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NAFL INST OF STANDARDS & TECH R.I.C.

/r,H., A1 11 03089794

K"r5rNH5J,«^ ^CE & TECHNOLOGY:

National Bureau ol Standards

Ubiaty, E-01 Admin. BligOCT 1 1981

191057

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GUIDELINE I JOB ACCOU

The System I Facilities (SIV

for IBM Syst

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NBS Special Publication 500-40

U.S. DEPARTMENT OF COMMERCE

National Bureau of Standards
NATIONAL BUREAU OF STANDARDS

The National Bureau of Standards' was established by an act of Congress March 3, 1901. The

Bureau's overall goal is to strengthen and advance the Nation's science and technology and

facilitate their effective application for public benefit. To this end, the Bureau conducts

research and provides: (1) a basis for the Nation's physical measurement system, (2) scientific and technological services for industry and government, (3) a technical basis for equity in trade, and (4) technical services to promote public safety. The Bureau's technical work is performed by the National Measurement Laboratory, the National Engineering Laboratory,

and the Institute for Computer Sciences and Technology.

THE NATIONAL MEASUREMENT LABORATORY provides the national system of

physical and chemical and materials measurement; coordinates the system with measurement

systems of other nations and furnishes essential services leading to accurate and uniform

physical and chemical measurement throughout the Nation's scientific community, industry,

and commerce; conducts materials research leading to improved methods of measurement,

standards, and data on the properties of materials needed by industry, commerce, educational

institutions, and Government; provides advisory and research services to other Government

Agencies; develops, produces, and distributes Standard Reference Materials; and provides

calibration services. The Laboratory consists of the following centers:

Absolute Physical Quantities^ — Radiation Research — Thermodynamics and

Molecular Science — Analytical Chemistry — Materials Science. THE NATIONAL ENGINEERING LABORATORY provides technology and technical

services to users in the public and private sectors to address national needs and to solve national problems in the public interest; conducts research in engineering and applied science

in support of objectives in these efforts; builds and maintains competence in the necessary

disciplines required to carry out this research and technical service; develops engineering data and measurement capabilities; provides engineering measurement traceabihty services; develops test methods and proposes engineering standards and code changes; develops and

proposes new engineering practices; and develops and improves mechanisms to transfer

results of its research to the utlimate user. The Laboratory consists of the following centers:

Applied Mathematics — Electronics and Electrical Engineering^ — Mechanical

Engineering and Process Technology^ — Building Technology — Fire Research —

Consumer Product Technology — Field Methods.

THE INSTITUTE FOR COMPUTER SCIENCES AND TECHNOLOGY conducts

research and provides scientific and technical services to aid Federal Agencies in the selection, acquisition, application, and use of computer technology to improve effectiveness and

economy in Government operations in accordance with Public Law 89-306 (40 U.S.C. 759), relevant Executive Orders, and other directives; carries out this mission by managing the Federal Information Processing Standards Program, developing Federal ADP standards

guidelines, and managing Federal participation in ADP voluntary standardization activities; provides scientific and technological advisory services and assistance to Federal Agencies; and

provides the technical foundation for computer-related policies of the Federal Government.

The Institute consists of the following divisions:

Systems and Software — Computer Systems Engineering — Information Technology.

'Headquarters and Laboratories at Gaithersburg, Maryland, unless otherwise noted; mailing address Washington, D.C. 20234. 'Some divisions within the center are located at Boulder, Colorado, 80303.

The National Bureau of Standards was reorganized, effective April 9, 1978.
NOV 2 8 1978

COMPUTER SCIENCE & TECHNOLOGY: do

GUIDELINE ON MAJOR

JOB ACCOUNTING SYSTEMS: c ^

The System Management

Facilities (SMF)

for IBM Systems

under OS/MVT

Gary Durbin, Todd Kinney,

Peter Lamasney, Edward Newman, and

Edward Syrett

Tesseract Corporation

101 Howard Street San Francisco, California 94120

Sponsored by the

Institute for Computer Sciences and Technology

National Bureau of Standards Washington, D.C. 20234

U.S. DEPARTMENT OF COMMERCE, Juanita M. Kreps, Secretary

Dr. Sidney Harman, Under Secretary

Jordan J. Baruch, Assistant Secretary for Science and Technology

NATIONAL BUREAU OF STANDARDS, Ernest Ambler, Director

Issued October 1 978
Reports on Computer Science and Technology

The National Bureau of Standards has a special responsibility within the Federal

Government for computer science and technology activities. The programs of the

NBS Institute for Computer Sciences and Technology are designed to provide ADP

standards, guidelines, and technical advisory services to improve the effectiveness of

computer utilization in the Federal sector, and to perform appropriate research and

development efforts as foundation for such activities and programs. This publication

series will report these NBS efforts to the Federal computer community as well as to interested specialists in the academic and private sectors. Those wishing to receive

notices of pubHcations in this series should complete and return the form at the end

of this publication.

National Bureau of Standards Special Publication 500-40

Nat. Bur. Stand. (U.S.) Spec. Publ. 500-40, 170 pages (Oct. 1978) CODEN: XNBSAV

Library of Congress Catalog Card Number 78-600113

U.S. GOVERNMENT PRINTING OFFICE

WASHINGTON: 1978

For sale by the Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 20402

Stock No. 003-003-01989-5 Price $4.00

(Add 25 percent additional for other than U.S. mailing)
GUIDELINE ON MAJOR JOB ACCOUNTING SYSTEMS:

THE SYSTEM MANAGEMENT FACILITIES (SMF)

FOR IBM SYSTEMS UNDER OS/MVT

by

Gary Durbin, Todd Kinney, Peter Lamasney

Edv/ard Newman, Edward Syrett

ABSTRACT

This document reports the results of a study

which was commissioned in response to the

need for a better understanding of how job

accounting systems work, what they measure,

and how accurately they measure. The

accounting system described is IBM's System

Management Facilities (SMF) for 360/370

environments operating under OS/MVT.

Considerable detail is provided on SMF's

activity in collecting the data necessary to

account for resources utilized by the

individual jobs in a multiprogramming system

and to provide some indicators of the

performance of the system itself. Included

within the scope of this study was an investigation of the accuracy, both absolute

and relative, of SMF as a measurement tool

and the costs entailed in the use of SMF.

The experimental methodology used to explore

these questions is summarized in the report,

as are the conclusions reached. Performance

analysts, system programmers, and managers

interested in optimal use of their computer

resources will find much help here in the

application of a valuable measurement tool.

Keywords: Computer performance analysis; computer performance

measurement; CPU time; data accuracy; data validation; EXCP

counts; IBM OS/MVT; job accounting systems; resource

utilization measurement; System Management Facilities; system

wait time.

iii
NBS FOREWORD

The usefulness of vendor-supplied job accounting systems in

improving the performance of computer installations has long been

recognized. Originally designed for user chargeback, these

supervisor-resident programs produce data on workload and

resource utilization that are essential to the estimation of

installation efficiency. They are comprehensive, convenient to use and--being bundled with standard-release operating system

software--essenti al 1 y free of charge. They have been used to

forecast workload, drive prediction models, estimate capacity,

reconfigure equipment, and set priorities for software

optimization. They are arguably the most widely available and

most widely used of performance measurement tools.

Taken as a group, job accounting systems have one additional

characteristic that makes them particularly interesting to

auditing and standards activities: nearly all contemporary

med i urn- 1 0- 1 a rge scale computer installations have them. Some

collect accounting data but make no practical use of it, while

others use it only to charge customers for the computing services

they receive. Yet nearly all have the capability of collecting

this data and the potential for making productive use of it. It

is not surprising, therefore, that some federal managers have

begun to turn to this tool as the basis for describing the

performance of whole classes of computer installations, and even

comparing performance from one site to another.

Several technical obstacles stand in the way of these

expanded uses of accounting data, however. Different job

accounting systems reflect unique vendor ideas of hardware and

software architecture and attitudes toward the accounting

function. Consequently, they measure different things, measure

the same things differently, and record resource demands that may

not be duplicated for the same workload on any other system. It

is not always clear what specific system event a measurement

represents, how precisely it is being measured, or what

calibration it requires. Any extended use of job accounting

data--either at the local installation level or for complex

performance evaluation purpose s- -wi 1 1 require an exact

understanding of the accounting system as an instrumentation

device.

The study on which the following report is based was

commissioned in response to the need for better understanding of

how accounting systems work, what they measure and how well they

measure it. It attempts to apply rigorous criteria of

description, analysis and validation to an already valuable and

potentially influential method of computer instrumentation. The

report deals with the job accounting system used by most federal

installations equipped with third-generation IBM mainframes: the

System Management Facilities (SMF) for OS/MVT sytems. More than

200 medi um-to- 1 arge scale federal installations are capable of

generating SMF data under the OS-series of operating systems.

iv
To managers and technicians at these installations and

others like them in the private sector, this report is

recommended reading before attempting to use job accounting data

for performance improvement, reporting, prediction or control.

It is intended neither as an endorsement of specific job

accounting systems and the equipment that supports them, nor as a criticism of those systems for falling short of objectives they

were never intended to meet. On the contrary, it is offered in

recognition of the fact that accounting data already gives us an invaluable window on computer performance, but that its

application must be qualified by an understanding of its

limitations.

Seymour Jeffery, Chief

Systems and Software Division

Institute for Computer Sciences

and Technology

National Bureau of Standards

V
Authors' Preface

The purpose of this report is to describe SMF, to suggest

what it is good for, and to caution against what it is not good

for. "SMF" refers to the System Management Facilities of IBM

OS/360 MVT. As part of Tesseract's investigation of SMF, a series of controlled tests were performed to measure the accuracy

and reliability of SMF data, and the overhead incurred in

collecting and recording . the data. The results of this

validation experiment are summarized in Section VI.

The intended readership of this report consists of three

major groups: installation managers, performance analysts, and

system programmers. Since the detailed analysis of SMF presented

here requires extensive use of specialized terminology and

acronyms, a glossary of abbreviations and an introductory section

have been included to assist those readers not in daily contact

with OS internals. Obviously, system programmers could bypass

these sections, especially on first reading this report.

Similarly, some of the most detailed analyses of the structure

and function of SMF might well be skipped by readers concerned

with the overall evaluation of its suitability for their sites'

needs. This level of detail was included in the hope that this

report could serve the system programmers among its readership as

a Program Logic Manual (PLM) for SMF, concentrating in one short

document material scattered throughout the existing PLM's (<4>,

<5>, <10>, <11>, <12>, <13>) , or in some cases available only in

microfiche form. It should be noted, however, that this report

deals only with SMF on the MVT version of the IBM Operating

System. The Time-Sharing Option (TSO) , Virtual Storage (VS) , and

Multiprogramming with a Fixed number of Tasks (MFT) are not

covered in this report, though occasional references to them

occur

.

This report assumes that its readers have ready access to

the OS SMF manual (<2>) for elaboration of background material

which is only outlined here. Although the SMF manual is not a prerequisite, this report is intended to be read in conjunction

with it. For those readers who are not familiar with OS/360 from

either the user's or the operator's viewpoint, the manual

entitled IBM System/360 Operating System; Introduction (Order

Number GC28-6534) is highly recommended.

The organization and readability of this report have

benefitted immensely from the constructive criticism, guidance

and suggestions provided by Richard Dunlavey and Dennis Conti of

the National Bureau of Standards. The authors gratefully

acknowledge the wholehearted cooperation of everyone on the staff

of Greyhound Computer Corporation's San Francisco Data Center,

especially the invaluable assistance of the customer engineers in

the hardware monitoring phase of the project. Several obscure

technical points were clarified in enlightening discussions with

Michael W. Haven of the G.C.C. systems programming department.

Naturally, any deficiencies of the report are the responsibility

of the authors.

vi
Table of Contents

NBS Foreword iv

Authors' Preface . vi

Table of Contents vii

I. Introduction to SMF Concepts

A. General Overview

1. Purpose and background of SMF 1 2. Outline of SMF capabilities 3

B. Methods of Data Collection

1. Internal data collection 5 2. External data collection 6

II. Installation and Operation of SMF

A. Installation and Maintenance of Software

1. Hardware requirements 7 2. System generation options 8

3. System programming and vendor support requirements. 9

B. Operating Considerations

1. Normal startup and data collection procedures ... 10

2. System failure and lost-data procedures 12

III. Description of SMF Files

A. Structure of SMF Files

1. Online log collection files 15

2. Dumped log files 15

B. Structure of Records

1. General discussion 15

2. System records 17

3. Job step records 18

4. Data set records 20

C . Da ta El ements

1. Symbolic names and formats 21

2. Sources and precision 22

vii
IV. Design of SMF

A. Components of SMF

1. Batch programs '25 2. User-written exit routines 26

3. SMF recording modules 28

4. SMF data collection modules 31

5. Data-collection code within OS modules 36

6. The SMF initialization program 39

B. Interfaces Between SMF and OS 40

C. Internal Flow of Data Within SMF

1. Job Accounting Control Table 42

2. Step Accounting Control Table 44

3. System Management Control Area 46

4. Job Management Record . ,' 48

5. Timing Control Table 50

6. Timing Control Task Input/Output Table 52

7. Table Interconnections During Job Step Execution . 54

8. Other SMF data sources 56

V. SMF and Performance Measurement

A. General 57

B. Human Resources 59

1. Tape mounts 60

2. Disk mounts 60

C. Hardware Resources

1. CPU time .61

2. Main storage 62

3. Direct-access storage 64

4. Channels 65

5. I/O devices 66

6. Media 69

7. Volumes 69

8. Shared DASD 70

D. Software Resources

1. Device allocation 71

2. Data set names 72

3. Transient areas 72

4. System catalog 73

5. Work queue 73

6. Initiators 74

7. Spool/HASP 74

8. Communications task 76

9. The SMF writer 77

VI. Summary and Recommendations 79

viii
Appendix A: Summary of Job Management 85

Appendix B: Summary of Task Management 87

Appendix C: Summary of Data Management 93

Appendix D: Symbolic Names and Sources of Data Elements . . 96

Notes on the Table of Symbolic Names in SMF . . 128

Appendix E: IFASMFR Macro Expansion 131

Appendix F: Removing SMF from OS/MVT, Release 21.6 154

Appendix G: Chained Scheduling and EXCP Counting 155

Appendix H: Glossary of Acronyms 158

Appendix I: Bibliography I60

ix

I. Introduction to SMF Concepts

A. General Overview

1. Purpose and background of SMF

The purpose of SMF, as stated in the IBM manual (<3>), is to

"provide the means for gathering and recording information that

can be used for billing customers or evaluating system usage."

The need for such d at a- ga t her i ng facilities arises directly from

the fundamental concept of t h i rd- gener at i o n computer

architecture, namely, the sharing and concurrent use of diverse

resources by several jobs running independently under the control

of an operating system. During one second of operation, the

central processing unit (CPU) of a large-scale, modern computer

may perform calculations for several jobs and also spend some

time idle, while the channels simultaneously move data to and

from disks, tapes, card readers and printers on behalf of several

other jobs. The only way to account for the costs of individual

jobs in such a system is to have the supervisory program keep

track of how much of each resource it dispenses to each job, and

for how long. Actually, since the natural unit of program

execution is the job step, most resources are accounted for on a

j ob step basi s

.

The accounting capabilities of the IBM 360 Operating System

have evolved from release to release along with most other OS

functions. Initially, all that was provided was an exit to an installation-written accounting routine at the end of each job

step and at the end of each job. This routine was given

relatively little information about the resources requested by

the job or job step, and almost none about the amounts actually

used. Many large-scale 360 users found the accounting exit

inadequate, but their discontent with this and other aspects of

OS was alleviated somewhat with the appearance of HASP. This IBM

field-developed spooling package supplemented the operating

system in the area of job queuing as well as in operator

communication and storage of output awaiting printing or punching. Because of the way that HASP insinuated itself into

control of functions normally reserved for the operating system,

it provided a convenient "window" on resource allocation at a detailed level. Modifying HASP or adding code to it was easier

than interfacing directly with OS, so many installations came to

rely on HASP as their major source of accounting data. Still,

there were many areas in which HASP could supply little

information. Perhaps the most important of these was the use of

space, both in main memory and on direct access storage devices.

As installations accumulated experience with

t h i rd- gener at i on systems, they became increasingly interested in

improving throughput and turnaround by using the many control

options available to operators and system programmers. But

before they could improve their performance, they first had to be

able to measure it. Thus there arose another more stringent

requirement for the system to make available quantitative

1
information, not only on the use of resources by jobs, but also

on its own behavior. Ideally, such data could be displayed

dynamically in a form enabling the operator to eliminate

bottlenecks and maximize the system's performance.

In response to these different but related demands, IBM made

the SMF option available in Release 18 of OS. Many of the

properties of SMF which are discussed in detail later in this

report, properties observed in shops using SMF and confirmed by

the analysis and validation experiments, were predictable from

the history of its development. It was added to the operating

system as an afterthought, not designed into it from the start.

It had to be compatible with the old step-end accounting exit.

For economic reasons, it could not involve any major redesign of

OS, nor add significantly to the system's overhead. Under these

circumstances, it is remarkable that SMF comes as close as it

does to satisfying the requirement for collection and recording

of data on which a reasonably fair and repeatable assignment of

costs to jobs can be based.

As a case in point, the amounts of CPU time reported by SMF

as being used by two job steps performing identical calculations

on the same hardware may differ by more than 25%. The main

reason for this is that the overhead of supervising input/output

operations is distributed randomly over all jobs in the system

rather than being charged to the jobs which originate the I/O.

Technically, this happens because the I/O Supervisor fails to

turn off the task timer immediately after an I/O interruption.

Historically, it happens because SMF uses the job step timing

facility of OS, which was originally designed to detect and

automatically cancel any program which took more CPU time than

its user estimated it should need. For that purpose, a 25%

variability is obviously acceptable. For performance

measurement, something better is needed; this often turns out to

be a hardware monitor (<16>, <18>).

As a tool for overall system tuning, SMF is even more

severely limited, although some use can still be made of it

(<14>, <15>). The major limitation of SMF for performance

evaluation is that it provides next to no information on OS

overhead. Another limitation is its failure to record

significant operator actions such as mounting disks and tapes or

resetting the time-of-day clock. Again taking CPU time as an example, the OS SMF manual suggests using the relationship:

System time = Elapsed time - (Wait time + Total job time)

to compute the CPU time spent performing system tasks. The

trouble with this method is that both elapsed time (determined

from time stamps on the SMF records) and wait time can be

rendered meaningless by operator actions like resetting the clock

or stopping the system temporarily, actions which are not

recorded by SMF.

2
In general, if SMF data is accumulated over a long enough

time span to average out anomalies due to operator actions and

system failures, it can provide a qualitative picture of

performance and reveal chronic weaknesses in the configuration of

the system. The shorter the time span, the less reliable SMF

data is for performance evaluation. For locating transient

bottlenecks or tuning the system dynamically to its workload, SMF

is essentially useless.

2. Outline of SMF capabilities

The principal functions provided by SMF are:

* collection of data on system performance;

* collection of data on use of resources by jobs

and j ob steps ; * collection of data on creation and use of data sets;

* organization of such data into records of various types;

* writing of these records onto data sets on disk or tape;

* backing up ("dumping") of these data sets to archival

storage ; * execution of installation-supplied routines as components of the operating system at specific

times during processing of each job;

* communication with the operator concerning these

activities.

The principal function not provided by SMF is the production

of reports based on analysis of the data which it collects and

records. Each installation must separately acquire or devise its

own analysis and reporting tools.

Whether SMF is included in the system at all is the

installation's option at the time the system is generated from

the materials distributed by IBM. The first stage of this system

generation (Sysgen) process consists of the specification of a large number of symbolic parameters in mac ro i n st r uc t i o ns which

are expanded by the 360 assembler into control statements; in

the second stage, these control statements determine the

selection of optional OS components from IBM's menu. The

specific parameters pertaining to SMF are discussed below in

section II. A. 3.

Once SMF is included in the operating system, the

installation has many options at its disposal, such as classes of

data to be collected and recorded, size of SMF data sets and

buffers, and execution of user-written SMF exit routines. SMF

exits are discussed further in section IV. A. 1 below. Various SMF

options are controlled by specification of parameters in the

member SMFDEFLT of the system library SYSl . PARML IB . If the

parameter OPI=YES is specified in SMFDEFLT, the operator is

allowed to modify the other SMF parameters each time the system

is loaded. The major options available here are to limit or suppress the recording of SMF data.

3
SMF collects performance data at system, job, and job step

levels. The system performance data collected by SMF includes

the time of each IPL, a list of devices online at IPL time, the

address of each device varied online or offline, the amount of

free space on each direct-access volume online and ready at IPL

time, and magnetic tape error statistics. The time spent by the

CPU in the wait state is accumulated over 10-minute intervals and

recorded in the SMF data set somewhat less often. Not included

in the SMF system performance data are such desirable items as CPU time used by specific system tasks, usage counts for OS

modules, lengths of internal system queues, I/O counts for system

data sets such as SYSl.LINKLIB and SYSl.SVCLIB, the reason for

each IPL, and a record of the request for and performance of each

volume (tape or disk) mount.

The data collected by SMF on the use of resources by jobs

and job steps includes the elapsed time, CPU time, main storage

utilization and counts of I/O accesses by device and data set for

each job step. SMF records the time each job is read into the

system, the time it is enqueued for execution, the time it is

selected for execution, and the total CPU time it uses. Whenever

a device is brought online specifically to satisfy the allocation

requirements of one particular job step, a special SMF record is

written identifying the device and job step involved. In systems

without HASP, where spooling of output to be printed or punched

is handled by OS itself, SMF provides the number of records

written per form number and output class for each job.

The CPU time figures recorded by SMF are subject to

variability, as mentioned above. The usefulness of the I/O

counts ranges from near zero for graphics terminals and

teleprocessing lines to a high level for sequential files with

fixed block sizes. Under the newer MVS operating system, even

this limited usefulness is severely impaired by the introduction

of variability into the I/O counts for most sequential

processing. The main storage figures reported are satisfactory

for cost accounting but inadequate for performance analysis,

since storage fragmentation or "checkerboarding" is not revealed

by the SMF data.

Complementary to the dynamic use of resources by jobs is the

static use of disk and tape storage by data sets. To account for

this service, SMF writes a record every time a user data set is

closed, re-named or scratched. While these records provide

voluminous quantities of information about each data set, they

lack certain features essential to any practicable tape and disk

space accounting system. The most obvious loophole is that a job

can create a data set and reserve any available amount of disk

storage for it with no indication of this in the SMF records

until the first time something is actually written into the data

set. In the meantime the space is unavailable to other users.

Because of this and other deficiencies in the SMF data set

records, few installations have tried to use them as a source of

data for tape and disk space accounting.

4
One positive feature of SMF is its o pen- ended ness . An

installation may design its own SMF records to supplement or

supplant the standard ones, and use the IBM-supplied routines for

recording them via a convenient wel 1 -documented interface. A few

simple fixes to OS and judicious use of exit routines could make

up for many of SMF's shortcomings.

The most common use of SMF exit routines is to enforce

installation standards. Since the user's job control statements

are accessible to certain exit routines, they can check for

validity of account numbers or any other significant parameters.

SMF exit routines have the power to cancel unacceptable jobs, or

to override their parameters to force compliance with standards.

They can also collect additional data on job and system status,

construct supplementary records and have them written to the SMF

data set, and cause messages to appear on the user's printout or the operator's console. Thus the SMF exit points are convenient

places to "hook" OS to tailor it to an installation's

requirements. Even here, however, something needed for

performance analysis is lacking, namely, an exit taken at regular

time intervals to permit sampling of system status. All of the

SMF exits in OS/MVT are triggered by events in the lives of jobs

moving through the system, and thus occur at unpredictable times.

The cost in additional overhead incurred by including SMF in

an MVT system is low compared to the cost of the programming

effort (or software package purchase) necessary to derive

significant benefits from SMF. Besides the data reduction and

reporting functions required for job accounting, exit routines

should be supplied and some changes to OS itself might be

advisable for purposes of operational control and performance

analysis. Major improvements to SMF should not be expected from

IBM, either in MVT or in the v i rtual - storage (VS) versions of the

system. The later releases of VS2 offer a system activity

measurement facility, MF/1, which serves as a software monitor.

Also available in OS/VS is the Generalized Trace Facility (GTF),

whose use in performance analysis is covered in <40>.

B. Methods of Data Collection

1. Internal data collection

Within OS/360, resourcp- related control information resides

in queues representing unsatisfied resource requirements of

tasks, and tables identifying available resources. These queues

and tables are typically composed of control blocks chained

together by pointers. A control bl ock is a contiguous area of

main memory or auxiliary storage containing control information

and pointers to other control blocks. A pointer is simply the

address of some location in main memory or auxiliary storage.

During operation of the system, control blocks are created as needed by various components of OS, or in some cases by

user-written programs. Other modules maintain, update and refer

to the information they contain. When control blocks are no longer needed, pointers to them are erased and the storage they

used is made available for reallocation.

5
As each job moves through the system, control blocks

containing information on its resource usage are thus created,

maintained, and eventually deleted. Such information tends to

migrate from one control block to another as time goes by. The

basic method used by SMF to collect its data is to construct

records in a buffer in main memory by piecing together fields

derived from various system control blocks. These records are

then written onto the SMF data set on disk or tape, provided that

their writing has not been suppressed by the installation and

that data set space is available. In the MVT version of OS/360,

there are 20 types of basic SMF records, containing different

collections of data elements derived from a wide variety of

sources. The record types are discussed below in section III.B.

The data elements are tabulated in Appendix D, followed by more

detail on some of the most significant data elements. A

discussion of the variability of CPU time and EXCP counts is

presented in the summary section. Section VI.

2. External data collection

The external sources of SMF data are:

* JCL and commands from incoming job streams;

* commands and replies entered through the operator's

consol e( s) ; * member SMFDEFLT of the system parameter 1 ibrary

SYSl. PARMLIB ; * data set and volume labels; and

* the system control panel, especially the LOAD and

STOP keys.

Most of the information derived from these sources is

converted by the operating system to an internal representation

as part of some control block. It is then captured by internal

SMF data collection routines and scheduled for recording as outlined in the previous section. Only two of the above sources

are specific to SMF; all the others are converted to internal

form as part of the normal operation of OS, e.g., reading and

interpretation of incoming job streams.

The two SMF-specific external data sources are the SMF

options and the SWITCH command. The SMF options are initially

read from SMFDEFLT at IPL time, and may be modified or corrected

by operator responses to messages from OS. In this case, the

conversion to internal form is performed by components of SMF

itself. While the SWITCH command does not have any parameters to

be converted and collected as data, it does cause a special SMF

record to be written, as well as a switching of SMF data sets.

6
II. Installation and Operation of SMF

A. Installation and Maintenance of Software

1. Hardware requirements

Since SMF is a component of OS/360, it requires at least the

hardware needed to support that system: specifically, an IBM 360

or 370 mainframe, having enough processor storage to accommodate

the OS nucleus. System Queue Area (SQA), and link pack area, with

storage left over for concurrently executing job steps; the

mainframe must be connected through its channels with at least

one direct-access storage device. In the special case of Model

65 Multiprocessing, the M65MP option of OS/MVT, two mainframes

can be used with SMF. For details see <9>, <22>, <23> pp.

91-93, <24> Appendix D, and primarily <25>.

The OS SMF manual (<2>) states that the additional main

storage required for SMF in the resident nucleus of an MVT system

Is 1700 bytes. The amount of storage used by SMF in the SQA

varies dynamically with the workload. Of this amount, the part

consisting of the SMF buffer and the System Management Control

Area (SMCA) is fixed in size at IPL time. The SMCA occupies 124

bytes, and the SMF buffer takes at least 400 bytes; values like

1400 or 2800 bytes are more representative of the buffer sizes

likely to be used to avoid spanning of records and to optimize

use of d i rect- access space on various devices. The variable part

of the SQA requirement is the space for a Timing Control Table

(TCT) for each active job step in the system. If only job

accounting is requested, by specifying 0PT=1 in SMFDEFLT, each

TCT takes 96 bytes of SQA space. If 0PT=2 is specified to

request job-step accounting, then each TCT is augmented by a Timing Control Task Input/Output Table (TCTIOT) whose size

depends on the number of DD statements and the number of units

allocated for the job step. The formula given by <2> for TCT

size with 0PT=2 is

TCT = 112 + 12*a + 8*b

where "a" is the number of DD statements and "b" is the number of

units, counting each unit as many times as it was allocated to

data sets in the job step.

Further requirements for SQA space depend on the presence

and characteristics of user-written exit routines. When such

routines are included in the system, the region sizes for the

Re ader/ I n terpreter and Initiator/Terminator and the size of the

link pack area must be increased to accommodate them.

The OS SMF manual would seem to imply that a system with SMF

must have at least one tape drive, since the SMF data set{s) must

either be allocated on tape or dumped from disk to tape

periodically. This is not strictly true, however, since private,

removable disk packs can be used in place of tapes as the media

to which the SMF data is dumped. What is required, assuming

7
SYSl.MANX and SYSl.MANY to be on a Direct Access Storage Device

(DASD), is that these data sets be allocated sufficient space on

a volume or volumes mounted prior to IPL on a device or devices

v/hich must be online and ready during IPL. If two devices are

used, they must be of the same type. Any device used for SMF

data recording becomes permanently resident at IPL time; this

means that the volume on that device cannot be dismounted.

The amount of DASD space to be allocated to the SMF data

sets depends so completely on the installation's workload

characteristics and archiving strategy that no meaningful

estimate can be given here. However, a detailed example of how

to arrive at an estimate, given realistic assumptions about the

frequencies of such events as IPL's, VARY commands, job

submissions, and step terminations, can be found in <2>, Table

12. The additional space required for system libraries amounts

to six 2314 tracks, a quite negligible fraction of the thousands

of tracks commonly devoted to these libraries ( S YS 1 . L I NKL IB

,

SYSl.SVCLIB, SYSl. NUCLEUS and SYS 1 . PARML IB )

.

Altogether, the hardware requirements of SMF are modest and

should not strain the resources of any OS/MVT installation.

About the only way to create a noticeable impact would be to

allocate the SMF data set on tape, thereby in effect reducing by

one the number of tape drives available on the system's

configuration.

2. System generation options

To include SMF in the operating system, certain parameters

must be specified at the time the system is generated. Also,

some optional features of SMF require action by the system

programmer at this time if they are to be usable later.

In the SCHEDULR macro instruct ion, coded as part of the first

stage of system generation, the prospective SMF user must:

* specify ACCTRTN=SMF;

* specify ESV=SMF if error statistics by volume are

desired, i.e., if a Type 21 SMF record is to be

written each time a user data set on magnetic tape

is closed or processed by e nd- of - vol ume

;

* increase the value of the JOBQLMT parameter by 2 to

allow work queue space for two extra SMF messages;

* increase the value of the MINPART parameter to provide

sufficient main storage space for as many of the

user-written exit routines (lEFUJI, lEFUSI and

lEFACTRT) as are supplied.

8
In the SUPRVSOR mac ro i n st r uc t i o n , also part of stage I Sysgen, the SMF user must:

* specify T IMER=JOB STEP ; and

* specify RESIDNT=ACSMETH to make certain access

method modules resident in main storage.

The BSAM modules IGG019BA and IGG019BB must always be

resident for SMF. If SMF data is to be recorded on magnetic

tape, modules IGG019BD and IGG019CC must also be resident. If

the SMF data sets are allocated on DASD, the module IGGG19CD must

be resident; if the device is one having the Rotational Position

Sensing (RPS) feature, e.g., an IBM 3330, the modules IGG019CJ

and IGG019FN must also be resident. To improve performance of

systems with SMF, module IGC0008C (the first load of SVC 83)

should be made resident. If data-set information is requested

{DSV=2 or 3) then the modules IFG0202H and IFG0202I should also

be made resident; they are called to build a Type 14 or 15 SMF

record whenever a user data set is closed or processed by EOV.

User-written routines such as SMF exits should be

link-edited into the distribution library SYS1.CI505 before the

system generation process is begun. For detailed information on system generation, refer to <9>.

3. System programming and vendor support requirements

a. System programming requirements

SMF requires very little direct maintenance in that there

are few problems with the components and few new features. The

system programming time required to implement SMF is almost

entirely spent either setting up operating procedures for

archiving the SMF data or developing programs for the analysis of

the data. The operating procedures are a one-time expenditure

that, if conscientiously done, will need very little maintenance.

The analysis programs, on the other hand, can require as much

time as an installation is willing to commit. Several software

packages that provide reports from SMF data are currently on the

market

.

b. Vendor support

SMF is fully integrated into the operating system and

supported as Type I programs. IBM-developed PTE's (Program

Temporary Fixes) are available in SMP format (<34>) starting with

release 21.8. Outstanding SMF APAR's (suspected bugs) are listed

in the OS Early Warning microfiche TNL S2C0-0149.

9
B. Operating Considerations

1. Normal startup and data collection procedures

a. General discussion

SMF records can be written on magnetic tape or on disk. If

tape is chosen as the first storage medium for SMF records, the

file simply remains there for further processing. If the SMF

records are to be written on disk, however, two data sets must be

provided: SYSl.MANX, the primary SMF data set, and SYSl.MANY,

the alternate SMF data set. SMF adds records to one of these

files (beginning with SYSl.MANX) until the file is full. At this

point, SMF notifies the operator that the currently active data

set should be dumped, and switches automatically to the other

one. If the reserve data set is also full, recording of SMF data

is suspended until an empty data set is available to receive it.

Dumping an SMF data set to tape requires submitting a job to

execute the IBM-supplied SMF dump routine (IFASMFDP); the

operator could do this via a START command- Rather than waiting

for the active SMF data set to fill up and cause an automatic

switch to the reserve data set, the operator can force switching

to the reserve by means of the SWITCH command.

Magnetic disk is the storage medium most frequently used for

the purpose ascribed to it above; but, in fact, any DASD can

serve as the first repository for SMF records. Furthermore, when

the occasion of dumping the direct-access file arises, the file

may be dumped not only to tape, as described above, but,

additionally or alternatively, to another DASD or almost any

other medium. For further discussion of the post-dump storage of

SMF records, see III. A. 2 "Dumped log files" below.

Frequent use of the swi tch-and-dump procedure described

above is liable to create operational problems, since the

operator must submit (or start from the console) the proper one

of two possible jobs: one that dumps SYSl.MANX and one that

dumps SYSl.MANY. To simplify the swi tch-and-dump procedure and

reduce the likelihood of human error, some installations (<8>)

have modified SMF to start the proper dump job automatically

whenever a switch takes place, rather than asking the operator to

do so. Another approach is to have the dump job first dump the

primary, then simulate console entry of a SWITCH command to

resume recording in the now-empty primary, and finally dump the

alternate. Using this scheme, very little space would be needed

for the alternate data set.

b. Normal IPL procedure

At startup (IPL) time, the operator may receive a console

message asking him to correct or redefine the SMF parameters read

by the system from member SMFDEFLT of S YS 1 . PA RML I B . This will

happen if one or more parameters are improperly specified, if a required parameter is omitted, or if the parameter OPI=YES is

present. If the unit and volume to be used for the SMF data

10
set(s) are not defined in SMFDEFLT, if the data set is not

allocated on the specified device, or if the device is

unavailable, a message is sent to the operator warning him that

the SMF function is disabled. Otherwise, the system opens the

SMF data set(s); this action may cause one or two expiration

date override messages, to which the operator should reply 'U'.

Expiry date protection of the SMF data sets (and any other

valuable files in the system) is recommended to prevent

inadvertent or malicious destruction of their contents.

If both SMF data sets on direct-access storage contain data,

the operator will receive a message requesting him to dump the

one with more data in it. Meanwhile, SMF recording will begin on the other data set. If only one data set is non-empty, it is

selected for recording; if both data sets are empty, the primary

(SYSl.MANX) is selected. In any case, a console message tells

the operator where the SMF data is being recorded.

Since speed is usually of the essence during IPL, the

interaction of the operator with SMF should be minimized by the

following procedures:

(1) Allocate the SMF data sets on drum or permanently resident disk.

(2) Once the SMF IPL parameters have been debugged,

shut the operator communication option off by

setting CPI=NO in SMFDEFLT. This procedure

also insures uniform collection of data.

e. Normal data collection

In order to protect against accidental loss of data due to

full SMF data sets and decrease exposure to hardware failures,

the following procedures may be used:

(1) Regularly perform the SMF dump function as a part

of normal operations, either at the beginning of

each shift or at a particular time each day.

Performing this function on a regularly scheduled

rather than a demand basis will improve the

reliability of data collection.

(2) Assign the responsibility for SMF data collection

to someone other than a computer operator.

This insures that the process will not be

overlooked during a period of heavy system

activity.

(3) Produce printed reports from the collected data

for delivery to installation management or for

use in daily operations.

11
A data collection procedure that minimizes both disk storage

requirements and exposure to hardware errors is:

(1) Allocate enough space in the MANX data set to collect

records for the collection period plus a substantial

margin for growth. This space estimate can be checked

from time to time by listing the VTOC for the data set

immediately prior to dumping and then examining

the last TTR pointer to determine the high water mark.

Only a minimum of space is allocated to the MANY

data set, to allow for a few hours' data collection.

(2) At the beginning (or end) of each shift (or each day),

the operator issues the SWITCH command and starts the

MANX dump from the console. When that dump completes,

the operator issues another SWITCH command and starts

the MANY dump.

(3) The operators are instructed to consider any forced

switch as a serious problem and immediately start the

MANX dump and report the occurrence of the event to

the systems maintenance staff.

(4) The MANX and MANY dumps run from disk to disk with

each one allocating an output data set on resident

work volumes. Following successful emptying of the

collection data sets, the intermediate data sets can

be copied to backup and archive files. Care must

be exercised when setting up the JCL for these

processes, since there is no way to recapture data

that is accidentally scratched or is written

on a bad device.

One method of decreasing the risk of I/O errors is to create

two or more copies of the collected data or the merged archive

file. This is particularly desirable when the data is moved to a more volatile medium, such as tape. Before scratching the

intermediate disk data set, then, two copies of the data should

be made--for example, one tape copy of the two intermediate files

concatenated together, and a week-to-date merged file. Once all

copies are complete, the intermediate data sets can be deleted

for the next dump process.

2. System failure and lost-data procedures

Some provision has been made in SMF for recovery from errors

in other components of OS, both hardware and software, and even

from a catastrophic failure of the entire system. For example,

after each block is written to the SMF data set, a temporary

CLOSE is performed to place a recognizable end-of-file marker in

the data set immediately following the last block. This

precaution keeps the loss of data due to most system crashes to

at most one block of records. Without careful planning by the

user, however, significant losses are still possible. The worst

12
case is obviously that of a mechanical failure causing physical

damage to the storage medium on which the SMF data is being

recorded. Loss due to this type of accident can be minimized by

using fairly small SMF data sets on disk and dumping them

frequently. However, as discussed previously in section II.B.l,

this strategy increases the risk of operational errors.

If it becomes impossible to record SMF data because the

currently active data set is full and the reserve data set is not

empty, SMF suspends writing of records but continues to generate

them internally and tallies the number not written. When the

reserve data set becomes available, SMF resumes writing,

beginning with a Type 7 (Data Lost) record that tells how many

records were generated but not written during the hiatus. This

situation may arise because of some difficulty in dumping the

reserve data set, e.g., the dump job terminates abnormally and

the operator fails to notice it. It should be observed that if

an IPL were to occur just before the active data set overflowed,

and if the alternate were only, say, half full but was scheduled

to be dumped because of a SWITCH command, SMF data would start

being recorded in the alternate after the IPL. This would

definitely cause records to appear out of sequence in the dumped

SMF data; it could also lead to the attempted dumping of an SMF

data set while records were being written into it by the system.

The IFASMFDP program, however, refuses to dump the active data

set

.

The situation just outlined in which a disk-to- tape SMF dump

job survives an IPL and attempts to dump the wrong data set is

only one of a variety of pathological cases that can be avoided

entirely by writing the SMF records directly on tape in the first

place. Proper chronological sequencing of the records is then

guaranteed. There are, however, several drawbacks to this

approach. First, it requires dedicating a tape drive full-time

to a function which is not directly productive. Second, its

future potential is limited, since the OS/VS version of SMF

requires the use of direct-access storage for the SMF data sets.

Third, it is quite vulnerable to I/O errors on the tape, since

the response of the SMF writer to a permanent I/O error is to act

as though no more space is available for writing SMF records.

Another potential trouble area is failure of the access

method routines which are used to write records to the SMF data

set. In case of an ABEND (software failure) in one of these

routines, the SMF writer suspends further movement of jobs

through the system (see section IV. B. 2 below) while it sends a message to the operator asking his permission to continue with

SMF recording disabled. (The alternative is for the operator to

take a system dump to aid in analysis of the failure.)

b . Ty pe s 0 f f a i 1 ur e

Several classes of failures affect SMF data and its

collection; they fall into three general categories: software

failures, hardware failures, and operational errors.

13
i. Software failures

The failure of the system software components responsible

for collection of SMF data will generally cause failure of the

operating system itself and require an IPL. The net result of

such a failure is incomplete data since many job steps in

progress will not complete and termination records will not be

written. It is possible with some failures to bring the system

to an orderly shutdown and thereby collect some of the SMF data

using the procedures outlined in section II.B.l above.

i i . Ha rdwa re failures

These failures, if not correctable by the operating system,

are either CPU or channel failures that bring the operating

system down or device failures affecting the SMF data sets. If

the operating system is stopped due to hardware failure, the data

on steps in progress is lost. Simple I/O errors on the SMF data

sets will normally result in the loss of SMF records, but loss of

the SMF data sets may be considered severe enough by the

installation to force shutdown of the operating system.

iii. Operational errors

Whenever there are hardware or software failures, a few SMF

records may be lost, but operational errors can destroy or

invalidate a whole day or shift worth of data. Proper procedures

and operator training are essential if the SMF data set is to be

consistently usable.

A common operator error is improper system shutdown.

Whenever the operation of the system is terminated, whether due

to some type of failure or simply a weekend, all never-ending

tasks such as HASP should be stopped and a HALT command issued to

complete writing of records.

The careful use of the set clock command must be enforced,

since much analysis of SMF data is heavily dependent upon the

accuracy of the system clock.

14
III. Description of SMF Files

A. Structure of SMF Files

1. Onl ine 1 og col 1 ecti on f i 1 es

SMF records are v ari abl e- 1 ength , blocked, and spanned. In

this format, data is stored in physical records called "blocks",

each of which may contain one, more than one, or part of one

logical record. Each block begins with a Block Descriptor Word,

in which is stored the length of the block. The rest of the

block consists of one or more segments. Each segment starts with

a Segment Descriptor Word, which contains the length of the

segment and a code indicating whether the segment is a complete

logical record or is at the beginning, middle, or end of one.

The types of records, if any, to be written in the SMF data

sets are controlled by the values of the parameters in member

SMFDEFLT of data set S YS 1 . PA RML I B . If SMF as well as user

records are to be written (parameter MAN=ALL), the first record

in the original (pre-dump) SMF file for each run (where "run"

denotes a period between consecutive IPL's) will be a Type 0

(IPL) record.

2. Dumped log files

Dumped log files are much the same as the original online

files, except that each file is preceded by a Type 2 (Dump

Header) record and followed by a Type 3 (Dump Trailer) record.

There are many ways to provide for the long-term storage of

SMF data. Among these are:

a. generation data group on disk or tape (<1>, <6>, <7>);

b. consecutive files on unlabelled tape (<7>);

c. addition of data to the end of a disk or tape data set

by use of a D I SP= ( MOD , KE EP ) parameter in the

JCL for the dump (<7>). Note that in this case,

the Type 2 and 3 records actually serve a purpose: they delimit consecutive dumps.

B. Structure of Records

1. General discussion

Each SMF record generated by the IBM-supplied routines

begins with a standard 18-byte header, including the four-byte

Segment Descriptor Word mentioned in section III.A.l above. The

OS SMF manual (<2>) recommends that records produced by

user-written routines should also include this standard header.

Its format is as follows:

15
Decimal Hex Field Data Description

Offset Offset Size Format of Contents

0 0 2 B i n ary Record length in

bytes

2 2 2 Bi nary Segment control

code

4 4 1 Bi nary Header flag byte

c0c0 1 D 1 n d ry

6 6 4 B i n ary Time in lOOths of

seconds

10 A 4 Packed Date as OOyydddF

14 E 4 EBCDIC System & model

identifier

The segment control code has the following possible values

and meanings (values given in hexadecimal):

Va 1 ue Me an i ng

0000 Complete logical record, not segmented

0100 First segment of a multisegment record

0200 Last segment of a multisegment record

0300 Intermediate segment of a multisegment record

The header flag byte is always binary zeroes for OS/MVT; it is

reserved for use with VS. The record type is an eight-bit,

unsigned binary number; values 0 through 127 are reserved for

records generated by IBM-supplied routines, while numbers 128

through 255 are available for identification of any additional

record types created by a particular installation.

OS SMF writes 31 types of records, with numbers ranging from

0 to 42. Type numbers 16, 22 through 29, 36, 37 and 39 are

unassigned. Records numbered 30 and above are produced only in

systems with the Time-Sharing Option, and will not be discussed

in this report. Record Type 13 is peculiar to OS/MFT or OS/VSl;

since this report is confined to OS/MVT systems, discussion of

record Type 13 is also omitted. The remaining 20 types, which

are referred to in this report as "basic SMF records," can be

grouped into system records, job step records and data set

records. These are discussed in turn in the following sections.

16
2. System records

The system records are those SMF records containing only

data elements describing some change of status in the operating

system or the underlying hardware. Each of these will be

mentioned briefly in this section; for a detailed presentation

of the data elements contained in each record, refer to Appendix

D.

The Type 0, or I PL , record is produced at I PL (Initial

Program Loading) time, i.e., each time the system is started or restarted. It contains the maximum job wait time value and the

SMF options derived from member SMFDEFLT of SYSl . PARML IB , as well

as the hardware-defined main storage size in kilobytes. Its time

stamp serves to identify the start of a sequence of SMF records,

and the beginning of a period of availability of the system to

its users.

The Type 1, or Wa i t Time , record contains only one four-byte

field beyond tTie 18-byte standard header. It gives the amount of

time the CPU spent in the wait state during one or more

ten-minute intervals of elapsed time.

As mentioned previously the Ty pe 2 (Dump He ader

)

and Ty pe 3^ (Dump Trail er) records are produced by the SMF Dump program and

serve merely to delimit the output of the dump. These records

each consist only of the standard header, with no additional

data.

The Type 7, or Data Lost , record is produced when SMF

recording begins again following a period of time during which no output data set was available. This record tells when the hiatus

in SMF recording began and how many records were lost; through

the date/time stamp in its standard header it also tells when the

hiatus ended.

The Ty pe 8, or I /O Configuration , record consists of the

standard header plus one four-byte entry for every device on line

at IPL time. The entry gives the device class, unit type,

channel address and unit address.

The Type 2> or VARY ONLINE , record identifies the system

resources being added To TFe configuration by a VARY ONLINE

command. In addition to the standard header, it contains one

four-byte entry for each CPU, channel, I/O device or core box

brought onl ine.

The Type 1

1

, or VARY OFFLINE , record is identical to the

Type 9 except that the resources it describes ' are being removed

from the configuration rather than added to it.

The Type 12 , or End- of-Day , record is written whenever a HALT EOD or SWITCH SMF command puts an end to recording of data

on the currently active SMF data set. Apart from the type

number, this record is identical to the Wait Time record.

17
The Ty pe 1

9

, or Pi rect-Access Vo 1 ume , record provides space

information for a direct-access volume wh i c h is mounted on a unit

that is online and ready. It contains the volume serial number,

VTOC address, owner identification, device type, number of unused

alternate tracks, number of unallocated cylinders and tracks,

size of the largest free extent, number of free extents, channel

and unit address, and module identification for the 2314 and

3330. At IPL time and at the time a HALT or SWITCH command is

processed, one Type 19 record is produced for each online, ready

d i rect- access unit. When a user volume is dismounted, a Type 19

record is written for that volume only.

The Ty pe 21 , or Error Stati st i cs by Vol ume , record is

written whenever a user data set is processed by End- of-Vol ume

,

provided the ESV=SMF option was selected during system generation

(see II. A. 3 above). It provides statistics on temporary read and

write errors, start I/O's, permanent read and write errors, noise

blocks, erase gaps and cleaner actions. It also gives the

channel and unit address and the four-byte UCB type field for the

device, the recording density and serial number of the volume,

and the block size of the data set being processed.

3. Job step records

Under this heading are listed the SMF records which describe

the usage of resources by a particular job or job step.

The Type 4, or St e p Termi nation , record is written at the

end of each job step to .^ecord such resource-related data as elapsed time, CPU time, main storage allocated and used, number

of Sysin records, I/O devices and EXCP counts. The job is

identified by the job log number, which consists of the

eight-byte job name taken from the JOB card and the eight-byte

date/time stamp provided by the OS reader when it recognized the

JOB card. The step within the job is identified by the

eight- byte user identification field from the exit routines'

common parameter area, the step number, and the eight-byte step

name taken from the EXEC card. Also to be found in the Type 4

record are the step completion code, the dispatching priority,

the name of the program specified in the EXEC statement, the

device allocation time, and the accounting data, if any, from the

EXEC card.

The Ty pe 5^ or Job Termi nati on , record is written at the end

of each job to summarize its resource usage. This record

includes the start and stop time for processing of the job by the

Reader/ I nterpreter , the job initiation time and date, the number

of steps in the job, the number of card-image records in "DD *" or "DD DATA" data sets, an indicator of which Sysout classes were

used by the job, a c hec k po i nt/ r est a rt indicator, the device class

and unit type of the reader device, the storage protect key, and

the total CPU time used by the job. To identify the job, the job

log number is accompanied by the user identification from the

common parameter area, as well as the priority, input class,

programmer name and accounting fields from the JOB statement.

18
The completion code for the last step of the job which was

actually executed is augmented by a job termination indicator

byte, which reveals whether one or more steps of the job

terminated abnormally, and whether the job was cancelled by one

of the user-written SMF exit routines.

The Type 6^, or Out put Wr i ter , record is written when a writer has finished processing a Sysout class or a form within a class, for each job in the system. The job is identified by job

log number and user identification field, the writer by Sysout

class and form number. The Type 6 record includes the date and

time the writer began processing this job, the number of records

written per form number and class, an I/O error flag, and the

total number of data sets processed by the writer for this job.

The Type 10 , or Al 1 oc at ion Recovery , record is written

whenever special action involving operator intervention succeeds

in making a previously offline device available for allocation to

a job step that needs it. A typical example of allocation

recovery would be a sort/merge step requesting several large work

files on separate direct-access devices, at a time when only a couple of drives have packs up containing much free space. The

system sends a message to the operator asking for one of four

replies:

* "WAIT" - this tells OS to suspend initiation of the

sort/merge step until some other job step terminates,

possibly freeing enough disk space to permit allocation.

* "NOSEP" - this tells OS to try to satisfy the sort step's

space needs, ignoring the requirement that the work

files be on separate devices.

* "CANCEL" - this tells OS to cancel the sort/merge job.

* A device name - this tells OS to bring the device

specified by the three-character channel and unit

address online (if it was offline originally), and

then retry the allocation. To facilitate this

response, the system accompanies the original message

with a menu of devices that are currently offline.

If the last of these four possibilities results in

successful allocation, a Type 10 record is written, identifying

the device brought online by device class, unit type and device

address. The job log number for the job requesting allocation,

and the user identification field are also given in the Type 10

record. If allocation recovery was for a system task rather than

a job step, the job name and user identification fields contain

blanks and the job entry time and date fields contain binary

zeros. Type 10 records also have the usual date/time stamp and

CPU identification.

19
4. Data set records

These records, containing information on all tape or DASD

data sets that are explicitly created, read, updated, extended,

rewritten, scratched, or renamed in a user job step, are produced

by SMF, provided DSV=2 or DSV=3 is specified in SMFDEFLT. While

the EXCP counts in the step termination records reflect I/O

activity per device for each job step, the data set records go

beyond this to permit analysis of I/O activity by data set as well. Like the job step records, the data set records identify

the job to which they refer by the job log number, consisting of

the jobname, entry time and entry date. Most of them also

contain the 44-character symbolic name (DSname) of a specific

data set.

The principal data set records are the Type 14 , or CI ose/ EOV

I n put , record and the Type 1

5

, or CI ose/ EOV Out put , record.

These records are identical in format, structure, and function,

differing only in the type number, which is 14 if the data set

being closed or reaching end- of- vol ume was opened for input or

read-backwards, or 15 if the data set was opened for output,

update, input followed by output, or output followed by input.

For brevity's sake, these records will be referred to

collectively as "the Close/EOV records" in further discussion.

They are the largest SMF records, ranging in length from a minimum of 288 bytes (316 for indexed sequential data sets) up to

a maximum of 6412 bytes. For each unit beyond the first

allocated to the data set, 24 bytes are added to the Close/EOV

record; thus, the maximum length corresponds to the highly

unlikely case of an indexed sequential data set occupying 255

volumes. Note that Close/EOV records are not written for "DD *" or "DD DATA" data sets, nor for Sysout data sets. JOBLIB and

STEPLIB data sets also escape observation through Close/EOV

records since they are opened and closed by the

In i ti ator/ Termi nator , not by the job step itself.

The Close/EOV records contain a wide variety of data

elements taken from various control blocks describing the data

set (DCB, DEB, JFCB, TIOT, and L'CB); in fact, the entire JFCB,

comprising all the information from the DD statement for the data

set, is included in the record. (In the case of a data set

occupying more than five volumes, only the first five volume

serial numbers are contained in the JFCB. The JFCB extension,

containing the additional volume serial numbers, is not included

in the Close/EOV record.) The records also contain the EXCP

counts for each unit allocated to the data set. Two points are

worth noting regarding the EXCP counts: first, they are

accumulated on a job step basis, so that if a data set is closed,

reopened and closed again in one step, the EXCP counts in the

second Close/EOV record will include those in the first. The

second point is that a similar situation can arise for multi-reel

tape data sets which are processed at least once by End- of- Vol ume

as well as by Close. If multiple reels are mounted on the same

unit, the EXCP counts for that unit in successive Close/EOV

records will be cumulative.

20
The Type 17 , or Sc ratch , record is written whenever a data

set is scratched. Depending on the number of volumes for the

data set, the length of the record varies from 100 to 2140 bytes.

Besides the job log and data set name, the Type 17 record

contains the number of volumes and the volume serial numbers.

The Ty pe 1

8

, or Ren ame , record is written whenever a data

set is renamed. It varies in length from 144 to 2184 bytes,

again depending on the number of volumes. In addition to the

volume serial numbers, it contains both the old and new data set

names.

Although the Ty pe 20 , or Job Commenc ement , record is

classified as a data set record, it does not refer to any data

set, but resembles the job step records in that it contains

information about a particular job. Its purpose is to correlate

the other data set records with the job accounting fields so that

I/O charges can be distributed to the jobs incurring them even if

a system failure prevents the Job Termination record from being

written. The presence of the Type 20 record also facilitates the

analysis of SMF data when records for one job are split across

two SMF data sets. The Type 20 record is variable length, and

contains the job log, programmer name, user identification,

system and model identification, and the job accounting fields.

C. Data El ements

1. Symbolic names and formats

Appendix D to this report consists of a tabulation of the

individual data elements contained in the basic SMF records. For

each record, this table tells which components of OS construct it

and write it, i.e., issue SVC 83 to have it moved to the SMF

buffer. For each field in the record, other than the standard

record type and length fields, the table gives the symbolic name

assigned by expansion of the IFASMFR ma c ro i n st r uc t i o n , the format

and length (e.g., PL4 for a four-byte packed field), a capsule

description, the external source (e.g., the OS operator), and the

source control block. It should be noted that the macro

definition for SMF record layouts is not included in the OS/MVT

system, but is distributed with OS/VS as member IFASMFR of data

set SYSl.AMODGEN on volume DLIBA2.

The table also identifies the OS components which create the

source control block, initialize the field and maintain the

field. These last two columns (the fifth and sixth in the table)

tell which components initialize and maintain the field in the

source control block from which the data element is derived,

unless the sixth column contains the notation 'N/A'; in that

case, the fifth column tells which OS component initializes the

field in the SMF record itself. This arrangement provides for a precise definition of most of the data elements supplied by SMF.

However, some data elements require more discussion; this

follows the Table of Symbolic Names as a series of paragraphs

that are keyed to the appropriate data elements in the Table.

21
Appendix E to this report is an edited assembly listing of

the expansion of the IFASMFR mac ro i n st r uc t i on , including the

cross-reference. In this listing the fields appear in the same

order as they physically occur in the records, while in Appendix

D the fields are listed alphabetically by symbolic name within

each record. By using these Appendices together, the reader can

find the format and source{s) of any standard SMF data element by

searching either for its symbolic name or the record type in

which it appears.

2, Sources and precision

The sources of most of the SMF data elements are tabulated

in Appendix D, as noted above. For a few of these elements,

further discussion of their derivation is warranted. Also in

this section some of the abbreviations used in the "External

Source" columns of Appendix D are explained in more detail.

Every field whose contents are a date or a time-of-day is

shown in Appendix D as having "OS Operator or TOD Clock" as its

external source. On a 360 system, the date and time-of-day are

maintained by the Timer Second-Level Interruption Handler, using

the hardware interval timer to measure the elapsed time from the

reference value supplied by the operator as part of the IPL

procedure. The precision of the interval timer will be discussed

in the next section; at this point it need only be observed that

the timer is sufficiently precise to make the operator the

primary source of date and time-of-day values. On a 370 system,

the built-in time-of-day clock is used to provide consistent

timing across IPL's and periods of system downtime. This clock

runs when the CPU is in the wait or stopped state or in the

i n st r uc t i 0 n- st ep , single-cycle, or test mode; in particular, it

need not be reset after each IPL.

The interval timer on an IBM System/360 works by

decrementing bit positions 21 and 23 of the fullword at location

80 (decimal) in low memory sixty times a second, based on the

frequency of the AC power lines. Hence measurements made using

this timer have an inherent error of plus or minus 17

milliseconds, approximately, per sample. In addition to this

minimum error, other sources of imprecision may arise depending

on the load on the system. The IBM System/3 60 Pr i nc i pi es of

Operation manual (<21>) states: "Timer updating may B'e omTtted

wh en I /O data transmission approaches the limit of storage

capability, when a channel sharing CPU equipment and operating in

burst mode causes CPU activity to be locked out, or when the

instruction time for READ DIRECT is excessive. The program is

not alerted when omission of updating causes the real-time count

to be lost."

In normal daily operating practice, however, the most

significant source of imprecision in timing values collected by

SMF is operator action. While the CPU is in the stopped state,

the interval timer is not decremented. The SMF records give no indication of when or for how long the operator stopped the

22
system to change disk packs or deal with other routine operating

exigencies. Another problem is the fact that SMF keeps no record

of the operator's SET command, which can be used to reset the

value of the software-maintained time-of-day clock on the

System/360. This can make steps appear to terminate before the

jobs containing them were initiated; such anomalies complicate

the analysis of SMF data.

In Appendix D, the reference to "hardware" as the source of

the real storage size (SMFORST) means that this number is

determined by the Nucleus Initialization Program at IPL by the

use of the hardware feature that checks for use of non-existent

addresses in instructions. By testing progressively higher

memory locations and handling the program check interruption that

eventually occurs, NIP can find the top of main storage and thus

its size.

The contents of the user identification field in the JMR,

which appears in the SMF Job/Step records, are shown in Appendix

D as having "installation standard" as their external source.

This is because that JMR field is intended to be filled in by

user-written exit routines, the most likely candidate being

lEFUJI, the j ob- i n i t i at i 0 n exit.

In the Type 19 record, the SMF19IND field contains a DASD

module identification or drive number obtained from the hardware

as follows: the SVC 78 routine executes a channel program

containing a special sense command, which causes the 2314 or 3330

disk unit to return the desired value.

23

IV. Design of SMF

A. Components of SMF

SMF i s us er-wr i tten

recording or

OS modules,

time. These

turn.

implemented by a mixture of batch programs,

exit routines, OS modules devoted exclusively to SMF

data collection, data-collection code within other

and routines that initialize SMF functions at IPL

six types of SMF components will now be discussed in

1. Batch programs

As part of the distributed material for OS, IBM supplies

three batch programs specific to SMF, namely the SMF dump

program, the ESV utility, and the user exit test driver. The SMF

dump program consists of a single load module named IFASMFDP

which may be executed as the main program in a job step or invoked as a subroutine of a user-written main program. It uses

the Basic Sequential Access Method (BSAM) of OS Data Management

to copy an SMF data set from d i rect- access storage (DDname

DUMPIN) to a backup ("dump") data set (DDname DUMPOUT). The

DUMPOUT data set is usually on magnetic tape. If no errors occur

during copying, IFASMFDP resets the DUMPIN data set to an empty

condition. Errors encountered while opening the data sets or

reading and writing records cause a diagnostic message to be

written to DDname SYSPRIMT; then all files are closed and a code

of 16 is returned to the caller.

Before opening the DUMPIN data set, IFASMFDP uses the RDJFCB

macroi nstruct i on to read the Job File Control Block, which

contains information derived from the DD statement. The JFCB is

used to determine whether DUMPIN specifies the currently active

SMF data set; if so, the program writes a message to the

operator's console informing him of the error and requesting a reply of 'CANCEL'. When this reply is entered, the program

acknowledges its receipt via another console message and

terminates with a return code of 16.

IFASMFDP determines that DUMPIN is the active data set

whenever (1) the first eight characters of the data set name are

'SYSl.MAN'; (2) the ninth character agrees with the SMCAXORY

field in the SMCA; (3) the first volume serial number in the

JFCB agrees with the volume serial number of the active data set

as recorded in the SMCA; and (4) it is not the case that both

SMF data sets are f ul 1

.

When IFASMFDP succeeds in opening the DUMPIN and DUMPOUT

data sets, it writes a Type 2 (Dump Header) SMF record to

DUMPOUT. Next, it issues a series of READ, WRITE, and CHECK

macros to copy one block at a time from DUMPIN to DUMPOUT, until

end-of-file is reached on DUMPIN. Then a Type 3 (Dump Trailer)

record is written to DUMPOUT and both files are closed. Finally,

DUMPIN is opened for output and immediately closed, so that its

final status is empty.

25
The ESV utility program, IFHSTATR (<6>), given SMF data as input, produces a report on tape error statistics by formatting

Type 21 records into 120-column print lines. The user exit test

driver, TESTEXIT (<2>), is supplied in assembly-language source

form, would normally reside in a user library, and is intended

for use in debugging user-written SMF exit routines. With the

aid of this program, user exit routines can be tested in a batch

setting even though they will eventually run as part of the

operating system. The test facility provided by TESTEXIT does

not allow convenient simulation of a real OS environment,

however; the main objection to it raised in <39> is that calls

to various exits cannot be interspersed as they would be in

normal operation.

Two PL/I programs are available from IBM for the analysis

and graphic presentation of SMF data. One is SMFPOST (<2>, pp.

35-37), distributed as a member of the source library

SYSl . SAMPLIB ; it merely formats and prints each SMF record whose

type number is less than 14. It is not intended for production

use, but rather as an example of how to begin constructing an SMF

analysis program in PL/I. The second is the SMF Selectable

Analyzer (<28>), a field-developed program not distributed as part of OS but available on an "as is" basis by special request.

This program handles all basic SMF records and produces 13

varieties of reports. These include detailed and summary

reports, histograms and a generalized accounting routine.

However, the vendor makes no warranty as to correctness of this

program, nor does the vendor accept any maintenance

responsibility. Thus it is realistic to assume, as the SMF

manual does, that each installation using SMF must determine what

reports it wants and where the programs to produce these reports

wi 1 1 be obta i ned

.

In addition to these SMF-specific modules, IBM supplies a variety of utility programs that could be used in moving,

copying, or restructuring the SMF files (<6>). TESTEXIT uses one

of these utilities (lEBDG) as a sub-program to generate simulated

test data to be passed to user exits.

2. User-written exit routines

Interfaces to six user-written routines are provided in the

OS control program as part of SMF. Whether these exit routines

are actually invoked during operation of the system is determined

by the EXT and OPT parameters in the SMFDEFLT member of

SYS 1 . PARML IB , which may optionally be overridden by the operator

at IPL time. If EXT=NO, no user exits are taken. If EXT=YES and

0PT=1, only the exit routines named lEFUJV, lEFUJI, lEFUTL and

lEFACTRT are taken. If EXT=YES and 0PT=2, exit routines lEFUSI

and lEFUSO are used, as well as those named above; in addition,

lEFUTL and lEFACTRT are invoked on a step-by-step rather than a job-by-job basis.

26
In general, these exit routines make it possible to modify

or suppress standard SMF records, write installation-defined

records to the SMF data set, or scan each user's JCL for

adherence to local conventions and enforce these by penalizing

non-complying jobs.

Vendor support for these routines includes documentation of

the interfaces to them (<2>) and provision of a mac ro i n st r uc t i o

n

(SMFWTM) to facilitate writing of user-defined SMF records.

Sample versions of four of the six exit routines, namely lEFUJV,

lEFUJI, lEFACTRT and lEFUTL, are supplied as members of the

distribution source library S YS 1 . SAMPL I B . As mentioned above,

IBM also provides facilities for testing user-written exit

routines in a batch environment.

a . lEFUJV - JCL Val idation

This exit in the OS Reader/Interpreter is taken each time a non-null JCL record (card image) is read into the system, and

also just before a job is placed in the work queue to await

execution. The routine can inspect and modify each JCL record

before it is interpreted, and can cause a job to be cancelled

before it is enqueued for execution.

b. lEFUJI - Job Initiation

This exit in the OS I n i ti ato r/ Term i n ator is taken whenever a job is selected for initiation. It has access to the programmer

name, accounting and priority fields from the JOB statement in

the JCL for the job. By returning a code of 4 to its caller, it

can have the job cancelled.

c. lEFUSI - Step Initiation

This exit in the Initiator/ Terminator is taken just before

each job step is initiated. Among the parameters it is passed

are the step name, the progra,m name, and the accounting

information from the EXEC statement in the JCL for the job step.

It has the option of cancelling the remainder of the job.

d. lEFUSO - Sysout Limit

This exit is scheduled by the I/O Supervisor whenever the

limit on the number of records to be written to a Sysout data set

is exceeded. Such a limit exists only when the OUTLIM=nnn

parameter is specified on the DD statement defining the data set;

this should not be confused with the practical limit imposed by

the finite amount of auxiliary storage space allocated to the

data set. The lEFUSO routine may cause the output limit to be

extended or may allow the standard system action, which is to

terminate the job step abnormally.

27
e. lEFACTRT - Termination

This exit in the Initiator/Terminator is taken whenever a job or a job step is terminated. Its interface to the system is

more elaborate than those for the other user exits. One of the

many parameters passed to it by the I n i t i a to r/ Te rm i nator is the

SMF Type 4 (step termination) or 5 (job termination) record,

which it may inspect and alter. The lEFACTRT routine may also:

* prevent the SMF Type 4 or 5 record from being written;

* write a user-defined record to the SMF data set;

* write a message to the user- s pec i fi ed system

message class (this would cause it to be printed along

with the JCL and Initiator/Terminator messages for

the j ob) ; *cancelthejob.

f. lEFUTL - Time Limit

This exit from the Timer Second-Level Interrupt Handler is

taken whenever a job, step or wait time limit expires; a code is

passed in a register to tell the user's routine which of these

limits was exceeded. lEFUTL may grant an extension of the time

limit, or it may allow the standard system action (abnormal

termination of the job step).

3. SMF recording modules

The SMF recording function is performed by two routines, the

SMF writer and the SVC 83 routine, which communicate with each

other via WAIT and POST mac ro i n st r uct i o n s . When an OS component

or user-written exit routine has constructed an SMF record, it

places a pointer to the record area in general - pur po se register 1 and issues SVC 83; this linkage is provided by the SMFWTM

macroi n St r uc t i on . The SVC 83 routine copies the record into the

SMF buffer, and when the buffer is half full it signals the SMF

writer to output one block to the SMF data set. The operation of

these two routines will now be outlined in turn; for more

detailed descriptions, the reader is referred to the Job

Ma nagement Program Reference Ma nual (<5>) or the microfiche

listings of the modul es

.

a. The SMF Writer

The SMF writer task, which runs as a subtask of the Master

Scheduler, performs the functions of record transfer (from the

SMF buffer to the SMF data set), data set switching, space

analysis, and initialization of the SMF data sets. This task is

executed by the SMF writer routine, module name lEESMFWR. It

communicates with the SVC 83 routine via the SMCA, primarily

through two ECB's: the writer ECB and the buffer ECB. The

writer routine waits on the writer ECB; when that ECB is posted.

28
the writer tests flag bits in the SMCA to determine what function

is required, performs it, posts the buffer ECB to signal

completion of that function and goes back to waiting on the

writer ECB again.

The space analysis function of the writer routine serves to

detrmine whether the currently active SMF data set contains

enough space for a record that must be written in segments. This

guards against the possibility of a record being split across

data sets with the eventual result being the occurrence of a Type

3 and a Type 2 record between successive segments of a longer

record.

The SMF writer uses BSAM WRITE and CHECK mac ro i n st r uc t i on

s

to transfer records from the buffer to the active data set. When

the CHECK macro determines that the WRITE was successful,

lEESMFWR issues a CLOSE mac ro i n st r uct i o n specifying the TYPE=T

parameter. This temporarily closes the data set by writing an end-of-file mark following the last record and updating the

last-track-written and track-balance fields in the DCB and the

DSCB. Note that a temporary CLOSE (with TYPE=T), unlike a standard CLOSE, does not cause a Type 14/15 SMF record to be

written; consequently, there is no recursion between

Open/Cl ose/EOV and the SMF writer.

An I/O error return from the CHECK routine is treated the

same as running out of space on the active data set, namely, by

switching to the reserve data set and requesting the operator to

dump the full data set. Abnormal termination of the BSAM

routines is handled by means of a STAE retry routine, which

quiesces activity in the system by requesting exclusive control

of the work queue, and then issues a console message informing

the operator of the ABEND. When the operator replies to this

message, the SMF writer task then goes into a permanent wait.

b. The SVC 83 routine

The SVC 83 instruction is issued (as part of the expansion

of an SMFWTM macroi nstruction , or directly) whenever an OS module

or user exit routine wishes to move an SMF record from the work

area in which it was built to the SMF buffer. In addition to

servicing these requests, the SVC 83 routine performs

initialization and housekeeping functions. The SVC 83 routine

consists of three modules: IEESMF8C (the record transfer

routine), lEESMFOP (the Open routine), and lEESMFAL (the

allocation routine).

The record transfer routine is the first load of SVC 83, and

as such is also referred to as IGC0008C. If register 1 contains

a pointer to the SMCA, control is transferred to lEESMFOP; this

happens at initialization time, when the SMF writer requests

opening of the SMF data sets. The Open routine in turn passes

control to the allocation routine, which finds the UCB for the

first data set, marks it as allocated and permanently resident,

and transfers control back to lEESMFOP again. At this time

29
lEESMFOP places a pointer to the UCB in the Master Scheduler TIOT

and opens the data set. If the SMF data sets are on DASD, the

allocation module is invoked a second time. After opening the

second data set to be allocated, the Open routine must determine

which of the data sets SYSl.MANX and SYSl.MANY is to be used

first. If both already contain data, the one containing less (in

absolute terms, not proportionally to the size of the data set)

is chosen and the operator is requested to dump the other one.

If just one data set is empty, the non-empty one is selected; if

both are empty, SMF recording begins on SYSl.MANX. Once this

determination has been made, the Open routine notifies the

operator of its choice and exits to its caller.

When register 1 does not point to the SMCA at entry to the

record transfer module, that module tests the miscellaneous

indicators field in the SMCA to determine whether both SMF and

user records, user records only, or no records at all are to be

written to the SMF data set. On this basis, it either exits

immediately to the Supervisor or attempts to move the record to

the SMF buffer. At this point, the data and time stamp (acquired

via the TIME ma c ro i n st r uc t i o n ) and the system ID (from the SMCA)

are filled into the record, unless it is a job or step

termination or a user record.

The attempt to move the SMF record to the buffer begins with

the record transfer routine issuing an ENQ macroinstruction. The

major and minor queue names (SYSSMFOl and BUF) represent the SMF

buffer; the ENQ prevents two concurrently executing tasks from

attempting to move records into the buffer simultaneously. If

the record fits in the space remaining in the buffer, it is moved

there; otherwise, the record transfer module posts the SMF

writer ECB in the SMCA to request that the current contents of

the buffer be written out, and waits on the buffer ECB for a signal that the buffer is free. If the record will now fit in

the empty buffer, it is moved there. Once the record has been

moved and the av a i 1 abl e- s pace counter updated, the record

transfer module issues the DEQ macroinstruction to permit other

tasks to use the buffer; then it exits to the Supervisor.

The description of the SVC 83 routine in the OS/360 MVT Job

Management PLM (<5>) disagrees with the microfiche assembly

listing in one noteworthy respect. The discrepancy involves the

testing of the contents of register 1 at entry to the record

transfer routine. This test determines whether a record transfer

actually is performed or whether, instead, control is transferred

to the SMF Open routine.

According to <5>, the record transfer is performed if

register 1 is positive at entry to IGC0008C. The test actually

made is a logical comparison of the absolute value of the

contents of register 1 with the contents of the SMCA pointer

field in the CVT. If these values differ, the record transfer is

performed; if they a g ree , I EESMFOP is given control to carry out

initialization or data set switching. The rationale for this

appears to be that the address of the record to be transferred is

30
normally placed in register 1 just before SVC 83 is issued to

move the record to the buffer. Such an address might or might

not appear negative, but it would never equal the address of the

SMCA.

The reader is referred to <5> for a description of the

processing performed by the SVC 83 routine and the SMF writer

when the record to be moved must be segmented because it will not

fit in the empty buffer.

4. SMF data collection modules

Several modules of OS are entered only when SMF is being

used; they serve to build specific types of SMF records, provide

linkage to user-written exit routines, and collect data for later

recording. Most of these modules are discussed briefly in

subsection a. below; the EXCP counting routine, the SMF storage

routines and the system wait time collection routine are covered

in greater depth in subsections b., c., and d.

a. Record construction and exit interface routines

The SMF VARY record handler, IGC2303D, which builds the Type

9 (VARY Online) and Type 11 (VARY Offline) records, is executed

as part of the processing of the VARY command by the Master

Sc hedul er

.

Two modules of Ope n/ CI o se/ EOV are dedicated to SMF data

collection functions. Construction of the Type 14/15 record

during closing or end- of- vol ume processing of a data set is begun

by module IFG0202H; it is also completed by that module unless

the data set resides on a d i rect- access device, in which case

module IF60202I is invoked to finish building the record.

As part of the servicing of RENAME (SVC 30) requests by the

DADSM routines, the SMF record Type 18 processing module,

IGC03003, is entered to construct the record and have it moved to

the buffer. The Type 18 record contains the old and new data set

names, and the serial number of each volume on which the data set

resides.

When SMFDEFLT specifies DSV=2 or 3, and the job was not

cancelled by the user-written initiation exit, a job start record

(Type 20) is constructed for each job by the user exit

initialization routine, lEFSMFIE. This module performs several

other SM F- s pec i f i ed functions each time a job step is selected

for initiation. First, it determines whether a Timing Control

Table (TCT) must be built, i.e., whether this is the first step

of the job. If so, lEFSMFIE acquires main storage for the TCT

and the first forty bytes of the Job Management Record (JMR).

After initializing the TCT, lEFSMFIE reads the JMR from the work

queue data set and copies its first forty bytes for use as the

SMF Common Exit Table, which is passed as the first parameter to

every user exit routine. If exits were specified, lEFSMFIE reads

the job's ACT into main storage and passes control to the job

31
initiation exit routine, lEFUJI; otherwise, it builds the Type

20 record and has it moved to the SMF buffer.

When lEFSMFIE determines that the TCT is already in

existence, it updates the time stamp in the JMR; if user exits

are to be taken, it then reads the step's ACT into main storage,

and passes control to the step initiation exit routine, lEFUSI.

If the return code from lEFUJI or lEFUSI indicates that the job

is to be cancelled, lEFSMFIE sets the job-failed bit in the JCT.

Another module of the initiator which is bypassed when SMF

is omitted from the system is the TCTIOT construction routine,

lEFSMFAT. As its name implies, this module obtains main storage

for the Timing Control Task Input/Output Table, which is used to

collect EXCP counts and other data set statistics. It is invoked

by the initiator's attach routine (module IEFSD263) just before a job step task is attached. By that time, devices have been

allocated and a region acquired for the step. lEFSMFAT finishes

filling in the TCT with the following information:

* lowest address allocated at the high end of the region;

* highest address allocated at the low end of the region;

* the amount of unused storage in the region;

* the wait time limit;

* the address of the user time-limit exit routine, lEFUTL;

* the address of the Sysout limit exit routine, lEFUSO;

* the address of the TCTIOT; and

* the current time and date, to record when loading

of the problem program was requested.

Several SMF functins are performed at step and job

termination time by the terminator's user accounting linkage

routine. The source module for this routine is named lEFSMFLK,

but its entry point is lEFACTLK. Before SMF was added to OS,

this module was the interface to the original user accounting

exit. The first operation attempted by lEFSMFLK when it gets

control is the construction of the Type 1, or Wait Time, record.

The routine checks a field in the SMCA (field name SMCAWAIT) into

which cumulative wait time values are added every ten minutes by

the Timing Supervisor. If SMCAWAIT contains zero, no Type 1 record is written at this time; otherwise, lEFSMFLK builds the

Type 1 record, moves the wait time into it, and zeroes out the

SMCAWAIT field before issuing SVC 83 to write the Type 1 record.

It next reads the proper Accounting Control Table (ACT) into main

storage, determines the maximum amount of core used, and then

invokes the SMF termination record construction routine,

lEFSMFWI, to build the Type 4 or Type 5 record. After lEFSMFWI

returns control, lEFSMFLK puts together the parameter list for

the user's termination exit routine, lEFACTRT, and then calls it.

Depending on the return code from lEFACTRT, lEFSMFLK may cancel the job, omit writing of the Type 4 or 5 record, or issue SVC 83

to have the record moved to the SMF buffer.

32
The SMF t ime/ out put limit expiration routine, lEATLEXT,

resides in the nucleus and serves as an interface to both the

user's time limit exit routine, lEFUTL, and the user's Sysout

limit exit routine, lEFUSO. It runs under the control of an IRB/IQE created by either the timer Second-Level Interrupt

Handler (SLIH) or the EXCP counting routine, lEASMFEX, depending

on which limit expired. The SMF-related activities of the timer

SLIH are described in section IV. A. 5, v/h i 1 e lEASMFEX is discussed

in subsection b., immediately below.

In the case of time limit expiration, lEATLEXT sets up a register save area and the proper parameter list and calls

IEFUTL-, with register 0 set to 0, 4, or 8 to indicate which limit

was exceeded: job CPU time, step CPU time, or job wait time.

The exit routine may return a code of 4 in register 15 and a number of timer units in register 1; if so, lEATLEXT does the

bookkeeping necessary to extend the expired limit by the given

number of timer units. If lEFUTL returns a code of 0, lEATLEXT

schedules the job step to be abnormally terminated with a code of

322 for too much CPU time or 522 for too long in the wait state.

In the case of Sysout limit expiration, lEATLEXT again sets

up a save area and a parameter list and calls lEFUSO, which may

return a code of 4 in register 15 and a count of additional

blocks permitted in register 1. If it does, lEATLEXT adds the

specified value to the output limit field in the appropriate

TCTIOT entry. Otherwise, lEATLEXT schedules the job step for

abnormal termination with a code of 722.

b. The EXCP counting routine

This routine, whose entry point name is lEASMFEX, resides in

the nucleus in module lEAQNUOO. It is called by the EXCP

validity checking routine of the I/O Supervisor whenever the

control blocks governing an EXCP (SVC 0) or an error EXCP (SVC

15) appear acceptable to the lOS. It is also called by the I/O

Interruption Supervisor immediately upon return from the PCI

Appendage routine in the event of a Program-Controlled

Interruption (PCI). This fact is significant for I/O operations

that use chained scheduling, since under OS such operations cause

one PCI to occur for each block read or written. Chained

scheduling and its significance for I/O accounting and

performance measurement under both OS and MVS (VS2 Release 2 and

later releases) are discussed in Appendix G to this report; the

effects of chained scheduling on EXCP counts and CPU time

variability are discussed in section VI.

When lEASMFEX is entered, it performs a complex series of

tests to determine whether it should count the EXCP (or PCI).

The first few of these deal with the situation where I/O was

requested by an SVC routine: their effect is to count the EXCP

only if the issuing routine is servicing an OPEN, CLOSE, OPEN

TYPE=J or CLOSE TYPE=T request made by a problem program. When

the issuing routine is itself a problem program, lEASMFEX will

check the DCBOFLGS field of the DCB to ensure that the data set

33
is either open or in the process of being opened or closed. If

the corresponding flag bits in this field are both zero, the EXCP

is not counted. Since these flags are accessible to the problem

program (the DCB is not copied into key 0 under OS) and since

resetting the "open" flag has no effect on normal I/O operations

other than inhibiting EXCP counting, this test constitutes an open invitation to cheat any accounting system which charges for

I/O on the basis of EXCP counts.

Following these tests, lEASMFEX checks a field in the

current task's TCB for the presence of a pointer to a Timing

Control Table (TCT). (See sections IV. C. 5, IV. C. 6 and IV. C.

7

below.) If the current task is a system task, this field will

contain binary zeroes, and the EXCP will not be counted.

Otherwise, the field in the TCT that should point to a TCTIOT is

tested; if it is zero, EXCP counting is not in effect, and

lEASMFEX returns control to the I/O Supervisor.

At this point, the decision to count the EXCP has been made,

and the TCTIOT is searched for the entry containing the counter

to be incremented. By referring to the description of the TCTIOT

in section IV. C. 6 below, the reader can see that a two-level

associative search is required. First, the DD entry must be

located by matching the TIOT offset in the DCB against a list of

halfword fields in the TCTIOT; then the DD entry itself must be

searched for a subentry whose UCB address field correspondonds to

the unit on which I/O was requested. The time required to

perform these searches is the sum of three terms. The first is

constant, the second is proportional to the number of DD

statements preceding the one for this data set, and the third is

proportional to the number of devices for this data set preceding

the one on which I/O is being requested.

After incrementing the proper EXCP counter, lEASMFEX rescans

the entire DD entry summing the counts for all units to get a total EXCP count for the data set. Then it tests the output

limit field, and if it is non-zero, compares it with the total

EXCP count. Exceeding the Sysout limit causes lEASMFEX to create

an IRB/IQE for the time/output limit expiration routine

(lEATLEXT) and schedule it for execution. However, if SMF exits

are not to be taken, exceeding the Sysout limit causes lEASMFEX

to terminate the job step abnormally with a code of 722.

The cost of this Sysout limit checking could be considerably

reduced by testing for a limit of zero, i.e., a non-Sysout data

set, before computing the total EXCP count. There is no need for

this total unless the data set is Sysout.

c. The SMF storage routines

The two SMF storage routines comprise a module named

lEASMFGF which maintains core usage information in the TCT

(timing control table). When SMF is active in the system, they

are called as subroutines by the resident SVC routines which

service GETMAIN and FREEMAIN requests. If no TCT pointer is

34
present in the TCB for the requesting task, the SMF storage

routines return control immediately to their caller.

The function of these routines is determined by the

structure of the TCT, which in turn depends on the way

GETMAIN/FREEMAIN works. Storage within a region is allocated

from the top down and from the bottom up, so that the largest

contiguous area of free storage is typically (but not

necessarily) in the middle of the region. Furthermore, the

360/370 machine architecture forces storage to be converted from

key 0 to the requestor's protect key in multiples of 2048 bytes.

Thus the unallocated key 0 core in the middle of the region is

always an exact number of 2K blocks in size, as is the region

itself. The low and high ends of this central free area are

referred to in IBM documentation as the "low water mark" (LWM)

and the "high water mark" (HWM) respectively. Their difference,

a multiple of 2K, gives the size of the central free area; SMF

maintains the minimum value of this difference in the TCT. At

step termination, this minimum value is subtracted from the

region size to derive the core-used figure, SMF4H0ST.

When core is requested within a region, the GETMAIN routine

first inspects its storage control queues to determine whether

the amount wanted is available and, if so, where it should be

allocated. Then it calls its SMF storage subroutine at entry

point GMSMFCRE within lEASMFGF. If a TCT is present, GMSMFCRE

checks for a new LWM or HWM and updates the proper TCT entry as needed. It then takes the diference between the HWM and the LWM

in units of 2K blocks, and updates the minimum difference in the

TCT if the new value is lower. Likewise, when core within a region is freed, the FREEMAIN routine calls lEASMFGF at entry

point FMSMFCRE to update the HWM or LWM if necessary.

d. The system wait time collection routine

This nucleus-resident routine, named lEAQWAIT, works in

conjunction with the OS Dispactcher and the Timer SLIH to measure

and accumulate the intervals of time that the CPU spends in the

wait state. This process is entirely distinct from job wait

timing which uses the separate mechanisms described in the next

section.

When no task in the system is ready to use the CPU, the

Dispatcher sets up the system wait pseudo-task as the current TCB

and "dispatches" it by loading a PSW with the wait bit on. If

SMF is in effect, the Dispatcher saves the value of the interval

timer in the first word of a special two-word save area,

SYSWSAVE, just before loading the wait-state PSW. When an I/O or

external interruption reactivates the CPU, the first-level

interruption handler calls lEAQWAIT. If the current TCB is not

the system wait pseudo-task, lEAQWAIT returns control

immediately; if it is, lEAQWAIT reads the interval timer and

subtracts the first word of SYSWSAVE from it to determine the

number of timer units spent in the wait state. This number is

then added to the value in the second word of SYSWSAVE.

35
When a supervisor 10-minute time interval expires, the timer

SLIH adds the accumulated wait time in the second word of

SYSWSAVE into a field in the SMCA (System Management Control

Area) and resets the second word of SYSWSAVE to zero. The system

wait time thus passes through two intermediate areas, which may

be thought of as accumulators or buffers, on their way to the

Tyoe 1 or Type 12 record. SYSWSAVE is "filled" by lEAQWAIT and

"emptied" by the timer SLIH; SMCAWAIT is "filled" by the timer

SLIH and "emptied" by the user accounting linkage routine,

lEFSMFLK, of the Terminator when it builds a Type 1 record. Both

"buffers" are "emptied" by the Halt/Switch command processor,

IEE1403D, when it builds a Type 12 record.

5. Data-collection code within OS modules

Six of the basic types of SMF records are constructed by

code within OS modules that also serve other purposes. Besides

these modules, several others are involved in the creation and

maintenance of data items that eventually find their way into SMF

records. One of the OS components most intimately involved with

SMF data collection is the Timing Supervisor, also known as the

Timer SLIH. It and the OS Dispatcher are discussed below in

subsection a. The construction of the Type 6 record by various

modules of the OS output writer is described in subsection b,

while the other data-collection functions are lumped together in

subsection c.

a. Job step timing

SMF job step timing uses the ST IMER/TT IMER facility provided

by the Timing Supervisor to measure the CPU time used by all

tasks in the job step. The Timer SLIH is also concerned with

preventing non-system tasks from remaining in wait status for

longer than the maximum time specified by the JWT parameter in

SMFDEFLT. Before the initiator attaches a job step, it issues an STIMER request specifying the amount of CPU time allowable for

the job step. The Timing Supervisor services this request by

creating a timer queue element (TQE) of task type, with a special

flag indicating that an initiator issued the STIMER.

The Timer SLIH uses TQE ' s to perform a wide variety of

timing functions by means of the single hardware interval timer

built into the IBM 360 CPU. When a TQE is placed on the timer

queue (this may be thought of as starting its clock running), the

interval specified in the STIMER mac ro i n st r uc t i o n is converted to

an absolute t ime- of- ex pi rat i o n , which determines the TQE '

s

position on the queue. The value in the interval timer is always

the difference between the current time and the nearest

t ime- of-ex p i rat ion . When this goes to zero, an external

interruption occurs; the external SLIH recognizes its source as timer expiration and gives control to the Timer SLIH. The SLIH

removes from the timer queue its topmost element, which

represents the interval just expired, and takes appropriate

action depending on its type (and on whether it belongs to an initiator). Meanwhile, the interval from the current time to the

36
time-of-expi ration of the next TQE on the queue is placed into

the timer, which continues to run.

For CPU timing, the TQE is task-type, and such TQE ' s require

the cooperation of the OS Dispatcher to ensure that their

"clocks" run only when the corresponding tasks have control of

the CPU. When a task switch occurs, the Disptacher must

deactivate any task-type TQE ' s for the old task and activate any

that belong to the new task. A system task will generally have

no TQE ' s ; an ordinary job step task or subtask will have one;

and a job step task or subtask that has issued a task-type STIMER

of its own will have two, including the one belonging to its

initiator.

Deactivating a task-type TQE involves converting its

t i me- of- ex p i r at i 0 n to a t i me- rema i n i ng interval and removing the

TQE from the timer queue. Reactivating it is just the reverse.

Both actions are accomplished by a call from the Dispatcher to a routine within the Timing Supervisor which subtracts or adds the

current time-of-day to convert expiration times to intervals or

vice versa. Note that the time-of-day is derived from the

current value of the interval timer, which may change between

successive calls by the Dispatcher. This can le^d to some

peculiar results when task times obtained by programs that

measure their own CPU usage via STIMER are compared with

SMF-reported step CPU times.

When a TQE belonging to an initiator is deactivated, it is

not just set aside, but rather is coverted to a specially flagged

TQE with a real (not task) time interval of JWT. Thus the same

TQE is used to monitor cumulative CPU time and maximum wait

interval for the job step. If the wait or CPU interval expires,

the Timer SLIH sets up linkage to the SMF time/Output Limit

Expiration routine by converting the TQE into an IRB/IQE for

lEATLEXT.

Finally, as mentioned in the previous section, the Timer

SLIH maintains the supervisor 10-minute interval which governs

transfer of accumulated system wait time from the special save

area SYSWSAVE to the SMCA field where the terminator looks for

it. The TQE corresponding to this interval is assembled into the

nucleus of a system with SMF. When it expires, the Timer SLIH

performs the above-mentioned transfer, resets the

t i me- of- ex p i rat i 0 n to ten minutes hence, and puts the TQE back on the timer queue.

b. Data collection in the output writer

The Type 6, or Output Writer, record is built by the DSB

handler, module IEFSD085; in a system with HASP, the Type 6

record would usually be written by the HASP print processor.

Module IEFSD085 is the component of the system output writer

which receives control when a Data Set Block (DSB) is read from

the output queue entry for a job. The DSB describes a system

output (Sysout) data set which has been written on d i r ec t- ac ces

s

37
storage to await transcription to an output device. In a system

with SMF, the last 28 bytes of the DSB contain information

similar to that contained in the first 28 bytes of the Job

Management Record. This "job log" portion of the DSB forms the

basisfortheType6record.

When the OS output writer is preparing to transcribe an outpput data set, the DSB handler determines whether the form

number has changed from that for the previous data set and

whether the Sysout record count is nonzero. If both these

conditions are satisfied, it copies the job log from the previous

DSB into the Type 6 record area, fills in the Sysout class and

form number, uses the TIME macro in struct ion to supply the writer

stop time and date, and issues SVC 83 to have the record moved to

the SMF buffer. Then the DSB handler moves the stop date/time

stamp to the writer start date/time field in the record area and

zeroes out the Sysout record count and data set count fields.

This initializes the Type 6 record area for the next form number

to be processed.

A Type 6 record is always written by the output writer's job

delete routine, module IEFSD079, after the last Sysout queue

entry for a job has been processed. The job delete routine is

also entered, and also writes a Type 6 record, when Sysout

processing for a job is suspended because of an I/O error on the

output data set. In this case, the data set delete routine,

module IEFSD171, puts the job back in the queue, with a special

System Message Block (SMB) inserted in front of its queue entry.

This SMB points to the DSB for the data set that was being

processed when the error occurred. When the next attempt is made

to write the output for that job, it will begin with that data

set and skip over all SMB's and DSB's already processed. Note

that in such cases there will be more than one Type 6 SMF record

for the same form number, Sysout class, and job log.

Several modules of the output writer contribute data

elements to the Type 6 record. The data set delete routine

(IEFSD171) adds 1 to the data set count just after scratching a Sysout data set that has been successfully transcribed. The put

routine, module IEFSD089, increments a counter in the work area

containing the Type 6 record every time it sends a Sysout record

to the output data set. The job delete routine (IEFSD079)

consolidates the I/O error indicators supplied by other routines

into a one-byte field. The standard writer routine, module

IEFSD087 does its SMF processing just before closing the input

data set; this consists of flagging any input errors, updating

the Sysout record count from the counter used by the out routine,

and resetting that counter to zero.

If a user- s pec i fi ed alternative program is used to write

system output, as requested by the second positional parameter on the DD statement (<7>), the contents of the SMF Type 6 record

obviously depend on what that program does to the work area

containing the Type 6 record image. The OS SMF manual (<2>)

states that an incomplete Type 6 record is written for each

38
output class, but not for form changes within an output class.

It further states that the numbers of logical records, I/O status

indicators, and form number fields are not provided.

c. Other data-collection code

The Type 10, or Allocation Recovery, record is built by the

I/O device allocation recovery routine, module lEFXJIMP, whose

main purpose is to inform the operator of the recovery options

available and give control to the appropriate routine to process

his response.

The Type 12, or End-of-Day, record is built by the HALT

command processor, module IEE1403D; its format is identical,

apart from record type, with the Wait Time (Type 1) record. In

response to a "HALT EOD" or "SWITCH SMF" command from the

console, the HALT commmand processor issues SVC 78 to create a Type 19 record, and later builds the Type 12 record and issues

SVC 83 to have it moved to the SMF buffer.

The Type 17, or Scratch Data Set Status, record is built by

the Format 4 DSCB updater (module IGG0290D of the SVC 29 routine)

as part of the processing of a SCRATCH request for a user data

set

The Type 19, or Direct Access Volume, record is built by the

second load (module IGC0107H) of the LSPACE (SVC 78) routine if

the contents of register 1 at the time SVC 78 was issued indicate

a request for SMF information. This SVC is also issued as part

of the processing of the "DISPLAY SPACE" console command; in

this case, the data gathered by the LSPACE routine is used in

constructing the reply to the operator, and no SMF record is

created. The SMF version of SVC 78 is issued by the SMF

initialization program, by the HALT command processor and by the

disposition and unallocation message routine of the terminator

(lEFZHMSG)

There is SMF-related code in the Attach routine (IGC042) to

copy the TCT address from the attacher's TCB to the created TCB.

This ensures that all subtasks of a job step task will share its

TCT and its TCTIOT, and hence all I/O and main storage requests

they make will be charged to the job step.

There is also SMF-related code in the Wait routine (IGCOOl)

which performs a minor but necessary part of the job step timing

function. If SMF is in the system, this routine places the wait

time limit taken from the TCT (originally derived from the JWT

parameter in SMFDEFLT), rather than the 30-minute default, into

the TQE for the iniitiator's STIMER.

6. The SMF initialization program

When the operator presses the LOAD button on the control

panel, the IPL (Initial Program Load) and NIP (Nucleus

Initialization Program) procedures respectively load into main

39
memory and initialize the core- resident portions of OS. NIP

passes control to the Master Scheduler, one function of which is

to initialize the SMF data collection and recording process. The

part of the Master Scheduler which performs this function is

called the SMF initialization program. It consists of four

modules: lEESMFIT, IEESMFI3, IEESMFI2 and lEESMFOI.

This program first scans the directory of the partitioned

data set SYS 1 . PA RML IB , looking for a member named SMFDEFLT. If

it fails to find this member, the SMF initialization program

writes a message to the operator requesting entry of the SMF

parameters from the console. If SMFDEFLT is present, it is read

into main memory and checked for validity. If any of the

parameters is invalid, or if SMFDEFLT specifies OPI=YES, the

operator is invited to redefine the parameters. On the basis of

parameters so determined, the SMF initialization program

constructs the System Management Control Area (SMCA) from which

many SMF modules will later extract information.

Provided that recording of SMF data has not been suppressed

by use of the MAN=NONE parameter, the initialization program next

checks the specification of the SMF data sets in the PRM and ALT

parameters. If PRM is omitted, or if ALT is omitted when the

primary data set is on d i rect- access storage, an error message is

written to the operator and recording of SMF data is suppressed.

This procedure is also followed if a specified I/O device is not

availabe, or if a data set specified on a direct-access device

has no space allocated for it. If none of these conditions

arise, the initialization program creates the SMF writer task and

activates its data set initialization functions. It, in turn,

issues SVC 83 with register 1 pointing to the SMCA, to request

opening of the SMF data set{s).

B. Interfaces between SMF and OS

The diagram on the foldout sheet at the back of this volume

illustrates the interfaces between SMF and OS components in a hierarchical fashion. The diagram represents the tree structure

of OS/MVT with all the branches having nothing to do with SMF

pruned away. The only exceptions to this are Catalog Management

and Access Methods, which are included primarily to emphasize

that their activities are not directly measured by SMF.

The tables used to collect SMF data and the construction of

SMF records are not shown on the diagram; they are illustrated

and described in section IV. C. The diagram on the foldout does

show double arrows leading from modules that write SMF records

(i.e., issue SVC 83) to the records that they write. Note that

these are not necessarily the same modules that construct the

records

.

40
C. Internal flow of data within SMF

SMF-related data is found in a wide variety of control

blocks and tables throughout OS. Some of these are well-known,

at least to systems programmers, and are described in detail in

the System Control Blocks manual (<26>); these include the TCB,

the DCS, the UCB, the DEB, the CVT, the JFCB, and the DSCB's that

comprise the VTOC. A few SMF data elements are derived from

fairly obscure corners of the system; these are grouped together

at the end of this section under the heading "Other SMF data

sources". The most important repositories of SMF data are the

six tables discussed in the next six subsections below. The

accompanying figures illustrate the flow of data through these

tables, while subsection 7 shows how they are linked to each

other and to standard OS/MVT control blocks by means of pointers.

For a more detailed attribution of data element sources, see

Appendix D.

41
1. Job Accounting Control Table

The Job ACT is created, partially filled in, and written out

to SYS 1 . S YSJOBQE by the JOB statement processing routine of the

Reader/ I nterpreter . It is read back in by the Initiator's Task

Delete routine at the end of each step, updated, and written back

to the Job Queue. It is also read in during initiation of the

first step for inspection by user exit routines and for use in

building the Type 20 record.

42
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43
2. Step Accounting Control Table

The Step ACT is created, partially filled in, and written

out to SYSl . SYSJOBQE by the EXEC statement processing routine of

the Re ader/ I nterpreter . It is read back in by the Initiator's

Task Delete routine at the end of each step, updated, and written

back to the job queue.

41+
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45
3. System Management Control Area

The SMCA is created in the System Queue Area of main memory

by the SMF Initialization Routine of the Master Scheduler, and

remains there until the system is reloaded. It is specific to

SMF and does not exist in systems without SMF. Its address can

be found in location CVTSMCA of the Communication Vector Table;

this pointer is zero in systems without SMF.

46
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47
4. Job Management Record

The JMR is created, partially filled in, and written to the

OS work queue data set by the JOB statement processing routine of

the Re ader/ I nterpreter . In systems with SMF, it is read back in

and completed by the User Exit Initialization Routine of the

Initiator at the start of the first job step; from then on, it

is maintained in main memory and updated at the start of each

subsequent step.

48
A

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49
5. Timing Control Table

The TCT is created in main memory by the Initiator's User

Exit Initialization Routine at the start of the first step of

each job, and updated by that routine and by the TCTIOT

Construction Routine at the start of each subsequent step. It is

specific to systems with SKF.

The TCT is pointed to by a field in the Task Control Block

(TCB) for the job step task. Any subtasks of the job step task

contain pointers to the same TCT in their TCB's; thus all main

storage used within the region allocated to the job step is

accounted for in the same place.

50
51
6. Timing Control Task Input/Output Table

The TCTIOT is created in main memory by the TCTIOT

Construction Routine of the Initiator at the beginning of each

step, following device allocation and just before the problem

program is loaded. Like the TCT, it is SMF-spec i f i c ; in fact,

the routines that use it pick up its address from the TCT. Its

principal purpose is to maintain EXCP counts by data set and

device, but its structure introduces inefficiencies into the SMF

EXCP-counti ng function.

Each DD statement in the JCL for the job step gives rise to

a DD entry in the TCTIOT as well as an entry in the Task

Input/Output Table (TIOT). The Data Control Block (DCB) for the

data set contains a halfword offset giving the location of the

corresponding TIOT entry relative to the beginning of the TIOT.

Near the start of the TCTIOT is an associative lookup section

consisting of pairs of halfword offsets, the first of each pair

being the same TIOT offset found in the DCS, and the second being

the offset to the corresponding DD entry within the TCTIOT

itself. Each DD entry contains as many eight-byte subentries as there are devices allocated to the data set, plus one more

eight-byte field controlling output limits for Sysout data sets.

This output limit field is present even for non-Sysout data sets,

but contains a limit of zero in that case.

It should be noted that EXCP counts are maintained In the

TCTIOT on a dev Ice-wi thi n-data- set basis, and no overall EXCP

count for the entire data set is present. Thus testing whether

the Sysout limit has been exceeded requires summing the EXCP

counts for all devices allocated to the data set, every time an EXCP is issued. It should also be noted that the TCTIOT Is

designed to be searched assoc i at 1 v el y on the basis of the TIOT

offset in the DCB to locate the DD entry; the length of this

search will depend on the number of DD statements preceding the

one for the data set currently requesting I/O.

52
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53
7. Table Interconnections During Job Step Execution

The accompanying diagram shows the interconnections betv/een

the TCT, the TCTIOT, and related control blocks and routines

during execution of a problem program. Since the user time limit

and Sysout limit exit routines run under the TGB for the current

task within the job step, the pointer relationships illustrated

hold true during execution of those routines also. By exploiting

these relationships, a problem program (or one of the two exit

routines mentioned) can gain access to the data collected by SMF

at any point in its processing. The TCT and TCTIOT contain the

region high and low water marks and the EXCP counts,

respecti vel y

.

It should be noted that the accompanying diagram is not

valid for other SMF exits, since they run as subroutines of

system tasks (readers or initiators).

54
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55
8. Other SMF data sources

The major repositories of SMF data are the tables used by

the Job Scheduler and the Master Scheduler; these are documented

in detail in the Job Ma n agement Program Logic Manual (<5>). They

include the Linkage Control Ta b 1 e ( LC T) , Job Control Table (JCT),

Step Control Table (SCT), and the Master Scheduler resident data

ar ea

.

The LCT, built in core by the initiator initialization

routine, serves as a communications area among components of the

initiator. From it, SMF extracts the job and step completion

codes and the job class.

The JCT contains parameters from the JOB statement and other

job status information. It is created and written to the system

work queue by the JOB statement processing routine of the

Reader/ I nterpreter , and read back into main storage by the

initiator's Job Selection and Job Delete routines. From it, SMF

extracts the step initiation date and time, job initiation date

and time, job priority, the Sysout classes and message class

indicator, and the job termination indicator byte.

The SCT (one per job step) is created and written to the OS

work queue data set by the EXEC statement processor of the

Reader/ I nterpreter . The initiator's Job Selection routine reads

the first SCT back into main memory before the start of the first

step. From the SCT, SMF extracts the step name, the program

name, and the number of card images in "DD DATA" or "DD *" data

sets.

The Master Scheduler resident data area is located in the

nucleus, and contains control information common to all

initiators and command processors. It is pointed to by the

CVTMSER and CVTMSLT fields of the Communication Vector Table. It

is of interest as the ultimate source of the storage protection

key extracted by SMF from the initiator's TCB.

One further source of SMF data is the Volume Statistics

Table, located in the nucleus, which holds error statistics and

other information pertaining to magnetic tape volumes. It

contains one entry for each 2400 series magnetic tape device on the system. The error statistics in this table are maintained by

the I/O Supervisor's error recovery routines for magnetic tape,

and are formatted as part of the Type 21 record by the SVC 91

(VOLSTAT) routine.

56
V. SMF and Performance Measurement

A. General

The resources of interest to the management of an installation running OS/360 are quite diverse. In addition to

the commonly recognized ones such as CPU time, main storage,

auxiliary storage, print lines, and I/O devices, there are other

resources whose usage has a strong influence on performance or the turnaround of a particular job through a particular system at

a particular time of day. These include operator interventions,

channel loading, and several items that can be lumped together

under the general heading of software resources.

A thorough approach to resource measurement and management

must include identification of all resources in the system and

the collection of data on their use. The subsequent paragraphs

of this section define those resources that should be measured

and evaluated to determine system performance and resource

utilization. They also indicate the specific resources measured

by SMF, the measures used, SMF sources of the usage measures, and

possible views of the usage.

In general, all resource measurements can be categorized as applying to either the quantity of usage or the productivity of

usage. The first category refers to the amount of the resource

made unavailable to other contenders for that resource, and is

usually expressed as a numerical quantity, possibly related to a time base. Thus we say a job used 30 seconds of CPU time or that

a CPU is in use an average of 48 seconds per minute or 80% of

capacity. The objectives of quantitative measurement of

resources are to allocate costs of resources to jobs, determine

resources that are under- or over-used, and to tune a system by

balancing loads among various resources.

While quantitative measures define how much a resource is

used, they do not say anything about how well a resource is used.

For example, if a program being tested goes into a one-instruction loop and runs for an hour of CPU time, from the

standpoint of quantitative measures the CPU is 100% in use, but

from the standpoint of productive work, usage is 0% after the

loop begins. The objective of productivity measures is to

produce the most work from the available resources. SMF provides

mainly quantitative measures of resources, but in the discussion

that follows, both types will be covered where applicable.

Another goal of the subsequent sections is to describe, for

each resource, how its use can be charged back to individual jobs

or job steps. Such allocation of system usage to jobs is, in

fact, the primary objective of the design of SMF; consequently,

many of its usage measures sacrifice precision in order to

provide better repeatability from run to run of the same job.

Some resources are ignored altogether since they cannot be

directly linked to a specific job. Part of the following

discussion is based on material previously published in (<27>).

57
Job step and data set records carry a job log number,

composed of the job name and reader time and date stamp, that can

be used to associate all the records with a specific job. Each

record bears a time stamp that makes it possible to organize the

records into the sequence in which they were originally written.

This last procedure is necessary in order to associate the data

set records with their respective steps, since the data set,

allocation recovery, scratch, and rename records do not contain

step number or name. The normal order of records for a job is:

* job initiation record;

* allocation recovery records - step 1 (from initiator);

* rename records - step 1 (from utilities);

* scratch records - step 1 (from utilities);

* data set records - step 1;

* step termination record - step 1 (from terminator);

* allocation recovery, sc rate h/ rename , and data

set records - step 2;

* step termination record - step 2;

* allocation recovery, sc rate h/ rename , and data

set records - last step;

* step termination record - last step;

* job termination record;

* Sysout record;

* Sysout record.

Although the record time stamp provides a convenient means

of sequencing records for a job, it is prone to serious

difficulty if the system time is changed during execution of a job. (In fact, the SMF records can indicate that a job finished

before it began if the time is reset while a job is executing.)

An improvement on this method can be had by using the step initiation exit (lEFUSI) to set the step number in the user-i.d.

field which is part of all job and data set records.

Usage of some resources cannot be directly allocated to jobs

by means of SMF data; but for many resources, an approximation

of the relative load placed upon the resource can be determined

from the SMF data. The following discussion draws on a variety

58
of algorithms presented in the literature or in common practice

to assign resource usage to jobs. Where possible, the assignment

of resources is at the step level, v^fhere the programmer has the

greatest control of resource allocation.

B. Human resources

Although the operator may not be the most expensive item in

the machine room, his time is often a scarce resource. In

OS/360, it is easy to multiply the number of operator

interventions significantly through carelessness or ignorance in

setting up JCL. Such commonplace utility operatiohs as copying a series of data sets from disk to tape or scratching a few dozen

unwanted members from an ex pi ry-date- protected library contain

the potential for enormous waste of the operator's time by

requiring repeated remounts of the same tape or replying to

multitudinous console messages. Being human, an operator

subjected to such harassment is liable to suffer a loss of

effectiveness in performing his regular duties. It is desirable

both to account for the operator interventions necessitated by

each job, and to measure ope rator- rel ated delays so that

installation management can recognize when operator time is the

limiting factor in system throughput.

The direct measures of operator actions provided by SMF

are:

* IPL's--from the IPL record can be obtained the frequency

of IPL's and the duration between IPL's. While this will usually

show the frequency of system problems rather than operator

performance, many IPL's will impact operator performance.

* Allocation Rec over i e s- -from the Allocation Recovery record

can be obtained the frequency of allocation recoveries and the

type of device for which they occurred. The frequency of

allocation recoveries gives a measure of the demand upon the

system operator for this type of decision making. An excessively

high number of allocation recoveries may indicate either poor

system planning or poor system operation.

* Vary Onl ine/Of f 1 i ne--the Vary records provide another

indication of decision-making on the part of the operator, as well as a measure of device availability. The Vary records, in

conjunction with the IPL record, provide measures of device

up-time, and frequency of Vary commands initiated by operators.

Since Vary Online commands may be issued to simulate the

device-ready interrupt for device mounting, those Vary Online

records that do not reflect a change in device status must be

discarded. The Vary records, combined with the I/O Configuration

record, can provide the frequency of changes in device status.

59
Among the measures of operator actions not provided by SMF

are:

* Volume Mounts- -al though SMF does not provide a record or a count of volume mounts, an approximation of the number of mounts

can be obtained by careful examination of the CLOSE/EOV records.

Such considerations as the presence or absence of Automatic

Volume Recognition (AVR) in the system, resident and reserved

volumes, presence of the RETAIN or PASS parameter, multi-volume

data sets, temporary data set allocation, and device class will

affect the number of volume mounts. SMF does not record the time

taken to perform a volume mount.

* Operator Action Delay--SMF under MVT provides no measure

of time spent awaiting operator action. There is a major

improvement to SMF in the VS versions of OS where the device

allocation end time has been added to the step termination

records. This time does not give a precise measure of operator

action times, since device allocation may be held up for a wide

variety of causes. Neither version of OS records time spent by

the operator responding to program or system messages requiring a console reply, nor the number of such actions.

Accounting for operator activity on the basis of SMF data is

difficult enough to discourage any attempt to distribute the

costs of such activity over individual jobs or job steps.

However, by analyzing the data set records, a count of external

actions can be developed that reflects the relative load a job

places on the operator, rather than specific mount commands,

which may be affected by pre-mounti ng , device conflicts with

other jobs, and changes in configurations or operator practices.

The next two paragraphs review the reasoning behind tape and disk

mount charge assignment.

1. Tape mounts

Generally, every tape EOV implies an operator action to

mount the tape at the start of the step and demount it when it is no longer needed, unless the tape is used in multiple steps,

RETAIN or PASS was specified in an earlier step, and the volume

sequence count is less than the number of devices allocated. A

mount should be charged for each tape device allocated to steps

that abend, since there may be no Close/EOV records. The

Close/EOV records for the same data set/DD statement can be

associated by using the TIOEJFCB field of the data set records.

The presence of the PASS or RETAIN parameter on the DD statement

can be inferred from the SMFTIOE field in the Close/EOV record.

2. Disk mounts

In most systems, very few allocations to DASD involve

operator interventions. Two approaches can provide measures of

operator actions, depending upon installation practice:

60
1) If specific devices are reserved for removable packs,

then the first allocation to one of those devices in a job and any change in volume serial for one of those

devices can be charged a mount.

2) If specific volumes are normally resident, then the

first request for a non-resident volume causes a mount charge to the job.

While both of these methods generally accumulate more mount

counts than actually occur, they have the advantage of fairly

high repeatability, the second method more so than the first.

C. Hardware Resources

1 . CPU time

This is the time used fetching and executing instructions;

in those 360's with integrated channels, it may also include

channel command execution and main storage access time. In any

360, the CPU may have to wait for access to main storage which is

being used by a channel; such delays are considered "CPU time"

since they occur during instruction fetch or execution cycles.

On a system-wide basis, i.e., total time spent executing

instructions, SMF does not measure CPU time. It does collect the

inverse of CPU time--wait time. Subject to certain imprecisions

and irregularities in the collection and reallocation of the wait

time values, wait time can be used to determine the total load on the CPU. In order for this value to be useful for tuning of a system, it would have to be further broken down by protect key

and system state--this information is not presently available to

any system function. Since the data collection interval is so long (ten minutes minimum) and may be broken if there is a system

failure, the data on CPU usage must be accompanied by an estimate

of its reliability.

On a job step basis CPU time is collected from the time a program begins execution until it terminates.

Initiator/Terminator CPU time is not collected. This CPU time

figure, however, may contain a substantial amount of time that is

not actually related to the execution of the program, primarily

I/O interrupt overhead for other tasks including time spent in

appendages. There are many tasks for which no CPU time is

recorded--system tasks and never-ending job steps such as HASP.

Such tasks tet^minate only when the system crashes, so no SMF

records are ever written for them.

In MVT systems, from 85% to 90% of the CPU time used by

problem programs is reported in the step termination records.

Since the CPU time that is not separately accumulated and not

lost (e.g., I/O interrupt servicing time) is distributed over the

tasks in execution in proportion to how much CPU time was used by

each one, the reported CPU time in the step termination records

is a relative measure of the CPU time used by a step. If the job

61
mix varies widely from run to run, there may be variations as large as 36% in the CPU time allocated to a job step for the

execution of the same instructions.

2. Main storage

Main storage space, or "core" as it is usually called, is

both a fixed and a dynamic resource. Allocation of main storage

is controlled by the Main Storage Supervisor ( GE TMA I N/FREEMA I N

)

rout i nes

.

Main storage has three primary characteristics: speed,

address, and protect key. The operating system provides for

control of two speeds of core: high-speed or processor core, and

slower Large Core Storage or LCS; the control of two types of

main storage is an operating system feature called hierarchy

support. Address is a characteristic of main storage that is

significant for performance analysis, since the requirement for

contiguous real storage addresses is the major difference between

MVT and later versions of the operating system. This requirement

for contiguous address intervals or "regions" is of concern when

evaluating core allocation and usage. Storage protect keys are

the hardware feature used by MVT to protect one task from

another. The hardware restriction of 16 possible keys limits

this resource and consequently the number of protected tasks in

the system. Since the 360 architecture provides only one protect

key for every 2048 bytes of core, the 2K block becomes the

smallest unit that the Main Storage Supervisor can use in

allocating regions. In fact, the structure and schema of the

Main Storage Supervisor are based on 2K units.

The method of allocating regions is also the major

difference between MVT and MET. In MPT, partitions are allocated

by a routine (GETPART) at initialization time and whenever a DEFINE command is processed. In MVT, the GETPART routine is

invoked dynamically by the initiators: consequently, the problem

program area of main storage can be used more flexibly.

Usage of each type of main storage can be measured in terms

of quantity (bytes or K), frequency of reference, duration of

occupancy, and whether the usage is fixed or dynamic.

Fixed main storage consists of (1) the Nucleus which

contains resident routines, tables, and control areas; and (2)

the Link Pack Area which contains optionally resident routines

and may be distributed across processor storage and in LCS. The

only measure of fixed main storage provided by SMF is the maximum

hardware size at IPL time in the Type 0 record. The sizes of the

nucleus and link pack area are not available from SMF.

Dynamic main storage consists of a System Queue Area which

is used for control blocks for system functions and job steps and

the contents of which may be modified by the Supervisor only, and

a Dynamic Area which is used for region space for executing job

steps. SMF provides no measure of the amount of System Queue

52
Area used by a particular step. Various algorithms have been

developed to infer the nature of usage of the dynamic main

storage area from an analysis of the Type 4 records. However,

since no Type 4 records are written for system tasks such as mount and start commands and no measures of any kind are provided

for dynamic System Queue Area, all such algorithms have a high

degree of error.

By analyzing the Type 4 records (region size, protect key,

execution start and stop times), the amount of region space in use for job processing can be approximated. This measure

provides an indication of the amount of dynamic area in use for

productive work. The difficulty with this measure is that it is

unclear whether the remaining space was free, fragmented, or in use by tasks not accounted for.

On a step-by-step basis, the usage of the region requested

for a step can be analyzed by comparing the values of core

requested versus core used. While the core used figure may be

imprecise for many jobs, those jobs that request significantly

more region size than they need can be isolated using these

values. Any differences greater than 20% between core used and

core requested generally indicate wasted region space. Because

programs such as Sort/Merge and certain compilers adjust their

core requirements to use whatever space is available to them, job

steps executing them will always show 100% region utilization.

Region sizes for such steps can be chosen to improve storage

utilization of non-self- ad justing steps in the same job. Since

MVT tends to perform better if region sizes on the successive

steps of a job decrease rather than an increase, the

region-requested value can be analyzed to locate jobs that may be

contributing to poor core utilization.

The IBM 360 and 370 hardware does not provide any measure of

frequency-of- reference usage of core and hence no working set or

productivity measures of core on either a system or job step

basis are available from SMF.

The core-allocated values for each main storage hierarchy

are present in the step termination record. These values are

only the amounts of core and LCS in the region and do not include

System Queue Area. The measure of the main storage resource must

include a time-in-use quantity to be meaningful. Two approaches

are possible using the SMF data, as discussed in the next two

sub secti ons

.

a. Job step duration

Using the start time from the step or job initiation record

and the termination time from the job termination record, the job

duration can be computed. This value accurately reflects the

time the job resided in core, but since, in a mult i -programming

environment, there is high variability in job durations due to

the interference of other jobs, this value does not accurately

reflect the demand placed on this resource by the job.

63
b. Effective duration

Based on the idea that, when a task is ready to compute or

do I/O but cannot because another task has control of the CPU or

channels, that task's core is not effectively "in use", a number

of algorithms have been developed to compute an effective

duration, and hence a more repeatable core usage value. The idea

is to add to the measured CPU time an "effective I/O time" based

on I/O usage. How to arrive at an effective I/O time is

explained below under "I/O devices".

Whether actual or effective duration is used to measure

occupancy time, the main storage usage charged to a job step is

normally taken to be the product of core allocated and residency

time, expressed in such units as k i 1 obyt e- mi n ut e s

.

3. Direct-access storage

Direct-access storage is storage on any of the variety of

magnetic disk or drum devices available to IBM 360-370's.

Devices can be classified by transfer rate, capacity, track size,

and performance characteristics. Devices with similar

characteristics have the same "device type" assigned to them for

identification by the Operating System. In any configuration,

there is a finite quantity of DASD storage. Some jobs may have

to await the freeing of DASD space before they can execute if the

resource is saturated; many will terminate abnormally if the

resource isexhausted.

DASD storage may be subdivided into spool space, work space,

online storage, and offline storage; it may be further

classified by device type and device performance. Space may also

be valued more highly if it is on a dedicated or resident volume,

becoming in effect a part of the operating system. SMF provides

very few measures of DASD space usage, and some of the measures

are better provided by other OS functions.

a. Space available

While the space available record reports the available space

on a DASD volume and various volume characteristics, its

usefulness for space management or analysis is limited. Multiple

volumes with the same serial number or the actions of utilities

can radically change the values reported by SMF. The Type 19

record is only written at IPL, HALT, SWITCH, or volume removal

time. Thus, in a stable OS system, the Type 19 information may

be very stale. An lEHLIST of the volume provides the same

information as the Type 19 record. Additionally, the lEHLIST

utility can show data set allocation by data set name so that

maintenance action can be taken.

There is no way permanent or sem i - pe rmanent DASD space can

be allocated to a single job. This is more appropriately handled

by a DASD space management system that can allocate track days to

specific users.

64
b. Space used

The data set records (Types 14 and 15) provide a partial

measure of the amount of temporary disk space used by each step.

This includes time in use, tracks allocated and used, volume

serial number, device type, and primary device address. This

data does not include data sets allocated but not opened, data

sets allocated in one step and passed around the step being

measured, or work data sets allocated but not classified as temporary by the system. A more precise picture of work space

can be obtained by combining the data set records with the

scratch records. This information, combined and graphed over

time, can provide a map of the usage of PUBLIC and STORAGE

volumes for work data sets.

DASD work space for temporary data sets can be determined

for a job by combining the data set records and the scratch

records. By making the assumption that a data set is allocated

in the first step that uses it, the high water mark for each step

can be determined and then, using either effective duration or actual duration, the work space use can be expressed in

track-seconds or track-minutes.

c. Productive use of DASD space

Productivity measures of DASD space are generally confined

to analyzing the density of data within a data set. SMF provides

two measures of density: the first is the tracks used

versus allocated figure from the data set records--thi s can

provide an analysis highlighting the worst cases. The second

measure uses the device type, access method, and logical record

length, also from the data set records, to determine the best

block size and compare it with the actual block size--this can

show where space is being wasted by poor choice of blocking

factors

.

4. Channel

s

When none of the tasks in a multiprogramming system is

highly computational in nature, overall performance depends

heavily on channel loading and interference among users of

direct-access storage devices.

Channels are in use for a task from the time the I/O is

started until the channel-end interrupt has been serviced and the

I/O operation is posted complete. This may be a simple operation

like a card read that performs a single buffer transfer; a more

complex operation like a disk write involving command chaining

and branching in the channel program; or a sophisticated

operation like a teleprocessing poll that relies on intricate

channel programs and appendage routines. While a channel (or

multiplexor sub-channel) is in use, a number of other tasks may

be waiting for the resource. The operating system provides

channel queues to pend these requests until the channel is

avai 1 abl e.

65
Channel utilization can be measured from a variety of

viewpoints: channel busy time, depth of channel queues, channel

data transfer, and channel storage access. Separate measures are

required for each channel, channel type, or sub-channel in the

configuration.

SMF does not measure channel usage. A large number of

channel transfers go unrecorded, e.g., system tasks, errors, and

actions by appendages; and the units counted (EXCP's) do not

reflect the usage of the channel for an I/O operation or even the

specific channel involved (in the case of a multi-channel

device). The analysis of EXCP counts from Type 4 or Type 14/15

records can provide an overall measure of job-related I/O

activity in the system, but the usefulness of such a measure for

analyzing system performance is limited. Only in systems with

single channel paths, a stable configuration and mounting

characteristics, as well as a similar workload from day to day,

can the SMF EXCP counts by channel give some indications of

channel balance, but no determination of total channel load can

be made.

Although channel usage cannot be precisely determined from

SMF data, it is possible, by assigning standard values to

variable device characteristics such as tape start time,

rotational delay and buffer transfer time, to approximate the

relative load placed on the channels by particular jobs. In

addition to these standard values that can be determined from

device class alone, if the block size value from the data set

records is used, the average data transfer time can be computed

and added to device latency. Since the characteristics of

channel usage vary significantly by access method, the data set

organization and access type (sequential or direct, input or

output) from the data set record can be used to estimate

rotational delay and arm movement latency values. Since the EXCP

access method does not provide block size values, transfer time

averages have to be used for this access type. Channel time for

HASP p seud 0- dev i ces can be assigned as a fraction of the implied

real disk I/O.

Channel utilization can be categorized by selector or block-multiplexor time and byte-multiplexor time based on the

high-order four bits of the device address.

5. I/O devices

I/O devices fall into two categories, (1) serially usable,

e.g., tapes and printers, and (2) sharable, e.g. disks and

drums

.

Serially usable devices are in use by a task or the system

on an exclusive basis from the time they are allocated until the

time they are deallocated. Such a device is completely

unavailable to other users during the time it is allocated, even

if there is no data transferred to or from it. For example, a tape drive may be allocated in a daily run to a file that is only

66
created once a month. Serially usable device utilization can be

measured by the time devices are allocated to tasks. Some

devices which are sharable may be used in a serial fashion; for

instance, very large d'isk data sets may require wholly dedicated

drives.

Sharable devices are only in use by tasks while they are

actually performing I/O operations on those devices. A single

I/O operation on a sharable device cannot be considered alone.

Each such operation has an associated overhead that affects all

other tasks using that device, since increased arm movement or

rotational delay causes more I/O wait time and consequently

greater core residency time. When considering the usage of

sharable devices, it is best to subdivide the devices based on utilization. Hence, classes of such devices can be created for:

(1) system residence volumes;

(2) resident private data sets or library volumes;

(3) public work space.

In many cases, devices are dedicated to a specific function

by the operations management group. Devices might be dedicated

for security reasons, to provide fast job turnaround or for the

ease of the operators. Such dedication must be considered when

discussing resource usage, even though it may not be reflected in

any quantitative measurement.

SMF provides a relatively good measure of the usage of

serial devices. Since such devices are in use from the time they

are allocated until they are deallocated, the step termination

record can provide a measure of device usage. The device address

combined with step start and end times gives the time each device

was allocated. Comparing this time with the time online derived

from an analysis of the I/O configuration. Vary Online, and Vary

Offline records gives a measure of the usage of available time.

A com pari son of time online to time available gives a measure of

usable time. When considering usage of serial devices, such

devices as unit record devices allocated to HASP, and HASP

pseudo-devices should be excluded from the analysis. For a serial device that is switchable from one CPU to another, the

usage figure must include contributions from all CPU's having

access to it.

An analysis of the productive use of serial devices can be

made using the step termination record and the data set records.

The step termination record gives the time the device was

allocated while the data set records give the number of EXCP's

and (for standard sequential data sets) the amount of data

transferred. Such an analysis can lead to the reconfiguration of

a step's devices for better resource utilization.

The analysis of the usage of sharable devices is more

difficult than that for serial devices. The usage of a sharable

device is primarily the activity level of the volume on that

67
device. That is, given a number of devices of the same type, the

most heavily used device will be the one on which the most

heavily used volume is presently located. Heavy concentration of

device usage does not necessarily mean poor performance; the

opposite may be the case. Since analysis of channel utilization

has the objective of improving throughput by spreading the I/O

load among the channels, device usage analysis can be confined to

those elements concerned with devices alone. Such elements as arm movement and rotational delay affect device usage.

The data set records give the EXCP count for each volume

serial and device type, as well as the access method, block size,

and data set name. A period of usage is the step duration from

the appropriate step termination record. This data can be used

to identify the high-usage volumes, determine the relative usage

levels of the devices, reveal possible conflicting usages of

different data sets on the same volume, and locate high-volume

data sets with poor block sizes for the device. Because of the

imprecision of the data, care must be taken that sufficiently

high levels are identified, and further research may be called

for in order to improve performance. Many data sets that are

used by the system in a shared fashion are not recorded by SMF so that even moderate usage levels on those devices may be cause for

concern

.

Since SMF does not record the length of time from I/O start

to I/O completion, it is necessary to develop an effective I/O

time. This time is channel time, computed as above, plus

dev ic e- dependent waiting times such as tape stop time, disk head

seeks and forms or card movement. Most costing algorithms view

all I/O time as additive, but in the opinion of the authors, if

teleprocessing devices are excluded, selector and

block-multiplexor channel devices should be considered additive,

but byte-multiplexor devices should be considered limiting. That

is, the I/O time ought to be taken as the sum of the I/O time

from selector and block-multiplexor devices or the longest time

of byte-multiplexor devices, whichever is longer. This more

accurately reflects the fact that a card-to-tape job usually runs

at the speed of the far slower card reader, but a tape-to-tape

job takes the full time to read and write both files.

Development of an effective I/O time ignores the benefits

derived by some jobs due to the overlapping of I/O activity, but

in heavily loaded systems, such overlap more often accrues to the

system (by increasing the multiprogramming level) than to a specific task. On the other hand, such a treatment has a high

degree of repeatability, and with proper calibration can be madr

very precise using sampling and monitoring. For purposes of

accounting for usage of I/O devices by job steps, serial devices

must be treated differently from sharabl e devices.

Since serial devices such as tapes, card readers, mountable

DASD and the like are in exclusive use the whole time they are

allocated to a step, the actual measure of usage is, like main

storage, the duration of the step. As noted above, this value is

68
quite variable,

duration.

so that a better measure is again effective

For shared devices, the most appropriate usage measure is

simply the I/O time on those devices. This takes into account

access method, access type, device latency such as rotational

delay and arm movement, and data transfer time.

Some installations have divided d i rect- access devices by

address, defining some as shared (PUBLIC or STORAGE) and others

as serial (PRIVATE). Others have assigned these characteristics

on the basis of volume serial number and, in at least one

installation, by the temporary flag in the data set records.

6. Media

This class comprises printed lines, punched cards, paper

tape, microfilm, magnetic ink and all other non-reusable

recording media. Each physical medium may be further classified

by usage. For example, the user may group his printed output

into different Sysout classes according to content, or the

installation may want to assign higher costs for printing during

prime shift, at high priority, or on special forms.

Other than cards punched and lines printed, SMF provides

very little direct information about non-reusable media

resources. Specific devices such as a MICR printer or paper tape

punch could be isolated and media usage calculated from the EXCP

counts. With punched cards, the usage measure is good as long as the Sysout writer is used, since counts in the Type 6 record

include the form number and one output record is one card. For

printed output, the measure is not quite so precise, since a line

count rather than a page and line count is provided. But the

counts for printing are provided by form number so that proper

conversions to page counts could be applied to develop media

usage. If output devices are directly allocated to steps rather

than producing output through Sysout, the computation becomes

more complex, since the EXCP counts must be accumulated and then

form numbers externally assigned.

Since the Sysout records contain line or punched-card

counts, it is possible to allocate media to specific jobs in

terms of lines printed or cards punched. The form-number field

in the Type 6 record allows media usage to be categorized by type

of form or card stock. In non-HASP systems, Sysout usage can

only be allocated on a job basis; it cannot be further broken

down to job steps using only the SMF data.

7 . Vo 1 ume s

The term "volumes" is used to describe physical devices

within or upon which data is recorded and which are viewed by OS as limited in capacity. Each volume (disk pack, drum, tape reel,

etc.) is identified by a serial number that must be unique within

69
OS at any one point in time. Volumes are a finite resource for

each device class, in that each volume contains only a limited

amount of data. Even within device classes, there may be

variations in capacity, e.g., 2400, 1200, and 600-foot tape

reel s

.

Space within a disk volume is controlled by Direct Access

Device Space Management, DADSM (see "Di rect- access storage"

above), but control of volumes themselves is mainly left to the

system operator or the user through JCL. OS uses the volume

serial number to ensure t.hat volumes requiring serial devices

(e.g., tapes) are allocated to jobs one at a time. The

allocation of non-specific references to volumes is primarily

controlled by assignment of a volume state (public, private, or

storage) by the system operator (via the MOUNT command) or by the

user (via the V0LUME = PR IVATE parameter on the DD statement). The

availability of a volume is also controlled by the assignment of

a mount attribute to the volume at the time the volume is

presented to the system, either by the operator when it is

mounted or by the operating system if the volume is already

mounted at IPL time.

The management of volumes in OS has a major impact on such

resources as initiators (device allocation), operators (volume

mounting), DASD space, and others. Volume usage can be measured

in terms of frequency of reference, amount of capacity in use,

duration of usage, and amount of time spent waiting for volumes.

By matching data set records with the corresponding step

termination records, the duration of volume usage by each job

step can be determined. Volume serial numbers, EXCP counts, and

channel and unit addresses are available directly from the data

set records. Thus the measures of volume usage practically

available from SMF data are frequency of reference and duration

of usage. These measures can be used to isolate tape volumes

with small data sets more appropriately allocated to disk or

stacked on tape, disk volumes seldom used but inappropriately

made resident, or disk volumes heavily used but mountable. By

combining volume use data with DASD volume space analysis data,

reorganization of data sets to reduce volume mounting can be

accompl i shed .

8. Shared DASD

Shared DASD support is a feature of MVT that provides for

sharing of d i rect- access storage devices between two or more

CPU's. Shared DASD does not refer to those devices that are

switchable from one CPU to another but rather to concurrent usage

by two CPU's. The hardware that supports this feature is

supplemented by routines in operating system components to use the feature.

Shared DASD should be considered a separate resource, since

the use of a shared device by jobs running in one CPU can affect

the operation of the other CPU. In this case, then, the usage of

a resource cannot be viewed from the standpoint of the single

70
system, but must be viewed by considering the composite system.

Shared DASD provides many benefits, since data that is used

by jobs that must run on different CPU's can be shared and

thereby reduce disk space requirements and volume mounting.

Likewise, work space can be shared and provide higher utilization

of disk space and decrease total space requirements.

Since DASD volumes that are shared between systems must be

mounted resident or reserved on the sharable devices while they

are in concurrent use, they provide a unique operational problem.

Likewise, because of the necessity to combine usage from two or more systems and the possibility that sharable devices may not

always be used in a shared manner, shared DASD has unique

measurement requirements. Shared DASD must be measured in the

same units as DASD space and sharable I/O devices.

Like ordinary sharable devices, shared DASD usage can be

measured by the activity level of the device. If the volumes

contain such system data sets as catalogs, program libraries, and

SMF or error recording data sets, a significant number of EXCP's

to the devices will go unrecorded. For other data sets, the EXCP

counts, block size, data set name, and access method are

available from the data set records, and the usage period is

available from the corresponding step termination.

For shared devices, it is necessary to combine the SMF data

from both systems and establish an equivalence of device

addresses. If shared DASD space is used for work space, then it

will be necessary to combine data set, step termination, and

scratch records for both systems in order to measure work space

usage on each system.

D. Software Resources

1 . Dev ice all ocat i on Device allocation and deallocation is strictly a sequential

process. Although several initiators may be active in the system

at a time, only one of these may currently be allocating or deallocating I/O devices. Any other initiator(s) needing to do

so must wait until the active one is finished. Thus delays in

device allocation for one job prevent other jobs (eventually, all

jobs) in the system from being initiated or terminated.

The measures of device allocation as a resource are simply

the time (CPU, channel, wait time) spent allocating and

deallocating devices and the time spent waiting to allocate or

deallocate devices. This resource is so critical to system

performance that software products which replace the MVT device

allocation algorithm with a better one are now being marketed,

and IBM itself uses an improved algorithm in OS/VS.

71
The only measure of device allocation available from SMF is

the duration in device allocation and region allocation provided

by the difference between the step start time and the problem

program load time on the step termination record. By plotting

this time against the number of initiators in use (derived from

job durations and protect keys), a performance analyst could spot

device allocation interlocks caused by too many initiators or bad

cl ass asi gnments

.

2. Data set names

Another software resource for which contention may develop

is data set names. If two concurrently executing jobs wish to use the same data set, and at least one of them requests

exclusive control through its JCL, then whichever job is

initiated first will force the other to wait for the data set

until the first job terminates. (The operator has the option of

cancelling the second job.) Since high usage of a data set does

not necessarily develop contention, measures of exclusive use,

shared use, initiator time waiting for shared use, and initiator

time waiting for exclusive use must be provided to analyze this

resource. SMF provides no straightforward method of analyzing

queues of data set names, although this bottleneck can be most

difficult for operations to control.

3. Transient areas

A potential system bottleneck is I/O error recovery. All

I/O errors cause some form of recovery to be attempted under the

control of the System Error Task. This task is performed by

several modules which are loaded into a single transient area in

the Supervisor (low memory addresses). Particularly on

teleprocessing systems with hundreds of terminals it is possible

for bursts of nearly simultaneous errors on numerous devices to

keep the System Error Task busy for seconds at a time;

meanwhile, nothing else will be happening in the system, not even

operator console communication, since the System Error Task has

higher priority than the Communications Task.

Portions of the operating system that are infrequently used

may be stored on disk in SVCLIB and retrieved into core and

executed only when required. These routines execute from fixed"

1024-byte transient areas in the nucleus. Optionally, some of

the more heavily-used routines may be made resident in the Link

Pack area as resident SVC's. Each transient area can be in use

by only one transient module at a time and all tasks must share

the available transient areas, although higher priority routines

can steal transient areas. The SVC transient areas and routines

are a high-demand resource that is further limited by access to

the SVCLIB data set, arm movement, and channel access to the

Sysres device (upon which SVCLIB must reside). In a heavily

loaded system, one of the major tuning functions is the balancing

of the number of transient areas, placement of data sets on the

Sysres volume, and the control of the Link Pack Area--an

affected by transient SVC usage. Measures of this resource can

72
be expressed in terms of frequency of reference to each transient

routine, time in use of each transient area, and length of time

tasks were enqueued on transient areas and routines. The

measures of the usage of the I/O error transient area are:

length of time transient area was in use, length of time each

transient routine was in use, and length of time tasks were

enqueued for the use of the error transients. This information

would, if readily available, make it easy to decide which

routines should be made resident. As SMF provides no data for

the analysis and management of transient area usage, alternative

measurement techniques (special-purpose software monitors or

hardware monitors) must be used.

4. System catalog

Another important resource on which SMF provides no information is the utilization of the OS catalog. The structure

of the OS catalog is such that the overhead of searching for a data set name in the catalog depends far more on the distribution

of index levels and control volumes than it does on the total

number of data sets catalogued on the system. The usage of the

catalog can vary radically from job to job, and the number of

accesses may vary significantly from data set to data set or even

from day to day for the same data set. The measure of usage of

the catalog should be separated for system catalog and user

catalogs and for the number of entries searched at each level.

An overall measure of catalog usage could be derived from

initiator time spent waiting on catalog searches and Sysres usage

for catalog access.

5. Work queue

The system work queue ( S YS 1 . SYS JOBQE and, in HASP systems,

the HASP input queue) is a twofold resource. It is a finite

repository for jobs awaiting execution and a serially reusable

source of control blocks for steps in allocation, execution, or

deallocation. Since a system can remain loaded only if

executable jobs are enqueued, it is important that the input

queue be large enough to contain a sufficient number of jobs

awaiting execution. Inadequate queue size is indicated by an operator message and requires no special analysis.

Overal 1 ocation of the input queue and consequent underut i 1 i zation

of disk space could be analyzed by a measure of the high water

mark of queue records in use.

The serial use of the system work queue data set may result

in wait time for many tasks in the system. The measures of this

aspect of the resource are time spent waiting for Job Queue

access and accesses by component.

Generally, SMF provides very little information for

measurement or analysis of the work queue. It is possible, by

using the time stamps on the job termination and step termination

records to determine how long jobs spend in the queue. The

average number of steps and DD statements per job can be

73
determined from the step termination records. These figures are

very poor measures of queue utilization, but may be useful for

estimating job queue parameters.

6 . Initiators

KVT provides for a maximum of fifteen i ni ti ators--one for

each non-zero protect key. One initiator is dedicated to a job

for the life of that job; hence, a maximum of fifteen jobs can

run in the system at any one time. Each initiator proceeds

through a defined set of functions allocating and deallocating

resources to each step of the job. Many of these functions can

only be done by one initiator at a time, so each one enqueues on

a class of resources prior to allocating from that class. Other

functions require demand allocation of resources on a first-come,

first-served basis.

Since time spent with the initiator is nonproductive time

for job processing, the initiators have higher priority than any

processing task to speed their functions. Even with this

priority, initiators frequently spend relatively long periods

waiting for such resources as main core, system queue, catalog,

device allocation, operator action, and volume verification. To

the same degree that initiators are interlocked, system

throughput is affected. In many cases, the nature of available

resources is such that fewer rather than more initiators will

improve system throughput and overall performance. To determine

the proper system balance, measures of initiator usage must be

combined for analysis. Measures of initiator usage include:

length of time each initiator has a job selected, length of time

spent waiting for each resource, number of initiators in use and

the status of each one, job classes assigned to each initiator,

and the amounts of CPU time, core, and System Queue Area and the

number of EXCP's used by each initiator.

SMF provides no measure of initiator CPU time, EXCP's, or

System Queue Area usage. However, by using the job select time,

step select time, step end time, job end time, protect key, and

job class from the step records and job records, the number of

initiators in use, job classes in use, and duration of time each

initiator has a job selected can be determined.

7. Spool/HASP

The spooling of output destined for recording on external

media is indispensable for flexible job scheduling. However,

relieving the pressure on hardware resources (printers, punches,

etc.) creates a software resource whose allocation affects

throughput and job turnaround; consequently, measures of spool

utilization are of interest to installation management.

The spool resource is composed of two elements, namely,

space to hold spooled output (usually on DASD) and space to hold

control information identifying spooled data sets. In OS/MVT

without HASP, system output (Sysout) data sets may be spooled

74
onto DASD or tape; since spooling to tape is extremely rare,

spool space is effectively a subset of direct-access space.

Likewise, control information for Sysout data sets is contained

in special records (Data Set Blocks or DSB's) in the OS Job Queue

and thus can be considered a subset of the work queue resource.

Because of its special function in the system and special

treatment in the job control language, spool space is

nevertheless worth isolating as a distinct resource. It can be

controlled and accounted for separately from DASD in general.

In systems with HASP, the existence of a separate spool

resource is much more obvious, since HASP'S spool space is

pre- al 1 ocated and pre- f o rmatted , usually on one or more dedicated

volumes, and is thus physically as well as logically distinct

from other DASD space. This is, in fact, one of HASP'S

advantages, since the percentage utilization of spool space can

always be calculated and displayed on the console in response to

an operator inquiry. HASP is similar to OS in that jobs awaiting

print (or punch) are controlled by records in the Job Qupue

(hasp's queue, not the OS queue), making it possible for heavy

use of this element of the spool resource to prevent acceptance

of further jobs into the system. Job entry may have to wait for

reduction of the backlog of spooled output. There is a significant difference in that HASP requires one job-queue record

per job awaiting print or punch, whereas OS requires one DSB per

Sysout data set, so the second element of the spool resource has

much more predictable utilization in a HASP system.

Allocation of space to Sysout data sets is done dynamically

on a record basis under HASP, but statically on a data set basis

in OS. This means that, under HASP, available spool space is

used for Sysout records as they are created, and the number of

records created by each job is kept track of; when this number

exceeds the estimate provided on the JOB card, the operator is

informed and the job may be cancelled or allowed to continue.

Under OS/MVT, the programmer must estimate the space for each

Sysout data set in advance, and the job will be abnormally

terminated if it attempts to write output in excess of the

maximum space allocation. An OUTLIK parameter is also provided

to allow limitation of output per data set on the basis of number

of records written.

Measurement of spool utilization thus will differ, at least

in its interpretation, between HASP and non-HASP systems. The

first element, spool space, is readily quantified under HASP as number of DASD tracks available and used for spooling, and the

percentage utilization is immediately available. Under OS, the

total space available on public and storage DASD volumes could be

subdivided into free space, space allocated to Sysout data sets

(and to spooled input data sets), and space allocated to other

data sets; then spool space as a percentage of the sum of spool

space and free space would serve as a measure of relative spool

space utilization comparable to HASP'S percentage utilization

figure.

75
Similarly, in either system, the number of Job Queue entries

being used to control spooled data could be expressed as a percentage of the maximum number of entries less the number

currently in use for other purposes. This would give a measure

of the relative utilization of the second element of the spool

resource, namely, spool control space.

Because HASP is not integrated into SMF in the MVT version

of OS, many installations using HASP have added the capability to

HASP to write SMF records for system output. This is essential

if any measure of HASP output is to be provided using SMF.

The spool usage data provided by SMF consists of line (or

card) counts from the Type 6 records and DASD space and EXCP

counts from the Type 14/15 records. These records provide time

relations to show print (or punch) volumes and backlog by hour.

The data set records can be used to determine the amount of I/O

activity to the spool devices, space allocated and used, and

effectiveness of block sizes.

As mentioned earlier, many HASP systems have been modified

to write Sysout records, and some write Sysin counts as well. In

systems without HASP, the Sysin record count is available in the

step termination record. These counts and the Sysout records

provide the ability to allocate usage of Sysin devices on a step-by-step basis and that of Sysout devices on a job basis.

In HASP systems, the EXCP count for the pseudo-devices from

the step termination records can be used to allocate the usage of

HASP itself to jobs. This value is preferable to the

Sysin/Sysout counts since the EXCP count is unaffected by

multiple copy parameters.

8. Communications task

The (operator) communications task is responsible for

communication between the system operators and OS components.

The communications task receives messages from operating system

components or user programs and queues them for display at the

appropriate operator's console(s). In the other direction, the

communications task receives commands from the system operators

and routes them to command processors or user programs.

The two-way flow of messages through the communications task

is determined by the type of console devices supported, the

message buffers allocated, the availability of transient areas,

and the availability of command processing tasks.

76
In order to measure the usage of the communications task, it

is necessary to measure the usage of the message buffers, with

such measures as: duration each buffer is in use, total time

tasks are waiting for buffers to become available, and average

number of messages queued for each console. Additionally, the

I/O usage of consoles could be considered by examining the

frequency and length of console I/O's. However, none of these

measurements is supplied by SMF.

9. The SMF writer

The SMF Writer task (see section IV. A. 3 above) is a serially

used resource whose efficiency is determined by the size of the

SMF buffer, the recording media for SMF data, and the

availability of the SMFWTM (SVC 83) routine and the TCLOSE (SVC

23) routines.

Measures of the usage of the SMF Writer include the number

of records written by time interval, the average size of the

records, the I/O load on the SMF device (channel and speed of the

device as reflected by I/O duration of the SMF writer), and the

time spent by tasks awaiting completion of SMF writes or enqueued

on the SMF buffer.

The SMF data itself provides a number of measures of the SMF

writer: frequency of records written, the amount of segmentation

of records, and the modal time between records. These measures

can be used to evaluate the overall usage of the SMF writer and

the possible impact of changes in the SMF parameters.

77

VI. Summary and Recommendations

The first five sections of this report have described how

SMF works, how to install and operate it, and the uses to which

it is customarily put in system performance evaluation. This

final section deals with three important questions that should be

asked about any measurement tool: How accurate is it? How

expensive is it to use? How may it be adj isted to improve its

usefulness? These questions were investigated with some rigor in

the course of this study^ and the results are summarized below.

For purposes of this study, the "accuracy" of SMF was

considered in two respects: absolute and relative. Absolute

accuracy was understood to mean the degree to which SMF

measurements of some system characteristic approximated

measurements of that same characteristic by another technique

accepted as accurate (a hardware monitor, in this instance).

Relative accuracy, or variability, was understood to mean the

extent to which a fixed set of problem programs would produce

consistent SMF measurements after repeated execution of the same

set. Absolute accuracy is of particular interest in performance

tuning, where the actual consequences of variations in the system

environment may be critical. Relative accuracy tends to be more

important in chargeback, where inconsistent user charges are apt

to produce more complaints than poor service.

To test the absolute accuracy of SMF, one specific SMF data

item (system wait time) was compared with carefully calibrated,

external measurements of the same event. The job stream used for

this controlled experiment contained 15 types of jobs, including

several "synthetic" jobs designed to have closely controlled

patterns of resource usage, and "natural" jobs chosen to be

representative of typical batch workloads. Most of the "natural"

jobs used IBM-supplied programs such as compilers, utilities and

the linkage editor. These jobs were run repeatedly as a single

fixed job stream on a dedicated machine under simultaneous

monitoring by SMF and a commercial hardware monitor. The main

conclusion from these tests was that SMF system wait time

measurements agreed closely enough with hardware monitor

measurement to be useful for system tuning. The CPU-busy value

obtained by computing the difference between system wait time and

elapsed wall-clock time were only 0.7% lower than comparable

values obtained by hardware monitoring.

Note that these conclusions apply only to a total job

stream. If precise CPU timings must be obtained for a single job

using only SMF as a measurement tool, the authors recommend that

the following procedure be employed:

79
* run a single-threaded test consisting of one

dummy job and the job to be measured;

* switch and dump SMF data sets;

* switch SMF data sets again, and run another

si ngl e- t hread test containing only the dummy job;

* switch SMF data sets once more, discard the one

consisting of records written in the interlude

between tests, and dump the one for the second test;

* use cumulative SMF wait time and elapsed time to derive

CPU-busy time for each test; and

* take the difference of these figures as the true CPU

cost of running the job in question.

In the above procedure or any application of SMF system wait time

the elapsed time should be taken as the difference between the

time stamp on the Type 12 record and the time stamp on the

previous Type 12 or Type 0 record. If this latter time is

unavailable, it can be approximated by inspection of the

operator's console log.

It should be noted that this procedure differs from the SMF

manual, which recommends that the measurement interval for wait

time "can be obtained by calculating the difference between the

time stamp on the first type 1 record and the time stamp on the

type 12 record ."( <3 > ) This method ignores the time between the

start of SMF wait time collection and the writing of the first

Type 1 record. SMF wait time collection begins with an IPL and

starts afresh every time a Z EOD (Halt End-of-Day) or I SMF

(Switch SMF) command is processed. Thus the time stamp on the

Type 0 record or the time stamp on the previous Type 12 record

(which would usually be found on the other SM data set) should be

taken as the beginning of the measurement interval. If the

interval begins with an IPL, the amount of wait time reported in

the Type 0 record should not be included in the total derived

from the Type 1 and Type 12 records, as this wait time accrued

before the time stamp on the Type 0. Ignoring the wait time in

the first Type 1 record in a similar way would not salvage the

method of <3> because only the upper level of the two-level

buffer used by SMF to accumulate the wait time is emptied when

the Type 1 record is written. The writing of a Type 0 or Type 12

record, on the other hand, empties both levels. Since each SMF

recording interval in the validation experiment began and ended

with a Switch SMF command, and only one SMF data set was dumped

to tape for each test run, the Type 12 record for the first

Switch command was not available for elapsed time calculation (or

for any other purpose). Therefore, the elapsed time was taken

from the console log instead. The next major objective of this

phase of the study was to determine the relative accuracy, or

variability, of two critical SMF measurements: CPU time and EXCP

counts. The test job stream consisted of three jobs which were

80
run repeatedly in a production environment over a period of

several weeks, during which pertinent SMF data was collected and

tabulated. Then these same jobs were run si ngl e- threaded , i.e.,

with only one initiator active, and the figures derived from

these runs were used as base values for a statistical analysis of

the fluctuations observed in the production runs. The major

results of this experiment showed (1) that CPU time recorded by

SMF for individual job steps exhibited a random variability

ranging up to 25% for typical batch jobs, (2) that SMF EXCP

counts are generally accurate and repeatable as long as chained

scheduling is not used, (Chained scheduling can introduce more

than 80% variability into EXCP counts.), (3) that the use of

chained scheduling increases the variability of SMF-reported step

CPU times, (The coefficient of variation went from less than 5%

to more than 7.5% in the validation experiment when chained

scheduling was used.}, and (4) a significant percentage (in our

observation, 12%) of overall CPU-busy time is lost by SMF when

allocating CPU time to jobs. (This time is inaccurately

classified by SMF as "O.S. overhead".)

Because of its obvious impact on SMF measurements, a word

about chained scheduling might be in order. Chained scheduling

of sequential I/O is an OS option which causes the channel

program to be modified dynamically in an attempt to keep the

channel and device busy continuously. The CPU activity involved

in this attempt is synchronized with the I/O by means of

program- control 1 ed interruptions (PCI's), a 360 hardware feature.

This form of I/O involves unpredictable amounts of CPU overhead

for supervisor routines modifying and restarting channel

programs. Moreover, chained scheduling is highly

timing-dependent, and hence extremely sensitive to environmental

fl uctuations.

EXCP counting is also quite unpredictable under chained

scheduling. The median value of EXCP's under chained scheduling

was lower than the standalone base value because on a loaded

system the CPU is less likely to have another block ready to be

written at the time a PCI occurs; in this situation the channel

program is allowed to terminate, so the processing resembles that

for ordinary sequential output. It is paradoxical but true that

SMF always records more EXCP's for chained scheduling than

without, even though fewer I/O operations are actually started at

the hardwa re 1 evel

.

As an aside, the variability experiment also showed that the

predictability of CPU time on the basis of published instruction

timings for the IBM System/360 Model 65 depends on the class of

instructions being executed. Times measured for the types of

instructions executed in fixed binary arithmetic (RR and RX)

agree cosely with values predicted in advance. Timings for

storage- to- storage moves and floating-point arithmetic were found

to be much less predictable.

81
On the basis of code analysis, all of the above conclusions

can be applied qualitatively to OS/MFT systems as well as to

OS/MVT. These quantitative figures should be expected to vary

from one OS installation to another dependng on hardware

configuration, system generation options and workload

characteristics. The claim that OS overhead is not accurately » measured by SMF is also based on code analysis, which indicates

that I/O interrupt processing time is charged to the interrupted

task rather than to the task issuing the I/O, or is not charged

to any task at all if the system is in the wait state when

interrupted.

The analysis of the SMF EXCP counting algorithm earlier in

this report revealed a bias against steps having a large number

of statements, a situation that is found with many teleprocessing

systems. This finding was confirmed by the experimental results

on SMF data collection overhead. Code analysis of the MVS system

has indicated that the use of chained scheduling for most

sequential I/O will cause major irregularities in the EXCP counts

recorded by SMF. This analysis further predicts that the EXCP

counts for MVS chained scheduling will always be less than the

counts for the nonchained scheduling, which in turn are always

less than the counts for chained scheduling under OS (MFT or

MVT). In any attempt to perceive reality it is important to know

how much of what is observed is the observer's own shadow. To

gather data on resource utilization in OS/360 itself requires

resources, which may either be external to the system (e.g., a hardware monitor or sensor-driven minicomputer) or internalized

in the form of additional overhead. Any software i n st r umenat i o

n

installed in the operating system for performance analysis

purposes should include some means of measuring both OS overhead

and that fraction of it caused by the instrumentation itself.

Although SMF generally fails to account for the resources

used by OS, the overhead incurred by SMF itself can be deduced

from SMF records. There are two components of SMF overhead,

namely, that which can be allocated to individual jobs (and in

fact is included in j ob/ step-rel ated usage measures) and that

which is pure OS overhead. For example, a job step which

repeatedly opens and closes a file causes many SMF Type 14/15

records to be produced, and the CPU time required to construct

the records and move them to the SMF buffer is charged to the

step in the Type 4 record. The actual writing of the Type 14/15

records to the SMF data set is performed by the SMF writer, a system task, and thus is not charged to any job step nor

explicitly recorded by SMF in any other way. However, the

resources consumed in writing the Type 14/15 records can be

estimated from the size and number of the record themselves.

Note that the "overhead" cost of SMF was considered in the

rather restricted sense of the additional load, over and above

user program execution, that is imposed upon a computer system by

SMF data collection and recording, and is expressed in units of

online resource consumption (system time, CPU time, supervisor

time and I/O load). No consideration was given to the benefits

82
that prudent use of SMF can bring to an EDP installation. No

estimate was made, either, of the development costs for producinq

SMF data reduction and report generation software, the personnel

costs of installing and operating the SMF subsystem, or the media

and storage costs for collecting and retaining historical SMF

data. Clearly, these questions must be taken into consideration

before a true cost/benefit assessment of the tool can be made.

The basic method used to measure SMF overhead was to run a test multiprogramming job stream under various operating system

conditions. In effect, two versions of the operating system, one

with SMF and one without, were used to isolate SMF data

collection overhead. In the version with SMF, four levels of

implementation were benchmarked: (1) SMF recording suppressed,

(2) only system SMF records, (3) only system and job records, and

(4) system, job step and data set records. Other variations in

the test environment made it possible to assess the effects of

varying SMF buffer size from the minimum allowed by OS to

full-track blocking (i.e., SMF buffer size equal to twice the

track capacity of the 2314 disk, since the SMF buffer is really a double buffer); and the effect on data collection overhead of

adding a teleprocessing job to the test stream.

The results of these tests showed that SMF data collection

overhead (i.e., SMF without data recording) was in the range of

6-8% of OS supervisor state CPU time. Almost two-thirds of this

was incurred in EXCP counting alone. Overhead is substantially

greater (by approximately 25%), both relatively and absolutely,

in systems with teleprocessing than without it. SMF data

recording overhead added less CPU overhead to the system than

EXCP counting, and its cost in system I/O overhead is trivial

except at sites that dedicate a tape drive to this function.

It is recommended, therefore, that any attempt to reduce SMF

overhead should begin with optimization of the code in the I/O

supervisor that maintains EXCP counts in the TCTIOT's for

nonsystem tasks. This could result in overall CPU time savings

of one or two percent, depending on the nature of the workload.

The all-around usefulness of SMF could be improved most

markedly by having the I/O Interruption Supervisor determine

which task is responsible for each I/O interruption as soon as possible after it occurs, and charge that task for the bulk of

the time required to process the interrupt. Another major

improvement would be to add code to the PUT routine or appendage

routine for chained scheduling to keep a count of the number of

successful joins, and add this to the EXCP count to arrive at a number of I/O operations which would at least be repeatable from

one run to the next of the same job. Ideally, of course, all

access method routines should provide data to SMF on the amount,

rate and type of I/O activity they perform; this would permit

analysis of the load on the I/O system in a way that EXCP counts

will never provide.

83
With regard to EXCP counts, it is strongly recommended that

DD statements for job steps that do any significant amount of I/O

be arranged in decreasing order of I/O activity in order to

minimize EXCP-counti ng overhead. If an MVS installation decides

that the fluctuations due to chained scheduling make EXCP counts

worthless for its purposes, it should modify the EXCP counting

routine to return control immediately to its caller, leaving the

EXCP count at zero, and completely eliminating the largest single

source of SMF overhead.

84
Appendix A: Summary of Job Management

A . Ma ster Sc hedul er

1. Console Interrupt Routine . Provides the Supervisor with

the information necessary to give control to the proper routine

following an attention interrupt.

2. Master Command EXCP Routine . Processes the CANCEL,

DISPLAY, MOUNT, REQ, START, STOP, UNLOAD, and LOAD commands.

3. Master Comma nd Routine . Analyzes command verbs and

gives control to the proper command executors.

4. Wr ite-to-operator Routine . Processes messages to the

operator and operator replies.

5 . External Interrupt Routine . Handles switch to the

alternate console when external interruptions occur.

B. Reader/ I nterpreter

1. Co ntrol Routi ne . Reads and interprets control

statements, passing control to the proper statement processing

rout i ne

.

2. Job Routine . Analyzes JOB statements and builds Job

Control Tables from their contents.

3. Execute Routine . Analyzes EXEC statements and builds

Step Co ntrol Tabl es from their contents.

4. Data De f i ni t i on Routine . Analyzes DD statements and

constructs Job File Co ntrol BLock s and Step I/O Tables from their

contents.

S5
Appendix A: Summary of Job Management (continued)

C. Initiator/Terminator

1. System Co ntrol Routine . Performs housekeeping

requirements as the first stage in initiating a job.

2. Execute St atement Condition Code Rout i ne . Processes

condition codes specified in the EXEC statement.

3. JFCB Housekeeping Co ntrol Routine . Determines the

proper JFCB processing routine and directs control to it.

4. A1 1 oc at ion Control Rout i ne . Performs

Initiator/Terminator housekeeping for allocation and setup.

5. Demand Allocation Routine . Constructs the Allocate Work

Table and the Volume Table, and begins device allocation to data

sets that are assigned specific devices.

6. Automatic Vo 1 ume Recogni ti on Ro ut i ne . Performs

allocation of devices on which volumes are mounted.

7. Decision Allocation Routine . Assigns devices to data

sets not already allocated.

8. TIOT Construction Routine . Obtains space for and builds

the TIOT for the processing program.

9. External Action Routine . Issues mounting instructions,

verifies correctly mounted volumes, and unloads incorrectly

mounted ones.

10. Space Reg uest Rout i ne . Processes requests for space on direct-access volumes.

11. Al 1 oc at ion Error Routine . Processes error conditions

occurring during allocation and setup.

12. Step Initiation Rout i ne . Performs all initiation

operations requ i red before control is passed to the processing

program

.

13. St ep Te rmi nat i on Routine . Performs general task

termination procedures in addition to passing control to the

appropriate routines for disposition and deallocation of data

sets and processing condition codes.

14. Job Term i nat i on Routine . Performs general job

termination procedures in addition to passing control to the

appropriate routine to release Job Queue, performing disposition

and deallocation, and user accounting.

86
Appendix B: Summary of Task Management

A. Interrupt Handlers

When an interruption (Supervisor call, program check,

external interrupt, I/O interrupt, or machine check) occurs, the

old PSW is stored in low memory and the CPU loads the

corresponding new PSW, also from a fixed low memory location.

This new PSW causes entry to the appropriate First-Level

Interruption Handler (FLIH), which analyzes the interruption and

routes control to the appropriate routine. In some cases, a Second-Level Interruption Handler is invoked to perform further

analysis. There are three options (SERO, SERl, and M'^iH) for the

Machine Check FLIH, depending on the model of 360 CPU being used.

1. SVC FLIH

2. SVC SLIH

3. Program Check FLIH

4. External FLIH

5. Timer SLIH

6. Console Switch Ro ut i ne

7. I/O FLIH

8. SERO

9. SERl

10. Machine Check Handler (MCH)

87
Ap pend i X B

:

Summary of Task Management (continued)

B. Type-1 SVC Routines

These routines receive control directly from the SVC FLIH;

they are resident in the nucleus, run disabled for all

interruptions except machine checks, and issue no SVC's of their

own. Consequently, they need less housekeeping than other SVC

routines. In what follows, SVC routines are denoted by the OS

Supervisor mac ro- i nst rue t i o n s which invoke them.

1. CHAP (SVC 44)

2. EXIT (SVC 3)

3. EXTRACT (SVC 40)

4. FREEMAIN (SVC 5)

5. GETMAIN (SVC 4)

6. POST (SVC 2)

7. TIME (SVC 11)

8. TTIMER (SVC 46)

9. WAIT (SVC 1)

88
Appendix B: Summary of Task Management (continued)

C. Type-2 SVC Routines

These routines are resident in the nucleus, but may issue

SVC's and/or enable interrupts. In particular, they may perform

I/O. They run under the control of an SVRB (Supervisor Request

Block) provided by the SVC SLIH.

1

2. DELETE (SVC 9)

3. DEQ (SVC 48)

4. DETACH (SVC 62)

5. ENQ (SVC 56)

6. Exit Effector, Stage 1 (SVC 43)

7. IDENTIFY (SVC 41)

8. LINK (SVC 6), XCTL (SVC

SYNCH (SVC 12)

7). LOAD (SVC 8) , and

9. SEGLD or SEGWT (SVC 37)

(SVC 45)

a nd Overlay Supervisor

10. SPIE (SVC 14)

11. STIMER (SVC 47)

89
Appendix B: Summary of Task Management (continued)

D. Non-resident SVC Routines

These routines reside in SYSl.SVCLIB and execute out of a transient area in the nucleus, unless they were preloaded into

the Link Pack Area at IPL time. The transient area handler

section of the SVC SLIH schedules the loading of non-resident SVC

routines by the Transient Area Fetch routine as required.

1. ABDUMP and SNAP (SVC 51)

2. ABEND (SVC 13)

3. CHKPT (SVC 63)

4. Communications Task Router (SVC 72)

5. Log and WRITELOG Post (SVC 34)

6. RESTART (SVC 52)

7. STAE (SVC 60)

90
Appendix B: Summary of Task Management (continued)

E. Non-SVC Service Routines

These nucleus-resident routines are used by the Supervisor

itself to perform various task management functions.

1. ABTERM

2. ABTERM Prologue

3. DAR (Damage Assessment Routines)

4. Di spat Cher

5. EOT (End-of-Task) Routine

6. Exit Effector, Stage 2

7. Exit Effector, Stage 3

8. Program Fetch

9. Task Switch Routine

10. Transient Area Fetch

11. Transient Area Refresh

12. Type-1 Exit Routine

91
Appendix B: Summary of Task Management (continued)

F. Communications Task Routines

These routines, in conjunction with the Console Switch and

SVC 72 routines, provide special Supervisor support for the

Communications Task, which handles all traffic to and from the

operator's console(s). This system task, established at IPL

time, requires close co-ordination of Job Management (Master

Scheduler), Data Management (lOS and access methods) and Task

Management functions.

1. Console Support Routines

2. Dev i ce- I ndependent Display Operator Console

Support (DIDOCS)

3. External Processor

4. Initialization Routine

5. Miscellaneous Lookup Services

6. Multiple Console Support (MCS)

7. Reply Processor

8. Wait Routine

92
Appendix C: Summary of Data Management

A. Input/Output Supervisor

1. EXCP Supervisor . Tests channels for activity, handles

queuing and dequeuing, starts I/O operations, and performs EXCP

validity checking.

2 . I /O Interrupt Su perv i sor . Performs I/O interruption

analysis, UCB lookup, error recovery, channel channel search and

restart, I/O purge, and recording of error statistics.

3 . Error St ati st i c s by Vo 1 ume Routine ( SVC 91

)

. Summarizes

tape error statistics as an SMF Type 21 record.

B. Open/Cl ose/EOV

1. OPEN Routine . Performs volume verification and label

checking, fills in DCB's, builds needed DEB's, and determines and

loads the required access method modules.

2. RDJF CB Routine . Reads into main memory the JFCB's

associated with the DCB's in the parameter list.

3. CLOSE Routine . Performs labelling operations, purges

queued and active I/O requests associated associated with data

sets that are being operated on at the EXCP level, and keeps

track of the access method modul es necessary to restore each DCB

to its status prior to OPEN.

4. EOV Routine . Processes end-of- vol ume and end-of-data

set conditions for data sets having sequential organization.

93
Appendix C: Summary of Data Management (continued)

C. Direct-Access Device Space Management

1. A1 1 ocate Rout i ne (SVC 32

)

, Allocates initial space to

data sets.

2. Extend Routine . Allocates additional space to a data

set at end of existing extents.

3. Scratch Routine (SVC 29) . Deletes data sets by deleting

their respective data set control blocks.

4. Re 1 ease Rout i ne . Returns unused space to available

storage when a data set is closed.

5. Rename Rout i ne (SVC 30

)

. Changes the name of a referenced data set.

6. Obtain Rout i ne (SVC 27

)

. Provides direct access to any

block -in the VTOC.

7. LSPACE Routine (SVC 78) . Summarizes the available space

on a volume.

8. Protect Rout i ne (SVC 98

)

. Maintains the password data

set and marks status of protected data sets.

94
Appendix C: Summary of Data Management (continued)

D. Catalog Management

1. Catal og Rout i ne . Finds entries in the catalog;

inserts, d el etes , or replaces data set pointer entries, volume

control block pointer entries, and volume control blocks; enters

into and deletes from the catalog the indexes, generation index

pointer entries, control volume pointer entries, and alias

entr i es

.

2. CVOL Routine . Provides services to the Catalog Routine

by opening catalog data sets for processing and by writing format

blocks in new catalog data sets.

E. Access Methods

1. READ and WRITE Rout i nes . Construct device-specific

channel programs based on generalized user requests, and issue

EXCP to schedule them for execution.

2. CHECK Routine . Waits for I/O completion, then performs

error analysis and detects end-of-file or end-of- vol ume

conditions for sequential data sets.

3. GET and PUT Routi nes . Combine functions of READ or

WRITE and CHECK routines, plus buffer management and blocking and

deblocking of records.

4. NOTE/POINT Routine . Records current location within a sequential file, or repositions the file to a previously noted

1 ocat i on

.

5. FIND and BLDL Routines . Locate the starting position of

one or several member ( si of a partitioned data set.

6. Mi seel 1 aneous Rou t i nes . Perform device-dependent

control functions such as stacker selection on a card punch or conditioning of telecommunication lines.

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127
Notes on the Table of Symbolic Names in SMF

(a) Most of the data elements supplied by SMF are precisely

defined by the table in Appendix D. Some, however, require more

discussion.

In the Type 4 record, the SMF4PRTY field gives the

dispatching priority of the job step TCB at the time the step is

terminated. This is an unsigned, 8-bit binary number in the

range 0 to 255. It is not necessarily the same as the limit

priority, though it will never exceed this value. The limit

priority specified by the DPRTY parameter on the EXEC statement

is not available from the basic SMF records.

(b) The step number, SMF4STN, refers to the ordinal position

of the step currently being terminated within the sequence of

steps constituting the job. It includes steps cancelled during

allocation, steps bypassed because of condition codes and steps

not executed because a previous step terminated abnormally. Such

steps are tallied as they are processed in "flush mode" by the

I n i t i ator/ Te rmi nator ; they are characterized by having zero CPU

time. It should be noted, however, that if a job is restarted at

a step other than the first, by using the "RESTART=" parameter on the JOB statement, the numbering of steps begins at the one where

restart occurs, not at the first EXEC statement physically

present in the JCL for the job.

(c) The amount of main storage allocated (SMF4RSH0) is a two- byte binary number giving the size in kilobytes of that

portion of the region contained in high-speed memory. It is

immediately followed in the record by another two-byte field

giving the size in kilobytes of that portion of the region

contained in LCS (bulk core, or hierarchy- 1, storage). These

values will be those specified in the REGION parameter on the

EXEC or JOB card, unless they are less than the MINPART parameter

supplied by the system programmer; in that case, the MINPART

val ues are used

.

(d) Similarly, the four-byte field SMF4H0ST, which gives the

number of kilobytes of high-speed memory actually used, is

followed immediately by another four-byte field giving the number

of kilobytes of LCS actually used. Neither of the hierarchy-1

fields has a symbolic name supplied by the IFASMFR

mac ro instruct ion.

(e) The precise meaning of the SMF4H0ST field (and its

hierarchy-1 counterpart) is best explained in terms of its

derivation. Main storage within a region is allocated both from

the bottom up and the top down, depending on the type of request.

The Main Storage Supervisor maintains, in the Timing Control

Table, a low-water mark for the low end of the region (the

highest address currently allocated there) and a similar

high-water mark for the high end of the region. It also

maintains the minimum difference between the high- and low-water

marks. The value of SMF4H0ST is the difference between the

128
region size and this minimum unused storage amount at the end of

the job step. The entries in the TCT are updated only when a 2K

block of main storage is allocated or freed, so the SMF4H0ST

value has an inherent imprecision of two kilobytes. Where the

value of SMF4H0ST is lower than the region size, the job step

could generally have run successfully in the SMF4H0ST figure,

allowing about 10% more space for environmental variability.

There are, however, programs such as Sort/Merge and some

compilers that use GETMAIN to measure the region size and

consequently are recorded by SMF as using all available space.

Such programs will, in fact, run in smaller regions.

(f) The precise meaning of the SMF4SCC (step completion

code) field depends on a careful analysis of the CPU time

(SMF4SETM) fields for all steps in the job, together with the job

termination indicator byte (SMF5JBTI). Even then it may be

ambiguo us

.

(g) The OS SMF manual for release 21.7 (<2>) states that for

normal completion SMF4SCC contains the two low-order bytes of

register 15 at termination; for flushed steps, it contains

zeros; and for steps that are abnormally terminated, it has the

form 'xyyy' where 'yyy' is the ABEND code and 'x' is 0 or 8

depending on whether there was a system or user ABEND. The

difference between a flushed step and one that completed normally

with a return code of zero is that only the flushed step will

have SMF4SETM equal to zero. The SMF manual further states that

abnormal or normal termination can be determined from the job

termination indicator, but this is not always the case. For

example, in a multi-step job with at least two nonzero completion

codes, a value of 4 for SMF4SCC could mean either a system ABEND

code of 004 or normal completion with a return code of 4. This

possibility arises from the fact that abnormal termination of a job step does not necessarily preclude the execution of

subsequent steps.

(h) The system identification field which occurs in the

standard header portion of each record (symbolic names SMFOSID,

SMFISID, SMF2SID, etc.) is made up of the SID and MDL parameters

taken from member SMFDEFLT of SYSl . PA RML IB , possibly overridden

by operator intervention at IPL time. These two two-byte

parameters are concatenated to form one four-byte field, e.g.,

SID=SF and MDL=65 would result in an SMFOSID value of 'SF65'.

(i) System wait time appears in two SMF data elements:

SMFISWT and SMF12SWT. Basically, the time during which the CPU

is in the wait state is accumulated and added into a total figure

every ten minutes. Whenever a job step terminates and the total

wait time is nonzero, a Type 1 record containing that total as its SMFISWT field is written and the total is reset to zero.

Note that the ten-minute accumulator is not reset until the

current, interval expires; then it is added into the (zeroed)

total. Thus SMFISWT normally contains the amount of CPU wait

time accumulated during one or more ten-minute intervals.

129
(j) In the first Type 1 record written after an IPL (i.e.

the first Type 1 immediately following a Type 0 record), the

value of SMFISWT is the amount of CPU wait time accumulated

during the IPL process. More precisely, this is the wait time

accrued between the time the dispatcher becomes usable, i.e.

when the nucleus has been initialized, and the time the SMF

initialization routine is run. Before the dispatcher is usable,

the CPU will not enter the wait state, because the IPL and NIP

r out i ne s . c hec k for completion of I/O operations by repeatedly

testing rather than by waiting for an interruption. Thus the

first SMFISWT value following IPL reflects the wait time

accumulated during Master Scheduler initialization.

(k) When a HALT or SWITCH command is issued by the operator,

the wait accumulated during the current ten-minute interval is

added into the total since the last Type 1 record, and the

resulting value is placed in the SMF12SWT field of the Type 12

record

.

(1) The SMFDSSNO field in the Type 14 or 15 record depends

on the medium used for the data set described by the record. For

tape data sets, it is the volume serial number of the first reel

on which the data set resides. For data sets on DASD, it

consists of a six-byte segment of the UCB, which includes a one-byte RESERVE count for shared DASD, a device reservation

indicator byte, the two-byte address of the RQE for AVR volume

serial number verification, a byte of volume serial number

verification flags, and the high-order byte of the address of the

DEB for the first user on the queue for the device.

(m) The SMFTI0E2 field in the Type 14/15 record is useful in

analyzing tape mounts. In this one-byte field, bit 6 (X'02') is

set to indicate that the current volume of a tape data set is to

be rewound and unloaded when end-of- vol ume occurs or the data set

is closed. If this bit is off, the volume will still be unloaded

whenever the number of volumes exceeds the number of units

allocated to the data set. Otherwise, the tape remains mounted

and any data set on it can be opened without operator

intervention.

130
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00 1/1 l/> l/l t/1 1/1 oo 00 01 1/1 00 oo 01 00 lO 00 1/1 oo oo 00 oo 00 00 1/1 00 W1 oo oo oo 00 00 L/l 00 oo 00 153
Appendix F: Removing SMF from OS/KVT, Release 21.6

The following modules of OS/360 MVT, Release 21.6, were

altered using the IMASPZAP utility program ("Superzap") described

in <36> to remove SMF overhead from the system for the validation

ex per iments

.

1. Master Scheduler Initialization Routine

This routine (module lEEVIPL in S YS 1 . L I NKL I B ) is created

during the Sysgen process. Since the inclusion of SMF is a Sysgen option, the generated code includes an unconditional XCTL

to SMF initialization, which must be removed. The changes were

as f ol 1 ows

:

a. Instead of placing option flags in the

CVTSMCA field prior to SMF initialization,

the CVTSMCA pointer was zeroed out.

b. The XCTL was altered to transfer to

routine lEEVWAIT, signalling the end of

Master Scheduler initialization.

2. External and I/O FLIH's

These routines, in CSECT lEAQNUOO of the nucleus, are also

created during Sysgen and include unconditional BAL instructions

to invoke the SMF System Wait Time Collection Routine, lEAQWAIT.

The BAL's were changed to NOP's.

3. SVC 83 Routine

This routine (module IGC0008C in SYSl.SVCLIB) is never

entered during normal OS processing without SMF and hence

contains no check to ensure that SMF is in the system before

performing its functions. Since HASP had been altered to issue

SVC 83 also without checking, the SVC 83 routine was changed to

cause it to zero out register 15 and return via register 14

immediately upon entry. It was later decided to alter HASP as described below to prevent it from issuing SVC 83, but the change

to IGC0008C was left in to take care of any other components of

the system which might issue SVC 83 unexpectedly.

In addition to the Superzap changes noted above, a HASP

"REP" card was used to change the SVC 83 issued by HASP to a NOP.

This was done for all systems, not just those with SMF removed.

The point of the HASP change was to reduce SMF overhead to only

that generated by the OS record types, eliminating user-defined

types such as the HASP records.

154
Appendix G: Chained Scheduling and EXCP Counting

The purpose of this appendix is to explain the variability

of EXCP counts for c ha i ned- sc hedul ed I/O operations. This

discussion will cover both OS, where chained scheduling is a seldom-used option, and MVS (VS2 Release 2 and later releases)

where it is mandatory. Under MVS, chained scheduling is forced

for all sequential I/O that uses either the Virtual Storage

Access Method (VSAM) or the Queued Sequential Access Method

(QSAM). The following discussion assumes, for concreteness , that

the data set in question is opened for output using QSAM.

At OPEN time, access method routines construct one channel

program for each buffer. (For chained scheduling to be

applicable, the data set must have at least two buffers.) Each

channel program consists of a series of CCW's (channel command

words) chained together so that the channel will fetch and obey

them consecutively. The last CCW in each series is a no-operation (NO-OP), with chaining not specified; this causes

the channel to cease fetching CCW's and interrupt the CPU. As

part of the interruption, a CSW (channel status word) indicating

channel end and device end is stored in low core. In the address

field of the last NO-OP CCW is a pointer to the start of the

channel program for the next buffer.

The first time a buffer becomes full, the PUT routine

requests execution of the corresponding channel program by

issuing an EXCP. Each subsequent occurrence of a buffer filling

up causes the PUT routine to change the NO-OP CCW in the channel

program for the previous buffer to a TIC (transfer in channel).

This operation is referred to as "joining" the channel programs.

If the channel has not yet fetched the NO-OP CCW, the join will

be successful, and the processing by the channel will proceed

smoothly from one buffer to the next with no channel-end/device-end interruption. If the join is

unsuccessful, the PUT routine will detect this fact and issue

another EXCP for the channel program corresponding to the most

recently filled buffer.

Under OS, the first CCW in each channel program has a bit

set to make the channel interrupt the CPU as soon as the channel

fetches and decodes the CCW. The CSW stored as a result has a bit on that indicates the occurrence of a PCI (program-controlled

interruption). Unlike other I/O interruptions, PCI's are not

stacked by the hardware; the only result of a PCI which occurs

when the CPU is masked for interrupts is that the CSW stored for

the next interruption taken on that channel will have the PCI bit

on. The effect of the PCI at the beginning of each channel

program is to activate the PCI appendage routine. If the channel

program just starting is the first in a chain of joined channel

programs, this routine does nothing. If it is the second or subsequent, the appendage forces its last CCW to be a no-op,

thereby "parting" it from the one following. The same routine

I 155
also serves as the channel-end appendage; it posts ICB's

(interruption control blocks) and lOB's (I/O blocks) to keep the

PUT routine informed of which buffers are available for re-use

and which are scheduled to be written out. The

c ha i ned- sc hedul i ng appendage routine is cleverly designed to

handle the possible masking of PCI's which can cause them to

occur simultaneously with channel-end interrupts. The details of

this design are given in the description of module I6G019CU in

the Sequential Access Methods PLM (<41>); what is referred to

here as the PUT routine is discussed in <41> under the heading

"Chained Ch annel -Program Scheduling End-of-Block Routines."

From the foregoing description it can be seen that the two

extreme cases of chained scheduling are (1) all joins succeed,

and (2) all joins fail. In the first case, only one EXCP is

issued, and all blocks are written to the file in a continuous

spurt of activity by the channel. In the second case, each

channel program requires an EXCP after the PUT routine notices

that the join was unsuccessful. In both cases, each block

written causes a PCI. As explained in section IV.A.4.b, SMF

counts PCI's as EXCP's, so the number of EXCP's recorded by SMF

may range from one more than the block count to twice the block

count, depending on how many joins succeed. (For data sets on tape, two more EXCP's may be incurred for header and trailer

label processing.)

The likelihood of a successful join decreases as the speed

of the output device increases. In the limiting case of

instantaneous I/O - completion, the channel-end interruption

would occur long before the program had filled another buffer.

On the other hand, a very slow output device might never catch up

with the program, so that no join would ever fail. Note that in

this case all other I/O requests on the channel being used for

chained scheduling would be kept pending, and the tasks that

issued them would have to wait for the entire file to be

processed. Such monopolization of the channel may have a negative impact on the performance of the system as a whole,

although it reduces the residency time of the c ha i ned - sc hed ul i ng

job. The effect of contention for resources in a multiprogramming environment can be to either increase or

decrease the probability of a successful join, depending on whether the process that fills the buffers or the process that

empties them is interfered with more.

The operation of c ha i ned- sc hedul ed I/O under MVS is similar

to what has just been described, except that the first CCW in

each channel program no longer has the PCI bit on. Since no PCI's are issued, the appendage routine only gets control at

channel-end time, and consequently cannot notify the PUT routine

that buffers are available for re-use until the completion of the

channel program. It follows that the number of blocks that can

be written in one continuous burst by the channel is limited to

the number of buffers, regardless of the speed of the device. It

also follows that (apart from label processing) the minimum EXCP

count is the smallest integer not less than the ratio of the

156
block count to the number of buffers, v^hile the maximum EXCP

count is just the block count. Thus the max imum EXCP count for

MVS is less than the mi nimum EXCP count for OS when the same data

set is processed using cha i ned scheduling.

The hazard of channel monopolization has been removed under

MVS by eliminating PCI's, but the variability of EXCP counts can

still be expected to invalidate charging algorithms which rely on

them. Also, since unsuccessful joins entail more CPU processing

to restart the channel programs, another source of CPU-time

variability has been made mandatory under MVS. Of course, the

conclusions of this analysis could be invalidated by changes to

future releases of MVS, which may eventually rectify these

problems arising from making chained scheduling standard for

sequential I/O.

157
Appendix H: Glossary of Acronyms

ABEND - Abnormal End of a task or job step

ACT - Accounting Control Table (<5>)

APAR - Authorized Program Analysis Report (i.e. a known bug in

OS)

AVR - Automatic Volume Recognition (<5>, <7>)

BSAM - Basic Sequential Access Method (<1>)

BTAM - Basic Telecommunications Access Method (<31>)

CPU - Central Processing Unit

CSW - Channel Status Word (<21>, <17>)

CVT - Communication Vector Table (<26>)

DADSM - Direct Access Device Space Management (<1>, <10>)

DASD - Direct Access Storage Device

DCB - Data Control Block {<1>, <7>, <26>)

DDnames - Names on DD (data definition) statements in JCL

DEB - Data Extent Block (<26>)

DSB - Data Set Bl ock ( <5>

)

DSCB - Data Set Control Block (<1>, <10>, <26>)

DSN - Data Set Name (<1>, <7>)

ECB - Event Control Block (<1>, <26>)

EOV - End of Volume (<1>, <11>)

ESV - Error Statistics by Volume (<2>, <3>, <12>)

EXCP - Execute Channel Program (<1>, <12>)

GDG - Generation Data Group (<1>)

GTF - Generalized Trace Facility (<36>, <40>)

HASP - Houston Automatic Spooling Priority system

I/O - Input/Output

IBM - International Business Machines Corporation

ICB - Interruption Control Block (<26>)

lEBGENER - An IBM-supplied data set utility program (<6>)

lEHLIST - An IBM-supplied system utility program (<6>)

lOB - Input/Output Block (<26>)

lOS - Input /Output Supervisor (<12>)

IPL - Initial Program Loader (<13>)

IRB/IQE - Interruption Request Bl ock/ I nterrupt i on Queue Element,

used in scheduling asynchronous exit routines (<4>)

ISAM - Indexed Sequential Access Method (<1>)

JCL - Job Control Language (<7>)

JCT - Job Control Table (<5>)

JFCB - Job File Control Block (<26>)

JMR - Job Management Record (<5>)

JSCB - Job Step Control Block (<26>)

K - Ki 1 obyte (1024 bytes)

LCS - Large Core Storage

MICR - Magnetic Ink Character Recognition

MFT - Multiprogramming with a Fixed number of Tasks

MF/1 - Measurement Facility/1

MVT - Multiprogramming with Variable number of Tasks

NIP - Nucleus Initialization Program (<13>)

OS - Operating System; specifically, IBM System/360 Operating

System

PCI - Program-Controlled Interruption (<21>, <17>)

158
PDS - Partitioned Data Set, or Library (<1>)

PLM - Program Logic Manual

PSW - Program Status Word (<21>, <17>)

PTF - Product Temporary Fix (an IBM-supplied patch to OS) (<34>,

<36>)

QMPA - Queue Manager Parameter Area (<5>)

QSAM - Queued Sequential Access Method {<!>)

RPS - Rotational Position Sensing

SCT - Step Control Table {<5>)

SMCA - System Management Control Area {<5>, <26>)

SMF - System Management Facilities (<2>, <3>)

SMP - System Modification Program (<34>)

SQA - System Queue Area (<4>, <23>)

STAE - Specify Task Asynchronous Exit (<23>)

SVC - Supervisor Call (<4>, <17>, <21>)

Sysout - System Output (<1>, <23>)

TCB - Task Control Block (<26>)

TCT - Timing Control Table (<5>, <26>)

TCTIOT - Timing Control Task Input/Output Table (<5>, <26>)

TIOT - Task Input/Output Table (<26>)

TQE - Timer Queue Element (<4>)

TTR - Relative Track and Record (<1>)

UCB - Unit Control Block {<26>)

VTOC - Volume Table of Contents (<1>)

159
Appendix I: Bi bl iography

<1> OS Data Management Services Guide (GC26-3746).

<2> IBM System/360 Operati ng System : System Management

Facilities [6028-6712 )

.

<3> OS/VS System Management Facilities (SMF) (GC35-0004 )

.

<4> OS/360 MVT Supervisor Program Logic Manual (GY28-6659).

<5> OS/360 MVT Job Management Program Logic Manual

(GY28-6660) . <6> IBM System/360 Operating System: Uti 1 ities (GC28-6586).

<7> IBM System/360 Operati ng System : Job Co ntrol Language

Reference rGC28-6704 )

.

<8> Johnson, R.H. "SLAG Changes to the SMF Data Dumping

Mechanism of OS," SHARE Computer Me asurement and

Evaluation , Vol. II (197TyT

<9> OS System Generation (GC28-6554).

<10> OS DADSM Logic (6Y28-6607).

<11> OS Open/CI ose/EOV Logic (GY28-6609).

<12> IBM System/360 Operati ng Sy stem : I n put/Out put Superv i sor

Program Logic Manual (GY28-6616).

<13> IBM System/360 Operati ng System : In i ti a1 Program Loader

and Nuc 1 eus Initial ization Program (GY28-6661 )

.

<14> Betz, R.E. "Use of SMF Data for Performance Analysis and

Resource Accounting on IBM Large-Scale Computers." In

Computer Performance Evaluation, NBS Special Pub. 401

jY^ffy^

<15> Graves, J.M. "Using SMF and TFLOW for Performance

Enhancement." In Computer Performance Evaluation , NBS Special Pub. 401 (1974).

160

i
Leavitt, Don. "Three Users Find SMF Inadequate in

Measuring Performance." Com puterWo r1

d

, Vol. IX,

No. 39 (Sept. 24, 1975).

IBM System/370 Principles of Operation (GA22-7000).

SyncSort

:

A Ha rdwa re Mo n i tor Evaluation , Whitlow

Computer Systems, Inc., 222 S. Marginal Rd .

, Fort Lee,

NJ 07024 (1975).

Drummond, M.E. "A Perspective on System Performance

Evaluation." IBM Systems Journal 8 , No. 4

,

2 52-263 ( 1 969)":

Buchholz, W. "A Synthetic Job for Measuring System

Performance." IBM Systems Journal 8, No. 4, 309-318

(1969 ) .

IBM System/360 Principles of Operation (GA22-6821).

IBM System/360 Model 6 5 : Functional Ch aracter i sties

TM22-6864 )

.

IBM System/360 Operating System: MVT Guide (GC28-6720).

IBM System/360 Model 6 5 : Operating Procedures

TGA27-2728)

.

IBM System/360 Operati ng System : Model 65 Shared Ma i n Storage, Multfprocessing ,~Prel imi nary De sc ri pt i on (GC28-667TT:

<26> IBM System/360 Operati ng System : System Control Bl ocks

TGC2 8-662 8)

.

<27> Sy stem Ma nagement Re porti ng Sy stem , User Reference Ma nual , Tesseract Corp., 101 Howard St., San Francisco, CA 94120

(1972)

.

<28> SMF Se 1 ectabl e An alyzer , Field Developed Program

Number 5798-AAR (SB21-0047)

.

<29> Feller, William, An^ Introduction to Pr obab i

1 j ty Theory

and It s Appl icati ons , Vol . I (Second Ed i t i on) , Jo hn Wiley

and Sons , New York , 1957.

<30> IBM System/360 Operati ng System : PL/I ( F) Language

Reference (^028-8201 )

.

<16>

<17>

<18>

<19>

<20>

<21>

<22>

<23>

<24>

<25>

161
<31> IBM System/360 Operating Sy stem : Basic Tel ecommun i cat ions

Access Method ( GC 3 0-2 00477"^

<32> System U t i 1 i z a t i o n Monitor User' s Manual , Tesdata

Systems Corp,, Measurement Systems Division , 7900 Westpark

Dr. , McLean, VA 22101

.

<33> Sensor Po i nt Reference Manual , Tesdata Systems

Corporation, Measurement Systems Division,

7900 Westpark Dr., McLean, VA 22101.

<34> OS S ystem Modification Program (SMP) (GC28-6791).

<35> Currah, Brian, "Some Causes of Variability in CPU Time."

SHARE Computer Measurement and Evaluation , Vol . Ill

(December 197 3 - March 19757~pp. 389-392.

<36> IBM System/360 Operating Sy stem : Serv ice Aids

TGC28-6719)

,

<37> Currah, Brian, and Mario Morino. "What to Do With SMF

Data," SHARE Computer Measurement and Evaluation , Vol. II (November 1971 - December 1973) pp. 20-65.

<38> Chung, S.Y. "SMF Survey," SHARE Computer Measurement

and Evaluation , Vol, I, No. 12 (July 1971) pp. 87-91.

<39> Cogger, Alison, "TESTEXIT Critique," SHARE Computer

Measurement and Evaluation , Vol. I, No. 7 (July 1970)

pp, 7-8.

<40> Obergsfell, George. "Using GTF as a Performance

Improvement Tool," S HARE Computer Me asur ement and

Evaluation . Vol. Ill (December 1973 - March 19737

pp. 105 - 114.

<41> IBM System/360 Operating System : Sequential Access

Methods Program Logic Ma nua1 (GY28-6604 ).

162
NBS>114A (REV. n-77)

U.S. DEPT. OF COMM. 1. PUBLICATION OR REPORT NO. 2. Gov't Accession BIBLIOGRAPHIC DATA iqgS SP 500-40 No. SHEET

3. Recipient's Accession No.

4. TITLE AND SUBTITLE

COMPUTER SCIENCE & TECHNOLOGY

Guideline on Major Job Accounting Systems: The System

Management Facilities (SMF) for IBM Systems Under OS/mVT

5. Publication Date October 197 8

6. Performing Organization Code

7. AUTHOR(Sfedw^ary^uurDin,^xoag^^ingeg

Corporation

8. Performing Organ. Report No.

9. PERFORMING ORGANIZATION NAME AND ADDRESS

NATIONAL BUREAU OF STANDARDS

DEPARTMENT OF COMMERCE

WASHINGTON, D.C. 20234

10. Project/Task/Work Unit No.

11. Contract/Grant No.

12. Sponsoring Organization Name and Complete Address (Street, City, State, ZIP)

Institute for Computer Sciences and Technology,

National Bureau of Standards

13. Type of Report & Period Covered

14. Sponsoring Agency Code

15. SUPPLEMENTARY NOTES

Library of Congress Catalog Card Number 78-600113

16. ABSTRACT (A 200-word or less (actual summary of most sigpilicant information. If document includes a significant

bibliography or literature survey, mention it here.) This document reports the results of a study which was commissioned in response to the

need for a better understanding of how job accounting systems work, what they measure,

and how accurately they measure. The accounting system described is IBM's System

Management Facilities (SMF) for 360/370 environments operating under OS/MVT.

Considerable detail is provided on SMF's activity in collecting the data necessary

to account for resource utilization by the individual jobs in a multiprogramming

system and to provide some indicators of the performance of the system itself.

Included within the scope of this study was an investigation of the accuracy, both

absolute and relative, of SMF as a measurement tool and the costs entailed in the use

of SMF. The experimental methodology used to explore these questions is summarized

in the report, as are the conclusions reached. Performance analysts, system

programmers, and users interested in optimal use of their computer resources will find

much help here in the application of a valuable measurement tool.

17. KEY WORDS (six to twelve entries; alphabetical order; capitalize only the first letter of the first key word unless a proper name; separated by semicolons) CoHputer performance analysis; computer performance measurement;

CPU time; EXCP counts; job accounting systems; IBM OS/MVT; resource utilization

measurement; System Management Facilities; system wait time

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