Method of removing uncommitted changes to stored data by a database management system

Abstract: A method of removing uncommitted changes made to stored data by a database management system, wherein the system stores a duplicate copy of data prior to effecting changes to the original copy, and upon failure of the system, or a transaction or transactions effecting the changes replaces the copy containing uncommited changes by the duplicate copy, characterised in that, in the case of failure of the system to replace the original copy (ie in the case of a backout failure), the system prevents subsequent attempts by the system to further change the data until the uncommitted changes have been removed by a process of backout failure processing, and wherein a batch backout utility program uses a set of system log records to bracket the duration of the backout failure for a particular file to track: whether the system completed its backout failure processing; which transactions had failed backout; and which transaction was the first to have a backout failure.

Description: Field of the Invention The present invention relates to a method of removing uncommitted changes made to stored data by a database management system such as, for example, a transaction processing system, and in particular to a transaction processing system in which a copy is made of stored data prior to making changes to that stored data; failure of the system during the processing of a transaction, ie making changes to stored data, is dealt with such that integrity of the data is not lost. Background Art A transaction in an on-line transaction processing system, such as for example the IBM (IBM is a registered trademark of International Business Machines Corporation) CICS product (CICS is a trademark of International Business machines Corporation) is a change or a number of changes made to data held in storage in the transaction processing system. In order to ensure integrity of data a transaction must be "all-or-nothing", meaning that either the complete change to the data is made or none of the changes must be made. Usually the change or changes making up the transaction are made sequentially and upon completion of all the changes a signal is sent to the system to instruct the system to "commit" the changes. Should the system fail or a transaction terminate abnormally before all changes making up the transaction have been made and committed, the system must remove or "backout" all those changes which have not been committed by the system in order to preserve data integrity. "Backout processing" replaces the changed data with a copy of the original data (a "before-image") which it saved just before the transaction performed its changes, thus re-instating the original data, and removing the unwanted changes. It is possible for backout processing to fail during the course of replacement of the uncommitted changes (i.e. a backout failure occurs), for example because the storage device on which the data containing the uncommitted changes has malfunctioned. Failure of the system to replace uncommitted changes to the data has previously meant that, in order to maintain integrity of the data, action was required of an operator to prevent further changes being made to the data. In previous transaction processing systems this was done using an "emergency restart utility" by: (i) shutting down the whole system; (ii) correcting the problem by means of manual operations by the operator; and (iii) re-starting the system as an "emergency restart" In these systems the operator either had to complete the steps listed above including shutting down the system leading to disruption of transaction processing, or not do the steps listed above and accept that some data contained uncommitted changes. Shutdown of the system may have an effect on any "warm standby" systems, where another transaction processing system is standing-by ready to take over processing should the main system fail in any way. The standby system performs an emergency restart when it takes over, and any backout performed during this emergency restart will immediately fail again. EP-A-0 098 928 discloses a method and apparatus for journalling, in a log, changes made to a database, the apparatus comprising a volatile storage for storing a log buffer, a non-volatile storage for storing a journal log and a non-volatile storage means for storing in a write-ahead data set a plurality of short data blocks. In the event of a system failure, the redoing or undoing of data base changes is made with reference to the write-ahead data set only in the case of a system failure resulting in the loss of log buffer data which has not been written to the log at the time of the system failure. Otherwise data base changes are redone or undone with reference to the log buffer or journal log. Proceedings of the fifth International Conference on Very Large Data Bases, Rio de Janeiro, 3rd-5th October 1979, pages 164-172, IEEE, New York, US; A. Reuter:"Minimising the I/O operations for undo logging in database systems" describes an undo log algorithm minimising the number of I/O operations due to logging of undo information. To recover from a transaction failure, a protection table, which contains for all incomplete transactions the number of all pages changed and locked by the transactions, is used. The protection table is scanned to find all the pages that have been affected and the before image is made the actual version. To recover from a system failure, a log file called BOT (begin of transaction) file is used. For each active transaction, a BOT record containing the transaction identifier and further information is stored in the BOT file. After successful completion of the end of transaction processing, the respective record is deleted. In the recovery action, all transaction identifiers are collected from the BOT file and an undo is performed for those transactions. IBM Systems Journal, vol.23, no.2, 1984, pages 178-188; R.A. Crus:"Data recovery in IBM Database 2" discloses that all modifications made to data in the database product DB2 (DB2 and Database 2 are trademarks of IBM Corp.) are recorded in a recovery log, whose contents are then used if necessary either to undo an update or to redo it. Disclosure of the Invention The present invention is as defined in claim 1. The present invention provides a transaction processing system able to continue operating while isolating that part of the data, generally referred to as a file, containing uncommitted changes until it has been replaced by the original data or before image. The present invention also provides a method which improves earlier backout methods by closing only the file on which the backout failure has occurred, and running a program to retry the backout. Accordingly the present invention provides a method of removing uncommitted changes made to stored data by a database management system, wherein the system stores a duplicate copy of data prior to effecting changes to the original copy, and upon failure of the system, or a transaction or transaction effecting the changes,replaces the copy containing uncommitted changes by the duplicate copy, wherein, in the case of failure of the system to replace the original copy (ie in the case of a backout failure), the system prevents subsequent attempts by the system to further change the data until the uncommitted changes have been removed by a process of backout failure processing. Preferably, in the case of failure of the system to replace the original copy, the system displays notice of the failure and prevents subsequent attempts by the system to further change the data until the uncommitted changes have been removed. Suitably the system displays notice of failure to an operator using a visual display unit. Suitably the database management system is a transaction processing system that does before-image logging. In a preferred embodiment of the present invention removal of unwanted data updates because they contain uncommitted changes is effected using a batch backout utility program. Detailed Description of the Invention Backout Failure As has been described earlier with reference to prior art database management systems, a copy is made by the database management system of stored data prior to making changes to that stored data. This copy of the original data (a "before-image") is used during backout processing by a "backout process" to replace the copy of the data which has had the uncommitted changes applied to it. In this way, the original data is reinstated and the uncommitted changes removed in order to preserve data integrity. If the backout process is successful then the original data is again made available for use by the database management system and ordinary database processing continues. This process is well known to those skilled in the art and is implemented in, for example, the IBM CICS transaction processing program. When a backout failure occurs in a transaction processing system data with uncommitted changes ie any unwanted data update must be isolated so that other transactions cannot access it. In one embodiment of the present invention this is done by closing the file in which the data containing the uncommitted data is stored. However, it may not be possible to close the file immediately because other transactions may be in the process of updating it, and it is preferable to allow these transactions to run to completion if possible. Of course, some of these transactions may not be able to complete (possibly because of the same problem) and they may terminate abnormally, and backout of their updates may fail. Thus subsequent backout failures on the same file could occur between the first backout failure and the point when the file can be closed and the unwanted updates isolated. Log Records Written by Backout Failure Process The present invention provides a set of system log records, called "backout failed log records", mark the beginning and end of a backout failure for a particular file. Using these records, the batch backout utility can track: whether the system completed its backout failure processing (ie. if the system failed before the backout failure processing was completed, then the batch backout utility should not attempt backout, because the emergency restart of the system will retry it); which transactions had failed backout against which files (and therefore which changes to backout); which transaction was the first to have a backout failure (and so when to stop looking for any others). The backout failed log record contains the information that the batch backout utility will need, to calculate if it is safe to attempt backout, where to start, where to stop and which original records it must re-apply in order to back out uncommitted changes. Fields in the backout failure log record include: a flag; dataset name; and transaction identifier. There are three different types of backout failure log record. The flag mentioned above is set to FIRST, SUBSEQUENT or END, depending on which type of log record it is. (i) backout failure log record FIRST, this indicates which task was the first to have a backout failure for a given dataset. (ii) backout failure log record SUBSEQUENT, this indicates which tasks had backout failures subsequently for a given dataset. (iii) backout failure log record END, this indicates that backout failure has completed for a given dataset. The three types of backout failure log record of the invention show the start, middle and end of each backout failure process, and, although the processes themselves may be occurring concurrently for different datasets, and hence the log records may appear interlaced on the system log, it is relatively easy for the batch backout utility to keep track of each individual backout failure process. Backout Failure Code In a preferred embodiment of the present invention, whenever a backout failure occurs, the system calls a user-written program to allow the user to handle the situation if possible, but would change transaction processing on return from the call to the user to execute the following "backout failure control" code, rather than just ignoring the backout failure. Whenever a backout failure occurs, a "backout failed" flag in a file status control block is examined. If it is not set, then this backout failure must be the first for this file, and the file is put into a "backout failed" status, by switching the flag on. The system will check this status whenever a transaction requests access to the file. If it is found to be set, then the system will deny access to the file. The file is also put into a "closing" state. This means that the file will be closed as soon as the last transaction that has been accessing the file is finished with it. (There may be more than one transaction at a time updating the file). A "backout failed" record is written to the log, containing information such as file name, transaction identifier, etc., and a "first" flag to show that this backout failure is the first for this file. If the transaction processing system finds that the "backout failed" status flag has already been set when it examines it at the occurrence of a backout failure, then it knows that a previous backout failure has occurred on this file, and it will not try to set the flag again or close the file, but will just write out a backout failed record to the system log containing the similar information to that before except that the flag will be set to "subsequent" rather than "first". When the file eventually closes (i.e. when all transactions accessing the file before the first backout failure have finished), then the unwanted updates on the file have now become isolated because the system will not allow any attempt to open a file which has the "backout failed" flag set. At this point another type of backout failed log record is written to signify that the backout failure process for this file is complete and that it is the responsibility of the batch backout utility to backout updates to this file. The flag on this log record is set to "end" to signify this, and also extra information, which informs the batch backout utility of the filename to dataset name connections that it needs, is included on the log record. The following pseudo code examples show how backout failure log records are used. The term "database" is used to represent the entity to be backed out. The backout failure code is called whenever the backout process fails to apply the before-image to the database. The following pseudo code shows an outline of suitable backout failure code logic: Example 1. If this data base has already had a backout failure then Write a backout failure log record SUBSEQUENT If a transaction processing system such as, for example the CICS system fails (i.e. terminates abnormally) then it is restarted in emergency restart mode. In this mode, the system tries to get things back to the state they were in when it failed, before continuing. The system can work out which transactions were in progress (i.e. executing) at the time of failure, and will treat these transactions as having terminated abnormally, and it will attempt to backout their uncommitted updates. Obviously these attempts could end in yet more backout failures. Batch Backout Utility A batch backout utility is a program which can be run when a transaction processing system such as CICS encounters a problem which prevents it from removing the unwanted data updates that may be left behind by a transaction which does not complete its processing normally. The batch backout utility is a program which backs out the unwanted update by selecting the relevant before-image from a system log or a copy thereof and using it to replace the update. The system log is a sequential dataset on which the system records various data for use in system restart, performance monitoring, auditing, debugging, etc. (i.e. the system keeps a "log" of its actions on this dataset). Before-images are included in this data. The batch backout utility reads the system log and must decide which before-images to re-instate. This may not be a simple task. There may be many transactions executing concurrently on the system, and each transaction may be updating several files. A backout failure on one file can have a domino effect, causing a string of subsequent backout failures on the same file or others. Also, if the problem that caused the backout failure concerned a whole storage element such as, for example, a magnetic disk, then many files on that magnetic disk could be affected and many backout failures could occur in rapid succession. In the CICS system and other related systems several files may actually represent the same collection of data (i.e. dataset), but be accessed via different paths, and so two backout failures for different files may be for the same dataset. All this complexity is reflected in the records that appear on the system log, and so the batch backout utility may have a very complex task, trying to unravel this interlaced stream of records and keep track of them. Preferably the batch backout utility should be able to perform backout for multiple files in one run, to backout an update as soon as it has found the relevant before-image (so that it does not have to store the before-image) and to do this with only one scan through the system log. Also, the batch backout utility must be able to decide whether it should backout a particular update, or if it should leave it to emergency restart. Likewise, emergency restart must be able to decide which backouts to attempt, and which to leave to the batch backout utility. The batch backout utility need only read backwards through the system log and use the backout failed log records it sees to create and maintain an internal table which tells it exactly what it needs to know (i.e. which before-images to re-instate, whether to go ahead with a backout or to leave it to the emergency restart procedure, and also when it has finished all the backout processing that is needed). The batch backout utility will read the system log backwards looking for "backout failure" log records. When it finds one, it will check the dataset name in it, to see if it matches one that the user has specified as one which should be backed out. If so, then the batch backout utility will store the extra information in the "backout failure" log record and use this stored information to control which original records it should re-apply and when to stop processing. Internal Table The batch backout utility reads the system log backwards searching for backout failure log records. A table is held, within the batch backout utility, containing the filename, transaction identification and record type from the previously processed backout failure log records. When the batch backout utility finds a backout failure log record it updates this table, depending on the type of backout failure log record read. The following pseudo code shows an example of suitable batch backout utility logic: Example 2. The batch backout utility also looks at the "start-of-task" flag in the records it reads. This flag shows the first record written for a transaction, and the batch backout utility will remove any matching transaction identifier from its table when it comes across the start of a transaction. In addition, if the table shows that a "first" backout failed log record has been seen for a file and the batch backout utility has just removed the last remaining transaction that had a backout failure on this file, then it can also remove this file entry since no more transaction entries will be made for this file. When there are no more file entries in the table, then the batch backout utility knows that it has backed-out all the uncommitted updates and it can stop. In a further preferred embodiment of the invention the batch backout utility only needs to be given the names of the datasets that the user wants to backout. It reads backwards through (a copy of) the system log looking for an "end" type of backout failed record containing a matching dataset name. If it finds one, then it stores the dataset name-to-filename connections from the record in its table. It will now also look for "subsequent" or "first" backout failed log records which contain the stored filenames. It will add a transaction identifier from these records to its table and use the stored filename-transaction identifier combinations to select the correct before-images to re-instate. (As it reads each before-image on the log, it will compare the filename and transaction identifier on the before-image with those stored in its table. If there is a table entry with a matching filename and transaction identifier then the batch backout utility knows that a backout failure must have occurred for this file and this transaction, and also that the file has been closed. It therefore knows that it should re-instate this before-image and backout an uncommitted update). It will also mark its table to remember if a "first" type record has been seen, so that it will ignore any more backout failed log records for this file (because they would be from a set of backout failure records earlier in time but later in sequence since the batch backout utility is reading backwards through the system log).

Claims: A method of removing uncommitted changes made to data by tasks upon either failure of a database management system or of a transaction or transactions effecting the changes, said removing being performed by said database management system, said data being stored in files of a database, each task performing at least one transaction on the data of one of the files, the method comprising the steps of: prior to making changes to an original copy of the data, storing a duplicate copy of the data to be changed in a system log; and upon either failure of the system, or of a transaction or transactions effecting the changes, replacing all the copies containing uncommitted changes by the duplicate copies; characterised in that each file has a corresponding backout failed indication; and in that the method further comprises the steps of: prior to allowing access to a file, checking by the database management system of the backout failed indication, and denying access by tasks not already having access if the indication is set; in the case of failure of the system to backout the changes by replacing the original copy the method further comprises the steps, while the database is still in use by tasks, of: setting, by the system, of a backout failed indication for each of the files comprising the stored data for which backout failed; for each file for which the system failed to backout the changes: checking, by the system, of a backout failed indication; if the backout failed indication is set, then writing a SUBSEQUENT backout failure record to the system log, said SUBSEQUENT backout failure record comprising a SUBSEQUENT flag which is set and a definition of the transaction that failed backout and for which file; if the backout failed indication is not set, writing a FIRST backout failure record to the system log and setting the backout failed indication for that file, said FIRST backout failure record comprising a FIRST flag which is set and a definition of the transaction that failed backout and for which file; and when all the tasks accessing the file have completed, closing the file and writing an END backout failure record to the system log, said END backout failure record comprising an END flay which is set and a definition of the transaction that failed backout and for which file. A method as claimed in claim 1 further comprising the steps of: reading the system log starting from the most recent entry; on finding a backout failure record for a file of database; if the record is the first found for this file and the END flag is set, then setting an indication that an END record for this database has been read; if the record is the first found for this file and the END flag is not set, then returning control to the system; if the record is not the first found for this file and a record with a FIRST flag has already been found, ignoring the log record; if the record is not the first found for this file and a record with a FIRST flag has not been found, updating a table containing information from previously processed backout failure records with a transaction identifier; and if the record has a FIRST flag set, updating said table containing information from previously processed backout failure records. A method as claimed in claim 2 further comprising, during the step of reading the system log, the step of: on finding a duplicate copy of data having a transaction identifier which corresponds to one recorded in a previously read log record, replacing the updated data with the duplicate copy. A method as claimed in claim 2 or claim 3 wherein after the step of finding a backout failure record for a file of a database, the file identification is compared with a list of database identifiers which the system has failed to backout. A method as claimed in any preceding claim wherein the database management system is a transaction processing system.

Inventors: BORMAN SAMUEL DAVID, TYRRELL ARTHUR JONATHAN, BORMAN, SAMUEL DAVID, TYRRELL, ARTHUR JONATHAN
Applicants: IBM, INTERNATIONAL BUSINESS MACHINES CORPORATION
Application year: 1989
Main classification: G06F11
IPC codes: G06F12, G06F11, G11C29