BITS WASE Database Design Applications Session 11 12

April 28, 2015 Database Design & Applications Session 11 - 12 By Dr. K. Satyanarayan Reddy 1

SESSION – 11By Dr. K. Satyanarayan Reddy

Transaction Processing, Concurrency and Recovery

Slide 18- 3

Database Concurrency Control• 1 Purpose of Concurrency Control

• To enforce Isolation (through mutual exclusion) among conflictingtransactions.

• To preserve database consistency through consistency preservingexecution of transactions.

• To resolve read-write and write-write conflicts.

• Example:• In concurrent execution environment if T1 conflicts with T2 over a

data item A, then the existing concurrency control decides if T1 or T2should get the A and if the other transaction is rolled-back or waits.

April 28, 2015 Database Design & Applications Session 11 - 12 By Dr. K. Satyanarayan Reddy

Slide 18- 4

Database Concurrency ControlTwo-Phase Locking Techniques

• Locking is an operation which secures• (a) permission to Read

• (b) permission to Write a data item for a transaction.

• Example:• Lock (X). Data item X is locked in behalf of the requesting transaction.

• Unlocking is an operation which removes these permissions from thedata item.

• Example:• Unlock (X): Data item X is made available to all other transactions.

• Lock and Unlock are Atomic operations.


Slide 18- 5

Database Concurrency Control

Two-Phase Locking Techniques: Essential components• Two locks modes:

• (a) shared (read) (b) exclusive (write).

• Shared mode: shared lock (X)• More than one transaction can apply share lock on X for reading its

value but no write lock can be applied on X by any othertransaction.

• Exclusive mode: Write lock (X)• Only one write lock on X can exist at any time and no shared lock

can be applied by any other transaction on X.

• Conflict matrixRead Write

Read

Write

N

NN

Y


Slide 18- 6

Database Concurrency ControlTwo-Phase Locking Techniques: Essential

components

• Lock Manager:

• Managing locks on data items.

• Lock table:

• Lock manager uses it to store the identify of transactionlocking a data item, the data item, lock mode and pointer tothe next data item locked. One simple way to implement alock table is through linked list.

T1

Transaction ID Data item id lock mode Ptr to next data item

NextX1 Read


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components

• Database requires that all transactions should be well-formed. A transaction is well-formed if:

• It must lock the data item before it reads or writes to it.

• It must not lock an already locked data items and it must nottry to unlock a free data item.


Slide 18- 8

Database Concurrency ControlTwo-Phase Locking Techniques: Essential components

• The following code performs the lock operation:

B: if LOCK (X) = 0 (*item is unlocked*)

then LOCK (X) 1 (*lock the item*)

else begin

wait (until lock (X) = 0) and

the lock manager wakes up the transaction);

goto B

end;


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components

• The following code performs the unlock operation:

LOCK (X) 0 (*unlock the item*)

if any transactions are waiting then

wake up one of the waiting the transactions;


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• The following code performs the read operation:

B: if LOCK (X) = “unlocked” then

begin LOCK (X) “read-locked”;

no_of_reads (X) 1;

end

else if LOCK (X) “read-locked” then

no_of_reads (X) no_of_reads (X) +1

else begin wait (until LOCK (X) = “unlocked” and


go to B

end;


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• The following code performs the write lock operation:

B: if LOCK (X) = “unlocked” then

begin LOCK (X) “read-locked”;

no_of_reads (X) 1;

end

else if LOCK (X) “read-locked” then

no_of_reads (X) no_of_reads (X) +1

else begin wait (until LOCK (X) = “unlocked” and


go to B

end;


Slide 18- 12


• The following code performs the unlock operation:

if LOCK (X) = “write-locked” then

begin LOCK (X) “unlocked”;wakes up one of the transactions, if any

end

else if LOCK (X) “read-locked” thenbegin

no_of_reads (X) no_of_reads (X) -1if no_of_reads (X) = 0 then

begin

LOCK (X) = “unlocked”;

wake up one of the transactions, if any

end

end;


Slide 18- 13

Database Concurrency ControlTwo-Phase Locking Techniques: Essential components• Lock conversion

• Lock upgrade: existing read lock to write lock

if Ti has a read-lock (X) and Tj has no read-lock (X) (i j) then

convert read-lock (X) to write-lock (X)

else

force Ti to wait until Tj unlocks X

• Lock downgrade: existing write lock to read lock

Ti has a write-lock (X) (*no transaction can have any lock on X*)

convert write-lock (X) to read-lock (X)


Slide 18- 14

Database Concurrency ControlTwo-Phase Locking Techniques: The algorithm• Two Phases:

• (a) Locking (Growing)• (b) Unlocking (Shrinking).

• Locking (Growing) Phase:• A transaction applies locks (read or write) on desired data items one at a

time.• Unlocking (Shrinking) Phase:

• A transaction unlocks its locked data items one at a time.• Requirement:

• For a transaction these two phases must be mutually exclusively, that is,during locking phase unlocking phase must not start and during unlockingphase locking phase must not begin.


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Database Concurrency ControlTwo-Phase Locking Techniques: The algorithm

T1 T2 Result

read_lock (Y); read_lock (X); Initial values: X=20; Y=30read_item (Y); read_item (X); Result of serial executionunlock (Y); unlock (X); T1 followed by T2write_lock (X); Write_lock (Y); X=50, Y=80.read_item (X); read_item (Y); Result of serial executionX:=X+Y; Y:=X+Y; T2 followed by T1write_item (X); write_item (Y); X=70, Y=50unlock (X); unlock (Y);


Slide 18- 16


T1 T2 Result

read_lock (Y); X=50; Y=50read_item (Y); Nonserializable because it.unlock (Y); violated two-phase policy.

read_lock (X);read_item (X);unlock (X);write_lock (Y);read_item (Y);Y:=X+Y;write_item (Y);unlock (Y);

write_lock (X);read_item (X);X:=X+Y;write_item (X);unlock (X);

Time


Slide 18- 17


T’1 T’2

read_lock (Y); read_lock (X); T1 and T2 follow two-phaseread_item (Y); read_item (X); policy but they are subject towrite_lock (X); Write_lock (Y); deadlock, which must beunlock (Y); unlock (X); dealt with.read_item (X); read_item (Y);X:=X+Y; Y:=X+Y;write_item (X); write_item (Y);unlock (X); unlock (Y);


Slide 18- 18

Database Concurrency ControlTwo-Phase Locking Techniques: The algorithm• Two-phase policy generates two locking algorithms

• (a) Basic• (b) Conservative

• Conservative:• Prevents deadlock by locking all desired data items before transaction

begins execution.• Basic:

• Transaction locks data items incrementally. This may cause deadlock whichis dealt with.

• Strict:• A more stricter version of Basic algorithm where unlocking is performed

after a transaction terminates (commits or aborts and rolled-back). This isthe most commonly used two-phase locking algorithm.


Slide 18- 19

Database Concurrency ControlDealing with Deadlock and Starvation

• Deadlock

T’1 T’2

read_lock (Y); T1 and T2 did follow two-phaseread_item (Y); policy but they are deadlock

read_lock (X);read_item (Y);

write_lock (X);(waits for X) write_lock (Y);

(waits for Y)

• Deadlock (T’1 and T’2)


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• Deadlock prevention

• A transaction locks all data items it refers to before itbegins execution.

• This way of locking prevents deadlock since atransaction never waits for a data item.

• The conservative two-phase locking uses thisapproach.


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• Deadlock detection and resolution

• In this approach, deadlocks are allowed to happen. The schedulermaintains a wait-for-graph for detecting cycle. If a cycle exists, thenone transaction involved in the cycle is selected (victim) and rolled-back.

• A wait-for-graph is created using the lock table. As soon as atransaction is blocked, it is added to the graph. When a chain like: Tiwaits for Tj waits for Tk waits for Ti or Tj occurs, then this creates acycle. One of the transaction o


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• Deadlock avoidance

• There are many variations of two-phase locking algorithm.

• Some avoid deadlock by not letting the cycle to complete.

• That is as soon as the algorithm discovers that blocking a transactionis likely to create a cycle, it rolls back the transaction.

• Wound-Wait and Wait-Die algorithms use timestamps to avoiddeadlocks by rolling-back victim.


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• Starvation• Starvation occurs when a particular transaction consistently waits or

restarted and never gets a chance to proceed further.

• In a deadlock resolution it is possible that the same transaction mayconsistently be selected as victim and rolled-back.

• This limitation is inherent in all priority based schedulingmechanisms.

• In Wound-Wait scheme a younger transaction may always bewounded (aborted) by a long running older transaction which maycreate starvation.


SESSION – 12Transaction Processing, Concurrency and

Recovery cont’d….

April 28, 2015

Database Design & Applications Session 11 - 12 By Dr. K. Satyanarayan Reddy 24

Slide 19- 25

Database Recovery1 Purpose of Database Recovery

• To bring the database into the last consistent state, whichexisted prior to the failure.

• To preserve transaction properties (Atomicity, Consistency,Isolation and Durability).

• Example:

• If the system crashes before a fund transfer transactioncompletes its execution, then either one or both accounts mayhave incorrect value. Thus, the database must be restored tothe state before the transaction modified any of the accounts.

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Database Recovery2 Types of Failure

• The database may become unavailable for use due to

• Transaction failure: Transactions may fail because ofincorrect input, deadlock, incorrect synchronization.

• System failure: System may fail because of addressing error,application error, operating system fault, RAM failure, etc.

• Media failure: Disk head crash, power disruption, etc.

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Database Recovery

3 Transaction Log• For recovery from any type of failure data values prior to

modification (BFIM - BeFore Image) and the new value aftermodification (AFIM – AFter Image) are required.

• These values and other information is stored in a sequential filecalled Transaction log. A sample log is given below. Back P andNext P point to the previous and next log records of the sametransaction.

T ID Back P Next P Operation Data item BFIM AFIM

T1 0 1

T1 1 4

T2 0 8

T1 2 5

T1 4 7

T3 0 9

T1 5 nil

Begin

Write

W

R

R

End

BeginX

Y

M

N

X = 200

Y = 100

M = 200

N = 400

X = 100

Y = 50

M = 200

N = 400

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Database Recovery4 Data Update

• Immediate Update: As soon as a data item is modified in cache, thedisk copy is updated.

• Deferred Update: All modified data items in the cache is writteneither after a transaction ends its execution or after a fixed number oftransactions have completed their execution.

• Shadow update: The modified version of a data item does notoverwrite its disk copy but is written at a separate disk location.

• In-place update: The disk version of the data item is overwritten bythe cache version.

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Database Recovery5 Data Caching

• Data items to be modified are first stored intodatabase cache by the Cache Manager (CM) and aftermodification they are flushed (written) to the disk.

• The flushing is controlled by Modified and Pin-Unpinbits.

• Pin-Unpin: Instructs the operating system not to flush thedata item.

• Modified: Indicates the AFIM of the data item.

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Database Recovery6 Transaction Roll-back (Undo) and Roll-Forward(Redo)

• To maintain atomicity, a transaction’s operations areredone or undone.

• Undo: Restore all BFIMs on to disk (Remove all AFIMs).

• Redo: Restore all AFIMs on to disk.

• Database recovery is achieved either by performingonly Undos or only Redos or by a combination of thetwo. These operations are recorded in the log as theyhappen.

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Database Recovery

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Database Recovery

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Database Recovery

Roll-back: One execution of T1, T2 and T3 as recorded in the log.

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Database RecoveryWrite-Ahead Logging

• When in-place update (immediate or deferred) is used then log isnecessary for recovery and it must be available to recoverymanager. This is achieved by Write-Ahead Logging (WAL) protocol.WAL states that

• For Undo: Before a data item’s AFIM is flushed to the database disk(overwriting the BFIM) its BFIM must be written to the log and the logmust be saved on a stable store (log disk).

• For Redo: Before a transaction executes its commit operation, all itsAFIMs must be written to the log and the log must be saved on astable store.

Slide 19- 35

Database Recovery7 Checkpointing

• Time to time (randomly or under some criteria) the databaseflushes its buffer to database disk to minimize the task of recovery.The following steps defines a checkpoint operation:

1. Suspend execution of transactions temporarily.

2. Force write modified buffer data to disk.

3. Write a [checkpoint] record to the log, save the log to disk.

4. Resume normal transaction execution.

• During recovery redo or undo is required to transactions appearingafter [checkpoint] record.

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Database RecoverySteal/No-Steal and Force/No-Force

• Possible ways for flushing database cache to database disk:1. Steal: Cache can be flushed before transaction commits.2. No-Steal: Cache cannot be flushed before transaction commit.3. Force: Cache is immediately flushed (forced) to disk.4. No-Force: Cache is deferred until transaction commits

• These give rise to four different ways for handling recovery:• Steal/No-Force (Undo/Redo)• Steal/Force (Undo/No-redo)• No-Steal/No-Force (Redo/No-undo)• No-Steal/Force (No-undo/No-redo)

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Database Recovery8 Recovery Scheme

• Deferred Update (No Undo/Redo)• The data update goes as follows:

• A set of transactions records their updates in the log.

• At commit point under WAL scheme these updates aresaved on database disk.

• After reboot from a failure the log is used to redo allthe transactions affected by this failure. No undo isrequired because no AFIM is flushed to the disk beforea transaction commits.

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Database Recovery• Deferred Update in a single-user system

There is no concurrent data sharing in a single user system. Thedata update goes as follows:

• A set of transactions records their updates in the log.

• At commit point under WAL scheme these updates are saved ondatabase disk.

• After reboot from a failure the log is used to redo all thetransactions affected by this failure. No undo is required becauseno AFIM is flushed to the disk before a transaction commits.

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Database Recovery

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Database Recovery

Deferred Update with concurrent users

• This environment requires some concurrency control mechanismto guarantee isolation property of transactions. In a systemrecovery transactions which were recorded in the log after the lastcheckpoint were redone. The recovery manager may scan some ofthe transactions recorded before the checkpoint to get the AFIMs.

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Database Recovery

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Database RecoveryDeferred Update with concurrent users• Two tables are required for implementing this protocol:

• Active table: All active transactions are entered in this table.• Commit table: Transactions to be committed are entered in this

table.

• During recovery, all transactions of the commit table are redoneand all transactions of active tables are ignored since none of theirAFIMs reached the database. It is possible that a commit tabletransaction may be redone twice but this does not create anyinconsistency because of a redone is “idempotent”, that is, oneredone for an AFIM is equivalent to multiple redone for the sameAFIM.

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Database RecoveryRecovery Techniques Based on Immediate Update

• Undo/No-redo Algorithm• In this algorithm AFIMs of a transaction are flushed to

the database disk under WAL before it commits.

• For this reason the recovery manager undoes alltransactions during recovery.

• No transaction is redone.

• It is possible that a transaction might have completedexecution and ready to commit but this transaction isalso undone.

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• Undo/Redo Algorithm (Single-user environment)• Recovery schemes of this category apply undo and also redo

for recovery.

• In a single-user environment no concurrency control isrequired but a log is maintained under WAL.

• Note that at any time there will be one transaction in thesystem and it will be either in the commit table or in theactive table.

• The recovery manager performs:• Undo of a transaction if it is in the active table.

• Redo of a transaction if it is in the commit table.

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• Undo/Redo Algorithm (Concurrent execution)

• Recovery schemes of this category applies undo and also redo torecover the database from failure.

• In concurrent execution environment a concurrency control isrequired and log is maintained under WAL.

• Commit table records transactions to be committed and activetable records active transactions. To minimize the work of therecovery manager checkpointing is used.

• The recovery performs:• Undo of a transaction if it is in the active table.

• Redo of a transaction if it is in the commit table.

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Database Recovery

Shadow Paging

• The AFIM does not overwrite its BFIM but recorded at anotherplace on the disk. Thus, at any time a data item has AFIM andBFIM (Shadow copy of the data item) at two different placeson the disk.

X Y

Database

X' Y'

X and Y: Shadow copies of data items

X' and Y': Current copies of data items

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Database Recovery

Shadow Paging• To manage access of data items by concurrent transactions two

directories (current and shadow) are used.• The directory arrangement is illustrated below. Here a page is a data

item.

THANK YOU

April 28, 2015

Database Design & Applications Session 11 - 12 By Dr. K. Satyanarayan Reddy 48

Documents

BITS WASE Database Design Applications Session 11 12