Transaction Manag PDF

Chapter 17
Introduction to Transaction Processing

Concepts and Theory
Copyright © 2004 Pearson Education, Inc.

Chapter Outline
1 Introduction to Transaction Processing

2 Transaction and System Concepts
3 Desirable Properties of Transactions
4 Characterizing Schedules based on Recoverability
5 Characterizing Schedules based on Serializability
6 Transaction Support in SQL
Elmasri/Navathe, Fundamentals of Database Systems, Fourth Edition Chapter 17-3

Copyright © 2004 Ramez Elmasri and Shamkant Navathe
1 Introduction to Transaction Processing (1)
 Single-User System: At most one user at a time can

use the system.
 Multiuser System: Many users can access the system
concurrently.
 Concurrency
– Interleaved processing: concurrent execution of
processes is interleaved in a single CPU
– Parallel processing: processes are concurrently
executed in multiple CPUs.

Introduction to Transaction Processing (2)
 A Transaction: logical unit of database processing that
includes one or more access operations (read -retrieval,
write - insert or update, delete).
 A transaction (set of operations) may be stand-
alone specified in a high level language like SQL
submitted interactively, or may be embedded within a
program.
 Transaction boundaries: Begin and End transaction.
 An application program may contain several
transactions separated by the Begin and End
transaction boundaries.

SIMPLE MODEL OF A DATABASE (for
purposes of discussing transactions):
 A database - collection of named data items
 Granularity of data - a field, a record , or a whole
disk block (Concepts are independent of granularity)
 Basic operations are read and write
– read_item(X): Reads a database item named X into a
program variable. To simplify our notation, we assume
that the program variable is also named X.
– write_item(X): Writes the value of program variable X
into the database item named X.
READ AND WRITE OPERATIONS:

 Basic unit of data transfer from the disk to the
computer main memory is one block. In general, a
data item (what is read or written) will be the field of
some record in the database, although it may be a
larger unit such as a record or even a whole block.
 read_item(X) command includes the following
steps:
1. Find the address of the disk block that contains item X.
2. Copy that disk block into a buffer in main memory (if that disk
block is not already in some main memory buffer).
3. Copy item X from the buffer to the program variable named X.

READ AND WRITE OPERATIONS (cont.):

 write_item(X) command includes the following
steps:
1. Find the address of the disk block that contains
item X.
2. Copy that disk block into a buffer in main memory
(if that disk block is not already in some main
memory buffer).
3. Copy item X from the program variable named X
into its correct location in the buffer.
4. Store the updated block from the buffer back to
disk (either immediately or at some later point in
time).
FIGURE 17.2
Two sample transactions. (a) Transaction T1.
(b) Transaction T2.

Why Concurrency Control is needed:

 The Lost Update Problem.
This occurs when two transactions that access the
same database items have their operations
interleaved in a way that makes the value of some
database item incorrect.
 The Temporary Update (or Dirty Read) Problem.
This occurs when one transaction updates a
database item and then the transaction fails for some
reason (see Section 17.1.4). The updated item is
accessed by another transaction before it is changed
back to its original value.
Why Concurrency Control is needed (cont.):

 The Incorrect Summary Problem .
If one transaction is calculating an aggregate
summary function on a number of records while other
transactions are updating some of these records, the
aggregate function may calculate some values before
they are updated and others after they are updated.

FIGURE 17.3: Some problems that occur when
concurrent execution is uncontrolled. (a) The lost
update problem. Assume X=80, N=5, M=4
X=80-5
X=75
READ (80)
X=80+4=84
WRITE(75) db
WRITE(84)db
commit
A;
X=80
***********************************
X=80-5
X=75
READ (75)
X=75+4=79
WRITE(75)
WRITE(79)

FIGURE 17.3 (continued)
Some problems that occur when concurrent
execution is uncontrolled. (b) The temporary update
problem.

Some problems that occur when concurrent execution is
uncontrolled. (c) The incorrect summary problem.

Why recovery is needed:
(What causes a Transaction to fail)
1. A computer failure (system crash): A hardware or
software error occurs in the computer system during
transaction execution. If the hardware crashes, the
contents of the computer’s internal memory may be
lost.
2. A transaction or system error : Some operation in the
transaction may cause it to fail, such as integer overflow
or division by zero. Transaction failure may also occur
because of erroneous parameter values or because of
a logical programming error. In addition, the user may
interrupt the transaction during its execution.

Why recovery is needed (cont.):
3. Local errors or exception conditions detected by
the transaction:
- certain conditions necessitate cancellation of the
transaction. For example, data for the transaction may
not be found. A condition, such as insufficient account
balance in a banking database, may cause a
transaction, such as a fund withdrawal from that
account, to be canceled.
- a programmed abort in the transaction causes it to
fail.
4. Concurrency control enforcement: The concurrency
control method may decide to abort the transaction, to
be restarted later, because it violates serializability or
because several
Elmasri/Navathe, transactions
Fundamentals are
of Database in aFourth
Systems, state of Chapter 17-16
Edition
Why recovery is needed (cont.):

5. Disk failure: Some disk blocks may lose their data
because of a read or write malfunction or because of
a disk read/write head crash. This may happen during
a read or a write operation of the transaction.
6. Physical problems and catastrophes: This refers
to an endless list of problems that includes power or
air-conditioning failure, fire, theft, sabotage,
overwriting disks or tapes by mistake, and mounting
of a wrong tape by the operator.

2 Transaction and System Concepts (1)
A transaction is an atomic unit of work that is either

completed in its entirety or not done at all. For
recovery purposes, the system needs to keep track of
when the transaction starts, terminates, and commits
or aborts.
Transaction states:
 Active state
 Partially committed state
 Committed state
 Failed state
 Terminated State

FIGURE 17.4
State transition diagram illustrating the states for
transaction execution.

Transaction and System Concepts (2)
Recovery manager keeps track of the following
operations:
 begin_transaction: This marks the beginning of
transaction execution.
 read or write: These specify read or write operations
on the database items that are executed as part of a
transaction.
 end_transaction: This specifies that read and write
transaction operations have ended and marks the
end limit of transaction execution. At this point it may
be necessary to check whether the changes
introduced by the transaction can be permanently
applied to the database or whether the transaction
has to be aborted because it violates concurrency
Recovery manager keeps track of the following operations

(cont):
 commit_transaction: This signals a successful end of
the transaction so that any changes (updates) executed
by the transaction can be safely committed to the
database and will not be undone.
 rollback (or abort): This signals that the transaction
has ended unsuccessfully, so that any changes or
effects that the transaction may have applied to the
database must be undone.

Recovery techniques use the following operators:

 undo: Similar to rollback except that it applies to
a single operation rather than to a whole
transaction.
 redo: This specifies that certain transaction
operations must be redone to ensure that all the
operations of a committed transaction have
been applied successfully to the database.

The System Log

 Log or Journal : The log keeps track of all transaction
operations that affect the values of database items. This
information may be needed to permit recovery from
transaction failures. The log is kept on disk, so it is not
affected by any type of failure except for disk or
catastrophic failure. In addition, the log is periodically
backed up to archival storage (tape) to guard against
such catastrophic failures.
 T in the following discussion refers to a unique
transaction-id that is generated automatically by the
system and is used to identify each transaction:
The System Log (cont):
Types of log record:
1. [start_transaction,T]: Records that transaction T has
started execution.
2. [write_item,T,X,old_value,new_value]: Records that
transaction T has changed the value of database item
X from old_value to new_value.
3. [read_item,T,X]: Records that transaction T has read
the value of database item X.
4. [commit,T]: Records that transaction T has completed
successfully, and affirms that its effect can be
committed (recorded permanently) to the database.
5. [abort,T]: Records that transaction T has been aborted.
The System Log (cont):
 protocols for recovery that avoid cascading
rollbacks do not require that read operations
be written to the system log, whereas other
protocols require these entries for recovery.
 strict protocols require simpler write entries
that do not include new_value (see Section
17.4).

Recovery using log records:
If the system crashes, we can recover to a consistent
database state by examining the log and using one of
the techniques described in Chapter 19.
1. Because the log contains a record of every write
operation that changes the value of some database
item, it is possible to undo the effect of these write
operations of a transaction T by tracing backward
through the log and resetting all items changed by a
write operation of T to their old_values.
2. We can also redo the effect of the write operations of a
transaction T by tracing forward through the log and
setting all items changed by a write operation of T (that
did not get done permanently) to their new_values.
Commit Point of a Transaction:
 Definition: A transaction T reaches its commit point
when all its operations that access the database have
been executed successfully and the effect of all the
transaction operations on the database has been
recorded in the log. Beyond the commit point, the
transaction is said to be committed, and its effect is
assumed to be permanently recorded in the database.
The transaction then writes an entry [commit,T] into the
log.
 Roll Back of transactions: Needed for transactions
that have a [start_transaction,T] entry into the log but
no commit entry [commit,T] into the log.

Commit Point of a Transaction (cont):
 Redoing transactions: Transactions that have written
their commit entry in the log must also have recorded
all their write operations in the log; otherwise they
would not be committed, so their effect on the
database can be redone from the log entries. (Notice
that the log file must be kept on disk. At the time of a
system crash, only the log entries that have been
written back to disk are considered in the recovery
process because the contents of main memory may be
lost.)
 Force writing a log: before a transaction reaches its
commit point, any portion of the log that has not been
written to the disk yet must now be written to the disk.
This process is
Elmasri/Navathe, called force-writing
Fundamentals theFourth
of Database Systems, logEdition
file before
Chapter 17-28
3 Desirable Properties of Transactions (1)
ACID properties:
 Atomicity: A transaction is an atomic unit of
processing; it is either performed in its entirety
or not performed at all.
 Consistency preservation: A correct execution

of the transaction must take the database from
one consistent state to another.

Desirable Properties of Transactions (2)
ACID properties (cont.):

 Isolation: A transaction should not make its updates
visible to other transactions until it is committed; this
property, when enforced strictly, solves the temporary
update problem and makes cascading rollbacks of
transactions unnecessary (see Chapter 21).
 Durability or permanency: Once a transaction
changes the database and the changes are committed,
these changes must never be lost because of
subsequent failure.

4 Characterizing Schedules based
on Recoverability (1)
 Transaction schedule or history: When transactions are
executing concurrently in an interleaved fashion, the order of
execution of operations from the various transactions forms
what is known as a transaction schedule (or history).
 A schedule (or history) S of n transactions T1, T2, ..., Tn :

 T1: R1,U1,W1 T2: R2U2W2
 S1: R2 R1U1U2W1W2 CORRECT
 S2: R2 U1U2R1W1W2 IC
It is an ordering of the operations of the transactions subject to
the constraint that, for each transaction Ti that participates in
S, the operations of T1 in S must appear in the same order in
which they occur in T1. Note, however, that operations from
other transactions Tj can be interleaved with the operations of
Fundamentals of Database Systems, Fourth Edition Chapter 17-31
Ti in Elmasri/Navathe,
S. Copyright © 2004 Ramez Elmasri and Shamkant Navathe
Characterizing Schedules based on
Recoverability (2)
Schedules classified on recoverability:
 Recoverable schedule: One where no transaction needs
to be rolled back.
A schedule S is recoverable if no transaction T in S commits
until all transactions T’ that have written an item that T reads
have committed.
Sa’: r1(X); r2(X); w1(X); r1(Y); w2(X); c2; w1(Y); c1;(recoverable)
Sc: r1(X); w1(X); r2(X); r1(Y); w2(X); c2; a1;(not recoverable)
Sd: r1(X); w1(X); r2(X); r1(Y); w2(X); w1(Y); c1; c2;(recoverable)
Se: r1(X); w1(X); r2(X); r1(Y); w2(X); w1(Y); a1; a2;(recoverable)

– Cascadeless schedule: One where every transaction reads only
the items that are written by committed transactions.
Sd’: r1(X); w1(X); r1(Y); w1(Y); c1; r2(X); w2(X); c2;
– Strict Schedules: A schedule in which a transaction

can neither read or write an item X until the last
transaction that wrote X has committed.

Serializability
 Serializability of schedules is used to
identify which schedules are correct when
transaction execution have interleaving of
their operations in the schedules.

5 Characterizing Schedules based
on Serializability (1)
 Serial schedule: A schedule S is serial if, for every
transaction T participating in the schedule, all the
operations of T are executed consecutively in the
schedule. Otherwise, the schedule is called nonserial
schedule.
 Serializable schedule: A schedule S is serializable
if it is equivalent to some serial schedule of the same
n transactions.

Serializability (2)
 Result equivalent: Two schedules are called result equivalent if they
produce the same final state of the database.
 Conflict equivalent: Two schedules are said to be conflict equivalent if

the order of any two conflicting operations is the same in both schedules.
– Conflicting operations: two operations in a schedule are said to
conflict if
 They belongs to different transaction
 Access the same database item
 Atleast one of two is a write_item operation

 Conflict serializable: A schedule S is said
to be conflict serializable if it is conflict
equivalent to some serial schedule S’.
 Schedule A Schedule C Schedule D
(serial/correct) (Non Serial : incorrect) (Non Serial : correct)
 X=90
 X=90-3=87
 Y=90
 Y=90+3= 93
 x=87
 x=87+2=89 x=92 & y-93 x=89 & y-93

Serializability (3)
 Being serializable is not the same as being serial
 Being serializable implies that the schedule is a

correct schedule.
– It will leave the database in a consistent state.
– The interleaving is appropriate and will result in a
state as if the transactions were serially executed, yet
will achieve efficiency due to concurrent execution.

Serializability (11)
Testing for conflict serializability
Algorithm 17.1:
1. Looks at only read_Item (X) and write_Item (X) operations
2. Constructs a precedence graph (serialization graph) - a graph
with directed edges
3. An edge is created from Ti to Tj if one of the operations in Ti
appears before a conflicting operation in Tj
4. The schedule is serializable if and only if the precedence graph
has no cycles.

FIGURE 17.7
Constructing the precedence graphs for schedules A and D from
Figure 17.5 to test for conflict serializability. (a) Precedence graph for
serial schedule A. (b) Precedence graph for serial schedule B. (c)
Precedence graph for schedule C (not serializable). (d) Precedence
graph for schedule D (serializable, equivalent to schedule A).

Serializability (4)
 Serializability is hard to check.

– Interleaving of operations occurs in an operating
system through some scheduler
– Difficult to determine beforehand how the
operations in a schedule will be interleaved.

Serializability (5)
Practical approach:
 Come up with methods (protocols) to ensure
serializability.
 It’s not possible to determine when a schedule begins
and when it ends. Hence, we reduce the problem of
checking the whole schedule to checking only a
committed project of the schedule (i.e. operations
from only the committed transactions.)
 Current approach used in most DBMSs:
– Use of locks with two phase locking

Serializability (6)
 View equivalence: A less restrictive definition of
equivalence of schedules
 View serializability: definition of serializability

based on view equivalence. A schedule is view
serializable if it is view equivalent to a serial
schedule.

Serializability (7)
Two schedules are said to be view equivalent if the following
three conditions hold:
1. The same set of transactions participates in S and S’, and S
and S’ include the same operations of those transactions.
2. For any operation Ri(X) of Ti in S, if the value of X read by
the operation has been written by an operation Wj(X) of Tj
(or if it is the original value of X before the schedule started),
the same condition must hold for the value of X read by
operation Ri(X) of Ti in S’.
3. If the operation Wk(Y) of Tk is the last operation to write
item Y in S, then Wk(Y) of Tk must also be the last operation
to write item Y in S’.

Serializability (8)
The premise behind view equivalence:
 As long as each read operation of a transaction reads
the result of the same write operation in both
schedules, the write operations of each transaction
must produce the same results.
 “The view”: the read operations are said to see the
the same view in both schedules.

Serializability (9)
Relationship between view and conflict equivalence:
 The two are same under constrained write
assumption which assumes that if T writes X, it is
constrained by the value of X it read; i.e., new X =
f(old X)
 Conflict serializability is stricter than view
serializability. With unconstrained write (or blind
write), a schedule that is view serializable is not
necessarily conflict serialiable.
 Any conflict serializable schedule is also view
serializable, but not vice versa.
Serializability (10)
Relationship between view and conflict equivalence
(cont):
Consider the following schedule of three transactions
T1: r1(X), w1(X); T2: w2(X); and T3: w3(X):
Schedule Sa: r1(X); w2(X); w1(X); w3(X); c1; c2; c3;
In Sa, the operations w2(X) and w3(X) are blind writes, since T1
and T3 do not read the value of X.
Sa is view serializable, since it is view equivalent to the serial

schedule T1, T2, T3. However, Sa is not conflict serializable,
since it is not conflict equivalent to any serial schedule.
[Serializability in DBMS | Types of Serializability with Examples (educba.com)

conflict and view serializability in
dbms | Gate Vidyalay
FIGURE 17.8
Another example of serializability testing. (a) The
READ and WRITE operations of three transactions
T1, T2, and T3.

Another example of serializability testing. (b) Schedule E.

Another example of serializability testing. (c) Schedule F.

Another example of serializability testing. (c) Schedule F.


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Chapter 17

Introduction to Transaction Processing

Copyright © 2004 Pearson Education, Inc.

1 Introduction to Transaction Processing

Elmasri/Navathe, Fundamentals of Database Systems, Fourth Edition Chapter 17-3

 Single-User System: At most one user at a time can

Elmasri/Navathe, Fundamentals of Database Systems, Fourth Edition Chapter 17-4

Elmasri/Navathe, Fundamentals of Database Systems, Fourth Edition Chapter 17-5

READ AND WRITE OPERATIONS:

Elmasri/Navathe, Fundamentals of Database Systems, Fourth Edition Chapter 17-7

READ AND WRITE OPERATIONS (cont.):

Elmasri/Navathe, Fundamentals of Database Systems, Fourth Edition Chapter 17-9

Why Concurrency Control is needed:

Why Concurrency Control is needed (cont.):

Elmasri/Navathe, Fundamentals of Database Systems, Fourth Edition Chapter 17-11

Elmasri/Navathe, Fundamentals of Database Systems, Fourth Edition Chapter 17-12

Elmasri/Navathe, Fundamentals of Database Systems, Fourth Edition Chapter 17-13

Elmasri/Navathe, Fundamentals of Database Systems, Fourth Edition Chapter 17-14

Elmasri/Navathe, Fundamentals of Database Systems, Fourth Edition Chapter 17-15

Why recovery is needed (cont.):

Elmasri/Navathe, Fundamentals of Database Systems, Fourth Edition Chapter 17-17

A transaction is an atomic unit of work that is either

Elmasri/Navathe, Fundamentals of Database Systems, Fourth Edition Chapter 17-18

Elmasri/Navathe, Fundamentals of Database Systems, Fourth Edition Chapter 17-19

Recovery manager keeps track of the following operations

Elmasri/Navathe, Fundamentals of Database Systems, Fourth Edition Chapter 17-21

Recovery techniques use the following operators:

Elmasri/Navathe, Fundamentals of Database Systems, Fourth Edition Chapter 17-22

The System Log

Elmasri/Navathe, Fundamentals of Database Systems, Fourth Edition Chapter 17-25

Elmasri/Navathe, Fundamentals of Database Systems, Fourth Edition Chapter 17-27

 Consistency preservation: A correct execution

Elmasri/Navathe, Fundamentals of Database Systems, Fourth Edition Chapter 17-29

ACID properties (cont.):

Elmasri/Navathe, Fundamentals of Database Systems, Fourth Edition Chapter 17-30

 A schedule (or history) S of n transactions T1, T2, ..., Tn :

Elmasri/Navathe, Fundamentals of Database Systems, Fourth Edition Chapter 17-32

Sd’: r1(X); w1(X); r1(Y); w1(Y); c1; r2(X); w2(X); c2;

– Strict Schedules: A schedule in which a transaction

Elmasri/Navathe, Fundamentals of Database Systems, Fourth Edition Chapter 17-33

Elmasri/Navathe, Fundamentals of Database Systems, Fourth Edition Chapter 17-34

Elmasri/Navathe, Fundamentals of Database Systems, Fourth Edition Chapter 17-35

 Conflict equivalent: Two schedules are said to be conflict equivalent if

Elmasri/Navathe, Fundamentals of Database Systems, Fourth Edition Chapter 17-36

Elmasri/Navathe, Fundamentals of Database Systems, Fourth Edition Chapter 17-37

 Being serializable implies that the schedule is a

Elmasri/Navathe, Fundamentals of Database Systems, Fourth Edition Chapter 17-39

Elmasri/Navathe, Fundamentals of Database Systems, Fourth Edition Chapter 17-40

Elmasri/Navathe, Fundamentals of Database Systems, Fourth Edition Chapter 17-41

 Serializability is hard to check.

Elmasri/Navathe, Fundamentals of Database Systems, Fourth Edition Chapter 17-43

Elmasri/Navathe, Fundamentals of Database Systems, Fourth Edition Chapter 17-44

 View serializability: definition of serializability

Elmasri/Navathe, Fundamentals of Database Systems, Fourth Edition Chapter 17-45

Elmasri/Navathe, Fundamentals of Database Systems, Fourth Edition Chapter 17-46

Elmasri/Navathe, Fundamentals of Database Systems, Fourth Edition Chapter 17-47

Sa is view serializable, since it is view equivalent to the serial

Elmasri/Navathe, Fundamentals of Database Systems, Fourth Edition Chapter 17-50

Elmasri/Navathe, Fundamentals of Database Systems, Fourth Edition Chapter 17-52