Advanced Database systems

Chapter 5:
Database Recovery Techniques

Prepared by: Bizuayehu S. (MSc. In Information Technology)

2023
Assosa, Ethiopia

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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 . Check pointing
8 . Recovery schemes
9. Recovery in Multidatabase System

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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.

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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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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.

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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.
 allows updates of an uncommitted transaction to be made to the
buffer, or the disk itself, before the transaction commits
 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.
 performs updates to buffer/disk only at the time of transaction
commit.
 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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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.

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Database Recovery
6 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.

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Database Recovery

The read and

write operations
of three
transactions

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Database Recovery
System log at the time
of crash

Slide 19- 10
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 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).
 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.

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Database Recovery
7 Check pointing
 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. 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.

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Database Recovery

Possible ways for flushing database cache to database disk:

Steal/No-Steal and Force/No-Force
1. Steal: Cache can be flushed before transaction commits.
 It avoids the need for a very large buffer space to store updated pages in
memory
2. No-Steal: Cache cannot be flushed before transaction commit.
3. Force: Cache is immediately flushed (forced) to disk(All pages
updated by a transaction are immediately written to disk when
the transaction commits).
4. No-Force: An updated page of a committed transaction may still
be in the buffer when another transaction needs to update it.
 This eliminate the I/O cost to read that page again from disk
 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)
Slide 19- 13
Database Recovery

8 Recovery Scheme/system
 Deferred Update (No Undo/Redo)

 The data update goes as follows:

 A set of transactions record 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.

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Database Recovery

An example of
recovery using
deferred update in a
single user
environment
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Database Recovery
Deferred Update with concurrent users
 This environment requires some concurrency control

mechanism to guarantee isolation property of

transactions.
 In the 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.

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Database Recovery

An Example of recovery using deferred update with concurrent transaction

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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..

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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.

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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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Database Recovery
Shadow Paging
 This recovery scheme does not require the use of a log in a

single user environment. 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
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Database Recovery
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.

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Recovery in multidatabase system(cont…)
 To maintain the atomicity of multi_database transaction(MDT) ,
it is necessary to have a two level recovery mechanism.
 A global recovery manager or coordinator is needed to
maintain information needed for recovery
 The coordinator usually follows a Two-phase commit protocol
which can be explained as follows:
 Phase1: when all participating databases signal the coordinator
that the part of the MDT involving each has concluded, the
coordinator sends a “prepare for commit” message to each
participant to get ready for committing the transaction
 Each participating DB receiving that message will force write log
records to disk and send “ready to commit” or “OK” signal to the
coordinator . If the coordinator does not receive reply from a DB
within certain time out interval, it assumes a “not ok” response
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Recovery in multidatabase system(cont…)
 Phase 2:If all participating databases reply ok, the
transaction is successful and the coordinator sends a
commit signal to the participating DBs
 Because all the local effects of the transaction and

information needed for local recovery is recorded in the

logs of participating DBs, recovery from failure is now
possible.
 Each participating DB completes transaction commit by

writing a [commit] for the transaction in the log

 If one or more of the participating DB or the coordinator

have a “not OK” response, the T has failed and the

coordinator sends a message to rollback or Undo the
local effect of the transaction to each participating DB
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Exercise

 Consider the log records shown on the next slide by transactions T1,
T2, T3 and T4 with initial values of B=15, C=50, D=40 and E=25.
Using deferred update, show the final values of B, C, D and E after
recovery from failure if the crash occurred after the indicated point

B C D E
15 50 40 25

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 Initial values
Continued …
B C D E
15 50 40 25
[Start_transaction,T1]
[write_item,T1,B,12]
[write_item,T1,D,10]
[commit T1] Final values after recovery
[checkpoint]
[Start_transaction,T3] B C D E
[write_item,T3,E,30] ? ? ? ?
[commit T3]
[Start_transaction,T4]
[write_item,T4,B,18]
[commit T4]
[Start_transaction,T2]
Crash 26
Thank you

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