Two-Phase Locking Techniques for Concurrency Control
Some of the main techniques used to control concurrent execution of transactions are based on the concept of locking data items. A lock is a variable associated with a data item that describes the status of the item with respect to possible operations that can be applied to it. Generally, there is one lock for each data item in the data-base. Locks are used as a means of synchronizing the access by concurrent transactions to the database items. In Section 22.1.1 we discuss the nature and types of locks. Then, in Section 22.1.2 we present protocols that use locking to guarantee serializability of transaction schedules. Finally, in Section 22.1.3 we describe two problems associated with the use of locks—deadlock and starvation—and show how these problems are handled in concurrency control protocols.
1. Types of Locks and System Lock Tables
Several types of locks are used in concurrency control. To introduce locking concepts gradually, first we discuss binary locks, which are simple, but are also too restrictive for database concurrency control purposes, and so are not used in practice. Then we discuss shared/exclusive locks—also known as read/write locks—which provide more general locking capabilities and are used in practical database locking schemes. In Section 22.3.2 we describe an additional type of lock called a certify lock, and show how it can be used to improve performance of locking protocols.
Binary Locks. A binary lock can have two states or values: locked and unlocked (or 1 and 0, for simplicity). A distinct lock is associated with each database item X. If the value of the lock on X is 1, item X cannot be accessed by a database operation that requests the item. If the value of the lock on X is 0, the item can be accessed when requested, and the lock value is changed to 1. We refer to the current value (or state) of the lock associated with item X as lock(X).
Two operations, lock_item and unlock_item, are used with binary locking. A transaction requests access to an item X by first issuing a lock_item(X) operation. If LOCK(X) = 1, the transaction is forced to wait. If LOCK(X) = 0, it is set to 1 (the transaction locks the item) and the transaction is allowed to access item X. When the transaction is through using the item, it issues an unlock_item(X) operation, which sets LOCK(X) back to 0 (unlocks the item) so that X may be accessed by other transactions. Hence, a binary lock enforces mutual exclusion on the data item. A description of the lock_item(X) and unlock_item(X) operations is shown in Figure 22.1.
B: if LOCK(X) = 0 (* item is unlocked *)
then LOCK(X) ←1 (* lock the item *)
wait (until LOCK(X) = 0
and the lock manager wakes up the transaction);
go to B
LOCK(X) ← 0; (* unlock the item *)
if any transactions are waiting
then wakeup one of the waiting transactions;
Figure 22.1 Lock and unlock operations for binary locks.
Notice that the lock_item and unlock_item operations must be implemented as indivisible units (known as critical sections in operating systems); that is, no interleaving should be allowed once a lock or unlock operation is started until the operation terminates or the transaction waits. In Figure 22.1, the wait command within the lock_item(X) operation is usually implemented by putting the transaction in a waiting queue for item X until X is unlocked and the transaction can be granted access to it. Other transactions that also want to access X are placed in the same queue. Hence, the wait command is considered to be outside the lock_item operation.
It is quite simple to implement a binary lock; all that is needed is a binary-valued variable, LOCK, associated with each data item X in the database. In its simplest form, each lock can be a record with three fields: <Data_item_name, LOCK, Locking_transaction> plus a queue for transactions that are waiting to access the item. The system needs to maintain only these records for the items that are currently locked in a lock table, which could be organized as a hash file on the item name. Items not in the lock table are considered to be unlocked. The DBMS has a lock manager sub-system to keep track of and control access to locks.
If the simple binary locking scheme described here is used, every transaction must obey the following rules:
· A transaction T must issue the operation lock_item(X) before any read_item(X) or write_item(X) operations are performed in T.
· A transaction T must issue the operation unlock_item(X) after all read_item(X) and write_item(X) operations are completed in T.
· A transaction T will not issue a lock_item(X) operation if it already holds the lock on item X.1
· A transaction T will not issue an unlock_item(X) operation unless it already holds the lock on item X.
These rules can be enforced by the lock manager module of the DBMS. Between the lock_item(X) and unlock_item(X) operations in transaction T, T is said to hold the lock on item X. At most one transaction can hold the lock on a particular item. Thus no two transactions can access the same item concurrently.
Shared/Exclusive (or Read/Write) Locks. The preceding binary locking scheme is too restrictive for database items because at most, one transaction can hold a lock on a given item. We should allow several transactions to access the same item X if they all access X for reading purposes only. This is because read operations on the same item by different transactions are not conflicting (see Section 21.4.1). However, if a transaction is to write an item X, it must have exclusive access to X. For this purpose, a different type of lock called a multiple-mode lock is used. In this scheme—called shared/exclusive or read/write locks—there are three locking operations: read_lock(X), write_lock(X), and unlock(X). A lock associated with an item X, LOCK(X), now has three possible states: read-locked, write-locked, or unlocked. A read-locked item is also called share-locked because other transactions are allowed to read the item, whereas a write-locked item is called exclusive-locked because a single transaction exclusively holds the lock on the item.
One method for implementing the preceding operations on a read/write lock is to keep track of the number of transactions that hold a shared (read) lock on an item in the lock table. Each record in the lock table will have four fields: <Data_item_name, LOCK, No_of_reads, Locking_transaction(s)>. Again, to save space, the system needs to maintain lock records only for locked items in the lock table. The value (state) of LOCK is either read-locked or write-locked, suitably coded (if we assume no records are kept in the lock table for unlocked items). If LOCK(X)=write-locked, the value of locking_transaction(s) is a single transaction that holds the exclusive (write) lock on X. If LOCK(X)=read-locked, the value of locking transaction(s) is a list of one or more transactions that hold the shared (read) lock on X. The three operations read_lock(X), write_lock(X), and unlock(X) are described in Figure 22.2. As before, each of the three locking operations should be considered indivisible; no interleav-ing should be allowed once one of the operations is started until either the opera-tion terminates by granting the lock or the transaction is placed in a waiting queue for the item.
When we use the shared/exclusive locking scheme, the system must enforce the fol-lowing rules:
A transaction T must issue the operation read_lock(X) or write_lock(X) before any read_item(X) operation is performed in T.
A transaction T must issue the operation write_lock(X) before any write_item(X) operation is performed in T.
if LOCK(X) = “unlocked”
then begin LOCK(X) ← “read-locked”; no_of_reads(X) ← 1
else if LOCK(X) = “read-locked”
then no_of_reads(X) ← no_of_reads(X) + 1 else begin
wait (until LOCK(X) = “unlocked”
and the lock manager wakes up the transaction); go to B
if LOCK(X) = “unlocked”
then LOCK(X) ← “write-locked” else begin
wait (until LOCK(X) = “unlocked”
and the lock manager wakes up the transaction); go to B
if LOCK(X) = “write-locked”
then begin LOCK(X) ← “unlocked”;
wakeup one of the waiting transactions, if any
else it LOCK(X) = “read-locked”
no_of_reads(X) ← no_of_reads(X) −1;
if no_of_reads(X) = 0
then begin LOCK(X) = “unlocked”;
wakeup one of the waiting transactions, if any
Figure 22.2 Locking and unlocking operations for two- mode (read-write or locks.
· A transaction T must issue the operation unlock(X) after all read_item(X) and write_item(X) operations are completed in T.3
· A transaction T will not issue a read_lock(X) operation if it already holds a read (shared) lock or a write (exclusive) lock on item X. This rule may be relaxed, as we discuss shortly.
· A transaction T will not issue a write_lock(X) operation if it already holds a read (shared) lock or write (exclusive) lock on item X. This rule may also be relaxed, as we discuss shortly.
· A transaction T will not issue an unlock(X) operation unless it already holds a read (shared) lock or a write (exclusive) lock on item X.
Conversion of Locks. Sometimes it is desirable to relax conditions 4 and 5 in the preceding list in order to allow lock conversion; that is, a transaction that already holds a lock on item X is allowed under certain conditions to convert the lock from one locked state to another. For example, it is possible for a transaction T to issue a read_lock(X) and then later to upgrade the lock by issuing a write_lock(X) operation. If T is the only transaction holding a read lock on X at the time it issues the write_lock(X) operation, the lock can be upgraded; otherwise, the transaction must wait. It is also possible for a transaction T to issue a write_lock(X) and then later to downgrade the lock by issuing a read_lock(X) operation. When upgrading and downgrading of locks is used, the lock table must include transaction identifiers in the record structure for each lock (in the locking_transaction(s) field) to store the information on which transactions hold locks on the item. The descriptions of the read_lock(X) and write_lock(X) operations in Figure 22.2 must be changed appropri-ately to allow for lock upgrading and downgrading. We leave this as an exercise for the reader.
Using binary locks or read/write locks in transactions, as described earlier, does not guarantee serializability of schedules on its own. Figure 22.3 shows an example where the preceding locking rules are followed but a nonserializable schedule may result. This is because in Figure 22.3(a) the items Y in T1 and X in T2 were unlocked too early. This allows a schedule such as the one shown in Figure 22.3(c) to occur, which is not a serializable schedule and hence gives incorrect results. To guarantee serializability, we must follow an additional protocol concerning the positioning of locking and unlocking operations in every transaction. The best-known protocol, two-phase locking, is described in the next section.
2. Guaranteeing Serializability by Two-Phase Locking
A transaction is said to follow the two-phase locking protocol if all locking operations (read_lock, write_lock) precede the first unlock operation in the transaction. Such a transaction can be divided into two phases: an expanding or growing (first) phase, during which new locks on items can be acquired but none can be released; and a shrinking (second) phase, during which existing locks can be released but no new locks can be acquired. If lock conversion is allowed, then upgrading of locks (from read-locked to write-locked) must be done during the expanding phase, and downgrading of locks (from write-locked to read-locked) must be done in the
shrinking phase. Hence, a read_lock(X) operation that downgrades an already held write lock on X can appear only in the shrinking phase.
Transactions T1 and T2 in Figure 22.3(a) do not follow the two-phase locking protocol because the write_lock(X) operation follows the unlock(Y) operation in T1, and similarly the write_lock(Y) operation follows the unlock(X) operation in T2. If we enforce two-phase locking, the transactions can be rewritten as T1 and T2 , as shown in Figure 22.4. Now, the schedule shown in Figure 22.3(c) is not permitted for T1 and T2 (with their modified order of locking and unlocking operations) under the rules of locking described in Section 22.1.1 because T1 will issue its write_lock(X) before it unlocks item Y; consequently, when T2 issues its read_lock(X), it is forced to wait until T1 releases the lock by issuing an unlock (X) in the schedule.
It can be proved that, if every transaction in a schedule follows the two-phase locking protocol, the schedule is guaranteed to be serializable, obviating the need to test for serializability of schedules. The locking protocol, by enforcing two-phase locking rules, also enforces serializability.
Two-phase locking may limit the amount of concurrency that can occur in a schedule because a transaction T may not be able to release an item X after it is through using it if T must lock an additional item Y later; or conversely, T must lock the additional item Y before it needs it so that it can release X. Hence, X must remain locked by T until all items that the transaction needs to read or write have been locked; only then can X be released by T. Meanwhile, another transaction seeking to access X may be forced to wait, even though T is done with X; conversely, if Y is locked earlier than it is needed, another transaction seeking to access Y is forced to wait even though T is not using Y yet. This is the price for guaranteeing serializability of all schedules without having to check the schedules themselves.
Although the two-phase locking protocol guarantees serializability (that is, every schedule that is permitted is serializable), it does not permit all possible serializable schedules (that is, some serializable schedules will be prohibited by the protocol).
Basic, Conservative, Strict, and Rigorous Two-Phase Locking. There are a number of variations of two-phase locking (2PL). The technique just described is known as basic 2PL. A variation known as conservative 2PL (or static 2PL) requires a transaction to lock all the items it accesses before the transaction begins execution, by predeclaring its read-set and write-set. Recall from Section 21.1.2 that the read-set of a transaction is the set of all items that the transaction reads, and the write-set is the set of all items that it writes. If any of the predeclared items needed cannot be locked, the transaction does not lock any item; instead, it waits until all the items are available for locking. Conservative 2PL is a deadlock-free protocol, as we will see in Section 22.1.3 when we discuss the deadlock problem. However, it is difficult to use in practice because of the need to predeclare the read-set and write-set, which is not possible in many situations.
In practice, the most popular variation of 2PL is strict 2PL, which guarantees strict schedules (see Section 21.4). In this variation, a transaction T does not release any of its exclusive (write) locks until after it commits or aborts. Hence, no other transaction can read or write an item that is written by T unless T has committed, leading to a strict schedule for recoverability. Strict 2PL is not deadlock-free. A more restrictive variation of strict 2PL is rigorous 2PL, which also guarantees strict schedules. In this variation, a transaction T does not release any of its locks (exclusive or shared) until after it commits or aborts, and so it is easier to implement than strict 2PL. Notice the difference between conservative and rigorous 2PL: the former must lock all its items before it starts, so once the transaction starts it is in its shrinking phase; the latter does not unlock any of its items until after it terminates (by committing or aborting), so the transaction is in its expanding phase until it ends.
In many cases, the concurrency control subsystem itself is responsible for generating the read_lock and write_lock requests. For example, suppose the system is to enforce the strict 2PL protocol. Then, whenever transaction T issues a read_item(X), the system calls the read_lock(X) operation on behalf of T. If the state of LOCK(X) is write_locked by some other transaction T , the system places T in the waiting queue for item X; otherwise, it grants the read_lock(X) request and permits the read_item(X) operation of T to execute. On the other hand, if transaction T issues a write_item(X), the system calls the write_lock(X) operation on behalf of T. If the state of LOCK(X) is write_locked or read_locked by some other transaction T , the system places T in the waiting queue for item X; if the state of LOCK(X) is read_locked and T itself is the only transaction holding the read lock on X, the system upgrades the lock to write_locked and permits the write_item(X) operation by T. Finally, if the state of LOCK(X) is unlocked, the system grants the write_lock(X) request and permits the write_item(X) operation to execute. After each action, the system must update its lock table appropriately.
The use of locks can cause two additional problems: deadlock and starvation. We discuss these problems and their solutions in the next section.
3. Dealing with Deadlock and Starvation
Deadlock occurs when each transaction T in a set of two or more transactions is waiting for some item that is locked by some other transaction T in the set. Hence, each transaction in the set is in a waiting queue, waiting for one of the other trans-actions in the set to release the lock on an item. But because the other transaction is also waiting, it will never release the lock. A simple example is shown in Figure 22.5(a), where the two transactions T1 and T2 are deadlocked in a partial schedule; T1 is in the waiting queue for X, which is locked by T2 , while T2 is in the waiting queue for Y, which is locked by T1 . Meanwhile, neither T1 nor T2 nor any other transaction can access items X and Y.
Deadlock Prevention Protocols. One way to prevent deadlock is to use a deadlock prevention protocol. One deadlock prevention protocol, which is used
in conservative two-phase locking, requires that every transaction lock all the items it needs in advance (which is generally not a practical assumption)—if any of the items cannot be obtained, none of the items are locked. Rather, the transaction waits and then tries again to lock all the items it needs. Obviously this solution further limits concurrency. A second protocol, which also limits concurrency, involves ordering all the items in the database and making sure that a transaction that needs several items will lock them according to that order. This requires that the program-mer (or the system) is aware of the chosen order of the items, which is also not practical in the database context.
A number of other deadlock prevention schemes have been proposed that make a decision about what to do with a transaction involved in a possible deadlock situation: Should it be blocked and made to wait or should it be aborted, or should the transaction preempt and abort another transaction? Some of these techniques use the concept of transaction timestamp TS(T), which is a unique identifier assigned to each transaction. The timestamps are typically based on the order in which trans-actions are started; hence, if transaction T1 starts before transaction T2, then TS(T1) < TS(T2). Notice that the older transaction (which starts first) has the smaller time-stamp value. Two schemes that prevent deadlock are called wait-die and wound-wait. Suppose that transaction Ti tries to lock an item X but is not able to because X is locked by some other transaction Tj with a conflicting lock. The rules followed by these schemes are:
Wait-die. If TS(Ti) < TS(Tj), then (Ti older than Tj) Ti is allowed to wait; otherwise (Ti younger than Tj) abort Ti (Ti dies) and restart it later with the same timestamp.
Wound-wait. If TS(Ti) < TS(Tj), then (Ti older than Tj) abort Tj (Ti wounds Tj) and restart it later with the same timestamp; otherwise (Ti younger than Tj) Ti is allowed to wait.
In wait-die, an older transaction is allowed to wait for a younger transaction, whereas a younger transaction requesting an item held by an older transaction is aborted and restarted. The wound-wait approach does the opposite: A younger transaction is allowed to wait for an older one, whereas an older transaction requesting an item held by a younger transaction preempts the younger transaction by aborting it. Both schemes end up aborting the younger of the two transactions (the transaction that started later) that may be involved in a deadlock, assuming that this will waste less processing. It can be shown that these two techniques are deadlock-free, since in wait-die, transactions only wait for younger transactions so no cycle is created. Similarly, in wound-wait, transactions only wait for older transactions so no cycle is created. However, both techniques may cause some transactions to be aborted and restarted needlessly, even though those transactions may never actually cause a deadlock.
Another group of protocols that prevent deadlock do not require timestamps. These include the no waiting (NW) and cautious waiting (CW) algorithms. In the no waiting algorithm, if a transaction is unable to obtain a lock, it is immediately aborted and then restarted after a certain time delay without checking whether a deadlock will actually occur or not. In this case, no transaction ever waits, so no deadlock will occur. However, this scheme can cause transactions to abort and restart needlessly. The cautious waiting algorithm was proposed to try to reduce the number of needless aborts/restarts. Suppose that transaction Ti tries to lock an item X but is not able to do so because X is locked by some other transaction Tj with a conflicting lock. The cautious waiting rules are as follows:
Cautious waiting. If Tj is not blocked (not waiting for some other locked item), then Ti is blocked and allowed to wait; otherwise abort Ti.
It can be shown that cautious waiting is deadlock-free, because no transaction will ever wait for another blocked transaction. By considering the time b(T) at which each blocked transaction T was blocked, if the two transactions Ti and Tj above both become blocked, and Ti is waiting for Tj, then b(Ti) < b(Tj), since Ti can only wait for Tj at a time when T j is not blocked itself. Hence, the blocking times form a total ordering on all blocked transactions, so no cycle that causes deadlock can occur.
Deadlock Detection. A second, more practical approach to dealing with deadlock is deadlock detection, where the system checks if a state of deadlock actually exists. This solution is attractive if we know there will be little interference among the transactions—that is, if different transactions will rarely access the same items at the same time. This can happen if the transactions are short and each transaction locks only a few items, or if the transaction load is light. On the other hand, if transactions are long and each transaction uses many items, or if the transaction load is quite heavy, it may be advantageous to use a deadlock prevention scheme.
A simple way to detect a state of deadlock is for the system to construct and maintain a wait-for graph. One node is created in the wait-for graph for each transaction that is currently executing. Whenever a transaction Ti is waiting to lock an item X that is currently locked by a transaction Tj, a directed edge (Ti → Tj) is created in the wait-for graph. When Tj releases the lock(s) on the items that Ti was waiting for, the directed edge is dropped from the wait-for graph. We have a state of dead-lock if and only if the wait-for graph has a cycle. One problem with this approach is the matter of determining when the system should check for a deadlock. One possibility is to check for a cycle every time an edge is added to the wait-for graph, but this may cause excessive overhead. Criteria such as the number of currently executing transactions or the period of time several transactions have been waiting to lock items may be used instead to check for a cycle. Figure 22.5(b) shows the wait-for graph for the (partial) schedule shown in Figure 22.5(a).
If the system is in a state of deadlock, some of the transactions causing the deadlock must be aborted. Choosing which transactions to abort is known as victim selection. The algorithm for victim selection should generally avoid selecting transactions that have been running for a long time and that have performed many updates, and it should try instead to select transactions that have not made many changes (younger transactions).
Timeouts. Another simple scheme to deal with deadlock is the use of timeouts. This method is practical because of its low overhead and simplicity. In this method, if a transaction waits for a period longer than a system-defined timeout period, the system assumes that the transaction may be deadlocked and aborts it—regardless of whether a deadlock actually exists or not.
Starvation. Another problem that may occur when we use locking is starvation, which occurs when a transaction cannot proceed for an indefinite period of time while other transactions in the system continue normally. This may occur if the waiting scheme for locked items is unfair, giving priority to some transactions over others. One solution for starvation is to have a fair waiting scheme, such as using a first-come-first-served queue; transactions are enabled to lock an item in the order in which they originally requested the lock. Another scheme allows some transactions to have priority over others but increases the priority of a transaction the longer it waits, until it eventually gets the highest priority and proceeds. Starvation can also occur because of victim selection if the algorithm selects the same transaction as victim repeatedly, thus causing it to abort and never finish execution. The algorithm can use higher priorities for transactions that have been aborted multiple times to avoid this problem. The wait-die and wound-wait schemes discussed previously avoid starvation, because they restart a transaction that has been aborted with its same original timestamp, so the possibility that the same transaction is aborted repeatedly is slim.
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