1. Principles of Transaction Management

2. Outline Transaction concepts & protocols Performance impact of concurrency control Performance tuning

3. Application Programmer (e.g., business analyst, Data architect) Sophisticated Application Programmer (e.g., SAP admin) DBA, Tuner Hardware [Processor(s), Disk(s), Memory] Operating System Concurrency ControlRecovery Storage Subsystem Indexes Query Processor Application

4. Transaction Concepts & Protocols Transaction –A logical unit of database processing –A sequence of begin, reads/writes, end –Unit of recovery, consistency, concurrency Transaction Processing Systems –Large databases with multiple users executing database transactions –Examples Banking systems, airline reservations, supermarket checkouts,...

5. Transaction States Active Failed Committed Terminated Partially Committed begin- transaction commit read-item, write-item abort end- transaction STATE Transition

6. Interleaved Transactions A and B are concurrent transactions t1t2t3t4t5 Time A B A B

7. Transaction “Correctness” ACID properties –Atomicity –Consistency –Isolation –Durability Enforced by concurrency control and recovery methods of the DBMS

8. Serial Schedule Schedule –A sequence of read & write operations from various transactions –R1[X] W3[Y] R2[X] W2[Y] W1[X] W2[X] Serial schedule –No interleaved operations from the participating transactions –W3[Z] R3[Y] R1[X] W1[Y] R2[Y] W2[Z] W2[X] –Always correct, but … so slow! A schedule that is equivalent to some serial schedule is correct too

9. Serializable Schedule T1T2 R(A) W(A) R(A) W(A) R(B) W(B) R(B) W(B) Commit

10. Equivalent Schedules 2 schedules are equivalent if the transactions –Read the same values –Produce the same output –Have the same effect on the database Examples 1.R1[X] W2[X] R3[Y] W1[Y] R2[Y] W3[Z] W2[Z] 2.W3[Z] R3[Y] R1[X] W1[Y] R2[Y] W2[Z] W2[X] 3.W2[X] R1[X] W1[Y] R2[Y] W3[Z] W2[Z] R3[Y] 1 and 2 are equivalent; not 3

11. Serializable Schedule Theorem A schedule is serializable if there is a serial schedule such that for every conflicting pair of operations, the two operations appear in the same order in both schedules. 2 operations conflict if they are on the same object and one is a write Example 1 is serializable

12. WR Conflicts T1T2 R(A) ($200) W(A) ($100) R(A) (100) W(A) (106) R(B) (200) W(B) (212) R(B) (212) W(B) (312) Commit T1 transfer $100 from A to B, and T2 increments both and B by 6% (A and B have $200 initially) Dirty read R(A) Unrepeatable Read (UR)

13. WW Conflicts T1T2 R(A) W(A) ($1000) R(A) W(A) ($2000) R(B) W(B) ($2000) R(B) W(B) ($1000) Commit T1 to set both A and B to $1000, T2 to set both A and B to $2000 Lost Update!

14. Concurrency Control Enforces Serializability Most commercial DBMS use protocols (a set of rules) which when enforced by DBMS ensure the serializability of all schedules in which transactions participate. –Serializability testing after execution is meaningless; how to rectify? –This done by Concurrency Control

15. Concurrency Control Protocols Commercially accepted mechanisms –Locking –Timestamps Others mechanisms –Multi-version and optimistic protocols Granularity issues

16. Locking Locking is used to synchronize accesses by concurrent transactions on data items –A concept also found in operating systems and concurrent programming A lock is a variable for a data item, that describes the status of the item with respect to allowable operations

17. Types of Locks Binary locks –Locked, or Unlocked Check before enter; wait when locked; lock after enter; unlock after use (and wakeup one waiting transaction). –Simple but too restrictive Read/Write locks in commercial DBMS –read-locked –write-locked –Unlocked R-lock W-lock R-lock W-lock Y N N N

18. Read/Write Locking Scheme A transaction T must issue read-lock (X) or write-lock before any read-item (X) T must issue write-lock (X) before any write-item (X) T must issue unlock-item (X) after completing all read-item (X) and write-item (X) T will not issue a read-lock (X) if T already holds a read/write lock on X T will not issue write-lock (X) if T already holds a write lock on X

19. Does Locking Ensure Serializability? X unlocked too early Y unlocked too early T1 read-lock (Y); read-item (Y); unlock (Y); write-lock (X); read-item (X); X:=X+Y; write-item (X); unlock (X); T2 read-lock (X); read-item (X); unlock (X); write-lock (Y); read-item (Y); Y:=X+Y; write-item (Y); unlock (Y); Cannot serialize T1 and T2 X == Y (orignal X + originalY) For serializable T1T2, X == X + Y Y == 2Y + originalX?

20. Need for Locking Protocol Locking alone does not ensure serializability! We need a locking protocol A set of rules that dictate the positioning of locking and unlocking operations, thus guaranteeing serializability

21. Two-Phase Locking (2PL) A transaction follows the two-phase protocol if all locking operations precede the first unlocking operation Phase 2: Shrinking read-lock (Y) unlock (X) unlock (Y) Phase 1: Growing read-lock (X) write-lock (X) write-lock (Y)

22. 2PL Variants Basic 2PL Conservative 2PL –Locking operations precede transaction execution –Make sure can acquire necessary locks Strict 2PL –Unlocking of write-locks after commit (or abort) –Avoid cascading abort Rigorous 2PL –Unlocking of all locks after commit (or abort)

23. Limitations of 2PL Some serializable schedules may not be permitted –Performance not optimal 2PL (and locking in general) may cause deadlocks and starvation –Deadlock: no transactions can proceed –Starvation: some transaction wait forever

24. Lock Granularity Larger size - lower concurrency Smaller size - higher overhead What is the best item size? Processing a mix of transactions? Depends on the type of transactions Multiple granularity locking scheme, changing the size of the data item dynamically

25. Performance of Locking Throughput # of Active Transactions Thrashing Overhead: blocking Increasing the throughput: Locking smaller size objects Reducing locking time Reducing hot spots

26. Other CC Protocols Timestamp based Multi-version based Optimistic concurrency control –No checking is done before or during transaction execution –The transaction is validated at the end of execution, by checking if serializability has been violated

27. Summary of Transaction Concepts ACIDACID  Baseline: Serial Schedule Strict 2PL 2PL Ideal: Serializable Schedule Transaction Correctness    Other CC Protocols Timestamp Multi-version Optimistic

28. Summary To improve performance Interleave transactions Correctness: ACID Serial schedule is correct Serializable schedule is equivalent to some serial schedule Concurrency control enforces serializability 2PL - Deadlock - Starvation - Granularity OptimisticTimestampingMulti-version

29. Performance Impact of Concurrency Control Lock contention Deadlock

30. Performance Impact of Concurrency Control LONG transactions are penalized