, 4, and 5 provide detailed coverage of

SQL. These chapters also

discuss variants supported by different database systems, to minimize

problems that students face when they execute queries on actual database

systems. These chapters cover all aspects of

SQL, including queries, data

deﬁnition, constraint speciﬁcation,

OLAP,andtheuseofSQL from within

a variety of languages, including Java/

JDBC.

◦

Formal languages (Chapter 6) have been postponed to after

SQL,andcan

be omitted without affecting the sequencing of other chapters. Only our

discussion of query optimization in Chapter 13 depends on the relational

algebra coverage of Chapter 6.

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