Ch16 Concurrency Control
Ch16 Concurrency Control
Database System Concepts - 5th Edition 16.2 ©Silberschatz, Korth and Sudarshan
Lock-Based Protocols
A lock is a mechanism to control concurrent access to a data item
Data items can be locked in two modes :
1. exclusive (X) mode. Data item can be both read as well as
written. X-lock is requested using lock-X instruction.
2. shared (S) mode. Data item can only be read. S-lock is
requested using lock-S instruction.
Lock requests are made to concurrency-control manager. Transaction can
proceed only after request is granted.
Database System Concepts - 5th Edition 16.3 ©Silberschatz, Korth and Sudarshan
Lock-Based Protocols (Cont.)
Lock-compatibility matrix
Database System Concepts - 5th Edition 16.4 ©Silberschatz, Korth and Sudarshan
Lock-Based Protocols (Cont.)
Example of a transaction performing locking:
T2: lock-S(A);
read (A);
unlock(A);
lock-S(B);
read (B);
unlock(B);
display(A+B)
Locking as above is not sufficient to guarantee serializability — if A and B
get updated in-between the read of A and B, the displayed sum would be
wrong.
A locking protocol is a set of rules followed by all transactions while
requesting and releasing locks. Locking protocols restrict the set of
possible schedules.
Database System Concepts - 5th Edition 16.5 ©Silberschatz, Korth and Sudarshan
Pitfalls of Lock-Based Protocols
Consider the partial schedule
Database System Concepts - 5th Edition 16.6 ©Silberschatz, Korth and Sudarshan
Pitfalls of Lock-Based Protocols (Cont.)
Database System Concepts - 5th Edition 16.7 ©Silberschatz, Korth and Sudarshan
The Two-Phase Locking Protocol
This is a protocol which ensures conflict-serializable schedules.
Phase 1: Growing Phase
transaction may obtain locks
transaction may not release locks
Phase 2: Shrinking Phase
transaction may release locks
transaction may not obtain locks
The protocol assures serializability. It can be proved that the
transactions can be serialized in the order of their lock points (i.e.
the point where a transaction acquired its final lock).
Database System Concepts - 5th Edition 16.8 ©Silberschatz, Korth and Sudarshan
The Two-Phase Locking Protocol (Cont.)
Database System Concepts - 5th Edition 16.9 ©Silberschatz, Korth and Sudarshan
The Two-Phase Locking Protocol (Cont.)
Database System Concepts - 5th Edition 16.10 ©Silberschatz, Korth and Sudarshan
Lock Conversions
Two-phase locking with lock conversions:
– First Phase:
can acquire a lock-S on item
can acquire a lock-X on item
can convert a lock-S to a lock-X (upgrade)
– Second Phase:
can release a lock-S
can release a lock-X
can convert a lock-X to a lock-S (downgrade)
This protocol assures serializability. But still relies on the programmer to
insert the various locking instructions.
Database System Concepts - 5th Edition 16.11 ©Silberschatz, Korth and Sudarshan
Automatic Acquisition of Locks
A transaction Ti issues the standard read/write instruction, without
explicit locking calls.
The operation read(D) is processed as:
if Ti has a lock on D
then
read(D)
else begin
if necessary wait until no other
transaction has a lock-X on D
grant Ti a lock-S on D;
read(D)
end
Database System Concepts - 5th Edition 16.12 ©Silberschatz, Korth and Sudarshan
Automatic Acquisition of Locks (Cont.)
write(D) is processed as:
if Ti has a lock-X on D
then
write(D)
else begin
if necessary wait until no other trans. has any lock on D,
if Ti has a lock-S on D
then
upgrade lock on D to lock-X
else
grant Ti a lock-X on D
write(D)
end;
All locks are released after commit or abort
Database System Concepts - 5th Edition 16.13 ©Silberschatz, Korth and Sudarshan
Implementation of Locking
A lock manager can be implemented as a separate process to which
transactions send lock and unlock requests
The lock manager replies to a lock request by sending a lock grant
messages (or a message asking the transaction to roll back, in case of
a deadlock)
The requesting transaction waits until its request is answered
The lock manager maintains a data-structure called a lock table to
record granted locks and pending requests
The lock table is usually implemented as an in-memory hash table
indexed on the name of the data item being locked
Database System Concepts - 5th Edition 16.14 ©Silberschatz, Korth and Sudarshan
Lock Table
Black rectangles indicate granted locks,
white ones indicate waiting requests
Lock table also records the type of lock
granted or requested
New request is added to the end of the
queue of requests for the data item, and
granted if it is compatible with all earlier
locks
Unlock requests result in the request
being deleted, and later requests are
checked to see if they can now be
granted
If transaction aborts, all waiting or
Granted granted requests of the transaction are
deleted
Waiting
lock manager may keep a list of
locks held by each transaction, to
implement this efficiently
Database System Concepts - 5th Edition 16.15 ©Silberschatz, Korth and Sudarshan
Graph-Based Protocols
Graph-based protocols are an alternative to two-phase locking
Impose a partial ordering on the set D = {d1, d2 ,..., dh} of all data
items.
If di dj then any transaction accessing both di and dj must
access di before accessing dj.
Implies that the set D may now be viewed as a directed acyclic
graph, called a database graph.
The tree-protocol is a simple kind of graph protocol.
Database System Concepts - 5th Edition 16.16 ©Silberschatz, Korth and Sudarshan
Tree Protocol
Database System Concepts - 5th Edition 16.17 ©Silberschatz, Korth and Sudarshan
Graph-Based Protocols (Cont.)
The tree protocol ensures conflict serializability as well as freedom from
deadlock.
Unlocking may occur earlier in the tree-locking protocol than in the two-
phase locking protocol.
shorter waiting times, and increase in concurrency
protocol is deadlock-free, no rollbacks are required
Drawbacks
Protocol does not guarantee recoverability or cascade freedom
Need to introduce commit dependencies to ensure recoverability
Transactions may have to lock data items that they do not access.
increased locking overhead, and additional waiting time
potential decrease in concurrency
Schedules not possible under two-phase locking are possible under tree
protocol, and vice versa.
Database System Concepts - 5th Edition 16.18 ©Silberschatz, Korth and Sudarshan
Multiple Granularity
Allow data items to be of various sizes and define a hierarchy of data
granularities, where the small granularities are nested within larger
ones
Can be represented graphically as a tree (but don't confuse with tree-
locking protocol)
When a transaction locks a node in the tree explicitly, it implicitly locks
all the node's descendents in the same mode.
Granularity of locking (level in tree where locking is done):
fine granularity (lower in tree): high concurrency, high locking
overhead
coarse granularity (higher in tree): low locking overhead, low
concurrency
Database System Concepts - 5th Edition 16.19 ©Silberschatz, Korth and Sudarshan
Example of Granularity Hierarchy
Database System Concepts - 5th Edition 16.20 ©Silberschatz, Korth and Sudarshan
Intention Lock Modes
In addition to S and X lock modes, there are three additional lock
modes with multiple granularity:
intention-shared (IS): indicates explicit locking at a lower level of
the tree but only with shared locks.
intention-exclusive (IX): indicates explicit locking at a lower level
with exclusive or shared locks
shared and intention-exclusive (SIX): the subtree rooted by that
node is locked explicitly in shared mode and explicit locking is
being done at a lower level with exclusive-mode locks.
intention locks allow a higher level node to be locked in S or X mode
without having to check all descendent nodes.
Database System Concepts - 5th Edition 16.21 ©Silberschatz, Korth and Sudarshan
Compatibility Matrix with
Intention Lock Modes
The compatibility matrix for all lock modes is:
IS IX S S IX X
IS
IX
S
S IX
X
Database System Concepts - 5th Edition 16.22 ©Silberschatz, Korth and Sudarshan
Multiple Granularity Locking Scheme
Transaction Ti can lock a node Q, using the following rules:
1. The lock compatibility matrix must be observed.
2. The root of the tree must be locked first, and may be locked in any
mode.
3. A node Q can be locked by Ti in S or IS mode only if the parent of Q
is currently locked by Ti in either IX or IS mode.
4. A node Q can be locked by Ti in X, SIX, or IX mode only if the parent
of Q is currently locked by Ti in either IX or SIX mode.
5. Ti can lock a node only if it has not previously unlocked any node
(that is, Ti is two-phase).
Ti can unlock a node Q only if none of the children of Q are currently
6.
locked by Ti.
Observe that locks are acquired in root-to-leaf order, whereas they are
released in leaf-to-root order.
Database System Concepts - 5th Edition 16.23 ©Silberschatz, Korth and Sudarshan
Deadlock Handling
Consider the following two transactions:
T1: write (X) T2: write(Y)
write(Y) write(X)
Schedule with deadlock
T1 T2
lock-X on X
write (X)
lock-X on Y
write (X)
wait for lock-X on X
wait for lock-X on Y
Database System Concepts - 5th Edition 16.24 ©Silberschatz, Korth and Sudarshan
Deadlock Handling
System is deadlocked if there is a set of transactions such that every
transaction in the set is waiting for another transaction in the set.
Deadlock prevention protocols ensure that the system will never
enter into a deadlock state. Some prevention strategies :
Require that each transaction locks all its data items before it
begins execution (predeclaration).
Impose partial ordering of all data items and require that a
transaction can lock data items only in the order specified by the
partial order (graph-based protocol).
Database System Concepts - 5th Edition 16.25 ©Silberschatz, Korth and Sudarshan
More Deadlock Prevention Strategies
Following schemes use transaction timestamps for the sake of deadlock
prevention alone.
wait-die scheme — non-preemptive
older transaction may wait for younger one to release data item.
Younger transactions never wait for older ones; they are rolled back
instead.
a transaction may die several times before acquiring needed data
item
wound-wait scheme — preemptive
older transaction wounds (forces rollback) of younger transaction
instead of waiting for it. Younger transactions may wait for older
ones.
may be fewer rollbacks than wait-die scheme.
Database System Concepts - 5th Edition 16.26 ©Silberschatz, Korth and Sudarshan
Deadlock prevention (Cont.)
Both in wait-die and in wound-wait schemes, a rolled back
transactions is restarted with its original timestamp. Older transactions
thus have precedence over newer ones, and starvation is hence
avoided.
Timeout-Based Schemes :
a transaction waits for a lock only for a specified amount of time.
After that, the wait times out and the transaction is rolled back.
thus deadlocks are not possible
simple to implement; but starvation is possible. Also difficult to
determine good value of the timeout interval.
Database System Concepts - 5th Edition 16.27 ©Silberschatz, Korth and Sudarshan
Deadlock Detection
Deadlocks can be described as a wait-for graph, which consists of a
pair G = (V,E),
V is a set of vertices (all the transactions in the system)
E is a set of edges; each element is an ordered pair Ti Tj.
If Ti Tj is in E, then there is a directed edge from Ti to Tj, implying
that Ti is waiting for Tj to release a data item.
When Ti requests a data item currently being held by Tj, then the edge
Ti Tj is inserted in the wait-for graph. This edge is removed only when
Tj is no longer holding a data item needed by Ti.
The system is in a deadlock state if and only if the wait-for graph has a
cycle. Must invoke a deadlock-detection algorithm periodically to look
for cycles.
Database System Concepts - 5th Edition 16.28 ©Silberschatz, Korth and Sudarshan
Deadlock Detection (Cont.)
Database System Concepts - 5th Edition 16.29 ©Silberschatz, Korth and Sudarshan
Deadlock Recovery
When deadlock is detected :
Some transaction will have to rolled back (made a victim) to break
deadlock. Select that transaction as victim that will incur minimum
cost.
Rollback -- determine how far to roll back transaction
Total rollback: Abort the transaction and then restart it.
More effective to roll back transaction only as far as necessary
to break deadlock.
Starvation happens if same transaction is always chosen as
victim. Include the number of rollbacks in the cost factor to avoid
starvation
Database System Concepts - 5th Edition 16.30 ©Silberschatz, Korth and Sudarshan
Other Approaches to Concurrency
Control
Database System Concepts - 5th Edition 16.32 ©Silberschatz, Korth and Sudarshan
Timestamp-Based Protocols (Cont.)
The timestamp ordering protocol ensures that any conflicting read
and write operations are executed in timestamp order.
Suppose a transaction Ti issues a read(Q)
1. If TS(Ti) W-timestamp(Q), then Ti needs to read a value of Q
that was already overwritten.
Hence, the read operation is rejected, and Ti is rolled back.
2. If TS(Ti) W-timestamp(Q), then the read operation is executed,
and R-timestamp(Q) is set to max(R-timestamp(Q), TS(Ti)).
Database System Concepts - 5th Edition 16.33 ©Silberschatz, Korth and Sudarshan
Timestamp-Based Protocols (Cont.)
Suppose that transaction Ti issues write(Q).
1. If TS(Ti) < R-timestamp(Q), then the value of Q that Ti is
producing was needed previously, and the system assumed that
that value would never be produced.
Hence, the write operation is rejected, and Ti is rolled back.
2. If TS(Ti) < W-timestamp(Q), then Ti is attempting to write an
obsolete value of Q.
Hence, this write operation is rejected, and Ti is rolled back.
3. Otherwise, the write operation is executed, and W-timestamp(Q)
is set to TS(Ti).
Database System Concepts - 5th Edition 16.34 ©Silberschatz, Korth and Sudarshan
Example Use of the Protocol
A partial schedule for several data items for transactions with
timestamps 1, 2, 3, 4, 5
T1 T2 T3 T4 T5
read(X)
read(Y)
read(Y)
write(Y)
write(Z)
read(Z)
read(X)
abort
read(X)
write(Z)
abort
write(Y)
write(Z)
Database System Concepts - 5th Edition 16.35 ©Silberschatz, Korth and Sudarshan
Correctness of Timestamp-Ordering Protocol
transaction transaction
with smaller with larger
timestamp timestamp
Database System Concepts - 5th Edition 16.36 ©Silberschatz, Korth and Sudarshan
Recoverability and Cascade Freedom
Problem with timestamp-ordering protocol:
Suppose Ti aborts, but Tj has read a data item written by Ti
Then Tj must abort; if Tj had been allowed to commit earlier, the
schedule is not recoverable.
Further, any transaction that has read a data item written by Tj must
abort
This can lead to cascading rollback --- that is, a chain of rollbacks
Solution 1:
A transaction is structured such that its writes are all performed at
the end of its processing
All writes of a transaction form an atomic action; no transaction may
execute while a transaction is being written
A transaction that aborts is restarted with a new timestamp
Solution 2: Limited form of locking: wait for data to be committed before
reading it
Solution 3: Use commit dependencies to ensure recoverability
Database System Concepts - 5th Edition 16.37 ©Silberschatz, Korth and Sudarshan
Thomas’ Write Rule
Modified version of the timestamp-ordering protocol in which obsolete
write operations may be ignored under certain circumstances.
When Ti attempts to write data item Q, if TS(Ti) < W-timestamp(Q),
then Ti is attempting to write an obsolete value of {Q}.
Rather than rolling back Ti as the timestamp ordering protocol
would have done, this {write} operation can be ignored.
Otherwise this protocol is the same as the timestamp ordering
protocol.
Thomas' Write Rule allows greater potential concurrency.
Database System Concepts - 5th Edition 16.38 ©Silberschatz, Korth and Sudarshan
Validation-Based Protocol
Execution of transaction Ti is done in three phases.
1. Read and execution phase: Transaction Ti writes only to
temporary local variables
2. Validation phase: Transaction Ti performs a ``validation test''
to determine if local variables can be written without violating
serializability.
3. Write phase: If Ti is validated, the updates are applied to the
database; otherwise, Ti is rolled back.
The three phases of concurrently executing transactions can be
interleaved, but each transaction must go through the three phases in
that order.
Assume for simplicity that the validation and write phase occur
together, atomically and serially
I.e., only one transaction executes validation/write at a time.
Also called as optimistic concurrency control since transaction
executes fully in the hope that all will go well during validation
Database System Concepts - 5th Edition 16.39 ©Silberschatz, Korth and Sudarshan
Validation-Based Protocol (Cont.)
Each transaction Ti has 3 timestamps
Start(Ti) : the time when Ti started its execution
Validation(Ti): the time when Ti entered its validation phase
Finish(Ti) : the time when Ti finished its write phase
Serializability order is determined by timestamp given at validation
time, to increase concurrency.
Thus TS(Ti) is given the value of Validation(Ti).
This protocol is useful and gives greater degree of concurrency if
probability of conflicts is low.
because the serializability order is not pre-decided, and
relatively few transactions will have to be rolled back.
Database System Concepts - 5th Edition 16.40 ©Silberschatz, Korth and Sudarshan
Validation Test for Transaction Tj
If for all Ti with TS (Ti) < TS (Tj) either one of the following condition
holds:
finish(Ti) < start(Tj)
start(Tj) < finish(Ti) < validation(Tj) and the set of data items
written by Ti does not intersect with the set of data items read by
Tj.
then validation succeeds and Tj can be committed. Otherwise,
validation fails and Tj is aborted.
Justification: Either the first condition is satisfied, and there is no
overlapped execution, or the second condition is satisfied and
the writes of Tj do not affect reads of Ti since they occur after Ti
has finished its reads.
the writes of Ti do not affect reads of Tj since Tj does not read
any item written by Ti.
Database System Concepts - 5th Edition 16.41 ©Silberschatz, Korth and Sudarshan
Schedule Produced by Validation
Example of schedule produced using validation
T14 T15
read(B)
read(B)
B:= B-50
read(A)
A:= A+50
read(A)
(validate)
display (A+B)
(validate)
write (B)
write (A)
Database System Concepts - 5th Edition 16.42 ©Silberschatz, Korth and Sudarshan
Multiversion Schemes
Multiversion schemes keep old versions of data item to increase
concurrency.
Multiversion Timestamp Ordering
Multiversion Two-Phase Locking
Each successful write results in the creation of a new version of the
data item written.
Use timestamps to label versions.
When a read(Q) operation is issued, select an appropriate version of
Q based on the timestamp of the transaction, and return the value of
the selected version.
reads never have to wait as an appropriate version is returned
immediately.
Database System Concepts - 5th Edition 16.43 ©Silberschatz, Korth and Sudarshan
Multiversion Timestamp Ordering
Each data item Q has a sequence of versions <Q1, Q2,...., Qm>. Each
version Qk contains three data fields:
Content -- the value of version Qk.
W-timestamp(Qk) -- timestamp of the transaction that created
(wrote) version Qk
R-timestamp(Qk) -- largest timestamp of a transaction that
successfully read version Qk
when a transaction Ti creates a new version Qk of Q, Qk's W-
timestamp and R-timestamp are initialized to TS(Ti).
R-timestamp of Qk is updated whenever a transaction Tj reads Qk, and
TS(Tj) > R-timestamp(Qk).
Database System Concepts - 5th Edition 16.44 ©Silberschatz, Korth and Sudarshan
Multiversion Timestamp Ordering (Cont)
Suppose that transaction Ti issues a read(Q) or write(Q) operation. Let
Qk denote the version of Q whose write timestamp is the largest write
timestamp less than or equal to TS(Ti).
1. If transaction Ti issues a read(Q), then the value returned is the
content of version Qk.
2. If transaction Ti issues a write(Q)
1. if TS(Ti) < R-timestamp(Qk), then transaction Ti is rolled back.
2. if TS(Ti) = W-timestamp(Qk), the contents of Qk are overwritten
3. else a new version of Q is created.
Observe that
Reads always succeed
A write by Ti is rejected if some other transaction Tj that (in the
serialization order defined by the timestamp values) should read
Ti's write, has already read a version created by a transaction older
than Ti.
Protocol guarantees serializability
Database System Concepts - 5th Edition 16.45 ©Silberschatz, Korth and Sudarshan
Multiversion Two-Phase Locking
Differentiates between read-only transactions and update transactions
Update transactions acquire read and write locks, and hold all locks up
to the end of the transaction. That is, update transactions follow rigorous
two-phase locking.
Each successful write results in the creation of a new version of the
data item written.
each version of a data item has a single timestamp whose value is
obtained from a counter ts-counter that is incremented during
commit processing.
Read-only transactions are assigned a timestamp by reading the current
value of ts-counter before they start execution; they follow the
multiversion timestamp-ordering protocol for performing reads.
Database System Concepts - 5th Edition 16.46 ©Silberschatz, Korth and Sudarshan
Multiversion Two-Phase Locking (Cont.)
When an update transaction wants to read a data item:
it obtains a shared lock on it, and reads the latest version.
When it wants to write an item
it obtains X lock on; it then creates a new version of the item and
sets this version's timestamp to .
When update transaction Ti completes, commit processing occurs:
Ti sets timestamp on the versions it has created to ts-counter + 1
Ti increments ts-counter by 1
Read-only transactions that start after Ti increments ts-counter will see
the values updated by Ti.
Read-only transactions that start before Ti increments the
ts-counter will see the value before the updates by Ti.
Only serializable schedules are produced.
Database System Concepts - 5th Edition 16.47 ©Silberschatz, Korth and Sudarshan
Lock-Compatibility Matrix
Database System Concepts - 5th Edition 16.48 ©Silberschatz, Korth and Sudarshan