.…………………....Department of Artificial Intelligence.

Program: AI
Course Code: BCS 501
Course Name: Database Management System
Unit: IV
Faculty Name: Manisha Bhati
Email: [email protected]
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Transaction-

 The transaction is a set of logically related operation. It contains a group of tasks.

 A transaction is an action or series of actions. It is performed by a single user to perform operations for
accessing the contents of the database.

Example: Suppose an employee of bank transfers Rs 800 from X's account to Y's account. This small transaction
contains several low-level tasks:
X's Account Y's Account

1.Old_Balance = X.balance 1.Open_Account(Y)

2.New_Balance = Old_Balance - 800 2.Old_Balance = Y.balance
3.New_Balance = Old_Balance + 800
3.X.balance = New_Balance 4.Y.balance = New_Balance
4.Close_Account(X) 5.Close_Account(Y)
5.Open_Account(X)
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Operations of Transaction:
Following are the main operations of transaction:

 Read(X): Read operation is used to read the value of X from the database and stores it in a buffer in main memory.

 Write(X): Write operation is used to write the value back to the database from the buffer.

Let's take an example to debit transaction from an account which consists of following operations:

1.. X = X - 500;
2. R(X);
3. W(X);
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Let's assume the value of X before starting of the transaction is 4000.

 The first operation reads X's value from database and stores it in a buffer.

 The second operation will decrease the value of X by 500. So buffer will contain 3500.

 The third operation will write the buffer's value to the database. So X's final value will be 3500.

But it may be possible that because of the failure of hardware, software or power, etc. that transaction may fail
before finished all the operations in the set.
For example: If in the above transaction, the debit transaction fails after executing operation 2 then X's value will
remain 4000 in the database which is not acceptable by the bank.

To solve this problem, we have two important operations:

Commit: It is used to save the work done permanently.

Rollback: It is used to undo the work done.

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Transaction property-
The transaction has the four properties. These are used to maintain consistency in a
database, before and after the transactio

 Atomicity
 Consistency
 Isolation
 Durability

1.Atomicity-
It states that all operations of the transaction take place at once if not, the transaction is aborted.
There is no midway, i.e., the transaction cannot occur partially. Each transaction is treated as one unit and either run to
completion or is not executed at all.
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Atomicity involves the following two operations:

 Abort: If a transaction aborts then all the changes made are not visible.

 Commit: If a transaction commits then all the changes made are visible

Example: Let's assume that following transaction T consisting of T1 and T2. A consists of Rs 600 and B consists of Rs
300. Transfer Rs 100 from account A to account B.

After completion of the transaction, A consists of Rs 500 and B consists of Rs

400. T1 T2

If the transaction T fails after the completion of transaction T1 but before Read(A) Read(B)
A:= A-100 Y:= Y+100
completion of transaction T2, then the amount will be deducted from A but not Write(A) Write(B)
added to B. This shows the inconsistent database state. In order to ensure
correctness of database state, the transaction must be executed in entirety.
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2.Consistency-
 The integrity constraints are maintained so that the database is consistent before and after the transaction.

 The execution of a transaction will leave a database in either its prior stable state or a new stable state.

 The consistent property of database states that every transaction sees a consistent database instance.

 The transaction is used to transform the database from one consistent state to another consistent state.

For example: The total amount must be maintained before or after the transaction.

Therefore, the database is consistent. In the case when T1 is

completed but T2 fails, then inconsistency will occur. 1.Total before T occurs = 600+300=900
2.Total after T occurs= 500+400=900
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3.Isolation-

 It shows that the data which is used at the time of execution of a transaction cannot be used by the second
transaction until the first one is completed.
 In isolation, if the transaction T1 is being executed and using the data item X, then that data item can't be accessed
by any other transaction T2 until the transaction T1 ends.
 The concurrency control subsystem of the DBMS enforced the isolation property.

4.Durability-

 The durability property is used to indicate the performance of the database's consistent state. It states that the
transaction made the permanent changes.
 They cannot be lost by the erroneous operation of a faulty transaction or by the system failure. When a transaction
is completed, then the database reaches a state known as the consistent state. That consistent state cannot be lost,
even in the event of a system's failure.
 The recovery subsystem of the DBMS has the responsibility of Durability property.
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Schedule-
A series of operation from one transaction to another transaction is known as schedule. It is used to preserve
the order of the operation in each of the individual transaction.
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1. Serial Schedule-
The serial schedule is a type of schedule where one transaction is executed completely before starting another
transaction. In the serial schedule, when the first transaction completes its cycle, then the next transaction is
executed.

For example: Suppose there are two transactions T1 and T2 which have some operations. If it has no interleaving of
operations, then there are the following two possible outcomes:

 Execute all the operations of T1 which was followed by all the operations of T2.

 Execute all the operations of T1 which was followed by all the operations of T2.

 In the given (a) figure, Schedule A shows the serial schedule where T1 followed by T2.

 In the given (b) figure, Schedule B shows the serial schedule where T2 followed by T1.
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2. Non-serial Schedule-

 If interleaving of operations is allowed, then there will be non-serial schedule.

 It contains many possible orders in which the system can execute the individual operations of the transactions.
 In the given figure (c) and (d), Schedule C and Schedule D are the non-serial schedules. It has interleaving of
operations.

3. Serializable schedule-

 The serializability of schedules is used to find non-serial schedules that allow the transaction to execute
concurrently without interfering with one another.
 It identifies which schedules are correct when executions of the transaction have interleaving of their
operations.
 A non-serial schedule will be serializable if its result is equal to the result of its transactions executed serially.
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Schedule A and Schedule B are serial schedule.

Schedule C and Schedule D are Non-serial schedule.

Testing of Serializability
Serialization Graph is used to test the Serializability of a schedule.

Assume a schedule S. For S, we construct a graph known as precedence graph. This graph has a pair G = (V, E), where
V consists a set of vertices, and E consists a set of edges. The set of vertices is used to contain all the transactions
participating in the schedule. The set of edges is used to contain all edges Ti ->Tj for which one of the three
conditions holds:

 Create a node Ti → Tj if Ti executes write (Q) before Tj executes read (Q).

 Create a node Ti → Tj if Ti executes read (Q) before Tj executes write (Q).
 Create a node Ti → Tj if Ti executes write (Q) before Tj executes write (Q).
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 If a precedence graph contains a single edge Ti → Tj, then all the instructions of Ti are executed before the first
instruction of Tj is executed.

 If a precedence graph for schedule S contains a cycle, then S is non-serializable. If the precedence graph has
no cycle, then S is known as serializable.
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For example:

Explanation:

Read(A): In T1, no subsequent writes to A, so no new edges

Read(B): In T2, no subsequent writes to B, so no new edges
Read(C): In T3, no subsequent writes to C, so no new edges
Write(B): B is subsequently read by T3, so add edge T2 → T3
Write(C): C is subsequently read by T1, so add edge T3 → T1
Write(A): A is subsequently read by T2, so add edge T1 → T2
Write(A): In T2, no subsequent reads to A, so no new edges
Write(C): In T1, no subsequent reads to C, so no new edges
Write(B): In T3, no subsequent reads to B, so no new edges
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Precedence graph for schedule S1:

The precedence graph for schedule S1 contains a cycle that's

why Schedule S1 is non-serializable
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Explanation:

Read(A): In T4,no subsequent writes to A, so no new edges

Read(C): In T4, no subsequent writes to C, so no new edges
Write(A): A is subsequently read by T5, so add edge T4 → T5
Read(B): In T5,no subsequent writes to B, so no new edges
Write(C): C is subsequently read by T6, so add edge T4 → T6
Write(B): A is subsequently read by T6, so add edge T5 → T6
Write(C): In T6, no subsequent reads to C, so no new edges
Write(A): In T5, no subsequent reads to A, so no new edges
Write(B): In T6, no subsequent reads to B, so no new edges
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Precedence graph for schedule S2:

The precedence graph for schedule S2 contains no cycle that's why ScheduleS2 is serializable.
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Conflict Serializable Schedule-

 A schedule is called conflict serializability if after swapping of non-conflicting operations, it can transform into a
serial schedule.

 The schedule will be a conflict serializable if it is conflict equivalent to a serial schedule.

The two operations become conflicting if all conditions satisfy:

 Both belong to separate transactions.

 They have the same data item.
 They contain at least one write operation.
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Example:
Swapping is possible only if S1 and S2 are logically equal.

Here, S1 = S2. That means it is non-conflict.

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Here, S1 ≠ S2. That means it is conflict.

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Conflict Equivalent-
In the conflict equivalent, one can be transformed to another by swapping non-conflicting operations. In the given example,
S2 is conflict equivalent to S1 (S1 can be converted to S2 by swapping non-conflicting operations).

Two schedules are said to be conflict equivalent if and only if:

 They contain the same set of the transaction.

 If each pair of conflict operations are
ordered in the same way.
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Schedule S2 is a serial schedule because, in this, all operations of T1 are performed

before starting any operation of T2. Schedule S1 can be transformed into a serial
schedule by swapping non-conflicting operations of S1.

After swapping of non-conflict operations, the schedule S1 becomes-

Since, S1 is conflict serializable. T1 T2

Read(A)
Write(A)
Read(B) Read(A)
Write(B) Write(A)
Read(B)
Write(B)
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View Serializability-
 A schedule will view serializable if it is view equivalent to a serial schedule.
 If a schedule is conflict serializable, then it will be view serializable.
 The view serializable which does not conflict serializable contains blind writes.

View Equivalent-
Two schedules S1 and S2 are said to be view equivalent if they satisfy the following conditions:

1. Initial Read-
An initial read of both schedules must be the same. Suppose two schedule S1 and S2. In schedule S1, if a transaction
T1 is reading the data item A, then in S2, transaction T1 should also read A.

These two schedules are view equivalent because Initial read

operation in S1 is done by T1 and in S2 it is also done by T1.
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2. Updated Read-
In schedule S1, if Ti is reading A which is updated by Tj then in S2 also, Ti should read A which is updated by Tj.

Above two schedules are not view equal because, in S1, T3 is reading A updated by T2
and in S2, T3 is reading A updated by T1.
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3. Final Write-
A final write must be the same between both the schedules. In schedule S1, if a transaction T1 updates A at last
then in S2, final writes operations should also be done by T1.

Above two schedules is view equal because Final write operation in S1 is done by
T3 and in S2, the final write operation is also done by T3.
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Recoverability of Schedule-
Sometimes a transaction may not execute completely due to a software issue, system crash or hardware failure. In
that case, the failed transaction has to be rollback. But some other transaction may also have used value produced
by the failed transaction. So we also have to rollback those transactions.

The above table 1 shows a schedule which has two transactions. T1 reads and writes the value of A and that value is
read and written by T2. T2 commits but later on, T1 fails. Due to the failure, we have to rollback T1. T2 should also be
rollback because it reads the value written by T1, but T2 can't be rollback because it already committed. So this type
of schedule is known as irrecoverable schedule.
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Irrecoverable schedule: The schedule will be irrecoverable if Tj reads the updated value of Ti and Tj committed before
Ti commit.

The above table 2 shows a schedule with two transactions. Transaction T1 reads and writes A, and that value is read
and written by transaction T2. But later on, T1 fails. Due to this, we have to rollback T1. T2 should be rollback because
T2 has read the value written by T1. As it has not committed before T1 commits so we can rollback transaction T2 as
well. So it is recoverable with cascade rollback.
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Recoverable with cascading rollback: The schedule will be recoverable with cascading rollback if Tj reads the updated
value of Ti. Commit of Tj is delayed till commit of Ti.

The above Table 3 shows a schedule with two transactions. Transaction T1 reads and write A and commits, and
that value is read and written by T2. So this is a cascade less recoverable schedule.
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Failure Classification-
To find that where the problem has occurred, we generalize a failure into the following categories:

 Transaction failure
 System crash
 Disk failure

1. Transaction failure-
The transaction failure occurs when it fails to execute or when it reaches a point from where it can't go any further.
If a few transaction or process is hurt, then this is called as transaction failure.

Reasons for a transaction failure could be -

Logical errors: If a transaction cannot complete due to some code error or an internal error condition, then the
logical error occurs.
Syntax error: It occurs where the DBMS itself terminates an active transaction because the database system is not
able to execute it. For example, The system aborts an active transaction, in case of deadlock or resource
unavailability.
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2. System Crash-

System failure can occur due to power failure or other hardware or software failure. Example: Operating system error.
Fail-stop assumption: In the system crash, non-volatile storage is assumed not to be corrupted.

3. Disk Failure-

It occurs where hard-disk drives or storage drives used to fail frequently. It was a common problem in the early days of
technology evolution.
Disk failure occurs due to the formation of bad sectors, disk head crash, and unreachability to the disk or any other
failure, which destroy all or part of disk storage.
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Log-Based Recovery-

 The log is a sequence of records. Log of each transaction is maintained in some stable storage so that if any
failure occurs, then it can be recovered from there.
 If any operation is performed on the database, then it will be recorded in the log.
 But the process of storing the logs should be done before the actual transaction is applied in the database.
Let's assume there is a transaction to modify the City of a student. The following logs are written for this
transaction.

When the transaction is initiated, then it writes 'start' log. <Tn, Start>

When the transaction modifies the City from 'Noida' to 'Bangalore', then another log is written to the file.

<Tn, City, 'Noida', 'Bangalore' >

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When the transaction is finished, then it writes another log to indicate the end of the transaction.

<Tn, Commit>

There are two approaches to modify the database:

1. Deferred database modification:

The deferred modification technique occurs if the transaction does not modify the database until it has committed.
In this method, all the logs are created and stored in the stable storage, and the database is updated when a
transaction commits.

2. Immediate database modification:

The Immediate modification technique occurs if database modification occurs while the transaction is still active.
In this technique, the database is modified immediately after every operation. It follows an actual database
modification.
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Recovery using Log records-

When the system is crashed, then the system consults the log to find which transactions need to be undone and
which need to be redone.

 If the log contains the record <Ti, Start> and <Ti, Commit> or <Ti, Commit>, then the Transaction Ti needs to
be redone

 If log contains record<Tn, Start> but does not contain the record either <Ti, commit> or <Ti, abort>, then the
Transaction Ti needs to be undone.
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Checkpoint-

 The checkpoint is a type of mechanism where all the previous logs are removed from the system and
permanently stored in the storage disk.

 The checkpoint is like a bookmark. While the execution of the transaction, such checkpoints are marked,
and the transaction is executed then using the steps of the transaction, the log files will be created.

 When it reaches to the checkpoint, then the transaction will be updated into the database, and till that
point, the entire log file will be removed from the file. Then the log file is updated with the new step of
transaction till next checkpoint and so on.

 The checkpoint is used to declare a point before which the DBMS was in the consistent state, and all
transactions were committed.
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Recovery using Checkpoint-

In the following manner, a recovery system recovers the database from this failure:
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 The recovery system reads log files from the end to start. It reads log files from T4 to T1.
 Recovery system maintains two lists, a redo-list, and an undo-list.
 The transaction is put into redo state if the recovery system sees a log with <Tn, Start> and <Tn, Commit> or just
<Tn, Commit>. In the redo-list and their previous list, all the transactions are removed and then redone before
saving their logs.

For example: In the log file, transaction T2 and T3 will have <Tn, Start> and <Tn, Commit>. The T1 transaction will
have only <Tn, commit> in the log file. That's why the transaction is committed after the checkpoint is crossed.
Hence it puts T1, T2 and T3 transaction into redo list.

 The transaction is put into undo state if the recovery system sees a log with <Tn, Start> but no commit or abort
log found. In the undo-list, all the transactions are undone, and their logs are removed.

For example: Transaction T4 will have <Tn, Start>. So T4 will be put into undo list since this transaction is not yet
complete and failed amid.
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DBMS Concurrency Control-

Concurrency Control is the management procedure that is required for controlling concurrent execution of the
operations that take place on a database.

But before knowing about concurrency control, we should know about concurrent execution.

Concurrent Execution in DBMS-

 In a multi-user system, multiple users can access and use the same database at one time, which is known as the
concurrent execution of the database. It means that the same database is executed simultaneously on a multi-
user system by different users.

 While working on the database transactions, there occurs the requirement of using the database by multiple
users for performing different operations, and in that case, concurrent execution of the database is performed.
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 The thing is that the simultaneous execution that is performed should be done in an interleaved manner,
and no operation should affect the other executing operations, thus maintaining the consistency of the
database. Thus, on making the concurrent execution of the transaction operations, there occur several
challenging problems that need to be solved.
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Lock-Based Protocol-
In this type of protocol, any transaction cannot read or write data until it acquires an appropriate lock on it.
There are two types of lock:

1. Shared lock:

It is also known as a Read-only lock. In a shared lock, the data item can only read by the transaction.
It can be shared between the transactions because when the transaction holds a lock, then it can't update the
data on the data item.

2. Exclusive lock:

In the exclusive lock, the data item can be both reads as well as written by the transaction.
This lock is exclusive, and in this lock, multiple transactions do not modify the same data simultaneously.
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There are four types of lock protocols available:

1. Simplistic lock protocol-

It is the simplest way of locking the data while transaction. Simplistic lock-based protocols allow all the transactions
to get the lock on the data before insert or delete or update on it. It will unlock the data item after completing the
transaction.

2. Pre-claiming Lock Protocol-

Pre-claiming Lock Protocols evaluate the transaction to list all the data items on which they need locks.
Before initiating an execution of the transaction, it requests DBMS for all the lock on all those data items.
If all the locks are granted then this protocol allows the transaction to begin. When the transaction is completed
then it releases all the lock.
If all the locks are not granted then this protocol allows the transaction to rolls back and waits until all the locks are
granted.
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3. Two-phase locking (2PL)-

 The two-phase locking protocol divides the execution phase of the transaction into three parts.

 In the first part, when the execution of the transaction starts, it seeks permission for the lock it requires.

 In the second part, the transaction acquires all the locks. The third phase is started as soon as the
transaction releases its first lock.

 In the third phase, the transaction cannot demand any new locks. It only releases the acquired locks.
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There are two phases of 2PL:

Growing phase: In the growing phase, a new lock on the data item may be acquired by the transaction, but none
can be released.
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 Shrinking phase: In the shrinking phase, existing lock held by the transaction may be released, but no new
locks can be acquired.

In the below example, if lock conversion is allowed then the following phase can happen:

Upgrading of lock (from S(a) to X (a)) is allowed in growing phase.

Downgrading of lock (from X(a) to S(a)) must be done in shrinking phase.

Example:
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The following way shows how unlocking and locking work

with
2-PL.

Transaction T1:

Growing phase: from step 1-3

Shrinking phase: from step 5-7
Lock point: at 3

Transaction T2:

Growing phase: from step 2-6

Shrinking phase: from step 8-9
Lock point: at 6
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4. Strict Two-phase locking (Strict-2PL)-

 The first phase of Strict-2PL is similar to 2PL. In the first phase, after acquiring all the locks, the transaction
continues to execute normally.

 The only difference between 2PL and strict 2PL is that Strict-2PL does not release a lock after using it.

 Strict-2PL waits until the whole transaction to commit, and then it releases all the locks at a time.

 Strict-2PL protocol does not have shrinking phase of lock release.

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It does not have cascading abort as 2PL does

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