fsi-foundation-mainframe-integration

name	fsi-foundation-mainframe-integration
description	Reference architecture guidance for integrating on-premises mainframes with AWS in Japanese financial institutions (BLEA for FSI / 金融リファレンスアーキテクチャ日本版). Covers three data-integration patterns between a mainframe and AWS: data replication (AWS Mainframe Modernization Data Replication with Precisely), asynchronous messaging (IBM MQ HA / MQ cluster / multi-instance queue managers), and file transfer (HULFT, AWS Transfer Family). Use this skill when designing or reviewing mainframe-to-AWS data integration, discussing メインフレーム連携 / メインフレーム / データレプリケーション / 非同期メッセージング / ファイル転送 / IBM MQ / HULFT / Precisely, or mapping such workloads to the FISC Security Guidelines.
license	MIT No Attribution
metadata	{"author":"aws-jp-fsi-sa","version":"1.0"}

Mainframe Integration (メインフレーム連携)

Workload Overview

This asset is the "Mainframe Integration (メインフレーム連携)" reference architecture from BLEA for FSI (金融リファレンスアーキテクチャ日本版) v1.6. In this reference architecture, a "mainframe" means a large computer that carries a processor with a proprietary instruction set and runs core (基幹系) business systems processing large volumes of business data on a proprietary OS. Example mainframe OSes include IBM z/OS, Fujitsu OS IV/MSP, Hitachi VOS3, and NEC ACOS-4.

The scope of this asset is data integration between a mainframe and AWS — it does not cover the mainframe's internal application logic. It presents three integration patterns:

1. Data Replication — replicate mainframe data to AWS to promote data utilization and development of new services (analytics/AI/ML, near-real-time business innovation, and seamless application migration with near-zero downtime).
2. Asynchronous Messaging — exchange data between mainframe systems and AWS-hosted systems through a simple API without direct synchronous coupling, using IBM MQ.
3. File Transfer — transfer files between the mainframe and AWS for external-system linkage, analytics/AI/ML, backup/archive, and data migration during cloud modernization.

AWS does not support or guarantee the operation of the third-party software products referenced here. Confirm prerequisites and details with each product's vendor. In particular, AWS Mainframe Modernization Data Replication with Precisely only supports IBM z/OS and IBM i (AS/400) as replication source environments.

Detailed technical descriptions of all three patterns (basic operation, failover behavior, monitoring, characteristics, and variations) are in references/architecture.md.

Best Practices and Key Components

Best Practices

• MUST NOT: Rely solely on a mainframe-side queue manager accessed by many AWS-side MQ clients; concentrated client access can overload the mainframe, and if the mainframe queue manager goes down, MQ clients fail and applications error out.
• SHOULD: Stand up a queue manager on both the mainframe side and the AWS side and establish channel connections between them, so a local queue manager keeps accepting messages even when the destination queue manager is down.
• MUST NOT: Use the MQ cluster (active/active) pattern when message ordering must be preserved (e.g., financial transactions), because ordering is not maintained across the cluster.
• SHOULD: Combine the MQ cluster pattern with the HA configuration when persistent messages held by a downed queue manager must be recovered quickly, since those messages are unavailable until that queue manager restarts.
• MAY: Consider running IBM MQ in containers for the MQ cluster pattern, since it does not assume clustering-software-based inter-instance synchronization.
• SHOULD: Avoid modifying mainframe applications or data; implement analytics and new services on the AWS side so the added development does not increase mainframe load.
• MAY: Use a COBOL copybook that defines the VSAM file layout as schema information and map the input data format to the target table with a Lambda function (Precisely pattern).
• SHOULD: For high availability of the Precisely components, run the z/OS-side Publisher agent in an active/standby configuration and run multiple EC2 instances in a Multi-AZ configuration on the AWS side feeding the Amazon MSK cluster.
• MAY: Add multiple workers (JVM processes running connector logic) to the Apply agent to increase throughput toward Amazon MSK as needed.
• SHOULD: Monitor the CloudWatch Logs and metrics of the Apply agent, MSK, and the database, and cross-reference them to identify where a problem occurs.
• SHOULD: For HULFT on AWS in an active/standby configuration, use HULFT-supported clustering software to synchronize data between the two instances.
• MAY: Use the HULFT Cloud Storage Option to directly read from and write to Amazon S3 bucket objects.
• SHOULD: Store backup files in an Amazon S3 bucket to reduce cost versus keeping them on the mainframe; set cross-region replication for DR and choose an S3 storage class for long-term archival.
• MAY: When retry-on-error and per-item data/character-code conversion are not required, use ftp or sftp for file transfer (z/OS Communication Server FTP server with AWS Transfer Family, or z/OS OpenSSH for sftp).
• SHOULD: Provide, for the DR-side environment, the same integration architecture that was adopted for the primary, matching the DR-side mainframe (FISC 実 71 / 実 74 / 実 106).
• SHOULD: Provide a backup connection via AWS Direct Connect or AWS Site-to-Site VPN as a standby for the primary AWS Direct Connect link between the mainframe and AWS (FISC 実 87).

Key Components

Data Replication (Precisely)

• Component Overview: Replicates mainframe data (Db2 for z/OS, IMS/DB, VSAM on z/OS; Db2 for IBM i on IBM i) to AWS data stores. A Log Reader captures the Db2 log to a Coupling Facility (CF)-based Log Stream; a primary Publisher agent on an LPAR reads the log and publishes it to Apply agents on AWS; the active Apply agent writes to Amazon MSK, which updates the AWS data store. Publisher agents run active/standby on z/OS; Apply agents run active/active on AWS with a controller daemon handling failover.
• Assumed AWS Services: AWS Mainframe Modernization Data Replication with Precisely, Amazon Managed Streaming for Apache Kafka (MSK), Amazon RDS (Oracle / Microsoft SQL Server / PostgreSQL / Amazon Aurora PostgreSQL) or DB on EC2, Amazon S3, AWS Lambda, Amazon EC2, Amazon CloudWatch (Logs and metrics).

Asynchronous Messaging (IBM MQ)

• Component Overview: Point-to-Point and publish/subscribe messaging with ACID transaction guarantees using IBM MQ. Queue managers on the mainframe and AWS sides are connected by channels; either side can originate messages, and a correlation ID enables request/response correlation. Three high-availability queue-manager patterns are provided: (2.1) HA configuration (active/standby), (2.2) MQ cluster (active/active), and (2.3) multi-instance queue managers (active/warm-standby).
• Assumed AWS Services: IBM MQ on Amazon EC2 (or containers on Amazon ECS / Amazon EKS), Amazon Elastic File System (EFS) or Amazon FSx for Windows File Server (shared storage for the multi-instance pattern), Amazon CloudWatch.

File Transfer (HULFT / AWS Transfer Family)

• Component Overview: Transfers files between the mainframe and AWS. HULFT between HULFT for z/OS and HULFT on AWS supports binary (no-conversion) transfer, text transfer with character-code conversion between platforms, and per-item data-type conversion for fixed-length layouts; pre-send, post-send, and post-receive jobs can be registered. The HULFT Cloud Storage Option enables direct I/O to Amazon S3 objects. As a variation, ftp (via AWS Transfer Family) or sftp can be used when retry/conversion features are not needed.
• Assumed AWS Services: HULFT on Amazon EC2 (with HULFT-supported clustering software for HA), Amazon S3 (including cross-region replication and archival storage classes), AWS Transfer Family, Amazon CloudWatch, Amazon ECS / Amazon EKS / Amazon EC2.

FISC Compliance Summary

This asset is mapped against the FISC Security Guidelines (FISC 安全対策基準) 実務基準 (Practical Standards, 9th edition context in the source table titled 第 12 版) items 実 1 through 実 149. The mapping table records, per item, both the shared control environment (governance-base template) countermeasure and the additional countermeasures/considerations for each of the three patterns (Data Replication / Asynchronous Messaging / File Transfer). Only 実務基準 items are covered; overall system safety must additionally be considered on the user-application side and in operational/development processes. Many items are marked 対象外 (out of scope) because they belong to the business application, management/operation process, development process, or are already handled on the AWS cloud side. Representative in-scope countermeasures include TLS encryption of communications (実 4/実 7/実 69), IAM Access Analyzer for unused permissions (実 5), least-privilege IAM (実 25), KMS key rotation/separation of duties (実 13/実 30), Amazon Inspector and security groups (実 20), CloudWatch monitoring (実 46/実 47/実 101–実 103), Multi-AZ active/standby availability (実 71/実 84/実 104), and DR via Osaka region and Direct Connect/VPN backup (実 74/実 87/実 106).

The full, per-item table (preserving every entry) is in references/fisc-mapping.md.

Reference Architecture

The full reference architecture — including the three patterns' architecture diagrams, step-by-step basic operation, failover behavior, monitoring, characteristics, variations, and source reference links — is in references/architecture.md. Architecture diagram images are in assets/images/.

CDK Sample Overview

No CDK sample is provided for this asset in BLEA for FSI v1.6; this asset is documentation only.