Introduction to Transaction Processing

Concepts and Theory

 Summary

1 Introduction to Transaction Processing

2 Transaction and System Concepts
3 Transaction Schedule
4 Serializability
5 Transaction Support in SQL
 Introduction to Transaction
Processing
● 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.
 Concurrent Transactions

B B
CPU
A
CPU A 2
CPU
1
1

time
t1 t2 t1 t2
interleaved processing parallel processing
 What is Transaction?
● 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.
 Why Do We Need Transactions?
● It’s all about fast query response time and
correctness
● DBMS is a multi-user systems
○ Many different requests
○ Some against same data items
● Figure out how to interleave requests to shorten
response time while guaranteeing correct result
○ How does DBMS know which actions belong together?
● Solution: Group database operations that must be
performed together into transactions
○ Either execute all operations or none
 Simple Model of a Database

● A database is a 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 & 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:
○ Find the address of the disk block that contains item X.
○ Copy that disk block into a buffer in main memory (if that disk block is not
already in some main memory buffer).
○ Copy item X from the buffer to the program variable named X.
● write_item(X) command includes the following steps:
○ Find the address of the disk block that contains item X.
○ Copy that disk block into a buffer in main memory (if that disk block is not
already in some main memory buffer).
○ Copy item X from the program variable named X into its correct location in
the buffer.
○ Store the updated block from the buffer back to disk (either immediately or at
some later point in time).
 Sample Transaction (informal)
● Example: Move $40 from checking to savings
account
● To user, appears as one activity
● To database:
○ Read balance of checking account: read( X)
○ Read balance of savings account: read (Y)
○ Subtract $40 from X
○ Add $40 to Y
○ Write new value of X back to disk
○ Write new value of Y back to disk
 Sample Transaction (Formal)

T1

t0 read_item(X);
read_item(Y);
X:=X-40;
Y:=Y+40;
write _item(X);
write_item(Y);
tk
 Another Sample Transaction
● Reserving a seat for a flight
● If concurrent access to data in DBMS, two users may
try to book the same seat simultaneously

Agent 1 finds
seat 35G empty
time
Agent 2 finds
seat 35G empty

Agent 1 sets
seat 35G occupied

Agent 2 sets
seat 35G occupied
 SQL Transaction Example
● Register credit sale of 100 units of product X to customer Y for $500

UPDATE PRODUCT
SET PROD_QOH = PROD_QOH - 100
WHERE PROD_CODE = ‘X’;
UPDATE ACCT_RECEIVABLE
SET ACCT_BALANCE = ACCT_BALANCE + 500
WHERE ACCT_NUM = ‘Y’;
COMMIT;
● Consistent state only if both transactions are fully completed
● DBMS doesn’t guarantee transaction represents real-world event
● Transaction begins when first SQL statement is encountered, and ends
at COMMIT or end
Two sample transactions
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.
○ The updated item is accessed by another transaction before it is changed back to
its original value.
● 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.
(a) The lost update problem.
(b) The temporary update problem.
(c) The incorrect summary problem.
 What Can Go Wrong?
● System may crash before data is written back to disk
● Some other transaction is modifying shared data
while our transaction is ongoing (or vice versa)
● System may not be able to obtain one or more of the
data items
● System may not be able to write one or more of the
data items
● DBMS has a Concurrency Control subsytem to
assure database remains in consistent state despite
concurrent execution of transactions
 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. 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.

3. 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.
 What causes a Transaction to fail?
4. 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.

5. 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.

6. Concurrency control enforcement:

The concurrency control method may decide to abort the transaction, to be restarted
later, because it violates serializability or because several transactions are in a state
of deadlock.
 2 Transaction and System Concepts
l 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.
l Transaction states:
• Active state
• Partially committed state
• Committed state
• Failed state
• Terminated State
State transition diagram illustrating
the states for transaction execution
 Transaction Events
● 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.
● 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.
 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.
 The System Log (cont.)
● 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:
● Types of log record:
○ [start_transaction,T]: Records that transaction T has started execution.
○ [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.
○ [read_item,T,X]: Records that transaction T has read the value of
database item X.
○ [commit,T]: Records that transaction T has completed successfully, and
affirms that its effect can be committed (recorded permanently) to the
database.
○ [abort,T]: Records that transaction T has been aborted.
 Transaction Log Example
For recovery from any type of failure data values prior to modification
(BFIM - BeFore Image) and the new value after modification (AFIM –
AFter Image) are required.

Back P and Next P point to the previous and next log records of the
same transaction.
 How is the Log File Used?
● All permanent changes to data are recorded
○ Possible to undo changes to data
● After crash, search log backwards until find last
commit point
○ Know that beyond this point, effects of transaction are
permanently recorded
● Need to either redo or undo everything that
happened since last commit point
○ Undo: When transaction only partially completed (before
crash)
○ Redo: Transaction completed but we are unsure whether
data was written to disk
 ACID Properties of Transactions
● Atomicity: Transaction is either performed in its
entirety or not performed at all

● Consistency preservation: Transaction must take the

database from one consistent state to another

● Isolation: Transaction should appear as though it is

being executed in isolation from other transaction

● Durability: Changes applied to the database by a

committed transaction must persist
 Ensuring Atomicity
• Transactions can be incomplete due to several
reasons
– Aborted (terminated) by the DBMS because of
some anomalies during execution
• in that case automatically restarted and executed anew
– The system may crash (say no power supply)
– A transaction may decide to abort itself
encountering an unexpected situation
• e.g. read an unexpected data value or unable to access
disks
 Ensuring Atomicity
• A transaction interrupted in the middle can leave the
database in an inconsistent state
• DBMS has to remove the effects of partial
transactions from the database
• DBMS ensures atomicity by “undoing” the actions of
incomplete transactions
• DBMS maintains a “log” of all changes to do so
 Ensuring Consistency
• e.g. Money debit and credit between accounts
• User’s responsibility to maintain the integrity constraints
• DBMS may not be able to catch such errors in user
program’s logic
• However, the DBMS may be in inconsistent state “during
a transaction” between actions
– which is ok, but it should leave the database at a consistent
state when it commits or aborts
• Database consistency follows from transaction
consistency, isolation, and atomicity
 Ensuring Isolation
• DBMS guarantees isolation (later, how)
• If T1 and T2 are executed concurrently, either the
effect would be T1->T2 or T2->T1 (and from a
consistent state to a consistent state)
• But DBMS provides no guarantee on which of these
order is chosen
• Often ensured by “locks” but there are other
methods too
 Ensuring Durability
• The log also ensures durability
• If the system crashes before the changes made by a
completed transactions are written to the disk, the
log is used to remember and restore these changes
when the system restarts
• “recovery manager” will be discussed later
– takes care of atomicity and durability
 3 Transaction Schedule
● Recall: Multiple transactions can be executed
concurrently by interleaving their operations
● Ordering of execution of operations from various
transactions T1, T2, … , Tn is called a schedule S
● Constraint: For each transaction Ti, the order in which
operations occur in S must the same as in Ti
● Only interested in read (r), write (w), commit (c), abort
(a)
 Sample Schedule

l T1: r(X); w(X); r(Y); w(Y); c

l T2: r(X); w(X); c

l Sample schedule:
S: r1(X); r2(X); w1(X); r1(Y); w2(X); w1(Y); c1; c2
 Conflicts

● Two operations conflict if they satisfy ALL three

conditions:
○ they belong to different transactions AND
○ they access the same item AND
○ at least one is a write_item()operation
● Ex.:
○ S: r1(X); r2(X); w1(X); r1(Y); w2(X); w1(Y);

conflicts
Why Do We Interleave Transactions?
Schedule S
T1 T2
read_item(X);
X:=X-N;
write_item(X);
read_item(Y);
Y:=Y+N;
write_item(Y);
Could be a long wait
read_item(X):
X:=X+M;
write_item(X);

S is a serial schedule – no interleaving!

 Serial Schedule

● If we consider transactions to be independent, serial

schedule is correct
○ Based on C property in ACID above assumption is valid
● Furthermore, it does not matter which transaction is
executed first, as long as every transaction is executed in
its entirety, from beginning to end
● Assume X=90, Y=90, N=3, M=2, then result of schedule S
is X=89 and Y= 93
○ Same result if we start with T2
Schedule S’
Better?
T1 T2
read_item(X);
X:=X-N;
read_item(X):
X:=X+M;
write_item(X);
read_item(Y);
write_item(X);
Y:=Y+N;
write_item(Y);

S’ is a non-serial schedule
T2 will be done faster but is the result correct?
 Concurrent Executions

● Serial execution is by far simplest method to execute

transactions
○ No extra work ensuring consistency
● Inefficient!
● Reasons for concurrency:
○ Increased throughput
○ Reduces average response time
● Need concept of correct concurrent execution
○ Using same X, Y, N, M values as before, result of S is X=92 and
Y=93 (not correct)
Schedule S”
Better?
T1 T2
read_item(X);
X:=X-N;
write_item(X);
read_item(X):
X:=X+M;
write_item(X);
read_item(Y);
Y:=Y+N;
write_item(Y);

S” is a non-serial schedule
Produces same result as serial schedule S
 4 Serializability

● 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 Definitions

● 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.
● Conflict serializable:
○ A schedule S is said to be conflict serializable if it is conflict
equivalent to some serial schedule S’.
 Result Equivalent Schedules

● Two schedules are result equivalent if they produce the

same final state of the database
● Problem: May produce same result by accident!

S1 S2
read_item(X); read_item(X);
X:=X+10; X:=X*1.1;
write_item(X); write_item(X);

Schedules S1 and S2 are result equivalent for X=100

but not in general
 Conflict Equivalent Schedules

● Two schedules are conflict equivalent, if the order of any

two conflicting operations is the same in both schedules
 Conflict Equivalence
Serial Schedule S1
T1 T2
read_item(A);
write_item(A);

order doesn’t matter

order matters
read_item(B);
write_item(B);
read_item(A):
write_item(A);
order matters read_item(B); order
write_item(B); doesn’t matter
Schedule S1’
Conflict Equivalence
T1 T2
read_item(A);
read_item(B);
write_item(A); same order as in S1

read_item(A):
write_item(B); write_item(A);
same order as in S1
read_item(B);
write_item(B);

S1 and S1’ are conflict equivalent

(S1’ produces the same result as S1)
Schedule S1’’
Conflict Equivalence
T1 T2
read_item(A):
write_item(A);
read_item(A);
write_item(A); different order as in S1

read_item(B);
read_item(B); write_item(B);
write_item(B);

different order as in S1

Schedule S1’’ is not conflict equivalent to S1

(produces a different result than S1)
 Conflict Serializable
● Schedule S is conflict serializable if it is conflict
equivalent to some serial schedule S’
○ Can reorder the non-conflicting operations to improve
efficiency
● Non-conflicting operations:
○ Reads and writes from same transaction
○ Reads from different transactions
○ Reads and writes from different transactions on different
data items
● Conflicting operations:
○ Reads and writes from different transactions on same data
item
 Example
Schedule A Schedule B
T1 T2 T1 T2
read_item(X); read_item(X);
X:=X-N; X:=X-N;
write_item(X); write_item(X);
read_item(Y); read_item(X);
Y:=Y+N; X:=X+M;
write_item(Y); read_item(Y); write_item(X);
read_item(X);
X:=X+M; Y:=Y+N;
write_item(X); write_item(Y);

B is conflict equivalent to A
⇒ B is serializable
 Serial Vs Serializable

● 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 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.
 Ensure Serializability
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
 Test for Serializability
● Construct a directed graph, precedence graph,
G = (V, E)
○ V: set of all transactions participating in schedule
○ E: set of edges Ti → Tj for which one of the following holds:
■ Ti executes a write_item(X) before Tj executes read_item(X)
■ Ti executes a read_item(X) before Tj executes write_item(X)
■ Ti executes a write_item(X) before Tj executes write_item(X)
● An edge Ti → Tj means that in any serial schedule
equivalent to S, Ti must come before Tj
● If G has a cycle, than S is not conflict serializable
● If not, use topological sort to obtain serialiazable
schedule (linear order consistent with precedence
order of graph)
 Sample Schedule S
T1 T2 T3
read_item(Y);
read_item(Z);
read_item(X);
write_item(X);

write_item(Y);
write_item(Z);
read_item(Z);
read_item(Y);
write_item(Y);

read_item(Y);
write_item(Y);
read_item(X);
write_item(X);
 Precedence Graph for S

T X,Y T
1 2

Y Y,Z

T no cycles ⇒ S is serializable
3
Equivalent Serial Schedule:
T3 → T1 → T2
(precedence order)
Examples of serial and nonserial schedules
Constructing the Precedence Graphs
l 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 Testing Example
Serializability Testing Example –
Schedule E
Serializability Testing Example –
Schedule F
 5 Transaction Support in SQL
● A single SQL statement is always considered to be
atomic.
○ Either the statement completes execution without error or it fails
and leaves the database unchanged.
● With SQL, there is no explicit Begin Transaction
statement.
○ Transaction initiation is done implicitly when particular SQL
statements are encountered.
● Every transaction must have an explicit end statement,
which is either a COMMIT or ROLLBACK.
 Sample SQL Transaction
EXEC SQL whenever sqlerror go to UNDO;
EXEC SQL SET TRANSACTION
READ WRITE
DIAGNOSTICS SIZE 5
ISOLATION LEVEL SERIALIZABLE;
EXEC SQL INSERT
INTO EMPLOYEE (FNAME, LNAME, SSN, DNO, SALARY)
VALUES ('Robert','Smith','991004321',2,35000);
EXEC SQL UPDATE EMPLOYEE
SET SALARY = SALARY * 1.1
WHERE DNO = 2;
EXEC SQL COMMIT;
GOTO THE_END;
UNDO: EXEC SQL ROLLBACK;
THE_END: ...
 Summary

1 Introduction to Transaction Processing

2 Transaction and System Concepts
3 Transaction Schedule
4 Serializability
5 Transaction Support in SQL