1. Concurrency Control and Recovery In real life: users access the database concurrently, and systems crash. Concurrent access to the database also improves performance, yields better utilization of resources. BUT: if not careful, concurrent access can lead to incorrect database states. Crashes can also leave the database in incoherent states. Basic concurrency/recovery concept: transaction executed atomically. All or nothing. We cover: transactions in SQL implementation of transactions and recovery.

2. Flight Reservation get values for :flight, :date, :seat EXEC SQL SELECT occupied INTO :occ FROM Flight WHERE fltNum = :flight AND fltdt= :date AND fltSeat=:seat if (!occ) { EXEC SQL UPDATE Flights SET occupied = ‘true’ WHERE fltNum= :flight AND fltdt= :date AND fltSeat=:seat /* more code missing */ } else /* notify customer that seat is not available */

3. Problem #1 Customer 1 - finds a seat empty Customer 2 - finds the same seat empty Customer 1 - reserves the seat. Customer 2 - reserves the seat. Customer 1 will not be happy. serializability

4. Bank Transfers Transfer :amount from :account1 to :account2 EXEC SQL SELECT balance INTO :balance1 FROM Accounts WHERE accNo = :account1 if (balance1 >= amount) EXEC SQL UPDATE Accounts SET balance = balance + :amount WHERE acctNo = :account2; EXEC SQL UPDATE Accounts SET balance = balance - :amount WHERE acctNo = :account1; Crash...

5. Transactions The user/programmer can group a sequence of commands so that they are executed atomically and in a serializable fashion: Transaction commit: all the operations should be done and recorded. Transaction abort: none of the operations should be done. In SQL: EXEC SQL COMMIT; EXEC SQL ROLLBACK; Easier said than done...

6. ACID ACID Properties A Atomicity: all actions of a transaction happen, or none happen. C Consistency: if a transaction is consistent, and the database starts from a consistent state, then it will end in a consistent state. I Isolation: the execution of one transaction is isolated from other transactions. D Durability: if a transaction commits, its effects persist in the database.

7. How Do We Assure ACID? Concurrency control: Guarantees consistency and isolation, given atomicity. Logging and Recovery: Guarantees atomicity and durability. If you are going to be in the logging business, one of the things that you’ll have to do is learn about heavy equipment. -- Robert VanNatta Logging History of Columbia County

8. More on SQL and Transactions Read only transactions: if the transaction is only reading, we can allow more operations in parallel. EXEC SQL SET TRANSACTION READ ONLY; The default is: SET TRANSACTION READ WRITE;

9. Dirty Data Data that has been written by a transaction that has not committed yet is called dirty data. Do we allow our transaction to read dirty data? It may go away… In SQL: SET TRANSACTION ISOLATION LEVEL READ UNCOMMITTED Note: default for READ UNCOMMITTED transactions is that they are READ ONLY.

10. Problems with Dirty Data Transfer program: 1. Add $N to account 2. 2. If account 1 has enough for the transfer, then: subtract $N from account 1, and commit else: Subtract $N from account 2, and commit Bad scenario: A1: $100, A2: $200, A3: $300 T1: transfer $150 from A1 to A2 T2: transfer $250 from A2 to A3. Events: T2 does step 1, -> A3 has $550 T1 does step 1, -> A2 has $350 T2 does step 2 (then), all is ok (A2 now has $100) T1 does step 2 and finds that A1 doesn’t have enough funds so A2 ends up with -$50.

11. Concurrency Control Methods Schedules Serial schedules Serializable schedules Locking Lock manager 2 Phase Locking Deadlocks: Prevention Detection

12. Schedules A schedule is an interleaving of a set of actions of different transactions, such that the actions of any single transaction are in order. A schedule represents some actual sequence of database actions. In a complete schedule, every transaction either commits or aborts. Initial state + Schedule -> Final state.

13. Acceptable Schedules Serial schedules: The transactions run one at a time from beginning to completion. Note: there are many possible serial schedules. Each one is OK. The DBMS does not provide any guarantee in which order concurrently submitted transactions are executed. Serializable schedules: Final state is what some serial schedule would have produced.

14. Aborted Transactions Slight modification to the definition: A schedule is serializable if it is equivalent to a serial schedule of committed transactions. As if the aborted transactions never happened. Two issues to consider w.r.t. aborted transactions: how does one undo the effect of a transaction? What if another transaction sees the effects of an aborted one?

15. Locks Concurrency control is usually done via locking. The lock manager maintains a list of entries: object identifier (can be page, record, etc.) number of objects holding lock on the object nature of the lock (shared or exclusive) pointer to a list of lock requests. Lock compatibility table: If a transaction cannot get a lock, it is suspended on a wait queue. -- SX S X     

16. Handling Lock Requests Lock Request (OID, Mode) Currently Locked? Grant Lock Empty Wait Queue? Mode==X Mode==S No Yes No Yes Put on Queue Yes No Exclusive lock on OID?

17. Two-Phase Locking (2PL) 2 phase locking: if T wants to read an object, it first obtains an S lock. If T wants to write an object, it first obtains an X lock. If T releases any lock, it can acquire no new locks. Recall: all this is done transparently to the user by the DBMS. 2PL guarantees serializability! Why?? lock point growing phase shrinking phase Time # of lock s

18. Serializability Graphs Two actions conflict if they access the same data item. The precedence graph contains: A node for every committed transaction An arc from T i to T j if an action of T i precedes and conflicts with an action of T j. T1 transfers $100 from A to B, T2 adds 6% to both R 1 (A), W 1 (A), R 2 (A), W 2 (A), R 2 (B), W 2 (B), R 1 (B), W 1 (B) T1 T2

19. Conflict Serializability 2 schedules are conflict equivalent if: –they have the same sets of actions, and –each pair of conflicting actions is ordered in the same way. A schedule is conflict serializable if it is conflict equivalent to a serial schedule. –Note: Some serializable schedules are not conflict serializable! Theorem: A schedule is conflict serializable iff its precedence graph is acyclic. Theorem: 2PL ensures that the precedence graph will be acyclic!

20. Deadlocks Suppose we have the following scenario: T1 asks for an exclusive lock on A T2 asks for an exclusive lock on B T1 asks for a shared lock on B T2 asks for a shared lock on A Both T1 and T2 are waiting! We have a DEADLOCK. Possible solutions: Prevent deadlocks to start with, or Detect when they happen and do something about it.

21. Deadlock Prevention Give each transaction a timestamp. “Older” transactions have higher priority. Assume T i requests a lock, but T j holds a conflicting lock. We can follow two strategies: Wait-die: if T i has higher priority, it waits; else T i aborts. Wound-wait: if T i has higher priority, abort T j ; else T i waits. Note: after aborting, restart with original timestamp! Both strategies guarantee deadlock-free behavior!

22. An Alternative to Prevention In theory, deadlock can involve many transactions: T1 waits-for T2 waits-for T3...waits-for T1 In practice, most “deadlock cycles” involve only 2 transactions. Don’t need to prevent deadlock! What’s the problem with prevention? Allow it to happen, then notice it and fix it. Deadlock detection.

23. Deadlock Detection Lock Manager maintains a “Waits-for” graph: Node for each transaction. Arc from Ti to Tj if Tj holds a lock and Ti is waiting for it. Periodically check graph for cycles. “Shoot” some transaction to break the cycle. Simpler hack: time-outs. T1 made no progress for a while? Shoot it.

24. Detection Versus Prevention Prevention might abort too many transactions. Detection might allow deadlocks to tie up resources for a while. –Can detect more often, but it’s time-consuming. The usual answer: –Detection is the winner. –Deadlocks are pretty rare. –If you get a lot of deadlocks, reconsider your schema/workload!

25. ACID Review: ACID Properties A Atomicity: all actions of a transaction happen, or none happen. C Consistency: if a transaction is consistent, and the database starts from a consistent state, then it will end in a consistent state. I Isolation: the execution of one transaction is isolated from other transactions. D Durability: if a transaction commits, its effects persist in the database. The Recovery Manager guarantees Atomicity & Durability.