STAT.NLM:

A Tool for Measuring NetWare v3.11
Server Resource Utilization


IMPORTANT: See the README.TXT file included with STAT.NLM
for important updated information.

NOTE: This version of the AppNote does NOT include any of the
figures and charts from the original version.


Ron Lee
Senior Consultant
Systems Research Department


This AppNote is a guide to operations and a technical reference
for a new NetWare Loadable Module (NLM) called STAT.NLM.
STAT.NLM is a server application that records v3.11 server
resource utilization statistics and exports those statistics for
characterization and analysis by other programs such as
databases and spreadsheets.


Copyright  1992 by Novell, Inc., Provo, Utah. All rights reserved.

No part of this document may be reproduced, stored in a retrieval
system, or transmitted in any form or by any means, electronic,
mechanical, photocopying, recording, or otherwise, without express
written permission from Novell, Inc.


Disclaimer

Novell, Inc. makes no representations or warranties with respect to
the contents or use of these Application Notes (AppNotes) or of any
of the third-party products discussed in the AppNotes. Novell
reserves the right to revise these AppNotes and to make changes in
their content at any time, without obligation to notify any person or
entity of such revisions or changes. These AppNotes do not
constitute an endorsement of the third-party product or products
that were tested. Configuration(s) tested or described may or may
not be the only available solution. Any test is not a determination of
product quality or correctness, nor does it ensure compliance with
any federal, state, or local requirements. Novell does not warranty
products except as stated in applicable Novell product warranties or
license agreements.


Contents

The Most Widely Used Server Statistic . . . . . . .  83
    But It's Only Half of the Story . . . . . . . .  84

Guide to Operations . . . . . . . . . . . . . . . .  84
    Installing and Loading STAT.NLM . . . . . . . .  85
    Running Tests with STAT . . . . . . . . . . . .  85
       Manual Tests . . . . . . . . . . . . . . . .  85
       Timed Tests. . . . . . . . . . . . . . . . .  86
    Renaming the Trace File . . . . . . . . . . . .  87
    Exiting STAT. . . . . . . . . . . . . . . . . .  87
    Using DUMPSTAT to Convert STAT Output . . . . .  88
       Defaults . . . . . . . . . . . . . . . . . .  88
       Input Path . . . . . . . . . . . . . . . . .  88
       Output Filenames . . . . . . . . . . . . . .  88
       Output File Formats. . . . . . . . . . . . .  88
       Output File Size . . . . . . . . . . . . . .  88
       Data Reduction . . . . . . . . . . . . . . .  89
    Charting Examples . . . . . . . . . . . . . . .  89

Technical Reference . . . . . . . . . . . . . . . .  91
    Design Decisions. . . . . . . . . . . . . . . .  91
       Primary Purpose. . . . . . . . . . . . . . .  91
       Data Collection Frequency. . . . . . . . . .  91
       Minimizing STAT's Effect on Server Resources  91
    Resource Statistics Tracked by STAT . . . . . .  92
    The CPU %Utilization Calculation. . . . . . . .  92
    Trace File Dimensions . . . . . . . . . . . . .  93
    STAT.CFG File Description . . . . . . . . . . .  93

Availability. . . . . . . . . . . . . . . . . . . .  93


Acknowledgements

My sincere appreciation goes to Matt Hagen and Morgan Adair who
collaborated with me on the design and development of STAT.NLM
and DUMPSTAT.EXE.


The Most Widely Used Server Statistic

In 1981, the architects of NetWare developed a simple server console
screen, called MONITOR, to help Comdex attendees see what the
file server was doing. At the time, monitoring server activity was a
fairly new concept. One of the items displayed on the screen was
"Utilization (%)". This percentage, updated once a second by the
server, indicated how much of the CPU's time was spent handling
network requests.

Since that time, server utilization (CPU %Utilization) has become
perhaps the most widely used server statisticbut there is a definite
weakness. Anyone who has tried watching the %Utilization figure
on a NetWare server console will recognize this pattern of numbers:

2, 21, 2, 27, 2, 1, 0, 0, 0, 11, 10, 9, 27, 33, 4, 3, 2, 1, 1, 1, 1...

Following the gyrations of the %Utilization figure is like watching a
bouncing balland trying to record the height of each bounce, every
second...for hours. It's hopeless and frustrating.

This AppNote provides the solution. STAT is a new software tool
that records NetWare v3.11 server workload statistics, including the
%Utilization figure, and exports those statistics for charting and
analysis by other programs such as databases and spreadsheets.


But It's Only Half of the Story

The CPU %Utilization figure is one of the most useful metrics
produced by the server. Yet, in many cases, CPU %Utilization tells
us little about what's really happening to server resources. This is
because new technologies, such as bus mastering, and other
improvements in the LAN and disk channels are relieving the CPU
of its high profile of the past.

With these new technologies, and with CPU %Utilization as the only
available metric, the server becomes a "black box" of sorts. Requests
go in and responses come out, but there is no way to measure their
impact. The queuing model in Figure 2 represents the limited
perspective of servers the industry has relied upon for years.

Thinking of the server this way provides little help when you're
trying to identify bottlenecks or measure the effectiveness of your
tuning modifications and upgrades.

In contrast, STAT records the utilization statistics of each of
server's major resources once each second. These major resources
are:

- The CPU
- The LAN communications channel
- The disk channel
- The router
- Active connections

These metrics allow you to chart daily activity and identify trends
within your production environment. Using this information, you
can perform tuning modifications and upgrades, and even capacity
planning, and have the ability to measure both the need for and the
effectiveness of your changes.


Guide to Operations

STAT.NLM is a management utility you can load and unload from
server memory while the server is running. Following NLM
conventions, you can load STAT in one of two ways:

-   STAT.NLM may be loaded, used, then unloaded, all at the
    server console.
-   Or, you may place the "LOAD STAT.NLM" console command in
    the AUTOEXEC.NCF file to be executed every time the server is
    booted. (In this case, however, STAT.NLM must be run
    manually; STAT has no command line capabilities.)

DUMPSTAT.EXE is a conversion utility designed to create
spreadsheet- or database-compatible text files from the binary trace
files created by STAT. DUMPSTAT processing is intentionally
designed to be performed on a client workstation rather than on the
server. (See "Using DUMPSTAT to Convert STAT Output" and
"Minimizing STAT's Effect on Workload" for more details).


Installing and Loading STAT.NLM

Using the VOLINFO utility, make certain you have enough free disk
space in the SYS:SYSTEM directory for STAT's output files. The
resulting trace files can have a maximum size of 2.6MB for a
twenty-four hour test. Since the SYS:SYSTEM directory is also used
for print spooling, make sure enough space is available for both
STAT output and print spooling, with room to spare.

Copy the STAT.NLM loadable module file to the SYS:SYSTEM
directory. NetWare's NLM search path defaults to the
SYS:SYSTEM directory. If you have specified another directory for
loadable modules with the SEARCH command, STAT.NLM may
alternatively be placed in that location.

To load STAT.NLM manually, use the "LOAD STAT" console
command. STAT will automatically load all related NLMs not
currently resident. 

The STAT console screen will then appear, as shown in Figure 3.
When STAT.NLM loads, its state defaults to "Ready," which means
that STAT is currently idle.


Running Tests with STAT

Using the console screen provided by STAT, you can start gathering
statistics manually or by setting triggers for timed tests.

Manual Tests.  Manual operation allows you to start and stop the
capture of statistics at will. This feature is well suited to
troubleshooting, benchmarking, and general investigation of server
utilization on the fly.

1.  Select "1 - Start" from the STAT menu. STAT will immediately
    change its status to "Running..." and begin to capture server
    workload statistics. These statistics will be saved in the file
    listed next to "Current file name." (For more information, see
    "Renaming the Trace File" below).

    STAT will continue to collect statistics until the test is stopped
    manually.

2.  To stop a manual test, select "2 - Stop" from the STAT menu.
    STAT will stop gathering data, flush its data buffer to disk, and
    end the current test. The extension of the "Current file name"
    will also be incremented by one and displayed in the "Next file
    name" field. This allows you to run subsequent tests without
    overwriting data from your prior tests. It also frees you from the
    need to name each test and subsequent trace files manually.

Timed Tests.  Triggers allow you to use STAT for network
management purposes. Using triggers, you can set up STAT to start
and stop capturing statistics unattended, on a daily basis. If you
choose to automate the charting process, triggered tests can provide
you with a daily picture of resource utilization within your server.

1.  Select "4 - Triggers" from the STAT menu.

2.  STAT will prompt you for a start trigger based on military time.
    Type the start time (including colons) as shown below, and press
    <Enter>.

    Enter start trigger time    07:30:00  <Enter>

3.  After you've entered the start trigger information, STAT will ask
    for a stop trigger (again, you must type the colons).

    Enter stop trigger time    17:30:00  <Enter>

After you enter each trigger, the new triggers will appear on the
screen under the TRIGGERS heading. STAT will then change its
status to "Waiting for start trigger..." and go to sleep until the
trigger time arrives.

To keep STAT as unobtrusive as possible, the STAT trigger
mechanism is simple and therefore has several weaknesses.

-   Trigger times may not be set within plus or minus one minute of
    the time 00:00:00.
-   If the current time lies between a set of newly defined triggers,
    STAT will not start until the start trigger is encountered the
    following day.
-   You must type the colons within the military time format when
    entering trigger information.

You can abort triggered STAT tests by selecting "2 - Stop" from the
STAT menu. Trace files from aborted tests will be closed normally.
Otherwise, STAT will end the test automatically when the stop
trigger is encountered. The extension of the "Current file name" will
also be incremented by one and displayed in the "Next file name"
field. This allows a new test to be started unattended the next day
without overwriting your previous test's data.


Renaming the Trace File

The default trace file name is STAT.000. The extension of this file
name is automatically incremented with each test to protect trace
file data from prior tests. However, I suggest that you use a
meaningful naming scheme that includes a reference to the server
being characterized. For example, I use USR10910 to represent a
test started September 10th, on server PRV-USER1.

To rename the next trace file used by STAT, select "3-Rename next
file" from the STAT menu. STAT will then prompt you for a DOS
file name of up to 8 characters with no extension (the extension will
always default to 000 and increment for each subsequent test).


Exiting STAT

To exit from STAT and remove the STAT loadable module from
server memory, select "5 - Exit" from the STAT menu. During the
exit process, STAT will record the current trace file name so that
later uses of STAT, in its default mode, do not overwrite trace files
from previous tests. When STAT exits, it returns all allocated
resources to the NetWare operating system.


Using DUMPSTAT to Convert STAT Output

STAT automatically places its output files in the SYS:SYSTEM
directory. To save disk space, these output files are written in
binary format. DUMPSTAT.EXE is a conversion utility designed to
create spreadsheet- or database-compatible text files from the binary
trace files output from STAT. The command format for DUMPSTAT
is:

DUMPSTAT inputPath [outputPath] [-L | -X | -S | -Nnum |
-M[num]]

Defaults.  If you don't specify a filename for outputPath, the default
is standard output to the screen (-S format). If you do specify a
filename, the format defaults to -L (Lotus). The outputPath
parameter will not accept a file extension.

Input Path.  The input path is the path, including file name, for the
trace file that you want converted.

Output Filenames.  DUMPSTAT creates output files using the base
filename specified in the outputPath parameter. It distinguishes
between the various output files by incrementing the extension:

    outputPath.DS0
    outputPath.DS1
     ...
    outputPath.DSF
    outputPath.SUM

The last file, with a .SUM extension, is a summary file. An example
is shown below.

    --------- Test Summary ---------
    Start Time: Sat Feb 08 14:22:30 1992
    End Time: Sat Feb 08 14:27:07 1992
    Elapsed Time: 00:04:37
    Records Read: 277
    Records Written: 277
    Minimum Polling Loops: 4969
    Maximum Polling Loops: 50693


Output File Formats.  DUMPSTAT can save output files in any one
of three formats:

    -L    Lotus format (comma delimited)
    -X    Excel format (tab delimited)
    -S    Screen format (column justified)

Output File Size.  The size of the output file is determined by the
"-Nnum" parameter, where num is the number of records per output
file. The default is 7200 (a separate file for each two hours of
statistics). This default assumes you'll be using a spreadsheet for
analysis. 

The size option is useful when you use a database as the target
analysis program. For example, if your STAT test runs for more
than two hours, this option can be used to tell DUMPSTAT to place
all of the records in one file.

Data Reduction.  In the "-M[num]" parameter, num is the number of
records to be reduced to a single record by calculating the statistical
median. The default is 60 (one record per minute). This option is
useful for network management reporting when you want to plot an
entire day's workload on one graph.


Charting Examples

Placed in the right format, STAT results can be excellent persuasion
tools for management, even non-technical management. The
following three figures show examples of STAT results graphed
using Borland's Quattro Pro spreadsheet program.

Figure 5 shows a graph of ten hours' (36,000 seconds) worth of data
that has been reduced with the DUMPSTAT -M option to one point
per minute (7200 points).

Figure 6 shows a graph of CPU %Utilization along with LAN
communications channel utilization and the number of active
connections. Overlaid graphs like this one help you see possible
cause-and-effect relationships for utilization peaks.


Technical Reference

The development of the STAT tool involved several intentional
design decisions. These decisions and the technical specifications for
STAT are discussed below.


Design Decisions

Primary Purpose.  After considerable research into the
characteristics of workloads processed by NetWare servers, I began
to focus on the impact of those characteristics on specific resources
inside the server. I quickly became frustrated watching the CPU
%Utilization figure flash on the screen. Not only was there no way
to accurately record the metric, but it didn't even represent all the
resources I was interested in measuring. 

The primary purpose of the STAT toolkit is to provide the
measurements needed to identify the impact of workload resource
utilizationon the server. These statistics, along with some
knowledgeable analysis, provide a more accurate, composite view of
the server. Ultimately, STAT will allow us to identify whether
individual resources are under-utilized, appropriate, or
bottlenecking under production workloads.

Data Collection Frequency.  The rate at which STAT records
statistics within the OS is once per second. This rate cannot be
changed.

Minimizing STAT's Effect on Server Resources.  STAT is designed to
be as unobtrusive on the server as possible.

Perhaps you have heard of the Hiesenburg Uncertainty Principle,
which states that the measurement of a phenomenon can be altered
by the measurement process itself, thereby producing an inaccurate
measurement. We wanted to reduce, as much as possible, the effect
of this principle on the server being measured. So we made a design
decision that separated processing absolutely required on the server
from processing that could be done elsewhere, at a later time.

Due to this decision, STAT does very little more than collect the
needed information from which the statistics are derived. No
processing of the data occurs on the server.

Even the write process within STAT was affected by this decision.
Rather than write a record to disk each second, STAT stores the
data in memory for 60 seconds, thereby performing only one write
per minute.

By using the NetWare v3.11 MONITOR utility with the /P
parameter, you can observe the success of these design decisions by
following the process utilization figures for the STAT processes.


Resource Statistics Tracked by STAT

The resource utilization statistics tracked by STAT are taken from a
set of undocumented NetWare variables. These variables can be
exported for use by other NLMs via the SS.NLM documented in
"NetWare v3.x Operating System Statistics Exposed!" (NetWare
Application Notes, July 1991).

The variables read and recorded by STAT include:

Number of              The number of times the Polling 
Polling Loops          Process has been executed.

Maximum Number of      The maximum number of times
Polling Loops          the Polling Process has been executed.

Bytes Received         The number of bytes read from the
                       LAN communications channel. This
                       number is provided by the LSL
                       services and therefore includes data
                       from packets using the server as a
                       router.

Bytes Transmitted      The number of bytes written to the
                       LAN communications channel. This
                       number is provided by the LSL
                       services and therefore includes data
                       from packets using the server as a
                       router.

Bytes Read             The number of bytes read from the
                       disk channel (hardware I/O).

Bytes Written          The number of bytes written through
                       cache to the disk channel.

Packets Routed         The number of packets using the
                       router services of the server only. This
                       number is provided by the server's
                       IPX protocol stack.

Number of Connections  The number of active connections to
                       the server.


The CPU %Utilization Calculation

CPU %Utilization is not calculated by the operating system;
rather, it is derived by utilities (such as MONITOR) from two
variables kept by the operating systemNumber of Polling Loops
and Maximum Number of Polling Loops. DUMPSTAT uses the
same algorithm as MONITOR to calculate CPU %Utilization:


%Utilization = 100 * (100 * Number of Polling Loops       )
                         Max. Number of Polling Loops

Due to the minimizing concerns discussed above, STAT only records
the variables used to calculate CPU %Utilization. Later, during the
binary-to-ASCII conversion performed by DUMPSTAT, the polling
statistics are discarded and replaced by the utilization figure.


Trace File Dimensions

The trace file is made up of an initial time stamp record followed by
a statistics record for each second of STAT activity. The time stamp
record contains two long integersone for the start time stamp and
one for the stop time stamp. Each statistics record contains 8 long
integersone for each metric listed in "Resource Statistics Tracked
by STAT" above.


STAT.CFG File Description

The STAT configuration file (STAT.CFG) is used to store the "Next
file name" when exiting from STAT. This file is written to the
SYS:SYSTEM directory during the exit process.

Each time STAT is loaded, it looks for this configuration file. If
found, the enclosed file name is used as the new "Next file name."
This precautionary measure helps prevent new trace files from
overwriting trace files from previous tests.

If a configuration file does not exist, STAT uses the default file
name STAT.000.


About Novell Research

Novell Research is a program through which Novell publishes
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NetWare-based systems. Publications produced by Novell Research
include NetWare Application Notes and Novell Research Reports.

Novell Research publications are written by Novell consultants and
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The information contained in these publications is based on lab
research and actual field experience of the authors, covering topics
in these main areas:

o    Network design and optimization strategies
o    Network management tactics
o    NetWare internals and theory of operations
o    Novell product implementation guidelines
o    Integration solutions for third-party products
o    NetWare programming techniques

This information is designed to benefit Novell's technical audience
consisting of systems engineers, support engineers, consultants,
programmers, network managers, and information systems
personnel.

Novell's Systems Research Department in Provo, Utah, serves as
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    Using Personal MHS on Your Laptop
    Using the NetWare 3.x Internal Debugger
    The Data and the Base: A Discussion of Database File
    Structures and Networking Problems

Jul 91 US$15  164-000030-007
    NetWare v3.x Operating System Statistics Exposed!
    Extended Print Services: Obtaining Information for Queue
      Management
    Workload Characterization of NetWare Clients and Servers
    Using a Protocol Analyzer

Jun 91 US$15  164-000030-006
    Measuring Performance in the Extended Print Service
    Environment
    Analyzing LAN/WAN Internets: Testing IPX Routes Using
    Novell's LANalyzer 3.0
    Backing Up Macintosh Files on a NetWare Server
    SPX Design Enhancements to the NetWare Requester for OS/2
      (v1.3)

May 91 US$15  164-000030-005
    Understanding Token-Ring Source Routing
    Case Study: Implementing CIM with NetWare at Compaq Corp
    An Introduction to Workload Characterization
    Code and Concept: How to Allocate IPX Resources and How to
      Listen for IPX Packets Using CLIB

Apr 91 US$15  164-000030-004
    NetWare Print Service Performance

Mar 91 US$15  164-000030-003
    Resolving Performance Problems on a NetWare Network
    Code and Concept: How to Gracefully Load and Unload a
      Multi-Threaded NLM
    Code and Concept: Creating and Controlling a Thread That Polls
      a Queue or Some Other Entity

Feb 91 US$15  164-000030-002
    The NetWare DOS Client Environment
    Running SQL Server in the NetWare Environment

Jan 91 US$15  164-000003-001
    NetWare and Microsoft Windows Integration
    OVERVIEW: LANalyzer Applications for NetWare File Server
      Access Characterization...
    FILEVIEW: LANalyzer Applications for NetWare File Service
      Diagnostics...

Dec 90 US$15  164-000016-001
    Calculating NetWare Routing Table Sizes
    NODEVIEW: LANalyzer Filters for IPX Protocol Diagnostics...
    SERVERVU: LANalyzer Filters for Service Advertising Protocol
      (SAP) Diagnostics...

Nov 90 US$15  164-000015-001
    Understanding VTAM Traces

Oct 90 US$15  164-000014-001
    3287 Host Printer Emulations
    NetWare 386 System Messages: Bindery, Packet Services, and
      Queue Management Services

Sep 90 US$15  164-000013-001
    TRACK [ON/OFF] Console Command, Syntax and Applications
    NetWare 386 Speed Rating
    NetWare Communications Processes

Aug 90 US$15  164-000012-001
    MAC Layer Bridging Techniques
    A Comparison of NetWare IPX, SPX and NetBIOS

Jul 90 US$15  164-000011-001
    NetWare 386 System Messages: Disk, Memory and Accounting
    An Overview of Virus Prevention Strategies in a NetWare
      Environment

Jun 90 US$15  119-000010-001
    286-Based NetWare v2.1x File Service Processes
    Novell NetWare and AT&T Integration
    NetWare Internal and External Bridge Performance
    Benchmarking

Novell Research Reports
-----------------------

Dec 92 US$25  164-000031-015
    NetWare Application Notes for Macintosh
    A collection of previously published AppNotes relating to Novell's
    NetWare for Macintosh products, revised and updated to cover
        NetWare for Macintosh v3.01. Includes "Backing Up
        Macintosh Files on a NetWare Server" (Jun 91), "Printing
        with NetWare for Macintosh" (Nov 91), "AppleTalk Protocol
        Routing and NetWare" (Apr 92), "Directory Entry Tables and
        NetWare for Macintosh" (Jun 92), and selected articles from
        NUI's NetWare Connection magazine. (88 pages)

Jul 92 US$25  164-000031-014
    Integrating NetWare and Windows 3.1
    Discusses issues relevant to installing and using Microsoft
    Windows 3.1 on a NetWare network. Includes sections on new
    NetWare-related features in Windows 3.1, installation, NetWare
    software components (drivers, .INI files, and TBMI2) shipped
    with Windows 3.1, printing, troubleshooting, and using other
    Novell products with Windows 3.1. (70 pages)

Feb 92 US$25  164-000031-013
    Inside NetWare for UNIX v3.11
    A comprehensive guide to Novell's NetWare for UNIX product,
    formerly known as Portable NetWare. Contains sections on the
    communications, transports, services, and operations of the
    NetWare for UNIX v3.11 server platform. Also includes an
    overview of the client architecture, access rights
    determination, and a comparison with native NetWare v3.11.
    (162 pages)

Dec 91 US$25  164-000030-014
    Power and Grounding for Distributed Computing
    This report is out of print. Novell currently has no plans to
    revise or reprint this document.

Nov 91 US$25  164-000030-015
    NetWare Security: Configuring and Auditing a Trusted
    Environment Explains NetWare's security features in the
    context of government and commercial classifications for trusted
    computing systems, and tells how to administer security to meet
    these requirements. Gives a methodology for performing security
    audits of NetWare LANs and lists available third-party audit
    tools. Developed in cooperation with Coopers & Lybrand.
    (111 pages)

Jan 90 US$25  479-000063-001
    Network Backup
    Contains an overview of network backup basics, covering the
    hardware and software technology available for backing up data
    on a network. Presents decision criteria for selecting an
    appropriate backup system and explains backup methods and
    rotation schedules that provide maximum protection for valuable
    data. Includes sample tape backup log sheets and a list of
    vendors who supply backup products for networks. (84 pages)

--------------------------------------------------------------------
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