Database Administration

Home , Database administration, Database administrator

DOCUMENT RESUME

ED -.163 995 IR 006 790

AUTHO:R Leong-Hong, Belkis; Mar , Beatrice Database Ad!kinistratio tAConcepts, 4. . Experiences, and Problems: INSTITUTION National Bureau of4tandar4s (DOC), WashiPgton, D.C. Inst. for Computer"eciences and Technology. )REPORT NO NBS-SP-300-28

UBTATE'. Mar 78 - - NOTE 48p.; ComputerScience and Technology Series AVAILABLE FROMSuperintendent of Documents, U.S. GovernmentPrinting Office, Washington, D.C.,20402-(Stock No:. 003-003-01900-3,-$2.20) int PRICE MF-$0.83 HC-$2.06 Plus Postage. DESCRIPTORSD *Administration; *Administrator ROle; Bibliographies; *Concept Formation; *Data Bases; Federal Government; Governtent Role; Guidelines; *Management Information Systeis; Slirveys IDENTIFIERS *Computer. Softvare

ABSTRACT . - The concepts of -data base-administration, the role of the,data base administrator (DBA) , and computer software tools useful' in data base administration are described in order/to assist data base technolog.ists:and managers. A study of DBA's In the Federal Government is detailed in terms of the'functions they perform, the Sttware tools they use,*the-probleis they have encountered, and advice they offer. Some guidelines are presented on what data ,cbase administration sbould do for management, and wh t management must do for thelr,DBAls. Appendices include a bibliogra by and data. base administration intetvielt outlines..(Author/CMV)

******************44*************************************************** Reproductions supplied by EDRS are the best that "can be made *

*', . .frop the original document. ***************w***********4**************************************** .

A a . re\ COMPUTER SCIENCE & TECHNOLOGY: .c. - , .. Database Administration:

1-1-1cc7t.-. Cohcepts, Tools, Experiences, and Problemi_

U.S. DEPARTMENT OF HEALTH, EDUCATION i WELFARE 4 NATIONAL INSTITUTE OF

. EDUCATION Belkis Leong-Hong THIS DOCUMENT. HAS BEEN REPRO- DUCED EXACTLY AS RECEIVED FROM and - THE PERSON OR ORGANIZATION ORIGIN- ATING IT POINTS OF VIEW OR OPINIONS Beatrice Marron STATED DO NOT NECESSARILY REPRE- SENT OFFICIAL NATIONAL INSTITUTE OF EDUCATION POSITION OR POLICY

Systems and Software Division Institute for ComputerSciences and Technology National Bureau of Standards Washington, D.C. 20234

U.S. DEPARTMENT OF COMMERCE,- Juanita M. tCreps, secretary .. Dr. SidneyHarman,. Under Secretary Jordan J. Baruch, Assistant Secretary for Science and Technology

NpkTIONAL BUREAUpF STANDARDS, Ernest Ambler,Director

Issubd March.1978 Reports on Computer Science and. Technology . . .. , , i. - ) The National Bureau of- Standards has a specialresponsibility wiThirithe Federal Government for computer science and technologyactivitieS..)The pr isms of the NBS Inititute for Computer Sciences and Technology aredesigned to provide ADP y standards, guidelines, andtechnical advisory services to improve theeffectiVeness of computer utilization in the Federal sector, and toperform appropriated eizarch.and deielopment effdrts as foundation for such activities andsprograms.This,publication, series will report these NBS efforts to the Federal computer community as well as to sectorS..hose wishing to receive'. interested speCialists in the academic and. private . . notices of publications in thiS'*ies should complete and return theform at theend of this publication.

Nation0 Bureau of Standards Special PUblication 500-28 Nat.. Bur. Stand. (U.S.), Spec. Publ. 500-28,48 pages (March 1978) CODEN: XNBSAV

41,

.?-4,4:1T7:.. Lilirafy bf Congress Cataloghtg in Publication Data attoniliong4,Belkis. t. Database administration. (Computer science & technology) (National Bureau of Standards special' publication ; 500-28) Supt. of Docs.pS.: C13.10:500-28 1. Data base management' I. Marion, B. A., joint author. IL Title. III. Series. IV. Series: United States.- National Bureau of Standards. Special publication"; 50028. . QC100-U57 1QA76.9.D3] E021.1i [658'.05] 78-606197

41.

U.S.GOVER:24/44ENAPIZINTING OFFICE WASHINGTON: 1978 .." ., s., .. ,...e 7 4 For sale by the Superintendent of Documents, US./r. GovernmentPrinting Office, Wishington, D.C. 20402 t c. Stock No. 003-003..4)1900-3 Price $2.20 (Add 25 percent additional for other than U.S. mailing). ...- . . 3 . il ACKNOWLEDGEMENT

We gratefully acknowledge theexcellent c9operAtidn..of the Database °Administrators who shared,their expeel4nces with us for this study.

E. .Blythe Deipt. of Defehse".Navy L: BreaUlt Dept. of Energy (Formerly ERDA) R. Coal. Dept. of HEW -- Social Security Adminis- tration

R.,Crellin Dept.:of HUD, 4. R. Dyke ' Civil Service COmmission J. Ely Dept. of Defense-- Navy c. I. Feldman --]aapt. of HUD', `Cpt. Forney:. Dtpt. ofDefeng---= DCEC Col. Gerson pept. of Defers DCEC G. Sall Federal Deposit Ihaurance Corporation V Laflely Dept'. of Agriculture .P. McGuire Dept.'of,Commerce NBS S. Mikka Dept.. of Energy (Formerly'ERDA) C. TannenbaumDept. of 1Teasury

F:LThomas Dept. bf Defense Navy _ B. Wells Dept. of Defense -- MILPEROE14 M. Wills Dept..of.Agriculture J. Ylenger Z,c:Teral-Power ComiSaio.d4

W.- We dtpetially appreciata the support, . Dennis Fife"

Comt.uer Science Section, NBS. - . 3 -

7S O .

-V-

1. 7.ABISCFQ0NTENTS. Page

. 1. INTRODUCTION r j

"2. DATABASE ADMINISTRATION CONCEPTS 2

2.1 Database Administration Functions 3 .t

2.2 The Daiabase'Administrator- ., 6

2.2.1 Fuhctional orientation 6 2.2.2 Scope 7 2.2.3 Stage of implementation 7 2.2.4 Organizational. Placement 7

THE DATABASE ADMINISTRATION TOOLCHEST . 8

3.1DBMS and DED/D 8

'3.1-1 Database Management Systems 9 3.1.2 Data Element Dictionary/Directory Systems..'10 DED/D Reltionship to DBMS 10 ^ 3.2 Other'ratabse AdministrationTools 10 SURVEY 7 Background... , ..- Functions .., 1 1°...... :.. ,.. . .: . 23

J i \ -- 4..3.1 wOus.:.jafDBMS.and DED/D .-,- 23 4,'" 4.3.2 Use of Other Datab-ase AdminlistratiOn Tools. 25

a ,4.4,` Problems 4.4.1 Non-Technical,Poblems 444.2 Technical Problems- 4.5 Advice

5. OBSERVATIONS 28

6. IMPLICATIONS OF DBA COMMITMENT- 29 , 6.1 What Datab4se Administration

. Should Db For Management' 30

31 6.2'Wht-Management MUST Do "for theDBA. .

.4."?

I 5 FIGURES

1. Government DBA'sRole in Database Administration - Tasks -- Group A 18

2. Governmedt DBA's Role.in Database AdMinisL-ation Tasks -- Group B 19 Goverdment DBA"s'Role in DatabaseAdministration Tasks -- Group C 20

4. Government DBA's Role inDatabaseAdministration Tasks -- Group D 2,1

. Availability of SoftwareTools toSample, DEA Population 24

APPENDICES

4 _ APpENDIX'A 7.-BIBLIOGRAPHY. 32 APPENDIX DBA INTERVIEW OUTLINE , 36 APPENDIX C DATABASE. ADMINISTRATIONTASKS: INTERVIEW OUTLINE APPENDIX D DATABASE ADMINISTRATIONTOOLS -- INTERVIEW OUTLINE 41

-iv- DATABASE ADMINISTRATION: CONCEPTS,. TOOLS, EXPERIENCES, AND PROBLEMS.

Belkis Leong-Hong and Beatrice Marron

In this,report the concepts ofdatabase 'ad- - ministration, the roledf( the database administrator' (DBA), and computer ,software tools useful in database administratiOn are described in order,to "r assist databae-, technologists and managers. A study, of,DBA's in the Federal Government is detailed in terms of the funeficilig-they perform, the softwaretools, theyuse, the problems they encountered, and advice they offer. Finally, some guidelines are'presented on vihat database administration should do for management, and what manage-' ment mustdo for their DBA's.

Key words: Computer software; database: administration; database administrator (DBA); database°management system (DBMS); date-element dictionary/directory (DED/D).

1. INTRODUCTION

Increased awareness of managers that, data is ,an organizational resourcehas led to a recognized need for discip- lined control. of al automate:tand non-automated data This control is empodised in a s of management procedures-and technical -functionswhich'is cAaacterizedr as "database -ad- ministrationf. At the preseryt" time the term 'database ad-' -.ministration is applied t9 a conglomeration duties and responsibilities for which there exists no-ttandard. There is much interest in this emerging discipline, both 'inside ..and-outsidle the 'Federal Government.

The National Bureau FofStandards (NBS) is, charg d under the provisions of Publid Law.-89-306 (the-Brooks A ) -- _tOsaSsi8t Federal information managers in ethe4 46e.a! p ge'ssin4 needs. NBS assesses new developments iri-iriforma ion 0, and computer sciences and technologies, in ot-der' to 1p other agencies, apply technological Solutions to _data

7 processing probleMs. Several', recent NBS' studies in the data °management area 'have focussed on software' tools. such' as dat-a element dictionary/directory .(DED/D) systems and database

. , In this report, concepts and functions 6f database .- administration are examined. Tools 'useful ,,,to the practicing. database administrator (DBA), and probems common among DBA's are discussed. rCritical needs and common .pitfalls are. identified to proiiide guidance to the database technologdst,

the manager, and the new DBA. A bibliography of relevant , literature 'is includedas. Appendix A.

ka, To gather experiential data/fox this study,' we -consult- ed DBA's. inthe Fed-enral Government. These DBA's were very

candid about thg problems be expected in establishing , viable database administration operation, and they 'provided insight intd the rewards -of an effectively ,controlled data - erivironment.,. Theif cooperation is greatly appreOatdd.

Although the sample was small anctrbm a specialized - ity, the -abservations made are applicable to the entire Aa-

tabase community. , .

76 2: DATABASE ADMINISTRATIONCONCEPTS

-/ Database administration encompasses all the technical and management activities required for organizing, maintain- / ing ,and directing. thy, database environment. Throughout this/ r,..po'rt "Database", _is-usd to mean "all of the, data of the orgaffization which is organized-and con trolled using-a database technology," or "a systematic methodology ,f or the stair- dardization -and integration of data resources A an organi- al zation level" (281. A database environment consists of:

* the database; as defined above,, including automated. and non- automated data;

. i.: .y- * the database administrator (DBA).,'. themanagero the datab-aSe environment; .. , \. . : / * the software -50/ ols used in data administration and

. and - ,..,.i'ata processing .;,*,the.users of the database-.

It hc.suld be noted that while ,a DBMS is a very =ul tool / for database administratign, the mere .usage so not constitute' establishing- a database environm.ar. I 8 The main-goals of databaseadministration are: to -op- .timize. usage of data in a shared database environment; to incorporate.a systematicmethodology for the centralized -management---and"'control- of data resources;- and to balane conflicting, objectives with respect\ to the .organization's; mission and the. overall economy af data handling., Among the key requirements for effective .database adminittration are: strong, management commitment and s'upport technically competent staff; team - participation in the datab'Ase environment by DBA's, management; technical staff, and .users; and a well-definea.Database Matter Plan. This Master Plan must be developed early, and musX..include:"plans for transition into a database environment, fdr. staffing',,. and for. acquisition of systems and 'services; definition of responsibilities; and rules and procedureSsforbperatrion. .Significant .advantages that database aduanittration'can provide art: / * The database cap be'ettermanaged,, especially if the data resources are centralized and shared; * Data independence can be accomplished via controlled definition, design and impleMentation of the database;

* Data redundancy, and imconsstency,can be reduced by balancing conflicting requirements; * Data integrity can be improved via standard usages, increaseddata reliability, and.enforced security res- trictions; *,Increased responsiveness to the varioussuser communi- ties can result' from better controlled, and more up- . to-date data; and -r * Economic benefits can be derived fromeliminatiOn of unnecessarily duplicative processing._

The degree to which aatabase administrationshould; be applied depends.on the'size and complexity of the databates, and the information needs of the overall organization. w- ever, proliferating- datapses, overlapping ir,equiremn s, lack of data integrity, an duplication of efforts are symp- tomsof the need for database administratiorp.,'

2:1 Database Administration Functions There is wide agreement on the basic.functionseof database aaminittration. A list, of tasks .most commonly per farmed by tfie DBA was compiled from the literature, and, is presentedbelow [4, 5, 6, 9, 22, 23, 29,' 34, 35, 37, 381:- This list, of functions is 'not exhaus'ive, 'but it is

-3 -. 9 2 'representative. a

1. Database definition/ redefinition. The DBAshould identify-and definecommon -data-elements -, -define the- relationships between- dataelements and other corn-a ponents such as prograMs,,files, and-systems. The definition of the data elements and. the .data'. relation- .shipsshould be-odsed ona clear understanding of each 'participatin4-user,community's requirements, as well as the overall orcjarazation's needs. Where possible, 'the DBA uses a .data definition language to define- and structure' the ,database. It is also in the DBA's pur- view toldefiner review and monitor data standards. If the need arises for changing and restructuring. the da se, the DtAshould initiate this activity, and

e thettabase,,or any part of it to meet chang-,' in reuiremq ntS.

2. Selecotion/a4.?d procurement. -The DBA shouldpartici-' .pate in the / processes of egaluation, and procurement-of hardware, software, and services related to database administration. 3. Database design/ redesign. The-main design activity is the design and 'structuring of the entire database, taking into consideration the at.iffering needs of. the entire4,use'r. community. This includes design of-,the data 'Structure as seen by the applicationcommunity,-, the 'storage structure; mapping and Search strategies, and access methods, as wellasidesign of the DEDLD aid of Supportsoftware for creating,r-maintainifig, and reorganizing the-database. If the need` arises, redesign and restructuring activities, encompassing all....thefle- ments above are also the -DBA's responsibilities. .4. Database creation. Under this function are .included spch (activities as data collection, database loading and testing, and implementation of data definitions, the DED/D and other, database support softWare.

5. .Deiabse Security/Integrity.,The database security funFtion. is. intended to guard. against-unauthorized-ac- -cess 'to the database; and unauthorized update, copying, removal or dest'ruction of any part of the datababe. .. Thismay be achieved through the-use of 'security locks and-kegs, cryptcigraphy, etC'.,DatabaSe integrity is related to the DBA's,responsibility for the correctness and accuracy of the data:It can be achieved through the use of validation checks, loggings, dumPse..backup sand recovery procedures,and auditing procedures.

-4- (6. Database'maintenance/management.The DBA ',shouldbe responsible for ithe.continued well-being of the .database environment. A such, it is his responsibility to maintain and update database definitions_anddatabase______documentation, and to aintain and update the DED/D and other-database support softivare. The DBA should inter- , pret and admihiiter high level management policies- re- lated to the dtabase, and define rules of use and1.6-c- cess constraints for the database. In addition, he, should be responsible fo.r. review, and approval of new data. definj_ions and. enforcement of data standards. 7. Database performance monitoring and evaluation.'. Responsibilities should include reviewing., testing, and evaluating the performarc- of automated as well as pro-'., cedural ',data activitie7.- :--iiiation'of system impr6ve- mentwhen 'indicated; ..iessment,df the impact' of.. changes;' and ,Maintenance of state -of -the -art awareness. If the per,formance'evaluation and monitoring activities indicate that the database is rio longer effectIVe or efficiept in, the,presentconfiguration,_ redefinition, redesign,.and restructuring activities may be,undertak-

en. ,

8. Database enforcement. Enforcement-activiLies include

aeterminatidn of compliance with establishet standard _ usages; deelopment.of database content, org:ization, and storage Control procedures; and responsibility for access control and security of thedatabase, such as password issuance.

9. Liiipon with users, with systems' and application ' analysts, and _'.with organizational management should provide information, assistance an, guidance on the use of database facilities, to detect and correct .user problems, and to notify users of c_-_anges in system status. yy , 10. Training of users, staff and management .should be coordinated to develop awareness of database concepts; and available resources:

There is another category of functions which is -typi- cally performed befo're the database environment is operational. This category of initiation functions includessuch activities as planning, forMulating a Database.Master Plan, performing feasibility studies, persbnnel'staffing, and negotiating participation in the database environment wi,th different groups of users. .>

-5-, 2.2 The Database Administrator

The DBA, in.theory, is the organization's- Leader in planning, design, development,_implementation, testing, documentation, operation, and maintenance of the entire database environment. The role of the DBA is usually characterized;,aS both technical and, administrative. There is :also a. promotional dimension to this role, since ti.I.DBA represents the database administration concepts and pro edures to all participants, and coordinates all database activities among_ managers, analysts, systems and application programmers,,and users, Because database -adtinisteation activities' impact -across organizational boundaries, the DBA position"is sensitive, and the DBA must be astute to jurisdictional questions and competing mission requirements. It should be noted that althoughthe tasks in database administration are performed by'onepr more persons, there is usually. one person who is charged with the responsibility for coordinating, control- ling and directing activities in thedatabase envirodment. This person is generally designated as the DBA.

Although there is.agreement4-on the basic functions of database administration, there is no standard_set of duties and responsibilities for the DBA. Several factors" that in- fluence pie definition and extent of the DBA role within an organization are: a) ftinctional.orientation, bY scope, c)-stage of implementatiap, and d) organizational )Rlaceme:At. All these tacEors depend On the degree of commitment to the 'database environment by"the imPlementIng organization." In order to characterize fully a DBA, it is necessary to describe him in terms of -the four factors mentioned above. Together,.these determine the role of the DBA, and the functions that are performe,and emphasized. -

2.2.1 Functional orientation. 'There are two extremes of functional orientation:

,a. Technical: The DBA manages the database,, he has an' extensive_technical background, .and is responsible ,pri rily.for the technical operation 'of the dgtabase environment. .1

b.' Administrative: The DBA is a manager, who may or . may not have detailed technical background. Ua-l-the administrative DBA 4,as a staff of technical 'personnel that handles the telhnical day-to-day operations of database adMinistration.

-6- 12 .4 r

.,, - J -. 4 TI)....practice, none of the DBA's is*.rictly technical or strictly l,admiAidtrative,.but.b a aombition-na of the iwo,.As r mentioned ,bfore., there is also often a promotional orienta- -r , tion.irk. the- DBA-function;_. . . - ,... C,-,,,,- - .. , _. .J- , - 1 . _ .. i.'2:2 Scope*..* It is: -inevitable:that factors such C' theIttis-s: sion of .the database admi4istration eff-or't , -the. d'at'dbase ep- -?.-.

. virortment.,- and the size of' :the organization Will :ffthsze' dignf---;- MA: Sccipte dart- fall , -, ficantinfluence- on ,th- ,.scope of_. into two categories: - . . ...y. .. :.. ; - ,, : a.Project-d-rierited:TheprojectrojectDBA -.hascomplete responsibility and control 'for -all. database-related id- -, 5-sues pertaining to that project:The project DBA iome- times reports_ to an overall-organization DBA.The term project -- .". l'acain DBA ha's alSo- been, used to refer to the 1lc _ . DBA... . '.- ifeiOverall-organization-oriented:-Thec;-ganizational ,DBA hascomplete control and responSibir4ties -for a13.- database- relatedissues for the corporate data resources.Such pa% A's are usually placed very high or ganizationally. Me term "global" DBA- hasals'o_ been used -to refer tottie,organizational DBA. 2.2.3 Stage, of implementation. Althoughstagedifferentia- tionis an ephemeral characterization, it is oE -interest in the context of differences in -the. DBA functiofis. Thestages of implementation are:initiationc-desig-n, and operation.'- - Activities performed by DBA's in each Ofthesestages wilrdiffer in their,emphasis.kor 'example, during the ini- '" tiation:.stage, ,activitles' such as feasibility, studies,.plan-" ning,and system selection.will be predominant;as-,.the database administration fundtion progresaes to the operational stages;pdrfor.mancemonitoringand - evaluation activities, maintenance_ and Management activities,andefficiencyim- -provementactivitieswillpredominate. All the while, the :ten basic functions outliried intheprevioussection ..performed''fx): some degree:

2.2.4 Organizational Placement.Theconsensusamong data z resourcetechnologists. that the DBA function shotild be placed very highoiganization ally inordertoensureits success. Threeexamplesoforganizational placement are presented below: ... ' - . In the first.examplethe..Drikl_islocated.in .the dieector"ep office.; Placed that highly..). the DBA can have a; -- of cldist, since-the:offiCe at 'least imfDlicitly

- -has the direct support .of executivanaqement. Asa part ' of the director's 'staff,-the DBAshould have 'accessto -the organizational:data'resourqes and-can exact.cooperaticimfr=

the line organizations. . :. .. ;

. . - -, , ' 'A secoii6 example. is the DBA- as :'a staff position in the .. Compt,r011er".s Office. A direct,lineof,.coMMtivieation, . _ to the Comptroller could -have 'greatleverage; since the "purthe string."Joan be used as a- lever in assuring compliance to database rules and regulations. . 1 - . . . _ .. A thirdexample-Itpicturs the DBA as a sub -unit of .the . dataprocessing' shop. This represents the° lower end of the spectrum .in organizat-ional plaTcement. As a staff member'af , a service- unit., the DBA, usually would have less authority organization-wide than in either of the two-cases. Mentioned above, -..ndcan expect leis cooperation from the rest _of the organizatiOn.,.

3. THE DATABASE ADMINISTRATION TOOLCHEST

There are a gre'at number of software packages-available in the market that can help' the.DBA:. The usekof.,these tools .can have direct impact on all phases of the management and, control of data resources. Two software tools are Con-. sidered to be greatest in importance in database administration. These are: the Data ElementDictionary/Directory (DED/D) system, and the Data Baser, Management System (DBMS), -both of1Which are discussed befow. - Then, descriptions. of other.database administration tools and auxiliary tools, are- presented.

1 3.1 DBMS and DED/D

.Database Management Systems (pBMS) and. Data Element, Dictionary /DirectorySystems 1DED/D) are two "core" tools -for the DBA, and complement each other in the managementof the database environment. In .fact, many of the benefits realizet from the use of a DED/D are parallel the ones 'to the use of a DBMS. How6ver, it should be noted-that_ while-the benefits realized from a DBMS are directly' related to thp effective computer processing of the data; -the benefits from a DED/D are directly related to the effective,collection,- specificatioh and management of-the-total--

'1. 4 -184, . data rg-isotirces of,-an organitsiOn. . Among the Xabgible benefits tha can be derived,.from uSe of -a DBMS "and' a .DED/rrare [19, 27].:

e *r.I.Sharing of 'data resources; / i 1r 7 * eSimple and effective control of c the, 'data' elements; - * Reduction of data redundancy :and inconsistency; ,

4 +I. Enforcement of standarddefinitiondand usages;*

*:Enforcement of security safeguards .'and controlil.ed accessibility to tie database;

-* Maintenance of data integrity ;.

Iv Determination of the impact on the total infeirma- activity from cbanges to data elements; -1 * ResorutidnOfconfliCting requirements ;. * Centralizationof data elements as an aid in design and development of new systems; and *'Consistency- in documentation for the database.

I _shou1 fabe_e noted that itisnot an asolute- reg!uire- ment that those subscribing to the concepts of database adminis.tration must .use, a.DBMS or a- DED/D. However, experience shows that when .the database environment becomes operation- -al, plans are made to procure either one or both of these tools. Some advocate, the *plaased installation ofthese.-two4 -tools, with the DED/D preceding the VMS. But regardless of the stage,at. which these _tools are installed, their funda- mental importance cannot be overly emphasized.

3.1.1 Database Management. Systems. ADBMS is a software tool that provides an integrated source of data for multiple users, while presenting different l_vieWs of the data:to different users. can -be -characterized as generalized 'software which' provides a single flexible facility for ac- commodating different data - files and .opei-ation'S ; while demanding less programming effort- than conventional program-

ming languages, [1,R]. It features easy .access to the data; facilities fo'r storage -and maintenance of large volumes of data; 'and" most importantly, the 4Capability for sharing the data resources among different types of users. 44 : Database Ma.nagement Systems range from 'elementary systems wj,th single record structures-, providing rudimentary

report formatting facilities, to very\elaborate systems han-- . dlirtg Several f4les With hierarchicalstructures,. performing functidNg in:an online de, and having sophiSticatedq!ery - 2 atla repoet7wribing. ilitfeg.

1-2 Data Element Dictionary/Directory Systems. 'As data ourcescontinue to grow ,it -is becoming apparent that .

ha all .data problems are ,necessarily resolved with the . use - of atBMS,- especially, since not all' thez data .israd-tomated. -.r A recat trend is to use a separate class of .automated toolS/ _ f that provide central control, of ap._3ataresources in a uni- for manner across organizationalk lines, 'the Data ' Element ty/Direttory systems. The' DED/D per forms, some of the flame functions as, the DBMS; hol4ever is dif-fetent in that`the 'thrust of the DED/D. is to provide.' control over ALL the data resources, both automated and non-automated-.' SiF4ce

the designa objeCtives of. the'DED/D Coincide with the basid 1 goals of, database _administration, it 'is not surprising that the DED/D is one of the _basic tools, the DBA toochest.

Two recent: NBS Special Publicationssurvey the . state lof the art Qin DED/D's [26, 27j.

3.1.3 DED/D Relationshi to DBMS. BecAuse DED/D'S are concerned' withthe management of data elements, it is loOical that there should exist a strong relationghip between a DED/D and ;.a _DBMS.

I Interfaces enhance the usefulness of both the DBMSand the DED/D, and in fact, many of the commercially-available MMVD.'s ptovide interfaces to var ious- DBMS' s. These' interfaces provide the user with 4e-ability to [27] :

a) Define therdatabase to the DED/D, capaalizing on DBMS resources,' such- as existent, vipll-defined file strictures and access methods; b) Generate- data element definitions for .a DBMS frOman up=to-date .DED/D; and

1# c) Exercise control' over the data elements'r-- of a. DBMS using DED/D facilities.

.3.2 Other Database. Admin 'ration Tools

TOO1S1whach are-us 1 primarily .in database adminis- ttation are d_escribed elow in terms of their functions.. It .is impor&ant to note that these Softliare tools may appear as asingle, self- contained plece of software; as a partof. another pece of software; oras a, utility or facility of -30- 16 the DBMS,\t11 DED /D, or the operating syst4m. . . Information/Data Retrieval System-.

An information /data retrieval system 7(IRS) is a pros ram or set of Programs thket!enableg the user to.re- trieve infdrmatibn a variety of formats.= Some IRS' operate inbatch mode. .Bowever most-modern IRS provide interactive (conversationall capabilities, including extensive user - oriented facilities and' rapid response to, system commands.

Online Query System a An -online -query system is a separate set of __pro- grams, or a' featureWiihin a DBMS, that enables the user to obtainhformation contained in a database 'in- teractiyely.

,;.Data -Entry System A data entry system proirides the facilities fo -automatic data entry and data collection. Some provide interactive, data entry facilities,. allowing for key. ve- rification, limited editing, and formatting. 'Some allbw batch operation...to enable massive data,,loading. .Y/- Editor r C An editor facilitates selectivemodification' and correctionof data, program or document text. Special "

purpo'ae editors are ,available, geared towards - entry, . modification and editing of data, files, programs, or texts. Facil itie's* may be provided_ to --edit input trap sactions against set of predefined validation. cri- teria. , , Flowchart Generator floWchart generator .produces a. pictorial-.diagram o the flow of con.prol and logical' paths of a computer p Ogram. Narrative- documentation may be produCed as a-7 s de-bene-fit. ). Text Prbcessor

. A text processor is 'a documentation aid that ac- cept. lines of, source textsinterspersed with format

control commands, and formats the text . in a print- able, paginated document with a user=desig d style. , 0 4. -., */1" Repdrrt Generator- ' r , Areport. generatorallos,gutomatic generation of ; _pre-formatted. reports on-a production basis, or allows definition .of,ad7tioc reports, via parameters. SOme ru-, , dimentary data.manipulation functions may be:TeeforMed,' and data extraceion 'from an established .databas.e. may be - possible. (' 1 \ . . Cross-Reference Generator ,

. \ A cross-reference generatoefor databases prodUces / listings of data elements usedinfiles,.tirogram and systems,,- indicating_, where data. eleMentS are being keferenced. For programs, it produces .listings of the

-`variables (data elements) used.%in programs,' .- stit irs) u tin e s, and systems, indicating : re they ,are being _refereiided-;---: ., . r,

t/File Reformatter - la , Atext/filereformatter-rerranges and structures files according to specifications, an rearranges and _structures text and source proralvOifor improved reada- bility. Iemay provide limited text additions for do- it 'cumentition purposes. Data/File Maintenance Programs

Ddta/file maintenanceprogrgms perform . global changes for all,, (A- selected,,records in a file, while..

repgiting changes in _data content _ before andj after operations.° Tiiey. may provide data /filet -editcapabili ties, aid data'' items deleted 'or' added ,-may be, flagged for audit tra11- purpose. Data and file maintenance programs may be a self contained 'software .-PAckage, a set of utility programs prwided by the operating ;system, or a feature of the DED/D or the DBMS. Data Editing and ValidationSysttp A data editing and validation :system provides the user with the ability'to perform_data validity tests; data editing,error correction aid- reporting, or any subset of these tasks. It may be parameter-driven so .that different edit requirements can be ,accommodat- ed These 'functionsmay be performed in an entirely interactive manner, or completely batch, or a dombina-, -tion of the two modes.

-12- to-- , t Data Auditor ., . .

: , . , A data auditon.examInesk-,Sdprcet! ..:'- daa:--definitions landanalyzsdata'relationahiPs,- diata srudtures,, for ,- ..-- mats and storage usages for consistency,vaiddity; and - efficientutinzatione It 'may provide a. dictionary or

a catalogue 'that contains definitions of the dita- at- .- tributes, and characteristicsof the 44ta type.-The

- ,data auditor is available as a self-conta d software product, 'but it is alsoavailableas'a eature CI! the 'DEb/D or th e,DBMS. - , .-1-7

Data Security- 1 A' data security module may proyide protection over sensitive- da4a,.by encrypting/decrypting, and by con-- trolling access to th'e sensitive parts of- the databast.. 'Data security can 'beachievep through encoding and -decoding, or through execiationtime password capab.iii-* .-ties. y Test Data Generator - al

. 2- testdata generator produtes test <34,0- files according to specifications. .The test data can then' be used for-testing application, software. Optimizers I Optimizers apply ,changes directly to prOgram sourcecode in order to -make them run,more efficiently in. terms of reduced.run-time, or reduced core-- require- nients; 'They mayperform analysis of the program for

undetected bugs and optimal logidal flow: A Automatic Space Generators- Automatic ,space generators fund available space for-programs orfii&p.that areawaiting processing. Scheduler Schedulers allocate available computing 'resources in order to optimize the :use of resources to daily. workloads.- They mayproduce- reports indicating- the areas wh'ere optimization 'of the 'resources may occur.

-13-

O ProDect Manager , A-project manager-is_a software tooi.that provides collection, storage, and, reportihg', facil e data iv ies -..,aimed'atpersonnel personnel time and task'accounting. TheyMay /t.

be coupled Wt.th PERT packages, ana .ol,her productivity . , . . And scheduling management aids. : c , Librarian (program, file, etc.) ci i '' .., Librarians- facilitateorganized and economical:1-- - .... storage- of programs, texts, data.sets, and object modules for centralized retrieval and jupdates. -They_

may 'collect,accounting=data to assist in. storage allo-_

cation. t

'4-.. sfgVEy o -

In order to gain insight into the subject database administration it was decided to 4b into the A g community, and talk to people who perform the funct.ions'oi database ad- ministrati,on. The study was limited-to in-depth conversa- tions with twelve DBA'-s from the-Federal Government in the Washington, D. C. area. All the meetings took place in

mid-.1977. The agencies represented were: - ..;

Civil Service Commission . Department of-Agriculture Department of Commerce, -- NHS- Department of. Defense-- DCEC Department of Defense-- MILPERCEN' 4 Department.of Defense-- NAVY Department of Health-Education and Welfare -- -- Social Security Adminidtrati-On -Department Of 'Housing and Urban Development Energy Research and Development Administration -Federal Deposit-Insurance Corporation Federal Power Commission

____,Treasury Department - t There is usually more than one person in an organiZa- tion pe;,forming database administration functions, and in fact, often 'several members of the cipanization.were present_ at -our meetings,- presenting us wit_ a broader and more ob-=' jective picture of database administration within that .or-= ganization: The' discussions were conducted-using a struc- tured approachbut on- an informal level. , An outline 'had' beenpreparedhd is included 0Appendix B. The DBAsvere'

-14- /..//gdienlists othe functions, and to-ols discussed in .the pre141ous' sections; these lists are includedas.Appendibes C And: D4 ,The disOssions were organized. infive areas: -back- grOdptasies: tool6p.problems4 and advice;,andthis section folloWs that.--'scheme. A, composite case,study'is'' presented, ,,'" rather &than, individual° case- studies. Similaki.tieg- and/ differences are"analyzedin'(Zterms of the DBA- funClonal orientation, scope, 'stage- Ofimplementation and organiza- . tiona/ placement.'

4.1 Background )44 . A sumidary.profire-of our sampleof Federal 'DBA's follows: position clas- A There is not yet within the Government_a sification "41titled "Matabase Administator'." 'All .of.the DBA'Is'ircterviewed have a Civil Service'Commi6,"sionplassifi-- c-ation of ."Computer Specialist)" "Database Analyst,"LOr "ComputestemsrSy Administrator," which,falls in the GS-334, 33.0, or 301' classificationseries. Somehad= theclassifica- tion sub-title of DBA. In more than half the cages, the person's organizational title is DBA.,-The intervieweeswere equally divided between male and female. Theyconsider have a _themselves administrators, -althbugh they usually technical /computer -background.: The lead' person is rated. GS=13 to GS-15. -/, The- support staff averages 6 innumber, and includes both administrative -and technical personnel. The staff's training. is usuallytechnic41enhandbd' byvendor-provided courses, and supplementedbY-usersr.groups meetings anSrcon- ventiOns.' ( 75% of those interviewedcortgider themsdlves over-all organization-oriented rathertil'anproject-oriented; one half of thesd had other project-orientedDBA4s ieportingsto them. Therewere varyingdegrees of control over project informa=' tion. ,In about 40% ofthe cases, the DBA function wasopera- tionalrthe. restwere ,in various stages of initiation, design and development.'Those thatwereoperationil had been in existence from1-1/2 yearsto 4 -l/ years. The.date of creation of the function'.frequently was precededby e-x-- tensive unofficial initiation'activities, ranging from 12 to 18 months. Those-that were in theinitiation phases were 6 -, to 12 months old. It is'interesting to notethat in those cases__wheie_t_hedatabase _24dministration funbtion . is A 4 : -15-7

n. operationalrather thahin-the initiation pha the chief'd title. is more often DBA, and the grade level is at the higher end of the range.

-Those tha were in'tfie.dnitiationstages,viewed their, database afti istr tion function'sas being technical rather. than 'administ ative. Those that have beenoperational for longer perlo s, -viewed their functionsas being both admin.- :istrative and tedhtical. Further,"those,with an operational status usually have-'a DatabaseMaster. plan, a better idea of what the'DBA tasks involve:and fairly well defined .P. regpon-

----TheSda'tab.aseadministray.ipn.actiVity ls'usuallylocated ,wi-thin the-dataprocessing/information management areaof an or'ganization; it .is 'post often'separate from, but ona, par . the computer operations a6tivity.-Sometimes,there is a tie to the ..coTptrolker's-Office,or to the officeof the director for 'administration.

-'jIteasons-cite'drforcreating the dataote adm,ibistratiorv. functio4,....fall into two categories:

(1) Genei"al-commitment to.databaseand database concepts, i.e., looking at things that would help indata management, fulfilling abatabaseMasterPlan, pooling data resources,, and concentrating databaseexpertise in-house. (2)_TO solve specificproblems, such as dataredundancy, no data_atandaras, control.. poor data access, and inadequate data

11) 4.2. Functions

The, ten major tasks discussedin section 2 are grouped' herel.for analysis,as follows: T, A: Definition, Design,-Implementation; B., Maintenance/Management,Performance Monitoring and Evaluation - C. ..Security/Integrity,Enforcement; Selection/ProcureTent, Liaison,Training. The order in Vlach these-appear. dci not indicate .their tive importance or. rife cycleposition: Barcharts.depicting the.governmentDBA,role in database dministra-tion -tasksare presented in figures .1-4. There is a barchart for each' of. the groupingscited above. The,following legend appl-Itesto all the bar-charts:

-16-, -1, pirectLIEREonsilla; indicates a major role; Coordinating tole: ranges from, strong participatibn in

1 a team eftprt to anadvisorY/consulting-ole;

- d Othe'ri/means that other groups within theoverall or- TaRriiitTion perform this function; .

D _Dlot applicable: tasks are notrelevant to the organi- . zation. . A

( It should` be noted that the-legend*items on *.the barcharts are not mutuallyexclusive. Even-when direct respon- 'sibility for a specific task was claiffied, therewas some 12- measure of consultation or-team_effort reported. When "Oth- er" is noted, it max mean a standards, group, a computer operations group, or an end -user performs this function. !Not Applicable" means the activities are. notbeing performed* atthe present time by anyone in thatorganization. For examplel-if-e DED/D does notexist in an organization, nont of the activities xelated tothe DED/D are applicable. We ..report he DBA's statementsregarding .direct responsibil- -ity- and coordinating role, but realize that thereis only-a small discernible difference.between the two roles.

-17- FIGURE 1

GOVERNMENTtDEJOSROLE IN DATABASE ADMINISTRATION TASKS- g ,

Elements NkW44Peg

VEI > 4 1-4 Relationships2: 1-4CO> 1-3> it C.0 oto direct responsibility Standards 41\:4,4411 of DBA -coordinating/consultIng role done by others batabase4ic \1/4.. Structuile not applidable DED/D Design

Support Software 'Nla;4,1

Data Collection - aJ-3- . m ImpleMents DefinitiOns 1-1 m IgNe4.1.,wjEk Implements rn ..11\111:!k?Zrft DED/D 1-3

Implements Support Software of saMple. a FIGURE 2

GOVERNMENT DBA'SROLE IN DATABASE ADMINISTRATION. TASKS--GROUP B

DED/D 4.71 3y. Ta. r:. KEY

pB Definitions otzl 1111direct resporisibility . . of DBA v ztv41>H 4-ez coordinating/consulting 4-g role DBDocumentatforq ant5gall done1:1y"others

notS.Pplicibl Policies A. Pradtice'

\N\40:014.: Automated tx1 kmAtanmUM Activities- -0

Procedural' . Activities o.

4-3 Initiates Improvements z1-1

Economic . Assessments

t-, T . rr State-of-the- art z0 alit % of sample

1 FIGURE3

GOVERNMENT DBA "S ROLE IN DATABASE, ADMINISTRATIONTASKS - -GROUP

Integrity Checks= & Validation Rules S&NWEIWOnig

1-1 KEY to Failsafe 11.11111E1. direct responsibility 7:1 of DBA

0-4 3 S . coordinating /.consulting Auditing role . ;g4gdone. by others

1-4 ZekAla;714%64.4!%14 Audit Trails Nzg.2.e.7i.ilsrl6A0100:

Authorization/ Pdisword

Database Control

ComPlianCe

./..:-Access Control f sample

a )

26. .FIGURE 4 WVERNMENT.DBAIS,ROLE IN DATABASE ADMINISTRATIONTASKSGROUP D

Hardware

KEY .Softae di-rect-resp-onsibility of "))3A coof.dinating/consulting- role Services done by others,

9 1--1not_ applicable

With UserS. r-;1111111111 0Cr2 (

With Analysts \N\ e.

With Management' 111111111111

. UserS ).2 . H

Technical Staff

jtmagement of.sample 1-1 as

a. In addition tobeing asked-toidentify which.taiks they performed, .the DBA's were-askedto identify tasks "m6st-bf-- ten perform-a" and tasks deemed "mostimportant. ". The term. DBAheremeans, the DBA team. The following_pattens_werer observed in the sample.

* In 75% of-the activities, theDBAeither has Oirect coordinating - role. -The notable-) exception is in thearea of data ,collection. Those surveyed-indicated that thetask of collecting/ data-was performed or overseen by other thanthe DBA.' Data collection was included among theDBA tasks because it was so reported in the literature. A possible explanation for this discrepancy is that the literaturereports on industry experience, whereas our'samplecovers Federal . . DBA's onlY. , .datibase--Maintenance/management'anddatabase performance monitoring/evaluation. activities, theDBA has ther direct responsibilit'yjarcoordinating regponsibil-' ity in 75%-ok the sample population. .

* There is a very small role'reportedin the datab47se. cumentation area, altho-ugh the responsibility clearly lies within the DBA's domain. "e * Although liaison, selection /procurement, enforcetent, security/integrity, and training activitiesare almost- universally the direct responsibilityor,strong coordinating ,responsibility of the entire sample, thoseac- tivities were, however, seldomreported as being "most often performed". or-deemed " -most important."

* "Most often performed" taskswere:- design, implementation, and maintenance/management, followed closely by . ..deEinition and performancemonitoring/evaluation activities. 7 Judged "most important" taskswere: design; implementation and definition, in thatorder. Admit- . tedly, sincemanyactivities are _time- and stage- ltependent, it isdifficult to analyze these responses. Very often, t answer to "most often performed",did- "not corresponwith the answers to deemed "mostimportant,"'

* Other tasks mentioned included planning,scheduling, do- clment. preparation, user requirements definition,.and applications development.

* It is important topoint out that the activities that -were noteds_asbeing "most important" and "most often performdd" are the technical activities withinthe DBA. functions. Although the -DBA's interviewed-claimed-that they were more administrativethan 'technical in nature, in factN,,, the analysis. bases.on their responses to "most often performed" and "nest important" indicate their technical inclination.,

4.3'Tools 1

Although -there_ aremany generalized_ softwarepackages available . for' sale or lease,some DBA's reported that they chose to-build theirown softwarel, either because they re- - quired special capabilities4r-because the commercialsoftware was unavailable to them, or because theyfelt theycould build 'better or cheaper tools in-fix use.

The availability of softwaretools to the sample DBA population. is summarized infigure 5. This availability is reported in two categories,commercial software and in-house developed softWare., . Within each of thesecategories, distinction is made between "free-standing" and "feature _of other. tool." "Free-standing"means that the tool16.aself- contained..sOftWare package; -"featureof other tobl" means the tool is a capability within another sbftwaresystem, such' as a -DBMS, a DED/D;or am operating system: The entries in the tableare the percent es of DBA's who reported, that these tools were available.' should 'be noted. that although tools% m' be reported as available, theyare not necessarily used the database administration group. .44: 4.3.1 Use of DBMS and DED/D. 92%-"Ofthe DBA's reported the usage of a DBMS, and.they remaining__ gw_is_inthe process of- Orie. s -More _than halfactually have more .than one such system. All have purch-..sed or leased commercial software; sometimes'they alsohave in-housedeveloped systems.

92% of the DBA'g reported the.usageof a. DED/D, and the remaining 8% hai plans for procuringone in the fUture. 75 %. .'of the DED/D's are in-housedeveloped software.

is not surprising that thete is almosttotalusejof these two tools, sincetheyare by far-the two most impor taut -tools in, databaseadministration.

-23- FIGURE:5

AVAILABIg. TY OF SOFTWARE TOOLS- TO SAMPLE-Ii*POPULATION

IN-HOUSE SOFTWARE NOT TOOLS CO*ERCIAL SOFTWARE AVAIL A (-%. AVAILABILITY) , -(% AVAILABILITY) . FREE- FEATURE FREE- FEATURE STANDING OF OTHERSTANDINGOF OTHER TOOL. 'TOOL .

8 DBMS 92

25 67 8 DED/D .

InformAtign,Retrieval System 42 50 8

Online,Qrry System. 33. 50 . a.

8 Data Entry System -17

56 : 25 Editor :

Flowchart Generator 50 17 8

Text Processor 33 25 8

Report Generator 58 42 17 17. Cross Reference Generator, 33 33. 25 'Text/File Reformatter --17 :._ a_ 25 8 a/File Maintenance '.8 5

17 rr Data Editing/Validation 8 3 42- 17- 334 Data Auditor 8 42

8 17 Data Security.- . 25 50 25 , 50. Test Data Generator 17. - 8 I *25 17 58 Optimizer _ -

la. AutomatiC Space Generator 17 - II 67 '17 Scheduler 83

8 33 Project Manager 50 8 42 8 Librarian 14\ 50

NOTE: Tile entries are the percentagesof DBA'Swho reported these tools as available. .. 30 0_k ) 4.3.2 Use of Other DatabaseAdministration Toolt:-The in this section are fregently features of othersystems, especially operating systems andDBMS. As such, this group tools, is predominantly retortedas:being'other thanin------house--daveloped.

All the tools except thetest data generator were -reported generally available...Everyone had a report generator and an information retrievalsystem in the- toolchest. On- line query 'systems -and data/file'maintenancesystems were next in number,.folldwseaclosely by data editing andValida- o: tion systems .and cross refer,encegenerators. 75% 'reported they have data 'entrysystems,,editors, flowchartgenerators, - and text ,end 'file reformatterso Most report alsothe use of text,processors and data auditors. Although flowchartgen- eratopk was a tool that is among.tgosereported most general ly.available to the DBA, infact, the DBA's claim it issel- dom used. -

It is difficult,,to draw conclusions from figure 5, fork- although a pattern of availabilityexist-s, the amount of a:6- teal usage in ,the performance of. databaseadministration fiinctionscannot be generalized.

4,.4 Problems

The DBA's were askedto discuss problems theyencoun- tered -during thecourse of implementing database-administration funCtions in theirorganization. Responses varied,from "it is too early to tell,"to lurid'details of specific si tuations; ProblemS are-summarized intwo- categoriep: non- technicaf problems-andtechnical problems, ": 4.4.1 Non-Technical Problems.Non-technical problems usually had 'to do with lack ofmanagement commitment; jurisdytional questions, data ownershipdisputes, pOWer struggles,poor. communication, inadequatetraining, and high costs. Several- :specizfAt problemsare not &d below:

. * Lack of commitmentto database adminitration con -' -ceptS at different management levels; .

* Management hesitantto'cpmmit 'manpower andmoney. to_ internally-oriented, non-visibleprojects; * Unreadonabie.management demands;

* Lack of decision-making.power' for 'the DBA; * Lack of enforcementpower pr the DBA;

-25- * Unresolvedjurisqictional ptoblems, especially .when different groups perform/databaseadministration tasks; DBA's, I * Uncleardefpition' of responsibilities of analysts, user rind management;

. -1k Frequent reorganizationcausing. ihstaidlipy in cdn- trol of data;

* Unde \finedined owneshilandr control of data, especially betwee stisers and DBA; * DBA concepts conflict withservice center concepts;

* Failure to-'establish, effective'communication lines between DBA's,..technical staff, and management;

* In!sufficient communicatiOn-between DBA's and users with respect to data errors andavailability of help; a .* Decision-making management notknowledgeAple in tech-' nological-state-of-the-art; * Lack of traini14 and understandingof database con- technical staff.- , cepts and DBMS by users and c. * Lack of experience indatabase technology.

* Skepticism with respect to thesuccess of'- database administration practices; Resistance of analysts and -programmers ,terference; Onpurchase , Excessive eprocurementconstraints hardware, software, and services; P.

*, Inadequate.cost-benefit-analyse) regarding implementing DBMS vs. conventional.ptogrameing, and in evaluating iri-house vs_ .commercialsoftware. * High cost of hardware,software, services, -techniCal staff, training, and vendor support;

4.4.2 Technical-Problems. Technical 'pr'oblems 'tend to be specific to eachOrganization, but some general problem-, areas are notedbelow: * Generalized systemssometimes too gqneral for specific 4plications; tailoredSystems sometimes too inflex- ible for changingneeds;' **4) * Commercial 4 software sometimeshot Available for isting har.dware; eic * Hardware /software- limitations and interfacepioblems; * Absence of shared -databases inspite of DBMSusage.; * DBMS used as a file control mechanismratherthan a database _administrationtool;

* Inabillty'to assure reliabilityof data; . -. .C.) it* Labk f organizational data. standards; _

Poor system andsoftware 'documentation; * Poor vendortechnical support; * Too much dependenceon vendor support;, off; . Dion-av,iilability c of -commercialsoftware source code. ( . 4.5 Advipe ' ) The following adi7icewas iyfered by DBA's to the practicing those ,'abou't.to establish:' thisfunction. Much of this advice- isbased on' hindsightand ipecific. may be application- Howeve6 it should. be helpfulto future DBAls since it is basedon actual experience. .

_ Get complete managementsupport and get it.early; * Establish a strong organi'Za"tior:1,-,With good'. lines. :comMunicatiOn; ,

* Have a goodDatabase Master Plan; * Be flexible,_and adaptab,l-e----to-change; ilievelop -credibility; * Be a. combination of a good technicianand a good pol- - itician;

Involye the userS inplanning;, Va Hire: staff with strong database technologyback- gicrundr andSyStenisoftware experience;

* Develop strongtraining 'program forstaff managepent; users and 33' -27- * Agree on gtandardpfirst before designing a system; Design a total system, butimplement it in segments;

-Experiment-with--different--approaches;_ Implement aDED/D early; *..Consider the usage of a DBMSearly;

* Do benchmarks whenpossible; A * Don't try to do toomuch atonce;. see 4c Be patient. It "may be ,a long timebefore you results.

)1 5. OBSERVATIONS N

In the Fede -al Government,interest has beenincreasing the two bo th with respeCt to databaseadministration:, and to administration tools,.the DBMS,and the most basic database Standards DED/D. There is a FederalInformation Processing Base.Management System-Standards(TG-24), Task Group on Data Group on and a Federal InformationProcessing Standardi,Task' Data Element Dictionaries/Directories (TG-12).

- . A recent trend-is toutilize existentsoftWare automatable functions:--The softwareIndustry has,, 2.-- perform eX- -devefop new -toolsand-fine=-tuned existing ones to the tent- Ilat--6611af, there is aproi4eration of software tools tein help the-DBA. In addition,...a number of university projects are focusing 4 da"tabasesoftware-fools.- .Th6 DBA toolchest discussed in thisreport provides the :4technical - means forimplementing d databaseenvironment. . , iAterVdewed reported that the two . theDBA's All DED/D.A- softWare tools they userOst are the DBMS and the is expected, -since-the utiliza- Thi:s ovewhelming-response adMinistration tools. `tionof These two verybasic database supports- an effective;efficient.and securedatabase. the -effectiveness, _ Organizational''placement influences of the DBA. The closer the -DBAis,to executive.manageMent, the strobger the influencehe can exert ondatabaS'e adminis tration practices inthvrganiztion.

-28- 34- -.., . r,:l ( Organizations with .1- :,.. `...7 , ', 4k a-long-e.Stal4is ''I''.-1. nction fre-' quently have adopted 44 .7.4A''!'.144. a"projectkteam" ,.%:-:,% erable user Involvement. . W-d44sj471, . - , 11,- . ,,,- . . 2 ,2 . Organizations that 0 n have-- 'ideveloped as-,. Arligo _Database Master Plan havea smoothe,r tranSition-intothe. vironment. Their aatabase.en- database functions arebetter 'cleaned, many of the a . and -resolved. non-technical,,problems are morereadily

Expertise in computer technologyas-we41,as:in database technology, and administrativ'eskills are ,essentialforthe DBA and his staff. In addition,'the position requires t)olitical natureofthe diplomatic finesse. . Orgailizations that ,have establish6Citoodp lic relat- tions. withi'the'database' administr from fewer ation area,havprofited disagreements andconfrontations betty n DBA's, users, staff, and management: When the liaison ,strongly coupledto a good database function is gram for technology trainingpro- staff, users,.apdmanagement, fewernon - technical and technicalproblems arise-

_ . Stage of implementation'is a for, as development temporary. .distinction, progresses, the-functionalcharacteris- tics converge. Thus, at is notsurprising that al -" activities are better '?operation _have higher'Vades, orgapized,-have _larger staff's, ,/ and have better-de-finedplans than, activities in the initiat,io5stages. Its is interestingto note that althotigh the advice of- - fered by'practicingDBA's is specifically tabase administration, .concerned with da- it is remarkably simi-I4rto the vice offeredto .softwaremanagers [15].

. IMPLICATIONSOF DBA COMMITMENT

4 The ,decision to implement databaseadministration functions in an organization must the organization's be weighed ill thecontext of needs andresources. Ideally, feasibility studies and cost-benefit analySes should be.conductedto determine whgtheror not to adopt. the [13], If. these analyses database. eppro.ach indicate the-establishment-ofa dady tabaseadmindstration:function.,'then a good "-Database .Plan".i should* be Master prepared, which includesthe componentso thevdatabase'environment,-the inechanics of ZZ-Tinition of responsibilities implementation; procedures. and authority, andrule Van&

-29- o

Although the:,incorporation ofdatabase administittion automatically, concepts does notsolve'all.database problems do much to improve the ,awei.47implemented DBA function can arid- control' of anorganization's 64dra resources. mahagellient of_ _ There are. twodimensions-to-asucces ul-;-implementatian functions: he advantages to. manage- ...4,r) database administration provide. What ment, 'and thecommitment that mangement must should do for managementis dis- database administration success- of the DBA cussed below. In order to.ensurethe highest level management mustgive full sup- 'function, the of what port to .database administration. Adiscussion management must dofor the DBAconcludes this report.

. Administration Should Do For Management 6.1 What Database

, can improve ,Adopting databaseadministration concepts since a focal pointis es- an.c)ganization'p effectiveness, respohsibility, themanagement, and the , tAblished-for the resources: SoMe of theadvantages control of the total data administration to management ofhaving a strong -database function are detailedbelow: effi- * A ControlleddatabaseenvironMent can-help assure increased operationalreliability cient performance and data in-' in the manipulationof data. It can promote standard data usages;enforce secu- tegrity; .encourage and rity_safeguards; ensurecontrolled accessibility; balance conflictingrequirements. can result in, shared * Central ation of data resources and encourageeffective speeifigation databases, and resources. management of-thetotal-organizational data' . of 'databasejpplication systems. Design and development software An be improved through theuse of the DBA Consistent and timelydocumentation can be tOolchest. `and' enforced through theapplication offlniform. rules procetures.' A facilitate a'total or -v * Uniformdatabase monitoring. can ganization overvi.ofall data,resourdes. It can help. growth andchangei'§ccurring.in the da- in managing-the is anticfPatedand tabases,by-ensuring that the growth of databaseutilization can .:controlled.. Optimization Reorgani- resultfrom enforcedshared data resourtes. restructurfng activities can be' zation; redesign, and entire organization, as performedicentrally for :the these-become necessary.. the *Reduced cost of com uteroer'ations can resultfrom unnecessaryduplication in collecting, elimination .of Further,"timely and processing, anddisseminating data.

-30- 3.6 up-to-,datereports can helpmanagement in making effective decisions. cost-

6.2 What Management'MUSTDo for the DBA

Once it has beendecided to adoptdatabase tion concepts,, full commitment administra- and support mustbe given by the,highest levelmanagement to'the since DatabaseAdministrator, the implementation Ofthese concepts tire organization. affects theen- This commitmentand support must pressed in theform of be ex- * Authority: The DBA must be, giventhe \authority to make .decisions andthe power to implement changes. One of the any required ways in which this authoritycould be ensured, istc place the- DBA ally. very high organization-

* Definition (- of Responsibilities: The DBA's responsi, bilities mustbeclearly defined,preferably in mal=document such,as a for- a charter. This is; .if jurisdictionaldisputes are to beavoided. * Compliance PoWer-: The DBA must begiven the power to enforce,,the rules and the implementation regulations associatedwith of databaseadministrationconcepts. * Resources: TheDBA mustbe given resources the necessary to carry out hisfunctions, including staff, time, momey., and

a APPENDIX A BIBLIOGRAPHY

[ 1] Berg, d6hn 451, September Next Steps," NBS Special Publicatiori 1976.

Char,les J. and David G. Swanz, "Data [ 2]. Bontempo, the ResourceManagement," FirstNational Symposium on Management of DataElements in InformationProces'sing., January 1974, pp. 29-36. Administra- Branch, D.R.C.,"Support Your Local Data [ 3] Management, vol. 126, no.11, tor," Journal of-Systems November 1975, pp.6-12. editor,-"TheDat4 'Administrator [ 4] Canning, Richard G., Function," EDP ANALYZF4Z,vol. 10, no. 11,Canning Pub- lications,--Inc.,Nov,emberi 1972:

Clark, Richard J.,"The Data BaseAdministrator,:" Part . [ 5] 1974., 1," EDP n-Depth Reportsvol.3, no. 12, Augubt Clark, Richard J. "The DataBase'Adminkstrator,:. Part '[ 6] vol..41'no. 1, .September 2," EDP' -In-Deptti Repoits, 1974. Base Task Group 1. 7] CODASYL Data Base TaskGroup, "Data Report to the CODASYL.Programming LanguageCommi tee," October 1969, pp. 2-7 2-8. Grou L8 CODASYL Data BaseTask Group, "DataBase Task Report,to"the CODASYLProgrAmmingLanguage-Committee,"- April 1971, pp. 22-23. Gen- CODASYL SystemsComMttee, "FeatureAnalysis of [ 9 ] Systems," CODASYL Ss- eralized Data Base Management 1971 -Section 8, . terns CommitteeTechnical Report, May Pp..441-453. Systems-- A Crit- ['10] Cohen, Leo a.,"Data Base Management Comparative Analysis; ".Performance Develop- 'ical and 8.6iences, mentCorporation and Q.E.D. Information Inc. .March 1973, pp.5-39 to 5 -43. , Tools for D.ta BaseDevelop- [11] Curtice, Robert M.,"Some ment," DATAMATION,July 1974, pp. 102-106. Davis, Ruth M., "A Focus on the Role of the- Data [12] Symposium. on_the Management Marlagerj". Second National

-32- of Data Elements inInformation Processing, 1975, pp. 57-60. October'

[13] Deutsch, Donald R.,Elizabeth Fong, and doseph. Colli- . "Cost Considerations forDatabase-__Management_Sys,-____:______-7-----tems-i"--proceedinqt6f:Specialist Study on Computing Techniques: ,TheUse 'of Generalized DataManagement Systeffis for Handling' Scientific` Information, (To be published, by theOrganization fOr EcOnom,icCooperation send Development,'Paris, France, December,1977). .,114] Dyke, Ruth F., "DataBase Master.Plan," Journal` o ) . Systems Management,July 196,pp. 11-13. [15] Fife, DennisW.,"Computer_SoftwareManagement: A Pri- men for.Project Managementand Quality Control," NBS 'Special Pplication500-11, July,1977,.49pages. [16] Federal InformationProcessing- StandardsPublication 11-1,,"Dictionary for InfcfmationProcetsing," ("Amer- icen National Dictionaryfor Information,-Processing," X3 _Technical Report,'X3/TR-1-- 77, 1977 September), National Bureau ofStandards, September 50, 1977.

417], Federal Information Processing Standards Task 171. Group "Executive ,Guide to/ the Management of Data Resources," (To be publishedJanuary 1978). 4 [18] Federal Information Processing Standards Task-Group 17, "Guidelines for'the management ofData Resources," = (To be published January 1978). 1 C [19] Fong, Elizabetit, JosephCollica and "Six Beatrice 'Marron, Data Base Management Systems:.Feature Analysis, and'User Experiences," NBS TechnicalNote 887, No- vember -1915.

j20] . Gerson,,'Gordon M., "Why Nota FederalDataBase Ad- ministrator," Annual' ASIS Conference,October, 1976. ' I J21.1 .Gomes daCosta, David, Concept of ,Data Resourc itanagement. Vitalto DBMS,".ComPuterworld, September 24, 1975, p. S /12..

. . [.22]4:GUIDE>lleport forthe Data BaselAdminkptration -"The Project: Deta .Administrator: Catalyst of Corporate Change," Draft Report;October.1, 1974, 53pages. [23] GUIDE:Report for the DataBase Administration Project: "The Data ,Base Administrator," November 3, pages. 1.972-, 76

3789 Com- [24] Heard, Edwin L., "ThinkingAbout DatabaseCosts," puter' Decisions,October, 1977,pp.:25-34. .. Of Data f [25] Hochman, Aaron, "Principles and Concepts Resources Management SystemDevelopment, Second Na-. -t-ion-al-Symposium --on7-the---Manageiment_o_f___Data.__Elements Information Processing, October1975, pp.- 910.8; Institute for Computer.ScTencesand .TecnnolOgy, .NBS, [26]' Government-Developed DatO Element ."A Survey of Eleven Dictionary/Directory.Systems," NBS SpecialPubliCation 500=16, AUgUsti 977, 106 pages: "Technical [27] Leong-Hong, Belkis, and Beatrice -Ma'rron, Profile; of Seven Data Element Dictionary/Directory Systeps;" NBS Special.. Publication'00-3, February.:

'1977, 45 pages. - Database and Data [28] Lewis,, Charles "Understanding Base," Journal of.Systems,Management,vol. 28, No. 9, hptember, 1977, pp, 36-42, :Wiley In- [29] Lyon, John K., The'Database Administrator-, ferScience Publications, John Wiley's,Sons, Inc., New Yot,k and Toronto, 1976, 168 pages. AdttipiStration: Key to Better .[30]. MinaMi, Warren N., "Data Management," .Journal .Of SystemsManagement, vol. .27, No. 5, May, .1976,pp.40-44. Data- Descrip- [31] National Bureaurof.Standards; CODASYL tion L4nguage,"'NBS.7 Handbook.113, Journal of Develop - ment.,. June, 1'973: gp. the. :Nerve -'[32] 'Nera4,-Richard A.,"Data AdminiStration as- Center.of a'ComgOny's CpmputerAct4Vity:," Data Manage- meet, October1973.,

. . . [33] .Robinson; Stephen. L., 'mData Administrator DutieS' Differ.from DBA's,"COMPUTERWORLD, Sdptemper 26 1977,

. ) of SysteMS °[34] 'Ross-,, Ronald ::placing-the DBA," Journal Management, vol. 27,No". May,.1976,. pp. 25-r-33: - of.a-Data BaSeAdMinistra- [35] . SHAREy.Inc,', "fitablishment :tio4 Function,"-SSD.no.246, June 4, 1974. DATAMATION Sep-. [36] Sobczak, J.J.i'"A,Data Base story," .tember-1977," pp. 139-150... -

-34- 0 [37] Stieger, "W.H., "DataAdministration-Functions-I" papers prepared for CODASYL ,Systew 'Committee, (These can _July, 1970. be obtained to Dr. Stieger at: 2745 EdgehillRd., Cleveland: 0'44106).11 - .[38]Winkl-er,Major _AtlionyJ., Majot: jor, Donald G. _Robert J. Tufts,Ma- PursleyrMr. Jack. Catalano,Major. John A. System_ Teani, "The ..Data Administrator's Handbook," NTIS number AD/A-021 January 1976. 659,

-35-- APPENDIX B DBA INTERVIEW OUTLINE

1. What is the .DBAfunction in yourorganization called? Where is thisfunction-located organizationally?, or- .Are there.other DBgs not in your group,-but:in your ganization? 1r or overall 4. I's the -ction project-or iented organizationoriented? 5. Is it primarily.administrative or primarilytechnical?) this 6. H w many people arein the group?Do they work .at 11-time orpart-time? Are they technical oradminis- -task in - databasemana§e- trativetypes?What specific training. ment_ do, they' -have? 7. When was thisposition/function created

. What was the purpose in.creating it?

TASKS -3 by DBA's, 9. Fromtheattached list of furfctions.performed check thosewhich are performd by your group. (-If formed by a diffe-rent group,indicate'this.) 10. Additionsto this list? ,r-. 11.. Rank the3-;5 major categorlesyoftasks .most formed.. 12.-.Rank the '3-5 majorcategories of taSksyou deemmost m-7 portant.

TOOLS

13. Describe thehardware/software environment. data 14. Check bn the listoftools.thosethat are used in leased 'or built administration, and Whetheryoubought,

- them. 15.:. Is our list o toolscomplete? 16. Ate there other tools -you use? (Include non- automated -tools.)' r fft 17. Ifmoll.than 1 DBMS is..used,are they administered he same DBA group?,

PROBLEMS.

18.- What non-technical problems didyou encounter? 4organi- zational, jurisdictional,resistance.:;) 19. What technical problems did you , 'encounter? (hardware/software/DBMS _ incompatibilities, availability...) What would you have done differeritlY.,given the chance

21. Axe the 'database commitment' andDBA ooncept firmlY en- trenched your organization?

%.:r22: What advicewould you offerto anew ,DBA", based experience? on your', Al5PENDIX?

DATABASE ADMINISTRATION TASKS -- OUTLINE

a a4TE: NAME: TITLE: AGENCY:

DATABASE Is1561INISTRATIONTASKFk RESPONSIBILITY OF: DBA OTHER

1. Database, definition- / redefinition a, defines data elements b. definesrelationshipsamongelements, programs, repor etc. defines data starbdardsp

2. Selection / Procurement

_ a. hardware= .software C. seryices,

3..\Database design /, reaesIgh a. structures database(includingdesigns of-mapping_ and searth strategies) . b. designs T.Di'D .designs database supportsoftware bATABASESMIN10141ATICtiVA,SKS --.EaStatIS;EFILITY OF:

41. Databasecreation

.a.-c9-g data st, bimplements datadefinitions c. implements the DED/D

d. imp3.ements database.support software

Integrity/security It

designs and develOps integrity checksto the. system (including- t,alidation rules). b. implements failsafeprocedures_, (backup and r?covery)

specifies andimplementsaudit" trails and .loggings (e.g.r recording ofthe updates and chances to.tliedatabase) d. defines auditingrequirements

e. provides security authorization and signs passwords.

Maifitenance/ Planagement

. maintains DED/D

b. updates database definitiohs

c.'maintains database doCumentation

d. devel4s policies and practicei for data usage DATABASE AlMINISTRAPION TASKS RESPONSIBILITY OF: -DBA OTHER

Performantke monitoring ,and evaluation

a. reviews and evaluates perfcirmance .of automated data 'activities

b. reviews andevaluates- procedural data activities

c. initiates system. improvementa (redefinition, restructure. database,,,new procedures, new procurements, etc.)

d. determine.s economics- of data usage (e.g. assesses: of changes)

e. maintainsawareness of the stateofthe art indatabase technology

8. Enforcement

deyelopp.and,administers-databaseconr

trol procedures _ .

b. determinescompliance

standard 'usages ._ ,

N\kk c. is responsible..foraccesscontroland sec.urity of-the database

9. Liaison

a'. -with usersfor assistan tion

b. w*th . systems Ind, applications analysts/progtankners for -information, and compliance withstandards

c. with organizational management

Training

a. users

b. staff

management briefings -and seininars ED IN ICH TASK?

..Data Ease-Management .Systein (DBMS): Data Element Dictionary/Dii-ectory (DED/D) A l Information/Data RetrievalSystems. Ckuirie query systems Data entry syst.esms Editors Flowchart generator Text processors Report generators CrosS.reference- generators Text/file reformatter / Data/fife maintenanceprograms Data editing and .vali.datiQD systems Data auditor 7 Data security Test data generator =Optimizers Automatic Space generator Scheduler Project manager (REV. 7-73) UALOEPT. OF COMM: 1. PUBLICATION.OR REPORT NO. 2.Gov't AftesSiori 3., Recipient's Accession No. BIBLIOGRAPHIC:DATA No. SHEETS . MS, SP500-23- 4.'TITLE AND SUBTITLE -COMPUTER bpimiSc & TECHNOLOGY Publication Date .

_ . Database- Administration: 'March 1978 Conc=.ts, Tools, Experiendes, - and Problems' -. , 6. Performing Orgcnizatioa Code

7. AUTHOR(S) 8. Performing Organ. Report No. elkis Leong Hong and Beatrice Marron 9. PERFORMING ORGANIZATION NAME.AND ADDRESS 10. Project/Task/Work Unit No. - NATIONAL BUREAU OFSTANDARDS r. DEPARTMENT OF COMMERCE - 11. Contract/Grant NO. - WASINGTON,,. D.C. 20234 . . . .. ' . . 12.. Sponsoring Organization Name andComplete Address (Street, City, State, ZIP) .13. Type of Report dt Period It. ... 4, Covered . .

Same as.item' 9. . 14. Sponsoring, Agency Code - _ . ' 15. SUPPLEMENTARY NOTES -...... :. . ,.._,.. s . . ) Library of. Congress Catalog Card NUMber: :. 0 7R-606197 16. ABSTRACT (A 200-wordor less factual sutra:nary of most sippifiCant-inforMacion. If document includesa significant= bibliography or literaturesurvey, mention' it here.) -. ....,..

. . , . . ,, :. --:--

, - - ,.. ,...... _, . . . _In this -rePottheconcepts of database administration, the roleo thedatabase administratbr-(DRA), and.coniputer software toals'us in;database -priminfiStration are described in order to assist datbase .

-teChnologistS,and managers.A study.ofDRA's in the Federal Government . .-t's dStalled:In.tertsor,the functions they perfOrtl. thesoftware tools'

. 'their use, the problems they have encauntered, and` -advicethey offer. . -Fiilallyi some guidelines are presented on.what databaseadmirrist;ration should do, for management,: and whatmanagement.must do for theirDBA's.

. - . . .

. .. 17: KEY WORDS (six-to :twelve:entries; alphabetical order; capitalize only the first lif the first keyword unless a proper r.- . name; separated bisemicoldns) , .. , --

. . . ." .. . . , .Computer saftwaret d abase administration;.database administrator(DBA) ;,. database Management systeM' S);:.-data element-'dictionary /directory (DED/D)..- .. . 18. AVAILABILITY ZUaliznited - 19. SECURITY CLASS 21 NO OF PAGES (THIS REPORT). 0 For Official DiStribution.Do Not Release to NTIS UNCLASSIFIED '48

Order From Sup...of Doe.;US. Government Printing ,Office 20- SECURITY-CLASS . 22. Price .Washington, D.C. 20402,SD Stock No SN003-003.... ' (THIS PAGE). ].Order Froni.Narional TeehriiealInformation Service (NTIS) Springfield, Virginia 22151" . ..;- . UNCLASSIFIED. $2.20 - -