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Transactions Overview Guide

by Mark Little


The Transactions Overview Guide contains information on how to use Narayana to develop applications that use transaction technology to manage business processes.

This manual uses several conventions to highlight certain words and phrases and draw attention to specific pieces of information.

In PDF and paper editions, this manual uses typefaces drawn from the Liberation Fonts set. The Liberation Fonts set is also used in HTML editions if the set is installed on your system. If not, alternative but equivalent typefaces are displayed. Note: Red Hat Enterprise Linux 5 and later includes the Liberation Fonts set by default.

Four typographic conventions are used to call attention to specific words and phrases. These conventions, and the circumstances they apply to, are as follows.

Mono-spaced Bold

Used to highlight system input, including shell commands, file names and paths. Also used to highlight keycaps and key combinations. For example:

The above includes a file name, a shell command and a keycap, all presented in mono-spaced bold and all distinguishable thanks to context.

Key combinations can be distinguished from keycaps by the hyphen connecting each part of a key combination. For example:

The first paragraph highlights the particular keycap to press. The second highlights two key combinations (each a set of three keycaps with each set pressed simultaneously).

If source code is discussed, class names, methods, functions, variable names and returned values mentioned within a paragraph will be presented as above, in mono-spaced bold. For example:

Proportional Bold

This denotes words or phrases encountered on a system, including application names; dialog box text; labeled buttons; check-box and radio button labels; menu titles and sub-menu titles. For example:

The above text includes application names; system-wide menu names and items; application-specific menu names; and buttons and text found within a GUI interface, all presented in proportional bold and all distinguishable by context.

Mono-spaced Bold Italic or Proportional Bold Italic

Whether mono-spaced bold or proportional bold, the addition of italics indicates replaceable or variable text. Italics denotes text you do not input literally or displayed text that changes depending on circumstance. For example:

Note the words in bold italics above — username, domain.name, file-system, package, version and release. Each word is a placeholder, either for text you enter when issuing a command or for text displayed by the system.

Aside from standard usage for presenting the title of a work, italics denotes the first use of a new and important term. For example:

The Transaction Fundamentals describes what transactions are, why ACID transactions are good in most cases but extended transactions are necessary in other areas, and other useful information to best use Narayana.

Consider the following situation: a user wishes to purchase access to an on-line newspaper and requires to pay for this access from an account maintained by an on-line bank. Once the newspaper site has received the user’s credit from the bank, they will deliver an electronic token to the user granting access to their site. Ideally the user would like the debiting of the account, and delivery of the token to be “all or nothing” (atomic). However, hardware and software failures could prevent either event from occurring, and leave the system in an indeterminate state.

A transaction can be terminated in two ways: committed or aborted (rolled back). When a transaction is committed, all changes made within it are made durable (forced on to stable storage, e.g., disk). When a transaction is aborted, all of the changes are undone. Atomic actions can also be nested; the effects of a nested action are provisional upon the commit/abort of the outermost (top-level) atomic action.

Transactions have emerged as the dominant paradigm for coordinating interactions between parties in a (distributed) system, and in particular to manage applications that require concurrent access to shared data. A classic transaction is a unit of work that either completely succeeds, or fails with all partially completed work being undone. When a transaction is committed, all changes made by the associated requests are made durable, normally by committing the results of the work to a database. If a transaction should fail and is rolled back, all changes made by the associated work are undone. Transactions in distributed systems typically require the use of a transaction manager that is responsible for coordinating all of the participants that are part of the transaction.

A two-phase commit protocol is required to guarantee that all of the action participants either commit or abort any changes made. See Figure 2.2, “Two-Phase Commit Overview” which illustrates the main aspects of the commit protocol: during phase 1, the action coordinator, C, attempts to communicate with all of the action participants, A and B, to determine whether they will commit or abort. An abort reply from any participant acts as a veto, causing the entire action to abort. Based upon these (lack of) responses, the coordinator arrives at the decision of whether to commit or abort the action. If the action will commit, the coordinator records this decision on stable storage, and the protocol enters phase 2, where the coordinator forces the participants to carry out the decision. The coordinator also informs the participants if the action aborts.

When each participant receives the coordinator’s phase 1 message, they record sufficient information on stable storage to either commit or abort changes made during the action. After returning the phase 1 response, each participant who returned a commit response must remain blocked until it has received the coordinator’s phase 2 message. Until they receive this message, these resources are unavailable for use by other actions. If the coordinator fails before delivery of this message, these resources remain blocked. However, if crashed machines eventually recover, crash recovery mechanisms can be employed to unblock the protocol and terminate the action.

Figure 2.2. Two-Phase Commit Overview


During two-phase commit transactions, coordinators and resources keep track of activity in non-volatile data stores so that they can recover in the case of a failure.

Besides the two-phase commit protocol, traditional transaction processing systems employ an additional protocol, often referred to as the synchronization protocol. With the original ACID properties, Durability is important when state changes need to be available despite failures. Applications interact with a persistence store of some kind, such as a database, and this interaction can impose a significant overhead, because disk access is much slower to access than main computer memory.

One solution to the problem disk access time is to cache the state in main memory and only operate on the cache for the duration of a transaction. Unfortunately, this solution needs a way to flush the state back to the persistent store before the transaction terminates, or risk losing the full ACID properties. This is what the synchronization protocol does, with Synchronization Participants.

Synchronizations are informed that a transaction is about to commit. At that point, they can flush cached state, which might be used to improve performance of an application, to a durable representation prior to the transaction committing. The synchronizations are then informed about when the transaction completes and its completion state.

The synchronization protocol does not have the same failure requirements as the traditional two-phase commit protocol. For example, Synchronization participants do not need the ability to recover in the event of failures, because any failure before the two-phase commit protocol completes cause the transaction to roll back, and failures after it completes have no effect on the data which the Synchronization participants are responsible for.

There are several variants to the standard two-phase commit protocol that are worth knowing about, because they can have an impact on performance and failure recovery. Table 2.1, “Variants to the Two-Phase Commit Protocol” gives more information about each one.

Table 2.1. Variants to the Two-Phase Commit Protocol



Presumed Abort

If a transaction is going to roll back, the coordinator may record this information locally and tell all enlisted participants. Failure to contact a participant has no effect on the transaction outcome. The coordinator is informing participants only as a courtesy. Once all participants have been contacted, the information about the transaction can be removed. If a subsequent request for the status of the transaction occurs, no information will be available and the requester can assume that the transaction has aborted. This optimization has the benefit that no information about participants need be made persistent until the transaction has progressed to the end of the prepare phase and decided to commit, since any failure prior to this point is assumed to be an abort of the transaction.


If only a single participant is involved in the transaction, the coordinator does not need to drive it through the prepare phase. Thus, the participant is told to commit, and the coordinator does not need to record information about the decision, since the outcome of the transaction is the responsibility of the participant.


When a participant is asked to prepare, it can indicate to the coordinator that no information or data that it controls has been modified during the transaction. Such a participant does not need to be informed about the outcome of the transaction since the fate of the participant has no affect on the transaction. Therefore, a read-only participant can be omitted from the second phase of the commit protocol.

In order to guarantee atomicity, the two-phase commit protocol is blocking. As a result of failures, participants may remain blocked for an indefinite period of time, even if failure recovery mechanisms exist. Some applications and participants cannot tolerate this blocking.

To break this blocking nature, participants that are past the prepare phase are allowed to make autonomous decisions about whether to commit or rollback. Such a participant must record its decision, so that it can complete the original transaction if it eventually gets a request to do so. If the coordinator eventually informs the participant of the transaction outcome, and it is the same as the choice the participant made, no conflict exists. If the decisions of the participant and coordinator are different, the situation is referred to as a non-atomic outcome, and more specifically as a heuristic outcome.

Resolving and reporting heuristic outcomes to the application is usually the domain of complex, manually driven system administration tools, because attempting an automatic resolution requires semantic information about the nature of participants involved in the transactions.

Precisely when a participant makes a heuristic decision depends on the specific implementation. Likewise, the choice the participant makes about whether to commit or to roll back depends upon the implementation, and possibly the application and the environment in which it finds itself. The possible heuristic outcomes are discussed in Table 2.2, “Heuristic Outcomes”.

Heuristic decisions should be used with care and only in exceptional circumstances, since the decision may possibly differ from that determined by the transaction service. This type of difference can lead to a loss of integrity in the system. Try to avoid needing to perform resolution of heuristics, either by working with services and participants that do not cause heuristics, or by using a transaction service that provides assistance in the resolution process.

Interposition is a scoping mechanism which allows coordination of a transaction to be delegated across a hierarchy of coordinators. See Figure 2.3, “Interpositions” for a graphical representation of this concept.

Figure 2.3. Interpositions

Interposition is particularly useful for Web Services transactions, as a way of limiting the amount of network traffic required for coordination. For example, if communications between the top-level coordinator and a web service are slow because of network traffic or distance, the web service might benefit from executing in a subordinate transaction which employs a local coordinator service. In Figure 2.3, “Interpositions”,to prepare, the top-level coordinator only needs to send one prepare message to the subordinate coordinator, and receive one prepared or aborted reply. The subordinate coordinator forwards a prepare locally to each participant and combines the results to decide whether to send a single prepared or aborted reply.

Many component technologies offer mechanisms for coordinating ACID transactions based on two-phase commit semantics. Some of these are CORBA/OTS, JTS/JTA, and MTS/MSDTC. ACID transactions are not suitable for all Web Services transactions, as explained in Reasons ACID is Not Suitable for Web Services.

Revision History
Revision 1Tue Apr 12 2010Tom Jenkinson
Initial creation of book by publican
Revision 2Thu Jan 16 2014Gytis Trikleris
Update to Wildfly and Narayana