1. 11th International Conference on Web-Age Information Management July 15-17, 2010 Jiuzhaigou, China V Locking Protocol for Materialized Aggregate Join Views on B-tree Indices Gang Luo IBM T.J. Watson Research Center luog@us.ibm.com

2. 2 The Need for New Locking Protocols for Materialized Aggregate Join Views Situation: Both base relations and materialized views are stored in an RDBMS When base relations are updated, materialized views defined on them must also be maintained –Immediate materialized view maintenance requires transactional consistency –Standard locking on materialized aggregate join view AJV causes unnecessary lock conflicts / deadlocks Different tuples in a base relation of AJV can affect the same aggregated tuple in AJV Transactions that would be concurrent in the absence of AJV are now serialized / aborted The smaller AJV is, the more lock conflicts and/or deadlocks will occur Solution: Introducing new locking protocols

3. 3 Outline Previous Work Split Groups and B-Trees V Locking Protocol on B-Tree Indices

4. 4 First Solution: V+W Locking Protocol Key insight: the COUNT and SUM aggregate operators are associative and commutative Whenever possible, use V locks rather than traditional X locks –V locks do not conflict with each other and can increase concurrency Use short-term W locks to prevent “split group duplicates”  multiple tuples in the aggregate join view for the same group

5. 5 V+W Locking Protocol – Cont. Allow four kinds of elementary locks on AJV: S, X, V, and W –S locks for transactions that only read AJV –X locks for transactions that both read and write AJV –V and W locks for transactions that only write AJV V is compatible with V and W W is short-term W is not compatible with W To integrate a new join result tuple into AJV –Put a W lock on AJV –After integration, downgrade the W lock to a V lock To remove a join result tuple from AJV –Put a V lock on AJV

6. 6 Better Solution: V Locking Protocol Replace W locks by an exclusive latch (i.e., semaphore) pool –Acquiring a latch is much cheaper than acquiring a lock To avoid deadlocks among latches and locks, always ensure the following properties: –During the period that a transaction holds a latch in the latch pool, this transaction does not request another latch in the latch pool –To request a latch in the latch pool, a transaction must first release all the other latches in the RDBMS (including those latches that are not in the latch pool) that it currently holds –During the period that a transaction holds a latch in the latch pool, this transaction does not request any lock

7. 7 Compatibilities among Different Locks

8. 8 Lock Conversion Lattice V S X

9. 9 V Locking Protocol – Cont. Previous work shows –How to implement the V locking protocol on hash indices –The performance of the V locking protocol can be two orders of magnitude higher than that of the traditional X locking protocol This work shows –How to implement the V locking protocol on B- tree indices –All used techniques are necessary and sufficient to ensure correctness (serializability)

10. 10 Outline Previous Work Split Groups and B-Trees V Locking Protocol on B-Tree Indices

11. 11 Example of Split Group Duplicates Materialized aggregate join view AJV (a, b, sum(c)) A B-tree index I B is built on attribute a Base relations: R and S No tuple (1, 2, X) exists in AJV for any X Two transactions –T: Insert a tuple into R and generate the join result tuple (1, 2, 3) –T: Insert another tuple into R and generate the join result tuple (1, 2, 4) Correct behavior –(1, 2, 7) is inserted into AJV

12. 12 Using Standard X locks To integrate a join result tuple t 1 into AJV, a transaction –Obtain an X value lock for t 1.a on I B. This value lock is held until the transaction commits/aborts –Make a copy of the row id list in the entry for t 1.a of I B –For each row id in the row id list, fetch the corresponding tuple t 2. Check whether or not t 2.a=t 1.a and t 2.b=t 1.b –If some tuple t 2 satisfies the condition t 2.a=t 1.a and t 2.b=t 1.b, integrate tuple t 1 into tuple t 2 and stop –If no tuple t 2 satisfies the condition t 2.a=t 1.a and t 2.b=t 1.b, insert a new tuple into AJV for tuple t 1. Also, insert the row id of this new tuple into I B

13. 13 Using Only V locks Transaction T obtains a V value lock for a=1 on I B, searches the row id list in the entry for a=1, and finds that no tuple t 2 whose attributes t 2.a=1 and t 2.b=2 exists in AJV Transaction T inserts a new tuple t 1 =(1, 2, 3) into AJV, and inserts the row id of tuple t 1 into the row id list in the entry for a=1 of I B Transaction T inserts a new tuple t 3 =(1, 2, 4) into AJV, and inserts the row id of tuple t 3 into the row id list in the entry for a=1 of I B Split group duplicates: AJV contains two tuples (1, 2, 3) and (1, 2, 4) instead of a single tuple (1, 2, 7)

14. 14 Outline Previous Work Split Groups and B-Trees V Locking Protocol on B-Tree Indices

15. 15 Operations of Interest Fetch: Fetch the row ids for a given key value v 1 Fetch next: Given the current key value v 1, find the next key value v 2 >v 1 existing in the B-tree index, and fetch the row id(s) associated with key value v 2 Put an X value lock on key value v 1 Put a first kind V value lock on key value v 1 Put a second kind V value lock on key value v 1

16. 16 Aggregate Join View Maintenance To integrate a new join result tuple t into an aggregate join view AJV (e.g., due to insertion into some base relation of AJV), –First put a second kind V value lock on the B-tree index –Immediately before starting the tuple integration, request a latch on the group by attribute value of tuple t –After integrating tuple t into the aggregate join view AJV, release the latch on the group by attribute value of tuple t To remove a join result tuple from the aggregate join view AJV (e.g., due to deletion from some base relation of AJV), only need to put a first kind V value lock on the B-tree index

17. 17 Operations Implementation Method Fetch: First check whether some entry for value v 1 exists in the B-tree index –If such an entry exists, put an S lock for value v 1 on the B-tree index –If no such entry exists, find the smallest value v 2 in the B-tree index such that v 2 >v 1. Then put an S lock for value v 2 on the B-tree index Fetch next: Find the smallest value v 2 in the B- tree index such that v 2 >v 1. Then put an S lock for value v 2 on the B-tree index

18. 18 Operations Implementation Method – Cont. Put an X value lock on key value v 1 : First put an X lock for value v 1 on the B-tree index. Then check whether some entry for value v 1 exists in the B-tree index. If no such entry exists, find the smallest value v 2 in the B-tree index such that v 2 >v 1. Then put an X lock for value v 2 on the B- tree index Put a first kind V value lock on key value v 1 : Put a V lock for value v 1 on the B-tree index

19. 19 Operations Implementation Method – Cont. Put a second kind V value lock on key value v 1 : First put a V lock for value v 1 on the B-tree index. Then check whether some entry for value v 1 exists in the B-tree index. If no entry for value v 1 exists, do the following: –Find the smallest value v 2 in the B-tree index such that v 2 >v 1. Then put a short-term V lock for value v 2 on the B-tree index. If the V lock for value v 2 on the B-tree index is acquired as an X lock, upgrade the V lock for value v 1 on the B-tree index to an X lock. This situation may occur when transaction T already holds an S or X lock for value v 2 on the B-tree index –Request a latch on value v 2. Insert into the B-tree index an entry for value v 1 with an empty row id list. (Note: that at a later point transaction T will insert a row id into this row id list after T inserts the corresponding tuple into the aggregate join view.) Then release the latch on value v 2 –Release the short-term V lock for value v 2 on the B-tree index

20. 20 Necessity Proof Sketch If any technique is omitted (and not replaced by another equivalent technique), construct an example case to show that serializability can be violated

21. 21 Correctness Proof Sketch Enumerate all possible cases to show –No split group duplicates –No read-write conflict –No write-write conflict –No write-read conflict V locks and the latch pool prevent split group duplicates –No two transactions can do integration simultaneously T updates AJV first by inserting a new tuple t T will see tuple t when updating AJV No reads and writes can occur concurrently –S lock is only compatible with itself

22. 22 Conclusions The V locking protocol can –avoid all (long-term) write-write lock conflicts on materialized aggregate join views –greatly improve the throughput of materialized aggregate join view maintenance transactions