Why a Self-Join Requires Halloween Protection

This article was originally published on 𝕏.

I was asked recently why Halloween Protection was needed for data modification statements that include a self-join of the target table. This gives me a chance to explain, while also covering some interesting product bug history from the SQL Server 7 and 2000 days.

If you already know all there is to know about the Halloween Problem as it applies to SQL Server, you can skip the background section.

Incorrect Results with Parallel Eager Spools and Batch Mode

You might have noticed a warning at the top of the release notes for SQL Server 2016 SP2 CU 16:

Note: After you apply CU 16 for SQL Server 2016 SP2, you might encounter an issue in which DML (insert/update/delete) queries that use parallel plans cannot complete any execution and encounter HP_SPOOL_BARRIER waits. You can use the trace flag 13116 or MAXDOP=1 hint to work around this issue. This issue is related to the introduction of fix for 13685819 and it will be fixed in the next Cumulative Update.

That warning links to bug reference 13685819 on the same page. There isn’t a separate KB article, only the description:

Fixes an issue with insert query in SQL Server 2016 that reads the data from the same table and uses a parallel execution plan may produce duplicate rows

Closest Match with Sort Rewinds

In When Do SQL Server Sorts Rewind? I described how most sorts can only rewind when they contain at most one row. The exception is in-memory sorts, which can rewind at most 500 rows and 16KB of data.

These are certainly tight restrictions, but we can still make use of them on occasion.

To illustrate, I am going reuse a demo Itzik Ben-Gan provided in part one of his Closest Match series, specifically solution 2 (modified value range and indexing).

As Itzik’s title suggests, the task is to find the closest match for a value in one table in a second table.

As Itzik describes it:

The challenge is to match to each row from T1 the row from T2 where the absolute difference between T2.val and T1.val is the lowest. In case of ties (multiple matching rows in T2), match the top row based on val ascending, keycol ascending order.

That is, the row with the lowest value in the val column, and if you still have ties, the row with the lowest keycol value. The tiebreaker is used to guarantee determinism.

A bug with Halloween Protection and the OUTPUT Clause

Background

The OUTPUT clause can be used to return results from an INSERT, UPDATE, DELETE, or MERGE statement. The data can be returned to the client, inserted to a table, or both.

There are two ways to add OUTPUT data to a table:

1. Using OUTPUT INTO
2. With an outer INSERT statement.

For example:

-- Test table
DECLARE @Target table
(
    id integer IDENTITY (1, 1) NOT NULL, 
    c1 integer NULL
);

-- Holds rows from the OUTPUT clause
DECLARE @Output table 
(
    id integer NOT NULL, 
    c1 integer NULL
);

Ranking Function Optimizer Transformations

In my last post I showed how SQL Server 2005 and later can use a Segment Spool to implement aggregate window functions and the NTILE ranking function.

The query optimizer is also smart enough to recognise that some queries are logically equivalent to a window function, even if they are written using different syntax.

Partitioning and the Common Subexpression Spool

SQL Server 2005 introduced the OVER clause to enable partitioning of rowsets before applying a window function. This post looks at how this feature may require a query plan containing a ‘common subexpression spool’. This query plan construction is required whenever an aggregate window function or the NTILE ranking window function is used.