ARIES: A Transaction Recovery Method Supporting Fine-Granularity Locking and Partial Rollbacks Using Write-Ahead Logging

C. MOHAN IBM Almaden and DON HADERLE IBM Santa Teresa and BRUCE LINDSAY, HAMID PIRAHESH and PETER SCHWARZ IBM Almaden Research Center Laboratory Research Center

and efficient method, called ARIES ( Algorithm for Recouery which supports partial rollbacks of transactions, finegranularity (e. g., record) locking and recovery using write-ahead logging (WAL). We introduce history to redo all missing updates before performing the rollbacks of the paradigm of repeating the loser transactions during restart after a system failure. ARIES uses a log sequence number in each page to correlate the state of a page with respect to logged updates of that page. All updates of a transaction are logged, including those performed during rollbacks. By appropriate chaining of the log records written during rollbacks to those written during forward progress, a bounded amount of logging is ensured during rollbacks even in the face of repeated failures during restart or of nested rollbacks We deal with a variety of features that are very Important transaction processing system ARIES supports in building and operating an industrial-strength fuzzy checkpoints, selective and deferred restart, fuzzy image copies, media recovery, and high concurrency lock modes (e. g., increment /decrement) which exploit the semantics of the operations and require the ability to perform operation logging. ARIES is flexible with respect to the kinds of buffer management policies that can be implemented. It supports objects of varying length efficiently. By enabling parallelism during restart, page-oriented redo, and logical undo, it enhances concurrency and performance. We show why some of the System R paradigms for logging and recovery, which were based on the shadow page technique, need to be changed in the context of WAL. We compare ARIES to the WAL-based recovery methods of
and Isolation Exploiting Semantics),

In this paper we present

a simple

Authors addresses: C Mohan, Data Base Technology Institute, IBM Almaden Research Center, San Jose, CA 95120; D. Haderle, Data Base Technology Institute, IBM Santa Teresa Laboratory, San Jose, CA 95150; B. Lindsay, H. Pirahesh, and P. Schwarz, IBM Almaden Research Center, San Jose, CA 95120. Permission to copy without fee all or part of this material is granted provided that the copies are not made or distributed for direct commercial advantage, the ACM copyright notice and the title of the publication and its date appear, and notice is given that copying is by permission of the Association for Computing Machinery. To copy otherwise, or to republish, requires a fee and/or specific permission. @ 1992 0362-5915/92/0300-0094 $1.50 ACM Transactions on Database Systems, Vol 17, No. 1, March 1992, Pages 94-162

ARIES: A Transaction Recovery Method

95

DB2TM, IMS, and TandemTM systems. ARIES is applicable not only to database management systems but also to persistent object-oriented languages, recoverable file systems and transaction-based operating systems. ARIES has been implemented, to varying degrees, in IBMs OS/2TM Extended Edition Database Manager, DB2, Workstation Data Save Facility/VM, Starburst and QuickSilver, and in the University of Wisconsins EXODUS and Gamma database machine. Categories
dures,

and Subject
restart,

Descriptors:
fault

D.4.5
E.5.

[Operating

Systems]:

Reliabilitybackup

proce-

checkpoint/

tolerance; processing;

Management]:
temsconcurrency,

Physical
and

Designreco~ery

[Data]: Files backup/ recouery; H.2.2 [Database and restart; H.2.4 [Database Management]: SysManagement]: Database Adminis-

transaction recovery

H.2.7 [Database

trationlogging General

Terms: Algorithms,

Designj

Performance,

Reliability latching, locking, space management,

Additional Key Words and Phrases: Buffer write-ahead logging

management,

1. INTRODUCTION In this section, first we introduce some basic concepts relating to recovthe

ery, concurrency control, and buffer organization of the rest of the paper. 1.1 Logging, Failures, and Recovery which

management,

and then

we outline

Methods understood (Atomicity, by now, has been around Isolation

The transaction for a long time.

concept,

is well the

It encapsulates

ACID

Consistency,

and Durability) properties not limited to the database Guaranteeing concurrent important been performance methods judged have using the execution problem in atomicity

[361. The application of the transaction concept is area [6, 17, 22, 23, 30, 39, 40, 51, 74, 88, 90, 1011. and durability of transactions, in the face of

of multiple transactions and various failures, is a very in transaction processing. While many methods have the past been to and deal the with this problem, and to this supported the assumptions, of such may be a page complexity of concurrency ad hoc nature problem within

developed

characteristics, not always several metrics:

acceptable. degree

Solutions

and across pages, complexity of the resulting logic, space overhead on nonvolatile storage and in memory for data and the log, overhead in terms of the number of synchronous and asynchronous 1/0s required during restart recovery and normal processing, kinds of functionality supported tion rollbacks, etc.), amount of processing performed during degree of concurrent processing supported during restart system-induced transaction rollbacks caused by deadlocks, (partial restart transacrecovery,

recovery, extent of restrictions placed

M AS/400, DB2, IBM, and 0S/2 are trademarks of the International Business Machines Corp. Encompass, NonStop SQL and Tandem are trademarks of Tandem Computers, Inc. DEC, VAX DBMS, VAX and Rdb/VMS are trademarks of Digital Equipment Corp. Informix is a registered trademark of Informix Software, Inc.

ACM Transactions on Database Systems, Vol. 17, No 1, March 1992.

96

C. Mohan et al restricting maxinovel lock modes and other

on stored data (e. g., requiring unique keys for all records, mum size of objects to the page size, etc.), ability to support which allow the concurrent execution, based

on commutativity

properties [2, 26, 38, 45, 88, 891, of operations like increment/decrement on the same data by different transactions, and so on. In this paper we introduce a new recovery method, called ARL?LSl (Algorithm very well flexibility for Recovery and Isolation Exploiting Semantics), which fares with respect to all these metrics. It also provides a great deal of to take advantage of some special characteristics of a class of applications that of applications for better performance (e. g., the kinds IMS Fast Path [28, 421 supports efficiently). To meet transaction and data recovery guarantees, ARIES records in a log of a transaction, objects. The committed and its actions the are reflected which for cause changes ensuring either despite to recoverthat the various able types back). records data log becomes actions source

the progress transactions

in the database

of failures, When the also

or that its uncommitted actions logged actions reflect data object the source for reconstruction

are undone (i.e., rolled content, then those log of damaged or lost data

become

(i.e., media recovery). Conceptually, the log can be thought of as an ever growing sequential file. In the actual implementation, multiple physical files may be used in a serial fashion to ease the job of archiving log records [151. Every record log record is assigned a unique log sequence number (LSN) is appended to the log. The LSNS are assigned in ascending when that sequence.

Typically, they are the logical addresses of the corresponding log records. At [671. If more times, version numbers or timestamps are also used as LSNS than one log is used for storing the log records relating to different pieces of data, then a form of two-phase commit protocol (e. g., the current industrystandard Presumed Abort protocol [63, 641) must be used. The nonvolatile version of the log is stored on what is generally called stable storage. Stable storage means nonvolatile storage which remains intact Disk is an example of nonvolatile and available across system failures. storage and its stability is generally improved by maintaining synchronously two identical copies of the log on different devices. We would expect online log records stored on direct access storage devices to be archived cheaper and slower medium like tape at regular intervals. The archived records may be discarded once the appropriate image copies (archive the to a log

dumps)

of the database have been produced and those log records are no longer needed for media recovery. Whenever log records are written, they are placed first only in the volatile storage (i.e., virtual storage) buffers of the log file. Only at certain times (e.g., at commit time) are the log records up to a certain point (LSN) written, in log page sequence, to stable storage. This is called forcing the log up to that LSN. Besides forces caused by transaction and buffer manager activi -

1 The choice of the name ARIES, besides its use as an acronym that describes certain features of our recovery method, is also supposed to convey the relationship of our work to the Starburst project at IBM, since Aries is the name of a constellation. ACM TransactIons on Database Systems, Vol. 17, No 1, March 1992

ARIES: A Transaction Recovery Method ties, a system buffers as they process fill up. may, in the background, that periodically force

. the

97 log

For ease of exposition,

we assume

each log record

describes

the update

performed to only a single page. This is not a requirement in the Starburst [87] implementation of ARIES, sometimes

of ARIES. In fact, a single log record

might be written to describe updates to two pages. The undo (respectively, redo) portion of a log record provides information on how to undo (respectively, redo) changes performed by the transaction. A log record which contains record. information log record that (e.g., fields both the or only undo and the record redo may information be written respectively. may update (e.g., is called an undo-redo only the log redo Sometimes, a log to contain Depending be recorded

the undo the

information. log record,

Such a record

is called

a redo-only on the action physically

or an undo-only the update the object)

is performed, before within

undo-redo

information

and after the or operationally

images or values of specific add 5 to field 3 of record 15, logging permits semantics of the operations, the the use of operations same field

subtract 3 from high concurrency performed

field 4 of record 10). Operation lock modes, which exploit the For example, with certain

on the data.

of a record could have uncommitted permit more concurrency than what property be locked ARIES of the model exclusively of [3], which (X mode) and prototype accepted

updates of many transactions. These is permitted by the strict executions says that duration. logging (WAL) protocol. Some based on WAL are IBMs AS/400TM modified objects must

essentially write systems ahead

for commit

uses the widely

of the commercial

[9, 211, CMUS Camelot 961, Unisyss DMS/1100

[23, 901, IBMs DB2TM [1, 10,11,12,13,14,15,19, 35, [271, Tandems EncompassTM [4, 371, IBMs IMS [42, m [161, Honeywells MRDS [911, 43, 53, 76, 80, 941, Informixs Informix-Turbo [29], IBMs 0S/2 Extended Tandems NonStop SQL M [95], MCCS ORION EditionTM Database Manager [71, IBMs QuickSilver [40], IBMs Starburst

[871, SYNAPSE [781, IBMs System/38 [99], and DECS VAX DBMSTM and VAX Rdb/VMSTM [811. In WAL-based systems, an updated page is written back to the same nonvolatile storage location from where it was read. That is, in-place what updating is performed on nonvolatile which storage. Contrast this with happens in the shadow page technique is used in systems such as

System R [311 and SQL/DS [51 and which is illustrated in Figure 1. There the updated version of the page is written to a different location on nonvolatile storage and the previous version of the page is used for performing database recovery if the system were to fail before the next checkpoint. The WAL protocol asserts that the some data must already be on stable allowed to replace the previous version That is, the system is not allowed storage records storage. version of the which describe To enable the log records representing changes to storage before the changed data is of that data on nonvolatile storage. an updated page to the nonvolatile

to write

database until at least the undo portions of the log the updates to the page have been written to stable enforcement of this protocol, systems using the WAL in every page the LSN of the log record that update performed on that page. The reader is
ACM Transactions on Database Systems, Vol. 17, No. 1, March 1992.

method of recovery describes the most

store recent

98

C Mohan et al.

Page

Map

Fig. 1.

Shadow page technique.

Logical page LPI IS read from physical page PI and after modlflcat!on IS wr!tten to physical page PI P1 IS the current vers!on and PI IS the shadow version During a checkpoint,
the shadow the version shadow
IS

d]scarded also the log

and On and

the

current

version data base

becomes recovety of the

verson us!ng

a failure, the

IS performed data base

shadow

version

referred which of the

to [31, 971 for discussions than the shadow original shadowing problems is performed of the drawbacks

about

why

the

WAL

technique these they

is considmethods avoid still in some retain

ered to be better

page technique. a separate page shadow and they

[16, 781 discuss log. While approach,

using

some of the important

introduce

some new ones. Similar

comments apply to the methods suggested in [82, 881. Later, in Section 10, we show why some of the recovery paradigms of System R, which were based on the shadow page technique, are inappropriate in the WAL context, when we need support are described Transaction for high levels in Section 2. status is also of concurrency stored in the and various log and other features that can be

no transaction

considered complete until its committed status and all its log data recorded on stable storage by forcing the log up to the transactions log records LSN. This allows a restart recovery procedure

are safely commit any

to recover

transactions that completed successfully but whose updated pages were not physically written to nonvolatile storage before the failure of the system. This means that a transaction is not permitted to complete its commit processing (see [63, 64]) until the redo portions of all log records of that transaction have been written to stable storage. We deal with three types of failures: transaction or process, system, and media or device. When a transaction or process failure occurs, typically the transaction would be in such a state that its updates would have to be undone. It is possible that the transaction had corrupted some pages in the buffer pool if it was the process disappeared.
storage restarted the contents recovered the log. contents and of and that using would recovery the an log. image media

in the When
be lost performed When would copy

middle of performing some updates when the virtual a system failure occurs, typically
and the using a media be lost (archive transaction the and or device the dump) system failure lost data version would storage occurs, would of the have versions typically have lost data to to be of the be and nonvolatile

database

Forward processing refers to the updates performed when the system is in normal (i. e., not restart recovery) processing and the transaction is updating
ACM TransactIons on Database Systems, Vol 17, No. 1, March 1992.

ARIES: A Transaction Recovery Method the database and using later because of the data program. manipulation That update the back (e.g., calls. execution SQL) calls issued rollback

99 by the back refers and by is

user or the application to the ability the transaction

is, the transaction

is not rolling Partial of a transaction performed

the log to generate request

the (undo) during the rolling

to set up savepoints

in the transaction

of the changes savepoint

since the establishment

of a previous

[1, 31]. This

to be contrasted with total rollback in which are undone and the transaction is terminated. concept deals place another is exposed with if a partial partial at the application recovery. were whose point rollback rollback level A only database nested

all updates of the transaction Whether or not the savepoint to us since this is said to have by a total is an earlier point paper taken or in the rollback followed

is immaterial

to be later

rollback

of termination

transaction than the point of termination of the first rollback. Normal undo refers to total or partial transaction rollback when the system is in normal operation. or it may constraint restart A normal be system violations). after undo may be caused by a transaction request to rollback initiated because of deadlocks or errors (e. g., integrity Restart undo refers to transaction rollback during a system failure. To make partial or total rollback

recovery

efficient and also to make debugging easier, all the log records written by a transaction are linked via the PreuLSN field of the log records in reverse chronological order. That is, the most recently written log record of the transaction would point that transaction, if there the updates performed to the previous most recent log record written by is such a log record.2 In many WAL-based systems, during a rollback are logged using what are called

compensation log records (CLRS) [151. Whether a CLRS update is undone, should that CLR be encountered during a rollback, depends on the particular system. As we will see later, in ARIES, a CLRS update is never undone and hence CLRS are viewed as redo-only log records. Page-oriented redo is said to occur if the log record whose update is being redone describes which page of the database was originally modified during normal processing and if the same page is modified during the redo processing. No internal descriptors of tables or indexes need to be accessed to redo the update. That is, no other with page of the database redo which needs to be examined. in System This is to be contrasted logical is required R, SQL/DS

and AS/400 for indexes [21, 621. In those not logged separately but are redone using

systems, since the log records

index changes are for the data pages,

performing a redo requires accessing several descriptors and pages of the database. The index tree would have to be retraversed to determine the page(s) to be modified and, sometimes, the index page(s) modified because of this redo operation may be different from the index page(s) originally modified during normal processing. Being able to perform page-oriented redo allows the the system to provide recovery contents independence does not require amongst objects. That is, recovery of one pages accesses to any other

2 The AS/400, Encompass and NonStop SQL do not explicitly link all the log records written by backward scan of the log must be a transaction. This makes undo inefficient since a sequential performed to retrieve all the desired log records of a transaction. ACM Transactions on Database Systems, Vol. 17, No. 1, March 1992

100

C. Mohan et al As we will page-oriented describe undo later, and this logical makes undo.

(data or catalog) pages of the database. media recovery very simple. In a similar Being levels fashion, we can define

able to perform logical undos allows the system of concurrency than what would be possible if the only to page-oriented undos. This is because

to provide higher system were to be the former, with

restricted

appropriate concurrency control of one transaction to be moved one were restricted to only

protocols, would permit uncommitted updates to a different page by another transaction. If undos, then the latter transaction

page-oriented

would have had to wait for the former to commit. Page-oriented redo and page-oriented undo permit faster recovery since pages of the database other than the pages mentioned in the log records are not accessed. In the interest of efficiency, interest of ARIES/IM ARIES supports high concurrency, method for page-oriented redo and its supports, in logical undos. In [62], we introduce control and recovery logical in B -tree undos the the

concurrency

indexes

and show the advantages of being able to perform ARIES/IM with other index methods. 1.2 Latches and Locks and locks discussed have not
latches

by comparing

Normally Locking the

data,

latches has been hand, locks

are used to control to a great been

are used

access to shared in the that literature.

physical

information. Latches, are

consistency

extent
to

on
like of

other
while

discussed logical

much.

Latches of data.

semaphores.

Usually,

guarantee

are used to assure consistency are usually detector a manner

consistency

We need

to

worry about environment. locks. alone, Also, are requested Acquiring

physical Latches in such and

since we need to support held for a much shorter is not informed so as to avoid is much about latch deadlocks cheaper

a multiprocessor period than are waits. Latches latches and involving acquiring

the deadlock latches releasing

or involving

and locks. a latch than

releasing a lock. In the no-conflict case, the overhead amounts to 10s of instructions for the former versus 100s of instructions for the latter. Latches are cheaper because the latch control information is always in virtual memory in a fixed place, and direct addressability to the latch information is possible given the latch name. As the protocols presented later in this paper and those in [57, 621 show, each transaction holds at most two or three latches simultaneously. As a result, the latch request blocks can be permanently allocated to each transaction and initialized with transaction ID, etc. right at the start of that transaction. On the other hand, typically, storage for individual locks has to be acquired, formatted and released dynamically, causing more instructions to be executed to acquire and release locks. This is advisable because, in most systems, the number of lockable objects is many orders of magnitude greater than the number of latchable objects. Typically, all information relating to locks currently held or requested by all the transactions is stored in a single, central hash table. Addressability to a particular locks information is gained the address of the hash anchor and pointers. Usually, in the process
ACM Transactions
on Database Systems, Vol

by first hashing then, possibly, to locate

the lock following the lock

name to get a chain of control block,

of trying

17, No 1, March 1992

ARIES: A Transaction Recovery because multiple transactions may be simultaneously the contents of the lock table, one or more latches releasedone latch on the hash anchor and, locks chain of holders and waiters. Locks may be obtained in different IX (Intention exclusive), IS (Intention

Method

101

reading and modifying will be acquired and one on the specific

possibly,

modes such as S (Shared), Shared) and SIX

X (exclusive), Intention (relaones.

(Shared

exclusive), and at different granularities such as record (tuple), table tion), and file (tablespace) [321. The S and X locks are the most common

S provides the read privilege and X provides the read and write privileges. Locks on a given object can be held simultaneously by different transactions only if those locks modes are compatible. The compatibility relationships amongst the above modes of locking are shown in Figure 2. A check mark (<) indicates that the corresponding modes are compatible. With hierarchical locking, the intention locks (IX, IS, and SIX) are generally obtained on the higher levels of the hierarchy (e.g., table), and the S and X locks are obtained and X), on the lower levels (e. g., record). The nonintention mode locks (S when obtained on an object at a certain level of the hierarchy,

implicitly grant locks of the corresponding mode on the lower level objects of that higher level object. The intention mode locks, on the other hand, only give the privilege of requesting the corresponding mode locks on the lower level objects. For example, grants S on all the records of that table, and it explicitly on the records. defined in the literature Additional, semantically [2, 38, 45, 551 and ARIES intention or nonintention SIX on a table implicitly allows X to be requested rich lock modes have been can accommodate them.

Lock requests may be made with the conditional or the unconditional option. A conditional request means that the requestor is not willing to wait if, when the request is processed, the lock is not grantable immediately. An unconditional lock becomes unconditional request means that the requestor is willing to wait until the grantable. Locks may be held for different durations. An request for an instant duration lock means that the lock is not but the lock manager has to delay returning status until the lock becomes grantable. some time after they are acquired termination. terminates, concerning the lock Manual

to be actually granted, call with the success duration locks long before transaction when the transaction The above durations,
1.3

are released

and, typically,

Commit duration locks are released only i.e., after commit or rollback is completed. conditional apply requests, to latches different also. modes, and

discussions except

for commit Locking

duration,

Fine-Granularity

Fine-granularity database systems

(e.g., record) locking has been supported by nonrelational (e.g., IMS [53, 76, 801) for a long time. Surprisingly, only

few of the commercially locking, even though

available relational systems provide fine-granularity IBMs System R [321, S/38 [991 and SQL/DS [51, and locking from to providing

Tandems Encompass [37] supported record and/or key the beginning. 3 Although many interesting problems relating

3 Encompass and S/38 had only X locks for records and no locks were acquired these systems for reads. ACM Transactions

automatically

by

on Database SyStanS, Vol. 17, No 1, March 1992

102

C. Mohan

et al.

Fig. 2. matrix

Lock

mode comparability

m
lx Slx

+ 4

fine-granularity locking in the context of WAL remain to be solved, the research community has not been paying enough attention to this area [3, 75, 88]. Some of the System R solutions worked only because of the use of the shadow page recovery technique in combination with 10). Supporting fine-granularity locking and variable flexible fashion requires addressing some interesting issues which have never really been discussed in the locking length storage database (see Section records in a management literature.

Unfortunately, some of the interesting techniques that were developed for System R and which are now part of SQL/DS did not get documented in the literature. here At the expense problems of making and their gains this paper long, we will be discussing some of those solutions. importance concurrency) necessary (see [79] for the descripto and as object-oriented invent concurrency

As supporting

high

concurrency

tion of an application requiring systems gain in popularity,

very high it becomes

control and recovery methods that take advantage of the semantics of the operations on the data [2, 26, 38, 88, 891, and that support fine-granularity locking efficiently. Object-oriented systems may tend to encourage users to define view a large of the number of small granularity the concept objects and users In with may the expect object instances logical as unit of system of a to be the appropriate database, of locking. of a page, object-oriented about as the object-oriented during the unit will in for

its physical

orientation

the container locking during users may tend

of objects, becomes unnatural to think object accesses and modifications. Also, to have many terminal interactions

course

transaction, thereby increasing the lock hold times. If the were to be a page, lock wait times and deadlock possibilities vated. Other discussions concerning transaction management oriented environment can be found in [22, 29]. As more and more customers adopt relational systems applications, it becomes ever more important 77, 79, 83] and storage management without the system users or administrators. Since to handle requiring relational

of locking be aggraan objectproduction

hot-spots [28, 34, 68, too much tuning by systems have been

welcomed to a great extent because of their ease of use, it is important that we pay greater attention to this area than what has been done in the context of the nonrelational systems. Apart from the need for high concurrency for user data, the ease with which online data definition operations can be performed in relational systems by even ordinary users requires the support for high concurrency of access to, at least, the catalog data. Since a leaf page in an index typically describes data in hundreds of data pages, page-level locking of index data is just not acceptable. A flexible recovery method that
ACM TransactIons on Database Systems, Vol 17, No. 1, March 1992.

ARIES: A Transaction Recovery Method allows the needed. The above support facts of high argue for levels of concurrency semantically during rich index modes

. accesses

103

is

supporting

of locking

such as increment/decrement rently modify even the same increment and decrement

which allow multiple transactions to concurpiece of data. In funds-transfer applications, are frequently performed on the branch are forced operations

operations

and teller balances by numerous transactions. If those transactions to use only X locks, then they will be serialized, even though their commute. 1.4 The Buffer buffer Management manager the buffer storage (BM) pool version is the and component 1/0s to of the The fix transaction pages primitive

system from/to

that the

manages nonvolatile

does

read/write

of the database.

of the BM may

be used to request the buffer address of a logical page in the database. If the requested page is not in the buffer pool, BM allocates a buffer slot and reads when the p~ge in. There may be instances (e. g., during a B -tree page split, the new page is allocated) where the current contents of a page on storage are not of interest. In such a case, the fix new primitive

nonvolatile

may be used to make the BM allocate a ji-ee slot and return the address of that slot, if BM does not find the page in the buffer pool. The fix-new invoker will then format the page as desired. Once a page is fixed in the buffer pool, the corresponding buffer slot is not available for page replacement until the unfix primitive is issued by the data manipulative component. Actually, for each page, BM keeps a fix count which is incremented by one during every fix operation and which is decremented by one during every unfix operation. A page in the buffer pool is said to be dirty if the buffer version of the page has some updates which are not yet reflected in the nonvolatile storage version of the same page. The fix primitive is also used to communicate the intention to modify the page. Dirty pages can be written back to nonvolatile storage of BM when no fix with the modification it is being the amount state write intention written out. is held, basis, that may thus dirty allowing the role pages to read accesses to the page while in writing storage failure pages without in the were in the nonvolatile if a system buffer other pool pages to reduce [96] discusses would

background, to occur nondirty

on a continuous of redo work so that 1/0s they

be needed of the with at the

and also to keep a certain having

percentage be replaced

synchronous

to be performed

time of replacement. While performing those writes, BM ensures that the WAL protocol is obeyed. As a consequence, BM may have to force the log up to the LSN of the dirty page before writing the page to nonvolatile storage. Given the large of this nature transactions buffer pools that to be very rare are common today, we would expect a force and most log forces to occur because of the prepare state.

committing

or entering

BM also implements the support for latching pages. To provide direct addressability to page latches and to reduce the storage associated with those latches, the latch on a logical page is actually the latch on the corresponding buffer slot. This means that a logical page can be latched only after it is fixed
ACM Transactions on Database Systems, Vol. 17, No. 1, March 1992.

104

C. Mohan et al pool and the latch highly acceptable control block has to be released conditions. (BCB) The before the page is unfixed. information buffer slot. count is The is, the

in the buffer These stored BCB dirty are

latch

control

in the buffer

for the corresponding page, what

also contains the identity status of the page, etc.

of the logical

the fix

Buffer management policies differ among the many systems in existence WAL-Based Methods). If a page modified by a (see Section 11, Other transaction is allowed to be written to the permanent database on nonvolatile storage before that transaction commits, then the steal policy is said to be followed no-steal restart volatile Otherwise, by the buffer manager (see [361 for such terminologies). policy is said to be in effect. Steal implies that during normal rollback, storage some version undo work might have to be performed is not on the allowed of the database. If a transaction a or nonto

commit until the database,

all pages modified by it are written to the permanent then a force policy is said to be in effect. Otherwise, policy, during transactions. database restart Deferred

version of a no-force recovery, updating no

is

policy is said to be in effect. With a force redo work will be necessary for committed said to occur if, even in the virtual storage not performed database calls. performed mined that to be rolled updating

buffers,

the updates

are

in-place when the transaction issues The updates are kept in a pending list using the pending list information, committing. is discarded

the corresponding elsewhere and are after it is deter-

in-place,

only

the transaction is definitely back, then the pending list policy has implications

If the transaction needs or ignored. The deferred can see its are possible or not. see [8, 15, 24, 961.

on whether

a transaction

own updates or not, and on whether partial rollbacks For more discussions concerning buffer management, 1.5 The Organization rest of the paper is organized as follows. After

stating

our

goals

in

Section 2 and giving an overview of the new recovery method ARIES in Section 3, we present, in Section 4, the important data structures used by ARIES during normal and restart recovery processing. Next, in Section 5, the protocols followed during normal processing are presented followed, in Section 6, by the description of the processing performed during latter section also presents ways to exploit parallelism methods for performing recovery selectively some of the data. checkpoints during impact of failures description of how Section 9 introduces
a method tiques context caused detail in for some of the by using the of the those

restart during

recovery. recovery the recovery

The and of

or postponing

Then, in Section 7, algorithms are described for taking the different log passes of restart recovery to reduce the during recovery. This is followed, in Section 8, by the fuzzy image copying and media the significant notion of nested
them technique of many such as efficiently. paradigms and of the IMS, System WAL-based Encompass WAL context. Section which R. We existing page paradigms recovery in the

recovery are supported. top actions and presents

10 describes originated discuss the methods NonStop and in crithe in SQL.

implementing shadow

problems in use

Section recovery and

11 describes

characteristics systems

different

DB2,

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105

Section 12 outlines the many different properties of ARIES. We conclude by summarizing, in Section 13, the features of ARIES which provide flexibility and efficiency, and by describing the extensions and the current status of the implementations of ARIES. Besides presenting a new recovery method, by way of motivation for our work, we also describe some previously unpublished aspects of recovery in System R. For comparison purposes, we also do a survey of the recovery methods used by other WAL-based systems and collect information appearing in several aims in resulting publications, many of which are not widely available. One of our this paper is to show the intricate from the different choices made for and unobvious interactions the recovery technique, the

granularity of locking and the storage management scheme. One cannot make arbitrarily independent choices for these and still expect the combination to function together correctly and efficiently. This point needs to be emphasized books cover, as it is not always dealt with adequately in most papers and on concurrency control and recovery. as much as possible, all the interesting in building and operating an system. In this paper, we have tried to recovery-related problems that industrial-strength transaction

one encounters processing 2. GOALS This section lists

the goals

of our work

and outlines

the difficulties

involved

in designing a recovery method The goals relate to the metrics discussed earlier, in Section 1.1.

that supports the features that we aimed for. for comparison of recovery methods that we

Simplicity. and program algorithms strived paper that simple. feeling. for is long

Concurrency for, compared are bound to yet a simple, because ignored the

and recovery with other be error-prone, powerful and

are complex subjects to think aspects of data management. if they are complex. of numerous algorithm 3 gives itself flexible, the main algorithm. Although

about The we this is quite that

Hence,

of its comprehensive in the overview literature, presented

discussion in Section

problems

are mostly Hopefully,

the reader

Operation logging. The recovery method had to permit operation logging (and value logging) so that semantically rich lock modes could be supported. This would let one transaction modify the same data that was modified earlier by another transaction which transaction: actions are semantically has not yet committed, when the compatible (e.g., increment/decrement two

operations; see [2, 26, 45, 881). As should be clear, always perform value or state logging (i. e., logging images systems of modified that data), cannot support operation do very physical byte-oriented

recovery methods which before-images and afterlogging. of all This includes to a changes

logging

page [6, 76, 811. The difficulty in supporting operation logging is that we need to track precisely, using a concept like the LSN, the exact state of a page with respect to logged actions relating to that page. An undo or a redo of an update should not be performed without being sure that the original update

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106

C. Mohan et al or is not present, that precisely how respectively. modified the page This also means start affected that, during if one or more back, then we the rollbacks

is present transactions

had previously

a page

rolling

need to know

has been

and how much of each of the rollbacks had been accomplished so far. This requires that updates performed during rollbacks also be logged via the so-called compensation log records (CLRS). The LSN concept lets us avoid attempting to redo present in the page. when the operations us perform, thing that saving amount log an operation when the operations effect is already It also lets us avoid attempting to undo an operation effect is not present in the page. Operation logging lets

if found desirable, logical logging, which means that not everywas changed on a page needs to be logged explicitly, thereby space. For example, changes of control information, like the and need not be logged. The redo and the undo of operation

of free space on the page,

operations can be performed value logging, see [881.

logically.

For a good discussion

Efficient support for the storage and manipFlexible storage management. ulation of varying length data is important. In contrast to systems like IMS, the intent here is to be able to avoid the need for off-line reorganization of the data to garbage collect any space that might have been freed up because of deletions and updates that caused data shrinkage. It is desirable that the this that that the data the recovery method and the concurrency control method be such of the logging within and locking a page for is logical in nature so that movements garbage collection reasons do not cause movements to be logged. For an

moved

data

to be locked

or the

index,

also means that one transaction must page currently has some uncommitted

be able to split a leaf page even if data inserted by another transac-

tion. This may lead to log; logical undos may a transaction that has space during its later permit Partial this in data rollbacks.

problems in performing page-oriented undos using the be necessary. Further, we would like to be able to let freed up some space be able to use, if necessary, that insert activity [50]. System R, for example, does not

pages. It was essential that the new recovery method sup-

port the concept of savepoints and rollbacks to savepoints (i.e., partial rollbacks). This is crucial for handling, in a user-friendly fashion (i. e., without requiring a total rollback of the transaction), integrity constraint violations information Flexible (see [1, 311), and (see [49]). buffer management. problems arising from using obsolete cached

The recovery

method

should

make

the

least

number of restrictive assumptions about the buffer management policies (steal, force, etc.) in effect. At the same time, the method must be able to take advantage of the characteristics of any specific policy that is in effect (e.g., with a force policy there is no need to perform any redos for committed transactions.) This flexibility could result in increased concurrency, decreased 1/0s and efficient usage of buffer storage. Depending on the policies, the work that needs to be performed during restart recovery after a system

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ARIES: A Transaction Recovery Method failure large or during media recovery maybe main memories, it must be noted more that

107 with very

or less complex. Even a steal policy is still

desirable. This is because, with a no-steal policy, a page may never get written to nonvolatile storage if the page always contains uncommitted updates due to fine-~anularity locking and overlapping transactions updates to that running by locking page. The reduce all the situation Under objects would those be further conditions, page) and by quiescing aggravated either then all activities writing if there are longhave transactions. the system the would page

to frequently

concurrency on the

on the page (i.e., to nonrestart incurs any

volatile storage, or by doing nothing special and then paying a huge redo recovery cost if the system were to fail. Also, a no-steal policy additional bookkeeping overhead to track whether a page contains uncommitted updates. cally rich lock modes, in the general Hence, general discussed Recovery and perform methods enough We believe that, partial rollbacks

given our goal of supporting semantiand varying length objects efficiently, undo logging and in-place updating.

case, we need to perform

like the transaction workspace model of AIM [46] are not for our purposes. Other problems relating to no-steal are 11 with reference It should to IMS be possible Fast Path. copy (archive dump),

in Section

independence. media recovery

to image

or restart

recovery

at different

granularities,

rather than only at the entire database level. The recovery of one object should not force the concurrent or lock-step recovery of another object. Contrast this with what happens in the shadow page technique as implemented in System R, where index and space management information are recovered lock-step with user and catalog table (relation) data by starting from an internally consistent state of the whole database and redoing changes to all the processing. some object, related objects of the Recovery independence catalog information database simultaneously, as in normal means that, during the restart recovery of in the database cannot be accessed for objects, since that information itself with the object being recovered and [141. During restart recovery, it should

descriptors of that may be undergoing be possible later point devices.

object and its related recovery in parallel

the two may be out of synchronization

to do selective recovery and defer recovery of some objects to a in time to speed up restart and also to accommodate some offline recovery means that even if one page in the database

Page-oriented

is corrupted because of a process failure or a media problem, it should be possible to recover that page alone. To be able to do this efficiently, we need to log spans every multiple with pages pages change and individually, the update even affects if the object being updated This, rollbacks, in more than one page. during

conjunction

the writing

of CLRS for updates

performed

will make media recovery image copying of different different frequencies. Logical undo. that is different This from

very simple (see Section 8). This will also permit objects to be performed independently and at

relates to the ability, during undo, to affect the one modified during forward processing,

a page as is

ACM Transactions on Database Systems, Vol. 17, No. 1, March 1992.

108

C. Mohan et al. by one transaction of an transaction. Being able to be supported,

needed in the earlier-mentioned context of the split index page containing uncommitted data of another to perform logical undos allows higher levels especially in search rollback processing,

of concurrency

structures [57, 59, 621. If logging is not performed during logical undos would be very difficult to support, if we System recovery

also desired recovery independence and page-oriented recovery. but at the expense of R and SQL/DS support logical undos, independence. Parallelism and fast recovery. With multiprocessors becoming

very

com-

mon and greater recovery method stages that of restart the recovery

data availability becoming increasingly important, the has to be able to exploit parallelism during the different recovery method and during media recovery recovery. It is also fast, important if in fact a be such that can be very

hot-standby approach is going to be used (a la IBMs IMS/VS Tandems NonStop [4, 371). This means that redo processing possible, undo processing should be page-oriented (cf. always

XRF [431 and and, whenever logical redos

and undos in System R and SQL/DS for indexes and space management). It should also be possible to let the backup system start processing new transactions, even before the undo processing for the interrupted transactions completes. there This were is necessary long update because transactions. Our recovery etc.) goal is to have by the good recovery performance (log method both data in virtual during volume, and undo processing may take a long time if

Minimal normal storage and

overhead. restart consumption,

processing. imposed

The

overhead

nonvolatile storages for accomplishing the above goals should be minimal. Contrast this with the space overhead caused by the shadow page technique. This goal also implied that we should minimize the number of pages that are modified (dirtied) during restart. The idea is to reduce the number of pages that have to be written back to nonvolatile storage and also to reduce CPU overhead. This rules out methods which, during restart recovery, first undo some committed changes that had already reached the nonvolatile storage before the failure and then redo them (see, e.g., [16, 21, 72, 78, 881). It also rules out nonvolatile methods storage in which updates that are not present in a page on are undone unnecessarily (see, e.g., [41, 71, 881). The

method should not cause deadlocks involving transactions that are already rolling back. Further, the writing of CLRS should not result in an unbounded number of log records having to be written for a transaction because of the undoing of CLRS, if there were nested rollbacks or repeated system failures during rollbacks. It should also be possible to take checkpoints and image copies without quiescing significant activities in the system. The impact of these operations on other activities should be minimal. To contrast, checkpointing and image copying in System R cause major perturbations in the rest of the system [31]. As the reader will have realized by now, some of these goals are contradictory. Based on our features, experiences
ACM Transactions

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of different developers existing systems existing transaction systems and contacts 17, No 1, March 1992

on Database Systems, Vol

ARIES: A TransactIon Recovery Method

109

with customers, we made the necessary tradeoffs. We were keen on learning from the past successes and mistakes involving many prototypes and products.

3. OVERVIEW The aim of this ARIES,

OF ARIES section which is to provide satisfies quite a brief reasonably overview of the new recovery in

method

the goals that

we set forth

Section 2. Issues like deferred and selective restart, restart recovery, and so on will be discussed in the later ARIES guarantees the atomicity and durability

parallelism during sections of the paper. of transactions

properties

in the fact of process, transaction, system and media failures. For this purpose, ARIES keeps track of the changes made to the database by using a log and it does write-ahead logging (WAL). Besides logging, on a peraffected-page transactions, (CLRS), during partial both basis, update ARIES also performed and in which and then normal activities performed during forward logs, typically using compensation during restart starts partial processing. after forward going or total Figure again. rollbacks 3 gives three Because processing of log records of transactions an example updates, of a rolls of

updates rollback

a transaction,

performing

back two of them

of the undo

the two updates, two CLRS are written. In ARIES, that they are redo-only log records. By appropriate log records written during forward processing,

CLRS have the property chaining of the CLRS to amount of logging

a bounded

is ensured during rollbacks, even in the face of repeated failures during restart or of nested rollbacks. This is to be contrasted with what happens in IMS, which may undo the same non-CLR multiple times, and in AS/400, DB2 and NonStop SQL, which, besides undoing may also undo CLRS one or more times severe problems in real-life the CLR, customer when In ARIES, to be written, action as Figure 5 shows, besides is made the same non-CLR multiple (see Figure 4). These have of a log record UndoNxtLSN causes pointer times, caused a CLR which

situations. the undo the a description of the compensating

containing to contain

for redo purposes,

points to the predecessor of the just information is readily available since

undone log record. The predecessor every log record, including a CLR,

contains the PreuLSN pointer which points to the most recent preceding log record written by the same transaction. The UndoNxtLSN pointer allows us to determine precisely how much of the transaction has not been undone so far. In Figure 5, log record 3, which is the CLR for log record 3, points to log record 2, which is the predecessor of log record 3. Thus, during rollback, the UndoNxtLSN field of the most recently written CLR keeps track of the progress of rollback. It tells the system from whereto continue the rollback of the transaction, rollback or if bypass those if a system failure were to interrupt the completion a nested rollback were to be performed. It lets the log records that had already been undone. Since of the system are

CLRS

available to describe what actions are actually ~erformed during the undo of an original action, the undo action need not be, in terms of which page(s) is affected, the exact inverse of the original action. That is, logical undo which allows very high concurrency to be supported is made possible. For example,
ACM Transactions on Database Systems, Vol 17, No. 1, March 1992.

110

C. Mohan et al.

w
Fig. 3. Partial rollback example.
Log

12

3324

!3j

>
a patilal

After

performing

3 actions, actions 2, and

the

transaction 2, wrlt!ng starts

performs

rollback log and

by undoing 3 and

3 and then 5

the compensation forward aga!n

records performs

go[ng

act~ons

4 and

I
Log 1

Before Failure

During DB2, s/38, Encompass --------------------------AS/400

lMS

Restart

,
2 3 3 ~ 1; >

1 )

I is the CLR for I and I is the CLR for I

Fig. 4 Problem of compensating compensations or duplicate compensations, or both

a key inserted on page 10 of a B -tree by one transaction may be moved to page 20 by another transaction before the key insertion is committed. Later, if the first transaction were to roll back, then the key will be located on page 20 by retraversing the tree and deleted from there. A CLR will be written to describe the key deletion on page 20. This permits page-oriented redo which is very efficient. [59, 621 describe this logical undo feature. ARIES uses a single LSN a page is updated and placed in the page-LSN ARIES/LHS and ARIES/IM the pages which state. exploit

on each page to track

Whenever

a log record is written, the LSN field of the updated page. This

of the log record is tagging of the page

with the LSN allows ARIES to precisely track, for restartand mediarecovery purposes, the state of the page with respect to logged updates for that page. It allows ARIES to support novel lock modes! using which, before an update performed on a records field by one transaction is committed, another transaction may be permitted to modify the same data for specified operations. Periodically during checkpoint log records and the modified needed begin normal identify processing, ARIES takes checkpoints. the transactions that are active, their The states, the is

LSNS of their most recently written log records, data (dirty data) that is in the buffer pool. The latter to determine from where the redo pass of restart

and also information recovery

should

its processing.
on Database Systems, Vol. 17, No. 1, March 1992.

ACM Transactions

ARIES: A Transaction Recovery Method

111

Before Log

Failure 3

12 ,; \\

-%

-. ?% / -=--------During

3 F
/

2 1! ) i-

--Restart

,,

----------------------------------------------+1

I is the Compensation Log Record for I I points to the predecessor, if any, of I

Fig. 5. ARIES technique for avoiding compensating compensations. compensation and duplicate

During from this

restart pass,

recovery

(see Figure about

6), ARIES dirty pages

first

scans the log, starting log. During were that

the first analysis

record

of the last information

checkpoint,

up to the end of the and transactions

in progress at the time of the checkpoint is brought up to date as of the end of the log. The analysis pass uses the dirty pages information to determine the starting point ( li!edoLSIV) for the log scan of the immediately following redo pass. The analysis pass also determines the list of transactions rolled back in the undo pass. For each in-progress transaction, most recently written log record will also be determined. that are to be the LSN of the Then, during

the redo pass, ARIES repeats history, with respect to those updates logged on stable storage, but whose effects on the database pages did not get reflected on nonvolatile storage before the failure of the system. This is done for the updates of all transactions, including the updates of those transactions that had neither committed nor reached the in-doubt state of two-phase commit by the time loser of the system are failure redone). (i.e., even the missing essentially updates of the so-called the state of transactions This reestablishes

the database as of the time of the system failure. A log records update is redone if the affected pages page-LSN is less than the log records LSN. No logging is performed when updates are redone. The redo pass obtains the locks needed to protect the uncommitted updates of those distributed transactions that will remain in the in-doubt (prepared) state [63, 64] at the end of restart The updates recovery. next log pass are rolled is the undo pass during which order, all loser transactions sweep of

back,

in reverse

chronological

in a single

the log. This is done by continually taking the maximum of the LSNS of the next log record to be processed for each of the yet-to-be-completely-undone loser transactions, until no transaction remains to be undone. Unlike during the redo pass, performing undos is not a conditional operation during the undo pass (and during normal undo). That is, ARIES does not compare the page.LSN of the affected page to the LSN of the log record to decide
ACM Transactions on Database Systems, Vol. 17, No. 1, March 1992.

112

C. Mohan et al

Log @
DB2
Checkpoint i Follure

m
r

System

Analysis -X* Redo Nonlosers

Undo Losers / * .

,&
& Analysis

IMS

Redo Nonlosers . -----..:--------

(FP Updates)

Undo Losers (NonFP Updates)

ARIES

1 ------.-:---------

Redo ALL Undo Losers I

Fig. 6,

Restart

processing

in different

methods.

whether transaction

or not

to undo the

the undo

update. pass,

When if it

a non-CLR is an

is encountered or undo-only

for

a log

during

undo-redo

record, then its update is undone. In any case, the next record to process for that transaction is determined by looking at the PrevLSN of that non-CLR. Since CLRS are never undone (i.e., CLRS are not compensated see Figure 5), when a CLR is encountered during undo, it is used just to determine the next log record to process by looking at the UndoNxtLSN field of the CLR. For those transactions which were already rolling back at the time of the system failure, ARIES will rollback only those actions been undone. This is possible since history is repeated and since the last CLR written for each transaction indirectly) to the next non-CLR record that that had not already for such transactions points (directly or The net result is

is to be undone,

that, if only page-oriented undos are involved or logical undos generate only CLRS, then, for rolled back transactions, the number of CLRS written will be exactly equal to the number of undoable) log records processing of those transactions. This will be the repeated failures during restart or if there are nested written during forward case even if there are rollbacks.

4. DATA This

STRUCTURES describes the major data structures that are used by ARIES.

section

4.1

Log Records we describe of log records.

on Database Systems, Vol. 17, No. 1, March 1992,

Below, types

the

important

fields

that

may

be present

in

different

ACM Transactions

ARIES: A Transaction Recovery Method

113

LSN. Address of the first byte of the log record in the ever-growing log address space. This is a monotonically increasing value. This is shown here as a field only to make it easier to describe ARIES. The LSN need not actually Type. regular pare), be stored Indicates update in the record. whether this is a compensation a commit record (e.g., record (compensation), record (e. g., prea

record

(update),

protocol-related OSfile_return). wrote

or a nontransaction-related Identifier LSN

TransID. PrevLSN.

of the transaction,

if any, that written

the log record. same transacrecords and in for an explicit

of the preceding

log record

by the

tion. This field has a value of zero in nontransaction-related the first log record of a transaction, thus avoiding the need begin transaction log record.

PageID. identifier PageID

Present only in records of type update or compensation. of the page to which the updates of this record were applied. normally consist of two parts: an objectID (e.g., a log record we assume

The This that that

will

tablespaceID),

and a page number within that object. ARIES can deal with contains updates for multiple pages. For ease of exposition, only one page is involved.

UndoNxtLSN. Present of this transaction that UndoNxtLSN is the value

only in CLRS. It is the LSN of the next log record is to be processed during rollback. That is, of PrevLSN of the log record that the current log are no more log records to be undone, then

record is compensating. If there this field contains a zero. Data. This is the redo and/or

undo

data

that

describes

the

update

that

was performed. CLRS contain only redo information undone. Updates can be logged in a logical fashion.

since they are never Changes to some fields

(e.g., amount of free space) of that page need not be logged since they can be easily derived. The undo information and the redo information for the entire object need not be logged. It suffices if the changed fields alone are logged. For increment or decrement types of operations, before and after-images of the field are not needed. Information about the type of operation and the decrement or increment amount is enough. The information here would also be used to determine redo and/or 4.2 One undo the appropriate log record. action routine to be used to perform the of this

Page Structure of the fields in every page of the database is the page-LSN field. It

contains the LSN of the log record that describes the latest update to the page. This record may be a regular update record or a CLR. ARIES expects the buffer manager to enforce the WAL protocol. Except for this, ARIES does not place any restrictions on the buffer page replacement policy. The steal buffer management policy may be used. In-place updating is performed on nonvolatile storage. Updates are applied immediately and directly to the
ACM Transactions on Database Systems, Vol. 17, No, 1, March 1992.

114 buffer as in ing flexible

C. Mohan et al. the object. That is, no deferred updating it is found desirable, deferred updatcan be implemented. being ARIES is policies from implemented.

version of the page containing INGRES [861 is performed. and, consequently, enough deferred not to preclude

If

logging those

4.3

Transaction called

Table the transaction table is used during restart recovery to track

A table

the state of active transactions. The table is initialized during the analysis pass from the most recent checkpoints record(s) and is modified during the analysis of the log records written after the beginning table then The of that checkpoint. If a table used of the During the undo pass, the entries of the checkpoint is taken during restart recovery, will be included in the checkpoint record(s). during normal processing by the important fields of the transaction TransID. State. Transaction Commit ID. prepared (P also called in-doubt) are also modified. the contents of the same table is also A description

transaction manager. table follows:

state of the transaction:

or unprepared LastLSN. UndoNxtLSN. back.

(U). The LSN The recent of the latest LSN of the log record next written record written by the transaction. during rollis an

to be processed value will this fields

If the most

log record

or seen for this

transaction

undoable non-CLR log record, If that most recent log record UndoNxtLSN value from that

then this fields is a CLR, then CLR.

be set to LastLSN. value is set to the

4.4

Dirty_ Pages Table

A table called the dirty .pages table is used to represent information about dirty buffer pages during normal processing. This table is also used during restart recovery. The actual implementation of this table may be done using hashing or via the deferred-writes queue mechanism the table consists of two fields: PageID and RecLSN normal processing, when a nondirty the intention to modify, the buffer of [961. Each entry in (recovery LSN). During with (BP)

page is being fixed in the buffers manager records in the buffer pool

dirty .pages table, as RecLSN, the current end-of-log LSN, which will be the LSN of the next log record to be written. The value of RecLSN indicates from what point in the log there may be updates which are, possibly, not yet in the nonvolatile storage version of the page. Whenever pages are written back to nonvolatile storage, the corresponding entries in the BP dirty _pages table are removed. record(s) that The contents of this table are included is written during normal processing. The in the checkpoint restart dirty pages is modified pass. The

table is initialized from the latest checkpoints record(s) and during the analysis of the other records during the analysis
ACM Transactions on Database Systems, Vol 17, No 1, March 1992

ARIES: A Transaction Recovery Method minimum RecLSN pass during restart value in the recovery. table gives the starting point for

. the

115 redo

5. NORMAL This part section

PROCESSING discusses processing. from the actions that are performed that as part of normal as

transaction

Section a system

6 discusses failure.

the actions

are performed

of recovering

5.1

Updates normal processing, transactions may be in forward processing, partial

During

rollback or total rollback. The rollbacks may be system- or application-initiated. The causes of rollbacks may be deadlocks, error conditions, integrity constraint violations, unexpected database state, etc. If the granularity of locking is a record, then, when an update is to be performed on a record in a page, after the record is locked, that in the buffer and latched in the X mode, the update is performed, page is fixed a log record

is appended to the log, the LSN of the log record is placed in the page .LSN field of the page and in the transaction table, and the page is unlatched and unfixed. The page latch is held during the call to the logger. This is done to ensure that the order of logging of updates of a page is the same as the order in which those updates are performed on the page. This is very important if some of the redo information is going to be logged repetition correctly. to ensure physically (e.g., the amount of free space in the page) and guaranteed for the physical redo to work be held during read and update operations the page contents. This is necessary might move records around within such garbage collection is going might look at the page since they of history has to be The page latch must physical consistency of

because inserters and updaters of records a page to do garbage collection. When transaction Readers necessary held should be allowed to get confused. of pages latch index operations (also in the are see

on, no other

S mode and modifiers latch in the X mode. The data page latch is not held while any performed. At most two page latches are

simultaneously

[57, 621). This means that two transactions, T1 and T2, that are modifying different pieces of data may modify a particular data page in one order (Tl, T2) and a particular index page in another order (T2, T1).4 This scenario is impossible in System R and SQL/DS since in those systems, locks, instead of latches are used for providing physical consistency. Typically, all the (physical) page locks are released only at the end of the RSS (data manager) call. A single RSS call deals with modifying the data and all relevant indexes. deadlocks This may involve waiting page for many locks 1/0s and locks. or (physical) This means locks that and involving (physical) alone page

4 The situation

gets very complicated if operations like increment/decrement are supported high concurrency lock modes and indexes are allowed to be defined on fields on which operations are supported. We are currently studying those situations.

with such

ACM Transactions on Database Systems, Vol. 17, No. 1, March 1992.

116 (logical) System Figure

C. Mohan et al record/key 7 depicts locks are possible. They have been a major problem followed in

R and SQL/DS. a situation at the time of a system failure which

the commit of two transactions. The dotted lines show how up to date the states of pages PI and P2 are on nonvolatile storage with respect to logged updates of those pages. During restart recovery, it must be realized that the most recent log record written for PI, which was written by a transaction which later committed, needs to be redone, and that there is nothing to be redone for P2. This situation points to the need for having the LSN to relate the state of a page on nonvolatile and the need for knowing where some information in the checkpoint storage restart record to a particular position redo pass should begin (see Section 5.4). in the log by noting

For the example

scenario, the restart redo log scan should begin at least from the log record representing the most recent update of PI by T2, since that update needs to be redone. It is not assumed that a single log record can always accommodate information needed to redo or undo the update operation. There instances when more than one record needs to be written for this all the may be purpose.

For example, one record may be written with the undo information and another one with the redo information. In such cases, (1) the undo-only log record should be written before the redo-only log record is written, and (2) it is the LSN of the redo-only log record field. The first condition is enforced situation in which the redo-only written to stable storage the redo of that redo-only history feature) only that should be placed in the page.LSN to make sure that we do not have and not the undo-only restart of the record recovery, repeating record to a

record

gets

before a failure, and that during log record is performed (because later that there isnt

to realize

an undo-only

undo the effect of that operation. Given that the undo-only record is written before the redo-only record, the second condition ensures that we do not have a situation in which even though the page in nonvolatile storage already contains the unnecessarily the undo-only redo could update during record of the redo-only record, that same update gets redone restart recovery because the page contained the L SN of instead of that of the redo-only record. This unnecessary problems if operation logging is being performed. that etc. during forward processing free space inventory update,

cause

integrity

There may be some log records written cannot or should not be undone (prepare,

records). These are identified as redo-only log records. See Section 10.3 for a discussion of this kind of situation for free space inventory updates. Sometimes, the identity of the (data) record to be modified or read may not be known before a (data) page is examined. For example, during an insert, the record ID is not determined until the page is examined to find an empty slot. In such cases, the record lock must be obtained after the page is latched. To avoid waiting for a lock while holding a latch, which could lead to an undetected deadlock, the lock is requested conditionally, and if it is not granted, then the latch is released and the lock is requested unconditionally. Once the unconditionally requested lock is granted, the page is latched again, and any previously verified conditions are rechecked. This rechecking is ACM Transactions on Database Systems, Vol 17, No. 1, March 1992.

ARIES: A Transaction Recovery Method

117

/
/ / j;:
PI pi PI

# PI

El
P ! ! O
w P2

Log

LZNS
Commit

:\,;
Commit

o
a

T1

Failure
/

@ Checkpoint

T2

Fig. 7.

Database

state as a failure.

required changed.
bered occurred. update, taken. update If page, actions tion that the then it If to

because, The
detect If the

after
quickly, conditions

the
on

page
at

was

unlatched,
time if any to be

the
changes satisfied

conditions
could could for corrective immediately,

could
be have

have

page_LSN

value
are

the

of unlatching

remempossibly the are the a will the is

rematching, still found

performing actions then than page system

is performed the conditionally proceed

as described requested of locking to latch executing as in the is as before.

above. lock a the

Otherwise, is granted or

can

granularity there are is no the to isolate unlocked is updating readers hold an by who or

page page

something the Except case. lock for But,

coarser on the this if the

need the same

since

be sufficient taken to support so that if they performed amount locking rency be used Applicability is control with

transaction. record-locking

change,

dirty
not while

reads,
should acquiring reading utility

then,

even with
to hold are page. the to

page
the

locking,
X latch physical reads

a transacon the page consistency may the in in [2], also be

a page are

be made locks the in

assured Unlocked interest

S latch the of image ARIES

copy to normal is not concurrency

of those

causing systems Even other ones

least which

of interference used as the

transaction restricted control similar to

processing. only mechanism. locking, like concurcould

schemes ARIES.

that

are

the

5.2

Total or Partial Rollbacks flexibility

in limiting the extent of transaction rollbacks, the

To provide
notion

of a sauepoint be outstanding is established perform atomicity. the outstanding updates After undoing

is supported can in at a point before to the executing of all the After

[1, 31]. At any point

be established. Typically, data the is needed performed a partial Any in time. SQL This a while, such

during
number a system

the execution
of savepoints like command SQL I)B2, that can of a can a

of a transaction, could might level request still

a savepoint

savepoint

every data. for updates

manipulation to support after rollback, the transaction

statementsystem

or the the

establishment transaction

savepoint.

ACM Transactions on Database Systems, Vol

17, No. 1, March 1992.

118
continue lar that LSN

C. Mohan et al.
execution is or latest in of the is it set no to log virtual and start going outstanding one. by the when the level, user but to LSNS If (i.e., When user forward if When the it savepoint has again a rollback (see Figure been is 3). A particuto the is the at

savepoint savepoint of the

longer

has

performed

a preceding record written storage.

a savepoint transaction, is being not yet desires If symbolic the would expect

established,

called written to the values in roll

SaueLSN,
a log back record) to not [42]

remembered
beginning SaveLSN savepoint, were expose numbers INGRES Figure locks undo get are the

established

transaction to zero. the at the

transaction SaveLSN. then use we some

a to

supplies

remembered

savepoint system or IMS

concept sequence and

to be exposed SaveLSNs and [181. 8 describes acquired on in as the and, for in do the

to the mapping

internally,

as is done

the during

routine

ROLLBACK
routine even have back R* that [31, is the though always

which
SaveLSN

is used for rolling

and is that get the TransID. acquired latches involved of For will

back
No during do not in [1001. ease fit in need some of a a

to a savepoint.
activity involved

The input
a page. System the log that is all each

to the
Since R and log the

rollback, we

a latch ensured cannot in the in the

deadlocks,

a rolling

transaction 641 are and undone a CLR about to the case a logical described undo dont records it its is in field caused have are

deadlock, During order exposition, single to be CLR.

algorithms reverse

rollback, assume It are

records information ARIES that, when as whose they log after up

chronological

record

is undone,

is written. undo is action multiple 62]. CLR As

It is easy

to extend possible written,

where undo [59, this

CLRS

written.

performed,

non-CLRs before, PrevLSN Since tion When process when CLRS (e.g., is

sometimes a CLR in the log

mentioned the

is written, record

its

UndoNxtLSN

is made

to contain to be written. undo during next

value will

never is

be undone, Redo-only encountered, by looking the record then, already log occur, none scenarios it via actions. involved in, for 10.3). should CLRS, to In in ARIES.

to contain ignored the field. of that Thus, This

informarollback. record a CLR is looked that in if a to is

before-images). determined during the us skip were would rollback methods, by of original not possible (see guarantee with small Section next over to

a non-CLR

processed, field

PrevLSN

When record the means

encountered up to determine pointer nested during the first describe various handled Being us page the inverses situations management ARIES deal safely helps rollback the

rollback,

UndoNxtLSN undone because log again. in be easy the force particular, the original index actions the log

to be processed. records. of the records Even to

UndoNxtLSN CLRS, during 13 the are gives exact affect undo space us to online a in

UndoNxtLSN that were Figures restart nested during to Such be could action undone

second

rollback

of the

rollback partial recovery efficiently able flexibility of the

be processed

though with see how performed

4, 5, and undos rollbacks undo the

conjunction

to describe, not

having

undo the

actions undo

which are

was

action. management during in which

logical [621 and allows

example, amount systems

of a bounded computer

of logging situations

undo

a circular

ACM Transactions

on Database Systems, Vol. 17, No. 1, March 1992

ARIES: A Transaction Recovery Method

119

\\\ ***

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0

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ACM Transactions on Database Systems, Vol. 17, No 1, March 1992.

120

C. Mohan

et al

log might
transactions mentation advantage When of the partial cannot lock again, after nor

be used and log space is at a premium.

enough under of ARIES of this. a transaction rolls is the back, target after still the locks of the In in log the space 0S/2 to be able (e. g., Extended to roll log Edition critical conditions

Knowing
back space all

the bound,
currently The Manager the

we can
running impletakes

keep in reserve

shortage).

Database after may like

obtained rollback fact, systems rollback the same

establishment after do not after such the and a

savepoint or total release release, thereby a partial ever undoes of the when a CLR makes than the

which rollback any a later

be released DB2 because, updates R does never once,

is completed. locks

of the rollback

a partial cause

may

to be undone release undoes because a (partial) object locks CLRS of the roll-

causing rollback a CLRS

data

inconsistencies. But, non-CLR the very UndoNxtLSN first system resolving rollbacks. update can because more

System ARIES than field,

completes. particular using

chaining back, and This rather

during

transactions for resorting it,

to a particular release deadlocks the lock using

is undone object. rollbacks

is written it possible always

the

on that partial

to consider

to total

5.3

Transaction that

Termination
some

Assume
the

form which
the list

of two-phase
64])) is

commit is used

protocol

(e. g.,

Presumed and held

Abort that of the by the

or Presumed

Commit

(see [63,

to terminate written locks (IX, X,

transactions to the SIX, that state, log etc.)

prepare

record
The

synchronously
locks restart could into the logging like be same of erasing [191. is done the recovery, 5 When the

as part

protocol transaction. were could updates read the for acquired to be

includes

of update-type of the

logging

to ensure in-doubt to if the prepare no state

if a system then the those

failure locks the be of with we the part

occur of the

after

a transaction during S and IS) (at the actions record. enters its they the they transaction. of getting

enters

reacquired, in-doubt as part (e.g., later

protect new in

uncommitted is written, would deal

record some site). files are log

locks distributed (such sake the

released, prepare site which such files We

locks To

other

transaction as the of dropping avoiding

or a different may objects until need cause we to

actions postpone transaction

of objects)

to be sure these by

erased,

complete

contents, that

performing is in the definitely prepare

committing in-doubt must

pending
writing if there an are write that this action we that

actions
Once any which an this action log

a transaction actions, erasing is not take

state,

it is committed is written, each For operating transaction progress.

end record
pending

and releasing

locks.

Once the end record

be performed. a file any to the particular is in

pending

involves

or returning

system, and

OSfile.
does

return
not

redo-only
place

log record.
with when

For ease of exposition,

we assume

record

associated

a checkpoint

5Another possibility is not to log the locks, but to regenerate the lock names during restart recovery by examining all the log records written by the in-doubt transaction see Sections 6.1 and 64, and item 18 (Section 12) for further ramifications of this approach ACM Transactions on Database Systems, Vol. 17, No. 1, March 1992.

ARIES: A Transaction Recovery Method A transaction record, rolling actions list,

in the

121

back releasing

in-doubt state is rolled back by writing the transaction to its beginning, discarding its locks, and then writing the end record.

a rollback the pending Whether or

not the rollback and end records are synchronously written will depend on the type of two-phase commit protocol used. of the prepare record may be avoided if the transaction one or is read-only.

to stable storage Also, the writing a distributed

is not

5.4

Checkpoints checkpoints are taken to reduce the amount of work that needs

Periodically,

to be performed during restart recovery. The work may relate to the extent of the log that needs to be examined, the number of data pages that have to be read from nonvolatile storage, etc. Checkpoints can be taken asynchronously (i.e., fuzzy while transaction record table, processing, by including writing a updates, begin-chkpt and any file is going record. mapping are open on). Such a checkpoint is initiated is constructed the (like Then the

end chkpt transaction tion which

by including table, indexspace, Only

in it the contents etc.) that for simplicity

of the normal informa(i.e., for we

BP dirty-pages tablespace, table has entries).

for the objects BP dirtypages

of exposition,

assume that all the information record. It is easy to deal with log this information. Once the

can be accommodated the case where multiple end-chkpt record

in a single end- chkpt records are needed to it is written

is constructed,

to the log. Once that record reaches stable storage, the LSN of the begin-chkpt record is stored in the master record which is in a well-known place on stable storage. If a failure were to occur before the endchkpt record migrates to stable storage, but after the begin _chkpt record migrates to stable storage, then that checkpoint is considered an incomplete checkpoint. Between the begin--chkpt and end. chkpt log records, transactions might have written other log records. If one or more transactions are likely to remain in the in-doubt state for a long time because of prolonged loss of contact with the commit coordinator, about This locks then way, could it is a good idea locks were if a failure be reacquired to include (e.g., to occur, in the then, end-chkpt held by the restart record those information transactions. those the update-type X, IX and SIX) during to having

recovery,

without

access

prepare records of those transactions. Since latches may need to be acquired to read the dirty _pages table correctly while gathering the needed information, it is a good idea to gather the information a little at a time to reduce contention on the tables. For example, tion before Figure if the dirty _pages table has 1000 rows, If the already during each latch entries acquisichange 100 entries can be examined. examined

the end of the checkpoint, the recovery algorithms 10). This is because, in computing the restart

remain correct (see redo point, besides

taking into account the minimum in the end_chkpt record, ARIES

were written by because transactions the effect important

of the RecLSNs of the dirty pages included also takes into account the log records that
the beginning updates of the that checkpoint. were performed This is of the since

since of some

ACM Transactions on Database Systems, Vol. 17, No. 1, March 1992.

122
the

C. Mohan et al.
be reflected pages is that pages batch details are has to in the about some ensure to reduce the the the be in the

that

initiation of the checkpoint might not is recorded as part of the checkpoint.

does during processes. in one in pools this not

dirty
to

page

list

ARIES
storage on system ple buffer frequently written just to such in case

require
basis, The

that
The

any out

dirty
dirty can

forced the the buffer

nonvolatile manager write multi its are are work, could This is, using -

a checkpoint. writing buffer operation. fashion. the failure during buffer

assumption

a continuous

background and DB2 pages those

manager Even

writes how that hot-spot

pages

1/0

[961 gives if there manager reasonably were an pages to occur. 1/0 and time

manages which pages redo

modified, to nonvolatile a system hot-spot

storage

often operation, perform for writes.

restart

To avoid

prevention buffer

of updates

pages

manager the copy.

make

a copy the

of each data

of those unavailability

1/0

from

minimizes

6. RESTART
When the

PROCESSING
system the invoked routine begin or redo the table is taken. availability, the duration of restart this if they [601. are by is by processing exploiting is going modified during new to must be as short during is it recovery. processing as .chkpt shutdown. pass and data to restarts after a failure, state Figure of the master last pass, At the routine of the of This the undo and restart record complete invokes in that the end the order. recovery ensure needs the the to be

transaction to bring gets the failure

performed and The before analysis dirty For possible. the Ideas during redo for necessary checkpoint high durability that to site input routine pointer

a consistent beginning LSN

atomicity

properties

of transactions. at the is the

9 describes

RESTART
system. the taken for buffer recovery, the pool a contains

of a failed which checkpoint routines The

to this

record

pass,

_pages

is updated

appropriately.

of restart

One and to recovery

way undo latch are

of accomplishing passes. pages data Only before availability in

parallelism be employed restart

parallelism allowing

improving

transaction

explored

6.1
The

Analysis
first the pass

Pass
of the 10 analysis log pass that the actions. is made The which were and must this pass by before during input restart recovery routine is the routine is the that LSN

analysis
impleof the

pass.
ments
master

Figure

describes

RESTART_ routine
were

ANALYSIS
to this

record.
the the failed from that list list

The

outputs

of this failure

are the
in

transaction

table,

which

contains

of transactions

state
system the that are

at the time

of system
of pages shut the

or shutdown;
potentially the routine system start

the in-doubt or unprepared the dirtypages table, which dirty in the the records for buffers is the log. for whom The end when location only transactions records the on log which

contains log had

that down; redo

or was which may

RedoLSN,
processing are failure, end

records

be written rolled back

totally

but

missing. on Database Systems, Vol. 17, No. 1, March 1992.

ACM llansactlons

ARIES: ATransaction
RE.STAR7(Master Addr);
Restart_Analys~ Restart_ buffer remove Restart_ reacquire pool entries locks s(Master_Addr, Dirty_Pages for for table e); Trans_Table, := Dirty_ Dlrty_Pages, Pages; pages from the

Recovery Method

123

RedoLSN);

Redo(RedoLSN,

Trans_Table, non-buffer-resident prepared

Dlrty_Pages); buffer pool Dirty_ Pages table;

Undo (Trans_Tabl

transactions;

checkpoint; RETURN ; Fig.9. Pseudocode for restart.

During does not the table transaction undone back. to that

this

pass,

if a log record in the dirty

is encountered _pages table,

for a page then

whose

identity in The and to be

already

appear

an entry

is made

with the current table is modified the LSN of the determined

log records LSN as the pages RecLSN. to track the state changes of transactions most recent log record that table that would need ultimately the transaction then are removed

also to note

if it were file which

had to be rolled from the latter in

If an OSfile.return sure that the redo original

log record

is encountered,

any pages belonging

are in the dirty-pages

order to make accessed during later, once the

no page belonging pass. The same file operation causing the

to that version of that file is may be recreated and updated file erasure is committed. In

that case, some pages of the recreated file will reappear in the dirty-pages table later with RecLSN values greater than the end-of-log LSN when the file was erased. The RedoLSN is the minimum RecLSN from the dirty-pages table at the end of the analysis are no pages in the dirty _pages It is not necessary ARIES there missing logged Hence, tion. This implementation is no analysis Section updates. redo pass. 6.2), That that there in the This pass. table. 0S/2 redo The redo pass can be skipped analysis because, ARIES unlike irrespective System or nonloser pass and, in fact, Database as we mentioned of whether R, SQL/DS status they if there in the before all were

be a separate is especially pass, them

Extended

Edition

Manager redoes

(see also

in the

unconditionally

is, it redoes

by loser or nonloser

transactions,

and DB2.

does not need to know

the loser

of a transac-

That information is, strictly speaking, needed would not be true for a system (like DB2) their update locks are reacquired

only for the undo pass. in which for in-doubt the lock names as they are encountered locks forces the RedoLSN transactions which in of from

transactions

by inferring

from the log records of the in-doubt transactions, during the redo pass. This technique for reacquiring computation to consider the Begin _LSNs of in-doubt turn requires that we know, before the start the in-doubt transactions. Without the analysis pass, the transaction

of the redo pass, the identities table could be constructed

the checkpoint record and the log records encountered during the redo pass. The RedoLSN would have to be the minimum(minimum( RecLSN from the dirty-pages table in the end.chkpt record), LSN(begin-chkpt record)). Suppression of the analysis pass would also require that other methods be used to
ACM Transactions on Database Systems, Vol. 17, No. 1, March 1992

124

0
Trans_able, D1rty_pages, to RedoLSN) ; empty; / /* 00; open log scan at Beg)n_Chkpt /* read )n the Begln_Chkpt read log record followlng record record / / */

#~START_ANALYSIS(Mast er_Addr,
ln]tiallze the tables

Trans_Table

arm D1rty_Pages

Master_Rec := Read_Dl sk(Master_Addr) ; Open_ Log_ Scan (Master_Rec .Chkpt LSN) ; LogRec := Next_ Logo; LogRec := Next_ Logo; WHILE NOT(End_of_Log)

Begln_Chkpt

ret Urn*/ IF trans related record & LogRec.7ransi3 /C- ;n Trans Table THEN /* not chkpt/OSflle /* log ~ecord */ Insert (Log Rec. Trans ID, U ,Log Rec. LSN, Log Rec. Frev LSN) l!,:o Trans Table; SELECT(LogRec. Type) WHEN(update I compensation) DO; Trans_Tabl e[LogRec. Trans ID] .Last LSN := LogRt-:. LSN; THEN THEN Trans_Tahl e[.ogRec. TransIO] .UndoNxt LSN := LogRec. LSN; to by this CLR */ IF LogRec. Type = update IF LogRec 1s undoable

ELSE Trans_Tabl e[LogRec. Trans IDU.UndoNxt LSN := LogRec. UndoNxt LSN; / next record to undo 1s the one pointed IF LogRec is redoable & LogRec. ~age ID NOT IN DTrty_Pages THEN insert (LogRec. Page ID, Log Rec. LSN) Into Llrty_Pages; END; / WHEN(update I compensation) */ WHEN(Begln_Chkpt ) ; /* found an Incomplete WHEN(End_ Chkpt) FOR each entry DO; in LogRec. Tran_Table 00; Table; checkpoints Begln_Chkpt

record.

ignore

It

*/

IF Trans ID NOT IN Trans_Table Insert entry (Trans ID, State, ENO; END; /* FOR /

THEN 00; Last LSN,UndoNxt LSN) In Trans

FOR each entry in LogRec.Dirty PagLst 00; IF Pagel Ll NOT IN Olrty_Pages-THEN lrsert ELSE set RecLSN of Dlrty_Pages END; / FOR / END; / WHEN(End Chkpt) */ WhEN( prepare \ rollback) DO; entry

entry

(Page IO, RecLSN) In Olrty_Pages;

to Rec LSN In Olrty_PagLst;

IF LogRec. Type = prepare THEk Trans_Tabl e[Log Rec. Transit]. ELSE Trans Table [LogRec .Trans ID]. State := U; Trans_Tabl~[LogRec .TransID] .Last LSN := LogRec. LSN; bac<) entry */ for which TransID all ENO; / WHEN(prepare I roll WHEN(end) delete Trans_Table WHEN(OSfile_return) delete

State

:= P ;

= LogRec. Trans ID; returned file;

from Olrty_?ages

pages of

ENO; /* SELECT / LogRec := Next_ Logo; ENO; / WHILE / FOR EACH Trans Table entry with (State = U) & (Undo Nxt LSN = O) 00; /* rolled back trans write end re~ord and remove entry from Trans Table; I* w)th mlsslng end record ENO; /* FOR */ RedoLSN := minimum(Di rty_Pages. RE-URN; Rec LSN) ; /* return start posltlon for

*/ *[

~edo *I

Fig. 10.

Pseudocode for restart

analysis.

avoid system. redo begin_

processing Another cannot chkpt pass

updates be used

to files to filter

which update

have the dirty log

been

returned table which

to the used occur

operating during after the the

consequence

is that

.pages records

record.

6.2
The

Redo Pass
second Figure pass 11 of the describes log that the is made during restart routine recovery that is the redo

pass.

RESTART.REDO

implements

ACM 11-ansact,ons on Database Systems, Vol. 17, No. 1, March 1992

ARIES: A Transaction Recovery Method

RESTART-REDO(RedoLSN,

125

Di rty_Pages); /* open log scan and :;s]tlon at restart pt *J /* read log record a: restart redo point */ /* look at all records till end of log */ I compensation) & LogRec is redoable &

Open_ Log_Scan(RedoLSN); LojRec := Next_ Logo; WHILE NOT(End_of_Log) 00; IF LogRec. Type = (update

LogRec. PageIO IN Oirty-Pages & LogRec. LSN >= Oi rty_Pages[LogRec .~ageID] .Rec LSN THEN 00; / a redoable page update. updated page mg-t not have made It to */ /* disk before sys failure. need to access cage and check Its LSN */ Page := fix&l atch(LogRec. PageIO, X); IF Page. LSN < LogRec. LSN THEN 00 /* update not or cage. need to redo It *I Redo_Update(Page, END; ELSE Dlrty_Pages LogRec); / [* [LogRec. PageIO] .Rec LSN := Page. LSN+l; / I* unfix&unlatch (Page); / LSN on ~age has to /a read next /* reading till be checked 1og record end of log */ */ */ ENO; LogRec : = Next_ Log (); ENO; RETURN; / redo redid update update */ *I Pag.?. LSN := LogRec. LSN; .~date already on page *I update dirty page list with correct info. tr-s w1ll happen if this */ ~~gewas written to disk after :Re checkpt b.t before sYs failure */

Fig. 11.

Pseudocode for restart

redo,

the the log

redo

pass are

actions. table by

The this

inputs by routine. point.

to the

this The

routine restart-analysis redo page

are pass appears

the starts log

RedoLSN routine. scanning dirty-pages equal page redone. to No

and log the

dirty-pages written from records

supplied RedoLSN

records tered, table. RecLSN might resolve less than

the

When

a redoable

record in the

is encoun-

a check If be this the it for

is made and page that if the

to see if the the in the the the log log table,

referenced LSN it is update then

does such

records records

is greater suspected might If the

than that to LSN have

or the be

the To

state

suspicion, log serves records

page LSN, the the by

is accessed. then number database loser the

pages

is found the

to be

update of pages state

is redone. which are

Thus,

RecLSN

information This Even behind some routine updates this of that have redo may

to limit

have time redone. 10.1. may the be

to be examined. of system The It turns failure. rationale out that In

reestablishes performed repeating redo reduce get

as of the in Section

transactions

of history of loser further number during be read the

is explained log which pages

transactions the only the and redo. last nonvolatile log write to idea the of pages redo

records get with Only during is because or

unnecessary. of history this listed Not dirty pass. in all dirty-pages

[691 we Since table dirty-pages pages were might Because we that and

explored

of restricting

repeating during in the pages pass. of the system CPU the option is became the some

to possibly

dirtied entries the this

is page-oriented, modified will may time written like systems to can table

pass.

the the that later

examined This checkpoint storage and records

that dirty have

are at

read the

require of the to reducing to

some

pages

which before

been expect written

failure. overhead, pages from

of reasons

volume log

saving that that

do not were such

identify corresponding

dirty pages

nonvolatile be used

storage, eliminate

although the

available

log

records

ACM Transactions

on Database Systems, Vol. 17, No. 1, March 1992,

126

C. Mohan et al.

the

dirty

.pages pass.

table Even if

when such

those records in

log

records

are

encountered to could get if be written prevent modified

during after them during were the pending to

the 1/0s from this occur

analysis complete, being pass. For after of all are dirty parallel possibly pass. also records in the For

were

always window will not how, the

a system The we

failure

a narrow pages here

written. brevity, the the redone ..-pages logging pending during

corresponding do not discuss end redo record pass. the of that

as to

a failure but before

of the actions the gives all the these

of a transaction, transaction, availability

execution actions in 1/0s the buffers the we of redo can log the in

remaining of the

exploiting table

parallelism, us the pages

information asynchronous in

possibility so that log during like page

of initiating they records the redo building or and with group pages by orders only may are pass

to read before Since perform which dirty

be available encountered are not in-memory

corresponding performed things need on 1/0s queue applied violate are a per

in logged, queues

updates

sophisticated potentially .pages table) initiated the corresponding that may does each get not

to be reapplied complete log in record different any be dealt

(as dictated of pages come using one from

by the basis the into

information and, buffer Updates represented for a given These disaster as the pool, to

asynchronously processing This requires pages log. all its This

queues

multiple process. order since the

processes.

different
in the page

correctness in the to the

properties same order of

missing ideas

updates are also

reapplied

as before.

parallelism recovery via

applicable [731.

context

supporting

remote

backups

6.3
The

Undo Pass
third Figure undo The history is not or like restart order, pass dirty pass 12 of the actions. _pages is repeated consulted not. DB2 -undo in of the to Contrast that a single do not sweep routine LSNS The log that the The table before this rolls of the next by in an is is made to not the with back of the next record entry of the 5.2. pages CLRS. dirty The to loser this undo what history losers log. log during routine pass we but This is an restart is during undo describe perform is done until for transaction log of process manager by recovery that restart undo the operation in in Section reverse for the this is the

undo

pass.
the table. since page

describes

RESTART_
consulted whether

UNDO

routine

implements transaction pass. LSN should 10.1 redo. chronotaking each of transaction to be each back the during of the usual the is exactly for Also, on the be for

input

initiated,

determine

performed systems The logical the the rolled those as WAL undo we

repeat

selective continually no loser each table records rolling follows storage

transactions, record

maximum

to be processed

yet-to-be-completely-undone to be undone. back is determined The before routine while transactions. described this protocol pass.

transactions, to process in In the the buffer encountered

remains

transaction

processing Section writes

transactions,

writing

nonvolatile

ACM TransactIons on Database Systems, Vol. 17, No. 1, March 1992

ARIES: A Transaction Recovery Method

. REST,.4//T-UMM(T rans-Tabl e);

127

WHILE EXISTS (Trans with

State
/

= U
pick

in
UP

Trans_Table)

DO; entries with State = u ;

UndoLSN := maxlmum(UndoNxtLSN) LogRec := Log-Read (UndoLSN); SELECT(LogRec. Type) WHEN(update) DO;

from Trans_Tab7e

UndoNxtLSN of unprepared trans with maximum UndoNxt LSN */ J* read log record to be undone or a CLR *J

IF LogRec is undoable THEN 00; f record needs undoing (not Page := flx&latch(LogRec .Page IO, X); Undo_Update(Page, LogRec); Log_Wri te(compensati on ,LogRec .Trans ID, Trans_Tabl e[LogRec. TransID] LogRec. Page ID, LogRec. PrevLSN, Page. LSN := LgLSN; . . . ,LgLSN, Data); / store

redo-only

record)

*I

.LastLSN, LSN of I* write CLR */ CLR in page */ / *I *I */ *I */ */ */

Trans_Tabl e[LogRec. TransID] .LastLSN := LgLSN; / store LSN of CLR in table unfix&unl atch(Page); ENO; I* undoable record case ELSE; /* record cannot be undone - ignore it Trans_Tabl e[LogRec. Trans IO] .UndoNxt LSN := LogRec. PrevLSN; /x next record to process is J* the one preceding this record in its backward chain IF LogRec. PrevLSN = O THEN DO; /* have undone completely - write end Log_Wrlte( end ,LogRec .Trans IO, Trans_Tabl e[LogRec. Transit]. delete Trans_Table entry where TransID . LogRec. TransIO; ENO ; ENO; /* WHEN( update) */ WHEN(compensation) Trans_Tabl e[LogRec. TransID] WHEN(rollback ENO; /* /* END; RETURN ; SELECT / WHILE */ [ prepare) Trans_Tabl .UndoNxtLSN LastLSN, . . .) ; /* delete trans I* trans from fully table undone

:= LogRec. UndoNxt LSN; */ *I

/* pick UP addr of next record to examine e[LogRec. TransIO] .UndoNxtLSN := LogRec. PrevLSN; I* pick UP addr of next record to examine

Fig. 12.

Pseudocode for estart undo.

To exploit processes. single leaves undos objects parallel, actually for all Figure the log was page partial transaction the missing one a single

parallelism, It is important because the possibility (see require in the pages may explained transaction.

the that of the

undo each

pass

can

also

be performed be dealt with in in then fashion, be performed scenario page. After 4 and During redone record restart the Since undo the without

using completely CLRS.

multiple by still the for in of even Here, the a the write, then a

transaction

process open to the as

UndoNxtLSN of writing the for 6.2. 6.4

chaining CLRS problems and In this can first,

This this CLRS work

applying

Section logical Section

accomplishing redoing the the undo in parallel, using Before that 3) ARIES. the

that

undos), pages

applying 13 depicts records written

changes

to the restart the (undo (updates

an example describe to disk after

recovery same second of log 5 and

updates

to the

failure, disk

update. records 6). first log

rollback went

was

performed

and

forward

restart and will then

recovery, the undos with of back loser each

updates and 1) are we the CLR, after

(3, 4, 4, 3, 5 and performed. have the Each of how option we recovery concept,

6) are update times of

(of 6, 5,2 at most With transactions and

be matched

regardless restart savepoint

many

recovery continuation ARIES pass,

is performed. repeats roll history

ARIES,

allowing in the

is completed. could,

supports

ACM Transactions on Database Systems, Vol. 17, No. 1, March 1992.

128

C. Mohan et al.

u
m

Wrl te !bdated

* 1234435

REDO

344356 6521
Restart recovery example with ARIES.

UNDO

Fig. 13.

loser

only

to

its Later,

latest we entry

savepoint, could point execution to not recovery, resume and

instead the

of

totally

rolling by invoking

back its

the

loser

transactions. tion require records before ever at a (1) for

transaction enough names updates, from

applicathe would log locks whenpositions,

special from the its

passing lock

information this the

about correctly

savepoint

which ability

is to be resumed. undone and

Doing

generate

transactions those

uncommitted, restart are

(2) reacquiring enough can restore information cursor

completing savepoints

(3) logging the system

established state, and

so that so on.

application 6.4

program

Selective

or Deferred
after a system as work of by of time new soon to

Restart
failure, as point which such even when data In some are we in some first may time. wish we This and of the for the the then for objects the loser alone can to restart may data wish is is usually opening it which for the to processing defer doing It is for to done unavailable. the is system possible redo is brought finish handling based forward is DB2 (DBA) that before of log those they records transacinverses DB2. and/or up. on those to reduce of

Sometimes, new some the the undo offline the solely the of recovery amount processing

transactions

possible.

Hence, critical DB2,

a later

during

accomplished perform If some restart work undo objects,

recovering recovery

transactions.

example,

needs work

to be performed needs DB2 This is able is possible in the [151. of locking, That in the is, log

offline

when some CLRS CLRS (or

system and

to be performed to write because non-CLR Because the there and when

transactions

then

transactions. on the smallest the original in that made with of the

be generated during for be exact in fact the

information transactions actions. an need granularity

records page undo are no the are The

written will

processing

minipage, undos the ranges some will need not brought

indexes)

actions logical

remembers, table) offline are tions until objects

exceptions

table

(called they [141.

database storage, brought LSN are objects are

allocation online,

is maintained accessible are uncommitted those is objects

in virtual

to be recovered to other also

transactions Unless to those accesses When those

to be applied to protect

remembered. updates since

there objects,

in-doubt

no locks

to be acquired be permitted online, then

to those

recovery

completed.

objects

ACM Transactions

on Database Systems, Vol. 17, No 1, March 1992

ARIES:

A Transaction

Recovery

Method

129

recovery the for In logical the For offline

is performed ranges. also, has Redos undos This are we modified objects.

efficiently Even can take one at all

by during

rolling normal

forward rollbacks,

using

the

log maybe of

records written the

in

remembered ARIES undos.

CLRS

similar or more logical a problem, and that methods

actions, of the undos since offline are

provided objects based they (see the are

none that

loser of

transactions object. logical take

may

require state

is because not

on the always

current

page-oriented. 10.3), generally CLRS. write for the since do a in fact, hence For high the key we

involving

space approach of an

management generate the page

Section

we can example, for the

a conservative the undo update

appropriate we is not can But possible, tree and to

during space-related index the

insert

record

operation, this the will not

a CLR

stating

is O% full.

concurrency, effect deletion), cannot undo during the in each that other Even have restart of

management undo of which when to handle and point all the (e.g., page

of [62] affected, undo of some undos two it

logical predict

retraversing maybe

index work records

in terms even

is unpredictable;

page-oriented the handle in time, recovery order. undos the if the Hence, to the where logical, then we

logical

is necessary. possible of the (possibly, sets is of a transaction of the rest of restart recovery logical) are to

It is not

records reverse record, records

at a later that in chronological the

of records enough during chain of the offline following

interspersed. is done for from the

Remember

methods,

undo

of a transaction remember, the leads loser objects, undo;

transaction, the

next

record and/or

be

processed

PrevLSN

UndoNxtLSN one or more on some the

us to all transactions

to be processed. the circumstances potentially to be supported, undos if deferred

under needs

to perform,

suggest

algorithm:

it for 1. Perform the repeating of history for the online objects, as usual; postpone the log ranges. the off/ine objects and remember 2. Proceed with the undo pass as usual, but stop undoing a loser transaction when one of its log records is encountered for which a CLR cannot be generated for the above reasons. Call such a transaction a stopped transaction. But continue undoing the other, unstopped transactions. 3. For the stopped transactions, acquire locks to protect their updates which have not yet been undone. This could be done as part of the undo pass by continuing to follow the pointers, as usual, even for the stopped transactions and acquiring locks based on the encountered non-CLRs that were written by the stopped transactions. 4. When restart recovery is completed and later the previously offline objects are made online, fkst repeat history based on the remembered log ranges and then continue with the undoing of the stopped transactions. After each of the stopped transactions is totally rolled back, release its still held locks. 5. Whenever an offline object becomes online, when the repeating of history is completed for that object, new transactions can be allowed to access that object in parallel with the further undoing of all of the stopped transactions that can make progress. The tion above in the requires update transactions. ACM Transactions on Database Systems, Vol 17, No, 1, March 1992. the ability to generate log records. lock names is based doing on the that informafor

(non-GLR)

DB2

already

in-doubt

130

C. Mohan

et al.

Even the

if none are first the start

of the of new

objects

to be recovered start we can then and

is offline, before the

but it by

it

is desired of the the

that loser followthe and loser are (1) that redo such system

processing

transactions

rollbacks doing log

transactions ing: locks (1) for

completed, history

accommodate based loser even The adjusted are rolling and on

repeat

reacquire, of the

their

records,

uncommitted processing are performed loser restart of the the

updates new in

in-doubt

transactions, of the in to time step ensure the for of the pass (1) step

(2) then transactions released requires all the pass. failure,

transactions parallel. be rollback

as the

rollbacks Performing during

locks

acquired

as each that log the records with

transactions RedoLSN loser was information be known records

completes. appropriately encountered back during log are CLR. that and we mark transaction and is then undone. undo that at the the

transactions already obtained as to which whose LSNS last updates back we can that log because work that of locks possibly not or rolled then by

If a loser then,

transaction

analysis remain than need not like on the release This the undo more in of or to yet

a transaction, These are the

it will log of redo the pass

records less Locks have would

to be undone. equal be been log that works CLRS than to the

UndoNxtLSN during of its which object lock more as the locks If a long

transactions only for those is being

obtained undone. some records objects only (e. g., once during using

transaction as soon the as do not once; the

to release those

as possible, first update if record

specially

represent (e. g., record, soon we than

corresponding

locking

is in effect) record we in

corresponding CLRS it DB2) release to will and

because

undo hence,

do not systems a be

same

non-CLR

Encompass, (e.g., normal partial IMS).

AS/400, This early

undo can permit

non-CLR performed

ARIES deadlocks

transaction rollbacks.

undo

resolution

7. CHECKPOINTS
In this 1/0 can of restart section, we

DURING
describe by, processing. By work table list dirty-pages from .pages what list taking if

RESTART
how the impact taking of failures checkpoints on CPU during processing different and stages

be reduced recovery

optionally,

Analysis
can the of that This latter, table. Redo notified during that page the the is the save of the

pass.
some

a checkpoint were checkpoint end of to

at the occur will the will at the

end during be the analysis be the

of the

analysis The The as the analysis

pass,

we

a failure of this at of the this table

recovery. same pass. same of the pool

entries of entries entries pass. For the

transaction transaction dirtypages

table

as the

entries

checkpoint contains during from

the end

restart
different dirty

happens is obtained

a normal buffer

checkpoint. (BP)

dirty-pages

pass.
so that, the redo by

At

the pass,

beginning it writes will it the

of the out change

redo the

pass,

the dirty LSN

buffer _pages of that

manager table log

(BM) storage entry

is for

whenever

a modified restart to the

page

to nonvolatile

making

RecLSN

be equal

record

such

ACM Transactions

on Database Systems, Vol. 17, No. 1, March 1992.

ARIES: A Transaction Recovery Method

that BM have ing. the redo the of the all log records the its up to that log record table had table been in processed. this fashion. during pages any need pass. same the will the It

.
is enough BM does

131
if not

manipulates to maintain Of course, buffers. pass to The

restart own

dirty-pages

dirty--pages still allow amount before this be keeping

as it does of what be taken would redo the of of be time checkpoint end not that of will the to

normal are time to The as

processin the if of The same pass. as This in during

it should above the occur list of reduce to

track log

currently be the redone entries entries

checkpoints of the the checkpoint table table by of table at this at the end the

a failure the

were

dirty-pages

restart
of the of

dirtypages transaction the is transaction not affected

checkpoint. be the is

entries

entries

analysis

checkpointing the redo pass.

whether

or

parallelism

employed

Undo
table the does

pass.

At the those

the BP then

beginning dirty-pages for onward, which the

of the table. the BP

undo At this

pass, point,

the the

restart table are this are

dirty-pages is cleaned no longer table written dirty, as pass, as the entries of a for up in as it to

becomes buffers. during

by removing

entries

corresponding manager entries

pages

From normal storage, the

manipulates when are pages to

processingremoving adding pass, entries the entries when of the is taken list

nonvolatile etc. During

pages

about table during are

become are the modified undo same The

undo undo. of the

transaction any time

during then entries of the the In the

normal entries of the

If a checkpoint dirty .pages table

of that time will

checkpoint of the be the

the

BP

dirtypages table table of this restart to work free

at the

checkpoint. same as the

transaction System

checkpoint recovery,

entries that

transaction be history the

at that

time. sometimes physical This pages R. This would it may (the be required shadow up some pages) the be and were true its

R, during taken cannot view

checkpoint more fact logic undo that

or redo

to be performed. be repeated

is another

consequence

of the restart after effect consid-

in System Figure The 17

complicates no longer logic restart to easily are

since

depicted completes. a system

in

a restart on a restart ered date case, too they

checkpoint following complex may

restart during [31]. in

checkpoint an earlier is able R. ARIES

failure in While place

to be describable during be forced restart. to take

accommoin our

checkpoints

these

checkpoints

optional

System

8. MEDIA
We some called performed tions. might Of With will

RECOVERY
that media recovery tablespace, will etc.) be required entity. involving to image in easily that version the copy contrast an image produce the of the A at the fuzzy such entity method, to the image copying entity. This level of a file or

assume (like fuzzy

such a

DBspace,

image
an by entity other the method copy is

copy (also
can transaccopy of [52]. with performed means that no be

archive
a high we

dump)
with

operation modifications updates, also assume storage

concurrently such if from some desired, updates. the

concurrency could us

image

contain

uncommitted Let

course,

uncommitted directly

nonvolatile

ACM Transactions on Database Systems, Vol. 17, No. 1, March 1992.

132

C. Mohan et al.
versions systems of some of the copied directly be such it much a copy Since may pages from more the may the efficient and more in it. Of be present in the

more

recent

transaction version geometry manager have copying (e.g., easy case, latching When begin. to to to

buffers. would will the

Copying usually during

nonvolatile since since system convenient is found [131), course, For the the

storage device buffer not than desirable then in it that is does

of the can be via up the

object

be exploited for direct

operation transaction be also If the

overheads

be eliminated. copying, systems image method but copy most image assertion all the of updates image the storage image-copied in the image by log. into recovery

transaction incremental the page presented amount level, image of with the the The that in record

buffers. copying, to

latter

support modify at the the minimal

as described will

accommodate will is be needed. initiated,

some

of synchronization no locking operation recent copy that that copy the We

be needed.

example,

fuzzy record along

the

location is noted

of

the and the

chkpt

complete data. can Let

checkpoint us call this based logged of dirt y

remembered

checkpoint on this in log

image
point with

copy checkpoint.
information LSNS less entity to is than

be made been SNs

checkrecords of the record),

had

minimum(minimum(RecL

pages

image-copied LSN(begin_chkpt externalized tion up began. to date

checkpoints checkpoint)) the that the point fuzzy entity point LSN of the call time

end.chkpt would image would the copy

copy

have

been operaas

nonvolatile the point for the 5.4 recovery while

Hence, as of that The

version

be at least

media
begin. same the

recovery
chkpt one redo is

redo point.
record given point. When reloaded redo being unless or the a log records image pared end pass such until Since, an page point. in in

reason

taking media

account redo the

of the

computing Section media and

is the of version from the relating

as the restart entity

discussing the all the copy is not LSN page

computation

is required, scan redo scan, and image that the that

image-copied starting log records corresponding checkpoint Unlike the be update entity about Section dirt in must the

of the media to are dirty list log

then During

a redo the are

is initiated

recovery the entity applied, list if log comthe undo such table by log the redo, the

recovered the LSN record LSN copy to the of the log on the refers

processed in the makes a page than then LSN made

updates records during y_pages

information page to

.pages and

it unnecessary.

restart
record its LSN

is greater checkpoint, log that may records had recovery. be kept table log. DBA an of the

of the if the

beginchkpt accessed must are the (e.g., 6.4) complete independence is logged nonvolatile or

of the

and

to check are changes

be redone. as in etc. exceptions be

Once then the of

is reached,

if there The in pass

any

in-progress

transactions, undone, identities, in an may

those

transactions of restart as the in needs the end transactions performing Page-oriented

to the

information DB2see from the

separately

somewhere last

obtained in

analysis logging every the

checkpoint amongst separately, storage easily by

provides database page is recovery

recovery pages damaged can be

objects. even and extracting if the

ARIES,

update in the

arbitrary

database recovery,

accomplished

ACM Transactions

on Database Systems, Vol. 17, NO 1, March 1992

ARIES: A Transaction Recovery Method

an with index from earlier systems and damage the copy of the like of that using System management such a page object (e.g., state if or to they see are page the R from log in an image since log copy above. for and This some are rolling pages not

.
forward

133
that (e. g.,

version

page

as described which,

is to be contrasted updates

space to

pages) may (e. g., data would any, if

records the

written, operation index for are

recovery of reconeven not by log when logging written starting records to had being in

require rebuilding Also, in pages require

expensive the complete for R), state partial pages up or If scans changes any of

structing only when from is performed undo the

entire explicitly

one page

of an index

is damaged). then bringing state then they undone. if it

even

which

System paying

if CLRS

is performed, copy the what partially required so that being made

a pages (commit, be backward made These any

to date to the total such to the may

image

attention

representing determine rolled would recovered useless tion would back recovery Individual of media the the had back be

transaction actions, totally,

rollback) transactions page result transac-

should

undone.

transactions

backward that being some

scans rolled

work not

performed, any changes the 10.2 of but gets the also a chance is executed log in and

turns

out page

back An

to the and Figure place

recovered. pointers the

alternative over rolled

be to preprocess log records, (see Section pages problems process process

forward R during

to skip pass

as it is done

System

analysis not process in the describing process

of restart because

18). may of an a log like DB2 be corrupted only

database because making by to write

abnormal to a page record

termination pool which abnormal by hitting that every the the page scan the the page cornonstate of the buffer and is the changes.

while before If the what

is actively code

changes the

buffer itself, such (e.g.,

database

application

performance-conscious may key) to Given page is storage all is relevant from does to bit first page 1 DB2 is set is the started put all to had occur or due the

systems because to the its CPU in

implement, interruption action is state way of the It generally

terminations the attention process operation update. rupted volatile using log

of the operating time an

users limit.

systems

on noting an before to page from the redo by

exhausted

expensive

process the

uninterruptable an date page, by efficient rolling The for recovery by using and update whenever value an version

these read bring

circumstances, uncorrupted it up for of page page O. to that

recover

and log

forward the buffer

records the this after kind the (i. e., to bit

roll-forward operation a bit X-latched. logged a page is equal availability system redo missing problem state by in

RecLSN

remembered internal is fixed updated, Given this,

manager. [151. The The bit

automatically the Once and to l, page the page header. update LSN for

corruption complete

of a page

is detected

operation modified), read case such version that for

is reset this

is latched,

or write, automatic a broken that of the those

is tested down by the

to see if its From restart but the entire page storage. left in

in which it from logged sure

recovery situation

is initiated. letting

viewpoint, to recover all those

is unacceptable updates

to bring

transaction recovery were A related fixed

page
were page

in the that

corrupted were

in the the

uncorrupted abnormally

on nonvolatile

is to make

pages

ACM Transactions

on Database Systems, Vol. 17, No. 1, March 1992.

134
terminating leaving and latch, clean-ups. For CLRS This supports

C. Mohan et al.
process, unfix process calls around aids are system issued by the transaction operations in performing the system. like fix, necessary By unfix

enough the

footprints
user

before

performing processes

the

variety

of reasons good idea locking.

mentioned

in this system

section

and

elsewhere, only page in

writing locking.

is a very only

even if the
with the

is supporting approach,

is to be contrasted page

no-CLRs

suggested

[521, which

9. NESTED
There not. which may We

TOP

ACTIONS
when the we of atomicit would whether y property of file extension. data area of the like the

are times
do need in the

some
for

updates

of

a transaction
commits themselves. extends other then undo of the

to be
or is This

committed, illustrated

irrespective context to use the the

transaction these After in the prior were by the

ultimately updates database, commit back, an Such

a transaction

a file

causes updates
be allowed If the

to some system
extended effects extending transaction performed

transactions extending not very might transactions. data completion, traditionally in the it it would

to the
to roll other

transaction. be acceptable well On lead the

to undo
hand,

extension.

to a loss

of updates if the

committed

other

extension-related by kinds of

updates

to the
before have called

system their been until

database

were themselves interrupted to undo them, These is necessary

by starting independent such commits an initiating transaction is, and

a failure
actions transaction The conflicts which

performed transaction pendent mechanism transaction In the dent poses, should which A nested (1) (2) ARIES, above

transactions,

top actions
waits that

[511. A
inde-

independent before

proceeding.

independent between would be the

transaction initiating

of course, the

vulnerable

to lock
transaction,

independent the concept very

unacceptable.

using requirement

of a nested efficiently, the actions. sequence top enclosing following current

top action,
having nested complete transaction. A is

without

we are able to initiate

action, some for of

to support
indepenour purwhich action storage, define a

transactions is taken not is be

to perform to mean
undone on outcome execution consists the redo action; of position and and the undo any once the

top and

subsequence the of the nested

of actions action

a transaction
later

dependent of the action

is logged
of actions

to

stable which

irrespective transaction top

performing of the

a sequence
steps:

ascertaining logging nested the top

of the

transactions associated with

last the

log

record; of the

information

actions

(3)

on step We

completion (l). that

nested to the log

top

action,

writing position

UndoNxtLSN

points

record

whose

dummy CLR whose was remembered in

assume

the

effects

of data

any

actions

like resident

creating outside When in we the

a file the

and

their are we itself.

associated externalized, are referring

updates before

to system the the

normally CLR data that

database redo,

dummy system

is written.

discuss database

to only

is resident

ACM Transactions

on Database Systems, Vol

17, No 1, March 1992,

ARIES: A Transaction Recovery Method

135

*
Fig. 14. Nested top action example.

Using roll will not

this back ensure undone.

nested after that If the actions the

top

action

approach, of the performed were nested are

if nested to top

the top occur

enclosing action, of the before will

transaction then nested the be the dummy top dummy undone (as

were

to

completion the updates incomplete log failure

CLR are is the to the CLR

as part action as

action since opposed for

a system

written, nested redo-only) nested a dummy sense this quent Nor costly Figure 3, 4 and transactions rolled It then writing context in [59, can record advantage top

then top

records This for

written the desired CLRS, the redo

undo-redo atomicity

10g records. action. CLR of our to run be is Unlike

provides the normal during commit the pay is that

property to redo

there pass. for the

is nothing The nested dummy top need

when in The for subsethe a

encountered of as the to approach forced we lock an

CLR action. not its wait

be thought

record enclosing

transaction proceeding this of starting

stable

storage the problems.

before price Contrast top action CLR.

with a new approach

actions. do we

6 Also, into

do not conflict

transaction. with

independent-transaction 14 gives 5. Log example 6 acts is

approach. of a nested as the dummy by top nested top action of the and a single the using consisting Even and is not action though hence undone. implementation of only log top action a single record and concept can relies update, avoid in the be found it of the the actions

record activity

enclosing to be

interrupted the that nested Applications storage method nested

a failure action top

needs

back, should we can the 62].

6 ensures be

that

emphasized If the update CLR. that

on repeating

history. log dummy

consists

redo-only
nested index

of a hash-based

management

10.
This

RECOVERY
section

PARADIGMS
some can be of the found the problems and in need methods handling [97]. for Our certain some caused associated transaction aim is to us difficulties features of the of with providing rollbacks. show which recovery the how we fineSome certain had to

describes (e.g., discussion

granularity additional features ing our

record)

locking recovery

of the goals

existing and

in accomplish-

to motivate In particular, were

include of

in ARIES. R,

we show developed in

why the

paradigms shadow page

System

which

context

6 The dummy CLR may have to be forced if some urdogged updates may be performed other transactions which depended on the nested top action having completed.

later by

ACM Transactions on Database Systems, Vol. 17, No. 1, March 1992.

136
technique, high

C. Mohan et al. are inappropriate

of have with concurrency. been adopted that restart redo when In the in the and/or are WAL past, context errors of interest is to be used one or of WAL, [3, 15, are: 16, and leading 52, 71, there of those to the 72, 78,

is a need
System design 82,

for R of 881.

levels

more

paradigms algorithms The System

limitations

R paradigms redo during

selective undo no work logging

recovery. work during restart recovery. transaction rollback (i.e., no

preceding of updates

performed

during

CLRS). no logging no tracking of index of page on pages). and state space management itself information to relate it changes. to logged updates (i.e.,

on page

no LSNS

10.1
The has The

Selective
goal been aim of this in

Redo
subsection in why systems updates 6). is to many ARIES restart in System later, 2 introduce systems repeats after passes the and locking history. failures, of the log: the they a undo generally redo pass of the (i.e., pass and perform and then an the concept to show with of selective the problems WAL-based redo that recovery. that it

implemented supporting is to motivate transaction recovery (see Figure As we other the call will

introduces When database undo redo pass pass. on the

fine-granularity

R first the the

performs System opposite. and While

show

R paradigm

undo
The

preceding
System transacof many and in a before. record records than is page set the to is LSN has

redo
DB2,

is incorrect
only We

with
hand, actions this

WAL

and

fine-granularity
prepared the

locking.
During

WAL-based pass,

does just

redo

R redoes tions System pitfalls, Some perform such WAL During describing update log the log records [311.

of committed

in-doubt) redo it

selectiue
below,

redo.

selective

paradigm

R intuitively as we discuss WAL-based selective systems, technique the redo an needs records than undo is always the on the needs that written, updates if redo record in update to LSN,

seems systems, [151.

to be the such This each page the as

efficient DB2, will be

approach support lead an

to take, only page

locking

approach were page LSN page to is 15). record undo been the and page not when also to

to data LSN to the whether page the LSN as

inconsistencies Let us consider described of a log the is log less LSN if the no undo page. a CLR of the being the rolled back of the

locking the to

implemented.

which

contains is compared determine If

pass,

LSN

be reapplied then LSN L SN page. to the of the be would when even Writing when the simpler (see Figure

to

the

page. During

the and the

update log actually have the

redone

pages pass, then page, are on the

undo

is less performed or ing ation The make the not the

to be undone, is performed on the performed does it not

action Whether describundo

Otherwise,

performed transactions force when

as part actions contain is not

operback. just to on

CLR

is written, recovery way. out

update,

media page turns

to handle

rolled actually a failure

updates system

in a special

CLR

an undo

performed

to be necessary

handling

ACM Transactions

on Database Systems, Vol. 17, No. 1, March 1992,

ARIES: A Transaction Recovery Method

137

T1 Is a Nonloser
REDO Redoes

T2 is a

Loser

Update

30 20

UNDO Undoes Update

Fig. 15.

Selective

redo with WALproblem-free

scenario.

during PI PI Pis were the the which which

restart did had being

recovery. not have

This

will

happen, but in

if there there U1

was an for

an update earlier Ul) being After failure it would even

U2 update

for

page for and if PI

to be undone, resulting LSN

was (CLll

U1

to be undone, changed to the if

written that,

LSN

to the nonvolatile restart,

of l.Jl

(> before the

LSN

of U2).

to be written completion other It hand, should is used, we by would the

storage then, during written, that with selective state in (say, and been

a system next would restart,

interrupts would appear it. be On any only under modiwas with pushed the to be

of this

as if P1 contains problem. page Given discussion, (in-progress fied first

update U2 be had

U2

an attempt this DB2

be made arises

to undo not when

then problem [15]. redo the

there

emphasized as is the of track lose case the

locking these

properties

WAL-based with where LSN

method respect the 20 (say, page by T2)

of the

of a page situation with update

to a losing

or in-rollback) losing

transaction transaction by a nonloser to the and locking. be value we would 16

subsequently LSN the time undone redo the the undo present value to page_LSN history, page. Undoing harmless oriented DBMS reuse data effect and an only locking the and update update pass in 30 LSN by

modified Tl) which page undo

transactions redone. The

update latter by if this latter the its

update have

had

would loser. update

of the to not. or

beyond the loser, 15

established not the to former undo update log records an to know illustrate In

So, when needs with not but

comes

Figures

problem scenario, transaction, transaction, even relies be LSN). of the

selective redoing redoing the not if it is

fine-granularity with with to the is LSN LSN perform page. greater 20 the This whether than 30 since

since undo or or

it

belongs of the the not

a loser update logic

it belongs

to a nonloser

causes

though on the undone By not

is because equal

page_LSN (undo repeating state of the will be

determine

should

page-LSN action under and space, present

is no longer even certain logging, [81], unique page. and will in the when as

a true its they for by effect

indicator is for are all not

current in with in

present

a page IMS [76],

conditions; and keys other

example, [6],

physical/byteVAX is no automatic

implemented systems records. an With original

VAX

Rdb/VMS

there

of freed is not

operation operation

logging, whose

inconsistencies

be caused

undoing

ACM Transactions

on Database Systems, Vol. 17, No. 1, March 1992.

138

C. Mohan et al.

T1 0
~,
LSN

Vr! fe !Mated
IJq ,, i . .

F,2
20
T1 is a Nonloser

10

30

Commit

T2 is a Loser 30
20 Even on Page

REDO Redoes Update

UNDO Will
Though Try Update

to Undo Is NOT

ERROR?! Fig. 16. Selective redo with WALproblem scenario

Reversing the pass need become of that update would redoing The to have be during problem were

the

order

of the This the

selective

redo approach then we

and is

the

undo

passes in make and pass, log

will [3]. the the If

not the page

solve undo

either. to precede

incorrect
redo pass, 15,

suggested lose would track

might of 20

of which

actions LSN

to be redone. greater CLRS is redone not that use the redo than LSN

In

Figure

the of the Since,

undo

30, because to the if the page.

writing during is less

of a CLR the than is not redo the

assignment records LSN, page. we Not of

a log

only 30

page-LSN that the

records on the

even

though violate page

update durability by

present and

update of the concept and what

would

atomicity R makes it

properties unnecessary needs technique, called the restart are are and checkpoint in functions

transactions. shadow technique in be that System

of page.LSN needs an version (see is not. all version, there are and is one are to action

system With version storage. page,

to determine the shadow of the Updates thus restart, even which after the recovery is that the

what page

to the

undone

redone.

a checkpoint,

consistent updated 1).

database, between

shadow
points

uersion, create
of the

is saved

on nonvolatile of the Figure no All and

two checkcurrent
recovin the are the is performed

a new

constituting recovery during updates last checkpoint method index

version
from ery. not the As in

database

During about logged

shadow
a result, and which database, This with

shadowing ambiguity updates the logged, logged

is done

database the database.7 correct] management

updates redo.

before R reason redone

reason not

System The but other are

y even

selective

space 8

changes

or undone

logically.

7 This simple view, as it is depicted in Figure 17, is not completely accuratesee Section 10.2. s In fact, if index changes had been logged, then selective redo would not have worked. The problem would have come from structure modifications (like page split) which were performed which were taken advantage of later by transacafter the last checkpoint by loser transactions tions which ultimately committed. Even if logical undo were performed (if necessary), if redo was page oriented, selective redo would have caused problems. To make it work, the structure modifications could have been performed using separate transactions. Of course, this would have been very expensive. For an alternate, efficient solution, see [62]. ACM Transactions on Database Systems, Vol.
17, No. 1,

March 1992.

ARIES: A Transaction Recovery Method

As

.
redo,

139
but

repeats
commit

was described history. Apart

history some has actions

before, from another

ARIES allowing beneficial

does us to

not

perform

selective

support effect.

fine-granularity It gives us the the

locking, ability to

repeating

side irrespective

of a transaction or not, as was

of whether Section 9.

transaction

ultimately

commits

described

in

10.2
The backs writing for them. not

Rollback
goal

State
subsection their has been there and is to discuss how in the writing of the many been, to them role in that difficulties CLRS problems. systems the and the they introduced that While and literature, advantages play In fact, these and the its will and back. the whether would has describe the been by roll-

of this

in tracking during CLRS time, utility

progress solves

and

updates concept around of

performed a long Their

rollbacks has the

some really

implemented not relating fundamental research

a significant of writing have undone present in this of numrollentire partial level, is Since of the written of only time track some performed restart. last the are those partial the need with occurred System checkpoint R. a wanted of at the a in recovery

discussion been

of CLRS, well could

problems

recognized be open undone

by the and

community. problems section all in back

actions were paper, writing A ber back rollback very effects left

what in [56].

additional In this

as

questions

elsewhere

in the CLRS. transaction

appropriate We For update Figure 31], at may

contexts, these or totally

we try partially key

to note roll

known 13. actions cause not

advantages for only of the any the

summarize example, statement 3 least illustrates

advantages

Section

of reasons. of the [1, important

a unique causing a if

violation violation roll also at

the partial not

transaction.

Supporting application

internally, for back

requirement may be rolling performed we It need updates storage,

present-day when a failure the

transaction occurs and rollback track do this in record might of the in

systems. since have state System R is R some been

a transaction of the

during a way

to nonvolatile transaction time of the which time after That we next may the is,

to keep easy to

of progress R. at The the

rollback. care is record already last restart before at the about taken.

is relatively transaction the

the So,

state each The

System in active state database database

a checkpoint

checkpoint for

System

keeps

to be failure

undone

of the rollback the in state is special

transactions, of a transaction changes during

be rolling are starts system of R needs

back. not from

of a system

is unimportant

since

checkpoint recovery the time

uisible
the failure. this

the

of the the Despite

database shadow this,

as of the version since to handle of CLRS

checkpoint database never written,

failure

system

System or in-doubt the last over

to do some which The during the about of a restart same

processing and The

committed rollbacks for multiple to avoid backward Figure All log

transactions checkpoint. the log actions the an only

initiated handling pass. redo

completed is to avoid designers a little later having for

after redoing scan,

special

passes when

some

to have

to undo a partial recovery

them

information example by the

rollback scenario say T1.

is encountered. 18 depicts records are written transaction, In the

ACM Transactions on Database Systems, Vol

17, No. 1, March 1992.

140

C. Mohan et al

Last

g~ Uncommitted Changes Need Undo Committed Changes Redo Or In-Doubt Need

Fig. 17.

Simple view of recovery processing in System R

~..----_- . .
12 3 4 5,,.-6 7 8 ::jg

Log

Checkpoint

Fig. 18.

Partial

rollback

handling

in System R,

record, checkpoint partial write

the

information was taken System log be

for log

T1 record

points

to log
does that the not

record

2 since been CLRS, rollback in the written by follow that log this 4 and

by

the

time

the of a

3 had

already write

undone but it took chaining by

because also does of the a transaction transaction record protocol. notice preceding

rollback. a separate must of

R not to

only say from

not Such log

record inferred

a partial breakage

place.

information records points the after we

a transaction. record pointer. as part pointer that But

Ordinarily, was the most first

a log recently forward

record written

to the PrevLSN the

via written When that its log of 3 from

processing not log record

completion

of a partial of the is pointing that of the 2. to

rollback 1, instead

does pass,

examine,

analysis

Prev-LSN record ended which last

of the that restart, state T1

immediately started the of the with database

3, we conclude with the undo needs log or not analysis hence 6, the 7, recovery checkpoint, the 5 and records during the record

partial Since,

rollback during is the needs

the

undo state

to be performed 2 definitely depend pass and pass 8. pass, in it To the log the pass is

database Whether transaction 9 points caused records a forward to log pass, 5 will and in record log had

as of the 1 needs or not. to the are 9. record 2 log not undo

record will

to be undone. is a losing log rolled by it point the undo 4 and undo redo pass rollback putting that the record back

to be undone During record of log redone during If log will Here, pass.

on whether determined that ensure log record redo has

it is concluded redo

a partial that is patched 5 to make

pointer

analysis and

9 is a commit during undo

record

then, pass

during log

be undone the To same

records in the the

be redone. in the redo R,g System

transaction the

is involved

both

see why

to precede

pass

g In the other systems, because of the fact that CLRS are written and that, sometimes, page LSNS are compared with log records LSNS to determine whether redo needs to be performed or not, the redo pass precedes the undo pass see the Section 10. 1. Selectlve Redo and Figure 6. ACM Transactions on Database Systems, Vol 17, No. 1, March 1992

ARIES: A Transaction Recovery Method

consider allowed transaction, the partial ID with the to following reuse in the that scenario: records case, had Since ID for a transaction a record might dealt the with portion with must that inserted have in been the of the deleted later deleted undo pass, by

.
a record the

141
is

same of that is

above which have redo

a record to be in

because and

rollback, might in the

records dealt

been pass. the

reused To

transaction to the

that original before

repeat

history the undo

respect

sequence redo

of actions

be fore

failure,

be performed

the

is performed. a commit to not undo as across happened be In written record a loser the redo in actions nor and pass, System were pages normal logging 8). as a the also the created has adds for value 2, T1 rolls redo and is not a prepare during none R and known, record, the of the hence the undo records the with may then pass will exact other be the log way for quite transaction records in which a given different 2 be redone.

If 9 is neither will and be Since one page from forward determined 1 will

be undone. are

CLRS

transactions processing as well what

operations different during Not footnote such

interspersed during processing index changes could that restart

transactions

or undo

processing,

(i.e.,

repeating
cause occur

history
further some

is

impossible contributes management processing Section from

to guarantee).
to this (see problems being 5.4). Not done A piece T1 the adds the required writing physically

in System

R also

These split resiart

potentially did not or undo logging performed operation). the and last T2

space normal

during

during CLRS (i.e.,

redo

processing of redo Let

(see information

also

prevents operation by the O after back, the after in Of

being

on an

object

has Then, and

to an

be loggednot example: transaction had will value the by logged

after-image of data

us consider

checkpoint. If T1 then will T1 not

1, T2

commits. for the undo, data for R did the

T2

after-image integrity of not mode 2.

operation recovery

these the

be a data 3 fancy different

problem ln this its would to will does or the the let not not

because case, update. same redo

have is

instead by lock

System course,

F?, undo System

being

accomplished

redoing which

support updates of redo that (see permit supports

be needed object. recovery

to support Allowing be mean

2 concurrent logging very is ARIES actions

transactions physically logic. on This whether

information using will high these. WAL-based during the being which rollbacks. locking. were once more started and, than data Section

performed byte-oriented management

efficiently used will

dumb
depend 10.3).

necessarily flexible of undo (see this [59, problem

logging;

storage 621 for by

Allowing

logging

information

logically

concurrency

to be supported systems using handle CLRS.

examples). logging

performed the state of are in

rollbacks is always back. state That The

So, as far forward, this only with with

as recovery even the by the page if

is concerned, some original suggested is pushed (or coarser are also system. which undone undone, is that,

marching Gontrast data, works then the even

actions in back [521,

rolled the

approach, LSN, level CLRS actions are the 4, in of

of the method back, still, This back

as denoted

during

granularity) more than had during

immediate

consequence some compensating

of writing of its in the original actions Figure failure

if a transaction possibly

to be rolled worse once.

is illustrated before

a transaction Then,

rolling

ACM Transactions

on Database Systems, Vol. 17, No. 1, March 1992.

142

C. Mohan

et al.

recovery, CLRS the lock 22, the are idea Section next

the

previously again. CLRS. and and in

written ARIES Not 6.4).

CLRS avoids undoing Additional were like that

are such

undone has

and

already while

undone still to (see

nondeaditem in 8. do not

undone of writing 12, and section

a situation, benefits

retaining

CLRS

relating also are the in

management

early [691. We

release Some methods feel

of locks

on undone benefits discussed one

objects in

Section

of CLRS

discussed Section [921

already the this

Unfortunately, support methods. partial

recovery rollbacks.

suggested

is an important

drawback

of such

10.3
The length A record

Space
goal

Management
subsection finer than is to page point level efficiently. in that on We a doing the data do not record space page deal reader concurrency, from The approach a goal, logging did for The slot # way locking by is not with consumed solutions to to [50]. do not flexible by This this For to storage during another problem space index preout the problems involved and in space

of this when are

management records problem deletion

granularity

of locking

varying

to be supported with sure

to be dealt
is to make or the briefly problem until update in here,

management transaction is discussed reservation updates, vent before such the the in

released

a transaction

space-releasing [761. The

transaction

is committed. with is referred we being undo

interested

the commit

interest released of the using storage byte-oriented)

of increasing by one transaction transaction. undo first

want by with [62]. in

space

consumed is dealt

another under

circumstances flexible (i.e., systems first byte the have like then how garbage or log flexibility variable run quite availability 19 shows e.g., storing to to be the (by, the the to

a logical management locking 811). as the that within

is described it not the on the was want record. page. records identifies record. not of data within

Since physical some of the locking something page

was and That lock were a

desirable the did

to

do as

a page,

do (see specific be (page

[6, 76, bytes logical #, slot to

is, we name changed page. the

to use We The lock

address not want and looks on the record

of a record

to identify

logging name

# ) where the actual data moved

a location The The the page. like log

which

points contents records of being

location record unused around records with not an

of the got

describes is that to lock us the and have reduce Figure state and

of the that that able are records

changed. within

consequence does not This have gives

collection

collects to move to in redo

space around In storage

on a page within

a page IMS,

to store utilities These

modify

length

efficiently. deal

systems

frequently y of data

fragmentation. track of the version in same has tracking the actual of the log

to users. which from same the keeping earlier is and page page) to all an of state in the nonvolatile storage point used. the which exact

a scenario the perform 19 involve This LSN

attempting when in Figure requiring space left

leads that

problems updates insert free

flexible 200 in it. bytes

storage the shows

management page for on a page need

Assuming only of

transaction, 100 bytes page

is attempted

ACM TransactIons on Database Systems, Vol. 17, No. 1, March 1992

ARIES: A Transaction Recovery Method

143

Page Full As of Here

Redo Attempted From Here. It Fails Due to Lack of Space

Page State On Disk

.Og
Oelete RI Free 200 Bytes Insert R2 Consume 200 Bytes Oelete R2 Free 200 Bytes Insert Commit R3 Consume 100 Bytes /

Fig. 19.

Wrong redo point-causing

problem

with space for insert.

using applied few map relating possibly location the

an

LSN

to
each

avoid

attempting

to

redo

operations

which

are

already

to the page.
file free in data records one in it containing space DB2. or with for inventory Each index the FSIPS inserting records pages FSIP pages. obtained same are key the of one (FSIPS). describes During from consulted new such make page To or more They the a record a clustering related The at not an special to provide to identify record. as that sure that requires avoid also relations are space insert index keys) a data FSIP least every update called has space a called

Typically, pages pages to

(SMPS) many on

information operation, about as that page keeps 25% with only of the to the of the of

based of other record, free

information or more

(or closely

new

enough

space

approximate page leasing space the is full, or

information at least 5090 -consuming in updates T1 thereby full. an Later, update to would current the undos might

(e.g., is full, operation the

information etc.) to to a data

space-re-

information of the

corresponding during redo and must space update the Now, this FSIPS the an FSIP. full FSIP the to and

FSIP. undo, also on the to if the T1

handling recovery

recovery

FSIPS

and

independence, Transaction to full not space FSIP. then wrong, need need That whether does the ing, ing for 27% full,

to the cause

be logged. page FSIP were not record to say This to change to to cause as O% full, scenario changes inventory has change full, back, an update roll from it 23% from then to would and for full O% does the the be the

requiring T2 to might the

to 25% require would If T1s T1

cause

space

to go to 35%

which

change had

3 l% its

should log entry

written

change FSIP FSIP

a redoiundo which

record,

rollback the logging

cause state with a data

given

of the the respect page the can an free the update

data

page. as free the

points

to the updates.

changes

redo-only
space system

to do logical
is, while that to

to the
update, space FSIP

undoing operation the not FSIP.

to determine
and which processcan also processif it a describes in We

causes
then perform in which inverse We

information and write FSIP during the an

to change
a CLR which forward forward example rollback. during rollback.

cause change but

a change, does

update

easily to the update update

construct to the FSIP during

transaction construct is not

during

needs the

to perform exact

an update the of the

an example

performed

ACM Transactions on Database Systems, Vol. 17, No. 1, March 1992.

144

C. Mohan

et al

10.4
Noticing support objects explain DB2 This

Multiple
the record

LSNS
problems locking, precisely supports in the caused it by may idea. of locking where the that user of the is less has [10, each than the 12]. actions a page. option into The of way by be having tempting one LSN per page when trying

to

state
why already happens DB2 and

assigning a granularity

to suggest that we track each a separate LSN to each object. Next we

it is not a good
case

of

indexes granularity pages,

requiring minipages DB2 does transactions state an LSN the LSN the for able

to physically do locking properly the redo

divide at the pass, an

up each

leaf page
despite not DB2 each

index

2 to 16

of a minipage redoing tracks

recovery during by leaf log equal LSN This the storing and

on such

of loser

is as follows. LSN with Whenever in the minipage that incurring (and not when LSNS for carry

minipages having the page it is on The undo, log undone overhead availcase to be at even media during turns divides is needed in (atoms out up a to [61] in to the have page,

separately LSN for the

associating page LSN

minipage, a minipage LSN

besides field.

as a whole. is stored

is updated, During

corresponding is set minipage minipage. storing for

records to the and if that

minipage LSNS.

maximum
not the log page records

of the LSN

is compared needs too therefore over length objects (LSN) recovery, of repeating of loser DB2 like for much

to the
space

records

to determine

update

to be actually

technique, tends Further, to

besides fragment it does

LSNS, keys. key

waste) objects each

space

conveniently

of record supported best. when recovery, restart We

locking, to have is

especially a single being The simple the

varying deleted

efficiently. desired very recovery locking efficient. before

Maintaining

is cumbersome especially history

state
done,

minipage

variable to make

technique rollback Since no Methods support

performing seen of

transactions

to be sufficient, page handle for the into the space

as we have number reservation locking of that

in ARIES.

physically
technique the length one

a fixed

minipages, problem.

special

proposed objects

fine-granularity terminology

do not

varying

paper).

11.
In

OTHER
the

WAL-BASED
we which page

METHODS
summarize also use (like space sections introduce in been of lack it here. 17, No. 1, March 1992 dimensions. has the the that overhead of data, of this the this We paper properties WAL protocol. of System e.g., for and the extra and Next, been with of some Recovery R) are very 1/0s [31] we for and not costly involving additional recovery the the that the other significant based here of page data, map

following, methods shadow of their the (see First, we will along method But, unable the nonvolatile

recovery on the because extra blocks sions). which methods recovery by we are disturbing

methods considered copies

technique storage

well-known clustering

disadvantages,

checkpoints,

shadow

physical previous we briefly various of [25]

discusmethods different DB-cache

different section. have

systems

be examining

compare

informed significant about

implemented of information

modifications implementation,

Siemens.

because

to include

ACM Transactions

on Database Systems, Vol

ARIES: A Transaction Recovery Method

IBMs database relatively has many IMS/VS system, flexible, restrictions can methods on the objects length the lock and locking (MSDBS) records, hold is vary. access used database FP and but times supported parallelism hot-standby across data FP [41, and 42, IMS (e.g., both by 43, of Fast 48, two 53, parts: Path [28, for Fast parts the two 76, 80, 42, 941, Full 93], which Function which is is more

145

a hierarchical (FF), which is but IMS and In FF, of the storage only efficient A single recovery

consists

IMS

no support FF the types supports entry provides minimum DEDBs. for and two and

secondary Path (FP)

indexes). data. the The

transaction buffering depending locked databases fixed make page

have operations, of

many

differences. granularities main support MSDBS (i.e.,

kinds the

databases:

databases

(DEDBs). mechanisms possible But, for DEDBs database via global each

field
many

calls)

to

be the

MSDB have support.

records. IMS, also own

Only highwith supbuffer

availability XRF, ports pOOk DB2 Limited recovery different minipage provides data [80,

features support two

and [431.

large IMS, systems,

locking, with its

sharing 941.

different

is IBMs distributed algorithm locking and

relational data has for

database access been

system in

for are [1,

the 13,

MVS 14, and levels

operating in 15, page DB2. 19]. for (cursor like DB2 It

system. The data, DB2 and supports

functions (tablespace, and allows during

available

presented

granularities page indexes) only single

table logging

consistency utility can

stability,
and data

repeatable
for tables reorganizing with has dem within protocol (file, able key read,

read)
and

[10, 11, 12]. DB2

indexes A

to be turned
operations both

off temporarily loading and some NonStop, Encompass multisite IMS

data. The

transaction recovery for data the SQL and

access

atomicity. been provides SQL a single of [63,

Encompass in

algorithm SQL products. They different levels can its

[4, 37] with [95]. With Both allow Abort

changes Tanand updates commit

incorporated hot-standby support 64]. and unlocked even [881 (a la as IMS) will less in

Tandems support

NonStop

NonStop

distributed using NonStop record) for and be

access.

transaction

Presumed

two-phase locking

supports

granularities repeat-

prefix and

consistency read). Logging operations

(cursor be turned

stability,

or dirty nonutility two outlined than operation

off temporarily

or permanently Schwarz logging differences, which been

on files. methods two methods logging based have method on value several (VLM), has The

presents

different logging. below. the Camelot [23,

recovery The operation 901. value

is much implemented

complex CMUS

logging

method

(OLM),

Buffer
have and written ing dirty failure. also OLM

management.
the write and back in DB2 an OLM that has steal a

Encompass, and no-force record record storage. These have been

NonStop policies.

SQL, During a page

OLM, normal is read page during at the

VLM

and

DB2 VLM

adopted

processing, from is the time and

fetch

whenever every These in buffer the records

nonvolatile successfully processset of of system a log super writes

storage

end-write
alone. might

time are help in

dirty

to nonvolatile

written pool [10,

restart

identifying 961,

pages

buffer manager

a sophisticated

ACM Transactions on Database Systems, Vol. 17, No. 1, March 1992.

146

C. Mohan

et al.

record whenever after storage.

whenever such the DB2s MSDBS, not see its at commit to the log dirty all

a tablespace a space pages is of the pass does

or an closed.

indexspace The have log close been

is opened,
operation written

and is back

another performed to the

record only

space these failure.

nonvolatile dirty objects

analysis IMS own FP

uses deferred updates.

records This

to bring means

information For does writes, call are is locks system to stable the all to 1/0s, updates policy pages the lelism that logging the pages release being is used next for were nonvolatile

up to date

as of the

updating. For records the are how is given group DEDBs, for log applied even FP The commit the modified processes does not

that policy

a transaction is used. in log FP

MSDB all

a no-steal a given records and before

time,

the

log

transaction in the the the are it force has the

a single (not locks record of time to After forced of the

manager. the MSDB the The The stable on

After MSDB locks MSDB log

placing updates are This is

buffers record log

on stable placed are

storage), on held storage is

MSDB commit

released.

released

storage.

minimizes DEDB locks to let logic by the

amount the log [28]). are

records. (i.e.,

transferred records

processes.

manager (i.e., that locks.

time

ultimately completed DEDBs using DEDB storage the forced

is usedsee been transaction on in locking for and

after
were This system

transaction which, result page

committed),

of the

completion any

uncommitted with a no-steal the to gain DEDB with paralBefore the pages is on this locking placed in

to nonvolatile The processing IMS by that FF IMS may Of during result all commit Normal in the restart and similar use

storage of separate

since

for

DEDBs. storage

processes the user and finer

writing also

to nonvolatile transactions the 1/0s.

is intended as soon follows FF forces in the transaction.

to let the

process force storage than data

go ahead policies. all being page

as possible steal Since

committing supported nonvolatile section force by

a transaction, modified FF, the this log

to nonvolatile uncommitted algorithms

some

storage.

course,

recovery

considered

processing. checkpoints recovery similar consistent) to those checkpoints DB2s major the object on dirty one The writes for Since will partial since the any no each alternately deferred be present committed updates

Normal
when all the activity

checkpointing.
system in (not is not the necessarily record do going _pages with described are we dirty system

are the
mode. to

ones

that VLM an The IMS,

are

taken quiesce

OLM System checkpoint.

and R, DB2, when

take,

operation contents NonStop and are

consistent of the SQL, logging similar of IMS volatile MSDBS, version. tion commit have not are writing writes and

transaction are take on for table, a RecLSN contents (fuzzy) ARIES. it

checkpoint activities to what the their

of ARIES. even

Encompass

update actions

concurrently.

checkpoint difference objects [961. updating in are their changes updated included For of two

is that, (table MSDBS files

instead spaces, alone, on nonfor

indexspaces,

etc. ) list during uncommitted it

complete

storage no Also, record yet

a checkpoint. changes that needed For to is

is performed checkpointed

is ensured Care

of a transacafter pages in the the which check-

present. been

applied

is written. written

DEDBs, nonvolatile

committed
storage are

ACM Transactions

on Database Systems, Vol. 17, No. 1, March 1992

ARIES: A Transaction Recovery Method

point records. any These log together written SQL avoid the need the force enforce to the dirty for examining, for FP during data to

147
restart

recovery, Encompass storage page tion this

records NonStop

before might They following

checkpoint some the dirty policy storage

recovery. nonvolatile that compleof the a

and during

pages that of the

a checkpoint. must checkpoint writing

requires the page. waiting

once of the policy,

dirtied second the of the

be written

nonvolatile dirtying may pages. SQL, Version concept only is excluded deferred for

before

Because for

completion

of a checkpoint of the old

be

delayed

completion

Partial
port partial program access undo FP data partial

rollbacks.
transaction In This The its log rollbacks. level. data. in DB2

Encompass, rollback. fact, support reason records partial atomicity the

NonStop From

OLM

and

VLM

do not

sup-

2 Release is exposed

1, IMS at the

supports

savepoint is available

application that do not write for to

to those

applications FP

FP and

data

is because updating use

does

not

because rollbacks [1].

is performed by the system

MSDBS. provide

supports

internal

statement-level

Compensation
and IMS for IMS FP FF does FP to get the Since modified time. during some with log some when none of transaction write not to

log records.
CLRS write such data the during CLRS until

Encompass, normal since the it would decision

NonStop rollbacks. not to have

SQL, During written rollback commit updating are locking from IMS

DB2, a normal any is and

VLM, log

OLM records This it never for is

rollback,

changes

made. hence

because needs MSDBS, time. the

is always into the

coordinator state. in pending is followed are

in two-phase Since deferred lists page purged DB2

prepared kept policy of DEDBs

is performed at for rollback

updates a no-steal pages

(to-do) and simply SQL, During the

discarded is done the (FF

DEDBs, pool at

buffer and IMS about FP) FP

rollback CLRS find This mit,

Encompass, restart records must of its the the rollbacks written have log

NonStop also. by been (at in

and

write might

restart most) having one

recovery, in-progress written because have

transaction. to comto nonvolatile of the been no-steal to FP log the nonto Too it IMS the FP on

commit

processingi.e., been

records went

already down. FP there

storage policy, nonvolatile writes records undo volatile the rollbacks, often, has VLM amount repeated rollbacks. media many

system and

Even updates

though, would be nothing recovery

corresponding hence

written

storage for such only

would

to be undone, [931. Since for data supporting at restart problems. As written a result, even only with performed in for

CLRS contain

records redo needed, with still

to simplify the during a no-steal problems

media just

information,

to write

these

CLRS,

which

information storage that there people does reader

is even are assume

corresponding restart policy recovery. and to be dealt eliminates restart In fact,

unmodified This without with should

is accessed

illustrate partial FP.

some that CLRS occur this writes

no-steal during for has

many rollbacks.

Actually, a bounded the for face normal

shortcomings. not write will during course, OLM

of logging failures Of recovery.

a rolled some

back negative

transaction, are implications

of to

restart.

CLRS

respect during

CLRS

for

undos

and

redos

ACM Transactions on Database Systems, Vol. 17, No. 1, March 1992.

148

C. Mohan

et al

restart done modify rupt During causing CLRS worst grows ignores The might written records IMS will net to

(called deal and restart restart the for case,

undomodify
with failures redomodify processing. recovery, writing

and during

redomodify
restart. for a given are and and

records, OLM might update generated DB2 the undo writing

respectively). write record for changes if CLRS multiple failures

This undointer-

is

records No

CLRS

themselves. of CLRS, thus

Encompass for CLRS during records 5 shows pass of

of CLRS record written of log Figure the that, undo

of multiple, processing. restart

identical In the

a given the

forward written how

or restart during repeated avoids not CLR case, Because during media like

number

failures IMS them. IMS record of log policy,

exponentially. CLRS result wind during written need up during is writing forward by

ARIES does

this write for the the a

problem. CLRS for others, given force

and times In grows

hence the the only only As redo

because multiple processing. and the IMS OLM CLRS FP

multiple

failures, same worst

number recovery. (i.e., IMS

IMS

linearly.

of its

to redo

updates writes policy. (i.e., and

Log record
of records) (or logs undo providing its log objects. page. to reduce also OLM and CLRS log logs DB2 state) both

contents.
of its and

information before,

after-image does value FF not For in updated recovery and DB2 VLM and fields. their

because logging the undo

no-steal physical

mentioned

byte-range) the to redo have IMS to of the a backups of DEDBs

locking

(see Since

[761). IMS

Ihls does

information CLRS hot-standby the backup logs the is used of redo and the both also

information. only track the the buffer updates. of updated of The undo redo

CLRS the records IMS This the

updates, XRF for FP

need

information. information of by names or restart

support, system address during work redo before-

includes

enough lock occupied

a modified

information amount undo log only

takeover

Encompass records. the CLRS updated

complete SQL the need

information and update redo

NonStop

after-images operation. and and the

description to contain object. OLMS OLMS modify, specifies

of the the

of Encompass since contain also contain object

information records corresponding records of the

might

be undone. information which

OLM
but the

periodically
undomodify only the redomodify

logs an operation
redomodify of the parts undomodify where L SNS and

consistent

snapno modify

shot
redo a page reside.

of each
or undo But map

records.

set of pages

modified

Encompass and NonStop SQL use one LSN on each page Page overhead. uses no LSNS, but OLM uses one to keep track of the state of the page. VLM LSN. DB2 uses one LSN and IMS FF no LSN. Not having the LSN in IMS FF and VLM to know the exact state of a page does not cause any problems because of IMS and VLMS value logging and physical locking attributes. It is acceptable to redo an already present update or undo an absent update. IMS FP uses a field in the pages of DEDBs as a version number to correctly handle redos after all the data sharing systems have failed [671. When DB2 divides an index minipage, besides
ACM Transactions

leaf page into minipages then it one LSN for the page as a whole.
17, No. 1, March 1992.

uses

one LSN

for

each

on Database Systems, Vol

ARIES: A Transaction Recovery Method

149 make redo, their a

Log passes during restart recovery. Encompass and NonStop SQL two passes (redo and then undo), and DB2 makes three passes (analysis, and redo This dirty then undo see Figure from within the two because 6). Encompass of the after and NonStop policy became SQL of writing dirty. start passes page beginning checkpoints penultimate the page successful

checkpoint. to disk They also

is sufficient

of the buffer

management

seem to repeat history before performing the undo pass. They do not seem to repeat history if a backup system takes over when a primary system fails [41. In the case of a takeover by a hot-standby, locks are first reacquired for the losers updates and then the rollbacks with the processing of new transactions. using that a separate point, which process is to gain determined of the losers are performed in parallel Each loser transaction is rolled back DB2 information starts its redo in scan from the last before, recorded

parallelism. using

successful checkpoint, as modified by the analysis DB2 does selective redo (see Section 10.1). VLM makes one backward undo, and then redo). Many

pass. As mentioned

pass and OLM makes three passes (analysis, lists are maintained during OLMS and VLMS

passes. The undomodify and redomodify log records of OLM are used only to modify these lists, unlike in the case of the CLRS written in the other systems. In VLM, the one backward pass is used to undo uncommitted changes on nonvolatile storage and also to redo missing committed changes. No log records are written during these operations. In OLM, during the undo pass, for each object to be recovered, if an operation consistent version of the object does not exist on nonvolatile storage, then it restores a snapshot of the object from the snapshot log record version of the object, (1) in the remainder updates that precede the snapshot so that, starting from a consistent of the undo pass any to-be-undone can be undone logically, and (2) records only) that is similar to the

log record

in the redo pass any committed or in-doubt updates (modify follow the snapshot record can be redone logically. This shadowing performed in [16, 781 the database-wide checkpointing the use of a single log instead of IMS first reloads MSDBS from the that latest were successful included of buffers checkpoint This cannot means

using a separate logthe difference is that is replaced by object-level checkpointing and two logs. the file that received their contents during before the failure. the The restart dirty after just DEDB into buffers the same the pass records during Then, are also reloaded it makes

in the checkpoint that, be altered.

buffers number

as before.

a failure,

one forward

over the log (see Figure 6). During that pass, it accumulates log records in memory on a per-transaction basis and redoes, if necessary, completed transactions FP updates. Multiple processes are used in parallel to redo the DEDB updates. As far as FP is concerned, only the updates starting from the last checkpoint before the failure are of interest. At the end of that one pass, in-progress transactions FF updates are undone (using the log records in memory), in parallel, using one process per transaction. If the space allocated in memory for a transactions log records is not enough, then a backward scan of the log will be performed to fetch the needed records during that transactions rollback. In the XRF context, when a hot-standby IMS
ACM Transactions on Database Systems, Vol. 17, No. 1, March 1992.

150

C. Mohan

et al.

takes over, the handling of the loser transactions Tandem does it. That is, rollbacks are performed transaction processing. Page forces the end available. Restart checkpoints. IMS, DB2, OLM and VLM during restart. Information OLM, on VLM and DB2 and

is similar in parallel

to

the with

way new

force

all

dirty

pages is

at not

of restart.

Encompass

NonStop

SQL

take

a checkpoint and NonStop

only SQL

at is

the end of restart not available. Restrictions record have

recovery.

Information

on Encompass

on data. a unique

Encompass key. This

and

NonStop key

SQL

require

that that

every if an

unique

is used to guarantee

attempt is made to undo a logged action which was never applied to the nonvolatile storage version of the data, then the latter is realized and the undo fails. In other words, idempotence of operations is achieved using the unique key. IMS in effect does byte-range locking and logging and hence does not allow records results in the fragmentation imposes that some additional an objects representation to be moved around freely within a page. This and the less efficient usage of free space. IMS with respect into to FP data. fixed length VLM (less requires than one be divided

constraints

page sized), unrelocatable quanta. The consequences of these restrictions are similar to those for IMS. [2, 26, 56] do not discuss recovery from system failures, while the theory of [33] does not include semantically logging). In other sections of this with 12. some of the other ATTRIBUTES makes approaches rich paper, that modes of locking (i.e., operation we have pointed out the problems been proposed in the literature.

have

OF ARIES about the data or its model and has several

ARIES

few assumptions

advantages over other recovery methods. While ARIES is simple, it possesses several interesting and useful properties. Each of most of these properties has been demonstrated in one or more existing or proposed systems, as summarized in the last section. However, we proposed or real, which has all of these properties. ARIES are: (1) Support for finer larities of locking.
a uniform locking fashion.

know of no single system, Some of these properties of

than page-level
ARIES Recovery on the supports

concurrency
page-level affected

control
and by what

and multiple
the granularity

granuin of

record-level

locking

is not
expected

is. Depending

contention

for the data,

the appropri-

ate level of locking can be chosen. It also allows locking (e.g., record, table, and tablespace-level) tablespace). Concurrency control schemes of [2]) can also be used. (2) Flexible buffer management long as the write-ahead logging schemes other

multiple granularities of for the same object (e. g., than locking (e.g., the As is

during restart and normal processing. protocol is followed, the buffer manager

ACM Transactions on Database Systems, Vol. 17, No. 1, March 1992

ARIES: A Transaction Recovery Method free to use any page incomplete transactions transactions commit dirtied by a transaction transaction is allowed lead to reduced

151

replacement policy. In particular, dirty pages of can be written to nonvolatile storage before those (steal policy). Also, it is not required that all pages be written to commit for back to nonvolatile storage (i.e., no-force policy). These storage and fewer 1/0s before the properties involving

demands

buffer

frequently updated (hot-spot) pages. ARIES does not preclude the possibilities of using deferred-updating and force-at-commit policies and benefiting from them. ARIES is quite flexible in these respects. (3) Minimal (excluding required (4) No on the page. logged unique around ensured operation (5) Actions space overheadonly log) space overhead The LSN on There etc, the one of this LSN per page. scheme is limited of the last logged idempotence on the length. The permanent to the storage action performed value. or undo of to is an be the CLRS of the can not be be respect

on each page to store the LSN constraints actions. keys, within since should taken written actions in the data are to guarantee

of a page is a monotonically no restrictions can be of variable collection. page on each or not. of an update during had the undo taken actually An example undos, is used

increasing of redo data Data with

Records LSN during during and former.

can be moved of operations whether

a page for garbage be redone

Idempotence to determine

need not necessarily update. during inverse Since undo might between the the inverses

exact inverses are being original recorded

of the actions what

the original to be done

any differences of when

correct is the one that relates to the free space information 10% free, 20% free) about data pages that are maintained pages. Because of finer than page-level granularity locking,

(like at least in space map while no free

space information change takes place during the initial update of a page by a transaction, a free space information change might occur during the undo (from 20% free to 10% free) of that original change because of intervening update activities of other transactions (see Section 10.3). Other benefits of this attribute in the context of hash-based storage methods and index management can be found in [59, 621. The changes made information and the It suffices if the (6) Support for operation to a page can be logged redo information logging and novel lock modes. in a logical fashion. The undo object

for the entire

need not be logged.

changed fields alone are logged. Since history is repeated, for increment or decrement kinds of operations before- and after-images of the field are not needed. Information about the type of operation and the decrement or increment amount is enough. Garbage collection actions and changes to some fields (e.g., amount of free space) of that page need not be logged. Novel lock modes based on commutativity and other properties of operations can be supported [2, 26, 881. (7) Even redo-only and undo-only (single call to the be efficient undo and redo information about records are accommodated. log component) sometimes an update
While it may to include the

in the same log record,

at other

ACM Transactions on Database Systems, Vol. 17, No. 1, March 1992.

152

C. Mohan et al. can be

record, necesin two condi-

times it may be efficient (from the original data, the undo record constructed and, after the update is performed in-place in the data
from sary tions, (8) the updated records. the undo data, ARIES record must the redo size can record restrictions) handle both before can be constructed) the Under record. and/or these (because of log record to log situations. the redo information

different

be logged

Support transactions savepoints

for partial and total transaction to be rolled back totally, ARIES and the partial rollback

rollback. Besides allowing allows the establishment of to such savepoints. errors in a result in recoverable information and

of transactions even logically cached catalog total

Without the support for partial rollbacks, (e.g., unique key violation, out-of-date distributed database wasted work. system) will

require

rollbacks

(9) Support for objects spanning multiple pages. Objects pages (e.g., an IMS record which consists of multiple scattered over many pages). When an object is modified, written itself for every page affected by that objects update, ARIES does not treat multipage in any special way.

can span multiple segments may be if log records are works fine. ARIES

(10) Allows files to be acquired or returned, system. ARIES provides the flexibility namically and permanently to the

any time, from or to the operating of being able to return files dysystem (see [19] for the

operating

detailed description of a technique to accomplish this). Such an action is considered to be one that cannot be undone. It does not prevent the same file from being reallocated to the database system. Mappings between objects (table spaces, as in System R. (11) Some actions etc.) and files are not required committed to be defined statically as

of a transaction

maybe

even if the transaction

a whole is rolled back. This a dummy CLR to implement given as an example situation

refers to the technique of using the concept of nested top actions. File extension has been which could benefit from this. storage Other applicaand methods

tions of this technique, in the context of hash-based index management, can be found in [59, 621.

(12) Efficient checkpoints (including during restart recovery). By supporting fuzzy checkpointing, ARIES makes taking a checkpoint an efficient operation. Checkpoints can be taken even when update activities and logging are going on concurrently. Permitting the impact written checkpoints even during restart processing will help reduce The dirty .pages information the number redo pass. of pages which of failures during restart recovery. during checkpointing helps reduce from nonvolatile storage during the

are read

(13) Simultaneous processing of multiple transactions in forward processing and /or in rollback accessing same page. Since many transactions could simultaneously be going forward or rolling back on a given page, the level of concurrent access supported could be quite high. Except for the short duration latching which has to be performed any time a page is being
ACM Transactions on Database Systems, Vol. 17, No. 1, March 1992.

ARIES: A Transaction Recovery Method physically rollback, fashion. (14) No locking or deadlocks during transaction rollback. is required during transaction rollback, no deadlocks will modified or examined, rolling back transactions

153

be it during forward processing or during do not affect one another in any unusual Since no locking involve transac-

tions that are rolling back. Avoiding locking during rollbacks simplifies not only the rollback logic, but also the deadlock detector logic. The deadlock detector need not worry about making the mistake of choosing a rolling back transaction as a victim in the event of a deadlock (cf. System R and R* [31, 49, 64]). (15) Bounded logging Even during restart failures in spite of repeated occur during failures the or of nested number of rollbacks. CLRS written The number time if repeated restart,

is unaffected. of log records rollback

This is also true if partial rollbacks are nested. written will be the same as that written at the during normal processing. The latter again is

of transaction

a fixed number and is, usually, equal to the number of undoable records written during the forward processing of the transaction. No log records are written during the redo pass of restart. (16) Permits exploitation Restart of parallelism can be made and faster selective/deferred by not doing processing for 1/0s faster restart. all the needed

synchronously ARIES permits the initiation The during pages. memory

one at a time while processing the corresponding log record. the early identification of the pages needing recovery and of asynchronous parallel Undo 1/0s for the reading in of those into hanrestart offline can be processed the redo pass. concurrently parallelism as they requires are brought complete

pages

dling of a given transaction processing can be postponed

by a single process. Some of the to speed up restart or to accommodate transactions dumping) data the system can be performed for media

devices. If desired, undo of loser with new transaction processing. (17) Fuzzy image copying (archive

in parallel Media

recovery.

recovery and image copying of the take advantage of device geometry, performed outside the transaction

are supported very efficiently. To actual act of copying can even be (i.e., without going through the and one is accessing recovery only

buffer pool). This can happen even while the latter modifying the information being copied. During media forward traversal of the log is made. of loser transactions after and supports the savepoint a system concept, (18) Continuation repeats history

restart. Since ARIES we could, in the undo

pass, instead of totally rolling back the loser transactions, roll back each loser only to its latest savepoint. Locks must be acquired to protect the transactions uncommitted, not undone updates. Later, we could resume the transaction by invoking its application at a special entry point and passing enough be resumed. (19) Only information about the savepoint of log during from restart which execution is to

one backward

traversal

or media

recovery.

ACM Transactions on Database Systems, Vol. 17, No. 1, March 1992.

154

Both

during

media

the log is sufficient. likely to be stored (20) Need only compensation information.

recovery and restart This is especially important in a slow medium like tape.
recovery

one backward if any portion log

traversal of of the log is Since redo during

redo records

information are never

in

compensation they need

records. only

undone the

to contain during

So, on the average,

the amount

of log space consumed

a transaction rollback will be half processing of that transaction. (21) Support for distributed Whether ARIES. of locks during transactions. does not affect (22) Early release a given site

space consumed ARIES

the forward distributed site resolu-

transactions.

accommodates

is a coordinator rollback

or a subordinate and deadlock

transaction

tion using partial rollbacks. Because ARIES because it never undoes a particular non-CLR (partial) rollback, when the transactions very object is undone and a CLR is written on that object. This makes it possible partial rollbacks. It should from being information

never undoes CLRS and more than once, during a first update to a particular

for it, the system can release the lock to consider resolving deadlocks using

be noted that ARIES does not prevent the shadow page technique used for selected portions of the data to avoid logging of only undo or both undo and redo information. This may be useful for fields, as is the case in the 0S/2 Extended Edition In such instances, for such data, the modified pages to nonvolatile storage before commit. will Whether depend or not is on what

dealing with long Database Manager. would

have to be forced

media recovery and partial rollbacks can be supported logged and for which updates shadowing is done.

13.

SUMMARY paper, we presented the ARIES of System recovery method and showed in the why WAL

In this

some of the

recovery

paradigms

R are inappropriate

context. We dealt with a variety of features that are very important in building and operating an industrial-strength transaction processing system. Several issues regarding operation logging, fine-granularity locking, space management, and flexible recovery were discussed. In brief, ARIES accomplishes the goals that we set out with by logging all updates on a per-page basis, using an LSN on every page for tracking page state, repeating history during restart recovery before undoing the loser transactions, and chaining the CLRS to the predecessors of the log records that they compensated. Use of ARIES is not restricted to the database area alone. It can also be used recoverable it is being in a system for implementing persistent object-oriented languages, and transaction-based operating systems. In fact, QuickSilver distributed operating system [401 and aid the backing up of workstation In this section, we summarize to which specific attributes that
ACM Transactions

file systems used in the designed to lead

data on a host [441. as to which specific features give us flexibility

of ARIES

and efficiency.

on Database Systems, Vol. 17, No. 1, March 1992

ARIES: A Transaction Recovery Method Repeating CLRS during chained using history undos, exactly, permits which field in turn or not: implies using LSNS

155

and writing CLRS are

the following,

irrespective

of whether

the UndoNxtLSN

(1) Record within records logged. (2) Use only

level locking to be supported and records to be moved around a page to avoid storage fragmentation without the moved having to be locked and without the movements having to be one state variable, a log sequence number, per page.

(3) Reuse of storage released by one transaction for the same transactions later actions or for other transactions actions once the former commits, thereby efficient leading usage to the of storage. processing during the preservation of clustering of records and the

(4) The inverse of an action origianlly performed during forward of a transaction to be different from the action(s) performed undo That of that original is, logical undo

action (e. g., class changes in the space map pages). with recovery independence is made possible. undo on the same page concurrently with records at new

(5) Multiple transactions may transactions going forward.

(6) Recovery of each page independently relating to transaction state, especially (7) If necessary, the continuation the time of system failure. (8) Selective transaction (9) Partial or deferred processing rollback restart,

of other pages or of log during media recovery. which were

of transactions and undo data

in progress with

of losers availability.

concurrently

to improve

of transactions.

(10) Operation logging and logical logging of changes within a page. For example, decrement and increment operations may be logged, rather than the before- and after-images of modified data. Chaining, using the UndoNxtLSN field, forward processing permits the following, history is also followed: of undoing CLRS actions, thus avoiding written to release writing during CLRS for CLRS to log records written during provided the protocol of repeating

(1) The avoidance CLRS. This

also makes

it unnecessary

to store undo

information

in CLRS. forward

(2) The avoidance of the undo of the same log record processing more than once. (3) As a transaction is being rolled back, the ability

the lock on an This may resolving patching some be a the of the

object when all the updates to that object had been undone. important while rolling back a long transaction or while deadlock by partially rolling back without the victim. any special via nested actions top like (4) Handling partial log, as in System (5) Making permanent, rollbacks R. if

necessary

actions,

ACM Transactions on Database Systems, Vol. 17, No. 1, March 1992.

156

C. Mohan

et al.

changes made by a transaction, irrespective itself subsequently rolls back or commits. Performing (1) Checkpoints recovery. (2) Files to be returned ing dynamic binding (3) Recovery user data, (4) Identifying 1/0s could without pages the analysis pass before any time repeating during

of whether

the

transaction

history the

permits and

the following: undo passes of

to be taken

redo

to the operating system dynamically, between database objects and files. information special requiring concurrently treatment redo, so that with requiring

thereby the

allowof

of file-related possibly

recovery parallel

for the former. asynchronous the redo pass starts. pages by eliminating e.g., that some empty

be initiated

for them

even before

(5) Exploiting opportunities to avoid redos on some those pages from the dirty .pages table on noticing, pages have been freed. (6) Exploiting opportunities to avoid writing end. write records after volatile table storage when and by the end. write records

reading some pages during redo, e.g., by dirt y pages have been written to nonthose pages from the dirty .pages are encountered.

eliminating

(7) Identifying the transactions locks could be reacquired

in the in-doubt and in-progress states so that for them during the redo pass to support

selective or deferred restart, the continuation of loser transactions after restart, and undo of loser transactions in parallel with new transaction processing. 13.1 ARIES Implementations forms and Extensions of the recovery algorithms used in the IBM Research

the basis

prototype systems Starburst [871 and QuickSilver [401, in the University of Wisconsins EXODUS and Gamma database machine [201, and in the IBM program products 0S/2 Extended Edition Database Manager [71 and Workstation history, Data Save Facility/VM has been implemented [441. One feature of ARIES, namely repeating in DB2 Version 2 Release 1 to use the concept

of nested top action for supporting segmented tablespaces. A simulation study of the performance of ARIES is reported in [981. The following concluSimulation results indicate the sions from that study are worth noting: success of the ARIES recovery method in providing fast recovery from failures, caused by long intercheckpoint intervals, efficient use of page LSNS, log LSNS, and RecLSNs avoids redoing updates unnecessarily, and the actual recovery load is reduced skillfully. Besides, algorithms difference the overhead incurred by the concurrency control and recovery indicated by the negligibly small on transactions is very low, as between the mean transaction

response time and the average duration of a transaction if it ran alone in a never failing system. This observation also emerges as evidence that the recovery method goes well with concurrency control through fine-granularity locking, an important virtue.
ACM Transactions on Database Systems, Vol. 17, No. 1, March 1992

ARIES: A Transaction Recovery Method We have transaction methods, extended model called ARIES (see [70, ARIES /KVL, to make 85]). Based ARIES/IM it work and in the ARIES context /LHS,

. of the

157 nested new

on ARIES,

we have

developed to

efficiently

provide high concurrency and recovery for B -tree indexes [57, 62] and for hash-based storage structures [59]. We have also extended ARIES to restrict the amount of repeating of history that takes place for the loser transactions based [65, [691. We have designed concurrency control and recovery algorithms, on ARIES, for the N-way data sharing (i. e., shared disks) environment 66,67, 68]. Commit.LSN, a method which takes advantage that exists reevaluation in [54, 58, processing, in every page to reduce the overheads, and also to improve 60]. Although messages message are we did not discuss

of the page.LSN

locking, latching and predicate concurrency, has been presented an important part of transaction in this paper. and recovery

logging

ACKNOWLEDGMENTS

We have benefited immensely from the work that was System R project and in the DB2 and IMS product groups. valuable lessons by looking at the experiences with those the source code and internal documents of those systems The Starburst project gave us the opportunity to begin design some of the fundamental algorithms of a transaction into account experiences with the prior systems. We would edge the contributions of the designers of the other also like to thank have adopted our Brian and Irv Oki, Erhard Traiger

performed We have

in the learned

systems. Access to was very helpful. from scratch and system, taking like to acknowlWe would

systems.

our colleagues in the research and product groups that research results. Our thanks also go to Klaus Kuespert, Rahm, Andreas Reuter, Pat Selinger, Dennis Shasha, detailed comments on the paper.

for their

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1989; revised November

1990; accepted April

1991

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