Nassau Community College: Nancy Stern Hofstra University Robert A. Stern

Structured COBOL
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Nassau Community
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PowerPoint Presentation:
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DeVry Institute of Technology
CHAPTER 13
Sequential File
Processing
Structured COBOL Programming, Stern & Stern, 9th Ed

ition
OBJECTIVES
• To familiarize you with:

1. Master file processing concepts.
2. Sequential update procedures using
disk as a master file.
3. How sequential disk files may be
updated in place with a REWRITE
statement.

ition
CONTENTS
• Systems Overview of Sequential File Processing
– Master Files
– Typical Master File Procedures: A Systems Overview
• Sequential File Updating - Creating a New

Master File
– The Files Used
– The Ordering of Records for Sequential Updates
– The Procedures Used for Sequential Updates
– Self-Test

ition
CONTENTS
• Validity Checking in Update Procedures

– Checking for New Accounts
– Checking for Delete Codes and Deleting
Records from a Sequential Master File
– Checking for Sequence Errors
• Update Procedures with Multiple

Transaction Records for Each Master
Record

ition
CONTENTS
• Sequential File Updating - Rewriting

Records on a Disk
– The REWRITE Statement for a Disk File
Opened as I-O
– Using an Activity-Status Field for Designating
Records to Be Deleted
– The EXTEND Option for Adding Records to the
End of a Sequential File

ition
SYSTEMS OVERVIEW OF
SEQUENTIAL FILE
PROCESSING

ition
Master Files
• In most companies, a master file will be

stored on a magnetic disk.
• The features of magnetic media such as
disk that make it ideally suited for storing
master file data include the following:
1. Disks can store billions of characters.
2. Disk drives can read and write data very
quickly.
3. Disk records can be any size.
ition
Master Files
• Although tapes were once used for
storing files, most companies today use
disks because disks are more versatile.
• A tape is more often used for backing up a
file in case the original disk file becomes
unusable.
– One main reason why tapes are not as
prevalent as disks for master file processing
is that tapes can be accessed only
sequentially, thus limiting their usefulness.

ition
Master Files
• Disk files, however, can be organized for
either sequential or random access.
• If a master file is always processed
sequentially, it may be stored on either
disk or tape.
• But if a file needs to be read, or processed,
randomly, or in some sequence that cannot
be predetermined, then it would be stored
on disk and organized for random access.

ition
Typical Master File
Procedures

ition
Designing a Master File
• The following are elements to consider
when designing a master file:
1. The first field or fields should be key fields
that uniquely identify the record.
2. Where possible, key fields should consist of
numbers (e.g., Social Security Number rather
than Employee Name, Part Number rather
than Part Description, etc.).
3. Secondary key fields (e.g., Name) should
follow primary key fields in a record.
ition
Designing a Master File
4. Fields should appear in a master file in order

of importance (e.g., Employee Name and
Address before Birth Date, etc.).
5. Be sure that fields are large enough to
accommodate the data (e.g., a 10- position
Last Name field, for example, is not likely to
be large enough).
6. Use coded fields where possible to save
space (e.g., codes are used for Marital Status,
Insurance Plan Option, etc.).

ition
Creating a Master File
• When a new system is implemented, or
used for the first time, a master file must
be initially created.
– This procedure can be performed by entering
all master file data using a keyboard or other
data entry device.
• The data is then recorded on a disk, or

tape, which becomes the new master file.
– Creating a master file is a one-time procedure.
That is, once the master file is created, changes
to it are made by a different procedure.

ition
Creating a Master File
• The primary objective of a program that
creates a master file is ensuring data
integrity.
• A master file is only useful if it contains
valid and reliable data; hence, a creation
program must be designed so that it
minimizes input errors.
• When a master file is created, a control
listing or audit trail is also produced that
prints the data stored on the new master
file, and necessary control totals.
ition
Creating a Transaction File
• After a master file is created, a separate procedure is
used to make changes to it.
• Change records are stored in a file referred to as a
transaction file, which is also typically stored on
disk.
– Changes to an accounts receivable master file or changes
to a payroll master file would usually be stored in a disk
transaction file.
• File design considerations, as specified for master
files, should be applied to the transaction file as
well.
– The transaction file should be validated to ensure data
integrity.

ition
Updating a Master File
• The process of making a master file current
is referred to as updating.
– The master file is updated by incorporating the
changes from the transaction records.
• This chapter emphasizes techniques used

for performing sequential updates for
master files.
– Sequential updates that process transaction
records stored in sequence in a file, rather than
entered randomly and processed interactively,
are accomplished via batch processing.

ition
Reporting from a Master File
• The purpose of maintaining a master file is
to store data that will provide users with
meaningful output.
– Such output, which is generally in the form of
reports are frequently scheduled, which means
they are prepared on a regular basis.
• Sales reports, customer bills, and payroll checks
are examples of output from master files that are
prepared on a regularly scheduled basis.
• Reports can also be prepared on demand.

That is, they are requested and produced
whenever the need arises.

ition
SEQUENTIAL FILE UPDATING:
CREATING A NEW MASTER
FILE

ition
The File Used
• Master files that have been designed and
created for sequential processing can be
updated by reading in the master file along with
a transaction file and creating a new master file.
– This means that the sequential update procedure
uses three files.
• Most often, a fourth print file that produces a
control listing or audit trail is created as well for
printing all changes made, any errors found, and
totals.
– Any program written to update a master file should
create a control listing that specifies all changes
made to the master.

ition
The Files Used
Input Master File
• The input master file is current through
the previous updating period.
• That is, if updates are performed weekly,
the input master file is the file that was
created the previous week as the master.
• We call this file OLD-MASTER because it
does not contain changes that have
occurred since the previous update.

ition
The Files Used
Input Transaction File
• The transaction file contains data to be
used for updating the master file that we
call OLD-MASTER.
• The input transaction file contains all
changes that have occurred since OLD-
MASTER was created.
• We call this file TRANS-FILE.

ition
The Files Used
Output Master File
• The output master file becomes the new
master as a result of the updating
procedure.
• The output master file will integrate data
from the OLD-MASTER and the TRANS-
FILE. We call this file NEW-MASTER.
• Note that for the next week's update run,
this NEW-MASTER becomes OLD-MASTER.

ition
The Files Used
Control Listing or Audit Trail
• Recall that a print file or control listing is
usually created during a sequential file
update.
• Such a print file would list:
(1) changes made to the master file
(2) errors encountered during processing
(3) totals to be used for control and checking
purposes.

ition
The Ordering of Records for
Sequential Updates
• OLD-MASTER contains master information
that was complete and current through the
previous updating cycle.
• The TRANS-FILE contains transactions or
changes that have occurred since the
previous updating cycle.
– These transactions or changes must be
incorporated into the master file to make it
current.

ition
Sequential Updates
• The NEW-MASTER will include all OLD-
MASTER data in addition to the changes
stored on the TRANS-FILE that have
occurred since the last update.
• The NEW-MASTER will be on the same
medium (e.g., disk) as the OLD-MASTER,
since the current NEW- MASTER becomes
the OLD-MASTER for the next update
cycle.
ition
Sequential Updates
• In a sequential master file, all records are in
sequence by a key field, depending on the
type of master file, such as account number or
social security number)
– This key field uniquely identifies each master
record.
• We compare the key field in the master to the

same key field in the transaction file to
determine if the master record is to be
updated;
– This comparison requires both files to be in
sequence by the key field.

ition
The Use of HIGH-VALUES
for End-of-File
Conditions.
• HIGH-VALUES means ``all bits on,'' which is
not a printable character and which has a
nonnumeric value greater than all 9s.
• Using it on an end-of-file condition will ensure
correct file handling regardless of the actual
values that the account numbers can assume.
• This is because an incoming account number
will always compare ``less than'' HIGH-
VALUES.

ition
QUESTIONS?

ition
SELF-TEST
1. What do we call the major collection of

data pertaining to a specific application?
Solution: A master file

ition
SELF-TEST
2. Changes to be made to a master file are

placed in a separate file called a ____ file.
Solution: transaction

ition
SELF-TEST
3. In a sequential update procedure, we use

three files called ____ , ____ , and ____ .
Solution: the old master file - current

through the previous updating cycle; the
transaction file; the new master file -
which incorporates the old master data
along with the transaction data

ition
SELF-TEST
4. ( T or F ) In a sequential update
procedure, all files must be in sequence
by the same key field.
Solution: T
ition
SELF-TEST
5. In a sequential update procedure, the

key field in the transaction file is
compared to the key field in the ____ .
Solution: old master file

ition
SELF-TEST
6. In Question 5, if the key fields are equal,

a ____ procedure is performed. Describe
this procedure.
Solution: regular update; transaction data is

added to the master data, a new master
record is written, and records from the old
master file and the transaction file are
read.
ition
SELF-TEST
7. In Question 5, if the transaction key field

is greater than the master key field, a
____ procedure is performed. Describe
this procedure.
Solution: no update; a new master record

is created directly from the old master
record and a record from the old master
file is read.
ition
SELF-TEST
8. In Question 5, if the transaction key field is
less than the master key field, a ____
procedure is performed. Describe this
procedure.
Solution: new account or error; if it is a new

account, move transaction data to the new
master and write; if it is an error, an error
message is printed. In either case, a
transaction record is then read.

ition
SELF-TEST
9. The statement READ TRANS-FILE AT END
MOVE HIGH-VALUES TO T-ACCT- NO moves
____ if there are no more records in TRANS-
FILE. To contain HIGH-VALUES, T-ACCT-NO
must be defined with a PIC of ____ .
Solution: a value of all bits on to the T-ACCT-
NO field. (Any subsequent comparison of T-
ACCT-NO to an actual M-ACCT-NO will cause
a ``>'' condition); Xs because HIGH-VALUES
is a nonnumeric figurative constant.

ition
SELF-TEST
10. ( T or F ) Disk files can be created for

either sequential or random access.
Solution: T
ition
VALIDITY CHECKING IN
UPDATE PROCEDURES

ition
Checking for New Accounts
• To verify that a TRANS-REC is a new
account, we usually include a coded field
in the TRANS-REC itself that specifies the
record as a new account. For example:
1-5 T-ACCT-NO
6-11 AMT-TRANS-IN-CURRENT-PER 9999V99
12-99 FILLER
100 CODE-IN (1 = NEW-ACCT; 2 = REGULAR-
UPDATE)
– Thus, if T-ACCT-NO IS LESS THAN M-ACCT-
NO, we would process the transaction record
as a new account only if it also contains a 1 in
CODE-IN.
ition
Checking for Delete Codes and
Deleting Records from a
Sequential Master File
• One type of update function not
considered in our previous illustrations is
that of deleting master records.
• Since accounts may need to be deleted if
customers give up their charge privileges
or have not paid their bills, there must be
some provision for eliminating specific
records from the master file during an
update.
ition
Checking for Delete Codes and
Deleting Records from a
Sequential Master File
• We may use the technique of a coded
transaction field as described earlier to
accomplish this. We could add a code of '3'
to indicate that a record is to be deleted.
For example:
1-5 T-ACCT-NO
6-11 AMT-TRANS-IN-CURRENT-PER 9999V99
12-99 FILLER
100 CODE-IN (1 = NEW-ACCT; 2 = UPDATE-
CODE; 3 = DELETE-THE-RECORD)
ition
SUMMARY: How Transaction
Records Are Processed
A. T-KEY = M-KEY
1. Delete the master record if T-CODE indicates
deletion.
2. Change or update the master record if T-
CODE indicates update.
3. Process the transaction record as an error if
T-CODE indicates new record.

ition
SUMMARY: How Transaction
Records Are Processed
B. T-KEY < M-KEY
1. Add the transaction record to the master file
if T-CODE indicates a new record.
2 . Process the transaction record as an error if
T-CODE does not indicate a new record.
C. T-KEY > M-KEY

1. Rewrite the master record as is.

ition
UPDATE PROCEDURES WITH
MULTIPLE TRANSACTION
RECORDS FOR EACH MASTER
RECORD

ition
Update Procedures for
Multiple Transactions
• The following is the Procedure Division for
updating a file where multiple transactions
per master record are permitted.
100-MAIN-MODULE.
PERFORM 800-INITIALIZATION-RTN
PERFORM 200-COMP-RTN
UNTIL M-ACCT-NO-IN = HIGH-VALUES
AND
T-ACCT-NO-IN = HIGH-VALUES
PERFORM 900-END-OF-JOB-RTN
STOP RUN.

ition
200-COMP-RTN.
EVALUATE TRUE
WHEN T-ACCT-NO-IN = M-ACCT-NO-IN
PERFORM 300-REGULAR-UPDATE
WHEN T-ACCT-NO-IN < M-ACCT-NO-IN
PERFORM 400-NEW-ACCOUNT
WHEN OTHER
PERFORM 500-NO-UPDATE
END-EVALUATE.

ition
300-REGULAR-UPDATE.
MOVE OLD-MASTER-REC-IN TO
NEW-MASTER-REC-OUT
PERFORM 550-ADD-AND-READ-TRANS
UNTIL
T-ACCT-NO-IN NOT = M-ACCT-NO-IN
WRITE NEW-MASTER-REC-OUT
PERFORM 600-READ-MASTER.

ition
400-NEW-ACCOUNT.
MOVE SPACES TO NEW-MASTER-REC-OUT
MOVE T-ACCT-NO-IN TO ACCT-NO-OUT
MOVE AMT-TRANS-IN TO AMOUNT-DUE-OUT
PERFORM 700-READ-TRANS.
500-NO-UPDATE.
FROM OLD-MASTER-REC-IN
PERFORM 600-READ-MASTER.
550-ADD-AND-READ-TRANS.
ADD AMT-TRANS-IN TO AMOUNT-DUE-OUT
PERFORM 700-READ-TRANS

ition
600-READ-MASTER.
READ OLD-MASTER-IN
AT END MOVE HIGH-VALUES TO M-ACCT-NO-IN
END-READ.
700-READ-TRANS.
READ TRANS-FILE-IN
AT END MOVE HIGH-VALUES TO T-ACCT-NO-IN
END-READ.

ition
800-INITIALIZATION-RTN.
OPEN INPUT OLD-MASTER-IN
TRANS-FILE-IN
OUTPUT NEW-MASTER-OUT
PERFORM 600-READ-MASTER
PERFORM 700-READ-TRANS.
900-END-OF-JOB-RTN.
CLOSE OLD-MASTER-IN
TRANS-FILE-IN
NEW-MASTER-OUT.

ition
The Balanced Line Algorithm for
Sequential File Updating
• Another alternative for updating a master
file with any number of transactions and
checks for a variety of error conditions is a
technique called the balanced line algorithm.
• This method is viewed by many as the most
efficient and effective sequential file
updating method.
– The version of the balanced line algorithm
illustrated in the text has been described by
Barry Dwyer in an article entitle "One More
Time--How to Update a Master File" ACM, vol. 24,
no.1 (January, 1981), pp. 3-8

ition
SEQUENTIAL FILE UPDATING:
REWRITING RECORDS ON A
DISK

ition
The REWRITE Statement for a
Disk File Opened as I-O
• Both disk and tape can be organized
sequentially and both can use sequential
update procedures.
• Disks, however, unlike tape, can serve as
both input and output during the same run.
Thus, it is possible to read a disk record,
make changes directly to the same record,
and rewrite it or update it in place.
– A disk file, for example MASTER FILE, can be
opened as I-O, which means records from the
disk will be accessed, read, changed, and
rewritten:
OPEN I-O MASTER-FILE

ition
Using an Activity-Status Field
for Designating Records to be
Deleted
• If a sequential disk file is to be updated by
rewriting records directly on it, we need a
different procedure for deleting records.
• One common technique is to begin each
record with a one-character activity-status
code that precedes the key field.
– The activity-status code would have a specific
value for active records, and a different value if
the record is to be deactivate.

ition
CODED FIELDS TO DESIGNATE
RECORDS AS ACTIVE OR
INACTIVE
1. Include an ACTIVITY-STATUS code as the
first position in the record.
2. Set the ACTIVITY-STATUS code to a value
designating the record as active.
3. Change the ACTIVITY-STATUS code to a
value designating the record as inactive
only if it is to be deleted.
4. Before printing or other processing, check
first to see if the record is active.
ition
The EXTEND Option
• Records may be added to the end of a

sequential disk (or tape) file by using the
following OPEN statement:
OPEN EXTEND file-name
• When the OPEN EXTEND statement is
executed, the disk pointer is positioned at
the end of the file, immediately after the
last record.

ition
The EXTEND Option
• A WRITE statement, then, will add
records to the end of this file.
– If all records to be added have key fields in
sequence that are greater than those
currently on the master, then the entire file
will be in the correct order.
• If the records that are added are not in

sequence, the file must be sorted before it
is processed again.

ition
The EXTEND Option
• The following is a chart of permissible
input/output statements depending on
how a sequential file was opened:
Statement INPUT OUTPUT I-O EXTEND
READ X X
WRITE X X
REWRITE X

ition
CHAPTER SLIDES END HERE
CHAPTER SUMMARY COMES NEXT

ition
CHAPTER SUMMARY
A. Sequential updating by creating a new
master.
• Use three files: an incoming master file, a
transaction file with change records, and a
new output master file that will
incorporate all the changes.
• Use these techniques:
1. All files to be processed must be in sequence
by the same key field.

ition
CHAPTER SUMMARY
2. A record is read from each file and
specified routines are performed
depending on whether or not the key
fields match.
3. The transaction record could have a
coded field to determine:
a. What type of update is required.
b. If the master record is to be deleted.
c. If the transaction is a new account.

ition
CHAPTER SUMMARY
4. The end-of-job test for each file must be
processed individually.
• By moving HIGH-VALUES to the key field of

the file that ends first, we can be assured that
the other file will always compare low and
hence will continue to be processed.
• The job is terminated only after both input
files have been processed. HIGH-VALUES can
only be moved to a key field that has been
defined as alphanumeric.

ition
CHAPTER SUMMARY
B. Sequential updating by rewriting a disk.
• As an alternative to the preceding, records
on a sequential disk can also be updated by
rewriting them in place, if the disk file is
opened as I-O.
– A backup file should always be created in this
case.
C. Records can be added to the end of a disk

file if we code OPEN EXTEND file-name.

ition

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Structured COBOL

Robert A. Stern these programs or from the use of the information

Structured COBOL Programming, Stern & Stern, 9th Ed

• To familiarize you with:

Structured COBOL Programming, Stern & Stern, 9th Ed

• Sequential File Updating - Creating a New

Structured COBOL Programming, Stern & Stern, 9th Ed

• Validity Checking in Update Procedures

• Update Procedures with Multiple

Structured COBOL Programming, Stern & Stern, 9th Ed

• Sequential File Updating - Rewriting

Structured COBOL Programming, Stern & Stern, 9th Ed

Structured COBOL Programming, Stern & Stern, 9th Ed

• In most companies, a master file will be

Structured COBOL Programming, Stern & Stern, 9th Ed

Structured COBOL Programming, Stern & Stern, 9th Ed

Structured COBOL Programming, Stern & Stern, 9th Ed

4. Fields should appear in a master file in order

Structured COBOL Programming, Stern & Stern, 9th Ed

• The data is then recorded on a disk, or

Structured COBOL Programming, Stern & Stern, 9th Ed

Structured COBOL Programming, Stern & Stern, 9th Ed

• This chapter emphasizes techniques used

Structured COBOL Programming, Stern & Stern, 9th Ed

• Reports can also be prepared on demand.

Structured COBOL Programming, Stern & Stern, 9th Ed

Structured COBOL Programming, Stern & Stern, 9th Ed

Structured COBOL Programming, Stern & Stern, 9th Ed

Structured COBOL Programming, Stern & Stern, 9th Ed

Structured COBOL Programming, Stern & Stern, 9th Ed

Structured COBOL Programming, Stern & Stern, 9th Ed

Structured COBOL Programming, Stern & Stern, 9th Ed

Structured COBOL Programming, Stern & Stern, 9th Ed

• We compare the key field in the master to the

Structured COBOL Programming, Stern & Stern, 9th Ed

Structured COBOL Programming, Stern & Stern, 9th Ed

Structured COBOL Programming, Stern & Stern, 9th Ed

1. What do we call the major collection of

Solution: A master file

Structured COBOL Programming, Stern & Stern, 9th Ed

2. Changes to be made to a master file are

Structured COBOL Programming, Stern & Stern, 9th Ed

3. In a sequential update procedure, we use

Solution: the old master file - current

Structured COBOL Programming, Stern & Stern, 9th Ed

5. In a sequential update procedure, the

Solution: old master file

6. In Question 5, if the key fields are equal,

Solution: regular update; transaction data is

7. In Question 5, if the transaction key field

Solution: no update; a new master record

Solution: new account or error; if it is a new

Structured COBOL Programming, Stern & Stern, 9th Ed

Structured COBOL Programming, Stern & Stern, 9th Ed

10. ( T or F ) Disk files can be created for

Structured COBOL Programming, Stern & Stern, 9th Ed

Structured COBOL Programming, Stern & Stern, 9th Ed

C. T-KEY > M-KEY

Structured COBOL Programming, Stern & Stern, 9th Ed