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Chapter 9
Transaction Management and
Concurrency Control
Database Systems: Design, Implementation, and
Management, Fifth Edition, Rob and Coronel
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In this chapter, you will learn:
• What a database transaction is and what its
properties are
• How database transactions are managed
• What concurrency control is and what role it
plays in maintaining the database’s integrity
• What locking methods are and how they work
• How database recovery management is used to
maintain database integrity
Database Systems: Design, Implementation, & Management, 5th Edition, Rob & Coronel
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What is a Transaction?
• Logical unit of work
• Must be either entirely completed or aborted
• No intermediate states are acceptable
Figure 9.1
Database Systems: Design, Implementation, & Management, 5th Edition, Rob & Coronel
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Example Transaction
• Examine current account balance
SELECT ACC_NUM, ACC_BALANCE
FROM CHECKACC
WHERE ACC_NUM = ‘0908110638’;
• Consistent state after transaction
• No changes made to Database
Database Systems: Design, Implementation, & Management, 5th Edition, Rob & Coronel
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Example Transaction
• Register credit sale of 100 units of product X to
customer Y for $500
UPDATE PRODUCT
SET PROD_QOH = PROD_QOH - 100
WHERE PROD_CODE = ‘X’;
UPDATE ACCT_RECEIVABLE
SET ACCT_BALANCE = ACCT_BALANCE + 500
WHERE ACCT_NUM = ‘Y’;
• Consistent state only if both transactions are fully
completed
• DBMS doesn’t guarantee transaction represents
real-world event
Database Systems: Design, Implementation, & Management, 5th Edition, Rob & Coronel
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Transaction Properties
• Atomicity
– All transaction operations must be completed
– Incomplete transactions aborted
• Durability
– Permanence of consistent database state
• Serializability
– Conducts transactions in serial order
– Important in multi-user and distributed databases
• Isolation
– Transaction data cannot be reused until its
execution complete
Database Systems: Design, Implementation, & Management, 5th Edition, Rob & Coronel
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Transaction Management with SQL
• Transaction support
– COMMIT
– ROLLBACK
• User initiated transaction sequence must
continue until:
–
–
–
–
COMMIT statement is reached
ROLLBACK statement is reached
End of a program reached
Program reaches abnormal termination
Database Systems: Design, Implementation, & Management, 5th Edition, Rob & Coronel
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Transaction Log
• Tracks all transactions that update database
• May be used by ROLLBACK command
• May be used to recover from system failure
• Log stores
– Record for beginning of transaction
– Each SQL statement
•
•
•
•
Operation
Names of objects
Before and after values for updated fields
Pointers to previous and next entries
– Commit Statement
Database Systems: Design, Implementation, & Management, 5th Edition, Rob & Coronel
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Transaction Log Example
Table 9.1
Database Systems: Design, Implementation, & Management, 5th Edition, Rob & Coronel
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Concurrency Control
• Coordinates simultaneous transaction execution
in multiprocessing database
– Ensure serializability of transactions in multiuser
database environment
– Potential problems in multiuser environments
• Lost updates
• Uncommitted data
• Inconsistent retrievals
Database Systems: Design, Implementation, & Management, 5th Edition, Rob & Coronel
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Lost Updates
Table 9.2
Table 9.3
Database Systems: Design, Implementation, & Management, 5th Edition, Rob & Coronel
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Uncommitted Data
Table 9.4
Table 9.5
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Inconsistent Retrievals
Table 9.6
Table 9.7
Database Systems: Design, Implementation, & Management, 5th Edition, Rob & Coronel
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Inconsistent Retrievals (con’t.)
Table 9.8
Database Systems: Design, Implementation, & Management, 5th Edition, Rob & Coronel
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The Scheduler
• Establishes order of concurrent transaction
execution
• Interleaves execution of database operations to
ensure serializability
• Bases actions on concurrency control algorithms
– Locking
– Time stamping
• Ensures efficient use of computer’s CPU
Database Systems: Design, Implementation, & Management, 5th Edition, Rob & Coronel
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Read/Write Conflict Scenarios:
Conflicting Database Operations Matrix
Table 9.9
Database Systems: Design, Implementation, & Management, 5th Edition, Rob & Coronel
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Concurrency Control
with Locking Methods
• Lock guarantees current transaction
exclusive use of data item
• Acquires lock prior to access
• Lock released when transaction is
completed
• DBMS automatically initiates and enforces
locking procedures
• Managed by lock manager
• Lock granularity indicates level of lock use
Database Systems: Design, Implementation, & Management, 5th Edition, Rob & Coronel
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Database-Level Locking Sequence
Figure 9.2
Database Systems: Design, Implementation, & Management, 5th Edition, Rob & Coronel
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Table-Level Lock Example
Figure 9.3
Database Systems: Design, Implementation, & Management, 5th Edition, Rob & Coronel
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Page-Level Lock Example
Figure 9.4
Database Systems: Design, Implementation, & Management, 5th Edition, Rob & Coronel
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Row-Level Lock Example
Figure 9.5
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Binary Locks
• Two states
– Locked (1)
– Unlocked (0)
• Locked objects unavailable to other objects
– Unlocked objects open to any transaction
– Transaction unlocks object when complete
Database Systems: Design, Implementation, & Management, 5th Edition, Rob & Coronel
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Example of Binary Lock Table
Table 9.10
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Shared/Exclusive Locks
• Shared
– Exists when concurrent transactions granted
READ access
– Produces no conflict for read-only transactions
– Issued when transaction wants to read and
exclusive lock not held on item
• Exclusive
– Exists when access reserved for locking
transaction
– Used when potential for conflict exists
– Issued when transaction wants to update unlocked
data
Database Systems: Design, Implementation, & Management, 5th Edition, Rob & Coronel
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Problems with Locking
• Transaction schedule may not be serializable
– Managed through two-phase locking
• Schedule may create deadlocks
– Managed by using deadlock detection and
prevention techniques
Database Systems: Design, Implementation, & Management, 5th Edition, Rob & Coronel
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Two-Phase Locking
• Growing phase
• Shrinking phase
• Governing rules
– Two transactions cannot have conflicting locks
– No unlock operation can precede a lock operation
in the same transaction
– No data are affected until all locks are obtained
Database Systems: Design, Implementation, & Management, 5th Edition, Rob & Coronel
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Two-Phase Locking Protocol
Figure 9.6
Database Systems: Design, Implementation, & Management, 5th Edition, Rob & Coronel
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Deadlocks
• Occurs when two transactions
wait for each other to unlock data
• Called deadly embrace
• Control techniques
– Deadlock prevention
– Deadlock detection
– Deadlock avoidance
Database Systems: Design, Implementation, & Management, 5th Edition, Rob & Coronel
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How Deadlock Conditions Created
Database Systems: Design, Implementation, & Management, 5th Edition, Rob & Coronel
Table 9.11
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Concurrency Control with Time
Stamping Methods
• Assigns global unique time stamp to each
transaction
• Produces order for transaction submission
• Properties
– Uniqueness
– Monotonicity
• DBMS executes conflicting operations in time
stamp order
• Each value requires two additional time stamps
fields
– Last time field read
– Last update
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Concurrency Control with
Optimistic Methods
• Assumes most database operations do not
conflict
• Transaction executed without restrictions
until committed
• Phases:
– Read Phase
– Validation Phase
– Write Phase
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Database Recovery Management
• Restores a database to previously consistent
state
• Based on the atomic transaction property
• Level of backup
– Full backup
– Differential
– Transaction log
Database Systems: Design, Implementation, & Management, 5th Edition, Rob & Coronel
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Causes of Database Failure
•
•
•
•
•
Software
Hardware
Programming Exemption
Transaction
External
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Transaction Recovery
• Deferred-write and Deferred-update
– Changes are written to the transaction log
– Database updated after transaction reaches
commit point
• Write-through
–
–
–
–
Immediately updated by during execution
Before the transaction reaches its commit point
Transaction log also updated
Transaction fails, database uses log information
to ROLLBACK
Database Systems: Design, Implementation, & Management, 5th Edition, Rob & Coronel
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