Ch20 Updated 2023

1
Chapter 20
Transaction Management
Transparencies
© Pearson Education Limited 1995, 2005

2 Chapter 20 - Objectives
 Function and importance of transactions.

 Properties of transactions.
 Concurrency Control
 Meaning of serializability.
 How locking can ensure serializability.
 Deadlock and how it can be resolved.
 How timestamping can ensure serializability.
 Optimistic concurrency control.
 Granularity of locking.

3 Chapter 20 - Objectives
 Recovery Control
 Some causes of database failure.
 Purpose of transaction log file.
 Purpose of checkpointing.
 How to recover following database failure.
 Alternative models for long duration transactions.

4 Transaction Support
Transaction
Action, or series of actions, carried out by user or
application, which reads or updates contents of
database.
 Logical unit of work on the database.
 Application program is series of transactions with non-
database processing in between.
 Transforms database from one consistent state to
another, although consistency may be violated during
transaction.

5 Example Transaction

6 Transaction Support
 Can have one of two outcomes:

 Success - transaction commits and database reaches a
new consistent state.
 Failure - transaction aborts, and database must be
restored to consistent state before it started.
 Such a transaction is rolled back or undone.
 Committed transaction cannot be aborted.
 Aborted transaction that is rolled back can be restarted later.

7 State Transition Diagram for
Transaction

8 Properties of Transactions
Four basic (ACID) properties of a transaction are:
Atomicity ‘All or nothing’ property.

Consistency Must transform database from one consistent
state to another.
Isolation Partial effects of incomplete transactions
should not be visible to other transactions.
Durability Effects of a committed transaction are
permanent and must not be lost because of later failure.

9 Concurrency Control
Process of managing simultaneous operations on the database without

having them interfere with one another.
 Prevents interference when two or more users are accessing database

simultaneously and at least one is updating data.
 Although two transactions may be correct in themselves, interleaving of
operations may produce an incorrect result.

10 Need for Concurrency Control
 Three examples of potential problems caused by concurrency:

 Lost update problem.
 Uncommitted dependency problem.
 Inconsistent analysis problem.

11 Lost Update Problem
 Successfully completed update is overridden by another user.

 T1 withdrawing £10 from an account with balx, initially £100.
 T2 depositing £100 into same account.
 Serially, final balance would be £190.

12 Lost Update Problem
 Loss of T2’s update avoided by preventing T1 from reading balx until after
update.

13 Uncommitted Dependency Problem
 Occurs when one transaction can see intermediate results of another

transaction before it has committed.
 T4 updates balx to £200 but it aborts, so balx should be back at original
value of £100.
 T3 has read new value of balx (£200) and uses value as basis of £10
reduction, giving a new balance of £190, instead of £90.

14 Uncommitted Dependency Problem
 Problem avoided by preventing T3 from reading balx until after T4

commits or aborts.

15 Inconsistent Analysis Problem
 Occurs when transaction reads several values but second transaction
updates some of them during execution of first.
 Sometimes referred to as dirty read or unrepeatable read.
 T6 is totaling balances of account x (£100), account y (£50), and account z
(£25).
 Meantime, T5 has transferred £10 from balx to balz, so T6 now has wrong
result (£10 too high).

16 Inconsistent Analysis Problem
 Problem avoided by preventing T6 from reading balx and balz until after T5
completed updates.

17 Concurrency Control Techniques
 Two basic concurrency control techniques:

 Locking,
 Timestamping.
 Both are conservative approaches: delay transactions in case they conflict
with other transactions.
 Optimistic methods assume conflict is rare and only check for conflicts at
commit.

18 Locking
Transaction uses locks to deny access to other transactions and so prevent

incorrect updates.
 Most widely used approach to ensure serializability.

 Generally, a transaction must claim a shared (read) or exclusive (write) lock on
a data item before read or write.
 Lock prevents another transaction from modifying item or even reading it, in
the case of a write lock.

19 Locking - Basic Rules
 If transaction has shared lock on item, can read but not update item.
 If transaction has exclusive lock on item, can both read and update item.
 Reads cannot conflict, so more than one transaction can hold shared locks
simultaneously on same item.
 Exclusive lock gives transaction exclusive access to that item.
 A transaction continues to hold a lock until it explicitly releases it either
during execution or when it terminates (aborts or commits). It is only when
the exclusive lock has been released that the effects of the write operation will
be made visible to other transactions.
 Some systems allow transaction to upgrade read lock to an exclusive lock, or
downgrade exclusive lock to a shared lock.

20 Two-Phase Locking (2PL)
Transaction follows 2PL protocol if all locking operations precede first

unlock operation in the transaction.
 Two phases for transaction:

 Growing phase - acquires all locks but cannot release any locks.
 Shrinking phase - releases locks but cannot acquire any new locks.

21 Preventing Lost Update Problem using
2PL

22 Preventing Uncommitted Dependency
Problem using 2PL

23 Preventing Inconsistent Analysis
Problem using 2PL

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© Pearson Education Limited 1995, 2005

 Function and importance of transactions.

© Pearson Education Limited 1995, 2005

© Pearson Education Limited 1995, 2005

© Pearson Education Limited 1995, 2005

© Pearson Education Limited 1995, 2005

 Can have one of two outcomes:

© Pearson Education Limited 1995, 2005

© Pearson Education Limited 1995, 2005

Four basic (ACID) properties of a transaction are:

Atomicity ‘All or nothing’ property.

© Pearson Education Limited 1995, 2005

Process of managing simultaneous operations on the database without

 Prevents interference when two or more users are accessing database

© Pearson Education Limited 1995, 2005

 Three examples of potential problems caused by concurrency:

© Pearson Education Limited 1995, 2005

 Successfully completed update is overridden by another user.

© Pearson Education Limited 1995, 2005

© Pearson Education Limited 1995, 2005

 Occurs when one transaction can see intermediate results of another

© Pearson Education Limited 1995, 2005

 Problem avoided by preventing T3 from reading balx until after T4

© Pearson Education Limited 1995, 2005

© Pearson Education Limited 1995, 2005

© Pearson Education Limited 1995, 2005

 Two basic concurrency control techniques:

© Pearson Education Limited 1995, 2005

Transaction uses locks to deny access to other transactions and so prevent

 Most widely used approach to ensure serializability.

© Pearson Education Limited 1995, 2005

© Pearson Education Limited 1995, 2005

Transaction follows 2PL protocol if all locking operations precede first

 Two phases for transaction:

© Pearson Education Limited 1995, 2005

© Pearson Education Limited 1995, 2005

© Pearson Education Limited 1995, 2005

© Pearson Education Limited 1995, 2005

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