7.5.9.3 Next-key Locking: Avoiding the Phantom Problem

In row level locking InnoDB uses an algorithm called next-key locking. InnoDB does the row level locking so that when it searches or scans an index of a table, it sets shared or exclusive locks on the index records it encounters. Thus the row level locks are more precisely called index record locks.

The locks InnoDB sets on index records also affect the 'gap' before that index record. If a user has a shared or exclusive lock on record R in an index, then another user cannot insert a new index record immediately before R in the index order. This locking of gaps is done to prevent the so-called phantom problem. Suppose I want to read and lock all children with identifier bigger than 100 from table CHILD, and update some field in the selected rows.

SELECT * FROM CHILD WHERE ID > 100 FOR UPDATE;

Suppose there is an index on table CHILD on column ID. Our query will scan that index starting from the first record where ID is bigger than 100. Now, if the locks set on the index records would not lock out inserts made in the gaps, a new child might meanwhile be inserted to the table. If now I in my transaction execute

SELECT * FROM CHILD WHERE ID > 100 FOR UPDATE;

again, I will see a new child in the result set the query returns. This is against the isolation principle of transactions: a transaction should be able to run so that the data it has read does not change during the transaction. If we regard a set of rows as a data item, then the new 'phantom' child would break this isolation principle.

When InnoDB scans an index it can also lock the gap after the last record in the index. Just that happens in the previous example: the locks set by InnoDB will prevent any insert to the table where ID would be bigger than 100.

You can use next-key locking to implement a uniqueness check in your application: if you read your data in share mode and do not see a duplicate for a row you are going to insert, then you can safely insert your row and know that the next-key lock set on the successor of your row during the read will prevent anyone meanwhile inserting a duplicate for your row. Thus the next-key locking allows you to 'lock' the non-existence of something in your table.

User Comments

Add your own comment.