Architecture and Implementation

of Database Management Systems

Prof. Dr. Marc H. Scholl

Summer 2004
University of Konstanz, Dept. of Computer & Information Science
www.inf.uni-konstanz.de/dbis/teaching/ss04/architektur-von-dbms
Module 1: Introduction & Overview

Module Outline Web Forms Applications SQL Interface

SQL Commands
1.1 What it’s all about
1.2 Outline of the Course
Plan Executor Parser
1.3 Organizational Matters
Operator Evaluator Optimizer

Query Processor

Files and Index Structures

Transaction
Manager
Recovery
Buffer Manager Manager
Lock
Manager
Disk Space Manager
Concurrency Control
DBMS

Index Files

System Catalog
Data Files

Database

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1.1 What it’s all about
While introductory courses have presented the functionality, i.e., the interface, of
database management systems (DBMSs), this course will dive into the internals.
We will, for example, learn how a DBMS can

I efficiently organize and access data on disk, knowing that I/O is way more
expensive than CPU cycles,
I translate SQL queries into efficient execution plans, including query rewrite
optimization and index exploitation,
I sort/combine/filter large data volumes exceeding main memory size by far,
I allow many users to consistently access and modify the database at the
same time,
I takes care of failures and guarantees recovery into a consistent operation
after crashes.

This is a systems-oriented course, with focus on the necessary infrastructure to

build a DBMS. This will help to thoroughly analyze, compare, and tune DBMSs for
performance-critical applications. 3
1.1.1 Overall System Architecture
A DBMS is typically run as a back-end server in a (local or global) network,
offering services to clients directly or to application servers.
Users
Clients ...
Request Reply
Application
Server
Application
Program 1
Application
Program 2 ...
Request Reply
encapsulated exposed
data data
Data Objects
Server ...

Stored
Data
(Pages)

Generally, we call this the “3-tier reference architecture”. 4

1.1.2 Layered DBMS Architecture
Typically, a DBMS implements its functionality in a layered architecture that builds
up by incrementally adding more abstractions from the low level of block I/O
devices up to the high level of a declarative (SQL) user interface.

Clients
...
Requests

Language & Interface Layer

Request Query Decomposition &
Execution Optimization Layer
Threads
Database Query Execution Layer
Server Access Layer

Storage Layer

Data
Accesses

Database

5
1.1.3 Storage Structures
Whether the DBMS offers relational, object-relational, or other data structures at
the user interface, internally they have to be mapped into fixed-length blocks that
serve as the basic I/O-unit of transfer between main and secondary memory.

Page Header Ben 55 Las Vegas ...

... forwarding
Sue 23 Seattle RID
Joe 29 San Antonio
...
Database
Page
free space
--- Slot Array

Extent
Table

Database

Extents
6
1.1.4 Access Paths
A DBMS typically provides a number of indexing techniques that allow for fast
content-based searching of records, such as tree-structured or hash-based
methods. Often, the suite of such indexing techniques can be extended to match
the requirements of particular applications.

Root Node
Bob Eve Tom

B+-tree

Adam Bill Bob Dick Eve Hank Jane Jill Tom

Leaf Nodes
RIDs

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1.1.5 Query Execution
Declarative query specifications, e.g. expressed in SQL, need to be optimized and
transformed into efficient query execution plans (QEPs), i.e., sequential or even
parallelized programs that compute the results.

Projection
Projection

Filtering
RID Access

RID List RID Access

Intersection

Index Scan Index Scan Fetch Person Index Scan Fetch Person
on AgeIndex on CityIndex Record on CityIndex Record

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1.1.6 Implementing a Lock Manager
Most DBMSs use a locking protocol (e.g., 2PL) for concurrency control.
Efficiently implementing the lock manager and exploiting the synchronization
primitives offered by the underlying operating system is crucial for a high degree of
parallelism.

Transaction Control Blocks (TCBs)

Transaction Id
Update Flag

Hash Table
Transaction Status
Number of Locks ...
indexed by
Resource Id ...
LCB Chain

Resource Control Blocks (RCBs)

...
...

Resource Id
Hash Chain ...
FirstInQueue
Lock Control Blocks (LCBs)
...

Transaction Id
...

Resource Id
Lock Mode
Lock Status
NextInQueue
LCB Chain

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1.2 Outline of the Course
We will pursue a bottom-up strategy, starting from the block-I/O devices used for
secondary storage management and work our way up to the SQL interface.

Most part of the lecture is based on the Web Forms Applications SQL Interface

book (Ramakrishnan and Gehrke, 2003). SQL Commands

Additional references to other textbooks

and related literature will be given when Plan Executor Parser

appropriate. Operator Evaluator Optimizer

Query Processor

Files and Index Structures

Transaction
Manager
Recovery
Buffer Manager Manager
Lock
Manager
Disk Space Manager
Concurrency Control
DBMS

Index Files

System Catalog
Data Files

Database

10
1.3 Organizational Matters
I Register with the Account Tool.

I Actively participate in lectures and assignments.

I There will be a written exam at the end of the semester.

I Let us know when you have problems or suggestions.

I 10 copies of the book underlying this course are available in the U KN library.

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Bibliography
Elmasri, R. and Navathe, S. (2000). Fundamentals of Database Systems.
Addison-Wesley, Reading, MA., 3 edition. Titel der deutschen Ausgabe von 2002:
Grundlagen von Datenbanken.
Härder, T. (1987). Realisierung von operationalen Schnittstellen, chapter 3. in
(Lockemann and Schmidt, 1987). Springer.
Härder, T. (1999). Datenbanksysteme: Konzepte und Techniken der Implementierung.
Springer.
Heuer, A. and Saake, G. (1999). Datenbanken: Implementierungstechniken. Int’l
Thompson Publishing, Bonn.
Lockemann, P. and Dittrich, K. (1987). Architektur von Datenbanksystemen, chapter 2.
in (Lockemann and Schmidt, 1987). Springer.
Lockemann, P. and Schmidt, J., editors (1987). Datenbank-Handbuch. Springer-Verlag.
Mitschang, B. (1995). Anfrageverarbeitung in Datenbanksystemen - Entwurfs- und
Implementierungsaspekte. Vieweg.
Ramakrishnan, R. and Gehrke, J. (2003). Database Management Systems. McGraw-Hill,
New York, 3 edition.

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