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Eswaran, Gray, Lorie and Traiger: consistency through two-phase and predicate locks

The paper formalized schedule consistency and proved two-phase locking guarantees under well-formed transaction assumptions, then proposed predicate locks to protect logical sets including phantom records.

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The paper formalized schedule consistency and proved two-phase locking guarantees under well-formed transaction assumptions, then proposed predicate locks to protect logical sets including phantom records. Two transactions can each preserve a database constraint when run alone and still break it when their actions interleave. The authors defined consistency through equivalence to a serial schedule. A transaction that first acquires locks and then releases them gives a simple ordering argument: conflicting dependencies follow the order in which transactions begin shrinking. The necessity claim has a precise quantifier. A particular non-two-phase transaction can run safely, but it cannot guarantee consistency against every unknown companion transaction. Existing-row locks also miss records that another transaction might create. Predicate locks therefore cover all possible tuples matching a logical condition, including absent tuples. The proposed implementable class uses Boolean combinations of simple field-to-constant comparisons; unrestricted predicate overlap is not generally decidable. This is a formal concurrency contribution and proposed mechanism, not a completed solution to every recovery, deadlock or distributed database problem.

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Scientific scope

The serial-equivalence result assumes well-formed two-phase transactions and a specified tuple/predicate access model. Predicate locks must cover matching tuples and changed old/new values. Necessity is against arbitrary companion transactions; some restricted non-two-phase executions can still be safe. Predicate overlap may be expensive or undecidable in a general language. Deadlock policy, crash recovery and production database correctness are separate.

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People and systems

K. P. Eswaran; J. N. Gray; R. A. Lorie; I. L. Traiger

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English catalogue narrative

Eswaran, Gray, Lorie and Traiger: consistency through two-phase and predicate locks

The paper formalized schedule consistency and proved two-phase locking guarantees under well-formed transaction assumptions, then proposed predicate locks to protect logical sets including phantom records.

Two transactions can each preserve a database constraint when run alone and still break it when their actions interleave. The authors defined consistency through equivalence to a serial schedule. A transaction that first acquires locks and then releases them gives a simple ordering argument: conflicting dependencies follow the order in which transactions begin shrinking. The necessity claim has a precise quantifier. A particular non-two-phase transaction can run safely, but it cannot guarantee consistency against every unknown companion transaction. Existing-row locks also miss records that another transaction might create. Predicate locks therefore cover all possible tuples matching a logical condition, including absent tuples. The proposed implementable class uses Boolean combinations of simple field-to-constant comparisons; unrestricted predicate overlap is not generally decidable. This is a formal concurrency contribution and proposed mechanism, not a completed solution to every recovery, deadlock or distributed database problem.

Scientific scope

The serial-equivalence result assumes well-formed two-phase transactions and a specified tuple/predicate access model. Predicate locks must cover matching tuples and changed old/new values. Necessity is against arbitrary companion transactions; some restricted non-two-phase executions can still be safe. Predicate overlap may be expensive or undecidable in a general language. Deadlock policy, crash recovery and production database correctness are separate.

People and systems

K. P. Eswaran; J. N. Gray; R. A. Lorie; I. L. Traiger

Original sources