Database System 12 | Backup & Recovery

Tahun Ajar Ganjil 2024/2025

Oleh:
Tim Dosen
 Goals of the Meeting

Students are able to explain backup and

recovery
OUTLINES

• Backup

• Failure Classification

• Storage Structure

• Recovery and Atomicity

• Log-Based Recovery

9 /1 0/ 2 02 4 Storage Management 3
 BACKUP

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BACKUP MODES
• Hot backup
– allows backup of the database while the database is running and available to
users.
– performance degrades during the backup period.
– takes longer than a cold backup

• Cold backup
– requires database shutdown before backup begins
– physical files are backed up while shutdown
– database is unavailable to users during backup period

– faster than a hot backup

ORACLE BACKUP OPTIONS
• Off-line physical backup
– is a cold backup technique
– copies data files, log files, init files, and control files after shutdown

• On-line physical backup

– is a hot backup technique
– temporarily sets tablespaces into backup mode

• Logical Backup
– is a hot backup technique
– exports all or part of the database by creating SQL scripts necessary to
– recreate the objects
OFF-LINE PHYSICAL BACKUP
• Shut down the database

• Backup the data files

• Backup the control files

• Backup the online redo log files or the archive log files

• Backup the initialization and password files

• Restart the database

ON-LINE PHYSICAL BACKUP
• Requires the DB to be in Archive Log Mode

• For each tablespace

– Set the tablespace into a backup state
– Backup the datafiles for that tablespace
– Restore the tablespace to its normal state

• Backup the archived redo log files

– Stop the archiving process
– Note which files are in the arch log directory
– Restart the archiving process
– Backup the archived redo log files
– Delete the archived redo log files

• Backup the control file using the “Alter database backup controlfile command”

• Backup the initialization and password files

LOGICAL BACKUP
• Essentially creates SQL scripts that will recreate database objects

• Use Oracle Export Utility to create .dmp file

• Use Oracle Import Utility to selectively import database objects from

• the .dmp file

• Can perform
– Complete database backup
– User (schema) backup
– Individual table backup

• Used in conjunction with a recovery server to recover selected objects (not entire database)
BACKUP TYPES
• Complete (Full)
– copy all database and related files
– delete the archive log files
• Cumulative (Differential)
– copy blocks that have changed since last full backup or
– copy all archive log files generated since last full backup
• Incremental
– copy blocks that have change since the last partial backup or
– copy all log files generated since last partial backup
• Complete (Copy)
– copy all target data
– Don’t include the set in backup set logic
ORACLE FILES OVERVIEW
 FAILURE
CLASSIFICATION

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INTRODUCTION
• A computer system is subject to failure from a variety of causes.
• In any failure, information may be lost.
• The database system must take actions in advance to ensure that the atomicity and durability
properties of transactions are preserved.
• An integral part of a database system is a recovery scheme that can restore the database to the
consistent state that existed before the failure.
• The recovery scheme must also support high availability: the database should be usable for a very
high percentage of time.
 FAILURE CLASSIFICATION

• Transaction failure :
– Logical errors: transaction cannot complete due to some internal error condition
– System errors: the database system must terminate an active transaction due to an error condition (e.g.,
deadlock)
• System crash: a power failure or other hardware or software failure causes the system to crash.
– Fail-stop assumption: non-volatile storage contents are assumed to not be corrupted by system crash
• Database systems have numerous integrity checks to prevent corruption of disk data

• Disk failure: a head crash or similar disk failure destroys all or part of disk storage
– Destruction is assumed to be detectable: disk drives use checksums to detect failures
 STORAGE
STRUCT URE

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STORAGE STRUCTURE
• Volatile storage:
– Does not survive system crashes
– Examples: main memory, cache memory
• Nonvolatile storage:
– Survives system crashes
– Examples: disk, tape, flash memory, non-volatile RAM
– But may still fail, losing data
• Stable storage:
– A mythical form of storage that survives all failures
– Approximated by maintaining multiple copies on distinct nonvolatile media
STABL E - STOR AGE IMPL E MENTAT ION
• Maintain multiple copies of each block on separate disks
– copies can be at remote sites to protect against disasters such as fire or flooding.
• Failure during data transfer can still result in inconsistent copies: Block transfer can result in
– Successful completion
– Partial failure: destination block has incorrect information
– Total failure: destination block was never updated
• Protecting storage media from failure during data transfer (one solution):
– Execute output operation as follows (assuming two copies of each block):
1. Write the information onto the first physical block.
2. When the first write successfully completes, write the same information onto the second physical
block.
3. The output is completed only after the second write successfully completes.
PROTECTING STORAGE MEDIA FROM FAILURE
( C O N T. )

Copies of a block may differ due to failure during output operation.

To recover from failure:
1. First find inconsistent blocks:
1. Expensive solution: Compare the two copies of every disk block.
2. Better solution:
• Record in-progress disk writes on non-volatile storage (Flash, Non-volatile RAM or special
area of disk).
• Use this information during recovery to find blocks that may be inconsistent, and only
compare copies of these.
• Used in hardware RAID systems
2. If either copy of an inconsistent block is detected to have an error
(bad checksum), overwrite it by the other copy. If both have no error, but are different, overwrite
the second block by the first block.
DATA AC C E S S
• Physical blocks are those blocks residing on the disk.

• Buffer blocks are the blocks residing temporarily in main memory.

• Block movements between disk and main memory are initiated

through the following two operations:
– input (B) transfers the physical block B to main memory.
– output (B) transfers the buffer block B to the disk and replaces the
appropriate physical block there.

• We assume, for simplicity, that each data item fits in, and is stored
inside, a single block.
D A TA A C C E S S ( C O N T. )
• Each transaction Ti has its private work-area in which local copies of all data items accessed and updated by
it are kept.
– Ti 's local copy of a data item X is called xi.
• Transferring data items between system buffer blocks and its private work-area done by:
– read(X) assigns the value of data item X to the local variable xi.
– write(X) assigns the value of local variable xi to data item {X} in the buffer block.
– Note: output(BX) need not immediately follow write(X). System can perform the output operation when it
deems fit.
• Transactions
– Must perform read(X) before accessing X for the first time (subsequent reads can be from local copy)
– write(X) can be executed at any time before the transaction commits
E X A M P L E O F DATA AC C E S S
 RECOVERY AND
AT O M I C I T Y

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R EC OVERY A LGOR IT HMS
• Suppose transaction Ti transfers $50 from account A to account B
– Two updates: subtract 50 from A and add 50 to B
• Transaction Ti requires updates to A and B to be output to the database.
– A failure may occur after one of these modifications have been made but before both of them are
made.
– Modifying the database without ensuring that the transaction will commit may leave the database in
an inconsistent state
– Not modifying the database may result in lost updates if failure occurs just after transaction commits
• Recovery algorithms have two parts
1. Actions taken during normal transaction processing to ensure enough information exists to recover
from failures
2. Actions taken after a failure to recover the database contents to a state that ensures atomicity,
consistency and durability
R EC OV ERY A ND ATOMICI TY
• To ensure atomicity despite failures, we first output information describing the modifications to
stable storage without modifying the database itself.

• We study log-based recovery mechanisms in detail

• Less used alternative: shadow-copy and shadow-paging (brief details in book)

shadow-copy
 LOG-BASED
RECOVERY

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LOG-BASED RECOVERY
• A log is a sequence of log records. The records keep information about update activities on the database.
– The log is kept on stable storage
• When transaction Ti starts, it registers itself by writing a

<Ti start> log record

• Before Ti executes write(X), a log record
<Ti, X, V1, V2>
is written, where V1 is the value of X before the write (the old value), and V2 is the value to be written to X
(the new value).
• When Ti finishes it last statement, the log record <Ti commit> is written.
• Two approaches using logs
– Immediate database modification
– Deferred database modification.
I M M E D I AT E D ATA BA S E M O D I F I C AT I O N
• The immediate-modification scheme allows updates of an uncommitted transaction to be made
to the buffer, or the disk itself, before the transaction commits
• Update log record must be written before database item is written
– We assume that the log record is output directly to stable storage
– (Will see later that how to postpone log record output to some extent)
• Output of updated blocks to disk can take place at any time before or after transaction commit
• Order in which blocks are output can be different from the order in which they are written.
D E F E RR E D DATA BA S E M O D I F I CAT I O N
• The deferred-modification scheme performs updates to buffer/disk only at the
time of transaction commit
– Simplifies some aspects of recovery
– But has overhead of storing local copy
TRANSACTION COMMIT
• A transaction is said to have committed when its commit log record is output to
stable storage
– All previous log records of the transaction must have been output already
• Writes performed by a transaction may still be in the buffer when the transaction
commits, and may be output later
IMMEDIATE DATABASE MODIFICATION
EXAMPLE
CO NCUR RENCY CONTROL AND RECOV ERY
• With concurrent transactions, all transactions share a single disk buffer and a single log
– A buffer block can have data items updated by one or more transactions
• We assume that if a transaction Ti has modified an item, no other transaction can modify the
same item until Ti has committed or aborted
– i.e., the updates of uncommitted transactions should not be visible to other transactions
• Otherwise, how to perform undo if T1 updates A, then T2 updates A and commits, and finally
T1 has to abort?
– Can be ensured by obtaining exclusive locks on updated items and holding the locks till end of
transaction (strict two-phase locking)
• Log records of different transactions may be interspersed in the log.
UN DO A ND RE DO OPE RAT ION S
• Undo and Redo of Transactions
– undo(Ti) -- restores the value of all data items updated by Ti to their old values,
going backwards from the last log record for Ti
• Each time a data item X is restored to its old value V a special log record <Ti ,
X, V> is written out
• When undo of a transaction is complete, a log record
<Ti abort> is written out.
– redo(Ti) -- sets the value of all data items updated by Ti to the new values,
going forward from the first log record for Ti
• No logging is done in this case
RECOVERING FROM FAILURE
• When recovering after failure:
– Transaction Ti needs to be undone if the log
• Contains the record <Ti start>,
• But does not contain either the record <Ti commit> or <Ti abort>.
– Transaction Ti needs to be redone if the log
• Contains the records <Ti start>
• And contains the record <Ti commit> or <Ti abort>
R E C O V E R I N G F R O M F A I L U R E ( C O N T. )
• Suppose that transaction Ti was undone earlier and the <Ti abort> record was
written to the log, and then a failure occurs,
• On recovery from failure transaction Ti is redone
– Such a redo redoes all the original actions of transaction Ti including the steps
that restored old values
• Known as repeating history
• Seems wasteful, but simplifies recovery greatly
IMMEDI ATE DB MODIFICATION RECOVERY
EXAMPLE
Below we show the log as it appears at three instances of time.

Recovery actions in each case above are:

(a) undo (T0): B is restored to 2000 and A to 1000, and log records
<T0, B, 2000>, <T0, A, 1000>, <T0, abort> are written out
(b) redo (T0) and undo (T1): A and B are set to 950 and 2050 and C is restored to 700. Log records <T1, C, 700>,
<T1, abort> are written out.
(c) redo (T0) and redo (T1): A and B are set to 950 and 2050 respectively. Then C is set to 600
CHECKPOINTS
• Redoing/undoing all transactions recorded in the log can be very slow
– Processing the entire log is time-consuming if the system has run for a long time
– We might unnecessarily redo transactions which have already output their updates to the
database.
• Streamline recovery procedure by periodically performing checkpointing
1. Output all log records currently residing in main memory onto stable storage.
2. Output all modified buffer blocks to the disk.
3. Write a log record < checkpoint L> onto stable storage where L is a
list of all transactions active at the time of checkpoint.
4. All updates are stopped while doing checkpointing
C H E C K P O I N T S ( C O N T. )
• During recovery we need to consider only the most recent transaction Ti that started before the
checkpoint, and transactions that started after Ti.
– Scan backwards from end of log to find the most recent <checkpoint L> record
– Only transactions that are in L or started after the checkpoint need to be redone or undone
– Transactions that committed or aborted before the checkpoint already have all their updates
output to stable storage.
• Some earlier part of the log may be needed for undo operations
– Continue scanning backwards till a record <Ti start> is found for every transaction Ti in L.
– Parts of log prior to earliest <Ti start> record above are not needed for recovery, and can be
erased whenever desired.
EXAMPLE OF CHECKPOINTS

▪ T1 can be ignored (updates already output to disk due to checkpoint)

▪ T2 and T3 redone.

▪ T4 undone
Examine the following immediate transaction log. Answer the following questions based on
the transaction logs:

A B C D E F What are the value of the following

1 <T0,START> 900 250 750 900 775 300 variables at the time of crash?
2 <T0,A,900,1800> 1800
3 <T0,B,250,500> 500 A = 200
4 <T1,START>
5 <T1,C,750,200> 200
B = 800
6 <T2,START> C = 200
7 <T2,E,775,920> 920
8 <T0,COMMIT> 1800 500
D =900
9 <T3,START> E = 920
10 <CHECKPOINT>
F = 900
11 <T2,A,1800,600> 600
12 <T3,B,500,750> 750 What are the value of the following
13 <T4,START> variables after Recovery?
14 <T3,D,900,600> 600
15 <T3,ROLLBACK> 500 900 A = 1800
16 <T2,B,750,800> 800
17 <T4,START> B = 500
18 <T2,A,600,200> 200 C = 200
19 <T4,F,300,800> 800
20 <T4,F,800,900> 900 D = 900
21 <T1,COMMIT> 200 E = 775
** CRASH **
F = 300
 REFERENCES

Silberschatz, Korth, and Sudarshan. Database System Concepts – 7th Edition. McGraw-Hill. 2019.

Slides adapted from Database System Concepts Slide.

Source: https://www.db-book.com/db7/slides-dir/index.html

Elmasri, Navathe, “Fundamental of Database Systems”, Seventh Edition, Pearson, 2015.

THANK YOU
Database System