Version and Release Management for ISO Messages. Best Practices. 2 December 2016
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- Eleanore Phelps
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1 2 December 2016
2 Table of Contents Table of Contents Preface Introduction Categorisation into Three Types of Change Determining the Type of Change Frequency of Changes Versions to Support An Example Release Cycle A.1 Appendix 1: Tooling Can Help Reduce Implementation Effort for Technical Changes December
3 Preface This document sets out the best practices for doing version management and release cycle management of ISO messages 1. For now these best practices focus on usage in a many-to-one context, where many Financial Institutions (FI) communicate with one Financial Market Infrastructure (FMI) 2. Global implementation of these best practices is needed for FIs to achieve cost efficiencies, especially when they are active in multiple communities, hence collaborating with multiple FMIs. All Change Requests (CRs) that are applicable to ISO messages as they are used in a particular FMI context as expressed by Usage Guidelines will be divided into three categories representing the nature of the change. From a technical implementation point of view, this leads to qualifying them as requiring no change at all, a technical change to middleware systems because of an update of a technical message element, or a business change requiring an update of back-office systems to accommodate the change in business flows. Note that a business change always implies a technical change as the message version gets updated as soon as one CR impacts a message. Given this categorisation and the expected frequency of the different change types, the best practice is that FMIs upgrade to every new message version of the ISO messages they use, if and when a new version is made available. As some FMI communities require more flexibility, it is permitted to support the previous version in addition. In other words, best practice is to support at least the most recent version, with the possibility to also support the previous version if the particular need exists. This recommendation applies to a steady state situation, so does not apply during migration timeframes where it is common practice to freeze on a particular version until the migration is completed. Upgrading to a new version of a message will be done by applying an annual release cycle that is aligned with the FIN/MT cycle, well-known in the industry. Change Requests for messages received by 1 June of Year N pass through evaluation and implementation to go live on the applicable network (e.g. SWIFTNet InterAct) by the third weekend of November of Year N+1. Given the maturity of the release cycle, it will be applied as of Standards Release 2018, so applied to the Change Requests due by 1 June These best practices also apply to SWIFT XML messages that are not ISO registered. 2 Same discipline should apply to schemes and solutions such as SWIFT Fund Solution. 2 December
4 1 Introduction When it comes to version and release management, the pure ISO standard allows for such an amount of flexibility that Financial Institutions face a hard time achieving cost efficiencies. ISO adoption has most progressed in the many-to-one space, and this document provides a set of best practices for Financial Market Infrastructures to implement in order to help their communities. First we will describe the version management, starting with a categorisation of the types of change applicable to the messages. Next we discuss the impact and occurrence of such changes, which then allows for a clear recommendation on which message version to use. The approach is illustrated with an example. Next an annual release cycle is proposed, detailing the specific milestones. 2 December
5 2 2.1 Categorisation into Three Types of Change Historically, all changes resulting from Change Requests were considered equal, whereas the required implementation effort could be quite different. To remedy this, we propose to classify the impact in a 2 step process: a. First analyse the impact of changes made to ISO base messages, affecting the whole community b. Then refine the precise impact for a specific FMI community taking into account applicable Usage Guidelines We look at this process from the point of view of a sender whose business needs are in essence covered by today s message versions, and who hence desires to minimize impact caused by e.g. extra optional fields being added to serve business areas/geographies where the sender is not active. The analysis is always done at message element level. Combining the findings for all message elements in a message, a conclusion can be drawn regarding the impact on message level. The process is summarized in below picture and explained in more detail below. The picture shows the impact on message level. Looking at the ISO base messages, we identify the following types of impact: a. No impact: there is no Change Request (CR) requiring a change to (any element of) the message, so the message remains unchanged and maintains its current version number. 3 3 Note: In case of changes to the message definition report that do not affect the xml schema (eg, a change of definition, a new business rule, a changed business transaction), the change still falls into the No change category, some analysis may be required and there may still be an impact to the back office systems. 2 December
6 b. Unclassified impact: At least one CR impacts the message. For the worldwide ISO community as a whole it cannot be said whether the impact is optional or mandatory : investigation of the particular usage of the concerned field(s) in a selected FMI community is required to clarify the impact. This will require investigation of the applicable Usage Guidelines. Regardless of the outcome so even if a change becomes optional for a particular FMI community - the version number of the message will increase. c. Mandatory impact: At least one CR impacts the message and concerns a change of which implementation is mandatory by all users. Typical example is the addition of a mandatory field. The version number of the message will increase. Looking at the Usage Guidelines applied to a specific community will allow answering the question Is the field used in this specific community? which in turn leads to the unclassified impact being determined to be either optional or mandatory. An example is the Change Request on a base ISO message that represents the reduction in length of an text field that is optional at base message level, say to reduce it from 35 characters to 20 characters maximum. If the Usage Guidelines indicate that such field is not used at all in the particular community, then the unclassified impact change (i.e. reduction of length of optional field) on the base message becomes optional for this particular FMI community. If the optional field were used in this particular FMI community, the change would become mandatory. So taking into account Usage Guidelines, there are 3 types of changes for a particular community: a. No change: no change to any system as message is unchanged and version number is unchanged. b. Technical change: If the FMI and its community don t want to make use of the new optional features, no change to the back-office is required. There is however a change in version number so a technical change 4 to the systems is still required, resulting in a relatively limited implementation and testing effort. c. Business change 5 : as the FMI and its community have to implement the new mandatory features, an adoption of business flows and the back-office systems is required. Note that a business change always implies a technical change, as the message version number is increased Looking at Technical Changes from Receiving FMI s Point of View In order for the receiving FMI to be able correctly process incoming messages, it needs to express how it will handle messages containing any of the new optional fields deemed unwanted when determining the impact on community level. In practice the FMI will often issue a general policy, indicating that it will either ignore any additional, unwanted information supplied, or that it will reject such messages. Alternatively the FMI can also express this ignore/reject behaviour in the detailed Usage Guidelines. For most FMIs the need for expressing such policy is not new, as it is actually independent of the message standard used. 4 The technical change is the change of the version number in the message identifier, which is part of the namespace (declared in the attribute xmlns of the root element) of the ISO message. 5 The Business change consists of a change that affects the business information in the <Document> element of the ISO message. 2 December
7 2.2 Determining the Type of Change Analysis is to start at the base level by analysing the different Change Requests that apply to base ISO messages. It is straightforward to identify the no impact, and mandatory impact changes. As these apply to the whole community, SWIFT will run this analysis with each Standards Release. The remaining unclassified impact change type requires the cross-checking of community specifications and rules (usage guidelines) against the list of Change Requests. Each FMI will have to run this analysis for each of the ISO services they offer. Tooling can provide automation of such crosschecking. 2.3 Frequency of Changes In well-developed business areas many messages are stable, i.e. not subject to any Change Request, hence falling into the no change category. A substantial number of CRs are related to extension of the functionality (e.g. by adding optional elements), hence leading to a technical change. There is also a smaller category of necessary Business changes, driven by business needs or regulatory changes. To minimize impact on users, the recommendation is to group changes as much as possible in order to minimize the number of releases. This is especially important for the business change category as they have the most significant impact. The proposed way forward to reduce the number of changes is hence twofold: 1. To work with the different Maintenance Working Groups (MWG), PMPG, SMPG and ISO Standards Evaluation Groups (SEGs) so that they incorporate the type of change as a key element in their decisions to accept CRs for inclusion in this year s Standards Release or to push it out to a next year to reduce the number of releases for concerned business areas. 2. Encourage the ISO submitting organisations - which are responsible for the maintenance of the messages to use their influence in the above maintenance process to maximally bundle changes. SWIFT, submitter of approximately 80% of currently available ISO messages, fully supports this approach. 2.4 Versions to Support Given the frequency of the respective change types and the value that new message functionality offers, the benefits of adopting new message versions - if and when they become available - outweigh the testing and implementation efforts, both for the FMIs and for their communities. The best practice recommendation is therefore for each FMI to upgrade to the latest version of each message if and when it becomes available. Exceptionally, the additional support of the previous message version can be accepted. As a result of this best practice, every Financial Institution will be able to use the latest version of each message for the communication with any of the compliant Financial Market Infrastructures it has a business relationship with. 2 December
8 2.4.1 Remark 1: Applicable to Steady State Situation The above best practice to upgrade to the latest version when it becomes available, applies to a stable situation only. It is normal for an FMI to freeze the message versions throughout a migration to the ISO standard to allow its entire community to migrate to one single version. Once the migration is finished, the FMI can then schedule a catch-up and upgrade to the latest version, to start applying the best practice to stay in sync with latest message versions from that point onwards Remark 2: Not a Change Every Year The no change category leads to messages that remain unchanged in the Standards Release process. As such and opposite to the approach with FIN/MT messages there is no increase in version number for these messages in that particular year Remark 3: Limitations to Supporting Two Versions The option for an FMI to support two versions of a message is not available when it concerns a business change to the message, as this represents a mandatory change to be applied to the communicated information Remark 4: Supplementary Data The rules 6 that were defined for the usage of the supplementary data schemas remain unchanged in the context of this best practice recommendation. 2.5 An Example The concepts introduced above are best illustrated with an example. The example is fictitious in the sense that it is not taken from a particular business domain, nor does it intend to present a view on what message changes future Standards Releases will bring Best Practice Scenario: Support Latest Version This scenario illustrates the best practice where an FMI supports a single version of each message only, and upgrades to the new versions when they become available. For an individual message, the below table summarizes the different versions used by the FMI and the Financial Institution, the FMI participant. Year Type of change B \ B B T T \ T B Message version MI supported version FI external version FI back-office version The terminology used in the above table: 1. Year: the calendar year. We assume here that Standards Releases are created once per year. More on that in the release cycle section below. 2. Type of change: either no change ( \ ), technical change ( T ), or business change ( B ) 6 See 2 December
9 3. Message version: the version of an individual message. We initially start with version 1 4. MI supported version: The version(s) of the message supported by the FMI 5. FI external version: The message version that the FI is capable of exchanging externally, e.g. with the FMI. This is the version of the message that is put on the network. 6. FI back-office version: The version of the message that the FI uses internally in his back-office systems. This may be different from what it communicates to the outside world. How to read the table: 1. Different changes apply throughout the years: a business change in year 1, no change in year 2, business changes in years 3 and 4, technical changes in years 5 and 6, no change in year 7, technical change in year 8 and business change in year 9 2. With every business change or technical change, the version number increases. 3. The FMI upgrades to every new version when it becomes available, so moves in lockstep with the message version. The cells marked in yellow indicate an upgrade effort is required by the FMI. 4. As the FI must be able to communicate with the FMI, it must ensure that the message version that it puts out on the network is amongst those supported by the FMI. Same yellow encoding applies and expresses that the output of the FI has to move in lockstep with the supported FMI versions. The effort required can be different throughout the years, depending on the type of change (technical or business). 5. Every time a business change occurs, the FI will have to update its back-office systems with the new version. The yellow marking indicates that the back-office has to be updated 4 times in 9 years. No back-office update is required when it relates to no change or a technical change. The number of (more costly) back-office upgrades is substantially lower than the number of external version upgrades. The effort for implementing the technical changes (years 5, 6 and 8) can be substantially reduced by the introduction of version mediator software as described in Appendix 1: Tooling can help reduce implementation effort for technical changes Exception Scenario: Two Versions Supported by FMI, FI Aiming at Minimum Work This scenario illustrates what happens if the FMI supports 2 versions of the messages to give its community more flexibility when it comes down to upgrade timing. The FI prefers to minimize the amount of work. Year Type of change B \ B B T T \ T B Message version MI supported version ,4 4,5 4,5 5,6 7 FI external version FI back-office version How to read the table: 1. The FMI supports 2 versions when there are at least 2 versions, and where the version upgrade is not caused by a business change which invalidates any previous 2 December
10 version of the message. Therefore in year 3 an FMI can only support version 2, and in year 4 only version 3. However in year 5 it can support both versions 3 and 4 as it concerned a technical change. As a maximum of 2 versions are supported, the FMI has to perform an upgrade in year 6 to support versions 4 and 5. Year 7 brings no change, and year 8 a technical change. The business change in year 9 means that a single version only (version 7) is supported in that year. 2. A technical change implemented by the FMI causes the FI to update its external version if the version used by the FI is no longer supported by the FMI (which supports 2 versions only). This is the case in year 6. The FI will change to the most recent version (version 5 here) for two reasons: a. Cost of moving from version 3 to version 4, or from version 4 to version 5 is equal as a technical change only requires updating the message identifier in the technical headers; b. Moving to latest version increases probability that in upcoming years fewer changes are required. In this example, upgrading to version 5 in year 6 helps the FI to avoid updating its external version in year The FI back-office version used in this scenario is the same as in the previous scenario, as the possible optimisations don t apply to business changes. Compared to the principal scenario, this approach allows to avoid some updates. Please keep in mind that an FI will only enjoy the efficiency gain from this upgrade strategy if all FMIs the FI works with apply this support 2 versions approach. 2 December
11 Release Cycle 3 Release Cycle The above section detailed which message version to use. This section shows the timeline to adhere to when upgrading from one version to another. The annual FIN/MT release cycle is used successfully for over 30 years and is wellknown in the financial industry, both with Financial Market Infrastructures and Financial Institutions. The proposal is therefore 1. To apply an annual release cycle to ISO messages 2. To make such release cycle as similar as possible to the FIN/MT cycle, including all intermediate milestones The below table shows the proposed release cycle for ISO As exact dates of milestones vary slightly from year to year, the table shows the dates applicable to Standards Release 2016 (although the proposed approach is not applied to SR2016). In general there is a high level of alignment between the corresponding steps in both release cycles: a. Number and type of milestones are identical, except for the new end of April ISO milestone explained below b. Milestone dates match well, with minor differences Points worth noting are: 2 December
12 Release Cycle 1. Governance: the FIN/MT cycle is characterized by SWIFT governance 7, whereas with ISO the governance lies with the ISO organisation December documentation milestone a. The quality and level of completeness is similar to what the MT SRG offers b. The evaluation documentation will be published on the website, hence availability will not be restricted to Standards Evaluation Group (SEGs) members only. c. SWIFT will ensure this documentation is also made available on MyStandards April milestone: a milestone that does not exist as such in the FIN/MT cycle is needed in the ISO cycle given the increased importance of Usage Guidelines in that context 4. The go-live date: both FIN MT and ISO will go live in the same Allowable Downtime Window (ADW) which extends over 2 days in that weekend. So after the weekend the new message versions are available for both MT and ISO As explained earlier, this cycle does not mean that there will be new message versions for each message each year, thus only for those that have been changed. As most of the release process steps are already in place or will be in the foreseeable future, proposal is to apply this release cycle as of Standards Release 2018, for which the process starts with the Change Request deadline of 1 June Similar to what was said above for the version management, this describes a best practice recommendation. Some Market Infrastructures may be applying a slightly different approach today, like e.g. sending out a very detailed newsletter in January, thereby avoiding the need to update the Usage Guidelines until they publish the final documentation in November. To the benefit of Financial Institutions connecting to multiple FMIs, Market Infrastructures agree to come to a harmonised cycle with similar deliverables and milestones where possible. 7 ISO messages are subject to ISO governance 2 December
13 Release Cycle A.1 Appendix 1: Tooling Can Help Reduce Implementation Effort for Technical Changes The implementation of technical changes does require an adaptation of IT systems, as the message identifier must be updated in the technical headers. It is possible to avoid updating the back-office systems, which reduces the development and testing effort substantially. The picture below shows two possible setups for a particular message, showing a situation where the back-office is still on message version 3 but where the financial institution must communicate using message version 6 externally (where versions 4, 5 and 6 represent technical changes only!). The solution consists of introducing a small version mediator software component, either by extending the middleware software, or as an additional piece of software. This software component will take as input a message in a certain version, and update the technical headers to output it in the expected version. Similarly the opposite changes will be made for incoming messages, as shown below. 2 December
14 Release Cycle 2 December
15 Legal Notices Legal Notices Copyright SWIFT All rights reserved. Disclaimer The information in this publication may change from time to time. You must always refer to the latest available version. SWIFT Standards Intellectual Property Rights (IPR) Policy - End-User License Agreement SWIFT Standards are licensed subject to the terms and conditions of the SWIFT Standards IPR Policy - End-User License Agreement, available at > About Us > Legal > IPR Policies > SWIFT Standards IPR Policy. Translations The English version of SWIFT documentation is the only official and binding version. Trademarks SWIFT is the trade name of S.W.I.F.T. SCRL. The following are registered trademarks of SWIFT: the SWIFT logo, SWIFT, SWIFTNet, Accord, Sibos, 3SKey, Innotribe, the Standards Forum logo, MyStandards, and SWIFT Institute. Other product, service, or company names in this publication are trade names, trademarks, or registered trademarks of their respective owners. 2 December
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