Chapter 3

Chapter 3
Introduction to Transaction
Processing Concepts
Prepared by Elisaye B. @WSU-DTC 1

Chapter Outline
1 Introduction to Transaction Processing
2 Transaction and System Concepts
3 Desirable Properties of Transactions
4 Characterizing Schedules based on Recoverability
5 Characterizing Schedules based on Serializability
6 Transaction Support in SQL

1 Introduction to Transaction Processing (1)
 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 (2)
 A Transaction:

Logical unit of database processing that includes
one or more access operations (read -retrieval,
write - insert or update, delete).

A transaction is an executing program that forms
a logical unit of database processing.
 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.
 A database is a collection of named data items
 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.

Two sample transactions
 FIGURE 17.2 Two sample transactions:

(a) Transaction T1

(b) Transaction T2

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 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 functionPrepared
may calculate some values before7
by Elisaye B. @WSU-DTC
they are updated and others after they are updated.
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. Prepared by Elisaye B. @WSU-DTC 8
Why recovery is needed (Contd.):
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.
Why recovery is needed (contd.):
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.
2) Transaction and System Concepts (1)
 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 states:
 Active: in this state, the transaction is being executed. This is
initial state of every transaction.
 Partially Committed: when the transaction executes its final
operations, it is said to be in partially committed state.
 Failed: a transaction is said to be in a failed state if any of the
check made by the database recovery system fails. A failed state
can no longer proceed longer.
 Aborted: if any of the checks fails and the transaction has
reached a failed state, then the recovery manager roll back all its
write operations on the database to bring the database back to its
original state where it was prior to the execution of the
transaction. The database recovery module can select one of two
operations after a transaction aborts 1) restart the transaction 2)
kill the transaction
 Committed: if a transaction
Prepared byexecutes all its operations
Elisaye B. @WSU-DTC 12
State transition diagram illustrating the
states for transaction execution

Transaction and System Concepts (2)
 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.

 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.

 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.

 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.

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.
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.
Commit Point of a Transaction:

 Definition a Commit Point:

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.
 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.

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.

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.

3) Desirable Properties of Transactions (1)
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.
 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
 Durability or permanency: Once a transaction changes the
database and the changes are committed, these changes must
never be lost because of subsequent failure.

4) Characterizing Schedules based on
Recoverability (1)
 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. Prepared by Elisaye B. @WSU-DTC 22
Characterizing Schedules based on
Recoverability (2)
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.
Recoverability (3)
Schedules classified on recoverability
(contd.):
 Schedules requiring cascaded rollback:
 A schedule in which uncommitted
transactions that read an item from a failed
transaction must be rolled back.
 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.
5) Characterizing Schedules based on
Serializability (1)
 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 non-serial
schedule.
 Serializable schedule:

A schedule S is serializable if it is equivalent to
some serial schedule of the same n transactions.
Serializability (2)
 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’.
Serializability (3)
 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 (4)
 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.

Serializability (5)
 View equivalence:
 A less restrictive definition of equivalence of
schedules
 View serializability:
 Definition of serializability based on view
equivalence.
 A schedule is view serializable if it is view
equivalent to a serial schedule.

Serializability (6)
 Two schedules are said to be view equivalent if
the following three conditions hold:
1. The same set of transactions participates in S and
S’, and S and S’ include the same operations of
those transactions.
2. For any operation Ri(X) of Ti in S, if the value of X
read by the operation has been written by an
operation Wj(X) of Tj (or if it is the original value
of X before the schedule started), the same
condition must hold for the value of X read by
operation Ri(X) of Ti in S’.
3. If the operation Wk(Y) of Tk is the last operation to
write item Y in S, then Wk(Y) of Tk must also be
the last operation to write item Y in S’.
Serializability (8)
 The premise behind view equivalence:
 As long as each read operation of a
transaction reads the result of the same
write operation in both schedules, the
write operations of each transaction must
produce the same results.
 “The view”: the read operations are said
to see the same view in both schedules.

Serializability (9)
 Relationship between view and conflict
equivalence:

The two are same under constrained write
assumption which assumes that if T writes X,
it is constrained by the value of X it read; i.e.,
new X = f(old X)

Conflict serializability is stricter than view
serializability. With unconstrained write (or
blind write), a schedule that is view serializable
is not necessarily conflict serializable.

Any conflict serializable schedule is also view
serializable, but not vice versa.
Serializability (10)
 Constructing the Precedence Graphs
 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).

6) Transaction Support in SQL2 (1)
 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. Prepared by Elisaye B. @WSU-DTC 34
Transaction Support in SQL2 (2)
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.

Characteristics specified by a SET TRANSACTION
statement in SQL2 (contd.):
 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.
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.
 Potential problem with lower isolation levels
(contd.):
 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 Prepared
did not exist,
by Elisaye called a phantom.
B. @WSU-DTC 38
 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: ...

 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
TEST1=10%

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Prepared by Elisaye B. @WSU-DTC 1

1 Introduction to Transaction Processing

2 Transaction and System Concepts

3 Desirable Properties of Transactions

4 Characterizing Schedules based on Recoverability

5 Characterizing Schedules based on Serializability

6 Transaction Support in SQL

a program variable. To simplify our notation, we

variable X into the database item named X.

Prepared by Elisaye B. @WSU-DTC 5

Prepared by Elisaye B. @WSU-DTC 6

 A transaction is an atomic unit of work that is either

Prepared by Elisaye B. @WSU-DTC 11

Prepared by Elisaye B. @WSU-DTC 13

Prepared by Elisaye B. @WSU-DTC 14

 Recovery manager keeps track of the following

Prepared by Elisaye B. @WSU-DTC 15

 Recovery techniques use the following operators:

 redo: This specifies that certain transaction operations

Prepared by Elisaye B. @WSU-DTC 16

 The System Log

Prepared by Elisaye B. @WSU-DTC 17

Recovery using log records:

Commit Point of a Transaction:

Prepared by Elisaye B. @WSU-DTC 19

Prepared by Elisaye B. @WSU-DTC 20

Prepared by Elisaye B. @WSU-DTC 21

in a state as if the transactions were serially

the operations in a schedule will be

Prepared by Elisaye B. @WSU-DTC 28

equivalent to a serial schedule.

to see the same view in both schedules.

Prepared by Elisaye B. @WSU-DTC 33

Characteristics specified by a SET TRANSACTION

 READ ONLY or READ WRITE.

Prepared by Elisaye B. @WSU-DTC 35

be READ UNCOMMITTED, READ

Prepared by Elisaye B. @WSU-DTC 39

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