TRANSACTION PROCESSING CONCEPTS
INTRODUCTION
Single-User
Versus
Multiuser Systems
A DBMS is single-user if at most one user at time can use the system.
A DBMS is multiuser if many users can use the system concurrently - that is
at the same time.
Interleaved versus simultaneous concurrency.
Transaction
In multiuser DBMSs, the stored data items are the primary resources that
may be accessed concurrently by user programs, which are constantly
retrieving information from and modifying the database.
The execution of a program that accesses or changes the contents of the
database is called transaction.
The database access operations that a transaction can include are:
 read_item(X): Reads a database item named X into a program variable
named also X.
 write_item(X): Writes the value of program variable X into the database
item named X.
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Executing a 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.
Executing a 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.
Example
A transaction will include read_item and write_item operations to access the
database.
Transaction T1
read_item (X);
X := X - N;
write_item(X);
read_item(Y);
Y := Y + N;
write_item(Y);
Transaction T2
read_item (X);
X := X + M;
write_item(X);
Concurrency control and recovery mechanisms are mainly concerned with
the database access commands in a transaction.
Transactions submitted by the various users may execute concurrently and
may access and update the same database items. If this concurrent execution
is uncontrolled, it may lead to problems such as inconsistent database.
Why Concurrency Control ?
Several problems can occur when concurrent transactions execute in an
uncontrolled manner.
We assume a simple airline reservation database in which a record is stored
for each airline flight. Each record includes the number of reserved seats on
that flight as a named data item, among other information.
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The same program can be used to execute many transactions, each with
different flights and number of seats to be booked.
For concurrency control purpose, a transaction is a particular execution of a
program on a specific date, flight, and number of seats.
Transaction T1
Transaction T2
read_item (X);
X := X - N;
write_item(X);
read_item(Y);
Y := Y + N;
write_item(Y);
read_item (X);
X := X + M;
write_item(X);
Problems !!
(1) The Lost Update Problems
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 lost update problem
(2) The Temporary Update 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.
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The temporary update problem
(3) The Incorrect Summary Problem
This occurs when one transaction is calculating an aggregate summary
function on a number of records while other transactions are updating some
of these records. In this situation, the aggregate function may calculate some
values before they are updated and others after they are updated.
The incorrect summary problem
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Types of Failures
1.A computer failure (system crash): A hardware or software error occurs in the computer
system during transaction execution.
2.A transaction or system error: Some operation in the transaction may cause it to fail, such as
integer overflow or division by zero.
3.Local errors or exception conditions: During transaction execution, certain conditions may
occur that necessitate cancellation of the transaction. For example, data for the transaction may
not be found, or insufficient account balance in a banking database.
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
transactions are in a state of deadlock.
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.
6.Physical problems and catastrophes: Such as power or air-conditioning failure, fire, theft,
sabotage, overwriting disks by mistake, … etc.
(2)
Transaction Concepts
Transaction States
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:
 BEGIN_TRANSACTION.
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



READ or WRITE.
END_TRANSACTION.
COMMIT_TRANSACTION.
ROLLBACK (or ABORT).
 UNDO.
 REDO.
The System Log
To be able to recover from transaction failures, the system maintains a log
(journal).
The log keeps track of all transactions that affect the values of database
items. The log is kept on disk and includes the following entries:
1. [start_transaction, T]
2. [write_item,T,X,old_value,new_value]
3. [read_item,T,X]
4. [commit,T]
5. [abort,T]
If the system crashes, we can recover a consistent database state by
examining the log and using one of the recovery techniques.
We can undo the effect of each WRITE operation of a transaction T by
tracing backward through the log and resetting all items changed by the
WRITE operation of T to their old_values.
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 to their new_values.
Commit Point of a Transaction
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.
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Checkpoints in the System Log
A [checkpoint] record is written into the log periodically at the point when
the system writes out to the database on disk the effect of all WRITE
operations of committed transactions
All transactions that have their [commit,T] entries in the log before a
[checkpoint] entry do not need to have their WRITE operations redone in
case of system crash.
Taking a checkpoint consists of the following actions:
1. Suspend execution of transactions temporarily.
2. Force-write all update operations of committed transactions from main
memory buffers to disk.
3. Write a [checkpoint] record to the log, and force-write the log to disk.
4. Resume executing transactions.
Desirable Properties of Transactions
Atomic transactions should possess several properties. These are often called
the ACID properties:
1. Atomicity: A transaction is an atomic unit of processing; it is either
performed in its entirety or not performed at all.
2. Consistency preservation: A correct execution of the transaction must
take the database from one consistent state to another.
3. Isolation: A transaction should not make its updates visible to other
transactions until it is committed.
4. Durability or permanency: Once a transaction changes the database and
changes are committed, these changes must never be lost because of
subsequent failure.
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(3)
Schedules and Recoverability
Schedules (Histories) of Transactions
A schedule (or history) S of n transactions T1, T2, ...,Tn 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 Ti in S must appear in
the same order in which they occur in Ti.
Sa: r1(X); r2(X); w1(X); r1(Y); w2(X); c2;
w1(Y); c1;
Sb: r1(X); w1(X); r2(X); w2(X); c2; r1(Y);
a1;
Two operations in a schedule are said to conflict if they belong to different
transactions, if they access the same item X, and if one of the two operations is
a write_item(X).
A schedule S of n transactions T1, T2, ...,Tn, is said to be a complete
schedule if the following conditions hold:
1. The operations in S are exactly those operations in T1, T2, ...,Tn,
including a commit or abort operation as the last operation for each
transaction in the schedule.
2. For any pair of operations from the same transaction Ti, their order of
appearance in S is the same as their order of appearance in Ti.
3. For any two conflicting operations, one of the two must occur before
the other in the schedule.
Characterizing Schedules Based on Recoverability
1- recoverable Schedule
A schedule S is said to be recoverable if no transaction T in S commits
until all transactions T’ that have written an item that T reads have
committed.
T is said to read from transaction T’ in a schedule S if some item X is first
written by T’ and later read by T.
Sa: r1(X); r2(X); w1(X); r1(Y); w2(X); c2;
w1(Y); c1; is recoverable !
Sc: r1(X); w1(X); r2(X); r1(Y); w2(X); c2; a1;
Sd: r1(X); w1(X); r2(X); r1(Y); w2(X); w1(Y); c1; c2;
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is not recoverable !
is recoverable !
2- Avoiding Cascading Rollback Schedule
In a recoverable schedule, no committed transaction ever needs to be rolled
back. However, it is still possible for a phenomenon known as cascading
rollback to occur, where an uncommitted transaction has to be rolled back
because it read an item from a transaction that failed.
Se: r1(X); w1(X); r2(X); r1(Y); w2(X); w1(Y); a1;
back !
T2 has to be rolled
A schedule is said to avoid cascading rollback if every transaction in the
schedule only reads items that were written by committed transactions. In
this case, all items read will be committed, so no cascading rollback will
occur.
3- Strict Schedule
Strict schedule is a third type of schedule in which transactions can neither
read nor write an item X until the last transaction that wrote X has
committed (or aborted). Strict schedules simplify the process of recovering
write operations to a matter of restoring the before image of a data item X,
which is the value that X had prior to the aborted write operation.
Sf: w1(X, 5); w2(X, 8); a1;
!
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(4)
Serializability of Schedules
An important aspect of concurrency control, called serializability theory,
attempts to determine which schedules are “correct” and which are not to
develop techniques that allow only correct schedules.
Some schedules involving transactions T1 and T2.
(a) Schedule A: T1 followed by T2.
(b) Schedule B: T2 followed by T1.
(c) Two schedules with interleaving of operations.
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Serial Schedules
Schedules A and B are called serial schedules because the operations of
each transaction are executed consecutively, without any interleaved
operations from the other transaction. In a serial schedule, entire
transactions are performed in serial order (T1 and then T2).
Two serial schedules involving transactions T1 and T2.
(a) Schedule A: T1 followed by T2.
(b) Schedule B: T2 followed by T1.
Nonserial Schedules
Schedules C and D are called nonserial schedules because each sequence
interleaves operations from the two transactions.
Two nonserial schedules (C and D) involving transactions T1 and T2.
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Serial and Nonserial Schedules
 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.
 If we consider the transactions to be independent, then every serial
schedule is considered correct !!
 The problem with serial schedules is that they limit concurrency or
interleaving of operations. Hence, serial schedules are considered, in
general, unacceptable.
Serializable Schedules
 A schedule S is serializable if it is equivalent to some serial schedule
of the same n transactions.
 Saying that a nonserial schedule S is serializable is equivalent to
saying that it is correct, because it is equivalent to a serial schedule,
which is considered correct.
When are two schedules considered “equivalent” ?
1. Result Equivalency:
Two schedules are called result equivalent if they produce the same final
state of the database.
However, two different schedules may accidentally produce the same final
state.
S1
read_item(X);
X:=X+10;
write_item(X);
S2
read_item(X);
X:=X*1.1;
write_item(X);
Hence, result equivalence is not used to define equivalence of schedules.
2. Conflict Equivalency:
 Two schedules are called conflict equivalent if the order of any two
conflicting operations is the same in both schedules.
 Schedule S is conflict serializable if it (conflict) equivalent to some
serial schedule S’. In such a case, we can reorder the nonconflicting
operations in S until we form the equivalent serial schedule S’.
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Testing Algorithm for Conflict Equivalence of Schedules
 The algorithm looks at only the read_item and write_item operations in the
schedule to construct a precedence graph (or serialization graph).
 A precedence graph is a directed graph G = (N,E) that consists of a set of nodes
N = {T1, T2, ..., Tn} and a set of directed edges E = {e1, e2, ..., em}.
 There is one node in the graph for each transaction Ti in the schedule.
 Each edge ei in the graph is of the form (Tj  Tk), 1  j  n, where Tj is called
the starting node of ei and Tk is called the ending node of ei such that one
of the operations in Tj appears in the schedule before some conflicting
operation in Tk.
Testing Algorithm for Conflict Serializability of a Schedule
(1) for each transaction Ti participating in schedule S
create a node labeled Ti in the precedence graph;
(2) for each case in S where Tj executes a read_item(X)
write_item(X) command executed by Ti
create an edge (Ti Tj) in the precedence graph;
after
a
(3) for each case in S where Tj executes a write_item(X) after Ti executes a
read_item(X)
create an edge (Ti Tj) in the precedence graph;
(4) for each case in S where Tj executes a write_item(X) command after Ti
executes a write_item(X) command
create an edge (Ti Tj) in the precedence graph;
(5) the schedule S is serializable if and only if the
has no cycles;
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precedence
graph
Constructing the precedence graphs for schedules A to D to test for conflict
serializability.
(a) Precedence graph for schedule A.
(b) Precedence graph for schedule B.
(c) Precedence graph for schedule C (not serializable).
(d) Precedence graph for schedule D (serializable, equivalent to schedule A).
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Example of serializability testing.
(a) The READ and WRITE operations of three transactions.
(b) Schedule E of the transactions T1, T2, and T3.
(c) Schedule F of the transactions T1, T2, and T3.
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(d) Precedence graph for schedule E.
(e) Precedence graph for schedule F.
(f) A precedence graph with two equivalent serial schedules.
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