FEDERAL INFORMATION PROCESSING STANDARDS PUBLICATION

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REFERENCEU.S. DEPARTMENT OF COMMERCETechnology AdministrationNational Institute of Standards and TechnologyFIPS PUB 193ItL'SFEDERAL INFORMATION PROCESSING STANDARDS PUBLICATIONSQL ENVIRONMENTSCategory:Software StandardFIPS PUB 1931995 FEBRUARY 3. A8A3NO.1931995Subcategory:Database

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FIPS PUB 193FEDERAL INFORMATION PROCESSING STANDARDS PUBLICATIONSQL ENVIRONMENTSCategory:Software StandardComputer Systems LaboratoryNational Institute of Standards and TechnologyGaithersburg, MD 20899-0001Issued February 3, 1995U.S. Department of CommerceRonald H. Brown, SecretaryTechnology AdministrationMary L. Good, Under Secretary for TechnologyNational Institute of Standardsand TechnologyArati Prabhakar, DirectorSubcategory:Database

ForewordThe Federal Information Processing Standards Publication Series of the NationalInstitute of Standards and Technology (NIST) is the official publication relating tostandards and guidelines adopted and promulgated under the provisions of Section111 (d) of the Federal Property and Administrative Services Act of 1949 as amended bythe Computer Security Act of 1987, Public Law 100-235. These mandates have given theSecretary of Commerce and NIST important responsibilities for improving the utilizationand management of computer and related telecommunications systems in the FederalGovernment. The NIST, through its Computer Systems Laboratory, provides leadership,technical guidance, and coordination of Government efforts in the development of stan dards and guidelines in these areas.Comments concerning Federal Information Processing Standards Publications arewelcomed and should be addressed to the Director, Computer Systems Laboratory,National Institute of Standards and Technology, Gaithersburg, MD 20899.James H. Burrows, DirectorComputer Systems LaboratoryAbstractAn SQL environment is an integrated data processing environment in which hetero geneous products, all supporting some aspect of the FIPS SQL standard (FIPS PUB127), are able to communicate with one another and provide shared access to data anddata operations and methods under appropriate security, integrity, and access controlmechanisms. Some components in an SQL environment will be full-function SQL imple mentations that conform to an entire level of FIPS SQL and support all of its requiredclauses for schema definition, data manipulation, transaction management, integrityconstraints, access control, and schema information. Other components in an SQL envi ronment may be specialized data repositories, legacy databases, or graphical userinterfaces and report writers, all of which support selected portions of the SQL standardand thereby provide a degree of integration between themselves and other products inthe same SQL environment. This FIPS PUB is the beginning of a continuing effort todefine appropriate conformance profiles that can be used by both vendors and users tospecify exact requirements for how various products fit into an SQL environment. Theemphasis in this first publication is to specify general purpose, SQL external repositoryinterface (SQL/ERI) server profiles for non-SQL data repositories. Two major SQL/ERlServer Profiles are specified: read-only and read-write. To make it easier to specifyintegration among heterogeneous, non-SQL data models, this specification defines anew minimal level of the SQL language that can be supported by various non-SQLimplementations.Key words: CLI; client; conformance; database; ERI; Federal Information ProcessingStandard (FIPS); interface; Internet; ISP; multimedia; object; profile; PSM; RDA; rela tional; repository; server; standard; SQL; testing.National Institute of Standardsand TechnologyFIPS PUB 19372 pages (Feb. 3, 1995)CODEN: FIPPATU.S. Government Printing OfficeWashington: 1995For sale by the NationalTechnical InformationServiceU.S. Department of CommerceSpringfield, VA 22161

FEDERAL INFORMATIONPROCESSING STANDARDS PUBLICATION 193February 3, 1995Announcing the Standard forSQL EnvironmentsFederal Information Processing Standards Publications (FIPS PUBS) are issued by the NationalInstitute of Standards and Technology after approval by the Secretary of Commerce pursuant toSection 111(d) of the Federal Property and Administrative Services Act of 1949 as amended by theComputer Security Act of 1987, Public Law 100-235.1. Name of Standard. SQL Environments (FIPS PUB 193).2. Category of Standard. Software Standard, Database.3. Explanation. An SQL environment is an integrated data processing environment in whichheterogeneous products, all supporting some aspect of the FIPS SQL standard (FIPS PUB 127), areable to communicate with one another and provide shared access to data and data operations andmethods under appropriate security, integrity, and access control mechanisms. Some componentsin an SQL environment will be full-function SQL implementations that conform to an entire levelof FIPS SQL and support all of its required clauses for schema definition, data manipulation,transaction management, integrity constraints, access control, and schema information. Othercomponents in an SQL environment may be specialized data repositories, legacy databases, orgraphical user interfaces and report writers, all of which support selected portions of the SQLstandard and thereby provide a degree of integration between themselves and other products in thesame SQL environment.This FIPS PUB is the beginning of a continuing effort to define appropriate conformance profiles thatcan be used by both vendors and users to specify exact requirements for how various products fit intoan SQL environment. The emphasis in this first FIPS for SQL Environments is to specify generalpurpose, SQL external repository interface (SQL/ERI) profiles for non-SQL data repositories. Theseprofiles specify how a subset of the SQL standard can be used to provide limited SQL access to legacydatabases, or to support SQL gateways to specialized data managers such as Geographic InformationSystems (GIS), full-text document management systems, or object database management systems.All of the profiles specified herein are for server-side products, that is, products that controlpersistent data and provide an interface for user access to that data. Subsequent versions of thisFIPS PUB may specify SQL environment profiles for client-side products, that is, products thatA-l

FIPS PUB 193access data and then present that data in graphical or report-writer style to an end user, or processthe data in some other way on behalf of the end user.4. Approving Authority.Secretary of Commerce.5. Maintenance Agency.Department of CommerceNational Institute of Standards and Technology(Computer Systems Laboratory)6. Cross Index.- Federal Information Resources Management Regulations (FIRMR) subpart 201.20.303, Standards,and subpart 201.39.1002, Federal Standards, April 1992.- FIPS PUB 127-2, Federal Information Processing Standards Publication - Database LanguageSQL, adoption of ANSI SQL (ANSI X3.135-1992) and ISO SQL (ISO/IEC 9075:1992) for Federaluse, U.S. Department of Commerce, National Institute of Standards and Technology, June 2,1993.- ANSI/ISO/IEC 9579, International Standard for Remote Database Access (RDA), Part 1: GenericRDA and Part 2: SQL Specialization, ISO/IEC 9579-1:1993 and ISO/IEC 9579-2:1993, publishedDecember, 1993.- ANSI/ISO/IEC DIS 9075-3, (Draft) International Standard for Database Language SQL, Part 3:Call Level Interface (SQL/CLI), JTC1 Draft International Standard (DIS), document SC21N9117,13 October 1994.- ANSI/ISO/IEC CD 9075-4, (Draft) International Standard for Database Language SQL, Part 4:Persistent Stored Modules (SQL/PSM), JTCl Committee Draft (CD), CD Ballot document SC21N8897, August 1994.7. Related Documents. SQL Environment specifications depend upon existing standards andstable specifications (see Cross Index above) and upon emerging SQL and SQL Multimediastandards. The following items identify formal ISO/IEC international standards projects for whichpreliminary specifications and base documents exist, but where the development effort has not yetreached a complete and stable stage (i.e. the Committe Draft (CD) stage). As these specificationsmature and move through the standards processs, they can be referenced more reliably inprocurement requirements.(Working Draft) Database Language SQL (SQL3)Part 1: FrameworkPart 2: Foundation — including Abstract Data Types and Object SQLPart 3: Call Level Interface — extensions to ISO/IEC CD 9075-3 identified above.Part 4: Persistent Stored Modules - extensions to ISO/IEC CD 9075-4 identified above.Part 5: Language Bindings — extensions to the binding clauses of ISO/IEC 9075:1992.Part 6: SQL XA Interface Specialization - to support X/Open XA-interface.A-2

FIPS PUB 193(Working Draft) SQL Multimedia (SQL/MM)Part 1: FrameworkPart 2: Full TextPart 3: SpatialPart 4: General Purpose FacilitiesOther Parts:Reserved for other SQL/MM sub-projects with no current basedocument (e.g., images, photographs, motion pictures, sound, music,video, etc.).For information on the current status of the above Working Drafts, contact NIST personnel workingon SQL Standardization at 301-975-3251. For document references to the above and for additionalrelated documents, see the References section of the SQL/ERI Server Profiles specification (attached).8. Objective. The primary objective of this FIPS PUB for SQL Environments is to specify SQLprofiles that can be used by Federal departments and agencies to support integration of legacydatabases and other non-SQL data repositories into an SQL environment. The intent is to providea high level of control over a diverse collection of legacy or specialized data resources. An SQLenvironment allows an organization to obtain many of the advantages of SQL without requiring alarge, complex, and error-prone conversion effort; instead, the organization can evolve, in a controlledmanner, to a new integrated environment.9. ApplicabilityThis standard is applicable in any situation where it is desirable to integrate a client-side productivity tool or aserver-side data repository into an SQL environment. It is a non-mandatory standard that may be invoked ona case-by-case basis subject to the integration objectives of the procuring department or agency. It is particularlysuitable for specifying limited SQL interfaces to legacy databases or to specialized data repositories not underthe control of a full-function SQL database management system. It can be used along with other procurementinformation to specify SQL interface requirements for a wide range of data management procurements.One special area of application envisioned for this standard is Electronic Commerce, a National ChallengeApplication area of the National Information Infrastructure. The primary objective of Electronic Commerce isto integrate communications, data management, and security services in a distributed processing environment,thereby allowing business applications within different organizations to interoperate and exchange informationwithout human intervention. At the data management level, electronic commerce requires a logically integrateddatabase of diverse data stored in geographically separated data banks under the management and control ofheterogeneous database management systems. An over-riding requirement is that these diverse data managersbe able to communicate with one another and provide shared access to data and data operations and methodsunder appropriate security, integrity, and access control mechanisms. FIPS SQL provides a powerful databaselanguage for data definition, data manipulation, and integrity management to satisfy many of these requirements.It is unrealistic to expect that every data manager involved in electronic commerce will conform to even theEntry SQL level of the FIPS SQL standard; however, it is not unrealistic to require that they support a limitedSQL interface, even a read-only interface, provided by one of the SQL/ERI Server profiles specified herein.New procurements to add components to the National Information Infrastructure, or to upgrade existingcomponents, can define the necessary SQL schemas and point to appropriate SQL/ERI Server profiles asprocurement requirements.A-3

FIPS PUB 193This standard may also be applicable, on a case-by-case basis, in many of the following areas:Legacy databasesFull-Text document databasesGeographic Information SystemsBibliographic information retrievalObject database interfacesFederal data distributionOperating system file interfaceOpen system directory interfaceElectronic mail repositoriesCASE tool repositoriesXBase repositoriesC sequence class repositoriesObject Request Broker interface repositoryReal-time database interfaceInternet file repositoriesFurther detail on each of these potential application areas can be found in Section 8, "Applicability", of the FIPSspecification for SQL Environments.10. Specifications.See the Specifications for SQL Environments - SQL External Repository Interface(SQL/ERI) - Server Profiles (attached).11. Implementation.Implementation of this standard involves four areas of consideration: the effectivedate, acquisition of conforming implementations, interpretation, and validation.11.1 Effective date.This publication is effective beginning February 3, 1995. Since it is a non-mandatoryspecification, based on the established FIPS SQL standard, and used at the discretion of individual Federalprocurements, no transitional period or delayed effective date is necessary.11.2 Acquisition.All conforming implementations of a specific SQL/ERI profile will support some aspectsof the FIPS SQL standard. However, such implementations will not normally be full function databasemanagement systems and conformance will often be dependent upon SQL schema definitions and otherrequirements provided as part of each individual procurement. In most cases, a procurement will not be ableto simply point to an SQL/ERI profile and demand conformance to it. Instead, successful procurements willnormally use an appropriate SQL/ERI profile, together with an application-specific schema definition, as oneaspect of overall procurement requirements. In many cases, vendors of products that provide a limited SQLinterface will define their interfaces in terms of a fixed SQL schema definition. In those cases, procurementscan point to the vendor-provided schema definition and to an appropriate SQL/ERI profile as a procurementrequirement. In some cases, especially in those situations where schema definitions and requirements are notknown in advance, a request for a proposal (RFP) may require that an SQL schema, and adherence to one ofthe SQL/ERI Server profiles, be presented as part of the response proposal.11.3Interpretation.NIST provides for the resolution of questions regarding specifications andrequirements of the FIPS for SQL Environments, and issues official interpretations as needed. Procedures forA-4

FIPS PUB 193interpretations are specified in FIPS PUB 29-3.Environments should be addressed to:All questions about the interpretation of FIPS SQLDirectorComputer Systems LaboratoryATTN: SQL EnvironmentsNational Institute of Standards and TechnologyGaithersburg, MD 20899Telephone: (301) 975-283311.4 Validation. Implementations of the FIPS for SQL Environments may be validated in accordance withNIST Computer Systems Laboratory (CSL) validation procedures for FIPS SQL (FIPS PUB 127).Recommended procurement terminology for validation of FIPS SQL is contained in the U.S. General ServicesAdministration publication Federal ADP & Telecommunications Standards Index, Chapter 4 Part 2. This GSApublication provides terminology for three validation options: Delayed Validation, Prior Validation Testing, andPrior Validation. The agency may select the appropriate validation option and may specify appropriate timeframes for validation and correction of nonconformities.Implementations may be evaluated using the NIST SQL Test Suite, a suite of automated validation tests for SQLimplementations. Although this test suite was designed to test conformance of full-function SQL databasemanagement systems, it can be modified to accommodate testing of SQL/ERI Server implementations. Theresults of validation testing by the SQL Testing Service are published on a quarterly basis in the ValidatedProducts List, available from the National Technical Information Service (NTIS).Current information about the NIST SQL Validation Service and the status of validation testing for SQLEnvironments is available from:National Institute of Standards and TechnologyComputer Systems LaboratorySoftware Standards Validation GroupBuilding 225, Room A266Gaithersburg, Maryland 20899(301) 975-249012.Where to Obtain Copies.Copies of this publication are for sale by the National TechnicalInformation Service, U.S. Department of Commerce, Springfield, VA 22161, telephone 703-487-4650. Whenordering, refer to Federal Information Processing Standards Publication 193 (FIPSPUB193), SQL Environments.Payment may be made by check, money order, or deposit account. A-5

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FEDERAL INFORMATIONPROCESSING STANDARDS PUBLICATION 193Specifications forSQL EnvironmentsSQL External Repository Interface(SQL/ERI)Server ProfilesU.S. DEPARTMENT OF COMMERCENational Institute of Standards and TechnologyComputer Systems LaboratoryInformation Systems Engineering DivisionGaithersburg, MD 20899

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Table of ContentsAbstract.vIntroduction.11.1 Database Language SQL .1.2 SQL environment .122.Data Integration Architecture43.SQL External Repository Interface (SQL/ERI).64.SQL/ERI Leveling Rules.74.1 Minimal Schema Definition Language.4.2 Minimal Data Manipulation Language.891.5.Optional Extensions .105.15.25.35.45.55.6SQL’92 features .Stored procedures and callable routines (SQL/PSM) .SQL multimedia class library (SQL/MM).Abstract data types and methods .Object data management.Encompassing transactions.1010111112126.SQL Binding Alternatives.6.1 SQL Module processor.6.2 Embedded SQL preprocessor.6.3 Direct invocation of SQL statements.6.4 SQL call level interface (SQL/CLI) .6.5 RDA/SQL-Server interface .1313131415177.SQL/ERI Server Profiles.197.17.27.37.47.58.SQL/ERI Read-Only Server. 23SQL/ERI Read-Write Server . 27Object Identifiers for SQL/ERI Server profiles. 32Specific SQL/ERI CLI Server profiles. 39Specific SQL/ERI RDA Server profiles. 41Applicability. 438.18.28.38.48.58.6Legacy databases.Full-Text document databases.Geographic Information Systems.Bibliographic information retrieval .Object database interfaces.Federal data distribution .iii434344444445

FIPS PUB 1938.7 Operating system file interface.8.8 Open system directory interface.8.9 Electronic mail repositories .8.10 CASE tool repositories .8.11 XBase repositories .8.12 C sequence class repositories.8.13 Object Request Broker repositories.8.14 Real-Time database interface.8.15 Internet file repositories.4545464646474747479. Conformance Testing. 489.1 NIST SQL Test Suite . 489.2 Testing SQL/ERI implementations . 5010. Procurement Considerations . 5110.1 Client-side products . 5210.2 SQL/ERI Clients. 5210.3 SQL/ERI Servers . 53References . 57

FIPS PUBLICATION 193Specification for SQL Environments - SQL ExternalRepository Interface (SQL/ERI) - Server ProfilesAbstractAn SQL environment is an integrated data processing environment in which heterogeneousproducts, all supporting some aspect of the FIPS SQL standard (FIPS PUB 127), are able tocommunicate with one another and provide shared access to data and data operations and methodsunder appropriate security, integrity, and access control mechanisms. Some components in anSQL environment will be full-function SQL implementations that conform to an entire level ofFIPS SQL and support all of its required clauses for schema definition, data manipulation,transaction management, integrity constraints, access control, and schema information. Othercomponents in an SQL environment ma

Call Level Interface (SQL/CLI), JTC1 Draft International Standard (DIS), document SC21N9117, 13 October 1994. - ANSI/ISO/IEC CD 9075-4, (Draft) International Standard for Database Language SQL, Part 4: Persistent Stored Modules (SQL/PSM), JTCl Committee Draft (CD), CD Ballot document SC21 N8897, August 1994.

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