› Action, or series of actions, carried out by
user or application, which reads or
updates contents of database.
› Transforms database from one consistent state to
another, although consistency may be violated
Rushdi Shams, Dept of CSE, KUET 2
Can have one of two outcomes:
› Success - transaction commits and database reaches a
new consistent state.
› Failure - transaction aborts, and database must be
restored to consistent state before it started. Such a
transaction is rolled back or undone.
Committed transaction cannot be aborted.
Aborted transaction that is rolled back can be
Rushdi Shams, Dept of CSE, KUET 3
Process of managing simultaneous operations
on the database without having them interfere
with one another.
Prevents interference when two or more users
are accessing database simultaneously and at
least one is updating data.
Although two transactions may be correct in
themselves, interleaving of operations may
produce an incorrect result.
Rushdi Shams, Dept of CSE, KUET 5
Three examples of potential problems caused
1. Lost update problem.
2. Uncommitted dependency problem.
3. Inconsistent analysis problem.
Rushdi Shams, Dept of CSE, KUET 6
Successfully completed update is overridden by
T1 withdrawing £10 from an account with balx,
T2 depositing £100 into same account.
Serially, final balance would be £190.
Rushdi Shams, Dept of CSE, KUET 7
Occurs when one transaction can see
intermediate results of another transaction
before it has committed.
T4 updates balx to £200 but it aborts, so balx
should be back at original value of £100.
T3 has read new value of balx (£200) and uses
value as basis of £10 reduction, giving a new
balance of £190, instead of £90.
Rushdi Shams, Dept of CSE, KUET 9
Occurs when transaction reads several values but
second transaction updates some of them during
execution of first.
Sometimes referred to as dirty read or
T6 is totaling balances of account x (£100), account
y (£50), and account z (£25).
Meantime, T5 has transferred £10 from balx to balz,
so T6 now has wrong result (£10 too high).
Rushdi Shams, Dept of CSE, KUET 11
Objective of a concurrency control protocol is
to schedule transactions in such a way as to
avoid any interference.
Could run transactions serially, but this limits
degree of concurrency or parallelism in system.
Serializability identifies those executions of
transactions guaranteed to ensure consistency.
Rushdi Shams, Dept of CSE, KUET 13
Sequence of reads/writes by set of concurrent
There are 2 types of scheduling-
1. Serial scheduling
2. Non serial scheduling
Rushdi Shams, Dept of CSE, KUET 14
› Schedule where operations of each transaction are
executed consecutively without any interleaved
operations from other transactions.
Rushdi Shams, Dept of CSE, KUET 15
Schedule where operations from set of
concurrent transactions are interleaved.
Rushdi Shams, Dept of CSE, KUET 16
Objective of serializability is to find nonserial
schedules that allow transactions to execute
concurrently without interfering with one
In other words, want to find nonserial
schedules that are equivalent to some serial
schedule. Such a schedule is called serializable.
Rushdi Shams, Dept of CSE, KUET 17
In serializability, ordering of read/writes is
1. If two transactions only read a data item, they do
not conflict and order is not important.
2. If two transactions either read or write completely
separate data items, they do not conflict and
order is not important.
3. If one transaction writes a data item and another
reads or writes same data item, order of execution
Rushdi Shams, Dept of CSE, KUET 18
Used to test for serializability
› node for each transaction;
› a directed edge Ti → Tj, if Tj reads the value of an
item written by Ti;
› a directed edge Ti → Tj, if Tj writes a value into an
item after it has been read by Ti.
If precedence graph contains cycle you are in
Rushdi Shams, Dept of CSE, KUET 20
T9 is transferring £100 from one account with
balance balx to another account with balance
T10 is increasing balance of these two accounts
Precedence graph has a cycle and so is not
Rushdi Shams, Dept of CSE, KUET 21
Serializability identifies schedules that maintain
database consistency, assuming no transaction
Could also examine recoverability of
transactions within schedule.
Rushdi Shams, Dept of CSE, KUET 23
A schedule is recoverable if, for each pair of
transactions Ti and Tj, if Tj reads a data item
previously written by Ti, then the commit
operation of Ti precedes the commit operation
Rushdi Shams, Dept of CSE, KUET 24
1. Optimistic method:
› Based on assumption that conflict does not happen
› So we better let the transaction run to its
completion and then check at commit time to see if
there is a conflict.
› If there is, the offending transaction simply starts
again from the beginning.
Rushdi Shams, Dept of CSE, KUET 25
› For any given database request, the system
compares the timestamp of the requesting
transaction with the timestamp of the transaction
that last retrieved or updated the requested record.
› If there is a conflict, the requesting transaction can
simply be restarted (with new timestamp).
Rushdi Shams, Dept of CSE, KUET 26
› When a transaction needs an assurance that
transaction will not be affected by others, it
requires a lock on that object.
› Then the first transaction is able to carry out its
processing without fear of others’ interference.
Rushdi Shams, Dept of CSE, KUET 27
Exclusive Lock (XLock): If anybody is
having exclusive lock, the other users
will go into wait list until the exclusive
lock holder releases it.
Shared Lock (SLock): If anybody has
shared lock, the other users with
request shared lock can also have access
Rushdi Shams, Dept of CSE, KUET 28
If A has XLock,
then if B wants XLock, B has to wait
then if B wants SLock, B has to wait
then if B wants NoLock, B can see it
If A has SLock,
then if B wants XLock, B has to wait
then if B wants SLock, B gets permission
then if B wants NoLock, B can see it
If A has NoLock,
then if B wants XLock, B will be granted
then if B wants SLock, B will be granted
then if B wants NoLock, B will be granted
Xlock= Exclusive Lock
SLock= Shared Lock
Rushdi Shams, Dept of CSE, KUET 29
If transaction has shared lock on item, can read
but not update item.
If transaction has exclusive lock on item, can
both read and update item.
Reads cannot conflict, so more than one
transaction can hold shared locks
simultaneously on same item.
Rushdi Shams, Dept of CSE, KUET 30
Problem is that transactions release locks too
soon, resulting in loss of total isolation and
To guarantee serializability, need an additional
protocol concerning the positioning of lock and
unlock operations in every transaction.
Rushdi Shams, Dept of CSE, KUET 31
Transaction follows 2PL protocol if all locking
operations precede first unlock operation in the
Two phases for transaction:
› Growing phase - acquires all locks but cannot
release any locks.
› Shrinking phase - releases locks but cannot acquire
any new locks.
Rushdi Shams, Dept of CSE, KUET 32
Transactions conform to 2PL.
Since T15 is dependent on T14, T15 must also be
rolled back. Since T16 is dependent on T15, it too
must be rolled back.
This is called cascading rollback.
To prevent this with 2PL, leave release of all
locks until end of transaction.
Rushdi Shams, Dept of CSE, KUET 37
An impasse that may result when two (or more)
transactions are each waiting for locks held by
the other to be released.
Deadlock is a situation in which two or more
transactions are in a simultaneous wait state;
each one waiting for one of the other to
release a lock before it can proceed.
Rushdi Shams, Dept of CSE, KUET 38
Deadlock should be transparent to user, so
DBMS should restart transaction(s).
Three general techniques for handling
2. Deadlock prevention.
3. Deadlock detection and recovery.
Rushdi Shams, Dept of CSE, KUET 40
Transaction that requests lock will only wait for a
system-defined period of time.
If lock has not been granted within this period, lock
request times out.
In this case, DBMS assumes transaction may be
deadlocked, even though it may not be, and it
aborts and automatically restarts the transaction.
Rushdi Shams, Dept of CSE, KUET 41
DBMS looks ahead to see if transaction would
cause deadlock and never allows deadlock to
Wait-Die - only an older transaction can wait
for younger one, otherwise
If younger transaction requests lock held by older
one, younger one is aborted (dies) and restarted
with same timestamp.
Rushdi Shams, Dept of CSE, KUET 42
› Wound-Wait - only a younger transaction can wait
for an older one.
If older transaction requests lock held by younger
one, younger one is aborted (wounded).
Rushdi Shams, Dept of CSE, KUET 43
DBMS allows deadlock to occur but recognizes it
and breaks it.
Usually handled by construction of wait-for graph
(WFG) showing transaction dependencies:
› Create a node for each transaction.
› Create edge Ti -> Tj, if Ti waiting to lock item locked
Deadlock exists if and only if WFG contains cycle.
Rushdi Shams, Dept of CSE, KUET 44
Selecting a victim – minimize cost.
Rollback – return to some safe state, restart
transaction for that state.
Starvation – same transaction may always be
picked as victim, include number of rollback
in cost factor.
Rushdi Shams, Dept of CSE, KUET 46
Database Management Systems by R.
John Hall, Senior Lecturer, University of Bolton,
Operating Systems Concept (6th
by Silberschatz, Galvin and Gagne
Rushdi Shams, Dept of CSE, KUET 47
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