Concurrent VSAM access for batch and CICS: A white paper series

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1 Concurrent VSAM access for batch and CICS: A white paper series Overview: Conventional and current alternatives A white paper from:

2 IBM and CICS are trademarks or registered trademarks of International Business Machines Corporation in the United States, other countries, or both. SYSB-II is a registered trademark of H&W Computer Systems, Inc. All other products mentioned herein may be trademarks or registered trademarks of their respective companies.

3 Introduction: Ongoing dilemma requires modern-day solution Current estimates suggest that CICS applications handle more than 30 billion transactions per day and process more than $1 trillion dollars' worth of business each week. Mainframe data also still drives information systems worldwide. The largest percentage of organizations responding to a 2017 Arcati survey said they manage almost half of their enterprise data on the mainframe. 1 Integrating legacy systems is a strategy mainframe sites continue to adopt. In fact, 71 percent of respondents in the 2017 Arcati survey said specifically that they re web-enabling CICS subsystems. 1 However, as organizations pursue this strategy, challenges can include unlocking the data, keeping the applications and data available to users, and maintaining data integrity in an efficient and cost-effective manner. A common scenario for availability involves CICS applications that require VSAM data. The traditional batch updating process takes VSAM files offline so that either: CICS applications no longer have access to the data and may be unavailable to users. Users have access only to a shadow file, a read-only file, or outdated data. This issue can be significant. In fact, a 2015 CICS survey from Enterprise Tech Journal of IT professionals found that 60 percent of those with VSAM data experienced challenges, with the top answer being Lack of availability for CICS applications during certain periods of the day or night at 74 percent. The next most reported answer was Lack of real-time data for internal or external customers because of the delay due to batch processing at 48 percent. 2 When online users can't access current VSAM data, productivity stalls, crucial information becomes unavailable, and decisions are delayed. Any number of fall-out scenarios are then possible, including inaccurate data analysis, lost customers, supply chain disruption, and abandoned sales. This white paper provides an overview of the common approaches to providing availability for CICS applications and batch to VSAM data. It is one of four in the H&W series titled Concurrent VSAM Access for Batch and CICS. The other white papers in the series are: VSAM Record-Level Sharing (RLS). This explores a method for accessing VSAM files that gives multiple CICS address spaces concurrent READ/WRITE access to recoverable VSAM data sets. Challenges are explored in detail. 1. Arcati Ltd, Arcati Mainframe Yearbook 2017, Arcati Ltd, 2017, 2. H&W Computer Systems, The state of CICS in the modern enterprise (based on results from the Enterprise Tech Journal survey), H&W Computer Systems, 2015, Concurrent VSAM access for batch and CICS: A white paper series 3

4 Transactional VSAM (TVS or DFSMStvs). This explores a method for sharing recoverable VSAM data between CICS and batch without compromising data integrity. Considerations with this method are discussed. Transparent VSAM File Sharing via CICS and Batch. This explores a method for sharing VSAM files inside CICS so that batch jobs appear to CICS like any other online transaction. The root problem: systems and users in conflict Organizations ranging from governments and large enterprises to e-commerce and educational institutions rely on VSAM-reliant CICS applications. All kinds of users and systems connect back to these systems for critical information. These stems include: Insurance applications that handle policy, claims, and annuity payments Banking programs that manage deposits, withdrawals, and account details 401k fund transfers, trade processing, and balance information Call center employees who need to update customer records EDI systems that broker order information across complex supply chains In many different scenarios, the world depends on the critical link between CICS and VSAM files, and the availability of VSAM-reliant CICS applications is more important than ever. The fundamental conflict presents itself when application downtime or limited access due to batch interrupts crucial functions. However, batch processing has to happen in order to provide users with up-to-date data. The standard approach has been to shrink the batch window and force batch updates to late-night windows when demands are low. Today, increasing transaction volumes and the need for availability at untraditional times in the interconnected, web-enabled global economy do not tolerate such strategies. 4 The root problem: systems and users in conflict

5 IBM options: evolving VSAM file-sharing methodologies Over the past 30 years, IBM introduced the following methodologies that directly or indirectly relate to VSAM file sharing. SHAREOPTIONs File open and close products Shadow files Memo posting EXCI VSAM Record-Level Sharing (RLS) Transactional VSAM (TVS or DFSMStvs) In the sections that follow, each of these approaches is discussed in more detail. Understanding VSAM SHAREOPTIONs SHAREOPTIONs are settings that provide various levels of shared access to VSAM files. This capability has been available for decades, and on initial review, it appears to be an easy way to provide file sharing. Let's take a closer look at the SHAREOPTIONs and exactly what it takes to implement this approach. SHAREOPTION 1 is the most restrictive of all SHAREOPTIONs, disallowing any file sharing if updates occur. This SHAREOPTION permits a single region to write to a VSAM data set or enables many regions to read a data set. If a region is updating the file, all access to the file is denied to any region seeking to perform a read, so this option is often deemed unacceptable. Yet, performance wise, this is the most effective SHAREOPTION to use. SHAREOPTION 2 also prohibits concurrent data set updates, but provides for multiple reads during an update process. This function is typically used where CICS is the updating application with infrequent data reading from batch. A major drawback of SHAREOPTION 2 occurs when a reading region attempts to access data that an update region has modified. It is possible that the reading region will not receive the most recent updates and could terminate abnormally if substantial data changes have occurred. Concurrent VSAM access for batch and CICS: A white paper series 5

6 SHAREOPTION 3 on the surface, appears to solve the limitations of SHAREOPTION 2 by enabling multiple, concurrent updates. Because SHAREOPTION 3 permits multiple regions to both read and write to a single data set, it would also permit multiple regions to concurrently update identical blocks of records, causing a loss of physical data. Using SHAREOPTION 3 could lead to VSAM data integrity issues and increased overhead. SHAREOPTION 4 requires extensive and complex programming modifications to your application. These modifications will increase I/O overhead to ensure data integrity. Use of SHAREOPTION 4 will not enable a single CICS region to lock onto its required records. An environment using SHAREOPTION 4 and enabling concurrent updates by both CICS and batch could experience a severe data integrity problem in the event of a CICS transaction abend. The CICS dynamic transaction backout will replace all the transaction-updated records with initial values, even if a batch job updated the records. Practical implications: Employment of a higher VSAM SHAREOPTION translates into increased overhead. Additionally, the risk of error increases when there is less data-integrity protection. Employing VSAM SHAREOPTIONs for concurrent update access between CICS regions and batch jobs is rarely a suitable solution for companies striving to ensure processing efficiency and data integrity. File open and close products For many data centers, an option for managing UPDATE access to VSAM data from multiple address spaces includes disabling CICS files, or closing them, for a period of time in order to perform batch processing. Closing files to CICS while batch is running has been around since the late 1970s. For companies that are not facing pressure to reduce or even eliminate the nightly batch window, closing files to CICS is still a good solution. It minimizes the disruption to users by taking selected files offline, as batch needs them. This solution is also a low-cost way to protect data integrity. Practical Implications: When files are closed, users do not have full access to their applications. Multiple batch jobs that need to process against a given file must be serialized because only one address space can own a VSAM file at a given time. This further lengthens the time the file is offline to CICS. As a result, productivity is lost, customer service stops, and work flow is interrupted. In a world that requires 24/7 availability, taking files offline to CICS has become far less acceptable. 6 IBM options: evolving VSAM file-sharing methodologies

7 Shadow files Another method for improving VSAM availability is the use of shadow or mirror files. This procedure involves closing the VSAM master file to CICS while a backup copy (the shadow or mirror file) is taken. Once this is complete, the shadow or mirror file is opened to CICS in READ ONLY mode. The batch process then updates the master file. When the batch processing finishes, the updated master file is then reallocated to CICS with full READ/WRITE access. The drawback of a shadow file is that it only remains a true duplicate for a short time. Once batch begins its updating process, the files are no longer considered mirrored. In addition, the CICS user community is limited to inquiry only and this impacts productivity. While the shadow file approach has typically been used to respond to ad hoc or scheduled report requests, it still requires that either a CICS or batch process wait until the files are reallocated and available. Again, multiple batch jobs that need to process against a given file must be serialized because only one address space can own a VSAM file at a given time. This will further lengthen the time the file is offline to CICS. Using shadow files is an affordable solution to preserve the integrity of data. However, this solution can be costly to end users because of lost time and outdated data. Furthermore, you cannot run batch processes during the day or night while CICS remains available with full READ/WRITE access. Practical Implications: A shadow file remains a true duplicate for a short period of time. Once the batch processing begins, the files are no longer considered mirrored. Read-only mode impacts user productivity and precludes CICS file access. Additionally, a batch cannot run while CICS has full READ/WRITE access. Concurrent VSAM access for batch and CICS: A white paper series 7

8 Memo posting Memo posting takes the concept of shadow files one step further. With memo posting, CICS access to a file is set to READ ONLY while batch updates the master copy of the file. [You can do this by switching the CICS File Control Table definition to READ ONLY and using SHAREOPTION (2,3) to allow CICS to read the VSAM master file and give exclusive UPDATE access to the batch address space.] The CICS application architecture needs to be designed to recognize this condition. Update requests that the CICS application makes to the VSAM file are queued in a log so that they can be applied later. When the batch process finishes, the queued CICS updates are then applied to the master file and the file is restored to CICS with full READ/WRITE access. A point of consideration is that the CICS transaction is reading records through its buffering facilities while batch is directly (natively) accessing and updating the master VSAM file. This can present data integrity exposures that must be considered and managed. For example, records that reside in the CICS buffers might not reflect the updates the batch job is processing natively against the master VSAM file. When this occurs, a CICS transaction will get a dirty read and will make an update decision based on that dirty read. From the batch perspective, the batch program might natively read a master VSAM record for update, but CICS might have already read that same record and queued its own update. This situation causes the batch program to get a dirty read. With memo posting, you must carefully manage data integrity. If you do not have an application that handles this situation, you have to code your application to handle it, assuming you have the ability to change source code. As with the practices of opening and closing files and shadow files, memo posting is not a true real-time solution for providing up-to-date data, nor does it allow batch to run while CICS remains available with concurrent READ/WRITE access. As previously noted, multiple batch jobs that need to process against a given file must be serialized. Practical Implications: Memo posting is not a true real-time solution for providing up-to-date data and it creates data integrity exposures that must be carefully considered and managed. 8 IBM options: evolving VSAM file-sharing methodologies

9 EXCI EXCI, or external CICS interface, is an application programming interface (API) that allows non- CICS resources to gain access to CICS applications running in a CICS Transaction Server region. With EXCI, these non-cics resources and CICS applications can also pass and receive data using a communications area (commarea). The EXCI API is intended to allow the non-cics resources to tap into CICS sporadically to complete occasional updates. Another common use of EXCI is to open and close files. However, using EXCI for batch jobs that process numerous records significantly increases the time it takes for the job to finish. Due to these performance issues with high-volume jobs, the use of EXCI for VSAM file sharing is limited. Similar to the other methods already discussed, EXCI requires extensive and complex coding changes. If you are doing a large numbers of updates, you need to consider frequently syncpointing or committing the work. If you do not use syncpoints, CICS will see the entire batch job as a single unit of work and it will retain locks on all updated records for recoverable VSAM files until the batch job finishes. If you do commit the work along the way, you need to determine a strategy to manage recovery if a batch abend occurs. Going back to a point-in-time copy of the file and restoring it will undo the batch updates, but what happens to the CICS updates to those files? The requirement for making application changes makes EXCI an unacceptable choice for companies that use third-party applications whose code cannot be changed or other applications whose code they do not want changed. Even organizations that have access to the application source and are open to redesigning it typically find that the data integrity exposure and performance impact limit the use of this solution. Practical Implications: Due to performance issues with high-volume jobs, EXCI is not suitable for VSAM file sharing. It also requires extensive and complex coding changes that are not possible or desirable with many applications. Using EXCI for batch jobs that process numerous records significantly increases the time it takes for the job to finish. Due to these performance issues with high-volume jobs, the use of EXCI for VSAM file sharing is limited. Concurrent VSAM access for batch and CICS: A white paper series 9

10 VSAM RLS Prior to the introduction of VSAM RLS, a single CICS address space owned and accessed any VSAM data sets opened for update. The CICS address space processed all requests for data. VSAM RLS provides a new method for accessing VSAM files that gives multiple CICS address spaces concurrent READ/WRITE access to recoverable VSAM data sets. This approach eliminates the potential problem of the one CICS address space that owned UPDATE access to the VSAM files from being a single point-of-failure or a performance bottleneck. From a batch perspective, VSAM RLS allows a batch program to read recoverable VSAM files with integrity. VSAM RLS does this by employing an SMSVSAM address space and a coupling facility. These two pieces provide record locking and buffering for the multiple CICS address spaces that can access the VSAM files for READ or WRITE. For recoverable VSAM files, batch receives READ access through these buffers to ensure data integrity. However, to make batch updates to recoverable files and to protect data integrity, organizations still must rely on the file open and close process, shadow files, or memo posting. If you were to choose memo posting, you would need to do some work with CEDA and switch CICS to a non-rls, read-only file control table (FCT). This is because you cannot open an RLS FCT if you have the file open for update in batch From a CICS and batch perspective, you can have concurrent UPDATE access for CICS and batch, but only if the VSAM files are specified as nonrecoverable. This means that VSAM RLS will not be responsible for data integrity. For example, if a batch abend occurs, you can restore the file to a point-in-time and recover from the batch updates, but you will lose all CICS updates after the batch job failed. H&W s white paper entitled VSAM Record-Level Sharing (RLS) covers these topics in greater depth and includes information on what is required to set up and install VSAM RLS and its components, and the changes you must make in order to open files in VSAM RLS mode. 10 IBM options: evolving VSAM file-sharing methodologies

11 Transactional VSAM The main objective of transactional VSAM, also known as TVS or DFSMStvs, is to extend the ability to share recoverable VSAM files between CICS and batch for update without compromising data integrity. From a concurrent update standpoint, SMSVSAM and the coupling facility manage all record locks for both CICS and batch, just as they do for VSAM RLS. From a recovery standpoint, TVS (in conjunction with resource recovery services or RRS) manages syncpointing and recovery for non-cics VSAM updates and CICS provides recovery for online updates. TVS requires you to use VSAM RLS and make extensive modifications to the batch application, such as committing work with syncpoints and managing recovery considerations. This effort is similar to the one you must make for EXCI. If you undertake this application redesign, IBM recommends making your batch applications restartable from the point at which the last unit of work was committed. All of these changes can, and usually do, represent a major redesign and rewrite of the batch applications. H&W s white paper entitled Transactional VSAM (TVS) explores these issues in depth and examines the skills required to perform these complex tasks. Sharing VSAM files inside of CICS: A way to break free from previous limitations One way to avoid the aforementioned conflicts is to share VSAM files inside of CICS. This makes batch jobs appear to CICS like any other online transaction. Batch jobs can then process while CICS continues to have full READ/WRITE access to VSAM files. Because CICS has already been entrusted with your data, extending CICS to batch is a natural move. There are numerous advantages to this approach including: performance, data integrity, implementation, reliability, and recovery benefits. Like other solutions, you must consider issues associated with solutions that share files inside of CICS. These issues include performance, such as how you will make batch and CICS each perform optimally and ensure CICS service level agreements (SLAs) are not impacted. You also need to look at recovery. How do you recover quickly while maintaining the integrity of CICS updates, batch updates, or both? The optimal transparent VSAM file sharing solution should address these areas while retaining the investment that you have made in your batch applications. These topics are explored in further detail in Transparent VSAM File Sharing via CICS and Batch. Concurrent VSAM access for batch and CICS: A white paper series 11

12 Conclusions Today, the world now expects to consume data and access applications on a 24/7 schedule. Businesses face the demands of continuous data availability with no wait time on the phone, no system unavailable screens, no clogged order queues, and no delays at the check in or check out counter. If you have CICS applications that depend on batch updated VSAM files, you need to consider the following critical questions: Do you lock down access to files and hope that you can meet batch schedules at odd hours? Can you really deliver concurrent VSAM file access while still ensuring data integrity? Are you forced to recode applications to deal with the complex integration options? The approach that best fits your organization depends on your current and planned operating environment and your requirements and goals for availability. That said, H&W believes that there s a better way to address these issues and get the most value out of your high-performance systems without disrupting users. By sharing VSAM files inside of CICS, you can avoid many of the pains associated with half-measures and still ensure high levels of performance, data integrity, implementation ease, reliability, and recoverability. To learn more about existing batch management issues and transparent VSAM file sharing, please review the other installments in this Concurrent VSAM Access for Batch and CICS series including: VSAM Record-Level Sharing (RLS), Transactional VSAM, and Transparent VSAM File Sharing via CICS and Batch. About H&W Headquartered in Boise, Idaho, H&W has been a leading provider of quality software solutions since H&W creates reliable, technically sound solutions like SYSB-II that provide long-term value. Today, corporations worldwide, including many Global 500 companies, trust H&W for their IT software and services needs. Call or visit North Meeker Pl., Ste 100 Boise, ID by H&W Computer Systems, Inc. All rights reserved (v.1) 12

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