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FAULT TOLERANCEA characteristic feature of distributed systems that distinguishes themfrom single-machine systems is the notion of partial failure: part of the system isfailing whilethe remaining part continues to operate, and seemingly correctly. Animportant goalin distributed systems design is to construct the system in such a waythat it canautomatically recover from partial failures without seriously affectingthe overallperformance. In particular, whenever a failure occurs, the systemshould continueto operate in an acceptable way while repairs are being made. In otherwords, adistributed system is expected to be fault tolerant.In this chapter, we take a closer look at techniques to achieve faulttolerance.After providing some general background, we will first look at processresiliencethrough process groups. In this case, multiple identical processescooperate provid-ing the appearance of a single logical process to ensure that one ormore of themcan fail without a client noticing. A specifically difficult point inprocess groups isreaching consensus among the group members on which client-requestedoperationto perform.Achieving fault tolerance and reliable communication are stronglyrelated. Nextto reliable client-server communication we pay attention to reliablegroup commu-nication and notably atomic multicasting. In the latter case, a messageis deliveredto all nonfaulty processes in a group, or to none at all. Having atomic

multicastingmakes development of fault-tolerant solutions much easier.Atomicity is a property that is important in many applications. Perhapsbestknown in the case of database transactions, atomicity extends todistributed trans-actions, which we discuss separately. In particular, we pay attentionto what areknown as distributed commit protocols by which a group of processes areconductedto either jointly commit their local work, or collectively abort andreturn to a previ-ous system state.Finally, we will examine how to recover from a failure. In particular,we considerwhen and how the state of a distributed system should be saved to allowrecoveryto that state later on.8-1 8-2 CHAPTER 8. FAULT TOLERANCE8.1 Introduction to fault toleranceFault tolerance has been subject to much research in computer science.In this sec-tion, we start with presenting the basic concepts related to processingfailures, fol-lowed by a discussion of failure models. The key technique for handlingfailures isredundancy, which is also discussed. For more general information onfault toler-ance in distributed systems, see, for example [Jalote, 1994; Shooman,2002] or [Korenand Krishna, 2007].8.1.1 Basic conceptsTo understand the role of fault tolerance in distributed systems wefirst need to takea closer look at what it actually means for a distributed system totolerate faults.Being fault tolerant is strongly related to what are calleddependable systems. De-pendability is a term that covers a number of useful requirements fordistributed

systems including the following [Kopetz and Verissimo, 1993]:• Availability• Reliability• Safety• MaintainabilityAvailabilityis defined as the property that a system is ready to be used imme-diately. In general, it refers to the probability that the system isoperating correctlyat any given moment and is available to perform its functions on behalfof its users.In other words, a highly available system is one that will most likelybe working ata given instant in time.Reliabilityrefers to the property that a system can run continuously without fail-ure. In contrast to availability, reliability is defined in terms of atime interval insteadof an instant in time. A highly reliable system is one that will mostlikely continueto work without interruption during a relatively long period of time.This is a sub-tle but important difference when compared to availability. If a systemgoes downon average for one, seemingly random millisecond every hour, it has anavailabilityof more than 99.9999 percent, but is still unreliable. Similarly, asystem that nevercrashes but is shut down for two specific weeks every August has highreliabilitybut only 96 percent availability. The two are not the same.Safetyrefers to the situation that when a system temporarily fails to operatecor-rectly, no catastrophic event happens. For example, many process-control systems,such as those used for controlling nuclear power plants or sendingpeople into space,are required to provide a high degree of safety. If such controlsystems temporarilyfail for only a very brief moment, the effects could be disastrous.Many examplesfrom the past (and probably many more yet to come) show how hard it is

to buildsafe systems.Finally,maintainabilityrefers to how easily a failed system can be repaired. Ahighly maintainable system may also show a high degree of availability,especially 8.1. INTRODUCTION TO FAULT TOLERANCE 8-3if failures can be detected and repaired automatically. However, as weshall see laterin this chapter, automatically recovering from failures is easier saidthan done.Note 8.1(More information: Traditional metrics)We can be a bit more precise when it comes to describing availability andreliability.()[)Formally, the availability Atof a component in the time interval0, tis defined as theaverage fraction of time that the component has been functioning correctlyduring that()interval. Thelong-term availabilityA of a component is defined as A8.()[)Likewise, the reliability Rtof a component in the time interval0,tis formallydefined as the conditional probability that it has been functioning correctlyduring that

=interval given that it was functioning correctly at time T0. Following Pradhan [1996],()()to establish Rtwe consider a system of N identical components. Let Ntdenote0()the number of correctly operating components at time t and Ntthe number of failed1components. Then, clearly,()()()NtNtNt010() ==-=Rt1() +(

)NNNtNt01()The rate at which components are failing can be expressed as the derivative dNt/dt.1Dividing this by the number of correctly operating components at time t givesus the()failure rate functionzt:()1dNt() =1zt()Ntdt0From()()dRt1

dNt1= -dtNdtit follows that()()()1dNtNdRt1dRt() == -= -1zt()()()NtdtNtdtRtdt0

0If we make the simplifying assumption that a component does not age (and thusessen-() =tially has no wear-out phase), its failure rate will be constant, i.e., ztz , implyingthat()dRt= -()z Rtdt() =Because R01, we obtain() =-RteztIn other words, if we ignore aging of a component, we see that a constantfailure rateleads to a reliability following an exponential distribution, having the formshown inFigure 8.1.10T imeFigure 8.1: The reliability of a component having a constant failure rate. 8-4 CHAPTER 8. FAULT TOLERANCETraditionally, fault-tolerance has been related to the following threemetrics:•Mean Time To Failure(MTTF

): The average time until a component fails.•Mean Time To Repair(MTTR): The average time needed to repair a component.•Mean Time Between Failures(MTBF): Simply MTTF + MTTR.Note thatMTTFMTTF==A+MTBFMTTFMTTRAlso, these metrics make sense only if we have an accurate notion of what afailure ac-tually is. As we will encounter later, identifying the occurrence of a failuremay actuallynot be so obvious.Often, dependable systems are also required to provide a high degree ofsecurity,especially when it comes to issues such as integrity. We will discusssecurity in thenext chapter.A system is said tofailwhen it cannot meet its promises. In particular, if a dis-tributed system is designed to provide its users with a number ofservices, the sys-tem has failed when one or more of those services cannot be(completely) provided.Anerroris a part of a system’s state that may lead to a failure. For example,whentransmitting packets across a network, it is to be expected that somepackets havebeen damaged when they arrive at the receiver. Damaged in this context

means thatthe receiver may incorrectly sense a bit value (e.g., reading a 1instead of a 0), or mayeven be unable to detect that something has arrived.The cause of an error is called afault. Clearly, finding out what caused an erroris important. For example, a wrong or bad transmission medium mayeasily causepackets to be damaged. In this case, it is relatively easy to removethe fault. How-ever, transmission errors may also be caused by bad weather conditionssuch as inwireless networks. Changing the weather to reduce or prevent errors isa bit trickier.As another example, a crashed program is clearly a failure, which mayhave hap-pened because the program entered a branch of code containing aprogramming bug(i.e., a programming error). The cause of that bug is typically aprogrammer. In otherwords, the programmer is the fault of the error (programming bug), inturn leadingto a failure (a crashed program).Building dependable systems closely relates to controlling faults. Asexplainedby Avizienis et al. [2004], a distinction can be made betweenpreventing, tolerating,removing, and forecasting faults. For our purposes, the most importantissue isfault tolerance, meaning that a system can provide its services even in the presenceof faults. For example, by applying error-correcting codes fortransmitting packets,it is possible to tolerate, to a certain extent, relatively poortransmission lines andreducing the probability that an error (a damaged packet) may lead to afailure.Faults are generally classified as transient, intermittent, orpermanent.Transientfaultsoccur once and then disappear. If the operation is repeated, the fault

goesaway. A bird ying through the beam of a microwave transmitter maycause lost 8.1. INTRODUCTION TO FAULT TOLERANCE 8-5bits on some network (not to mention a roasted bird). If thetransmission times outand is retried, it will probably work the second time.Anintermittent faultoccurs, then vanishes of its own accord, then reappears,and so on. A loose contact on a connector will often cause anintermittent fault.Intermittent faults cause a great deal of aggravation because they aredifficult todiagnose. Typically, when the fault doctor shows up, the system worksfine.Apermanent faultis one that continues to exist until the faulty component isreplaced. Burnt-out chips, software bugs, and disk-head crashes areexamples ofpermanent faults.8.1.2 Failure modelsA system that fails is not adequately providing the services it wasdesigned for. If weconsider a distributed system as a collection of servers thatcommunicate with oneanother and with their clients, not adequately providing services meansthat servers,communication channels, or possibly both, are not doing what they aresupposed todo. However, a malfunctioning server itself may not always be the faultwe arelooking for. If such a server depends on other servers to adequatelyprovide itsservices, the cause of an error may need to be searched for somewhereelse.Such dependency relations appear in abundance in distributed systems. Afail-ing disk may make life difficult for a file server that is designed toprovide a highlyavailable file system. If such a file server is part of a distributed

database, the properworking of the entire database may be at stake, as only part of itsdata may be acces-sible.To get a better grasp on how serious a failure actually is, severalclassificationschemes have been developed. One such scheme is shown in Figure 8.2,and isbased on schemes described in Cristian [1991] and Hadzilacos and Toueg[1993].Type of failure DescriptionCrash failure A server halts, but is working correctly until it haltsOmission failure A server fails to respond to incoming requestsReceive omission A server fails to receive incoming messagesSend omission A server fails to send messagesTiming failure A server’s response lies outside a specified time inter-valResponse failure A server ’s response is incorrectValue failure The value of the response is wrongState-transition failure The server deviates from the correct ow ofcontrolArbitrary failure A server may produce arbitrary responses at arbitrarytimesFigure 8.2: Different types of failures.Acrash failureoccurs when a server prematurely halts, but was working cor- 8-6 CHAPTER 8. FAULT TOLERANCErectly until it stopped. An important aspect of crash failures is thatonce the serverhas halted, nothing is heard from it anymore. A typical example of acrash failure isan operating system that comes to a grinding halt, and for which thereis only onesolution: reboot it. Many personal computer systems suffer from crashfailures sooften that people have come to expect them to be normal. Consequently,movingthe reset button from the back of a cabinet to the front was done forgood reason.Perhaps one day it can be moved to the back again, or even removedaltogether.An

omission failureoccurs when a server fails to respond to a request. Severalthings might go wrong. In the case of areceive-omission failure, possibly the servernever got the request in the first place. Note that it may well be thecase that theconnection between a client and a server has been correctlyestablished, but thatthere was no thread listening to incoming requests. Also, a receive-omission failurewill generally not affect the current state of the server, as theserver is unaware ofany message sent to it.Likewise, asend-omission failurehappens when the server has done its work,but somehow fails in sending a response. Such a failure may happen, forexample,when a send buffer over ows while the server was not prepared for sucha situation.Note that, in contrast to a receive-omission failure, the server maynow be in a statere ecting that it has just completed a service for the client. As aconsequence, if thesending of its response fails, the server has to be prepared for theclient to reissue itsprevious request.Other types of omission failures not related to communication may becaused bysoftware errors such as infinite loops or improper memory management bywhichthe server is said to “hang.”Another class of failures is related to timing.Timing failuresoccur when theresponse lies outside a specified real-time interval. As we saw withisochronousdata streams in Chapter 4, providing data too soon may easily causetrouble for arecipient if there is not enough buffer space to hold all the incomingdata. Morecommon, however, is that a server responds too late, in which case a

performancefailure is said to occur.A serious type of failure is aresponse failure, by which the server’s response issimply incorrect. Two kinds of response failures may happen. In thecase of a valuefailure, a server simply provides the wrong reply to a request. Forexample, a searchengine that systematically returns Web pages not related to any of thesearch termsused, has failed.The other type of response failure is known as astate-transition failure. Thiskind of failure happens when the server reacts unexpectedly to anincoming request.For example, if a server receives a message it cannot recognize, astate-transition fail-ure happens if no measures have been taken to handle such messages. Inparticular,a faulty server may incorrectly take default actions it should neverhave initiated.The most serious arearbitrary failures, also known asByzantine failures. Ineffect, when arbitrary failures occur, clients should be prepared forthe worst. Inparticular, it may happen that a server is producing output it shouldnever have 8.1. INTRODUCTION TO FAULT TOLERANCE 8-7produced, but which cannot be detected as being incorrect. Byzantinefailures werefirst analyzed by Pease et al. [1980] and Lamport et al. [1982]. Wereturn to suchfailures below.Note 8.2(More information: Omission and commission failures)It has become somewhat of a habit to associate the occurrence of Byzantinefailures withmaliciously operating processes. The term “Byzantine” refers to the Byzantine

Empire, atime (330–1453) and place (the Balkans and modern Turkey) in which endlessconspira-cies, intrigue, and untruthfulness were alleged to be common in rulingcircles.However, it may not be possible to detect whether an act was actually benignormalicious. Is a networked computer running a poorly engineered operatingsystem thatadversely affects the performance of other computers acting maliciously? Inthis sense,it is better to make the following distinction, which effectively excludesjudgment:• Anomission failureoccurs when a component fails to take an action that it shouldhave taken.• Acommission failureoccurs when a component takes an action that it should nothave taken.This difference, introduced by Mohan et al. [1983], also illustrates thatthere may indeedbe a thin line between dependability and security.Many of the aforementioned cases deal with the situation that a processP nolonger perceives any actions from another process Q. However, can Pconclude thatQ has indeed come to a halt? To answer this question, we need to make adistinctionbetween two types of distributed systems:• In anasynchronous system, no assumptions about process execution speedsor message delivery times are made. The consequence is that whenprocessP no longer perceives any actions from Q, it cannot conclude that Qcrashed.Instead, it may just be slow or its messages may have been lost.• In asynchronous system, process execution speeds and message-delivery timesare bounded. This also means that when Q shows no more activity when itisexpected to do so, process P can rightfully conclude that Q has

crashed.Unfortunately, pure synchronous systems exist only in theory. On theother hand,simply stating that every distributed system is asynchronous also doesnot do just towhat we see in practice and we would be overly pessimistic in designingdistributedsystems under the assumption that they are necessarily asynchronous.Instead, it ismore realistic to assume that a distributed system ispartially synchronous: most ofthe time it behaves as a synchronous system, yet there is no bound onthe time thatit behaves in an asynchronous fashion. In other words, asynchronousbehavior isan exception, meaning that we can normally use timeouts to concludethat a processhas indeed crashed, but that occasionally such a conclusion is false. 8-8 CHAPTER 8. FAULT TOLERANCEIn this context, halting failures can be classified as follows, fromthe least to themost severe (see also Cachin et al. [2011]). We let process P attemptto detect thatprocess Q has failed.•Fail-stop failuresrefer to crash failures that can be reliably detected. This mayoccur when assuming nonfaulty communication links and when the failure-detecting process P can place a worst-case delay on responses from Q.•Fail-noisy failuresare like fail-stop failures, except that P will only eventuallycome to the correct conclusion that Q has crashed. This means thatthere maybe some a priori unknown time in which P’s detections of the behaviorof Qare unreliable.• When dealing withfail-silent failures, we assume that communication linksare nonfaulty, but that process P cannot distinguish crash failuresfrom omis-

sion failures.•Fail-safe failurescover the case of dealing with arbitrary failures by processQ, yet these failures are benign: they cannot do any harm.• Finally, when dealing withfail-arbitrary failures, Q may fail in any possibleway; failures may be unobservable in addition to being harmful to theother-wise correct behavior of other processes.Clearly, having to deal with fail-arbitrary failures is the worst thatcan happen. Aswe shall discuss shortly, we can design distributed systems in such away that theycan even tolerate these types of failures.8.1.3 Failure masking by redundancyIf a system is to be fault tolerant, the best it can do is to try tohide the occurrenceof failures from other processes. The key technique for masking faultsis to useredundancy. Three kinds are possible: information redundancy, timeredundancy,and physical redundancy (see also Johnson [1995]). Withinformation redundancy,extra bits are added to allow recovery from garbled bits. For example,a Hammingcode can be added to transmitted data to recover from noise on thetransmissionline.Withtime redundancy, an action is performed, and then, if need be, it is per-formed again. Transactions use this approach. If a transaction aborts,it can be re-done with no harm. Another well-known example is retransmitting arequest to aserver when lacking an expected response. Time redundancy is especiallyhelpfulwhen the faults are transient or intermittent.Withphysical redundancy

, extra equipment or processes are added to make itpossible for the system as a whole to tolerate the loss ormalfunctioning of somecomponents. Physical redundancy can thus be done either in hardware orin soft-ware. For example, extra processes can be added to the system so thatif a smallnumber of them crash, the system can still function correctly. In otherwords, byreplicating processes, a high degree of fault tolerance may beachieved. We return tothis type of software redundancy below. 8.1. INTRODUCTION TO FAULT TOLERANCE 8-9Note 8.3(More information: Triple modular redundancy)It is illustrative to see how redundancy has been applied in the design ofelectronic de-vices. Consider, for example, the circuit of Figure 8.3(a). Here signals passthrough de-vices A, B, and C, in sequence. If one of them is faulty, the final resultwill probably beincorrect.A B C(a)A1V1B1V4C 1V 7Vo te rA2V2B2V5C2V 8D e vic eA3V3B3V6C3V 9(b)Figure 8.3: Triple modular redundancy.In Figure 8.3(b), each device is replicated three times. Following each stagein thecircuit is a triplicated voter. Each voter is a circuit that has three inputsand one output. Iftwo or three of the inputs are the same, the output is equal to that input. Ifall three inputs

are different, the output is undefined. This kind of design is known asTriple ModularRedundancy(TMR).Suppose that element Afails. Each of the voters, V, V, and Vgets two good2231(identical) inputs and one rogue input, and each of them outputs the correctvalue to thesecond stage. In essence, the effect of Afailing is completely masked, so that the inputs2to B, B, and Bare exactly the same as they would have been had no fault occurred.123Now consider what happens if Band Care also faulty, in addition to A. These312effects are also masked, so the three final outputs are still correct.At first it may not be obvious why three voters are needed at each stage.After all,one voter could also detect and pass though the majority view. However, avoter is alsoa component and can also be faulty. Suppose, for example, that voter Vmalfunctions.1The input to Bwill then be wrong, but as long as everything else works, Band Bwill123produce the same output and V, V

, and Vwill all produce the correct result into stage456three. A fault in Vis effectively no different than a fault in B. In both cases Bproduces111incorrect output, but in both cases it is voted down later and the finalresult is still correct.Although not all fault-tolerant distributed systems use TMR, the technique isverygeneral, and should give a clear feeling for what a fault-tolerant system is,as opposedto a system whose individual components are highly reliable but whoseorganizationcannot tolerate faults (i.e., operate correctly even in the presence of faultycomponents).Of course, TMR can be applied recursively, for example, to make a chip highlyreliable byusing TMR inside it, unknown to the designers who use the chip, possibly intheir owncircuit containing multiple copies of the chips along with voters. 8-10 CHAPTER 8. FAULT TOLERANCE8.2 Process resilienceNow that the basic issues of fault tolerance have been discussed, letus concentrateon how fault tolerance can actually be achieved in distributed systems.The firsttopic we discuss is protection against process failures, which isachieved by replicat-ing processes into groups. In the following pages, we consider thegeneral designissues of process groups and discuss what a fault-tolerant groupactually is. Also,we look at how to reach agreement within a process group when one ormore of itsmembers cannot be trusted to give correct answers.8.2.1 Resilience by process groupsThe key approach to tolerating a faulty process is to organize severalidentical pro-cesses into a group. The key property that all groups have is that when

a message issent to the group itself, all members of the group receive it. In thisway, if one pro-cess in a group fails, hopefully some other process can take over forit [Guerraouiand Schiper, 1997].Process groups may be dynamic. New groups can be created and old groupscanbe destroyed. A process can join a group or leave one during systemoperation. Aprocess can be a member of several groups at the same time.Consequently, mecha-nisms are needed for managing groups and group membership.The purpose of introducing groups is to allow a process to deal withcollectionsof other processes as a single abstraction. Thus a process P can send amessage to= {}a groupQQ, . . . , Qof servers without having to know who they are, how1Nmany there are, or where they are, which may change from one call tothe next. ToP, the groupQappears to be a single, logical process.Group organizationAn important distinction between different groups has to do with theirinternalstructure. In some groups, all processes are equal. There is nodistinctive leaderand all decisions are made collectively. In other groups, some kind ofhierarchy ex-ists. For example, one process is the coordinator and all the othersare workers. Inthis model, when a request for work is generated, either by an externalclient or byone of the workers, it is sent to the coordinator. The coordinator then

decides whichworker is best suited to carry it out, and forwards it there. Morecomplex hierar-chies are also possible, of course. These communication patterns areillustrated inFigure 8.4.Each of these organizations has its own advantages and disadvantages.The atgroup is symmetrical and has no single point of failure. If one of theprocessescrashes, the group simply becomes smaller, but can otherwise continue.A disadvan-tage is that decision making is more complicated. For example, todecide anything,a vote often has to be taken, incurring some delay and overhead. 8.2. PROCESS RESILIENCE8-11Flat group Hierarchical group CoordinatorWorker(a) (b)Figure 8.4: Communication in a (a) at group and in a (b) hierarchicalgroup.The hierarchical group has the opposite properties. Loss of thecoordinator bringsthe entire group to a grinding halt, but as long as it is running, itcan make decisionswithout bothering everyone else. In practice, when the coordinator in ahierarchicalgroup fails, its role will need to be taken over and one of the workersis elected asnew coordinator. We discussed leader-election algorithms in Chapter 6.Membership managementWhen group communication is present, some method is needed for creatinganddeleting groups, as well as for allowing processes to join and leavegroups. One pos-sible approach is to have agroup serverto which all these requests can be sent. Thegroup server can then maintain a complete database of all the groupsand their exactmembership. This method is straightforward, efficient, and fairly easyto imple-

ment. Unfortunately, it shares a major disadvantage with allcentralized techniques:a single point of failure. If the group server crashes, groupmanagement ceases to ex-ist. Probably most or all groups will have to be reconstructed fromscratch, possiblyterminating whatever work was going on.The opposite approach is to manage group membership in a distributedway. Forexample, if (reliable) multicasting is available, an outsider can senda message to allgroup members announcing its wish to join the group.Ideally, to leave a group, a member just sends a goodbye message toeveryone.In the context of fault tolerance, assuming fail-stop failure semanticsis generally notappropriate. The trouble is, there is no polite announcement that aprocess crashes asthere is when a process leaves voluntarily. The other members have todiscover thisexperimentally by noticing that the crashed member no longer respondsto anything.Once it is certain that the crashed member is really down (and not justslow), it canbe removed from the group.Another knotty issue is that leaving and joining have to be synchronouswith 8-12 CHAPTER 8. FAULT TOLERANCEdata messages being sent. In other words, starting at the instant thata process hasjoined a group, it must receive all messages sent to that group.Similarly, as soon as aprocess has left a group, it must not receive any more messages fromthe group, andthe other members must not receive any more messages from it. One wayof makingsure that a join or leave is integrated into the message stream at theright place is toconvert this operation into a sequence of messages sent to the wholegroup.One final issue relating to group membership is what to do if so manyprocessesgo down that the group can no longer function at all. Some protocol is

needed torebuild the group. Invariably, some process will have to take theinitiative to start theball rolling, but what happens if two or three try at the same time?The protocol mustto be able to withstand this. Again, coordination through, for example,a leader-election algorithm may be needed.8.2.2 Failure masking and replicationProcess groups are part of the solution for building fault-tolerantsystems. In partic-ular, having a group of identical processes allows us to mask one ormore faulty pro-cesses in that group. In other words, we can replicate processes andorganize theminto a group to replace a single (vulnerable) process with a (faulttolerant) group. Asdiscussed in the previous chapter, there are two ways to approach suchreplication:by means of primary-based protocols, or through replicated-writeprotocols.Primary-based replication in the case of fault tolerance generallyappears in theform of a primary-backup protocol. In this case, a group of processesis organized ina hierarchical fashion in which a primary coordinates all writeoperations. In prac-tice, the primary is fixed, although its role can be taken over by oneof the backups,if need be. In effect, when the primary crashes, the backups executesome electionalgorithm to choose a new primary.Replicated-write protocols are used in the form of active replication,as well asby means of quorum-based protocols. These solutions correspond toorganizing acollection of identical processes into a at group. The main advantageis that suchgroups have no single point of failure at the cost of distributedcoordination.An important issue with using process groups to tolerate faults is howmuchreplication is needed. To simplify our discussion, let us consider only

replicated-write systems. A system is said to bek-fault tolerantif it can survive faults in kcomponents and still meet its specifications. If the components, sayprocesses, fail+silently, then having k1 of them is enough to provide k-fault tolerance. If k of themsimply stop, then the answer from the other one can be used.On the other hand, if processes exhibit arbitrary failures, continuingto run when·+faulty and sending out erroneous or random replies, a minimum of 2k1 processesare needed to achieve k-fault tolerance. In the worst case, the kfailing processescould accidentally (or even intentionally) generate the same reply.However, the+remaining k1 will also produce the same answer, so the client or voter can justbelieve the majority.Now suppose that in a k-fault tolerant group a single process fails.The group as 8.2. PROCESS RESILIENCE8-13a whole is still living up to its specifications, namely that it cantolerate the failure ofup to k of its members (of which one has just failed). But what happensif more thank members fail? In that case all bets are off and whatever the groupdoes, its results,if any, cannot be trusted. Another way of looking at this is that theprocess group, inits appearance of mimicking the behavior of a single, robust process,has failed.8.2.3 Consensus in faulty systemsAs mentioned, in terms of clients and servers, we have adopted a modelin which a

potentially very large collection of clients now send commands to agroup of processesthat jointly behave as a single, highly robust process. To make thiswork, we need tomake an important assumption:In a fault-tolerant process group, each nonfaulty process executes thesame com-mands, and in the same order, as every other nonfaulty process.Formally, this means that the group members need to reachconsensuson whichcommand to execute. If failures cannot happen, reaching consensus iseasy. Forexample, we can use Lamport’s totally ordered multicasting as describedin Sec-tion 6.2.1. Or, to keep it simple, using a centralized sequencer thathands out a se-quence number to each command that needs to be executed will do the jobas well.Unfortunately, life is not without failures, and reaching consensusamong a group ofprocesses under more realistic assumptions turns out to be tricky.To illustrate the problem at hand, let us assume we have a group ofprocesses= {}PP, . . . , Poperating under fail-stop failure semantics. In other words, we1nassume that crash failures can be reliably detected among the groupmembers. Typ-ically a client contacts a group member requesting it to execute acommand. Everygroup member maintains a list of proposed commands: some which itreceived di-rectly from clients; others which it received from its fellow groupmembers. We canreach consensus using the following approach, adopted from Cachin etal. [2011],and referred to as

ooding consensus.The algorithm operates in rounds. In each round, a process Psends its list ofiproposed commands it has seen so far to every other process inP. At the end of around, each process merges all received proposed commands into a newlist, fromwhich it then will deterministically select the command to execute, ifpossible. Itis important to realize that the selection algorithm is the same forall processes. Inother words, if all process have exactly the same list, they will allselect the samecommand to execute (and remove that command from their list).It is not difficult to see that this approach works as long asprocesses do not fail.Problems start when a process Pdetects, during round r , that, say process Phasikcrashed. To make this concrete, assume we have a process group of fourprocesses{}P, . . . , Pand that Pcrashes during round r. Also, assume that Preceives the list1412of proposed commands from Pbefore it crashes, but that Pand Pdo not (in other134words, P

crashes before it got a chance to send its list to Pand P). This situation is134sketched in Figure 8.5. 8-14 CHAPTER 8. FAULT TOLERANCEP1 crashes P2 has received all proposedcommands and decidesP1P2P3P3 and P4 have received allproposed commands and takesame decision as P2P4TimeFigure 8.5: Reaching consensus through ooding in the presence of crashfailures.Adopted from Cachin et al. [2011].Assuming that all processes knew who was group member at the beginningofround r, Pis ready to make a decision on which command to execute when it re-2ceives the respective lists of the other members: it has all commandsproposed sofar. Not so for Pand P. For example, Pmay detect that Pcrashed, but it does3431not know if either Por Phad already received P’s list. From P’s perspective, if2413

there is another process that did receive P’s proposed commands, that process may1then make a different decision then itself. As a consequence, the bestthat Pcan do3is postpone its decision until the next round. The same holds for Pin this exam-4ple. A process will decide to move to a next round when it has receiveda messagefrom every nonfaulty process. This assumes that each process canreliably detect thecrashing of another process, for otherwise it would not be able todecide who thenonfaulty processes are.Because process Preceived all commands, it can indeed make a decision and2can subsequently broadcast that decision to the others. Then, duringthe next round+r1, processes Pand Pwill also be able to make a decision: they will decide to34execute the same command selected by P.2To understand why this algorithm is correct, it is important to realizethat a pro-cess will move to a next round without having made a decision, onlywhen it detectsthat another process has failed. In the end, this means that in theworst case atmost one nonfaulty process remains, and this process can simply decidewhateverproposed command to execute. Again, note that we are assuming reliablefailuredetection.But then, what happens when the decision by process P

that it sent to Pwas23lost? In that case, Pcan still not make a decision. Worse, we need to make sure3that it makes the same decision as Pand P. If Pdid not crash, we can assume that224a retransmission of its decision will save the day. If Pdid crash, this will be also2detected by Pwho will then subsequently rebroadcast its decision. In the meantime,4Phas moved to a next round, and after receiving the decision by P, will terminate34its execution of the algorithm. 8.2. PROCESS RESILIENCE8-15Essential PaxosThe ooding-based consensus algorithm is not very realistic if only forthe fact thatit relies on a fail-stop failure model. More realistic is to assume afail-noisy fail-ure model in which a process will eventually reliably detect thatanother process hascrashed. In the following, we describe a simplified version of a widelyadopted con-sensus algorithm, known asPaxos. It was originally published in 1989 as a technicalreport by Leslie Lamport, but it took about a decade before someonedecided thatit may not be such a bad idea to disseminate it through a regularscientific chan-nel [Lamport, 1998]. The original publication is not easy to

understand, exemplifiedby other publications that aim at explaining it [Lampson, 1996; Priscoet al., 1997;Lamport, 2001]. In the following, we will stick to the essence ofLamport’s originalproposal.The assumptions under which Paxos operates are rather weak:• The distributed systems is partially synchronous (in fact, it mayeven be asyn-chronous).• Communication between processes may be unreliable, meaning thatmessagesmay be lost, duplicated, or reordered.• Messages that are corrupted can be detected as such (and thussubsequentlyignored).• All operations are deterministic: once an execution is started, it isknown ex-actly what it will do.• Processes may exhibit crash failures, but not arbitrary failures, nordo pro-cesses collude.By-and-large, these are realistic assumptions for many practicaldistributed systems.We follow the explanation given by Lamport [2001] to build anunderstandingof the Paxos algorithm. The algorithm operates as a network ofcommunicatingprocesses, of which there are different types. First, there areclientsthat request aspecific operation to be executed. At the server side, each client isrepresented bya singleproposer, which is a process that will attempt to have a client’s requestaccepted. There may be several proposers, each representing one or moreclients.What we need to establish is that a proposed operation is accepted byanacceptor. Ifa majority of acceptors accepts the same proposal, the proposal is said

to be chosen.However, what is chosen still needs to be learned. To this end, we willhave a numberoflearnerprocesses, each of which will execute a chosen proposal once it hasbeeninformed by a majority of acceptors.A single proposer, acceptor, and learner are grouped together to formthe logicalserver, running on a single machine, that the client communicates with,as shownin Figure 8.6. By replicating this server we aim at obtaining faulttolerance in thepresence of crash failures.The basic model is that a proposer makes a proposal (on behalf of aclient) bysending its proposal to all acceptors. As there may be multipleconcurrent proposalssent roughly at the same time, we first need to make sure thatdifferent proposals 8-16 CHAPTER 8. FAULT TOLERANCEClients Single client request/responseCProposer Acceptor LearnerL ead erCPALCPALCPALCServer processOther requestFigure 8.6: The organization of Paxos into different processes.can be distinguished from one another. Therefore, each proposal p has auniquely()associated number id

p. How uniqueness is achieved is left to an implementation.Second, to make sure that a group of acceptors can actually choose aproposal, weneed to allow an acceptor to accept multiple proposals (and thus thatit can changeits initial choice).()Let operpdenote the operation associated with proposal p. The trick is to allowmultiple proposals to be accepted, but that each of these proposals hasthe sameassociated operation. This can be achieved by guaranteeing that if aproposal pis chosen, that any higher-numbered proposal will also have the sameassociatedoperation. In other words, we require that() >()() =()p is chosenfor all p with idpidp: operpoperpOf course, for p to be chosen, it needs to be accepted. That means thatwe canguarantee our requirement when guaranteeing that if p is chosen, thenany higher-numbered proposal accepted by any acceptor, has the same associated

operation asp . However, this is not sufficient, for suppose that at a certainmoment a proposersimply sends a new proposal p , with the highest number so far, to anacceptor A thathad not received any proposal before (which may happen according to ourassump-tions concerning message loss). In absence of any other proposals, Awill simplyaccept p . To prevent this situation from happening, we thus need toguarantee thatIf proposal p is chosen, then any higher-numbered proposal issued by aproposer,has the same associated operation as p.When explaining the Paxos algorithm below, we will indeed see that aproposer mayneed to adopt an operation coming from acceptors in favor of its own. 8.2. PROCESS RESILIENCE8-17The processes collectively formally ensure safety, in the sense thatonly proposedoperations will be learned, and that at most one operation will belearned at a time.Furthermore, Paxos ensures conditional liveness in the sense that ifenough processesremain up-and-running, then a proposed operation will eventually belearned (andthus executed). Liveness in general is not guaranteed, unless somesmall adaptationsare made.There are two phases, each in turn consisting of two subphases. Duringthe firstphase, a proposer interacts with acceptors to get a requested operationacceptedfor execution. The best that can happen is that an individual acceptorpromisesto consider the proposer ’s operation and ignore other requests. Theworst is thatthe proposer was too late and that it will be asked to adopt some otherproposer ’srequest instead.In the second phase, the acceptors will have informed proposers aboutthe promises

they have made. Proposers essentially take up a slightly different roleby promotinga single operation to the one to be executed, and subsequently tellingthe acceptors.Phase 1a (prepare):The goal of this phase is that a proposer PP who is proposingoperation o, tries to get its proposal numberanchored, in the sense that anylower number failed, or that o had also been previously proposed (i.e.,withsome lower proposal number). To this end, PP communicates with a quorumof acceptors. For the operation o, the proposer selects a counter mhigher than=any of its previously selected counters. This leads to aproposal numberr()m, iwhere i is the (numerical) process identifier of PP. Note that() < () (<)(=<)m, in, jmnormn and ij()

Proposer PP sends preparerto a majority of acceptors. In doing so, it is(1) asking the acceptors to promise not to accept any proposals with alowerproposal number, and (2) to inform it about an accepted proposal, ifany, withthe highest number less than r. Note that if such a proposal p exists,the pro-()poser will adopt the associated operation operp.Phase 1b (promise):An acceptor PA receives multiple proposals. Assume it re-()ceives preparerfrom PP. There are three cases to consider:• r is the highest proposal number received from any proposer so far.In()that case, PA will return a promise promiserto PP stating that PA willignore any future proposals with a lower proposal number.()• If r is the highest number so far, but another proposalr , ohad already()been accepted, PA also returnsr , oto PP. This will allow PP to decideon the final operation that needs to be accepted.• In all other cases, do nothing: there is apparently another proposal

with ahigher proposal number that is being processed. 8-18 CHAPTER 8. FAULT TOLERANCEOnce the first phase has been completed, proposers know what theacceptors havepromised. This will put a proposer into a position to tell theacceptors what to accept:Phase 2a (accept):There are two cases to consider:• If a proposer PP does not receive any accepted operation from any ofthe acceptors, it will forward its own proposal for acceptance bysending()acceptr, oto a majority of acceptors.• Otherwise, it was informed about another operation o , which it willadopt()and forward for acceptance by sending acceptr, o, where r is the pro-poser ’s proposal number and o is the operation with proposal numberhighest among all accepted operations that were returned by the accep-tors in Phase 1b.()Phase 2b (learn):Finally, if an acceptor PA receives acceptr, o, but did not previ-ously send a promise with a higher proposal number, it will acceptoperation()()o and tell all learners by sending learno

. A learner PL receiving learnofrom a majority of acceptors, will execute the operation o .8.2.4 Failure detectionIt may have become clear from our discussions so far that in order toproperly maskfailures, we generally need to detect them as well. Failure detectionis one of thecornerstones of fault tolerance in distributed systems. What it allboils down to isthat for a group of processes, nonfaulty members should be able todecide who isstill a member, and who is not. In other words, we need to be able todetect when amember has failed.When it comes to detecting process failures, there are essentially onlytwo mech-anisms. Either processes actively send “are you alive?” messages toeach other (forwhich they obviously expect an answer), or passively wait untilmessages come infrom different processes. The latter approach makes sense only when itcan be guar-anteed that there is enough communication between processes.There has been a huge body of theoretical work on failure detectors.What it allboils down to is that a timeout mechanism is used to check whether aprocess hasfailed. If a process P probes another process Q to see if has failed, Pis said tosuspectQ to have crashed if Q has not responded within some time.Note 8.4(More information: On perfect failure detectors)It should be clear that in a synchronous distributed system, a suspected crashcorre-sponds to a known crash. In practice, however, we will be dealing withpartially syn-chronous systems. In that case, it makes more sense to assumeeventually perfect failuredetectors. In this case, a process P will suspect another process Q to have crashedafter ttime units have elapsed and still Q did not respond to P’s probe. However, if

Q later doessend a message that is (also) received by P, P will (1) stop suspecting Q, and(2) increase 8.2. PROCESS RESILIENCE8-19the timeout value t. Note that if Q does crash (and does not recover), P willcontinue tosuspect Q.In real settings, there are problems with using probes and timeouts.For exam-ple, due to unreliable networks, simply stating that a process hasfailed because itdoes not return an answer to a probe message may be wrong. In otherwords, itis quite easy to generate false positives. If a false positive has theeffect that a per-fectly healthy process is removed from a membership list, then clearlywe are doingsomething wrong. Another serious problem is that timeouts are justplain crude. Asnoticed by Birman [2012], there is hardly any work on building properfailure detec-tion subsystems that take more into account than only the lack of areply to a singlemessage. This statement is even more evident when looking at industry-deployeddistributed systems.There are various issues that need to be taken into account whendesigning afailure detection subsystem [see also Zhuang et al. [2005]]. Forexample, failure de-tection can take place through gossiping in which each node regularlyannounces toits neighbors that it is still up and running. As we mentioned, analternative is to letnodes actively probe each other.Failure detection can also be done as a side-effect of regularlyexchanging infor-mation with neighbors, as is the case with gossip-based informationdissemination(which we discussed in Chapter 4). This approach is essentially alsoadopted inObduro [Vogels, 2003]: processes periodically gossip their service

availability. Thisinformation is gradually disseminated through the network by gossiping.Eventu-ally, every process will know about every other process, but moreimportantly, willhave enough information locally available to decide whether a processhas failed ornot. A member for which the availability information is old, willpresumably havefailed.Another important issue is that a failure detection subsystem shouldideally beable to distinguish network failures from node failures. One way ofdealing withthis problem is not to let a single node decide whether one of itsneighbors hascrashed. Instead, when noticing a timeout on a probe message, a noderequestsother neighbors to see whether they can reach the presumed failingnode. Of course,positive information can also be shared: if a node is still alive, thatinformation canbe forwarded to other interested parties (who may be detecting a linkfailure to thesuspected node).This brings us to another key issue: when a member failure is detected,howshould other nonfaulty processes be informed? One simple, and somewhatradicalapproach is the one followed in FUSE [Dunagan et al., 2004]. In FUSE,processescan be joined in a group that spans a wide-area network. The groupmembers createa spanning tree that is used for monitoring member failures. Memberssend pingmessages to their neighbors. When a neighbor does not respond, thepinging nodeimmediately switches to a state in which it will also no longer respondto pings from 8-20 CHAPTER 8. FAULT TOLERANCEother nodes. By recursion, it is seen that a single node failure israpidly promoted to agroup failure notification. FUSE does not suffer a lot from link

failures for the simplereason that it relies on point-to-point TCP connections between groupmembers.