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Lecture 8: Transactions, ACID, 2PC, 2PL, Serializability

ACID Transactions

Traditional database systems have relied upon bundling work into transactions that have the ACID properties. In so doing, they guarantee consistency at the expense of availability and/or partition tolerance. ACID is an acronym for:

Transactions, Detail and Example

Transactions are sequences of actions such that all of the operations within the transaction succeed (on all recipients) and their effects are permanantly visible, or none of none of the operations suceed anywhere and they have no visible effects; this might be because of failure (unintentional) or an abort (intentional).

Characterisitically, transactions have a commit point. This is the point of no return. Before this point, we can undo a transaction. After this point, all changes are permanant. If problems occur after the commit point, we can take compensating or corrective action, but we can't wave a magic wand and undo it.

Banking Example:

Plan: A) Transfer $100 from savings to checking
B)Transfer $300 from money market to checking
C) Dispense $350

1. savings -= 100
2. checking += 100
3. moneymkt -= 300
4. checking += 300
5. verify: checking > 350
6. checking -= 350
8. dispense 350

Notice that if a failure occurs after points 1 & 3 the customer loses money.

If a failure occurs after points 2, 4, or 5, no money is lost, but the collectiopn of operations cannot be repeated and the result in not correct.

An explicit abort might be useful at point 6, if the test fails (a negative balance before the operations?)

Point 7 is the commit point. Noticve that if a failure occurs after point 7 (the ATM machine jams), only corrective action can be taken. The problems can't be fixed by undoing the transaction.

Distributed Transactions and Atomic Commit Protocols

Often times a transaction will be distributed across several systems. This might be the case if several replicas of a database must remain uniform. To achieve this we need some way of ensuring that the distributed transaction will be valid on all of the systems or none of them. To achieve this, we will need an atomic commit protocol. Or a set of rules, that if followed, will esnure that the transaction commits everywhere or aborts everwhere.

Two Phase Commit (2PC)

The most commonly used atomic commit protocol is two-phase commit. You may notice that is is very similar to the protocol that we used for total order multicast. Whereas the multicast protocol used a two-phase approach to allow the coordinator to select a commit time based on information from the participants, two-phase commit lets the coordinator select whether or not a transaction will be committed or aborted based on information from the participants.

----------------------- Phase 1 -----------------------
  • Precommit (write to log and.or atomic storage)
  • Send request to all participants
  • Wait for request
  • Upon request, if ready:
    • Precommit
    • Send coordinator YES
  • Upon request, if not ready:
    • Send coordinator NO
Coordinator blocks waiting for ALL replies
(A time out is possible -- that would mandate an ABORT)
----------------------- Phase 2 -----------------------
This is the point of no return!

  • If all participants voted YES then send commit to each participant
  • Otherwise send ABORT to each participant
Wait for "the word" from the coordinator

  • If COMMIT, then COMMIT (transaction becomes visible)
  • If ABORT, then ABORT (gone for good)

Three-phase Commit

Another real-world atomic commit protocol is three-pahse commit (3PC). This protocol can reduce the amount of blocking and provide for more flexible recovery in the event of failure. Although it is a better choice in unusually failure-prone enviornments, its complexity makes 2PC the more popular choice.

Recovery in 3PC

If the participant finds itself in the (R)ecovery state, it assumes that the coordinator did not respond, because it failed. Although this isn't a good thing, it may not prove to be fatal. If a majority of the participants are in the uncertain and/or commitable states, it may be possible to elect a new coordinator and continue.

We'll discuss how to elect a new coordinator in a few classes. So, for now, let's just assume that this happens auto-magically. Once we have a new coordinator, it polls the participants and acts accordingly:

Two-Phase Locking

Transaction, by their nature, play with many different, independent resources. It is easy to imagine that, in our quest for a high throughput, we process two transactions in parallel that share resources.

This can generate an obvious problem for "Isolation". We need to ensure that the results are consistent with the two (or more) concurrent transactions being commited in some order. So we can't allow them to make uncoordinated use of the resources.

So, let's asusme that, while any transaction is writing to a resource, it is locked, preventing any other transaction from writing to it. Now, a transaction can acquire all of the locks it needs, complete the mutation, and release the locks. This scheme prevents the corruption of the resources -- but opens us up to another problem: deadlock.

Let's imagine that one transaction wants to access resource A, then C, then B. And, other concurrent transaction wants to access resource B, then A, then C. We've got a problem if the one of the transactions grabs resources A and C, and the other grabs resources B. Neither transaction can complete. One is hold A and C, waiting for the other to release B. And, the other is holding B, while waiting for C and A. What we have here is known as circular wait, which is one of the four "necessary and sufficient" conditions for deadlock, usually captured as:

Fortunately, circular-wait is often very easy to attack. If the resources are enumerated in a consistent way across users, e.g. A, B, C, D, ...Z, and each user requests resources only in increasing order (without wrap-around), circular wait is not possible. One can't wait on a lower resource than one already holds, so the depednency chain can't be circular.

This observation is the basis of a two-phase lock. In the first phase, a transaction acquires -all- of the locks it needs in strictly -increasing- order. It then uses the resources. In the last phase, it shrinks, or releases locks. This universal ordering in which all users acquire resources prevents deadlock.

In practice, transactions often are said to begin phase-1 (growing) when they start and end phase-1 when they are done processing and are ready to commit. Phase-2 begins (and ends) upon the commit. So, the essential part of 2PL is, as you might guess, the serial order in which the locks are acquired. The two phases are, in practice, mostly imaginary.

Safe Schedules

Transactions must execute as if in isolation. That doesn't necessarily prohibit concurrency among transactions -- it just implies that this concurrency shouldn't have any effect on the results or the state of the system. In fact, as long as the results and other state are the same as for some serial execution of the transactions, the transactions can be interleaved, executed concurrently, or btoh.

Transaction processing systems (TPSs) contain a transaction scheduler that dispatches the transactions and allows them to execute. This scheduler isn't necessarily FIFO, and it doesn't necessarily dispatch only one at a time. Instead, it tries to maximize the amount of work that gets done. One popular measure of the performance of a TPS is the number of transactions per second (TPS). Yes, unfortuantely, TPS is also its abbreviation.

In discussing the scheduler, it is helpful to ask the question, "What is a schedule?" It is an ordering of events. The transaction scheduler's job is to execute the indivdual operations that compose the transactions in an order that is efficient and preserves the property of isolation. As a result, it is the schedule of individual operations that is our concern.

Safe Concurrency: Serial Schedules and Serializability

A serial schedule is a schedule that executes all of the operations from one transaction, before moving on to the operations of another transaction. In other words the transactions are executed in series. An interleaved schedule is a schedule in which the operations of an individual transaction are executed in order with respect to the same transaction, but without the restriction that the transactions be scheduled as a whole. In other words, interleaving allows the scheduling of any operation, as long as the operations of the same transaction are not reversed.

Some interleaved schedules are safe, whereas other way result in violations of the isolation property. Safe interleaved schedules are known as serializable schedules. This is because an interleaved schedule is only safe if it is equivalent to a serial schedule -- that's why they call it serial-izable.

What did I mean when I wrote, is equivalent? An interleaved schedule is equivalent to a serial schedule, if transactions which containing conflicting operations are not interleaved. Operations are said to be conflicting if the results differ depending on their order.

This means that an interleaved schedule is serializable if, and only if, each pair of operations occurs in the same order as they would in some serial schedule.

Serializability Graphs

We can see if a schedule is serializable by building a serialzability graph. The Fundamental Theorem of Serializability states that a schedule H is serializable, if and only if, SG(H) is acyclic.

So how do we build a serializability graph?

Example: Directory Operations

Let's take a careful look and make sure that we understand the source of the problem in schedule H1. The fragment below shows only the relevant portion of the schedule:

. . . L1(x) . . . L1(y) . . . D3(y) . . . D3(y) . . . E1(y) . . .

If we look at the fragment, we see that L1(x) conflicts with D3(y). Since L1(x) occurs before D3(y) in H1, an equivalent serial schedule must execute T1 before T3. But if we look further ahead in the trace we see that D3(y) occurs before E1(y). Similarly, since these operations conflict, it implies that T3 must occur before T1 in an equivalent serial schedule. Both of these statments cannot be true. If T1 executes before T3, T3 cannot execute before T1. This schedule cannot be converted to an equivalent serial schedule. It is not serializable -- it is not safe.

Locking and Serializability

Let's think again about 2-Phase Locking (2PL). Although it is handled by the transaction manager, it does allow for the interleaving of operations. Are the schedules that it generates serializable?

The answer to this is yes. Two-phase locking ensures that transactions which use the same objects cannot execute concurrently. This ensures that no conflicts can happen. If interleaved transactions don't share, we know that we are safe.

Two phase locking ensured serialzable schedules using what is known as inconsistency prevention. Prevention techniques constrain the transactions to ensure that conflicting operations can never happen. Two-phase locking does this by preventing transactions that share objects from executing concurrently. Although inconsistency prevention is effective, it is also expensive. Perfectly safe sharing may be prevented -- this unnecessarily reduces concurrency.

"Don't Let The Perfect Be The Enemy of the Good"

ACID semantics require a lot of effort and communication. This is worth it when the answer needs to be correct. But, in many cases, this just isn't the case. In many real-world situations we can tolerate some staleness and inconsistency.

In class, I gave the example of the "quantity available" an online store displays for an item via its online catalog and shopping cart. If you are buying one or two items, does it matter if they tell you 450 or 452 are available? In this case, a slightly slate value doesn't matter, right? When does it matter -- when you check out. If they take your money, you'd better have your goods. Have you ever went to check out and gotten an error, "Ooops. Your items sold!". Did it really just sell, that very moment? Or, had it been sold the whole time? You don't know. What you do know is that it doesn't matter -- you can't have it. This is a case where most lookups can be a little stale -- and, only at the very end, do we need the "correct" answer.

The idea that we can trade off correctness for time, effort, and availability is a good one, as is the observation that favoring complete correctness and consistency at any cost, may be an unnecssary extreme -- depending upon the application.

BASE (Like the Opposite of ACID, Get It?)

You'll occasionally hear or read of the acronym BASE. This acronym captures one way of thinking about "good enough":

BASE is often contrasted with ACID. The idea being that traditional ACID semantics are very pessimistic and do a lot of work, assuming that any inconsistency would be noticed and result in disaster. BASE, by contrast, is vry optimistic and assumes that the inconsistencies are unlikely to result in disaster before they are eventually fixed.

The idea that we can trade off correctness for time, effort, and availability is a good one, as is the observation that favoring complete correctness and consistency at any cost, may be an unnecssary extreme -- depending upon the application....even if the acronym is, well, a little bit of a stretch.