IBM MERVA ESA Version 4 and MERVA ESA Components Version 4 Begin a New Era for Financial Message Processing

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1 Software Announcement May 4, 1999 IBM MERVA ESA Version 4 and MERVA ESA Components Version 4 Begin a New Era for Financial Message Processing Overview A Strategic Solution for Connecting Financial Institutions MERVA ESA provides message processing and funds transfer functions used primarily in the finance industry. It includes network links to the SWIFT II and Telex networks and to other MERVA installations. Data formats for other network connections can be added. User applications can use the services of the MERVA products via the Application Programming Interface (API) and sequential batch interfaces. The MERVA ESA Components product combines all the additional MERVA ESA features into a single product for easy ordering. Together, MERVA ESA Version 4 and MERVA ESA Components Version 4 form IBM s strategic solution for the interconnection of financial institutions. They replace and improve on MERVA ESA Version 3 and the elements of the MERVA family connected to it. Key Prerequisites The mainframe based elements of MERVA Version 4 run on any IBM System/390 computer with OS/390 (and IMS or CICS ) or VSE (with CICS). Optionally, DB2 is supported for message queuing. The workstation based elements run on Intel based PCs with Windows NT Version 4. Program Number 5648-B B30 Planned Availability Dates MERVA ESA: December 17, 1999 MERVA ESA Components: Workstation based parts: June 25, 1999 Mainframe based parts: March 31, 2000 At a Glance MERVA ESA Version 4 provides: Usage of DB2 for message queuing TCP/IP support for MERVA Link and the connection to the client Performance improvements Enablement of Sysplex exploitable subsystems MQI attachment under VSE/ESA 7x24 support, except for customization The MERVA ESA Components product combines all additional features as part of a single product to simplify ordering: MERVA USE and Branch for Windows NT with and without SWIFT Link MERVA message processing client for Windows NT MERVA import/export facility for Windows NT MERVA Connection/400 and Connection/NT features Directory Services support as a direct extension to MERVA ESA (MVS ) Traffic reconciliation as a direct extension to MERVA ESA (MVS) This summary announcement is provided for your information. representative and/or IBM Business Partner. Please refer to the complete letter for details or contact your IBM IBM Asia Pacific IBM is a registered trademark of International Business Machines Corporation. AP

2 Description MERVA ESA is a scalable software product used to set up and operate financial messaging systems in an isolated or enterprise-wide environment. It is used by financial institutions around the world to: Access financial networks (such as SWIFT and Real-Time-Gross Settlement [RTGS] networks) from a financial institution Access financial networks from a global enterprise perspective Create a service bureau for various network users Interconnect branches within an enterprise Set up an RTGS interconnecting financial institutions Synchronize remote multipurpose applications It is the high level of interoperability of MERVA installations that has been most valued by users around the world when setting up enterprise-wide financial messaging systems. MERVA can be considered middleware software whose main purpose is to interconnect financial applications with financial networks. The product architecture is based on the capability to transfer a message from one point to another in real-time in a very secure and highly reliable way while providing guaranteed delivery full transaction integrity scalable performance This functionality is used mostly by financial institutions to transfer high-value payments around the world. MERVA ESA and its components run on various software platforms: Operating Transaction System Monitor Database OS/390 CICS VSAM, DB2 OS/390 IMS VSAM, DB2 VSE CICS VSAM, DB2 Windows NT N/A UDB MERVA product functionality is based on a set of common services plus individual functions that are needed for certain environments. The functionality of MERVA ESA can be extended by adding optional MERVA product features from the MERVA Components Version 4 product. Message queuing and routing provides MERVA users the capability to define a message flow in which, for example, payments are routed from one person (or one application) to another in a process in which several consecutive steps (which are driven by conditions) must be followed. In the case of a payment, these steps can be, for example: Creating the payment Verifying the payment Correcting the payment Authorizing the payment Releasing the payment Message queuing and routing is the basic functionality of MERVA. Messages are stored in logical queues in indexed or relational database tables (such as VSAM or IBM s Universal Data Base/IBM DB2). These messages are then routed from one queue to another queue based on predefined routing conditions. Queue definition is very flexible. There is no restriction in the number of queues on a certain implementation. Furthermore, queues can be on the same system or on distant MERVA systems, allowing users to establish a cross-system or even a cross-country messaging infrastructure. Routing definition is also extremely flexible. Messages can be routed from any queue to any other queue without restriction. Routing can be conditional or unconditional. Message formatting allows users to adapt MERVA to the different message types used by the external networks and therefore keep the existing applications independent of external message types (which constantly change). Network interfaces give MERVA users the capability to have one channel to manage all external connections to financial networks (such as S.W.I.F.T., Telex, and RTGS systems like EAF, SIC, and MAS). MERVA offers standard network interfaces and permits users to customize those that are specific for a user or a country environment. The standard network interfaces available with MERVA are: SWIFT Link MERVA-to-MERVA Link MERVA-MQI Attachment For MERVA Link a sophisticated message integrity protocol guarantees that no message is lost or duplicated during transfer. For the MERVA-MQI Attachment MQ Series ensures the message integrity. Standard communication protocols such as SNA and TCP/IP are supported. Security features optionally encrypt and authenticate the message to be transferred. Telex and Fax network interfaces are provided by connecting first to specialized Telex and Fax products. Message processing functions provide users all necessary tools to better manage and control the flow of messages. Those functions are: Audit logging Archiving Printing Security functions Monitoring Message processing can be performed on existing 3270 screens (or via emulator) and on an optionally attached MERVA Message Processing Client. Operation services allow all users to customize, administer, and run the MERVA system on a daily basis: Customization services allow users to define all MERVA control data, such as the message type definition, queue definition, routing conditions, network link specifications, printer formats, display formats, and user interface. Administration services help users to define and manage system user access rights, connection links, security keys, log files, and so on. MERVA s global administration capabilities allow you to: Centrally manage SWIFT security keys. All those keys are received at a central level, entered into the system, then distributed and fully managed electronically. There is no longer a need for card reader devices at the branch level. Centrally monitor all connection links and all server states. AP

3 Operation services allow users to operate the MERVA system on a daily basis by ensuring continuous processing and reorganizing files. Application interfaces enable users to interconnect MERVA to existing and future financial applications. The interfaces are: An Application Programming Interface (API), which allows you to: Read and write messages to and from internal queues Route messages from one queue to another Reformat messages Check the syntax of SWIFT messages Execute operator commands User exits. Connectivity features, which allow you to extend the MERVA API (on the workstation, for example, of MERVA USE and Branch) across systems. Therefore, financial applications can reside on remote AS/400 or Windows NT based systems. All other IBM and non-ibm systems can be connected to MERVA using the integrated MQI Attachment. MERVA ESA Components Version 4 This software product provides the following features: 1. MERVA USE and Branch (with and without SWIFT Link) MERVA USE and Branch and MERVA USE and Branch with SWIFT Link consist of the following components: MERVA Base, which includes: Secure Login and Select (SLS). Bilateral Key Exchange (BKE). The BKE service enables the user to automatically generate the bilateral keys necessary for the authentication of financial messages. An API to allow you to develop your own applications and to handle Telex messages. Message queuing and routing as described for MERVA ESA. Message processing functions, allowing you to: Display and print the diagnosis log. Start or stop the automatic printing of messages. Load messages from and unload messages to an external file (using API programs). Purge messages according to the date. All other message processing functions are performed through the MERVA Message Processing Client. MERVA Link. SWIFT Link (MERVA USE and Branch with SWIFT Link only). Telex. MERVA USE and Branch and MERVA USE and Branch with SWIFT Link provide API services to care for Telex messages. The Telex messages can then be forwarded to a Telex station. The Telex station handles all the Telex network-related functions, and can also act as a stand-alone Telex. 2. MERVA Message Processing Client The MERVA Message Processing Client provides a common graphical user interface for MERVA Server Systems (MERVA ESA, MERVA USE and Branch with or without SWIFT Link) for message processing functions. The MERVA Client runs on any Windows NT workstation connecting to the MERVA Server through the TCP/IP protocol or APPC LU 6.2 (CPIC) protocol. The functionality covers navigation through all MERVA message queues authorized for this user in addition to standard message processing functions in a state of the art GUI. The MERVA Client provides the following message processing functions: Message creation. For each SWIFT message type, panels are displayed for the entry of data in the various fields. Checking is carried out on all fields, and cross-field checks are provided where appropriate. Similar to the host functions, address expansion, list selection, and detailed help are provided. Message verification. Verification requires that fields displayed without data must be retyped with the same information as originally entered. Message authorization. Either one or two authorization steps can be specified for messages prior to being sent to the appropriate network. Message editing. Correction of messages that were, for example, incorrectly verified can be carried out using this function. Message displaying, printing, and deleting. Messages are retrieved based on the specified search criteria (for example, transaction reference number or message number) for display, print, and/or deletion. Template handling. Form messages can be saved as templates for later retrieval, update, and processing. The MERVA Client provides the same security as the server for users performing functions on the client. For example, the user must be authorized for the functions he wishes to perform, for the queues he want to access, or for the message types he wants to work with. 3. Connection Features (NT and OS/400 ) The Connection/400 and Connection/NT features allow you to extend the MERVA API of MERVA USE and Branch across systems. This allows financial applications residing on remote AS/400 or Windows NT based systems to be connected to MERVA USE and Branch or MERVA USE and Branch with SWIFT Link (and from there via MERVA-to-MERVA Connection to MERVA ESA). To use Windows NT applications as banking applications on a different system than the one MERVA USE and Branch is running on, messages created on the other system must be transferred to the MERVA system. Messages received from one of the networks must be transferred from the MERVA system to the other Windows NT system. MERVA Connection/NT provides an interface for application programs on another Windows NT system. It is called the Remote MERVA API. Using the -3- AP

4 Remote MERVA API, an application on Windows NT can be created to send messages to MERVA and receive messages from MERVA with a minimum effort. 4. MERVA Import/Export Feature The MERVA Automatic Message Import/Export Facility consists of: The automatic message import process. This process searches in a specified directory for message files. Message files that are found are transferred to a specific message queue. The automatic message export process. A specific MERVA message export queue triggers this process. Messages that are found are transferred to message files of a specific directory. Import/export process profiles. These process profiles allow you to customize the import/export queues, routing conditions, and message directories. Message Transfer: Message transfer can be performed in different ways. Because many products have a file transfer interface, message transfer between MERVA and other message-processing products is done through files. Files can be exchanged through: Local disk if the message-processing products run on the same machine. Global Local Area Network (LAN) drives if the message-processing products run on different PCs but on a common LAN. Diskettes if the message-processing products run on different stand-alone workstations. With the MERVA Automatic Message Import/Export Facility you can automatically: Export messages of different types into message files of different formats. Import message files of different formats into messages of different types. The MERVA Automatic Message Import/Export Facility also offers you: Recovery function. Messages are not lost and are not transferred twice. If an import or export process is abended during a transfer process, the transfer is completed after the next restart of the transfer process. Multiple processing. Several import and export transfers between different directories and queues can be performed at the same time. A separate process profile contains the transfer parameters and the process identification for each process. The respective process owns these process profiles. 5. MERVA Directory Services Feature S.W.I.F.T. s Standing Settlements Instructions/Foreign Exchange (SSI/FX) Directory service enables financial institutions to hold and manage an in-house SSI/FX database to help achieve Straight-Through-Processing (STP). MERVA ESA Directory Services enables users to fully integrate SSI/FX data on an IBM host to be used by user application programs. The complete SSI/FX database is stored on IBM s Universal Data Base/IBM DB2 on the same environment as MERVA ESA. The data is automatically updated by incoming and outgoing SWIFT messages and fully managed by MERVA ESA Directory Services. 6. Traffic Reconciliation Feature The Traffic Reconciliation Feature allows an organization to: Create daily lists of SWIFT traffic activity Analyze online whether SWIFT/Telex messages have been acknowledged or delivered Process online customer inquiries on messages sent Have a standard tool for message post-processing Track all the activities executed upon a message from when it was created to when it was transmitted Monitor the message exchange with remote MERVA systems Generate reports on the message traffic to a specific correspondent The Traffic Reconciliation Feature provides a set of six event monitors: The SWIFT Link all incoming and outgoing messages from and to the SWIFT network. The Telex Link all Telex messages sent and received. The MERVA Link all messages exchanged with other MERVA systems through an intra- or inter-banking network. The MERVA queue management put-off messages into MERVA queues or delete-off messages from such queues. The MQI Attachment all incoming and outgoing messages from and to the MQ Series based network. The MERVA journal logging of all important and security sensitive events to provide a valuable information source for audit, administrative, and management purposes. Each of the six monitors has the capability to intercept and extract data from MERVA and insert that data into a DB2 table. This whole process is done in real-time mode and in parallel with the operation in MERVA. This provides continuous up-to-date message traffic data. Year 2000 These products are Year 2000 ready. When used in accordance with their associated documentation, they are capable of correctly processing, providing, and/or receiving date data within and between the twentieth and twenty-first centuries, provided that all products (for example, hardware, software, and firmware) used with the products properly exchange accurate date data with them. AP

5 Euro Currency These programs are EuroReady. EUROREADY PRODUCTS IBM considers an IBM product to be EuroReady if the product, when used in accordance with its associated documentation, is capable of correctly processing monetary data in the euro denomination and of respecting the euro currency formatting conventions (including the euro sign). This assumes that all other products (that is, hardware, software, firmware and so forth) that are used with this product are also EuroReady. IBM hardware products that are EuroReady may or may not have an engraved euro sign key on their keyboards. Currently, EuroReady status applies primarily to IBM products specific to the EMU countries. Products that are not specific to these countries are deemed to be not ready for euro unless otherwise stated in the product s country-specific specifications. IBM HARDWARE READY IBM supplies certain IBM products which include third party software (pre-loaded or not) and / or third party attached hardware. In these instances IBM is not in a position to assert that these third party products are, in themselves, EuroReady. Therefore such IBM products will be designated as Hardware Ready. Product Positioning MERVA ESA and MERVA ESA Components form IBM s strategic solution for the interconnection of financial institutions, especially via the S.W.I.F.T. network and intranets. They are System/390 products with distributed components on Intel based PCs running Windows NT. Connectivity is reached through APIs, a specific MERVA Link component, and an integrated MQ interface. Trademarks IMS, MVS, MQ, and SmoothStart are trademarks of International Business Machines Corporation in the United States or other countries or both. System/390, CICS, OS/390, DB2, AS/400, and OS/400 are registered trademarks of International Business Machines Corporation in the United States or other countries or both. Windows NT is a registered trademark of Microsoft Corporation. Other company, product, and service names may be trademarks or service marks of others. -5- AP