COSC 266

ADVANCED DATABASE MANAGEMENT

SYSTEM

Instructor : Getaneh Tilahun

 Chapter 6

DATABASE RECOVERY
TECHNIQUES

CoSc 266 : Advanced Database management System

Instructor : Getaneh Tilahun
OUTLINE
Databases Recovery
1. Purpose of Database Recovery
2. Types of Failure
3. Recovery Concept
4. Transaction Log
5. Data Caching
6. Data Updates
7. Transaction Roll-back (Undo) and Roll-Forward
8. Checkpointing
9. Recovery schemes
10. ARIES Recovery Scheme
11. Recovery in Multidatabase System
DATABASE RECOVERY
1 Purpose of Database Recovery
 To bring the database into the last consistent state,
which existed prior to the failure.
 To restored the database to the most recent
consistent state just before 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. Slide
19- 4
2. TYPES OF FAILURE
The database may become unavailable for use due to
 Computer/ System Failure
 A hardware or software error occurs during transaction execution. System may fail
because of addressing error, application error, operating system fault, RAM
failure, etc.
 Transaction failure:
 Transactions may fail because of Some operation error such as integer overflow or
division by zero.
 Local errors or exception conditions
 certain conditions necessitate cancellation of the transaction, such as insufficient
account balance in a banking database
 Concurrency control enforcement
A transactions may fail because of incorrect input, deadlock, incorrect
synchronization.
 Media failure: Disk head crash, power disruption, etc.
 Physical problems and catastrophes
3. RECOVERY CONCEPT
 Recovery from database transaction failure means
that the database is restored to the most recent
consistent state just before the time of failure.

 To recover the database to its previous consistent

state the system must keep information about the
change that were applied to the data item by the
various transactions.

 The information is kept in our system log file

Recovery Concept (cont.)
 Typically there are two strategies to recover the database
from failure.
1. When the database on disk is not physically damaged, and a
non catastrophic failure, the recovery strategy is to identify
any changes that may cause an inconsistency in the database
such as a transaction that has updated some database items on
disk but has not been committed needs to have its changes
reversed by undoing or redoing its write operations.
2. If there is extensive damage to a wide portion of the database
due to catastrophic failure, such as a disk crash, the recovery
method restores a past copy of the database that was backed
up to archival storage and reconstructs a more current state
by reapplying or redoing the operations of committed
transactions from the backed up log, up to the time of failure
4. 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 BFIM AFIM

T1 0 1 Begin
T1 1 4 Write X X = 100 X = 200
T2 0 8 Begin
T1 2 5 W Y Y = 50 Y = 100
T1 4 7 R M M = 200 M = 200
T3 0 9 R N N = 400 N = 400
T1 5 nil End
 5 DATA CACHING/BUFFERING
 Data items to be modified are first stored into database
cache (main memory buffer) by the Cache Manager (CM)
and after modification they are flushed (written) to the
disk.
 If the item not in the cache, the item or disk block should be
located on disk, and then the appropriate disk pages are
copied into cache.
 It may be necessary to replace or flush some of the cache
buffers to make space available for the new item.
 The flushing is controlled by Dirty/Modified and Pin-
Unpin bits.
 Pin-Unpin: Instructs the operating system not to flush the data
item.
 Modified: Indicates the AFIM of the data item.
6. 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.
7. TRANSACTION ROLL-BACK (UNDO) AND ROLL-
FORWARD (REDO)
To maintain atomicity, a transaction’s 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.
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 item’s 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).
 The UNDO-type log entries include the old value (BFIM) of the
item since this is needed to undo the effect of the operation from
the log (by setting the item value in the database back to its
BFIM)
 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.
 REDO-type log entry includes the new value (AFIM) of the item
written by the operation since this is needed to redo the effect of
the operation from the log (by setting the item value in the
database on disk to its AFIM)
 STEAL/NO-STEAL AND FORCE/NO-FORCE
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)

 Tofacilitate the recovery process, the DBMS recovery subsystem

may need to maintain active transactions that have started but not
committed as yet, and it may also include lists of all committed and
aborted transactions since the last checkpoint.
8. CHECKPOINTING
 Time to time (randomly or under some criteria) the database
flushes its buffer to database disk to minimize the task of
recovery.
 The recovery manager of a DBMS must decide at what
intervals to take a checkpoint.
 The interval may be measured in time—say, every m
minutes—or in the number of committed transactions since
the last checkpoint,
The following steps defines a checkpoint operation:
1. Suspend execution of transactions temporarily.
2. Force write modified buffer data to disk.
3. Write a [checkpoint] record to the log, save the log
to disk.
4. Resume normal transaction execution.
During recovery redo or undo is required to
transactions appearing after [checkpoint] record.
TRANSACTION ROLLBACK AND CASCADING ROLLBACK
 If a transaction fails for whatever reason after updating the
database, but before the transaction commits, it may be
necessary to roll back the transaction.
 The database must be restored to their previous values
(BFIMs).
 The undo-type log entries are used to restore the old values of
data items that must be rolled back.
 If a transaction T is rolled back, any transaction S that has,
in the interim, read the value of some data item X written by
T must also be rolled back. Similarly, once S is rolled back,
any transaction R that has read the value of some data item
Y written by S must also be rolled back; and so on.
 This phenomenon is called cascading rollback
 Understandably, cascading rollback can be quite
complex and time-consuming. Thus not practically
used
TRANSACTION ROLLBACK AND CASCADING ROLLBACK
TRANSACTION ROLLBACK AND CASCADING ROLLBACK
Roll-back: One execution of T1, T2 and T3 as recorded
in the log.
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.
 REDO-type log entries are needed in the log, which include
the new value (AFIM) of the item written by a write operation.
The UNDO-type log entries are not needed

 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.
DEFERRED UPDATE (NO UNDO/REDO)
 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.
 DEFERRED UPDATE (NO UNDO/REDO)
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.
DEFERRED UPDATE (NO UNDO/REDO)
DEFERRED UPDATE (NO UNDO/REDO)
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.
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 undone 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.
 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.
RECOVERY TECHNIQUES BASED ON IMMEDIATE
UPDATE
 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.

 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.

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.

X Y
X' Y'

Database

X and Y: Shadow copies of data items

X' and Y': Current copies of data items
Slide
19-
25
 SHADOW PAGING (CONTI.)
 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.
 SHADOW PAGING (CONTI.)
 To recover from a failure during transaction execution,
it is sufficient to free the modified database pages and
to discard the current directory.
 The state of the database before transaction execution
is available through the shadow directory, and that
state is recovered by reinstating the shadow directory.
 The database thus is returned to its state prior to the
transaction that was executing when the crash
occurred, and any modified pages are discarded.
 Committing a transaction corresponds to discarding
the previous shadow directory.
 Since recovery involves neither undoing nor redoing
data items, this technique can be categorized as a
NOUNDO/NO-REDO technique for recovery.
THE ARIES RECOVERY ALGORITHM
 The ARIES Recovery Algorithm is based on:
 WAL (Write Ahead Logging)
 Repeating history during redo:
 ARIES will retrace all actions of the database system prior to
the crash to reconstruct the database state when the crash
occurred.
 Logging changes during undo:
 It will prevent ARIES from repeating the completed undo
operations if a failure occurs during recovery, which causes a
restart of the recovery process.
 The ARIES recovery algorithm consists of three steps:
1. Analysis: step identifies the dirty (updated) pages in the
buffer and the set of transactions active at the time of crash.
The appropriate point in the log where redo is to start is also
determined.
2. Redo: necessary redo operations are applied.
3. Undo: log is scanned backwards and the operations of
transactions active at the time of crash are undone in reverse
order.
 The information needed for ARIES to accomplish its recovery
procedure includes the log, the Transaction Table, and the Dirty
Page Table. Additionally, checkpointing is used.
THE ARIES RECOVERY ALGORITHM (CONTI.)
 The Log and Log Sequence Number (LSN)
 A log record is written for:
 (a) data update
 (b) transaction commit
 (c) transaction abort
 (d) undo
 (e) transaction end
 In the case of undo a compensating log record is written.
 A unique LSN is associated with every log record.
 LSN increases monotonically and indicates the disk address of
the log record it is associated with.
 In addition, each data page stores the LSN of the latest log
record corresponding to a change for that page.
 A log record stores
 (a) the previous LSN of that transaction

 (b) the transaction ID

 (c) the type of log record.

THE ARIES RECOVERY ALGORITHM (CONTD.)
 The Log and Log Sequence Number (LSN) (contd.)
 A log record stores:
1. Previous LSN of that transaction: It links the log record of
each transaction. It is like a back pointer points to the
previous record of the same transaction
2. Transaction ID
3. Type of log record
 For a write operation the following additional information is
logged:
1. Page ID for the page that includes the item
2. Length of the updated item
3. Its offset from the beginning of the page
4. BFIM of the item
5. AFIM of the item
THE ARIES RECOVERY ALGORITHM (CONTD.)
 The Transaction table and the Dirty Page table
 For efficient recovery following tables are also stored in the log
during checkpointing:
 Transaction table: Contains an entry for each active transaction,
with information such as transaction ID, transaction status and the
LSN of the most recent log record for the transaction.
 Dirty Page table: Contains an entry for each dirty page in the
buffer, which includes the page ID and the LSN corresponding to the
earliest update to that page.
 Checkpointing
 A checkpointing does the following:
 Writes a begin_checkpoint record in the log
 Writes an end_checkpoint record in the log. With this record
the contents of transaction table and dirty page table are
appended to the end of the log.
 Writes the LSN of the begin_checkpoint record to a special file.
This special file is accessed during recovery to locate the last
checkpoint information.
 To reduce the cost of checkpointing and allow the system to
continue to execute transactions, ARIES uses “fuzzy
checkpointing”.
THE ARIES RECOVERY ALGORITHM (CONTD.)
The ARIES Recovery Algorithm (contd.)
 The following steps are performed for recovery
 Analysis phase: Start at the begin_checkpoint record and
proceed to the end_checkpoint record. Access transaction
table and dirty page table are appended to the end of the log.
Note that during this phase some other log records may be
written to the log and transaction table may be modified.
The analysis phase compiles the set of redo and undo to be
performed and ends.
 Redo phase: Starts from the point in the log up to where all
dirty pages have been flushed, and move forward to the end
of the log. Any change that appears in the dirty page table is
redone.
 Undo phase: Starts from the end of the log and proceeds
backward while performing appropriate undo. For each
undo it writes a compensating record in the log.
 The recovery completes at the end of undo phase.
THE ARIES RECOVERY ALGORITHM (CONTD.)
RECOVERY IN MULTIDATABASE SYSTEM
10 Recovery in multidatabase system
 A multidatabase system is a special distributed database system
where one node may be running relational database system
under UNIX, another may be running object-oriented system
under Windows and so on.
 A transaction may run in a distributed fashion at multiple
nodes.
 In this execution scenario the transaction commits only when all
these multiple nodes agree to commit individually the part of the
transaction they were executing.
 This commit scheme is referred to as “two-phase commit”
(2PC).
 If any one of these nodes fails or cannot commit the part of
the transaction, then the transaction is aborted.
 Each node recovers the transaction under its own recovery
protocol.
END OF CHAPTER 6
THANK YOU!