Chapter 5

Transaction Management

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

Chapter Outline
1 Introduction to Transaction Processing 2 Transaction and System Concepts 3 Desirable Properties of Transactions 4 Characterizing Schedules based on Recoverability 5 Characterizing Schedules based on Serializability 6 Databases Concurrency Control
1.Purpose of Concurrency Control 2.Two-Phase locking
Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Chapter Outline
Databases Recovery
1. Purpose of Database Recovery 2. Types of Failure 3 . Transaction Log 4 . Data Updates 5. Data Caching 6 . Transaction Roll-back (Undo) and Roll-Forward 7 . Checkpointing 8 . Recovery schemes

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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1 Introduction to Transaction Processing (1)

Single-User System:

At most one user at a time can use the system.

Many users can access the system concurrently. Interleaved processing:

Multiuser System:

Concurrency

Concurrent execution of processes is interleaved in a single CPU Processes are concurrently executed in multiple CPUs.

Parallel processing:

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Introduction to Transaction Processing (2)

A Transaction:

Logical unit of database processing that includes one or more access operations (read -retrieval, write - insert or update, delete).

A transaction (set of operations) may be stand-alone specified in a high level language like SQL submitted interactively, or may be embedded within a program. Transaction boundaries:

Begin and End transaction.

An application program may contain several transactions separated by the Begin and End transaction boundaries.

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Introduction to Transaction Processing (3)

SIMPLE MODEL OF A DATABASE (for purposes of discussing transactions): A database is a collection of named data items Granularity of data - a field, a record , or a whole disk block (Concepts are independent of granularity) Basic operations are read and write read_item(X): Reads a database item named X into a program variable. To simplify our notation, we assume that the program variable is also named X. write_item(X): Writes the value of program variable X into the database item named X.

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Introduction to Transaction Processing (4)

READ AND WRITE OPERATIONS: Basic unit of data transfer from the disk to the computer main memory is one block. In general, a data item (what is read or written) will be the field of some record in the database, although it may be a larger unit such as a record or even a whole block. read_item(X) command includes the following steps:

Find the address of the disk block that contains item X. Copy that disk block into a buffer in main memory (if that disk block is not already in some main memory buffer). Copy item X from the buffer to the program variable named X.

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Introduction to Transaction Processing (5)

READ AND WRITE OPERATIONS (contd.): write_item(X) command includes the following steps:

Find the address of the disk block that contains item X. Copy that disk block into a buffer in main memory (if that disk block is not already in some main memory buffer). Copy item X from the program variable named X into its correct location in the buffer. Store the updated block from the buffer back to disk (either immediately or at some later point in time).

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Two sample transactions

FIGURE 17.2 Two sample transactions:

(a) Transaction T1 (b) Transaction T2

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Introduction to Transaction Processing (6)

Why Concurrency Control is needed: The Lost Update Problem

This occurs when two transactions that access the same database items have their operations interleaved in a way that makes the value of some database item incorrect. This occurs when one transaction updates a database item and then the transaction fails for some reason (see Section 17.1.4). The updated item is accessed by another transaction before it is changed back to its original value. If one transaction is calculating an aggregate summary function on a number of records while other transactions are updating some of these records, the aggregate function may calculate some values before they are updated and others after they are updated.

The Temporary Update (or Dirty Read) Problem

The Incorrect Summary Problem

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Concurrent execution is uncontrolled: (a) The lost update problem.

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Concurrent execution is uncontrolled: (b) The temporary update problem.

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Concurrent execution is uncontrolled: (c) The incorrect summary problem.

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Introduction to Transaction Processing (12)

Why recovery is needed: (What causes a Transaction to fail) 1. A computer failure (system crash):
A hardware or software error occurs in the computer system during transaction execution. If the hardware crashes, the contents of the computers internal memory may be lost.

2. A transaction or system error:

Some operation in the transaction may cause it to fail, such as integer overflow or division by zero. Transaction failure may also occur because of erroneous parameter values or because of a logical programming error. In addition, the user may interrupt the transaction during its execution.

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Introduction to Transaction Processing (13)

Why recovery is needed (Contd.): (What causes a Transaction to fail) 3. Local errors or exception conditions detected by the transaction:
Certain conditions necessitate cancellation of the transaction. For example, data for the transaction may not be found. A condition, such as insufficient account balance in a banking database, may cause a transaction, such as a fund withdrawal from that account, to be canceled. A programmed abort in the transaction causes it to fail.

4. Concurrency control enforcement:

The concurrency control method may decide to abort the transaction, to be restarted later, because it violates serializability or because several transactions are in a state of deadlock (see Chapter 18).

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Introduction to Transaction Processing (14)

Why recovery is needed (contd.): (What causes a Transaction to fail) 5. Disk failure:
Some disk blocks may lose their data because of a read or write malfunction or because of a disk read/write head crash. This may happen during a read or a write operation of the transaction.

6. Physical problems and catastrophes:

This refers to an endless list of problems that includes power or air-conditioning failure, fire, theft, sabotage, overwriting disks or tapes by mistake, and mounting of a wrong tape by the operator.

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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2 Transaction and System Concepts (1)

A transaction is an atomic unit of work that is either completed in its entirety or not done at all. For recovery purposes, the system needs to keep track of when the transaction starts, terminates, and commits or aborts. Transaction states: Active state Partially committed state Committed state Failed state Terminated State
Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Transaction and System Concepts (2)

Recovery manager keeps track of the following operations:

begin_transaction: This marks the beginning of transaction execution. read or write: These specify read or write operations on the database items that are executed as part of a transaction. end_transaction: This specifies that read and write transaction operations have ended and marks the end limit of transaction execution. At this point it may be necessary to check whether the changes introduced by the transaction can be permanently applied to the database or whether the transaction has to be aborted because it violates concurrency control or for some other reason.

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Transaction and System Concepts (3)

Recovery manager keeps track of the following operations (cont):

commit_transaction: This signals a successful end of the transaction so that any changes (updates) executed by the transaction can be safely committed to the database and will not be undone. rollback (or abort): This signals that the transaction has ended unsuccessfully, so that any changes or effects that the transaction may have applied to the database must be undone.
Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Transaction and System Concepts (4)

Recovery techniques use the following operators:

undo: Similar to rollback except that it applies to a single operation rather than to a whole transaction. redo: This specifies that certain transaction operations must be redone to ensure that all the operations of a committed transaction have been applied successfully to the database.

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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State transition diagram illustrating the states for transaction execution

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Transaction and System Concepts (6)

The System Log

Log or Journal: The log keeps track of all transaction operations that affect the values of database items.

This information may be needed to permit recovery from transaction failures. The log is kept on disk, so it is not affected by any type of failure except for disk or catastrophic failure. In addition, the log is periodically backed up to archival storage (tape) to guard against such catastrophic failures.
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Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

Transaction and System Concepts (7)

The System Log (cont):

T in the following discussion refers to a unique transaction-id that is generated automatically by the system and is used to identify each transaction: Types of log record: [start_transaction,T]: Records that transaction T has started execution. [write_item,T,X,old_value,new_value]: Records that transaction T has changed the value of database item X from old_value to new_value. [read_item,T,X]: Records that transaction T has read the value of database item X. [commit,T]: Records that transaction T has completed successfully, and affirms that its effect can be committed (recorded permanently) to the database. [abort,T]: Records that transaction T has been aborted.
Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Transaction and System Concepts (8)

The System Log (cont):

Protocols for recovery that avoid cascading rollbacks do not require that read operations be written to the system log, whereas other protocols require these entries for recovery. Strict protocols require simpler write entries that do not include new_value (see Section 17.4).

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Transaction and System Concepts (9)

Recovery using log records: If the system crashes, we can recover to a consistent database state by examining the log and using one of the techniques described in Chapter 19.
1. Because the log contains a record of every write operation that changes the value of some database item, it is possible to undo the effect of these write operations of a transaction T by tracing backward through the log and resetting all items changed by a write operation of T to their old_values. We can also redo the effect of the write operations of a transaction T by tracing forward through the log and setting all items changed by a write operation of T (that did not get done permanently) to their new_values.

2.

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Transaction and System Concepts (10)

Commit Point of a Transaction: Definition a Commit Point:

A transaction T reaches its commit point when all its operations that access the database have been executed successfully and the effect of all the transaction operations on the database has been recorded in the log. Beyond the commit point, the transaction is said to be committed, and its effect is assumed to be permanently recorded in the database. The transaction then writes an entry [commit,T] into the log.

Roll Back of transactions:

Needed for transactions that have a [start_transaction,T] entry into the log but no commit entry [commit,T] into the log.

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Transaction and System Concepts (11)

Commit Point of a Transaction (cont): Redoing transactions: Transactions that have written their commit entry in the log must also have recorded all their write operations in the log; otherwise they would not be committed, so their effect on the database can be redone from the log entries. (Notice that the log file must be kept on disk. At the time of a system crash, only the log entries that have been written back to disk are considered in the recovery process because the contents of main memory may be lost.) Force writing a log: Before a transaction reaches its commit point, any portion of the log that has not been written to the disk yet must now be written to the disk. This process is called force-writing the log file before committing a transaction.

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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3 Desirable Properties of Transactions (1)

ACID properties: Atomicity: A transaction is an atomic unit of processing; it is either performed in its entirety or not performed at all. Consistency preservation: A correct execution of the transaction must take the database from one consistent state to another. Isolation: A transaction should not make its updates visible to other transactions until it is committed; this property, when enforced strictly, solves the temporary update problem and makes cascading rollbacks of transactions unnecessary (see Chapter 21). Durability or permanency: Once a transaction changes the database and the changes are committed, these changes must never be lost because of subsequent failure.

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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4 Characterizing Schedules based on Recoverability (1)

Transaction schedule or history:

When transactions are executing concurrently in an interleaved fashion, the order of execution of operations from the various transactions forms what is known as a transaction schedule (or history).

A schedule (or history) S of n transactions T1, T2, , Tn:

It is an ordering of the operations of the transactions subject to the constraint that, for each transaction Ti that participates in S, the operations of T1 in S must appear in the same order in which they occur in T1. Note, however, that operations from other transactions Tj can be interleaved with the operations of Ti in S.

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Characterizing Schedules based on Recoverability (2)

Schedules classified on recoverability: Recoverable schedule: One where no transaction needs to be rolled back. A schedule S is recoverable if no transaction T in S commits until all transactions T that have written an item that T reads have committed. Cascadeless schedule: One where every transaction reads only the items that are written by committed transactions.
Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Characterizing Schedules based on Recoverability (3)

Schedules classified on recoverability (contd.): Schedules requiring cascaded rollback:

A schedule in which uncommitted transactions that read an item from a failed transaction must be rolled back.
A schedule in which a transaction can neither read or write an item X until the last transaction that wrote X has committed.

Strict Schedules:

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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5 Characterizing Schedules based on Serializability (1)

Serial schedule:

A schedule S is serial if, for every transaction T participating in the schedule, all the operations of T are executed consecutively in the schedule.

Otherwise, the schedule is called nonserial schedule.

Serializable schedule:

A schedule S is serializable if it is equivalent to some serial schedule of the same n transactions.

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Characterizing Schedules based on Serializability (3)

Being serializable is not the same as being serial Being serializable implies that the schedule is a correct schedule.

It will leave the database in a consistent state. The interleaving is appropriate and will result in a state as if the transactions were serially executed, yet will achieve efficiency due to concurrent execution.

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Characterizing Schedules based on Serializability (11)

Testing for conflict serializability: Algorithm 17.1:

Looks at only read_Item (X) and write_Item (X) operations Constructs a precedence graph (serialization graph) - a graph with directed edges An edge is created from Ti to Tj if one of the operations in Ti appears before a conflicting operation in Tj The schedule is serializable if and only if the precedence graph has no cycles.
Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Constructing the Precedence Graphs

FIGURE 17.7 Constructing the precedence graphs for schedules A and D from Figure 17.5 to test for conflict serializability.

(a) Precedence graph for serial schedule A. (b) Precedence graph for serial schedule B. (c) Precedence graph for schedule C (not serializable). (d) Precedence graph for schedule D (serializable, equivalent to schedule A).

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Another example of serializability Testing

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Another Example of Serializability Testing

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Another Example of Serializability Testing

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Database Concurrency Control

1 Purpose of Concurrency Control

To enforce Isolation (through mutual exclusion) among conflicting transactions. To preserve database consistency through consistency preserving execution of transactions. To resolve read-write and write-write conflicts.

Example:

In concurrent execution environment if T1 conflicts with T2 over a data item A, then the existing concurrency control decides if T1 or T2 should get the A and if the other transaction is rolled-back or waits.

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Database Concurrency Control

Two-Phase Locking Techniques

Locking is an operation which secures

(a) permission to Read (b) permission to Write a data item for a transaction. Lock (X). Data item X is locked in behalf of the requesting transaction.

Example:

Unlocking is an operation which removes these permissions from the data item. Example:

Unlock (X): Data item X is made available to all other transactions.

Lock and Unlock are Atomic operations.

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Database Concurrency Control

Two-Phase Locking Techniques: Essential components

Two locks modes:

(a) shared (read)

(b) exclusive (write).

Shared mode: shared lock (X)

More than one transaction can apply share lock on X for reading its value but no write lock can be applied on X by any other transaction. Only one write lock on X can exist at any time and no shared lock can be applied by any other transaction on X.
Read
Read

Exclusive mode: Write lock (X)

Conflict matrix

Write N N
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Y N

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

Write

Database Concurrency Control

Two-Phase Locking Techniques: Essential components

Lock Manager:

Managing locks on data items. Lock manager uses it to store the identify of transaction locking a data item, the data item, lock mode and pointer to the next data item locked. One simple way to implement a lock table is through linked list.

Lock table:

Transaction ID Data item id lock mode Ptr to next data item T1 X1 Read Next
Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Database Concurrency Control

Two-Phase Locking Techniques: Essential components

Database requires that all transactions should be well-formed. A transaction is well-formed if:

It must lock the data item before it reads or writes to it. It must not lock an already locked data items and it must not try to unlock a free data item.

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Database Concurrency Control

Two-Phase Locking Techniques: Essential components

The following code performs the lock operation:

B: if LOCK (X) = 0 (*item is unlocked*) then LOCK (X) 1 (*lock the item*) else begin wait (until lock (X) = 0) and the lock manager wakes up the transaction); goto B end;

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Database Concurrency Control

Two-Phase Locking Techniques: Essential components

The following code performs the unlock operation:

LOCK (X) 0 (*unlock the item*) if any transactions are waiting then wake up one of the waiting the transactions;

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Database Concurrency Control

Two-Phase Locking Techniques: Essential components

The following code performs the read operation:

B: if LOCK (X) = unlocked then

begin LOCK (X) read-locked; no_of_reads (X) 1; end 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 end;

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Database Concurrency Control

Two-Phase Locking Techniques: Essential components

The following code performs the write lock operation:

B: if LOCK (X) = unlocked then

begin LOCK (X) read-locked; no_of_reads (X) 1; end 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 end;

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Database Concurrency Control

Two-Phase Locking Techniques: Essential components

The following code performs the unlock operation:

if LOCK (X) = write-locked then

begin LOCK (X) unlocked; wakes up one of the transactions, if any end else if LOCK (X) read-locked then begin no_of_reads (X) no_of_reads (X) -1 if no_of_reads (X) = 0 then begin LOCK (X) = unlocked; wake up one of the transactions, if any end end;
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Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

Database Concurrency Control

Two-Phase Locking Techniques: Essential components

Lock conversion Lock upgrade: existing read lock to write lock

if Ti has a read-lock (X) and Tj has no read-lock (X) (i j) then convert read-lock (X) to write-lock (X) else force Ti to wait until Tj unlocks X

Lock downgrade: existing write lock to read lock

Ti has a write-lock (X) (*no transaction can have any lock on X*) convert write-lock (X) to read-lock (X)

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Database Concurrency Control

Two-Phase Locking Techniques: The algorithm Two Phases: (a) Locking (Growing) (b) Unlocking (Shrinking). Locking (Growing) Phase: A transaction applies locks (read or write) on desired data items one at a time. Unlocking (Shrinking) Phase: A transaction unlocks its locked data items one at a time. Requirement: For a transaction these two phases must be mutually exclusively, that is, during locking phase unlocking phase must not start and during unlocking phase locking phase must not begin.

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Database Concurrency Control

Two-Phase Locking Techniques: The algorithm
T1 read_lock (Y); read_item (Y); unlock (Y); write_lock (X); read_item (X); X:=X+Y; write_item (X); unlock (X); T2 read_lock (X); read_item (X); unlock (X); Write_lock (Y); read_item (Y); Y:=X+Y; write_item (Y); unlock (Y); Result Initial values: X=20; Y=30 Result of serial execution T1 followed by T2 X=50, Y=80. Result of serial execution T2 followed by T1 X=70, Y=50

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Database Concurrency Control

Two-Phase Locking Techniques: The algorithm
T1
read_lock (Y); read_item (Y); unlock (Y);

T2

Result
X=50; Y=50 Nonserializable because it. violated two-phase policy.

Time

read_lock (X); read_item (X); unlock (X); write_lock (Y); read_item (Y); Y:=X+Y; write_item (Y); unlock (Y);

write_lock (X); read_item (X); X:=X+Y; write_item (X); unlock (X);

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Database Concurrency Control

Two-Phase Locking Techniques: The algorithm
T1 read_lock (Y); read_item (Y); write_lock (X); unlock (Y); read_item (X); X:=X+Y; write_item (X); unlock (X); T2 read_lock (X); read_item (X); Write_lock (Y); unlock (X); read_item (Y); Y:=X+Y; write_item (Y); unlock (Y); T1 and T2 follow two-phase policy but they are subject to deadlock, which must be dealt with.

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Database Concurrency Control

Two-Phase Locking Techniques: The algorithm Two-phase policy generates two locking algorithms (a) Basic (b) Conservative Conservative: Prevents deadlock by locking all desired data items before transaction begins execution. Basic: Transaction locks data items incrementally. This may cause deadlock which is dealt with. Strict: A more stricter version of Basic algorithm where unlocking is performed after a transaction terminates (commits or aborts and rolled-back). This is the most commonly used two-phase locking algorithm.

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Database Concurrency Control

Dealing with Deadlock and Starvation

Deadlock
T2 T1 and T2 did follow two-phase policy but they are deadlock

T1 read_lock (Y); read_item (Y);

read_lock (X); read_item (Y);

write_lock (X); (waits for X) write_lock (Y); (waits for Y)

Deadlock (T1 and T2)

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Database Concurrency Control

Dealing with Deadlock and Starvation Deadlock prevention

A transaction locks all data items it refers to before it begins execution. This way of locking prevents deadlock since a transaction never waits for a data item. The conservative two-phase locking uses this approach.

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Database Concurrency Control

Dealing with Deadlock and Starvation Deadlock detection and resolution

In this approach, deadlocks are allowed to happen. The scheduler maintains a wait-for-graph for detecting cycle. If a cycle exists, then one transaction involved in the cycle is selected (victim) and rolled-back. A wait-for-graph is created using the lock table. As soon as a transaction is blocked, it is added to the graph. When a chain like: Ti waits for Tj waits for Tk waits for Ti or Tj occurs, then this creates a cycle. One of the transaction o

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Database Concurrency Control

Dealing with Deadlock and Starvation Deadlock avoidance

There are many variations of two-phase locking algorithm. Some avoid deadlock by not letting the cycle to complete. That is as soon as the algorithm discovers that blocking a transaction is likely to create a cycle, it rolls back the transaction. Wound-Wait and Wait-Die algorithms use timestamps to avoid deadlocks by rolling-back victim.

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Database Concurrency Control

Dealing with Deadlock and Starvation Starvation

Starvation occurs when a particular transaction consistently waits or restarted and never gets a chance to proceed further. In a deadlock resolution it is possible that the same transaction may consistently be selected as victim and rolled-back. This limitation is inherent in all priority based scheduling mechanisms. In Wound-Wait scheme a younger transaction may always be wounded (aborted) by a long running older transaction which may create starvation.
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Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

Database Concurrency Control

Timestamp based concurrency control algorithm Timestamp

A monotonically increasing variable (integer) indicating the age of an operation or a transaction. A larger timestamp value indicates a more recent event or operation. Timestamp based algorithm uses timestamp to serialize the execution of concurrent transactions.

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Database Recovery
1 Purpose of Database Recovery To bring the database into the last consistent state, which existed prior to the failure. To preserve transaction properties (Atomicity, Consistency, Isolation and Durability). Example: If the system crashes before a fund transfer transaction completes its execution, then either one or both accounts may have incorrect value. Thus, the database must be restored to the state before the transaction modified any of the accounts.

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Database Recovery
2 Types of Failure

The database may become unavailable for use due to

Transaction failure: Transactions may fail because of incorrect input, deadlock, incorrect synchronization. System failure: System may fail because of addressing error, application error, operating system fault, RAM failure, etc. Media failure: Disk head crash, power disruption, etc.
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Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

Database Recovery
3 Transaction Log

For recovery from any type of failure data values prior to modification (BFIM - BeFore Image) and the new value after modification (AFIM AFter Image) are required. These values and other information is stored in a sequential file called Transaction log. A sample log is given below. Back P and Next P point to the previous and next log records of the same transaction.
T ID Back P Next P Operation Data item Begin T1 0 1 T1 1 4 Write X Begin T2 0 8 T1 2 5 W Y T1 4 7 R M T3 0 9 R N T1 5 nil End
Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

BFIM X = 100

AFIM X = 200

Y = 50 Y = 100 M = 200 M = 200 N = 400 N = 400

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Database Recovery
4 Data Update

Immediate Update: As soon as a data item is modified in cache, the disk copy is updated. Deferred Update: All modified data items in the cache is written either after a transaction ends its execution or after a fixed number of transactions have completed their execution. Shadow update: The modified version of a data item does not overwrite its disk copy but is written at a separate disk location. In-place update: The disk version of the data item is overwritten by the cache version.
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Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

Database Recovery
5 Data Caching

Data items to be modified are first stored into database cache by the Cache Manager (CM) and after modification they are flushed (written) to the disk. The flushing is controlled by Modified and PinUnpin bits.

Pin-Unpin: Instructs the operating system not to flush the data item. Modified: Indicates the AFIM of the data item.

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Database Recovery
6 Transaction Roll-back (Undo) and RollForward (Redo)

To maintain atomicity, a transactions operations are redone or undone.

Undo: Restore all BFIMs on to disk (Remove all AFIMs). Redo: Restore all AFIMs on to disk.

Database recovery is achieved either by performing only Undos or only Redos or by a combination of the two. These operations are recorded in the log as they happen.
Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Database Recovery

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Database Recovery

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Database Recovery
Roll-back: One execution of T1, T2 and T3 as recorded in the log.

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Database Recovery
Write-Ahead Logging When in-place update (immediate or deferred) is used then log is necessary for recovery and it must be available to recovery manager. This is achieved by Write-Ahead Logging (WAL) protocol. WAL states that

For Undo: Before a data items AFIM is flushed to the database disk (overwriting the BFIM) its BFIM must be written to the log and the log must be saved on a stable store (log disk). For Redo: Before a transaction executes its commit operation, all its AFIMs must be written to the log and the log must be saved on a stable store.
Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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7 Checkpointing

Time to time (randomly or under some criteria) the database flushes its buffer to database disk to minimize the task of recovery. The following steps defines a checkpoint operation:
1. 2. 3. 4. Suspend execution of transactions temporarily. Force write modified buffer data to disk. Write a [checkpoint] record to the log, save the log to disk. Resume normal transaction execution.

During recovery redo or undo is required to transactions appearing after [checkpoint] record.

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Steal/No-Steal and Force/No-Force

Possible ways for flushing database cache to database disk:

1. Steal: Cache can be flushed before transaction commits. 2. No-Steal: Cache cannot be flushed before transaction commit. 3. Force: Cache is immediately flushed (forced) to disk. 4. No-Force: Cache is deferred until transaction commits

These give rise to four different ways for handling recovery:

Steal/No-Force (Undo/Redo) Steal/Force (Undo/No-redo) No-Steal/No-Force (Redo/No-undo) No-Steal/Force (No-undo/No-redo)

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Database Recovery
8 Recovery Scheme Deferred Update (No Undo/Redo)

The data update goes as follows: A set of transactions records their updates in the log. At commit point under WAL scheme these updates are saved on database disk. After reboot from a failure the log is used to redo all the transactions affected by this failure. No undo is required because no AFIM is flushed to the disk before a transaction commits.
Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Database Recovery

Deferred Update in a single-user system There is no concurrent data sharing in a single user system. The data update goes as follows:

A set of transactions records their updates in the log. At commit point under WAL scheme these updates are saved on database disk.

After reboot from a failure the log is used to redo all the transactions affected by this failure. No undo is required because no AFIM is flushed to the disk before a transaction commits.

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Database Recovery

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Deferred Update with concurrent users This environment requires some concurrency control mechanism to guarantee isolation property of transactions. In a system recovery transactions which were recorded in the log after the last checkpoint were redone. The recovery manager may scan some of the transactions recorded before the checkpoint to get the AFIMs.

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Database Recovery

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Database Recovery
Deferred Update with concurrent users Two tables are required for implementing this protocol:

Active table: All active transactions are entered in this table. Commit table: Transactions to be committed are entered in this table.

During recovery, all transactions of the commit table are redone and all transactions of active tables are ignored since none of their AFIMs reached the database. It is possible that a commit table transaction may be redone twice but this does not create any inconsistency because of a redone is idempotent, that is, one redone for an AFIM is equivalent to multiple redone for the same AFIM.
Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Database Recovery
Recovery Techniques Based on Immediate Update Undo/No-redo Algorithm

In this algorithm AFIMs of a transaction are flushed to the database disk under WAL before it commits. For this reason the recovery manager undoes all transactions during recovery. No transaction is redone. It is possible that a transaction might have completed execution and ready to commit but this transaction is also undone.
Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Database Recovery
Recovery Techniques Based on Immediate Update Undo/Redo Algorithm (Single-user environment)

Recovery schemes of this category apply undo and also redo for recovery. In a single-user environment no concurrency control is required but a log is maintained under WAL. Note that at any time there will be one transaction in the system and it will be either in the commit table or in the active table. The recovery manager performs:

Undo of a transaction if it is in the active table. Redo of a transaction if it is in the commit table.
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Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

Database Recovery
Recovery Techniques Based on Immediate Update Undo/Redo Algorithm (Concurrent execution) Recovery schemes of this category applies undo and also redo to recover the database from failure. In concurrent execution environment a concurrency control is required and log is maintained under WAL. Commit table records transactions to be committed and active table records active transactions. To minimize the work of the recovery manager checkpointing is used. The recovery performs:

Undo of a transaction if it is in the active table. Redo of a transaction if it is in the commit table.
Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Database Recovery
Shadow Paging The AFIM does not overwrite its BFIM but recorded at another place on the disk. Thus, at any time a data item has AFIM and BFIM (Shadow copy of the data item) at two different places on the disk.

Y X' Database

Y'

X and Y: Shadow copies of data items X' and Y': Current copies of data items
Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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Database Recovery
Shadow Paging To manage access of data items by concurrent transactions two directories (current and shadow) are used.

The directory arrangement is illustrated below. Here a page is a data item.

Copyright 2007 Ramez Elmasri and Shamkant B. Navathe

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