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The University of Dodoma College of Informatics and Virtual Education

This document outlines a lecture on transaction processing concepts and theory. It introduces transactions, concurrency control, and recovery. Key points include: transactions contain read and write operations; concurrency control is needed to avoid problems like lost updates; recovery handles transaction failures through undo and redo operations logged to a system log. The log tracks transaction states and operations to allow rolling back uncommitted changes or redoing committed ones if needed.

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0% found this document useful (0 votes)
114 views44 pages

The University of Dodoma College of Informatics and Virtual Education

This document outlines a lecture on transaction processing concepts and theory. It introduces transactions, concurrency control, and recovery. Key points include: transactions contain read and write operations; concurrency control is needed to avoid problems like lost updates; recovery handles transaction failures through undo and redo operations logged to a system log. The log tracks transaction states and operations to allow rolling back uncommitted changes or redoing committed ones if needed.

Uploaded by

aswai
Copyright
© Attribution Non-Commercial (BY-NC)
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as PPT, PDF, TXT or read online on Scribd
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THE UNIVERSITY OF DODOMA

COLLEGE OF INFORMATICS AND VIRTUAL


EDUCATION

CS 303:DATABASE IMPLEMENTATION AND


ADMINISTRATION

Transaction Processing Concepts


and Theory
Lecture Outline
 Introduction to Transaction Processing
 Transaction and System Concepts
 Desirable Properties of Transactions
 Characterizing Schedules based on Recoverability
 Characterizing Schedules based on Serializability
 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.
Introduction to Transaction
Processing….
 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.
Introduction to Transaction
Processing….
 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.
Introduction to Transaction
Processing…..
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.
Introduction to Transaction
Processing….
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).
Two sample transactions. (a) Transaction T1.
(b) Transaction T2.
Introduction to Transaction
Processing….
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.
Introduction to Transaction
Processing (8)
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.
Some problems that occur when concurrent
execution is uncontrolled. (a) The lost update
problem.
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.
Introduction to Transaction
Processing….
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.
Introduction to Transaction
Processing…..
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
transactions are in a state of deadlock (see Chapter 18).
Introduction to Transaction
Processing….
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.
Transaction and System Concepts
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
Transaction and System Concepts
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
control or for some other reason.
Transaction and System
Concepts….
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.
Transaction and System Concepts
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.
State transition diagram illustrating the
states for transaction execution.
Transaction and System
Concepts….
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:
Transaction and System
Concepts….
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.
Transaction and System
Concepts….
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).
Transaction and System
Concepts….
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.
Transaction and System
Concepts….
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.
Transaction and System
Concepts….
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 called
force-writing the log file before committing a transaction.
Desirable Properties of Transactions
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

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.
Characterizing Schedules
based on Recoverability
 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 :


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 Ti in S.
Characterizing Schedules
based on Recoverability….
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.
 Cascadeless schedule: One where every transaction
reads only the items that are written by committed transactions.
Schedules requiring cascaded rollback: A schedule in which
uncommitted transactions that read an item from a failed
transaction must be rolled back.
Characterizing Schedules
based on Recoverability….
Schedules classified on recoverability (cont.):
 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.
Characterizing Schedules
based on 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.
Characterizing Schedules
based on Serializability…..
 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’.
Characterizing Schedules
based on Serializability….
 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.
Characterizing Schedules
based on Serializability….
 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.
Characterizing Schedules
based on 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
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.
Transaction Support in SQL2…

Characteristics specified by a SET


TRANSACTION statement in SQL2:
 Access mode: READ ONLY or READ WRITE. The default
is READ WRITE unless the isolation level of READ
UNCOMITTED is specified, in which case READ ONLY is
assumed.
 Diagnostic size n, specifies an integer value n, indicating
the number of conditions that can be held simultaneously in
the diagnostic area. (Supply user feedback information)
Transaction Support in SQL2 ….

Characteristics specified by a SET TRANSACTION


statement in SQL2 (cont.):
 Isolation level <isolation>, where <isolation> can be READ
UNCOMMITTED, READ COMMITTED, REPEATABLE
READ or SERIALIZABLE. The default is SERIALIZABLE.
With SERIALIZABLE: the interleaved execution of
transactions will adhere to our notion of serializability.
However, if any transaction executes at a lower level, then
serializability may be violated.
Transaction Support in SQL2….

Potential problem with lower isolation levels:


 Dirty Read: Reading a value that was written by a
transaction which failed.
 Nonrepeatable Read: Allowing another transaction to write
a new value between multiple reads of one transaction.
A transaction T1 may read a given value from a table.
If another transaction T2 later updates that value and T1
reads that value again, T1 will see a different value.
Consider that T1 reads the employee salary for Smith.
Next, T2 updates the salary for Smith. If T1 reads Smith's
salary again, then it will see a different value for Smith's
salary.
Transaction Support in SQL2…

Potential problem with lower isolation


levels (cont.):
 Phantoms: New rows being read using the
same read with a condition.
A transaction T1 may read a set of rows from a
table, perhaps based on some condition
specified in the SQL WHERE clause. Now
suppose that a transaction T2 inserts a new row
that also satisfies the WHERE clause condition
of T1, into the table used by T1. If T1 is
repeated, then T1 will see a row that previously
did not exist, called a phantom.
Transaction Support in SQL2..
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: ...
Transaction Support in SQL2 …
Possible violation of serializabilty:

Type of Violation
___________________________________
Isolation Dirty nonrepeatable
level read read phantom
_____________________ _____ _________ ____________________
READ UNCOMMITTED yes yes yes
READ COMMITTED no yes yes
REPEATABLE READ no no yes
SERIALIZABLE no no no

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