Technical Report

SMB 3.0 Multichannel

Accelerate SMB 3.0 Performance for Applications
Brahmanna Chowdary Kodavali, Ron Pratt, NetApp
January 2019 | TR-4740

Abstract
Microsoft has introduced a new feature called Multichannel in the SMB 3.0 protocol in
Windows Server 2012 and Windows 8, with the goal of improving the SMB3 protocol by
addressing the performance and reliability limitations of SMB1 and SMB2. This technical
report is an overview of the Multichannel feature in NetApp® ONTAP®, including its
capabilities, best practices, and performance test results.
TABLE OF CONTENTS

1 SMB 3.0 Multichannel Overview .......................................................................................................... 3

2 How Does SMB 3.0 Multichannel Work? ............................................................................................ 3

2.1 Sessions and Connections..............................................................................................................................3

2.2 Session Binding and Interface Discovery ........................................................................................................4

2.3 Nondisruptive Behavior ...................................................................................................................................6

3 SMB Features Supported with Multichannel ..................................................................................... 6

4 Multichannel Behavior in Cluster Architecture ................................................................................. 7

4.1 LIF Migration ...................................................................................................................................................7

4.2 Takeover and Giveback ..................................................................................................................................7

5 Setting up Multichannel ....................................................................................................................... 8

5.1 Enabling Multichannel on ONTAP...................................................................................................................8

5.2 Verify Multichannel Functionality.....................................................................................................................9

5.2.1 CLI Commands ...............................................................................................................................................9

6 Performance ........................................................................................................................................ 10
6.1 Multichannel Counters ..................................................................................................................................11

7 Troubleshooting and Debugging ...................................................................................................... 12

7.1 Multiple connections are not established. .....................................................................................................12

7.2 Multichannel is working fine but the number of channels that are established is different from what is
expected. ......................................................................................................................................................13

8 Conclusion .......................................................................................................................................... 13

Where to Find Additional Information .................................................................................................... 14

Version History ......................................................................................................................................... 14

LIST OF TABLES
Table 1) SMB features that work with SMB3 Multichannel. ............................................................................................7

LIST OF FIGURES
Figure 1) SMB 1.0, SMB 2.0, and SMB 3.0 (without Multichannel) allow one TCP connection per SMB session. .........3
Figure 2) SMB 3.0 Multichannel allows multiple TCP connections per SMB session. ....................................................4
Figure 3) With RSS-enabled NICs, SMB 3.0 Multichannel creates four TCP connections per NIC. ...............................4
Figure 4) Multichannel workflow for SMB3. ....................................................................................................................5
Figure 5) SMB Multichannel comparison—storage side. ..............................................................................................10
Figure 6) SMB Multichannel comparison—client side. .................................................................................................11

2 SMB 3.0 Multichannel © 2019 NetApp, Inc. All rights reserved

1 SMB 3.0 Multichannel Overview
NetApp ONTAP 9.4 introduces Multichannel, a new SMB 3.0 protocol feature. Multichannel was first
introduced by Microsoft in Windows Server 2012 and Windows 8. The goal of the Multichannel feature in
SMB3 is to improve the SMB3 protocol by addressing the performance and reliability limitations of SMB1
and SMB2.

2 How Does SMB 3.0 Multichannel Work?

The Multichannel feature enables an SMB3 client to establish a pool of connections over a single network
interface card (NIC) or multiple NICs and use them to send requests for a single SMB session. In
contrast, SMB1 and SMB2, by design, require the client to establish one connection and send all the SMB
traffic for a given session over that connection. This single connection limits the overall protocol
performance that can be achieved from a single client.

2.1 Sessions and Connections

Performance limitations are especially apparent in environments in which both the client and the server
have multiple NICs, which is often the case when the client is a Windows Server in a data center.
Additionally, a single connection limits the reliability of the protocol. With the exception of SMB3
continuously available shares, any event that results in the loss of an SMB connection usually results in
complete or partial disruption to the application.

Figure 1) SMB 1.0, SMB 2.0, and SMB 3.0 (without Multichannel) allow one TCP connection per SMB session.

Prior to SMB 3.0, the SMB protocol imposed a tight coupling between a CIFS session and the TCP
connection over which the session is established. In other words, a CIFS session is established over one
TCP connection, and all the SMB requests for that session are sent over it. Because throughput is limited
to what can be achieved over a single TCP connection, a single NIC between a client and a server limits
the throughput that can be achieved over a single CIFS session.

3 SMB 3.0 Multichannel © 2019 NetApp, Inc. All rights reserved

Figure 2) SMB 3.0 Multichannel allows multiple TCP connections per SMB session.

In addition to the throughput limitation, the current model lacks network fault tolerance, because a failure
in a NIC or a switch, or a network glitch, can interrupt the session.
Multichannel enables an SMB3 client to establish multiple TCP connections to an SMB3 server, possibly
over multiple NICs or even over a single receive-side scaling (RSS)-capable NIC, and associates a single
CIFS session with the multiple connections. When more than one TCP connection is established, RSS-
capable NICs can use more cores.

Figure 3) With RSS-enabled NICs, SMB 3.0 Multichannel creates four TCP connections per NIC.

2.2 Session Binding and Interface Discovery

Session binding is an important change in the SMB3 protocol that uses multiple connections for a single
session. This mechanism enables the existing SMB3 session to associate with another connection.

4 SMB 3.0 Multichannel © 2019 NetApp, Inc. All rights reserved

Initial session establishment in SMB3 is similar to the previous versions of the protocol. After a session is
established, an SMB3 client performs interface discovery. It then establishes more connections and binds
the existing session to these new connections.
The SessionSetup request goes through the normal authentication process just like a regular session
setup request. The client is required to provide a security BLOB to complete NTLM/ or Kerberos
authentication. Session binding is established after successful authentication.

Multichannel Workflow
Figure 4 describes the workflow for the SMB3 Multichannel feature.

Figure 4) Multichannel workflow for SMB3.

Interface Discovery
Interface discovery is a process to detect any changes in the network. It happens after the initial session
setup and every 15 minutes after that. In the interface discovery process, the client sends a new input-
output control (IOCTL) command (fsctl_query_network_interfaces) to query the list of network
interfaces associated with the storage virtual machine (SVM). Each node responds to the request and
returns the list of available LIFs for the SVM that are currently hosted on that node and the properties of
underlying NICs. The properties returned are:
• The IP address
• The interface index
• The speed of the underlying port
• The RSS/remote direct memory access (RDMA) capability of the port

5 SMB 3.0 Multichannel © 2019 NetApp, Inc. All rights reserved

The client then matches the interfaces from the nodes with available interfaces on the client and
determines how many connections to establish. After alternate connections are established, the client
binds the existing session to each new connection and starts sending subsequent requests over new
connections.
The algorithm to determine the number of connections and the selection of server interfaces depends on
the client implementation. Windows clients by default establish up to four connections per interface and
limit the total number of connections to a given server to 32.

RSS capability in ONTAP

All of the 10G NICs supported in ONTAP are RSS-capable. Even if the NIC is not RSS-capable,
ONTAP simulates RSS by classifying incoming packets based on a software hash. In summary, with or
without RSS, ONTAP is capable of leveraging multiple CPUs for processing incoming packets in both
the driver and the network stack. Therefore, all interfaces are reported as RSS capable, even if the
underlying NIC is not in fact RSS-capable.

Connection selection for requests and responses

After multiple connections are established, the client is allowed to send SMB3 requests pertaining to a
given session over any associated connection. To achieve higher throughput, clients are expected to
distribute requests in an implementation-specific manner. Windows clients use a round-robin
mechanism. The response is sent over the same connection, and ONTAP doesn’t select a connection
for a response.

2.3 Nondisruptive Behavior

The Multichannel feature allows multiple connections to be associated with an SMB session. Therefore,
loss of a subset of connections looks nondisruptive to the application or user, provided that there is at
least one other active connection.
Session state and the open files are not impacted when only a subset of connections is lost. This is the
key change in behavior introduced by Multichannel that makes the protocol more resilient to connection
failures. In addition, on a connection loss, the client replays any outstanding requests over other
connections that are available. Replay semantics are not specific to Multichannel and are supported in
ONTAP 8.2 and later. As a result, the application or user does not experience disruption.
Windows clients attempt to reestablish a new connection each time an existing connection is lost.
When the last connection associated with a session is destroyed, the session is destroyed as if
Multichannel were not present. Therefore, the client might see disruption with the same failure semantics
as with SMB3 without Multichannel.

3 SMB Features Supported with Multichannel

SMB offers multiple features relating to security, performance, and resiliency, and Multichannel
complements the performance effect of these features. Multichannel comes into the picture during the
session setup process.
Features like node referrals and the witness protocol move the client connection, depending on specific
criteria. After the client connection is moved to the partner node, the client negotiates the dialect and the
session setup, so that Multichannel doesn’t break or block any of those features.

6 SMB 3.0 Multichannel © 2019 NetApp, Inc. All rights reserved

Table 1) SMB features that work with SMB3 Multichannel.

SMB Feature Works with Multichannel

Signing Yes

Encryption Yes

Node referrals Yes

Witness Yes

Continuously available shares Yes

NetApp FPolicy® and antivirus Yes (RPC and SMB communication can
leverage Multichannel.)

4 Multichannel Behavior in Cluster Architecture

In an ONTAP cluster, a given SVM can have LIFs hosted on multiple nodes. In the current architecture,
the CIFS runtime state (connections, sessions, open files, and so on) is a node-scoped, in-memory state
that is not shared between multiple nodes. Node1 is not aware of CIFS sessions established on Node2.
Multichannel does not change the scope of the CIFS runtime state. Because a given CIFS session is
visible to only one node, the SMB3 client can be allowed to bind the session to the connections that are
established to the LIFs hosted on only that node. When the SMB3 client queries for a list of interfaces, the
node returns only the locally hosted LIFs.

4.1 LIF Migration

The client can establish multiple connections to the LIFs that are on the same node and bind a single
SMB3 session to all the connections. A Multichannel client connected over multiple LIFs on a node does
not experience the disruption unless all the LIFs are migrated from the node. There is a possibility of one
of the LIFs migrating to another node in a process initiated by an administrator, or perhaps as a result of
auto-revert. When a LIF is migrated, existing connections associated with it are closed. When LIF
migration results in connection loss, the client attempts to reestablish the connection immediately.

4.2 Takeover and Giveback

During the takeover or giveback process, LIFs fail over to the rest of the nodes or revert back to the home
node in the cluster according to failover policy rules. From an SMB3 client perspective, all the
connections are lost, and the client must reconnect to one of the interfaces to establish a new session.
The behavior seen by the client is the same with and without Multichannel. If only some of the LIFs
migrate away, then the behavior seen by the client is similar to a LIF migration.
Note: During LIF migration, takeover, and giveback, after a LIF moves out of the home node, the
connection over that LIF is terminated on the home node. The partner node onto which the LIF
has moved does not participate immediately in the current SMB session. On the next LIF query,
the client establishes a connection over the LIF and associates with the corresponding SMB
session.

7 SMB 3.0 Multichannel © 2019 NetApp, Inc. All rights reserved

5 Setting up Multichannel
Multichannel requires support on ONTAP as well as on the host or client establishing the SMB connection
to ONTAP. The following list details these requirements:
• NetApp ONTAP version: 9.4 or later
• Microsoft Windows Server: Windows 2012 or later
• Microsoft Windows Client: Windows 8.0 or later
• SMB Protocol version: 3.0
• At least one of the following network interface card configurations is required:
− Multiple NICs are available on a node and client to establish multiple TCP connections
− One or more network adapters that support RSS
− One of more network adapters configured with NIC teaming
− One or more network adapters that support remote direct memory access (RDMA)

5.1 Enabling Multichannel on ONTAP

The Multichannel feature can be enabled or disabled by modifying the option is-multichannel-
enabled under the vserver cifs option command directory:
vserver cifs*> options modify -vserver fsvcs -is-multichannel-enabled true

To verify these settings, run the following commands:

vserver cifs*> options show -vserver fsvcs -fields is-multichannel-enabled
vserver is-multichannel-enabled
------- -----------------------
fsvcs true

On Windows, Multichannel is enabled by default. To enable or disable the option, use the following
commands with Windows PowerShell:
Enable/disable multichannel feature. (Default: true)
Set-SmbClientConfiguration -EnableMultiChannel $true

Configure the maximum total number of connections per client/server pair using:
Set-SmbClientConfiguration –MaximumConnectionCountPerServer <n>

Configure the number SMB Multichannel connections per RSS-capable network interface
Set-SmbClientConfiguration -ConnectionCountPerRssNetworkInterface <n>

In addition to these commands, Multichannel adds two more CIFS options, -max-connections-per-
session and -max-lifs-per-session, which are affected during upgrade and revert. The maximum
value for the -max-connections-per-session parameter is 32. The maximum value for the
parameter -max-lifs-per-session parameter is 256.
When the last node in the cluster is upgraded to the 9.4 release, the default values for all the Multichannel
options are populated. By default, Multichannel is disabled.
When the first node is reverted from the 9.4-configured clusters, a revert check forces the user to disable
the Multichannel feature on the node. Therefore, revert causes all Multichannel connections to be closed,
which is disruptive to any clients using this feature.
Note: The Multichannel feature requires some enhancements to correctly handle locks that are usable
over multiple connections. The Multichannel feature can work correctly only if the node hosting
the LIF and the node hosting the volume are upgraded to 9.4. The Multichannel feature cannot be
enabled in a mixed-node cluster. If the administrator tries to enable Multichannel with 9.4 nodes
by modifying the -is-multichannel-enabled option, the operation fails if the effective cluster
version is not 9.4.

8 SMB 3.0 Multichannel © 2019 NetApp, Inc. All rights reserved

5.2 Verify Multichannel Functionality
The Multichannel option in CIFS is to administer the configuration, but the functionality depends on
multiple factors.
Multichannel works only if clients support SMB 3.0 or later, if they can negotiate the SMB 3.0 protocol,
and if multiple NICs are available on a node, allowing the client to establish multiple TCP connections.

5.2.1 CLI Commands

Multichannel functionality can be verified through the cifs session show and the cifs connection
show commands.

cifs session show

The cifs session show command provides the session ID and the connection count parameters. The
number shown in the Connection Count column represents the number of connections created between
the client and the node that are associated with a specific session ID. Each connection has a connection
ID, but this command output is truncated and shows only one connection ID. The cifs connection
show command provides all the connection details.
stg-lab-mc::> cifs session show

Node: stg-lab-mc-02
Vserver: fsvcs
Connection Session Open Idle Connection
ID ID Workstation Windows User Files Time Count
---------- ------- ---------------- ---------------- --------- ------------ ---------------
438731506 5635691983701270642 3s 8
10.10.56.80 VEGA\ 2
Administrator

stg-lab-mc::> cifs session show -session-id 5635691983701270642 -fields connection-count

node vserver session-id connection-id connection-count
------------------- ------- ------------------- ------------- ----------------
stg-lab-mc-02 fsvcs 5635691983701270642 438731506 8

cifs connection show

The cifs connection show command with the -session-id parameter presents the details of the
connections associated with that session ID: connection IDs, LIF details, and the workstation IP. Without
the -session-id parameter, this command shows all the connections and associated session-id
details.
stg-lab-mc::> cifs connection show -session-id 5635691983701270642
Node: stg-lab-mc-02
Vserver: fsvcs
Connection Session Workstation
ID IDs Workstation IP Port LIF IP
---------- --------------------- --------------- ----------- ---------------
438731506 5635691983701270642 10.10.56.80 55470 10.10.59.130
438731509 5635691983701270642 10.10.59.131 55475 10.10.59.130
438731510 5635691983701270642 10.10.59.131 55476 10.10.59.130
438731511 5635691983701270642 10.10.59.131 55477 10.10.59.130
438731512 5635691983701270642 10.10.59.131 55478 10.10.59.130
438731513 5635691983701270642 10.10.56.80 55479 10.10.59.130
438731514 5635691983701270642 10.10.56.80 55480 10.10.59.130
438731515 5635691983701270642 10.10.56.80 55481 10.10.59.130
8 entries were displayed.

9 SMB 3.0 Multichannel © 2019 NetApp, Inc. All rights reserved

6 Performance
One of the key goals of the Multichannel feature is to improve the performances for reads and writes.
Multichannel accomplishes this by creating multiple connections across different interfaces and binding
them to one session. It then uses algorithms like round robin (observed on packet traces) to efficiently
multiplex the requests on this pool of connections. This naturally results in Multichannel sessions using
CPU resources for a longer time compared to non-Multichannel sessions. Therefore, the performance of
Multichannel sessions is higher.
We performed tests to compare the performance of SMB3 with Multichannel enabled or disabled. The
first test was with multiple instances of SQL Server with an OLTP workload. The second test was
performed with a single instance of SQL Server using an OLTP workload to demonstrate the overall
performance gains achieved by enabling Multichannel on a server.
Figure 5 shows a storage-side performance comparison using multiple instances of SQL server with
Multichannel enabled and disabled. The operations per second (Ops) achieved with Multichannel
disabled was ~185,000 at a latency of 821µs. SMB3 with Multichannel enabled shows an improvement of
~60%, with ~280,000 Ops and a latency of ~960µs. The average operation size for all operations in both
test runs was 8,000.

Figure 5) SMB Multichannel comparison—storage side.

Figure 6 shows performance for a single SQL Server instance. The data was collected from Windows
Performance Monitor counters and represents performance as seen from the SQL Server side. This
graph shows that performance with SMB Multichannel enabled was almost 50% better at ~90,000 Ops at
5ms, with ~45,000 Ops at ~5ms with SMB Multichannel disabled. The average operations size for all
operations was 8,000.

10 SMB 3.0 Multichannel © 2019 NetApp, Inc. All rights reserved

Figure 6) SMB Multichannel comparison—client side.

6.1 Multichannel Counters

Multichannel-related counters are in the smb2_ctx object. These are per network, context-based
counters.

Table 2) Multichannel counters.

Counter Name Counter Description

session_bind_ops Number of SMB 3.0 Multichannel session binds between
the client and server
session_token_attempt Number of attempts to grab a session token for SMB 3.0
Multichannel connections
session_token_granted Number of times a session token is granted for SMB 3.0
Multichannel connections
session_token_denied Number of times a session token is denied for SMB 3.0
Multichannel connections
max_time_session_token_held Maximum amount of time a session token is held for SMB
3.0 Multichannel connections
max_time_command_spent_to_acq Maximum amount of time an SMB 3.0 command spends to
uire_session_token acquire a session token

session_token_held_latency_hi Histogram for total time that an SMB 3.0 Multichannel

stogram session token is held

11 SMB 3.0 Multichannel © 2019 NetApp, Inc. All rights reserved

 time_command_spent_to_acquire Histogram for total time taken by SMB 3.0 requests to
_session_token_histogram acquire a Multichannel session token

7 Troubleshooting and Debugging

There are a number of reasons why the Multichannel feature might not work. Follow this workflow to
identify the root cause and fix the problem. If this workflow does not correct your problem, initiate a
support case with NetApp support.

7.1 Multiple connections are not established.

Possible cause: Multichannel is not enabled on the client and/or server.

How to check How to resolve

Check whether Multichannel is enabled on the Enable Multichannel on the client by using the
client side by using the following Windows following Windows PowerShell cmdlet:
PowerShell cmdlet:
Set-SmbClientConfiguration -
Get-SmbClientConfiguration | Select EnableMultiChannel $true
EnableMultichannel
Enable Multichannel on ONTAP (SVM setting) by
Check whether Multichannel is enabled on ONTAP using the following command (advanced mode):
by using the following command:
vserver cifs options modify -vserver
vserver cifs options show -vserver vs1 -is-multichannel-enabled true
vs1 -field is-multichannel-enabled

Possible cause: Multichannel is enabled, but the client has an incompatible network interface
configuration.

How to check How to resolve

Verify that the client has multiple NICs and/or The network interface adaptor must meet the
verify the RSS and RDMA capabilities of the NICs hardware requirements listed in section “Setting up
by using the following windows PowerShell Multichannel”.
cmdlets:
Get-NetAdapter
Get-NetAdapterRSS
Get-NetAdapterRDMA
Get-NetAdapterHardwareInfo
Get-SmbClientNetworkInterface

12 SMB 3.0 Multichannel © 2019 NetApp, Inc. All rights reserved

Possible cause: Client is not running any read/write traffic or is running very little.

How to check How to resolve

Multichannel is used only when there are few I/Os in
Check the client and server versions and
flight at the same time. This is determined by the
determine the workload against the client/server.
WindowSizeThreshold setting. The default value is 8,
Multichannel on Windows Server kicks in as soon which means that it is triggered when there are at
as read/write operations are issued because least eight packets in flight asynchronously.
network fault tolerance is the key priority on the Single small file copy does not trigger
server. Multichannel. Ideally, it does not start for every
Windows client behavior is not different. connection from a client, especially if it is doing
just a small amount of work.

Note: For more information, see this Microsoft article.

7.2 Multichannel is working fine but the number of channels that are established
is different from what is expected.
Possible cause: You might have chosen a different value than the default parameter settings.

How to check How to resolve

Check the client-side settings by using the following If the values are not the default, consider
Windows PowerShell cmdlet: reverting to the default settings.
Get-SmbClientConfiguration | select Multichannel is a client-driven feature.
ConnectionCountPerRssNetworkInterface,Max Therefore, depending upon the algorithm
imumConnectionCountPerServer (round robin, shortest queue length,
processor affinity, and so on), the client
The default value for
running it dynamically decides whether or not
ConnectionCountPerRssNetworkInterface is 4.
it needs more channels. The server, on the
The default value for other hand, obliges if the settings are within
MaximumConnectionCountPerServer is 32. system constraints.
Check the server-side settings by using following
command:
vserver cifs options show -vserver vs1 -
fields max-connections-per-session, max-
lifs-per-session
The default value for max-connections-per-
session is 32.
The default value for max-lifs-per-session is 256.

8 Conclusion
With the introduction of applications like Microsoft SQL Server and Hyper-V over SMB 3.0, performance
has become a key requirement for the SMB 3.0 protocol. ONTAP combined with Multichannel support
brings both performance and resiliency to applications running on the SMB 3.0 protocol.

13 SMB 3.0 Multichannel © 2019 NetApp, Inc. All rights reserved

Where to Find Additional Information
To learn more about the information described in this document, refer to the following documents and/or
websites:
• Configuring SMB Multichannel for performance and redundancy
http://docs.netapp.com/ontap-9/topic/com.netapp.doc.cdot-famg-cifs/GUID-514BE8CE-FD6D-4944-
B4DB-C75578E358B7.html

Version History
Version Date Document Version History Author(s)
Version 1.0 January 2019 Introduction of Multichannel Brahmanna Chowdary Kodavali,
Ron Pratt

14 SMB 3.0 Multichannel © 2019 NetApp, Inc. All rights reserved

Refer to the Interoperability Matrix Tool (IMT) on the NetApp Support site to validate that the exact
product and feature versions described in this document are supported for your specific environment. The
NetApp IMT defines the product components and versions that can be used to construct configurations
that are supported by NetApp. Specific results depend on each customer’s installation in accordance with
published specifications.
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