Unit -4 - part 1

Course Code: CS302
Database Management Systems
UNIT – IV
Transactions and Query Processing: Transaction Management - ACID properties,

Concurrency control – Schedules - Serializability, Locking Protocols,
Recoverability, Query Processing and optimization, Database Recovery methods.
Slide 1- 1
Copyright © 2016 Ramez Elmasri and Shamkant B. Navathe
What is ATM Transaction?
Copyright © 2016 Ramez Elmasri and Shamkant B. Navathe Slide 1- 2

What is ATM Transaction?
Steps for ATM Transaction

1. Transaction Start.
2. Insert your ATM card.
3. Select a language for your transaction.
4. Select the Savings Account option.
5. Enter the amount you want to withdraw.
6. Enter your secret pin.
7. Wait for some time for processing.
8. Collect your Cash.
9. Transaction Completed.

Introduction to Transaction Processing
 Transaction processing systems are systems with large databases and hundreds
of concurrent users executing database transactions.
 Examples of such systems include
 Banking, credit card processing, online retail purchasing and stock markets
 These systems require

 High availability
 Fast response time for hundreds of concurrent users.

Single-User versus Multiuser Systems
 One criterion for classifying a database system is according to the number of

users who can use the system concurrently.
 A DBMS is single-user if at most one user at a time can use the system
 Single-user DBMSs are mostly restricted to personal computer systems.
 It is multiuser if many users can use the system— and hence access the
database—concurrently.
 For example,
 an airline reservations system is used by hundreds of users and travel agents
concurrently.
 Database systems used in banks, insurance agencies, stock exchanges,
supermarkets, and many other applications are multiuser systems.
 In these systems,
 Hundreds or thousands of users are typically operating on the database
by submitting transactions concurrently to the system.

 How to achieve this multi user access ?
 Multiple users can access databases—and use computer systems—

simultaneously because of the concept of multiprogramming, which allows
the operating system of the computer to execute multiple programs—or
processes—at the same time.
 A single central processing unit (CPU) can only execute at most one
process at a time (Interleaving A and B)
 If the computer system has multiple hardware processors (CPUs), parallel

processing of multiple processes is possible, as illustrated by processes C and
D in Figure


Transaction
 Transaction:
 A transaction is an executing program that forms a logical unit of
database processing.
 A transaction is an action or series of actions by a single user to perform
operations for accessing the contents of the database.

 A transaction usually means that the data in the database has changed.

Transaction
 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:

Operations of Transaction:
 Transaction includes one or more database access operations

 Read operations
 (database retrieval, such as SQL SELECT)

 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 operations
 (modify database, such as SQL INSERT, UPDATE, DELETE)
 Write(X): Write operation is used to write the value back to the
database from the buffer.

 Example: Let's take an example to debit transaction from an account which

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

 A transaction (database operations) may be:

 stand-alone
 specified in a high level language like SQL submitted
interactively
 embedded within a program (most transactions)

Transaction boundaries:
 Begin transaction and End transaction.

 An application program may contain several transactions separated by Begin
and End transaction boundaries.
 If the database operations in a transaction do not update the database but only
retrieve data,
 the transaction is called a read-only transaction.
 otherwise it is known as a read-write transaction.

READ AND WRITE OPERATIONS:
read_item(X) command includes the following steps:

 Find the address of the disk block that contains item X.
 Copy that disk block into a buffer in main memory (if that disk block is not already
in some main memory buffer).
 Copy item X from the buffer to the program variable named X.
write_item(X) command includes the following steps:

 Find the address of the disk block that contains item X.
 Copy that disk block into a buffer in main memory (if it is not already in some main
memory buffer).
 Copy item X from the program variable named X into its correct location in the
buffer.
 Store the updated block from the buffer back to disk (either immediately or at some
later point in time).

READ AND WRITE OPERATIONS:

Transaction property
 The transaction has the four properties.

 These are used to maintain consistency in a database, before and after the
transaction.
Property of Transaction
 Atomicity
 Consistency
 Isolation
 Durability

Transaction property

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.
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.

Atomicity
 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.
T1 T2
Read(A) Read(B)
A:= A-100 Y:= Y+100
Write(A) Write(B)
 After completion of the transaction, A consists of Rs 500 and B consists of Rs 400.

 Consider a scenario - If the transaction T fails after the completion of transaction T1 but
before completion of transaction T2.
 then the amount will be deducted from A but not added to B.
 This shows the inconsistent database state
 In order to ensure correctness of database state, the transaction must be executed in
entirety.

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.
Total before T occurs = 600+300=900

Total after T occurs= 500+400=900

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.
 Example:
 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.

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.

Durability

Summary of ACID Properties
 Atomicity: A transaction is a single unit of operation. You either execute it

entirely or do not execute it at all. There cannot be partial execution.
 Consistency: Once the transaction is executed, it should move from one
consistent state to another.
 Isolation: Transaction should be executed in isolation from other transactions
(no Locks). During concurrent transaction execution, intermediate transaction
results from simultaneously executed transactions should not be made available
to each other. (Level 0,1,2,3)
 Durability:· After successful completion of a transaction, the changes in the
database should persist. Even in the case of system failures.

States of Transaction

States of Transaction
State Transaction types

A transaction enters into an active state when the execution
Active State process begins. During this state read or write operations can be
performed.
A transaction goes into the partially committed state after the end
Partially Committed
of a transaction.
When the transaction is committed to state, it has already
Committed State completed its execution successfully. Moreover, all of its changes
are recorded to the database permanently.
A transaction considers failed when any one of the checks fails or

Failed State
if the transaction is aborted while it is in the active state.
State of transaction reaches terminated state when certain

Terminated State
transactions which are leaving the system can’t be restarted.

Active state
 The active state is the first state of every transaction.

 In this state, the transaction is being executed.
 For example: Insertion or deletion or updating a record is done here. But all
the records are still not saved to the database.

Partially committed
 In the partially committed state, a transaction executes its final operation, but
the data is still not saved to the database.
 In the total mark calculation example, a final display of the total marks step is
executed in this state.
Committed
 A transaction is said to be in a committed state if it executes all its operations
successfully.
 In this state, all the effects are now permanently saved on the database system.

Failed state
 If any of the checks made by the database recovery system fails, then the
transaction is said to be in the failed state.
 In the example of total mark calculation, if the database is not able to fire a
query to fetch the marks, then the transaction will fail to execute.

Aborted or Terminated
 If any of the checks fail and the transaction has reached a failed state then the
database recovery system will make sure that the database is in its previous
consistent state. If not then it will abort or roll back the transaction to bring the
database into a consistent state.
 If the transaction fails in the middle of the transaction then before executing the
transaction, all the executed transactions are rolled back to its consistent state.
 After aborting the transaction, the database recovery module will select one of
the two operations:
 Re-start the transaction
 Kill the transaction

Schedule
 A schedule is a list of transactions.

 Or
 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.
 Or
 A Schedule is a process creating a single group of the multiple parallel
transactions and executing them one by one.
 Or
 When there are multiple transactions that are running in a concurrent manner
and the order of operation is needed to be set so that the operations do not
overlap each other, Scheduling is brought into play and the transactions are
timed accordingly.
Schedule

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:
1. Execute all the operations of T1 which was followed by all the operations
of T2.
2. Execute all the operations of T2 which was followed by all the operations
of T1.
 In the given (b) figure, Schedule B shows the serial schedule where T2
followed by T1.

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

1. Serial Schedule
In the given (b) figure, Schedule B shows the serial schedule where T2 followed
by T1.

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.



 In non-serial schedule - If the schedule is not proper - Then the problems can
arise like
 Multiple update
 Uncommitted dependency
 Incorrect analysis.

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.

3. Serializable schedule
 The main objective of serializability
 Is to find non-serial schedules
 that allow transactions to execute concurrently without interference and
 produce a database state
 that could be produced by a serial execution.

Schedule Example
Consider the following two transactions for a bank:

 The first is meant to deduct $100 from an account
 The second adds 0.5% interest to every account in the bank.
 The transactions are:

Transaction 1
UPDATE accounts SET balance = balance – 100 WHERE acct_id = 3456;
Transaction 2
UPDATE accounts SET balance = balance * 0.005;

Schedule Example
 We'll summarize their interactions with the DBMS in the following form:
Transaction 1: r1(A), w1(A)

Transaction 2: r2(A), w2(A), r2(B), w2(B)
 One Possible Schedule - (Non – serial)

 A schedule is some interleaving of the operations from the two transactions
(without violating the order of operations within any individual transaction).

Schedule Example
Schedule S:
r1(A), r2(A), w1(A), w2(A), r2(B), w2(B)
 If account A starts with $200
 If account B starts with $100
 We can trace what would happen with Schedule S.

Schedule Example
 Schedule S is very bad! (At least, it's bad if you're the bank!)
 We withdrew $100 from account A,
 But somehow the database has recorded that our account now holds $201.

Schedule Example
Serial schedule
 Our idea is a serial schedule, in which all operations by a transaction are
grouped together.
 For our two transactions, • There are only two ways to arrange their operations
to get a serial schedule:
 Serial schedule 1: r1(A), w1(A), r2(A), w2(A), r2(B), w2(B)

 Serial schedule 2: r2(A), w2(A), r2(B), w2(B), r1(A), w1(A)

Schedule Example
Serial schedule
 Problem :
 In practice, a serial schedule isn't realistic, because it means we must wait for
one transaction to complete before starting another.
 Solution:
 We would really prefer to interleave them — but we need to interleave the
transactions so that they work the same as some serial schedule.

Schedule Example
serializable schedule
 As an example, consider Schedule T, which has swapped the third and
fourth operations from S:
 •
 Schedule T: r1(A), r2(A), w2(A), w1(A), r2(B), w2(B)

5.Lossless Decomposition - Example
 Now, when these two relations are joined on the common column "EMP_ID",
then the resultant relation will look like:
 Employee ⋈ Department
EMP_ID EMP_NAME EMP_AGE EMP_CITY DEPT_ID DEPT_NAM

E
22 Denim 28 Mumbai 827 Sales

33 Alina 25 Delhi 438 Marketing
46 Stephan 30 Bangalore 869 Finance
52 Katherine 36 Mumbai 575 Production
60 Jack 40 Noida 678 Testing

Unit -4 - part 1

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Unit -4 - part 1

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Course Code: CS302

Database Management Systems

Transactions and Query Processing: Transaction Management - ACID properties,

Copyright © 2016 Ramez Elmasri and Shamkant B. Navathe Slide 1- 2

Steps for ATM Transaction

Copyright © 2016 Ramez Elmasri and Shamkant B. Navathe Slide 1- 3

 These systems require

 Fast response time for hundreds of concurrent users.

Copyright © 2016 Ramez Elmasri and Shamkant B. Navathe Slide 1- 4

 One criterion for classifying a database system is according to the number of

 Hundreds or thousands of users are typically operating on the database

by submitting transactions concurrently to the system.

Copyright © 2016 Ramez Elmasri and Shamkant B. Navathe Slide 1- 5

 How to achieve this multi user access ?

 Multiple users can access databases—and use computer systems—

process at a time (Interleaving A and B)

 If the computer system has multiple hardware processors (CPUs), parallel

Copyright © 2016 Ramez Elmasri and Shamkant B. Navathe Slide 1- 6

Copyright © 2016 Ramez Elmasri and Shamkant B. Navathe Slide 1- 7

operations for accessing the contents of the database.

Copyright © 2016 Ramez Elmasri and Shamkant B. Navathe Slide 1- 8

Copyright © 2016 Ramez Elmasri and Shamkant B. Navathe Slide 1- 9

 Transaction includes one or more database access operations

 (database retrieval, such as SQL SELECT)

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.

Copyright © 2016 Ramez Elmasri and Shamkant B. Navathe Slide 1- 10

 Example: Let's take an example to debit transaction from an account which

Copyright © 2016 Ramez Elmasri and Shamkant B. Navathe Slide 1- 11

 But it may be possible that because of the failure of hardware, software or

To solve this problem, we have two important operations:

Copyright © 2016 Ramez Elmasri and Shamkant B. Navathe Slide 1- 12

 A transaction (database operations) may be:

 specified in a high level language like SQL submitted

Copyright © 2016 Ramez Elmasri and Shamkant B. Navathe Slide 1- 13

 Begin transaction and End transaction.

 otherwise it is known as a read-write transaction.

Copyright © 2016 Ramez Elmasri and Shamkant B. Navathe Slide 1- 14

read_item(X) command includes the following steps:

write_item(X) command includes the following steps:

Copyright © 2016 Ramez Elmasri and Shamkant B. Navathe Slide 1- 15

Copyright © 2016 Ramez Elmasri and Shamkant B. Navathe Slide 1- 16

 The transaction has the four properties.

Copyright © 2016 Ramez Elmasri and Shamkant B. Navathe Slide 1- 17

Copyright © 2016 Ramez Elmasri and Shamkant B. Navathe Slide 1- 18

Atomicity involves the following two operations:

Copyright © 2016 Ramez Elmasri and Shamkant B. Navathe Slide 1- 19

 After completion of the transaction, A consists of Rs 500 and B consists of Rs 400.

Copyright © 2016 Ramez Elmasri and Shamkant B. Navathe Slide 1- 20

Total before T occurs = 600+300=900

Copyright © 2016 Ramez Elmasri and Shamkant B. Navathe Slide 1- 21

Copyright © 2016 Ramez Elmasri and Shamkant B. Navathe Slide 1- 22

 The durability property is used to indicate the performance of the database's

Copyright © 2016 Ramez Elmasri and Shamkant B. Navathe Slide 1- 23

Copyright © 2016 Ramez Elmasri and Shamkant B. Navathe Slide 1- 24

 Atomicity: A transaction is a single unit of operation. You either execute it

Copyright © 2016 Ramez Elmasri and Shamkant B. Navathe Slide 1- 25

Copyright © 2016 Ramez Elmasri and Shamkant B. Navathe Slide 1- 26

State Transaction types

A transaction considers failed when any one of the checks fails or

State of transaction reaches terminated state when certain

Copyright © 2016 Ramez Elmasri and Shamkant B. Navathe Slide 1- 27

 The active state is the first state of every transaction.

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 Kill the transaction

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 A schedule is a list of transactions.

Copyright © 2016 Ramez Elmasri and Shamkant B. Navathe Slide 1- 33

Copyright © 2016 Ramez Elmasri and Shamkant B. Navathe Slide 1- 34

Copyright © 2016 Ramez Elmasri and Shamkant B. Navathe Slide 1- 35

Copyright © 2016 Ramez Elmasri and Shamkant B. Navathe Slide 1- 36

Copyright © 2016 Ramez Elmasri and Shamkant B. Navathe Slide 1- 37

Copyright © 2016 Ramez Elmasri and Shamkant B. Navathe Slide 1- 38