A111D3 DflTb?!

NAri INST OF STANDARDS & TECH R.I.C.

A1 1103089671

QC100 .U57 NO.500-, 28, 1978 C.2 NBS-PUB

DATABASE

ADMINISTRATION:

CONCEPTS, TOOLS,

EXPERIENCES,

AND PROBLEMS

t)-28 %fAU Of "

NBS Special Publication 500-28

U.S. DEPARTMENT OF COMMERCE

National Bureau of Standards
NATIONAL BUREAU OF STANDARDS

The National Bureau of Standards^ was established by an act of Congress March 3, 1901. The Bureau's overall goal is to strengthen and advance the Nation's science and technology and facilitate their effective application for public benefit. To this end, the Bureau conducts research and provides: (1) a basis for the Nation's physical measurement system, (2) scientific and

technological services for industry and government, (3) a technical basis for equity in trade, and (4) technical services to pro- mote public safety. The Bureau consists of the Institute for Basic Standards, the Institute for Materials Research, the Institute for Applied Technology, the Institute for Computer Sciences and Technology, the Office for Information Programs, and the

Office of Experimental Technology Incentives Program.

THE INSTITUTE FOR BASIC STANDARDS provides the central basis within the United States of a complete and consist- ent system of physical measurement; coordinates that system with measurement systems of other nations; and furnishes essential services leading to accurate and uniform physical measurements throughout the Nation's scientific community, industry, and commerce. The Institute consists of the Office of Measurement Services, and the following center and divisions: Applied Mathematics — Electricity — Mechanics — Heat — Optical Physics — Center for Radiation Research — Laboratory Astrophysics- — Cryogenics^ — Electromagnetics'' — Time and Frequency'.

THE INSTITUTE FOR MATERIALS RESEARCH conducts materials research leading to improved methods of measurement, standards, and data on the properties of well-characterized materials needed by industry, commerce, educational insti- tutions, and Government; provides advisory and research services to other Government agencies; and develops, produces, and

distributes standard reference materials. The Institute consists of the Office of Standard Reference Materials, the Office of Air and Water Measurement, and the following divisions:

Analytical Chemistry — Polymers — Metallurgy — Inorganic Materials — Reactor Radiation — Physical Chemistry.

THE INSTITUTE FOR APPLIED TECHNOLOGY provides technical services developing and promoting the use of avail- able technology; cooperates with public and private organizations in developing technological standards, codes, and test methods; and provides technical advice services, and information to Government agencies and the public. The Institute consists of

the following divisions and centers: Standards Application and Analysis — Electronic Technology — Center for Consumer Product Technology: Product Systems Analysis; Product Engineering — Center for Building Technology: Structures, Materials, and Safety; Building

Environment; Technical Evaluation and Application — Center for Fire Research: Fire Science; Fire Safety Engineering.

THE INSTITUTE FOR COMPUTER SCIENCES AND TECHNOLOGY conducts research and provides technical services designed to aid Government agencies in improving cost effectiveness in the conduct of their programs through the selection, acquisition, and effective utilization of automatic data processing equipment; and serves as the principal focus wthin the executive branch for the development of Federal standards for automatic data processing equipment, techniques, and computer

languages. The Institute consist of the following divisions: Computer Services — Systems and Software — Computer Systems Engineering — Information Technology.

THE OFFICE OF EXPERIMENTAL TECHNOLOGY INCENTIVES PROGRAM seeks to affect public policy and process

to facilitate technological change in the private sector by examining and experimenting with Government policies and practices in order to identify and remove Government-related barriers and to correct inherent market imperfections that impede

the innovation process. THE OFFICE FOR INFORMATION PROGRAMS promotes optimum dissemination and accessibility of scientific information generated within NBS; promotes the development of the National Standard Reference Data System and a system of in- formation analysis centers dealing with the broader aspects of the National Measurement System; provides appropriate services to ensure that the NBS staff has optimum accessibility to the scientific information of the world. The Office consists of the following organizational units:

Office of Standard Reference Data — Office of Information Activities — Office of Technical Publications — Library —

Office of International Standards — Office of International Relations.

^ Headqujirters and Laboratories at Gaithersburg, Maryland, unless otherwise noted; mailing address Washington, D.C. 20234.

" Located at Boulder, Colorado 80302. ,
Z 1978

COMPUTER SCIENCE & TECHNOLOGY:

Database Administration:

Concepts, Tools, Experiences, and Problems

Belkis Leong-Hong

and

Beatrice Marron

Systems and Software Division

Institute for Computer Sciences and Technology

National Bureau of Standards

Washington, D.C. 20234

U.S. DEPARTMENT OF COMMERCE, Juanita M. Kreps, Secretary

i Dr. Sidney Harman, Under Secretary

Jordan J. Baruch, Assistant Secretary for Science and Technology

'I/, NATIONAL BUREAU OF STANDARDS, Ernest Ambler, Director

• #

Issued March 1978
Reports on Computer Science and Technology

The National Bureau of Standards has a special responsibility within the Federal

Government for computer science and technology activities. The programs of the

NBS Institute for Computer Sciences and Technology are designed to provide ADP

standards, guidelines, and technical advisory services to improve the effectiveness of

computer utilization in the Federal sector, and to perform appropriate research and

development efforts as foundation for such activities and programs. This publication

series will report these NBS efforts to the Federal computer community as well as to interested specialists in the academic and private sectors. Those wishing to receive

notices of publications in this series should complete and return the form at the end

of this publication.

National Bureau of Standards Special Publication 500-28

Nat. Bur. Stand. (U.S.), Spec. Publ. 500-28,48 pages (March 1978) CODEN; XNBSAV

Library of Congress Cataloging in Publication Data

Leong-Hong, Reikis. Database administration. (Computer science & technology) (National Bureau of Standards

special publication ; 500-28) Supt. of Docs, no.: C13.I0:500-28

1. Data base management. I. Marron, B. A., joint author. II. Title.

III. Series. IV. Series: United States. National Bureau of Standards.

Special publication ; 500-28. QC100-U57 no. 500-28 [QA76.9.D3] 602Ms [658'.05] 78-606197

U.S. GOVERNMENT PRINTING OFFICE

WASHINGTON: 1978

For sale by the Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 20402

Stock No. 003-003-01900-3 Price $2.20
TABLE OF CONTENTS

Page

1. INTRODUCTION 1

2. DATABASE ADMINISTRATION CONCEPTS 2

2.1 Database Administration Functions 3

2.2 The Database Administrator 6

2.2.1 Functional orientation 6

2.2.2 Scope 7

2.2.3 Stage of implementation 7

2.2.4 Organizational Placement 7

3. THE DATABASE ADMINISTRATION TOOLCHEST 8

3.1 DBMS and DED/D 8

3.1.1 Database Management Systems 9

3.1.2 Data Element Dictionary/Directory Systems . 10

3.1.3 DED/D Relationship to DBMS 10

3.2 Other Database Administration Tools 10

4. SURVEY 14

4.1 Background 15

4.2 Functions 16

4.3 Tools 23

4.3.1 Use of DBMS and DED/D 23

4.3.2 Use of Other Database Administration Tools. 25

4 . 4 Problems 25

4.4.1 Non-Technical Problems 25

4.4.2 Technical Problems 26

4.5 Advice 27

5. OBSERVATIONS 28

6. IMPLICATIONS OF DBA COMMITMENT 29

6.1 What Database Administration

Should Do For Management 30

6.2 What Management MUST Do for the DBA 31

-iii-
FIGURES

1. Government DBA's Role in Database Administration

Tasks — Group A 18

2. Government DBA's Role in Database Administration

Tasks — Group B 19

3. Government DBA's Role in Database Administration

Tasks — Group C 20

4. Government DBA's Role in Database Administration

Tasks — Group D 21

5. Availability of Software Tools to Sample DBA

Population • • • • 24

APPENDICES

APPENDIX A — BIBLIOGRAPHY 32

APPENDIX B — DBA INTERVIEW OUTLINE 36

APPENDIX C — DATABASE ADMINISTRATION TASKS —

INTERVIEW OUTLINE 38

APPENDIX D — DATABASE ADMINISTRATION TOOLS —

INTERVIEW OUTLINE 41
ACKNOWLEDGEMENT

We gratefully acknowledge the excellent cooperation of

the Database Administrators who shared their experiences

with us for this study.

E. Blythe

L. Breault

R. Coale

R. Crellin

R. Dyke

J. Ely

I. Feldman

Cpt. Forney

Col. Gerson

G. Hall

J. Lafley

P. McGuire

S. Mikka

C. Tannenbaum

F. Thomas

B. Wells

M. Wills

J. Yienger

Dept. of Defense-- Navy

Dept. of Energy (Formerly ERDA)

Dept. of HEW — Social Security Administration

Dept. of HUD

Civil Service Commission

Dept. of Defense — Navy

Dept. of HUD

Dept. of Defense — DCEC

Dept. of Defense — DCEC

Federal Deposit Insurance Corporation

Dept. of Agriculture

Dept. of Commerce -- NBS

Dept. of Energy (Formerly ERDA)

Dept. of Treasury

Dept. of Defense -- Navy

Dept. of Defense — MILPERCEN

Dept. of Agriculture

Federal Power Commission

We especially appreciate the support of Dr. Dennis Fife,

Chief, Computer Science Section, NBS.

-V-

DATABASE ADMINISTRATION:

CONCEPTS, TOOLS, EXPERIENCES, AND PROBLEMS

Belkis Leong-Hong

and

Beatrice Marron

In this report the concepts of database administration, the role of the database administrator (DBA) , and computer software tools useful in

database administration are described in order to

assist database technologists and managers. A

study of DBA's in the Federal Government is detailed in terms of the functions they perform, the

software tools they use, the problems they have

encountered, and advice they offer. Finally, some

guidelines are presented on what database administration should do for management, and what management must do for their DBA's.

Key words: Computer software; database

administration; database administrator (DBA);

database management system (DBMS) ; data element

dictionary/directory (DED/D)

1. INTRODUCTION

Increased awareness of managers that data is an organizational resource has led to a recognized need for disciplined control of all automated and non-automated data. This

control is embodied in a set of management procedures and

technical functions which is characterized as "database administration". At the present time the term database administration is applied to a conglomeration of duties and

responsibilities for which there exists no standard. There

is much interest in this emerging discipline, both inside

and outside the Federal Government.

The National Bureau of Standards (NBS) is charged

under the provisions of Public Law 89-306 (the Brooks Act)

to assist Federal information managers in their data processing needs. NBS assesses new developments in information

and computer sciences and technologies, in order to help

other agencies apply technological solutions to data

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processing problems. Several recent NBS studies in the data

management area have focussed on software tools such as data

element dictionary/directory (DED/D) systems and database

management systems (DBMS) [1, 19, 26, 27].

In this report, concepts and functions of database administration are examined. Tools useful to the practicing

database administrator (DBA) , and problems common among

DBA's are discussed. Critical needs and common pitfalls are

identified to provide guidance to the database technologist,

the manager, and the new DBA. A bibliography of relevant

literature is included as Appendix A.

To gather experiential data for this study, we consulted DBA's in the Federal Government. These DBA's were very

candid about the problems to be expected in establishing a viable database administration operation, and they provided

insight into the rewards of an effectively controlled database environment. Their cooperation is greatly appreciated.

Although the sample was small and from a specialized community, the observations made are applicable to the entire database community.

2. DATABASE ADMINISTRATION CONCEPTS

Database administration encompasses all the technical

and management activities required for organizing, maintaining and directing the database environment. Throughout this

report "Database" is used to mean "all of the data of the

organization which is organized and controlled using a database technology," or "a systematic methodology for the standardization and integration of data resources at an organization level" [28]. A database environment consists of:

* the database, as defined above, including automated

and non-automated data;

* the database administrator (DBA) , the manager of the

database environment;

* the software tools used in data administration and

data processing; and

* the users of the database.

It should be noted that while a DBMS is a very useful tool

for database administration, the mere usage of a DBMS does

not constitute establishing a database environment.

-2-
The main goals of database administration are: to optimize usage of data in a shared database environment; to

incorporate a systematic methodology for the centralized

management and control of data resources; and to balance

conflicting objectives with respect to the organization's

mission and the overall economy of data handling. Among

the key requirements for effective database administration

are: strong management commitment and support; technically

competent staff; team participation in the database environment by DBA's, management, technical staff, and users; and a well-defined Database Master Plan. This Master Plan must be

developed early, and must include: plans for transition into

a database environment, for staffing, and for acquisition of

systems and services; definition of responsibilities; and

rules and procedures for operation. Significant advantages

that database administration can provide are:

* The database can be better managed, 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 inconsistency can be reduced by

balancing conflicting requirements;

* Data integrity can be improved via standard usages,

increased data reliability, and enforced security restr ict ions

* Increased responsiveness to the various user communities can result from better controlled, and more upto-date data; and

* Economic benefits can be derived from elimination of

unnecessarily duplicative processing.

The degree to which database administration should be

applied depends on the size and complexity of the databases,

and the information needs of the overall organization. However, proliferating databases, overlapping requirements,

lack of data integrity, and duplication of efforts are symptoms of the need for database administration.

2.1 Database Administration Functions

There is wide agreement on the basic functions of database administration. A list of tasks most commonly performed by the DBA was compiled from the literature, and is

presented below [4, 5, 6, 9, 22, 23, 29, 34, 35, 37, 38].

This list of functions is not exhaustive, but it is

-3-
representative.

1. Database definition/ redefinition. The DBA should

identify and define common data elements, define the

relationships between data elements and other components such as programs, files, and systems. The definition of the data elements and the data relationships should be based on a clear understanding of each

participating user community's requirements, as well as

the overall organization's needs. Where possible, the

DBA uses a data definition language to define and

structure the database. It is also in the DBA's purview to define, review and monitor data standards. If

the need arises for changing and re-structuring the database, the DBA should initiate this activity, and

redefine the database, or any part of it to meet changing requirements.

2. Selection and procurement . The DBA should participate in the processes of evaluation, selection, 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 differing needs of the

entire user community. This includes design of the

data structure as seen by the application community,

the storage structure, mapping and search strategies,

and access methods, as well as design of the DED/D and

of support software for creating, maintaining, and

reorganizing the database. If the need arises, redesign

and restructuring activities, encompassing all the elements above are also the DBA's responsibilities.

4. Database creation. Under this function are included

such activities as data collection, database loading

and testing, and implementation of data definitions,

the DED/D and other database support software.

5. Database Security/Integrity . The database security

function is intended to guard against unauthorized access to the database, and unauthorized update, copying,

removal or destruction of any part of the database.

This may be achieved through the use of security locks

and keys, cryptography, 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, dumps, backup

and recovery procedures , and auditing procedures.
6. Database maintenance/management. The DBA should be

responsible for the continued well-being of the database environment. As such, it is his responsibility to

maintain and update database definitions and database

documentation, and to maintain and update the DED/D and

other database support software. The DBA should interpret and administer high level management policies related to the database, and define rules of use and access constraints for the database. In addition, he

should be responsible for review, and approval of new

data definitions and enforcement of data standards.

7. Database performance monitoring and evaluation . Responsibilities should include reviewing, test ing , and

evaluating the performance of automated as well as procedural data activities; initiation of system improvement when indicated; assessment of the impact of

changes; and maintenance of state-of-the-art awareness.

If the performance evaluation and monitoring activities

indicate that the database is no longer effective or

efficient in the present configuration, redefinition,

redesign, and restructuring activities may be undertaken .

8. Database enforcement . Enforcement activities include

determination of compliance with established standard

usages; development of database content, organization,

and storage control procedures; and responsibility for

access control and security of the database, such as

password issuance.

9. Liaison with users, with systems and application

analysts, and with organizational management should

provide information, assistance and guidance on the use

of database facilities, to detect and correct user

problems, and to notify users of changes in system

status

10Training 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 typically performed before the database environment is operational. This category of initiation functions includes such

activities as planning, formulating a Database Master Plan,

performing feasibility studies, personnel staffing, and

negotiating participation in the database environment with

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 the DBA represents

the database administration concepts and procedures to all

participants, and coordinates all database activities among

managers, analysts, systems and application programmers, and

users. Because database administration 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

although the tasks in database administration are performed

by one or more persons, there is usually one person who is

charged with the responsibility for coordinating, controlling and directing activities in the database environment.

This person is generally designated as the DBA.

Although there is agreement on the basic functions of

database administration, there is no standard set of duties

and responsibilities for the DBA. Several factors that influence the definition and extent of the DBA role within an

organization are:

a) functional orientation,

b) scope,

c) stage of implementation, and

d) organizational placement.

All these factors 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 performed and emphasized.

2.2.1 Functional orientation . There are two extremes of

functional orientation:

a. TechnicalTShe DBA manages the database, he has

an extensive technical background, and is responsible

primarily for the technical operation of the database

environment

b. Administrative : The DBA is a manager, who may or

may not have detailed technical background. Usually the

administrative DBA has a staff of technical personnel

that handles the technical day-to-day operations of database administration.

-6-
In practice, none of the DBA's is strictly technical or

strictly administrative, but a combination of the two. As

mentioned before, there is also often a promotional orientation in the DBA function.

2.2.2 Scope. It is inevitable that factors such as the mission of the database administration effort, the database environment, and the size of the organization will have significant influence on the scope of the DBA. Scope can fall

into two categories:

a. Pro j ect-or iented

The project DBA has complete

responsibility and control for all database-related issues pertaining to that project. The project DBA sometimes reports, to an overall-organization DBA. The term

"local" DBA has also been used to refer to the project

DBA.

b. Over all-organizat ion-or iented

The organizational

DBA has complete control and responsibilities for all

database-related issues for the corporate data

resources. Such DBA's are usually placed very high organizationally. The term "global" DBA has also been

used to refer to the organizational DBA.

2.2.3 Stage of implementation. Although stage differentiation is an ephemeral characterization, it is of interest in

the context of differences in the DBA functions. The stages

of implementation are: initiation, design, and operation.

Activities performed by DBA's in each of these stages

will differ in their emphasis. For example, during the initiation stage, activities such as feasibility studies, planning, and system selection will be predominant; as the database administration function progresses to the operational

stages, performance monitoring and evaluation activities,

maintenance and management activities, and efficiency improvement activities will predominate. All the while, the

ten basic functions outlined in the previous section are

performed to some degree.

2.2.4 Organizational Placement. The consensus among data

resource technologists is that the DBA function should be

placed very high organizationally in order to ensure its

success. Three examples of organizational placement are

presented below:

-7-
In the first example, the DBA is located in the

director's office. Placed that highly, the DBA can have a great amount of clout, since the office at least implicitly

has the direct support of executive management. As a part

of the director's staff, the DBA should have access to the

organizational data resources and can exact cooperation from

the line organizations.

A second example is the DBA as a staff position in the

Comptroller's Office. A direct line of communication to the

Comptroller could have great leverage, since the "purse

string" can be used as a lever in assuring compliance to database rules and regulations.

A third example pictures the DBA as a sub-unit of the

data processing shop. This represents the lower end of the

spectrum in organizational placement. As a staff member of

a service unit, the DBA usually would have less authority

organization-wide than in either of the two cases mentioned

above, and can expect less cooperation from the rest of the

organization

3. THE DATABASE ADMINISTRATION TOOLCHEST

There are a great number of software packages available

in the market that can help the DBA. The use of these tools

can have direct impact on all phases of the management and

control of data resources. Two software tools are considered to be greatest in importance in database administration. These are: the Data Element Dictionary/Directory

(DED/D) system, and the Data Base Management System (DBMS)

both of which are discussed below. Then, descriptions of

other database administration tools and auxiliary tools are

presented

3.1 DBMS and DED/D

Database Management Systems (DBMS) and Data Element

Dictionary/Directory Systems (DED/D) are two "core" tools

for the DBA, and complement each other in the management of

the database environment. In fact, many of the benefits

realized from the use of a DED/D are parallel to the ones

attributed to the use of a DBMS. However, it should be noted that while the benefits realized from a DBMS are directly

related to the effective computer processing of the data;

the benefits from a DED/D are directly related to the effective collection, specification and management of the total

-8-
data resources of an organization.

Among the tangible benefits that can be derived from

the use of a DBMS and a DED/D are [19, 27]:

* Sharing of data resources;

* Simple and effective control of the data elements;

* Reduction of data redundancy and inconsistency;

* Enforcement of standard definitions and usages;

* Enforcement of security safeguards and controlled

accessibility to the database;

* Maintenance of data integrity;

* Determination of the impact on the total information activity from changes to data elements;

* Resolution of conflicting requirements;

* Centralization of data elements as an aid in

design and development of new systems; and

* Consistency in documentation for the database.

It should be noted that it is not an absolute requirement that those subscribing to the concepts of database administration must use a DBMS or a DED/D. However, experience

shows that when the database environment becomes operational, plans are made to procure either one or both of these

tools. Some advocate the phased installation of these two

tools, with the DED/D preceding the DBMS. But regardless of

the stage at which these tools are installed, their fundamental importance cannot be overly emphasized.

3.1.1 Database Management Systems . A DBMS is a software

tool that provides an integrated source of data for multiple

users, while presenting different views of the data to different users. It can be characterized as generalized

software which provides a single flexible facility for accommodating different data files and operations, while

demanding less programming effort than conventional programming languages [19]. It features easy access to the data;

facilities for storage and maintenance of large volumes of

data; and most importantly, the capability for sharing the

data resources among different types of users.

-9-
Database Management Systems range from elementary systems with single record structures, providing rudimentary

report formatting facilities, to very elaborate systems handling several files with hierarchical structures, performing

functions in an online mode, and having sophisticated query

and report-writing capabilities.

3.1.2 Data Element Dictionary/Directory Systems. As data

resources continue to grow , it is becoming apparent that

not all data problems are necessarily resolved with the use

of a DBMS, especially, since not all the data is automated.

A recent trend is to use a separate class of automated tools

that provide central control of all data resources in a uniform manner across organizational lines, the Data Element

Dictionary/Directory systems. The DED/D performs some of

the same functions as the DBMS; however, it is different in

that the thrust of the DED/D is to provide control over ALL

the data resources, both automated and non-automated. Since

the design objectives of the DED/D coincide with the basic

goals of database administration, it is not surprising that

the DED/D is one of the basic tools in the DBA toolchest.

Two recent NBS Special Publications survey the state of

the art in DED/D ' s [26, 27].

3.1.3 DED/D Relationship to DBMS. Because DED/D ' s are concerned with the management of data elements, it is logical

that there should exist a strong relationship between a DED/D and a DBMS.

Interfaces enhance the usefulness of both the DBMS and

the DED/D, and in fact, many of the commercially-available

DED/D's provide interfaces to various DBMS ' s . These interfaces provide the user with the ability to [27]:

a) Define the database to the DED/D, capitalizing on

DBMS resources, such as existent, well-defined file

structures and access methods;

b) Generate data element definitions for a DBMS from an

up-to-date DED/D; and

c) Exercise control over the data elements of a DBMS

using DED/D facilities.

3.2 Other Database Administration Tools

Tools which are useful primarily in database administration are described below in terms of their functions. It

is important to note that these software tools may appear as

a single, self-contained piece of software; as a part of

another piece of software; or as a utility or facility of

-10-
DBMS, the DED/D, or the operating system.

Information/Data Retrieval System

An information/data retrieval system (IRS) is a program or set of programs that enables the user to retrieve information in a variety of formats. Some IRS'

operate in batch mode. However, most modern IRS provide interactive (conversational) capabilities, including extensive user-oriented facilities and rapid

response to system commands.

Online Query System

An online query system is a separate set of programs, or a' feature within a DBMS, that enables the

user to obtain information contained in a database interactively.

Data Entry System

A data entry system provides the facilities for

automatic data entry and data collection. Some provide

interactive data entry facilities, allowing for key verification, limited editing, and formatting. Some allow

batch operation to enable massive data loading.

Editor

An editor facilitates selective m.odif ication and

correction of data, program or document text. Special

purpose editors are available, geared towards entry,

modification and editing of data, files, programs, or

texts. Facilities may be provided to edit input transactions against a set of predefined validation criteria.

Flowchart Generator

A flowchart generator produces a pictorial diagram

of the flow of control and logical paths of a computer

program. Narrative documentation may be produced as a side-benefit.

Text Processor

A text processor is a documentation aid that accepts lines of source texts interspersed with format

control commands, and formats the text into a printable, paginated document with a user-designed style.

-11-
Report Generator

A report generator allows automatic generation of

pr e-formatted reports on a production basis, or allows

definition of ad-hoc reports, via parameters. Some rudimentary data manipulation functions may be performed,

and data extraction from an established database may be

possible

Cross-Refer ence Generator

A cross-reference generator for databases produces

listings of data elements used in files, programs and

systems, indicating where data elements are being

referenced. For programs, it produces listings of the

variables (data elements) used in programs,

subroutines, and systems, indicating where they are being referenced.

Text/File Reformatter

A text/file reformatter rearranges and structures

files according to specifications, and rearranges and

structures text and source programs for improved readability. It may provide limited text additions for documentation purposes.

Data/File Maintenance Programs

Data/file maintenance programs perform global

changes for all, or selected, records in a file, while

reporting changes in data content before and after

operations. They may provide data/file edit capabilities, and data items deleted or added may be flagged

for audit trail purpose. Data and file maintenance

programs may be a self contained software package, a set of utility programs provided by the operating system, or a feature of the DED/D or the DBMS.

Data Editing and Validation System

A data editing and validation system provides the

user with the ability to perform data validity tests,

data editing, error correction and error reporting, or

any subset of these tasks. It may be parameter-driven,

so that different edit requirements can be accommodated. These functions may be performed in an entirely

interactive manner, or completely batch, or a combination of the two modes.

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Data Auditor

A data auditor examines source data definitions

and analyzes data relationships, data structures, formats and storage usages for consistency, validity, and

efficient utilization. It may provide a dictionary or

a catalogue that contains definitions of the data attributes, and characteristics of the data type. The

data auditor is available as a self-contained software

product, but it is also available as a feature of the

DED/D or the DBMS.

Data Security

A data security module may provide protection over

sensitive data, by encrypting/decrypting, and by controlling access to the sensitive parts of the database.

Data security can be achieved through encoding and

decoding, or through execution-time password capabilities . Test Data Generator

A test data generator produces test data files according to specifications. The test data can then be

used for testing application software.

Optimize rs

Optimizers apply changes directly to program

source code in order to make them run more efficiently

in terms of reduced run-time, or reduced core requirements. They may perform analysis of the program for

undetected bugs and optimal logical flow.

Automatic Space Generators

Automatic space generators find available space

for programs or files that are awaiting processing.

Schedule r Schedulers allocate available computing resources

in order to optimize the use of resources to daily

workloads. They may produce reports indicating the

areas where optimization of the resources may occur.

-13-
Project Manager

A project manager is a software tool that provides

data collection, storage, and reporting facilities

aimed at personnel time and task accounting. They may

be coupled with PERT packages, and other productivity

and scheduling management aids.

Librarian (program, file, etc.)

Librarians facilitate organized and economical

storage of programs, texts, data sets, and object

modules for centralized retrieval and updates. They

may collect accounting data to assist in storage allocation .

4 . SURVEY

In order to gain insight into the subject of database

administration, it was decided to go into the ADP community,

and talk to people who perform the functions of database administration. The study was limited to in-depth conversations 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-- NBS

Department of Defense-- DCEC

Department of Defense-- MILPERCEN

Department of Defense-- NAVY

Department of Health Education and Welfare--

-- Social Security Administration

Department of Housing and Urban Development

Energy Research and Development Administration

Federal Deposit Insurance Corporation

Federal Power Commission

Treasury Department

There is usually more than one person in an organization performing database administration functions, and in

fact, often several members of the organization were present

at our meetings, presenting us with a broader and more objective picture of database administration within that organization. The discussions were conducted using a structured approach, but on an informal level. An outline had

been prepared and is included as Appendix B. The DBAs were

-14-
given lists of the functions, and tools discussed in the

previous sections; these lists are included as Appendices C

and D.

The discussions were organized in five areas: background, tasks, tools, problems, and advice; and this section

follows that scheme. A composite case study is presented,

rather than individual case studies. Similarities and

differences are analyzed in terms of the DBA functional

orientation, scope, stage of implementation and organizational placement.

4.1 Background

A summary profile of our sample of Federal DBA's follows : There is not yet within the Government a position classification entitled "Database Administrator." All of the

DBA's interviewed have a Civil Service Commission classification of "Computer Specialist," "Database Analyst," or

"Computer Systems Administrator," which falls in the GS-334,

330, or 301 classification series. Some had the classification sub-title of DBA. In more than half the cases, the

person's organizational title is DBA. The interviewees were

equally divided between male and female. They consider

themselves administrators, although they usually have a technical/computer background. The lead person is rated

GS-13 to GS-15.

The support staff averages 6 in number, and includes

both administrative and technical personnel. The staff's

training is usually technical, enhanced by vendor-provided

courses, and supplemented by users groups meetings and conventions .

75% of those interviewed consider themselves over-all

organization-oriented rather than project-oriented; one half

of these had other project-oriented DBA's reporting to them.

There were varying degrees of control over project information .

In about 40% of the cases, the DBA function was operational; the rest were in various stages of initiation,

design and development. Those that were operational had

been in existence from 1-1/2 years to 4-1/2 years. The date

of creation of the function frequently was preceded by extensive unofficial initiation activities, ranging from 12 to

18 months. Those that were in the initiation phases were 6

to 12 months old. It is interesting to note that in those

cases where the database administration function is

-15-
operational rather than in the initiation phase, the chief's

title is more often DBA, and the grade level is at the

higher end of the range.

Those that were in the initiation stages viewed their

database administration functions as being technical rather

than administrative. Those that have been operational for

longer periods, viewed their functions as being both administrative and technical. Further, those with an operational

status usually have a Database Master Plan, a better idea of

what the DBA tasks involve, and fairly well-defined responsibilities . The database administration activity is usually located

within the data processing/information management area of an

organization; it is most often separate from, but on a par

with, the computer operations activity. Sometimes, there is

a tie to the comptroller's office, or to the office of the

director for administration.

Reasons cited for creating the database administration

function fall into two categories:

(1) General commitment to database and database concepts,

i.e., looking at things that would help in data management, fulfilling a Database Master Plan, pooling data

resources, and concentrating database expertise in-house.

(2) To solve specific problems, such as data redundancy,

no data standards, poor data access, and inadequate data

control

4.2 Functions

The ten major tasks discussed in section 2 are grouped

here, for analysis, as follows:

A. Definition, Design, Implementation;

B. Maintenance/Management, Performance Monitoring and

Eval uat ion

C. Security/Integrity, Enforcement;

D. Selection/Procurement, Liaison, Training.

The order in which these appear do not indicate their relative importance or life cycle position.

Barcharts depicting the government DBA role in database

administration tasks are presented in figures 1-4. There is

a barchart for each of the groupings cited above.

The following legend applies to all the bar-charts:

-16-
Direct responsibility: indicates a major role;

Coordinating role : ranges from strong participation in

a team effort to an advisory/consulting role;

Othermeans that other groups within the overall organization perform this function;

Not applicable: tasks are not relevant to the organization .

It should be noted that the legend items on the barcharts are not mutually exclusive. Even when direct responsibility for a specific task was claimed, there was some

measure of consultation or team effort reported. When "Other" is noted, it may mean a standards group, a computer

operations group, or an end-user performs this function.

"Not Applicable" means the activities are not being performed at the present time by anyone in that organization.

For example, if a DED/D does not exist in an organization,

none of the activities related to the DED/D are applicable.

We report the DBA's statements regarding direct responsibility and coordinating role, but realize that there is often

only a small discernible difference between the two roles.

-17-
FIGURE 1 GOVERNMENT DBA ' S ROLE IN DATABASE ADMINISTRATION TASKS — GROUP A

Elements

o

^ >

M 1-3 Relationships ^>

M GO O M

KEY

Standards

Database

Structure

o

a >

DED/D Design

M w

o >

Support

Software

direct responsibility!

of DBA

coordinating/consult is

role ! done by others

I I not applicable

Data Collection m^msmmmkim^m^^s^m^

1^

Implements

Definitions

Implement s DED/D

Imp lements

mi

>

Support Software g 55 ^j. sample O

-18-
FIGURE 2

GOVERNMENT DBA ' S ROLE IN DATABASE ADMINISTRATION TASKS—GROUP B

DED/D

DB Definitions g

M

1-3

>

>

CO>

COw

>

DB Documentation

>

Policies & Practice

KEY

direct responsibillt

of DBA

SS^ol coordinating/consult

role

done by others

not applicable

Automated

Activities

Procedural

Activities

Initiates

Improvements

Economic

Assessments

State-of-theart

o

SI

>

>

o -s^ 3% of sample o

o

-19-
FIGURE 3

GOVERNMENT DBA ' S ROLE IN DATABASE ADMINISTRATION TASKS GROUP C

Integrity Checks

& Validation Rules

Failsafe

Auditing

Audit Trails

Q

M

k!

COMO

KEY

direct responsibility

of DBA

coordlnatlng/consultli

role

done by others

I I not applicable

Authorization/

Password

Database Control

Compliance

Access Control

o

o

w

M

h3

o % of sample o

o

-20-
FIGURE 4 GOVERNMENT DBA ' S ROLE IN DATABASE ADMINISTRATION TASKS—GROUP D

Hardware

Software

Services

•D CO o tr' o m G o

SI 1^ M M

s o

1^ R°

KEY

direct responsibility

of DBA

coordinating/ consulting

role

done by others

With Analysts

not applicable

With Users

>

M

COO

2

With Management

Users

M

Technical Staff ^^^^^

Management

o % of sample o

o

-a-
In addition to being asked to identify which tasks they

performed, the DBA's were asked to identify tasks "most often performed" and tasks deemed "most important." The term

DBA here means the DBA team. The following patterns were

observed in the sample.

* In 75% of the activities, the DBA either has direct

responsibility, or a coordinating role. The notable

exception is in the area of data collection. Those

surveyed indicated that the task of collecting data was

performed or overseen by other than the DBA. Data collection was included among the DBA tasks because it was

so reported in the literature. A possible explanation

for this discrepancy is that the literature reports on

industry experience, whereas our sample covers Federal

DBA's only.

* In database maintenance/management and database performance monitoring/evaluation activities, the DBA has either direct responsibility or coordinating responsibility in 75% of the sample population.

* There is a very small role reported in the database documentation area, although the responsibility clearly

lies within the DBA's domain.

* Although liaison, selection/procurement, enforcement,

security/integrity, and training activities are almost

universally the direct responsibility or strong coordinating responsibility of the entire sample, those activities were, however, seldom reported as being "most

often performed" or deemed "most important."

* "Most often performed" tasks were: design, implementation, and maintenance/management, followed closely by

definition and performance monitoring/evaluation activities. Judged "most important" tasks were: design,

implementation and definition, in that order. Admittedly, since many activities are time- and stagedependent, it is difficult to analyze these responses.

Very often, the answer to "most often performed" did

not correspond with the answers to deemed "most important."

* Other tasks mentioned included planning, scheduling, document preparation, user requirements definition, and

applications development.

* It is important to point out that the activities that

were noted as being "most important" and "most often

performed" are the technical activities within the DBA

functions. Although the DBA's interviewed claimed that

-22-
they were more administrative than technical in nature,

in fact, the analysis based on their responses to "most

often performed" and "most important" indicate their

technical inclination.

4.3 Tools

Although there are many generalized software packages

available for sale or lease, some DBA's reported that they

chose to build their own software, either because they required special capabilities, because the commercial software

was unavailable to them, or because they felt they could

build better or cheaper tools in-house.

The availability of software tools to the sample DBA

population is summarized in figure 5. This availability is

reported in two categories, commercial software and in-house

developed software. Within each of these categories, distinction is made between "free-standing" and "feature of

other tool." "Free-standing" means that the tool is a selfcontained software package; "feature of other tool" means

the tool is a capability within another software system,

such as a DBMS, a DED/D, or an operating system. The entries in the table are the percentages of DBA's who reported

that these tools were available. It should be noted that

although tools may be reported as available, they are not

necessarily used by the database administration group.

4.3.1 Use of DBMS and DED/D . 92% of the DBA's reported the

usage of a DBMS, and the remaining 8% is in the process of

procuring one. More than half actually have more than one

such system. All have purchased or leased commercial

software; sometimes they also have in-house developed systems .

92% of the DBA's reported the usage of a DED/D, and the

remaining 8% has plans for procuring one in the future. 75%

of the DED/D ' s are in-house developed software.

It is not surprising that there is almost total use of

these two tools, since they are by far the two most important tools in database administration.

-23-
FIGURE 5

AVAILABILITY OF SOFTWARE TOOLS TO SAMPLE DBA POPULATIONi

TOOLS C0M*1ERCIAL SOFTWARE 1 IN-HOUSE SOFTWARE 1 NOT 1 AVAIL 1 (% AVAILABILITY) | (% AVAILABILITY) |

FREE- 1 STAiSiDING 1

FEA'IURE 1 OF OT'HERl

TOOL 1

FREESTAl>iDINGFEATURE 1 OF OTHER

TOOL 1

DBMS 92 1 8 1

DED/D 25 1 67 8 1

Information Retrieval System 42 1 50 1 8

Online Query System 33 1 50 1 8 8 1

Data Entry System 50 1 17 1 8 25 i

Editor 50 1 25 25 1

Flowchart Generator 50 1 17 1 8 25 1

Text Processor 33 1 25 1 8 33 1

Report Generator 58 1 42 1

Cross Reference Generator 33 1 33 1 17 1 17 1

Text/File Reformatter 17 1 50 1 8 25 1

Data/File Maintenance 8 1 58 1 25 8 1

Data Editing/Validation 8 1 33 1 42 17 1

Data Auditor 8 1 42 1 17 33 1

Data Security 25 1 50 1 8 17 i

Test Data Generator 17 1 8 1 25 50 1

Optimizer 25 1 17 1 58 1

Automatic Space Generator 17 1 67 1 17 1

1 Scheduler 83 1 17 1

1 Project Manager 1 50 1 8 1 8 33 1

1 Librarian 1 50 1 42 1 8

NOTE: The entries are the percentages of DBA's who reported these

tools as available.

-24-
4.3.2 Use of Other Database Administration Tools. The tools

Tn this section are frequently features of other systems,

especially operating systems and DBMS. As such, this group

of tools is predominantly reported as being other than inhouse developed.

All the tools except the test data generator were reported generally available. Everyone had a report generator

and an information retrieval system in the toolchest. Online query systems and data/file maintenance systems were

next in number*, followed closely by data editing and validation systems and cross reference generators. 75% reported

they have data entry systems, editors, flowchart generators,

and text and file reformatter s . Most report also the use of

text processors and data auditors. Although flowchart generator was a tool that is among those reported most generally available to the DBA, in fact, the DBA's claim it is seldom used

It is difficult to draw conclusions from figure 5, for

although a pattern of availability exists, the amount of actual usage in the performance of database administration

functions cannot be generalized.

4.4 Problems

The DBA's were asked to discuss problems they encountered during the course of implementing database administration functions in their organization. Responses varied from

"it is too early to tell," to lurid details of specific situations. Problems are summarized in two categories: nontechnical problems and technical problems.

4.4.1 Non-Technical Problems. Non-technical problems usually

had to do with lack of management commitment, jurisdictional

questions, data ownership disputes, power struggles, poor

communication, inadequate training, and high costs. Several

specific problems are noted below:

* Lack of commitment to database administration concepts at different management levels;

* Management hesitant to commit manpower and money to

internal] y-or iented , non-visible projects;

* Unreasonable management demands;

* Lack of decision-making power for the DBA;

* Lack of enforcement power for the DBA;

-25-
* Unresolved jurisdictional problems, especially when

different groups perform database administration tasks;

* Unclear definition of responsibilities of DBA's,

analysts, users^ and management;

* Frequent reorganization causing instability in control of data;

* Undefined ownership and control of data, especially

between users and DBA;

* DBA concepts conflict with service center concepts;

* Failure to establish effective communication lines

between DBA's, technical staff, and management;

* Insufficient communication between DBA's and users

with respect to data errors and availability of help;

* Decision-making management not knowledgeable in technological state-of-the-art;

* Lack of training and understanding of database concepts and DBMS by users and technical staff.

* Lack of experience in database technology.

* Skepticism with respect to the success of database

administration practices;

* Resistance of analysts and programmers to DBA interference ;

* Excessive procurement constraints on purchase of

hardware, software, and services;

* Inadequate cost-benefit analyses regarding implementing DBMS vs. conventional programming, and in evaluating in-house vs. commercial software.

* High cost of hardware, software, services, technical

staff, training, and vendor support;

4.4.2 Technical Problems . Technical problems tend to be

specific to each organization, but some general problem

areas are noted below:

* Generalized systems sometimes too general for specific applications; tailored systems sometimes too inflexible for changing needs;

-26-
* Commercial software sometimes not available for existing hardware;

* Hardware/software limitations and interface problems;

* Absence of shared databases in spite of DBMS usage;

* DBMS used as a file control mechanism rather than a database administration tool;

* Inability to assure reliability of data;

* Lack of organizational data standards;

* Poor system and software documentation;

* Poor vendor technical support;

* Too much dependence on vendor support;

* Non-availability of commercial software source code.

4.5 Advice

The following advice was offered by the practicing

DBA's to those about to establish this function. Much of

this advice is based on hindsight and may be applicationspecific. However, it should be helpful to future DBA's

since it is based on actual experience.

* Get complete management support, and get it early;

* Establish a strong organization, with good lines of

communication

* Have a good Database Master Plan;

* Be flexible, and adaptable to change;

* Develop credibility;

* Be a combination of a good technician and a good politician ;

* Involve the users in planning;

* Hire staff with strong database technology background, and system software experience;

* Develop strong training program for staff, users and

management

-27-
* Agree on standards first before designing a system;

* Design a total system, but implement it in segments;

* Experiment with different approaches;

* Implement a DED/D early;

* Consider the usage of a DBMS early;

* Do benchmarks when possible;

* Don't try to do too much at once;

* Be patient. It may be a long time before you see

results

5. OBSERVATIONS

In the Federal Government, interest has been increasing

both with respect to database administration, and to the two

most basic database administration tools, the DBMS, and the

DED/D. There is a Federal Information Processing Standards

Task Group on Data Base Management System Standards (TG-24)

and a Federal Information Processing Standards Task Group on

Data Element Dictionaries/ Directories (TG-17)

A recent trend is to utilize existent software tools to

perform automatable functions. The software industry has

developed new tools and fine-tuned existing ones to the extent that today, there is a proliferation of software tools

that can help the DBA. In addition, a number of university

projects are focusing on database software tools. The DBA

toolchest discussed in this report provides the technical

means for implementing a database environment.

All the DBA's interviewed reported that the two

software tools they use most are the DBMS and the DED/D.

This overwhelming response is expected, since the utilization of these two very basic database administration tools

supports an effective, efficient and secure database.

Organizational placement influences the effectiveness

of the DBA. The closer the DBA is to executive management,

the stronger the influence he can exert on database administration practices in the organization.

-28-
Organizations with a long-established DBA function frequently have adopted a "project team" approach, with considerable user involvement.

Organizations that have developed a strong Database

Master Plan have a smoother transition into the database environment. Their database functions are better defined, and

many of the non-technical problems are more readily

resolved

Expertise in computer technology as well as in database

technology, and administrative skills are essential for the

DBA and his staff. In addition, the political nature of the

position requires diplomatic finesse.

Organizations that have established good public relations within the database administration area have profited

from fewer disagreements and confrontations between DBA's,

users, staff, and management. When the liaison function is

strongly coupled to a good database technology training program for staff, users, and management, fewer non- technical

and technical problems arise.

Stage of implementation is a temporary distinction,

for, as development progresses, the functional characteristics converge. Thus, it is not surprising that "operational" activities are better organized, have larger staffs,

have higher grades, and have better-defined plans than activities in the initiation stages.

It is interesting to note that although the advice offered by practicing DBA's is specifically concerned with database administration, it is remarkably similar to the advice offered to software managers [15]

6. IMPLICATIONS OF DBA COMMITMENT

The decision to implement database administration functions in an organization must be weighed in the context of

the organization's needs and resources. Ideally, feasibility

studies and cost-benefit analyses should be conducted to

determine whether or not to adopt the database approach

[13] . If these analyses indicate the establishment of a database administration function, then a good "Database Master

Plan" should be prepared, which includes the components of

the database environment, the mechanics of implementation,

definition of responsibilities and authority, and rules and

procedures

-29-
Although the incorporation of database administration

concepts does not solve all database problems automatically,

a wel 1- implemented DBA function can do much to improve the

management and control of an organization's data resources.

There are two dimensions to a successful implementation of

database administration functions: the advantages to management, and the commitment that management must provide. What

database administration should do for management is discussed below. In order to ensure the success of the DBA

function, the highest level management must give full support to database administration. A discussion of what

management must do for the DBA concludes this report.

6.1 What Database Administration Should Do For Management

Adopting database administration concepts can improve

an organization's effectiveness, since a focal point is established for the responsibility, the management, and the

control of the total data resources. Some of the advantages

to management of having a strong database administration

function are detailed below:

* A controlled database environment can help assure efficient performance and increased operational reliability

in the manipulation of data. It can promote data integrity; encourage standard data usages; enforce security safeguards; ensure controlled accessibility; and

balance conflicting requirements.

* Centralization of data resources can result in shared

databases, and encourage effective specification and

management of the total organizational data resources.

Design and development of database application systems

can be improved through the use of the DBA software

toolchest. Consistent and timely documentation can be

enforced through the application of uniform rules and

procedures

* Uniform database monitoring can facilitate a total organization overview of all data resources. It can help

in managing the growth and changes occurring in the databases, by ensuring that the growth is anticipated and

controlled. Optimization of database utilization can

result from enforced shared data resources. Reorganization, redesign, and restructuring activities can be

performed centrally for the entire organization, as

these become necessary.

* Reduced cost of computer operations can result from the

elimination of unnecessary duplication in collecting,

processing, and disseminating data. Further, timely and

-30-
up-to-date reports can help management in making costeffective decisions.

6.2 What Management MUST Do for the DBA

Once it has been decided to adopt database administration concepts, full commitment and support must be given by

the highest level management to the Database Administrator,

since the implementation of these concepts affects the entire organization. This commitment and support must be expressed in the form of:

* Authority : The DBA must be given the authority to

make decisions and the power to implement any required

changes. One of the ways in which this authority could

be ensured, is to place the DBA very high organizationally.

* Definition of Responsibilities : The DBA's responsibilities must be clearly defined, preferably in a formal document such as a charter. This is essential if

later jurisdictional disputes are to be avoided.

* Compliance Power : The DBA must be given the power

to enforce the rules and regulations associated with

the implementation of database administration concepts.

* Resources : The DBA must be given the necessary

resources to carry out his functions, including staff,

time, money, and equipment.

-31-
APPENDIX A

BIBLIOGRAPHY

[ 1] Berg, John L. , editor, "Data Base Directions — The

Next Steps," NBS Special Publication 451, September

1976.

[ 2] Bontempo, Charles J. and David G. Swanz, "Data

Resource Management," First National Symposium on the

Management of Data Elements in Information Processing , January 1974, pp. 29-36.

[ 3] Branch, D.R.C., "Support Your Local Data Administrator," Journal of Systems Management, vol. 26, no. 11,

November 1975, pp. 6-12.

[ 4] Canning, Richard G. , editor, "The Data Administrator

Function," EDP ANALYZER, vol. 10, no. 11, Canning Publications, Inc., November, 1972.

[ 5] Clark, Richard J., "The Data Base Administrator: Part

1, " EDP In-Depth Reports, vol. 3, no. 12, August 1974.

[ 6] Clark, Richard J., "The Data Base Administrator: Part

2, " EDP In-Depth Reports, vol. 4, no. 1, September

1974.

[ 7] CODASYL Data Base Task Group, "Data Base Task Group

Report to the CODASYL Programming Language Committee,"

October 1969, pp. 2-7 - 2-8.

[ 8] CODASYL Data Base Task Group, "Data Base Task Group

Report to the CODASYL Programming Language Committee,"

April 1971, pp. 22-23.

[ 9] CODASYL Systems Committee, "Feature Analysis of Generalized Data Base Management Systems," CODASYL Systems Committee Technical Report, May 1971, Section 8,

pp. 441-453.

[10] Cohen, Leo J., "Data Base Management Systems — A Critical and Comparative Analysis," Performance Development Corporation and Q.E.D. Information Sciences,

Inc., March 1973, pp. 5-39 to 5-43.

[11] Curtice, Robert M. , "Some Tools for Data Base Development," DATAMATION, July 1974, pp. 102-106.

[12] Davis, Ruth M. , "A Focus on the Role of the Data

Manager," Second National Symposium on the Management

-32-
of Data Elements in Information Processing ^ October

1975, pp. 57-60.

[13] Deutsch, Donald R. , Elizabeth Fong , and Joseph Collica, "Cost Considerations for Database Management Systems," Proceedings of Specialist Study on Computing

Techniques: The Use of Generalized Data Management

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[14] Dyke, Ruth P., "Data Base Master Plan," Journal of

Systems Management, July 1976, pp. 11-13.

[15] Fife, Dennis W. , "Computer Software Management: A Primer for Project Management and Quality Control," NBS

Special Publication 500-11, July 1977, 49 pages.

[16] Federal Information Processing Standards Publication

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X3 Technical Report, X3/TR-1 — 77, 1977 September),

National Bureau of Standards, September 30, 1977.

[17] Federal Information Processing Standards Task Group

17, "Executive Guide to the Management of Data

Resources," (To be published January 1978).

[18] Federal Information Processing Standards Task Group

17, "Guidelines for the management of Data Resources,"

(To be published January 1978).

[19] Fong , Elizabeth, Joseph Collica and Beatrice Marron,

"Six Data Base Management Systems: Feature Analysis

and User Experiences," NBS Technical Note 887, November 1975.

[20] Gerson, Gordon M. , "Why Not a Federal Data Base Administrator," 39th Annual ASIS Conference, October,

1976.

[21] Gomes da Costa, David, "Concept of Data Resource

Management Vital to DBMS," Computerwor Id , September

24, 1975, p. S/12.

[22] GUIDE Report for the Data Base Administration Project:

"The Data Administrator: Catalyst of Corporate

Change," Draft Report, October 1, 1974, 53 pages.

[23] GUIDE Report for the Data Base Administration Project:

"The Data Base Administrator," November 3, 1972, 76

pages

-33-
[24] Heard, Edwin L. , "Thinking About Database Costs," Computer Decisions, October, 1977, pp. 25-34.

[25] Hochman, Aaron, "Principles and Concepts of Data

Resources Management System Development," Second National Symposium on the Management of Data Elements in

Information Processing , October 1975, pp. 91-98.

[26] Institute for Computer Sciences and Technology, NBS,

"A Survey of Eleven Government-Developed Data Element

Dictionary/Directory Systems," NBS Special Publication

500-16, August, 1977, 106 pages.

[27] Leong-Hong, Belkis and Beatrice Marron, "Technical

Profile of Seven Data Element Dictionary/Directory

Systems," NBS Special Publication 500-3, February

1977, 45 pages.

[28] Lewis, Charles J., "Understanding Database and Data

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September, 1977, pp. 36-42.

[29] Lyon, John K. , The Database Administrator , Wiley Interscience Publications, John Wiley & Sons, Inc., New

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[30] Minami, Warren N., "Data Administration: Key to Better

Management," Journal of Systems Management, vol. 27,

No. 5, May, 1976, pp. 40-44.

[31] National Bureau of Standards, "CODASYL Data Description Language," NBS Handbook 113, Journal of Development, June, 1973. pp. 2.13-2.15.

[32] Nerad, Richard A., "Data Administration as the Nerve

Center of a Company's Computer Activity," Data Management, October 1973, pp. 26-31.

[33] Robinson, Stephen L., "Data Administrator Duties

Differ from DBA's," COMPUTERWORLD , September 26, 1977,

pp. 24-25.

[34] Ross, Ronald G., "Placing the DBA," Journal of Systems

Management, vol. 27, No. 5, May, 1976, pp. 25-33.

[35] SHARE, Inc., "Establishment of a Data Base Administration Function," SSD no. 246, June 4, 1974.

[36] Sobczak, J.J., "A Data Base Story," DATAMATION, September 1977, pp. 139-150.

-34-
[37] Stieger, W.H., "Data Administration Functions," Papers

prepared for CODASYL Systems Committee, July, 1970.

(These can be obtained by writing to Dr. Stieger at:

2745 Edgehill Rd . , Cleveland Heights, OH 44106).

[38] Winkler, Major Anthony J., Major Robert J. Tufts, Major Donald G. Pursley, Mr. Jack Catalano, Major John

A. Zingg, System Survey Team, "The Data

Administrator's Handbook," NTIS number AD/A-021 659,

January 1976.

-35-
APPENDIX B

DBA INTERVIEW OUTLINE

1. What is the DBA function in your organization called?

2. Where is this function located organizationally?

3. Are there other DBAs not in your group, but in your organization?

4. Is the function project-oriented or overall

organization-oriented?

5. Is it primarily administrative or primarily technical?

6. How many people are in the group? Do they work at this

task full-time or part-time? Are they technical or administrative types? What specific training in database management do they have?

7. When was this position/function created?

8. What was the purpose in creating it?

TASKS

9. From the attached list of functions performed by DBA's,

check those which are performed by your group. (If performed by a different group, indicate this.)

10. Additions to this list?

11. Rank the 3-5 major categories of tasks most often performed .

12. Rank the 3-5 major categories of tasks you deem most important .

TOOLS

13. Describe the hardware/software environment.

14. Check on the list of tools those that are used in data

administration, and whether you bought, leased or built

them

15. Is our list of tools complete?

-36-
16. Are there other tools you use? (Include non-automated

tools .

)

17. If more than 1 DBMS is used, are they administered by

the same DBA group?

PROBLEMS

18. What non-technical problems did you encounter? (organizational, jurisdictional, resistance...)

19. What technical problems did you encounter?

(hardware/software/DBMS incompatibilities, nonavailability . . .

20. What would you have done differently, given the chance

now?

21. Are the 'database commitment' and DBA concept firmly entrenched in your organization?

22. What advice would you offer to a new DBA, based on your

exper ience?

23. Do you know other DBA's in the Government?

-37-
APPENDIX C

DATABASE ADMINISTRATION TASKS ~ INTERVIEW OUTLINE

DATE:

NAME : TITLE

AGENCY:

DATABASE ADMINISTRATION TASKS RESPONSIBILITY OF:

DBA OTHER

1. Database definition / redefinition

a. defines data elements

b. defines relationships among elements,

programs, reports, etc.

c. defines data standards

2. Selection / Procurement

a. hardware

b. software

c. services

3. Database design / redesign

a. structures database (including designs

of mapping and search strategies)

b. designs DED/D

c. designs database support software

-38-
DATABASE ADMINISTRATION TASKS RESPONSIBILITY OF:

DBA OTHER

4. Database creation

a. collects data

b. implements data definitions

c. implements the DED/D

d. inplements database support software

5. Integrity/ Security

a. designs and develops integrity checks to

the system (including validation rules)

b. implements failsafe procedures (backup

and recovery)

c. specifies and implements audit trails

and loggings (e.g., recording of the updates and changes to the database)

d. defines auditing requirements

e. provides security authorization and assigns passwords

6. Maintenance/ Management

a. maintains DED/D

b. updates database definitions

c. maintains database documentation

d. develops policies and practices for data

usage

-39-
DATABASE ADMINISTRATION TASKS RESPONSIBILITY OF:

DBA OTHER

7. Performance monitoring and evaluation

a. reviews and evaluates performance of au- tomated data activities

b. reviews and evaluates procedural data

activities

c. initiates system improvements (redefinition, restructure database, new procedures,

new procurements, etc.)

d. determines economics of data usage

(e.g., assesses impact of changes)

e. maintains awareness of the state of the

art in database technology

8. Enforcement

a. develops and administers database control procedures

b. determines compliance with established

standard usages

c. is responsible for access control and

security of the database

9. Liaison

a. with users for assistance and information

b. with systems and applications

analysts/programmers for information, and

compliance with standards

c. with organizational management

10. Training

a. users

b. staff

c. management briefings and seminars

-40-
APPENDIX D

DATABASE ADMINISTRATION TOOLS ~ INTERVIEW OUTLINE

TOOLS NAME USED IN

WHICH TASK?

Data Base Management System (DBMS)

Data Element DictionaryA'ir'ectory (DED/D)

Information/Data Retrieval Systems

Online query systems

Data entry systems

Editors

Flowchart generator

Text processors

Report generators

Cross reference generators

Text/file reformatter

Data/file maintenance programs

Data editing and validation systems

Data auditor

Data security

Test data generator

Optimizers

Automatic Space generator

Scheduler

Project manager

Librarian (program, file, etc.)

-41-

NBS-114A (REV. 7-73)

U.S. DEPT. OF COMM. BIBLIOGRAPHIC DATA

SHEET

1. PUBLICATION OR REPORT NO. NBS SP 500-28

2. Gov't Accession

No.

3. Recipient's Accession No.

4. TITLE AND SUBTITLE

COMPUTER SCIENCE & TECHNOLOGY

Database Administration: Concepts, Tools, Experiences,

and Problems

5. Publication Date March 1978

6. Performing Organization Code

7. AUTHOR(S)

Belkis Leong-Hong and Beatrice Marron

8. Performing Organ. Report No.

9. PERFORMING ORGANIZATION NAME AND ADDRESS

NATIONAL BUREAU OF STANDARDS

DEPARTMENT OF COMMERCE

WASHINGTON, D.C. 20234

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Same as item 9.

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15. SUPPLEMENTARY NOTES

Library of Congress Catalog Card Number: 78-606l97

16. ABSTRACT (A 200-word or less factual summary ol most sigfiificant information. If document includes a significant

bibliography or literature survey, mention it here.)

In this report the concepts of database administration, the role of

the database administrator (EBA), and computer software tools useful

in database administration are described in order to assist database

technologists and managers. A study of DBA's in the Federal Government

is detailed in terms of the functions they perform, the software tools

they use, the problems they have encountered, and advice they offer.

Finally, some guidelines are presented on what database administration

should do for management, and what management must do for their DBA's.

il7. KEY WORDS (six to twelve entries; alphabetical order; capitalize only the first letter of the first key word unless a proper name; separated by semicolons)

J Computer sof tt'jare; database administration; database administrator (DBA) ; database

I management system (DBMS); data element dictionary/directory (DED/D) .

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