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SQL Server Internals In Memory OLTP Inside the SQL Server
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Second Edition
By Kalen Delaney
SQL Server Internals:
In-Memory OLTP
Inside the SQL Server 2016 Hekaton Engine
By Kalen Delaney
Introduction 16
Memory-optimized tables 22
Performance 29
Summary 33
Additional Resources 34
Chapter 2: Creating and Accessing In-Memory OLTP Databases and Tables 35
Creating Databases 35
Creating Tables 38
Durability 39
Interpreted T-SQL 46
Summary 52
Additional Resources 53
Row header 55
Payload area 56
Processing phase 59
Validation phase 62
Post-processing 62
Summary 64
Additional Resources 64
Hash indexes 67
Row organization 68
Range indexes 73
The Bw-tree 74
Columnstore Indexes 86
Summary 97
Additional Resources 98
Post-processing 123
Summary 126
Checkpoint 135
The threads and tasks comprising the full checkpoint process 149
Recovery 155
Summary 156
Summary 174
Summary 200
It is my great pleasure to write a foreword to Kalen's book, SQL Server Internals: In-Memory
OLTP, Inside the SQL Server 2016 Hekaton Engine. Kalen has been working with SQL
Server for over 29 years, and even after three decades of working with the SQL Server
technology, she is still very excited to teach, write, and share her knowledge about SQL
Server. She is one of the best-respected technology writers, and her Twitter handle, @
sqlqueen, says it best. I remember when I first started developing for the SQL Server engine,
many years ago, as an intern at Microsoft, I complemented all of our internal documentation
with her Inside SQL Server book. Who knows, maybe if not for that book, I might have not
excelled at my internship, which eventually led to an incredibly rewarding career working
inside the SQL Server engine. Thank you, Kalen!
This book, SQL Server Internals: In-Memory OLTP is a true gem for modern data devel-
opers and data professionals. It contains an unprecedented level of details about the
in-memory technology of SQL Server. In my many conversations with customers, I often
hear a confusion between the terms "In-Memory" and "Memory-Optimized." Many think
that they are one and the same. If you continue reading this book, you will realize the
distinction. In-Memory OLTP is a game changer for relational databases, and especially for
OLTP systems. Processors are not getting dramatically faster, but the number of cores and
the amount of memory is increasing drastically. Machines with terabytes of memory are
becoming a commodity. Over the last 30 years, memory prices have dropped by a factor of
10 every 5 years. Both core counts and memory sizes are increasing at an accelerated pace.
The majority of OLTP databases fit entirely in 1 TB and even the largest OLTP databases
can keep the active working set in memory. A technology that takes advantage of this ever-
changing hardware landscape is Microsoft's in-memory OLTP.
To understand this better, let us travel back in time a few years to when the sizes of OLTP
databases were much larger than the memory available on the server. For example, your
OLTP database could be 500 GB while your SQL Server has 128 GB of memory. We all
know the familiar strategy to address this, by storing data and indexes in smaller chunks,
xii
or pages. SQL Server supports 8 K pages. These pages are read and written in and out of
memory using sophisticated heuristics implemented as part of the buffer pool in SQL Server.
When running a query, if the page containing the requested row(s) is not found in the buffer
pool, an explicit physical I/O is incurred to bring it into memory. This explicit physical I/O
can significantly reduce query performance. Today, you can get around this issue by buying a
server machine with terabytes of physical memory and keeping your entire 500 GB database
in memory, effectively removing any bottleneck due to I/O. However, the more important
question to be asked is: "Is your database optimized for being in-memory?" This book will
teach you how to do it.
Another aspect to consider is locking and latching, and its impact on performance. When you
query your data, SQL Server loads data pages in-memory and keeps them there until it needs
more memory for something else. But traditional tables are still optimized for disk access,
a slow medium. As such, it has a variety of bottlenecks. A big issue is the contention due to
the different locking mechanisms. Each time a transaction reads data, it acquires a read lock
on that data. When another transaction wants to write on the same data, it must acquire a
write-lock and therefore wait for the first transaction to complete, since you can't write while
data is being read. SQL Server also implements latches and spinlocks at different granularity
levels. All those locking mechanisms take time to manage and, moreover, they again jeop-
ardize the performance. From the ground up, in-memory OLTP is designed for high levels
of concurrency. Any thread can access any row in a table without acquiring latches or locks.
The engine uses latch-free and lock-free data structures to avoid physical interference among
threads and a new optimistic, multi-version concurrency control technique to avoid interfer-
ence among transactions using a state-of-the-art lock- and latch-free implementation.
This book describes all of the key aspects of the in-memory OLTP technology that can help
improve the performance of your transactional workloads, including:
• new data structures and data access methods built around the assumption that the
active working set resides in memory
• lock- and latch-free implementation that provides high scalability
• native compilation of T-SQL for more efficient transaction processing.
Announced several years ago, in-memory OLTP has been implemented in production by
numerous companies. Whether you need to support a high data insert rate for system telem-
etry or smart metering, or get high read performance at scale for social network browsing,
or do compute-heavy data processing for manufacturing or retail supply chains, or achieve
xiii
low latency for online gaming platforms or capital markets, or do session management for
heavily-visited websites, in-memory OLTP can help you. One of the best things about this
technology is that it is not all or nothing. The in-memory OLTP engine is integrated into SQL
Server; it is not a separate DBMS. Even if much of your processing is not OLTP, even if your
total system memory is nowhere near the terabyte range, you can still choose one or more
critical tables to migrate to the new in-memory structures. You can also choose a frequently-
run stored procedure to recreate as a natively compiled procedure. And you can get measur-
able performance improvements as a result!
Acknowledgements
First of all, I would like to thank Kevin Liu, formerly with Microsoft, who brought me
onboard with the Hekaton project at the end of 2012, with the goal of providing in-depth
white papers describing this exciting new technology. Under Kevin's guidance, I wrote two
white papers, which were published near the release date at each of the CTPs for SQL Server
2014. As the paper got longer with each release, a new white paper for the final released
product would be as long as a book. So, with Kevin's encouragement, it became the first
edition of this book. For the SQL Server 2016 version of in-memory OLTP, Marko Hotti
brought me onboard to write two white papers, including one for the final version of SQL
Server 2016. This book expands upon that second white paper.
xiv
My main mentors for this second edition, based on the changes in SQL Server 2016, were
Sunil Agarwal and Jos de Bruijn. I know they thought my questions would never stop, but
they kept answering them anyway. I am deeply indebted to both of them.
I would also like to thank my devoted reviewers and question answerers at Microsoft,
without whom this work would have taken much longer: in addition to Sunil and Jos,
Kevin Farlee was always willing and able to answer in-depth questions about storage, and
Denzil Ribeiro and Alex Budovski were always quick to respond and were very thorough
in answering my sometimes seemingly-endless questions. Thank you for all your assistance
and support. And THANK YOU to the entire SQL Server team at Microsoft for giving us this
incredible technology!
xv
Introduction
The original design of the SQL Server engine, as well as that of most other RDBMS products
of the time, assumed that main memory was very limited, and so data needed to reside on
disk except when it was actually needed for processing. However, over the past thirty years,
the sustained fulfillment of Moore's Law, predicting that computing power will double year
on year, has rendered this assumption largely invalid.
Moore's law has had a dramatic impact on the availability and affordability of both large
amounts of memory and multiple-core processing power. Today one can buy a server with
32 cores and 1 TB of memory for under $30K. Looking further ahead, it's entirely possible
that in a few years we'll be able to build distributed DRAM-based systems with capacities of
1–10 Petabytes at a cost of less than $5/GB. It is also only a question of time before non-
volatile RAM becomes viable as main-memory storage.
At the same time, the near-ubiquity of 64-bit architectures removes the previous 4 GB limit
on "addressable" memory and means that SQL Server has, in theory, near-limitless amounts
of memory at its disposal. This has helped to significantly drive down latency time for read
operations, simply because we can fit so much more data in memory. For example, many, if
not most, of the OLTP databases in production can fit entirely in 1 TB. Even for the largest
financial, online retail and airline reservation systems, with databases between 500 GB and
5 TB in size, the performance-sensitive working dataset, i.e. the "hot" data pages, is signifi-
cantly smaller and could reside entirely in memory.
However, the fact remains that the traditional SQL Server engine is optimized for disk-
based storage, for reading specific 8 KB data pages into memory for processing, and writing
specific 8 KB data pages back out to disk after data modification, having first "hardened" the
changes to disk in the transaction log. Reading and writing 8 KB data pages from and to disk
can generate a lot of random I/O and incurs a higher latency cost.
In fact, given the amount of data we can fit in memory, and the high number of cores avail-
able to process it, the end result has been that most current SQL Server systems are I/O
bound. In other words, the I/O subsystem struggles to "keep up," and many organizations
sink huge sums of money into the hardware that they hope will improve write latency. Even
when the data is in the buffer cache, SQL Server is architected to assume that it is not, which
leads to inefficient CPU usage, with latching and spinlocks.
16
Assuming all, or most, of the data will need to be read from disk also leads to unrealistic cost
estimations for the possible query plans and a potential for not being able to determine which
plans will really perform best.
As a result of these trends, and the limitations of traditional disk-based storage structures,
the SQL Server team at Microsoft began building a database engine optimized for large main
memories and many-core CPUs, driven by the recognition that systems designed for a partic-
ular class of workload can frequently outperform more general purpose systems by a factor of
ten or more. Most specialized systems, including those for Complex Event Processing (CEP),
Data Warehousing and Business Intelligence (DW/BI), and Online Transaction Processing
(OLTP), optimize data structures and algorithms by focusing on in-memory structures.
The team set about building a specialized database engine specifically for in-memory work-
loads, which could be tuned just for those workloads. The original concept was proposed at
the end of 2008, envisioning a relational database engine that was 100 times faster than the
existing SQL Server engine. In fact, the codename for this feature, Hekaton, comes from the
Greek word hekaton (ἑκατόν) meaning 100.
Serious planning and design began in 2010, and product development began in 2011. At that
time, the team did not know whether the current SQL Server product could support this new
concept, and the original vision was that it might be a separate product. Fortunately, it soon
became evident that it would be possible to incorporate the "in-memory" processing engine
into SQL Server itself. The team then established four main goals as the foundation for
further design and planning:
1. Optimized for data that was stored completely in-memory but was also durable on
SQL Server restarts.
2. Fully integrated into the existing SQL Server engine.
3. Very high performance for OLTP operations.
4. Architected for modern CPUs (e.g. use of complex atomic instructions).
SQL Server In-Memory OLTP, formerly known and loved as Hekaton, meets all of these
goals, and in this book, you will learn how it meets them. The focus will be on the features
that allow high performance for OLTP operations. As well as eliminating read latency, since
the data will always be in memory, fundamental changes to the memory-optimized versions
of tables and indexes, as well as changes to the logging mechanism, mean that in-memory
OLTP also offers greatly reduced latency when writing to disk.
17
The first four chapters of the book offer a basic overview of how the technology works
(Chapter 1), how to create in-memory databases and tables (Chapter 2), the basics of row
versioning and the new multi-version concurrency control model (Chapter 3), how memory-
optimized tables and their indexes store data, and how columnstore indexes, available for
memory-optimized tables as of SQL Server 2016, allow you to perform efficient OLTP
operations, as well as run analytic queries, on your in-memory data (Chapter 4).
Chapters in the latter half of the book focus on how the new in-memory engine delivers the
required performance boost, while still ensuring transactional consistency (ACID compli-
ance). In order to deliver on performance, the SQL Server team realized they had to address
some significant performance bottlenecks. Two major bottlenecks were the traditional
locking and latching mechanisms: if the new in-memory OTLP engine retained these mecha-
nisms, with the waiting and possible blocking that they could cause, it could negate much
of the benefit inherent in the vastly increased speed of in-memory processing. Instead, SQL
Server In-Memory OLTP delivers a completely lock- and latch-free system, and true opti-
mistic multi-version concurrency control (Chapter 5).
Other potential bottlenecks were the existing CHECKPOINT and transaction logging
processes. The need to write to durable storage still exists for in-memory tables, but in SQL
Server In-Memory OLTP these processes are adapted to be much more efficient, in order to
prevent them becoming performance limiting, especially given the potential to support vastly
increased workloads (Chapter 6).
The final bottleneck derives from the fact that the SQL Server query processor is essentially
an interpreter; it re-processes statements continually, at runtime. It is not a true compiler. Of
course, this is not a major performance concern, when the cost of physically reading data
pages into memory from disk dwarfs the cost of query interpretation. However, once there
is no cost of reading pages, the difference in efficiency between interpreting queries and
running compiled queries can be enormous. Consequently, the new SQL Server In-Memory
OLTP engine component provides the ability to create natively compiled procedures, i.e.
machine code, for our most commonly executed data processing operations (Chapter 7).
Finally, we turn our attention to tools for managing SQL Server In-Memory OLTP structures,
for monitoring and tuning performance, and considerations for migrating existing OLTP
workloads over to in-memory (Chapter 8).
18
Intended Audience and Prerequisites
This book is for anyone using SQL Server as a programmer or as an administrator who
wants to understand how the new Hekaton engine works behind the scenes. It is specifically
a book about Hekaton internals, focusing on details of memory-optimized tables and
indexes, how the in-memory engine delivers transactional consistency (ACID compliance)
without locking or latching, and the mechanics of its checkpointing, logging and garbage
collection mechanisms.
SQL Server In-Memory OLTP is a new technology and this is not a book specifically on
performance tuning and best practices. However, as you learn about how the Hekaton engine
works internally to process your queries, certain best practices, and opportunities for perfor-
mance tuning will become obvious.
This book does not assume that you're a SQL Server expert, but I do expect that you have
basic technical competency and familiarity with the standard SQL Server engine, and relative
fluency with basic SQL statements.
You should have access to a SQL Server 2016 installation, even if it is the Evaluation edition
available free from Microsoft. In addition, SQL Server Developer Edition, which doesn't
have an expiration date, is also available free of charge. Downloads are available from this
link: http://preview.tinyurl.com/lea3ep8. As of SQL Server 2016, Service Pack 1, in-memory
OLTP is available in all editions of SQL Server.
19
1: What's Special About
In-Memory OLTP?
SQL Server 2016's in-memory OLTP feature provides a suite of technologies for working
with memory-optimized tables, in addition to the disk-based tables which SQL Server has
always provided.
The SQL Server team designed the in-memory OLTP engine to be transparently accessible
through familiar interfaces such as T-SQL and SQL Server Management Studio (SSMS).
Therefore, during most data processing operations, users may be unaware that they are
working with memory-optimized tables rather than disk-based ones.
However, SQL Server works with the data very differently if it is stored in memory-opti-
mized tables. This chapter describes, at a high level, some of the fundamental differences
between data storage structures and data operations, when working with memory-optimized,
rather than standard disk-based tables and indexes.
It will also discuss SQL Server In-Memory OLTP in the context of similar, competing
memory-optimized database solutions, and explain why the former is different.
20
1: What's Special About In-Memory OLTP?
on these structures during reading or writing, so it can allow concurrent access without
blocking. Also, logging changes to memory-optimized tables is usually much more efficient
than logging changes to disk-based tables.
Figure 1-1: The SQL Server engine including the in-memory OLTP components.
21
1: What's Special About In-Memory OLTP?
On the left side of Figure 1-1 we have the memory-optimized tables and indexes, added as
part of in-memory OLTP, and on the right we see the disk-based tables, which use the data
structures that SQL Server has always used, and which require writing and reading 8 KB data
pages, as a unit, to and from disk.
In-memory OLTP also supports natively compiled stored procedures, an object type that is
compiled to machine code by a new in-memory OLTP compiler and which has the potential
to offer a further performance boost beyond that available solely from the use of memory-
optimized tables. The standard counterpart is interpreted T-SQL stored procedures, which is
what SQL Server has always used. Natively compiled stored procedures can reference only
memory-optimized tables.
The Query Interop component allows interpreted T-SQL to reference memory-optimized
tables. If a transaction can reference both memory-optimized tables and disk-based tables, we
refer to it as a cross-container transaction.
Notice that the client application uses the same TDS Handler (Tabular Data Stream, the
underlying networking protocol that is used to communicate with SQL Server), regardless
of whether it is accessing memory-optimized tables or disk-based tables, or calling natively
compiled stored procedures or interpreted T-SQL.
Memory-optimized tables
This section takes a broad look at three of the key differences between memory-optimized
tables and their disk-based counterparts; subsequent chapters will fill in the details.
22
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