Otc Dsd V0.06

Asset Servicing Technology
INFORMATION DELIVERY SERVICES DIVISION
REPORTING SERVICES

SPECIFICATION DOCUMENT
DESIGN

Over the counter (OTC)

Document History:
Version Date Begun Date Author Revision Notes
# Completed
0.01 10/20/2008 10/30/2008 RamaKrishna Initial Version
Manchana
0.02 RamaKrishna Business Rules
Manchana
0.03 RamaKrishna Webservice Information update
Manchana
0.04 RamaKrishna Incorporation of ErrorMessage Map
Manchana
0.05 RamaKrishna Screenshots
Manchana
0.06 01/12/2008 08/12/2008 RamaKrishna Transformation Business Engine
Manchana

Over the counter (OTC) DSD.2008
This document is Confidential and All Rights Reserved. Intended for The Bank of York Mellon personnel only.
Any distribution or reproduction without the permission of The Bank of New York Mellon is prohibited.

Design Specifications Document page 2 of 84 OTC_DSD_v0.01_20080528

Table of Contents

1. DOCUMENT REVIEW............................................................................................................................................4
2. DOCUMENT APPROVALS.....................................................................................................................................4
3. OVERVIEW AND SCOPE.......................................................................................................................................4
3.1. OVERVIEW..............................................................................................................................................................4
3.1.1. Scope............................................................................................................................................................6
3.1.2. Compliance Issues ......................................................................................................................................7
3.1.3. Information Security Assessment..................................................................................................................7
3.2. STAKEHOLDERS.......................................................................................................................................................7
3.3. OUTSTANDING ISSUES AND RISKS...............................................................................................................................7
3.4. ASSUMPTIONS..........................................................................................................................................................8
3.5. CONSTRAINTS..........................................................................................................................................................8
3.6. DEPENDENCIES........................................................................................................................................................8
4. SYSTEM ARCHITECTURE ..................................................................................................................................9
4.1. HIGH LEVEL DESIGN GUIDELINES..............................................................................................................................9
4.2. CODING GUIDELINES................................................................................................................................................9
4.3. TECHNICAL ARCHITECTURE.....................................................................................................................................10
4.4. PROCESS FLOWS....................................................................................................................................................14
4.5. COMPONENT ARCHITECTURE....................................................................................................................................24
5. SUBSYSTEM ARCHITECTURE..........................................................................................................................25
5.1. OVERVIEW............................................................................................................................................................25
Tiers....................................................................................................................................................................25
Client Tier...........................................................................................................................................................25
5.1.1. Service Components...................................................................................................................................27
5.1.2. Classes for OTC Implementation...............................................................................................................27
5.1.3. Flex Modules for OTC...............................................................................................................................31
5.1.4. Flex............................................................................................................................................................31
5.1.4.1. Initialization Application.........................................................................................................................31
5.1.4.2. Window Loader.......................................................................................................................................31
5.1.5. Client Flex Code for User Actions (save, reset).........................................................................................31
5.2. FREE OPEN SOURCE SOFTWARE...............................................................................................................................33
5.3. CONCURRENCY......................................................................................................................................................33
5.4. CONTROL AND HANDLING OF EVENTS.......................................................................................................................33
5.5. DISTRIBUTION OF COMPONENTS...............................................................................................................................33
5.6. ERROR, EXCEPTION HANDLING AND FAULT TOLERANCE.............................................................................................34
5.7. INTERACTION AND PRESENTATION.............................................................................................................................34
5.8. MVC OVERVIEW..................................................................................................................................................34
5.9. USER INTERFACE ELEMENTS....................................................................................................................................34
5.10. WINDOWS IN OTC..............................................................................................................................................35
5.11. ENTERPRISE DATA SERVICES.................................................................................................................................57
5.11.1. HolidayCalendarCenter Service..............................................................................................................57
Functional Description: ....................................................................................................................................57
HolidayCalendar Center Enterprise Data Service Data Mapping:.........................................................................................58
5.11.2. HolidayCalendarCurrency Service..........................................................................................................63
HolidayCalendar Currency Enterprise Data Service Data Mapping:....................................................................................64
5.12. SIMPLE SERVICES – Z/SERVICES............................................................................................................................69
5.12.1. Add/Modify/Inquiry of CalendarMonth....................................................................................................69



Shadow zee Service SCRPI001 Data Mapping.....................................................................................................................70
5.12.2. Add/Modify/Inquiry/Delete of HolidayCalendarCurrency.......................................................................71
Functional Description: ........................................................................................................................................................71
Shadow zee Service SCRPI002 Data Mapping..............................................................................................................71
5.12.3. Add/MODIFY/INQUERY/DELETE of HOLIDAYCALENDARCENTER..................................................73
Functional Description...........................................................................................................................................................73
Shadow zee Service SCRPI003 Data Mapping..............................................................................................................73
5.12.4. lookup for globalcentercodecurrency.......................................................................................................75
Copy Book.............................................................................................................................................................................76
5.12.5. lookup for globalcentercodeCENTER......................................................................................................76
5.13. DATA PERSISTENCE..............................................................................................................................................78
5.13.1. Data Caching...........................................................................................................................................78
5.14. RESPONSE TIME...................................................................................................................................................78
5.15. PACKAGE STRUCTURE...........................................................................................................................................78
6. APPLICATION CONFIGURATION....................................................................................................................79
6.1. WEBLOGIC, JDK, AND FLEX VERSIONS...................................................................................................................79
6.2. WLS SETUP ........................................................................................................................................................80
6.2.1. Startup Classes..........................................................................................................................................80
6.3. SHADOWSERVER SETUP .........................................................................................................................................80
6.4. CONFIGURATION AND TRACE LOGGING.....................................................................................................................80
6.4.1. Application Configuration..........................................................................................................................81
6.4.1.1. log4j.properties.......................................................................................................................................81
6.4.1.2. messages.properties................................................................................................................................81
6.5. ERROR MESSAGE MAPS............................................................................................................................................81
6.6. PROXY AND F5 CONFIGURATION..............................................................................................................................81
7. DESIGN SPECIFICATIONS..................................................................................................................................82
8. SCHEMATICS/MODELS/DIAGRAMS................................................................................................................83
8.1. ARCHITECTURAL DIAGRAM.....................................................................................................................................83
9. ACCEPTANCE CRITERIA .................................................................................................................................83
10. TRACEABILITY ..................................................................................................................................................84
11. DESIGN SPECIFICATIONS CONTRIBUTORS...............................................................................................84
12. REFERENCES.......................................................................................................................................................84
13. EVALUATION .....................................................................................................................................................84



1. Document Review

Revisions to the Design Specifications Document (DSD) must be reviewed by the Technical Subject
Matter Experts (SMEs) who contributed to the producing of this document. The contributors listed
below have reviewed the contents of this document. When a contributor provides his/her signature to
this document, then (s) he is indicating that (s) he has carefully:
• Read;
• Reviewed;
• Confirm the contents to be complete, accurate, testable and measurable
Name Subject Matter Area Date

2. Document Approvals
Revisions to the Design Specifications Document (DSD) must be approved by the appropriate
stakeholders. The stakeholders listed below have approved the contents of this document. When a
stakeholder provides his/her approval signature to this document, then (s)she is indicating that (s)he
has carefully:
• Read;
• Reviewed;
• Considered the impact of this document to his/her respective group;
• Considered how this document conforms to corporate principles or directives; and

• Considered how this document fulfills the OTC client needs.
By signing this document, I hereby accept and approve this document as the statement of the System
Requirements allocated to the OTC POC Project.
Name Title Signature Date

3. Overview and Scope

Overview
3.1.

Bank of New York Mellon clients are looking for BNY Mellon to enhance their derivatives
capabilities that include automation and posting of exchange traded derivatives, OTC (Over the
Counter) valuation and OTC accounting. OTC instruments mainly include, but are not limited to,
Swaps. The majority of the Swaps types including Credit Default and Interest Rate.



The reason for focusing on OTC Accounting is due to volumes growing logarithmically plus
currently across BNY Mellon, plus currently the accounting processes for OTC derivatives lack
consistency across BNY Mellon. The product offering varies from client to client depending on a
number of factors, including level of client participation in derivative instruments, complexity of
instrument(s) held and client requirements around reporting. This document will focus on the web
development design to build various web screens that will work as a front end for all child projects that are being
undertaken under the OTC Derivative Parent Project.
BNY Mellon accountants in Everett, Massachusetts use a mainframe-based accounting
system, Institutional Accounting System (IAS), to perform their daily work. While IAS is relatively
functionally rich, its user interface is dated and does not facilitate ease of use. In addition, a number of
products have been added to the system over time. The system was not originally designed to support
these products, so while the system supports them, the user interaction is less than optimal.
The accountants also use the custody system (CMS), and there is a growing need to integrate
the custody and accounting systems in to an integrated view. What makes this issue more pressing is
that with the integration of Bank of New York with Mellon Bank, the Bank of New York legacy
custody system (GSP) is becoming part of the system mix. This integration of disparate systems will
evolve over time as the business, systems and data of the two organizations become more tightly
integrated. This evolving integration would be made easier by a new user interface that abstracts the
changes from the user’s view.
OTC Accounting includes the ability to systematically calculate accrual values on a daily basis,
independently calculate cash events to validate with counterparties/custodians, forecast cash events
of OTC instruments, link OTC instruments to underlying securities to enhance reporting and enhance
Workbench reporting to meet business line and client needs.
The reason for focusing on OTC Accounting is due to volumes growing logarithmically plus
currently across BNY Mellon, the accounting processes for OTC derivatives lack consistency. The
product offering varies from client to client depending on a number of factors, including level of client
participation in derivative instruments, complexity of instrument(s) held and client requirements around
reporting.
Many of the key processes involving Swaps are highly manual, and they are performed by
different teams with no established BNY Mellon guidelines/best practices around the processing or not
performed at all. Such key processes include the securities set up, trade processing, identification of
rates requiring a reset, calculation of accrual periods, calculation of accruals and dividends, and posting
of said accruals and dividends to the General Ledger and cash processing.
The enhancement to the Institutional Accounting System (IAS) platform for OTC Derivative
processing will be a business benefit by providing a reference data repository within IAS to more
efficiently and accurately process OTC Derivative security types. The degree of manual process



performed by the Special Investments Group (SIG) as well as across the Client Accounting and
Reporting Services (CARS) teams will be reduced, which in turn will reduce risk.

Scope
3.1.1.

The purpose behind developing these screens is to provide the users; capabilities to manually
edit and view the information for 240 Holiday Calendars received from Swap’s Monitor (a third party
vendor with whom BNY Mellon has subscription) and allow them to create their own user defined
calendars in case the Holiday Calendars received from Swap’s Monitor do not provide sufficient
information.

The primary business benefit is to have an accurate calendar residing within IAS that will reflect all non-
business days for Global Centers associated with OTC Derivative securities. In addition to that the
Holiday Calendar Reference data will be used by the Life of Bond and Life of Variable rate tables to
calculate the Accruals and Variable rate reset dates based on the Weekend, Holiday & Business day
information provided.

Access Levels & Responsibilities -

a) Product Services will have access to all the screens as they are the only group authorized
to make changes to the Holiday Calendar reference data.
b) EMEA/DSG/CSG/CARS and other Service Delivery groups will have view-only
(Inquiry) access to the Holiday Calendar reference data. If they need to make a change,
they have to send a request to Product Services.

The scope of this project is to define the various web screens that will be developed for use by
various OTC Derivative Child Projects such as Holiday Calendar, Security reference, Life of Bond
and Life of Variable rate.
1) Creation of 4 new web screens that will give the user various edit capabilities to modify
and view the Holiday Calendar reference data:
a. Add
b. Modify
c. Inquiry
d. Delete
2) New screens will display Business, Non-Business (Holiday) & Weekend days along
with all the fields as described in the individual screen definitions in this document.
3) Provide connectivity to the web front end (web-screens) with IAS Holiday Calendar
DB2.



4) Provide view-only (Inquiry) authorization to EMEA/CSG/DSG/CARS and other
Service delivery groups.
5) Provide full authorization (Add, Modify and Inquiry & Delete) to Product Services
group.
6) Creation of a process to capture the date, time and user id that made a change to an
existing calendar or added a new Holiday Calendar for traceability purposes.
7) Creation of a mechanism to distinguish between the user defined calendars and ones
received from Swap’s Monitor.
8) A single sign-on process will be created so that the user can logon using a single user
id and have access to all the functionalities of the Holiday Calendar.

Compliance Issues
3.1.2.

Please refer to the FRS document for details about any compliance issues. No compliance issues are
expected to arise out of this Design Specifications document.

Information Security Assessment
3.1.3.

A Data Security preliminary review has been completed and recommendations are incorporated in this
document.

Stakeholders
3.2.

Refer to the list of reviewers and approvers for the list of stakeholders as it pertains to the Design
Specification document.

Outstanding Issues and Risks
3.3.

1. SiteMinder infrastructure availability: Application uses SitesMinder for URL Protection
and LDAP USER ID/Comet User ID mapping. Availability of siteminder infrastructure has
dependency on Creation of Application ID, WebServer Instance, License acquisition for
SiteMinderAgent and Validation Library. Non-availability of SiteMinder considered as risk.
2. WebServer Instance/ accessabilities: Creation of Webserver instance requires a process
and dependencies with various other groups. Availability ontime for various regions and acts as
dependency for SiteMinder creation and WebSTP integration considered as risk in the
project.
3. WebSTP Integration: There is impact on WebSTP, interms of personalization and policy
creation for the usergroups. This has intern dependencies on LDAP User groups and
WebServer Instance creation. This is considered as a risk.



4. Configuration of ManagedServer: Creation of Managed Server for various and configuration
of Managed Server with Siteminder/Flex libraries and availability of libraries to the
application considered as risk.
5. Interdepencies between groups: The ownership of various functionalities is available
with various groups, there interdependencies between them. The poor commnucation
between groups could hamper the development effort. This is considered as risk in the project.

Assumptions
3.4.

1. SiteMinder infrastructure availability: Application uses SitesMinder for URL Protection
and LDAP USER ID/Kamet User ID mapping. Availability of siteminder infrastructure has
dependency on Creation of Application ID, WebServer Instance, License acquisition for
SiteMinderAgent and Validation Library. Non-availability of SiteMinder considered as risk.
2. WebServer Instance/ accessabilities: Creation of Webserver instance requires a process
and dependencies with various other groups. Availability ontime for various regions and acts as
dependency for SiteMinder creation and webSTP integration considered as risk in the
project.
3. WebSTP Integration: There is impact on webSTP, interms of personalization and policy
creation for the usergroups. This has intern dependencies on LDAP User groups and
WebServer Instance creation. This is considered as a risk.
4. Configuration of ManagedServer: Creation of Managed Server for various and configuration
of Managed Server with Siteminder/Flex libraries and availability of libraries to the
application considered as risk.
5. Interdepencies between groups: The ownership of various functionalities is available with
various groups, there interdependencies between them. The poor commnucation between
groups could hamper the development effort. This is considered as risk in the project.
6. No issues integrating Mainframe Integration Tool with ACF2 or CICS

Constraints
3.5.

• ANRD/ANRT will be used for OTC but they are shared to other applications too.

Dependencies
3.6.
• The Shadow Runtime Environment, z/Services products must be installed in the CICS
regions.

• SiteMinder WebAgent, Siteminder Validation Library



• SunOne WebServer, WebLogic Managed Server, LDAP UserGroups.

• Siteminder Setup and webagent/plugin availability in Application server.

• Group/User and policy definition in Siteminder

• Availability of WebSTP Code for Testing in Test/QA/PROD environment

• Availability of Business objects for the IAS Holiday Calendar and the BO authentication
component

• Flash Player is required on Business Users desktop inorder to access OTCWeb Flex
application.

4. System Architecture
4.1. High Level Design Guidelines
• Use of Flex is being considered for OTC.

Design Guide Lines

Coding Guidelines
4.2.

Flex Coding
Guideines



Technical Architecture
4.3.

• Service Delivary Group, CSG, DSG, EMEA and CARS uses Internet Explorer with flash
plugin is responsible for running Flex UI applications that make amendments to the
HolidayCalender.

• SunOne Webserver is responsible for hosting static pages and is the entrypoint to the Web
application. It acts as a proxy for SiteMinder Policy Server.

• SiteMinder WebAgent acts as addon for SunOne webserver and it helps to interact with
Siteminder PolicyServer.



• SiteMinder PolicyServer is responsible for defining policies, providing URL Protection, and
returning the KAMET ID for the LDAP ID. The Policy consists of a URL and entitled
UserGroups. When a new usergroup requires access to OTC, the group name will be added to
the Policy in the SiteMinder Policy Server. Similarly usergroup doesn’t require access to OTC
and amendment will be made in SiteMinder Policy, similar amendement to be made in
MainFrame, inorder to bypass Authentication Layer. When user requires access to OTCWEB,
he should join the group in LDAP and accessPermissions to be in MainFrame.

• LDAP is responsible for User Profile Management. It consists of UserProfile, Group.

• OTC WebLogic Application Server is responsible for hosting proxies transforming Business
Requirement object to UI object.

• SDW Weblogic Server acts as a host for Enterprise Data Services. It transforms Shadow
Services (one to one mapping of Procedural CICS Business Objects) to Business
Requirement services.

• Flex Runtime Libraries available on WebLogic Application Server are responsible for the
transformation of Flex Object to Java Object and for the generation of Flex UI to
Internet Explorer through SunOneWebServer.

• Validation Library acts as agent for WebLogic to interact with the SiteMinder Policy Server.

• Shadow Server is responsible for delivering the webservices for Business Objects hosted on
MainFrame CICS.

Transformation Business Engine – Overview:
It’s Service Oriented Architectural pattern makes a component as enterprise asset. It
performs, following functionalities, provides extensibility framework and benefits that makes an
Enterprise Service as Asset to the Enterprise:
Functionalities:
1) Object Orientation: Procedural Mainframe COBOL programs to object oriented
Business Requirement Services.
2) Mainframe Modernization: It transforms Mainframe Response/Request/Errors to
RealWorld Business Response/Request/Errors. It implements Business Rules for
each Business Functionality.
3) Overall performance: It improves performance by doing an exercise on message
size/network latency and number of invocations between tiers and saves overhead
on Network Bandwidth and by means of Caching. An exercise on message size at



very minimal processing time, effort and cost comparatively to network latency and
tier invocations, it works for thin and thick clients.
4) Portable communication: It uses JAX-RPC (Java version of SOAP), that makes
application interoperable (portable communication) with any application on
Enterprise.

Transformation Business Engine



5) Vendor neutrality: It follows JSR-181 and J2EE specification, that makes application
follow under Vendor neutral (portable deployment), with minor migration efforts, it
can be migrated from WebLogic to Websphere or JBOSS or OAS.
6) Lowers Cost/ Effort/ Complexity in Integration: This is developed based on
business functionalities between Services Delivery Group, DSG, EMEA, CSG and
CARS that makes them communicate. With its Business functionality, it enables
lowers cost/effort and complexity of integration with their existing applications or
new applications. Webservice user guides will be provided, so that it enables easy
integration with any consumer.
7) Portable UI framework: All the business functionality resides in Transformation
Business Engine; OTC Flex application facilitates the user interface to perform these
business functionalities. With little migration efforts, it can integrated with any UI
framework targeted for different devices or Portal. It provides solution to migrate
the Flex Based UI operations to different UI, which there already using or Outlook or
Lotus Notes.
8) Customized Desktop solutions: Using this Business Services, customized desktop
applications (ticker to perform addHolidayCalendar) can be made with little effort,
similar to functionalities available in Flex based on entitlement. Each customized
application can have operations based on the need and entitlement, since they
decoupled in terms of business functionality (Center and Currency) and
operations (add, modify, inquiry and delete).
9) Reporting: Based on this extensible business framework, it enables application to
generate the reports with little effort on development of Façade.
10) Applicability of Internationalization: This Engine transforms from Mainframe Error
the Business Requirement Response/ Errors, can be extensible to transform to a
different language by means of Internationalization. Since, this is centralized; it
will be applicable for all consumers.
11) Externalization of environment information: It segregates the environment
specific information and application specific constants, externalizes to an XML. It
will be easy task for the movement of application between environments
(Development to QA -> Production) by means of Release notes and changing the
externalized configuration.
12) Extensibility of Portable Transaction Management: This is being developed as J2EE
application server; portable transaction management can be applied between
Business Functionalities by means of JTA.



13) Lowers Maintenance cost: It lowers the maintenance with Business functionality
logging and usage of Business Requirement Real world objects.
14) Reduce Interdependency between Business services: It decouples services with
respective Business functionality, targeted users and consumers/users and deploys
them as different applications. If one application goes down, there is no impact on
different Business Functionality and Business users.
15) Portable communication with Mainframe: It uses Business Logic Interface; in
order to communicate with COBOL programs resides on Mainframe, in a way it’s
making contact with WSDL and its URL, not to Shadow Product specific features like
SLI and etc. As there is a change in Shadow Layer by IBM Message broker because
of economical changes, there is no impact on application because of migration utilities
makes one to one WSDL mapping to copyBook.
16) Minimal Impact on System with change in signature of copybook and
Requirement: As there is a change in signature of the copy book, there is no changes
affects to the downstream applications of the service, since it addreses Business
Requirements. If there is change in Business Requirement, it provides new
operation that caters to new consumers (expect a Requirement change), without
impacting existing consumers.

Process Flows
4.4.

a. Process – Message Flow - HolidayCalendar



b. WebSTP Integration with OTC



STEPS:

1) Business User groups (SDG, DSG, EMEA, CARS and CSG) login into WebSTP.
2) WebSTP sends LDAP UserID and Password to SiteMinder Policy Server.
3) SiteMinder performs Authentication of UserID/Password with LDAP.
4) LDAP performs authentication and sends the response to SiteMinder.
a. Incase of Authenticated User, it sends Kamet ID, LDAP ID, LDAP Group
name to SiteMinder.
b. Incase of Unauthenticated User, it sends the error message to SiteMinder.
5) SiteMinder PolicyServer performs authorization for a particular URL and
UserGroup by means of policy, sends the response to WebSTP Webserver. Inorder to
make new UserGroup to have an access or revoking the privileges for an existing
Group to the OTC application, amendments to the SiteMinder Policy needs to b
updated.
a. Incase of authorization, it returns Kamet ID, SM_SessionID and SM_USER
ID to WebSTP Webserver.
b. Incase of UnAuthorization or UnAuthentication, it sends appropriate error
message to WebSTP WebServer.



6) WebSTP WebServer returns appropriate page with an ErrorCode to the browser.
7) Incase of Authorization/Authentication, it returns an OTCHomePage with Link to
OTC WebServer.

c. OTC Entitlement and Flex application initialization:

STEPS:

1) Business User groups (SDG, DSG, EMEA, CARS and CSG) click on OTCHomePage
Link in WebSTP. SM_UserID, SM_SessionID and KAMET ID will be sent it OTC
WebServer.
2) OTC WebAgent sends the SM_SESSIONID, SM_USERID, KAMETID will be sending
it to SiteMinder PolicyServer.
3) SiteMinder performs authorization by checking against Policy for SM_USER.
4) SiteMinder sends the response to WebAgent.
5) OTC WebServer receives the response from WebAgent takes appropriate action.



a. Incase of unauthorized user, it sends the error page with error code to the
browser.
b. Incase of Authorized User, it forwards the control to OTC Application Server
6) Flex UI application will be loaded to Internet Explorer.
7) Flex application makes a request to OTC Application Server for Entitlements and
GlobalCenterCodes.
8) OTC Application Server makes a request to Controller for Entitlements and Facade.
9) Controller delegates the request to Entitlement Façade.
10) Entitlements Façade makes the getAuthorizedServices request to
HolidayCalenadarCenter or HolidayCurrencyService based on availability to get the
Entitlements.
11) HolidayCalenadarCenter or HolidayCurrencyService, that intern makes call to
Entitlements z/service, to get the entitlements.
12) GlobalCenterCodes Façade makes the getGlobalCenterCodes request to
HolidayCalenadarCenter or HolidayCurrencyService based on availability to get the
GlobalCenterCodes.
13) HolidayCalenadarCenter or HolidayCurrencyService, that intern makes call to
SCRPI004 and SCRPI005 z/services, to get the GlobalCenterCodes.
14) GlobalCenterCodes and Entitlements will be returned to OTC Flex application
15) UI will be personalized based on available entitlements for the user. The request to
GlobalCenterCodes is an asynchronous call; UI won’t hang-up as there is a delay in
response time to get GlobalCenterCodes from Mainframe.

d. addingHolidayCalendar – process Flow:



STEPS:

1) Service Delivery Group enters required information for HolidayCalendarCenter
/HolidayCalendarCurrency and clicks on add.
2) Flex UI performs user Interface Validations.
a. Incase of invalidated data, it displays an error message to the User with
appropriate message.
b. Incase of Valid data, it sends CenterGlobalCenter or CurrencyGlobalCenter
Flex Value objects to the server.
3) Blaze DS transforms the CenterGlobalCenter or CurrencyGlobalCenter Flex
Objects to java Objects, delegated to EDS by means of HolidayCalendarFacade
based on GlobacenterCategory. If it’s Center, it will be delegated to
HolidayCalendar CenterService and to HolidayCalendarCurrencyService incase of
currency.
4) Incase of Center, HolidayCalendarCenter makes a call to SCRPI002 z/service,
HolidayCalendarCurrency makes a call to SCRPI003 incase of Currency.
5) SCRPI002 or SCRPI003 z/ services makes calls to Mainframe SCRPI002 or
SCRPI003 and gets the Mainframe response back.
6) COBOL program returns Mainframe Error to Z/Service and will be forwarded to
HolidayCalendarCenterService or HolidayCalendarCurrencyService Enterprise
Data Services.



7) HolidayCalendarCenterService or HolidayCalendarCurrencyService transforms
Mainframe Response/Error to Business Requirement Response/Error.
8) Control will be returned to HolidayCalendarFacade, Controller to UserInterface.
9) Flex UI receives Response object, interprets the message based on indicator and
takes appropriate action (displaying error or successful message).

e. Modifying HolidayCalendar

STEPS:
1) Service Delivery Group modifies information for HolidayCalendarCenter
/HolidayCalendarCurrency and CalendarMonth and clicks on modify.
2) Flex UI performs userInterface Validations.
b. Incase of Valid data, it sends HolidayCalendarCenter /HolidayCalendarCurrency
Flex Value objects to the server.
3) Blaze DS transforms the HolidayCalendarCurrency or HolidayCalendarCenter Flex
Objects to java Objects, delegated to EDS by means of HolidayCalendarFacade
based on Globacenter Category. If it’s Center, it will be delegated to



HolidayCalendar CenterService and to HolidayCalendarCurrencyService incase of
currency.
HolidayCalendarCurrency makes a call to SCRPI003 incase of Currency for inquiry
and makes call for modify.
6) HolidayCalendarCenter and HolidayCalendarCurrency make a call to SCRPI001 z/
service for inquiry and updating of CalendarMonth.
7) SCRPI001 z/ service makes calls to Mainframe SCRPI001 and gets the Mainframe
response back.

e. Inquerying HolidayCalendar

STEPS:



1) SDG, CSG, DSG, CARS and EMEA enters GlobalCenterCategory, GlobalCenterCode,
Month and Year and clicks on inquiry.
b. Incase of Valid data, it sends enters GlobalCenterCategory, GlobalCenterCode,
Month and Year to the server.
3) Information will be delegated to EDS by means of HolidayCalendarFacade based on
GlobacenterType. If it’s Center, it will be delegated to HolidayCalendar
CenterService and to HolidayCalendarCurrencyService incase of currency.
HolidayCalendarCurrency makes a call to SCRPI003 incase of Currency for inquiry.
6) HolidayCalendarCenter and HolidayCalendarCurrency make a call to SCRPI001 z/
service for inquiry of CalendarMonth.
7) SCRPI001 z/ service makes calls to Mainframe SCRPI001 and gets the Mainframe
response back.
10) Flex UI receives HolidayCalendarCurrency/HolidayCalendarCenter object.
HolidayCalendarCurrency/HolidayCalendarCenter consists of GlobalCalendarCenter/
GlobalCalendarCurrency, Response and CalendarMonth objects. Flex application
interprets the message based on indicator and takes appropriate action (displaying
error) or displaying CalendarMonth and GlobalCenter information.

F. deleting HolidayCalendar



STEPS:

1) Service Delivery Group enters required information for GlobalCenterCategory and
GlobalCenterCode and clicks on delete.
c. Incase of invalidated data, it displays an error message to the User with
d. Incase of Valid data, it sends GlobalCenterCategory and GlobalCenterCode Flex
Value objects to the server.
3) Information will be delegated to EDS by means of HolidayCalendarFacade based on
GlobacenterCategory. If it’s Center, it will be delegated to HolidayCalendar
CenterService and to HolidayCalendarCurrencyService incase of currency.
HolidayCalendarCurrency makes a call to SCRPI003 incase of Currency.
6) COBOL program returns Mainframe Error to Z/Service and will be forwarded to
HolidayCalendarCenterService or HolidayCalendarCurrencyService Enterprise
Data Services.




Component Architecture
4.5.

Model View Controller:

Model View Controller is the name of a methodology or design pattern for successfully and efficiently
relating the user interface (UI) to underlying data models. It supports the reuse of object code and is
a pattern that allows separation of tasks via interfaces that ultimately leads to a reduction in the time it
takes to develop an application and user interfaces.

The MVC pattern has three main components (Figure 1):

1. A Model, which represents the underlying logical structure of the data and the high-level
class associated with it. This object model does not contain any information about the UI. In
this application, model is result of webservices. The Model on the Client side is
HolidayCalenderCenter, HolidayCalenderCurrency, GlobalCenterCurrency,
CenterGlobalCenter and CalendarMonth.

2. A View, which is a collection of classes representing the elements in the UI. The view is
responsible for rendering the model and its state. Flex UI is the view in HolidayCalendar,
typically mxml files (MainContent.mxml, LeftMenu.mxml)

3. A Controller, which represents the classes connecting the model and the view and is used
to communicate between classes in the model and view. This is developed in Flex and java
controller will be resided on OTC application Server.



Figure 1 - MVC

5. Subsystem Architecture
5.1. Overview

The new application will include the following subsystems.

1. Tier Architecture

A new web Tier will be developed using Adobe Flex.

Tiers

The application can be functionally divided into the tiers as described in the following
paragraphs and shown in figure.

Client Tier

This is the top-level tier, responsible for providing the UI (constituting the view in MVC). UI is
rendered within a web browser using a combination Flex Application and ActionScript.

Web Tier

This tier exposes all services to web clients. In the Current architecture Enterprise Data
Services, Controller and Façade will fall in web Tier. The communication between the
Enterprise Data Services and Façade happens by means of HTTP/SOAP. The
communication between Controller and Flex happens by means of HTTP/AMF.



Legacy/Mainframe Tier (Data Storage)

The Legacy/Mainframe Tier is responsible for the reliable persistence of data. The communication between
this tier and the web tier is achieved using the Shadow platform with webservices.

Client Tier
Browser /Flash Plug-in / Flex Application

Intranet HTTP

Web Tier
Web Server / Java Virtual Machine / Servlet
Container/Application Server

SOAP/HTTP

Shadow Z/services Legacy System/Shadow z
Mainframe

Tier Architecture

2. Mainframe Connectivity

Mainframe is connected through DataDirect’s ZServices WebServices.



Service Components
5.1.1.

Interaction with IAS Business Objects will be handled by wrapping auto generated client code for
webservices. Shadow z/Services is the product that enables us to use webservices to communicate with
the mainframe.

Classes for OTC Implementation
5.1.2.
Following Objects are RemoteObjects and ValueObjects exchanged between Flex UI and Java
Wrappers on WebLogic Server.
Class description:
The following Objects are RemoteObjects and ValueObjects exchanged between Flex UI and Java Wrappers on
the WebLogic Server.
Class description:
The following classes are implemented as RemoteObjects and transmitted as Java Objects.
com.bnymellon.iaw.hc.HolidayCalendar:
HolidayCalendar Interface
com.bnymellon.iaw.hc.CurrencyHolidayCalendar:
CurrencyHolidayCalendar is derived class of HolidayCalendar, value/remote object of CurrencyHolidayCalendar
com.bnymellon.iaw.hc.CenterHolidayCalendar:
CenterHolidayCalendar is derived class of HolidayCalendar, value/remote object of CenterHolidayCalendar
com.bnymellon.iaw.hc.GlobalCenterCode:
GlobalCenterCode value objects of GlobalCenterCode.
com.bnymellon.iaw.hc.CalendarDay:
CalendarDay is a value object, represents a day in CalendarMonth.
com.bnymellon.iaw.hc.CalendarMonth:
CalendarMonth is a value object, represents a month.



Class diagrams for Enterprise Data Services:

Following Objects are Enter Data Services, Enterprise Data Objects, ValueObjects, utilities used
and exchanged between EDS and Shadow z/services on WebLogic Server.

HolidayCalendar Currency Service:

HolidayCalendar
Currency Service

HolidayCalendar Center Service:



HolidayCalendar
Center Service

HOlidayCalendar EDS:

Value Objects Class Diagram:

HolidayCalendar
Value Objects

Data Access Objects Class Diagrams:

Service Locators Class Diagrams:



Class diagrams for Services:

Class diagram for utilities:



Flex Modules for OTC
5.1.3.

Flex
5.1.4.

Flex is a highly productive, free open source framework for building and maintaining expressive web
applications that deploy consistently on all major browsers, desktops, and operating systems. Flex
applications can be built using only the free Flex SDK.

5.1.4.1. Initialization Application

The application will load the configuration xml data and the parameter data in the configModel under
ApplicationModelLocator. The event is triggered on each initialization of the Flex application. The config.xml is
located under the IAW/iaw_config./xml directory.

5.1.4.2. Window Loader

The Flex module loader is used to implement the loading transition window for the user requirement. Each
transition window is developed as one Flex module (mx: Module). When the user requests the transition, the
ModuleLoader will load the corresponding module file to display the flex views. This can improve the system
performance and development efficiency.

Client Flex Code for User Actions (save, reset)
5.1.5.

Upon clicking the Save template button at the UI, the values in will be validated by means of
ActionScript and Custom Tags. It constructs RemoteObject in Flex, serializes to JavaObject. The
JavaObject invokes Authentication and appropriate Business Object Shadow Services. Upon
successful operation, it displays the error or success message, based on
Return code from Mainframe. Clicking on Reset at the GUI makes the status of UI to initialization.
<mx:Button id=quot;resetquot; label=quot;Resetquot; click=quot;reset ();quot;/>
<mx:Button id=quot;submitquot; label=quot;Submitquot; click=quot;submit ();quot;/>
private function Submit():void {
var gcCodeString:String = gcCode.text;
var displayErrors:Boolean = false;


errorMsg = quot;quot;;

if(gcCodeString.length<=1)
{
errorCode = quot;1quot;;
var messageString:String = getErrorMessageFromXML(errorCode);
errorMsg = messageString + quot;nquot;;
displayErrors = true;
}
else
{
var substringAt0:String = gcCodeString.substr(0, 1);
var myNumber:Number = new Number(substringAt0);
if(isNaN(myNumber))
{
var messageString:String =
getErrorMessageFromXML(errorCode);
errorMsg = messageString + quot;nquot;;
trace(errorMsg);
}else {
trace(myNumber.toString());
}
}
if(gcDescription.text == quot;quot;) {
var messageString:String = getErrorMessageFromXML(errorCode);
errorMsg = errorMsg.concat(messageString + quot;nquot;);
}
if(displayErrors) {
trace(errorMsg);
Alert.show(errorMsg, quot;Please fix the following errorsquot;);
}else {
errorMsg = quot;Submitting Pagequot;;

var globalcenterCategoryString:String =
gcCategory.selectedLabel == quot;CENTERquot; ? quot;CNTRquot; :
quot;CURRquot;;
var userAuthentication:UserAuthentication = new
UserAuthentication();
userAuthentication.userId = quot;USERIDquot;;
userAuthentication.password = quot;PASSWORDquot;;

if(globalcenterCategoryString == quot;CNTRquot;) {
var centerglobalCenter:CenterGlobalCenter = new
CenterGlobalCenter();
centerglobalCenter.globalCenterCode =
gcCode.text;
centerglobalCenter.globalCenterDescription =
gcDescription.text;
centerglobalCenter.country = country.text;



centerglobalCenter.holidayType =
holidayType.text;

CenterHolidayCalendarService.addHolidayCalendarCenter(userAuthentication,
centerglobalCenter);
} else {
var currencyGlobalCenter:CurrencyGlobalCenter =
new CurrencyGlobalCenter();
currencyGlobalCenter.globalCenterCode =
gcCode.text;
currencyGlobalCenter.globalCenterDescription =
gcDescription.text;

CurrencyHolidayCalendarService.addHolidayCalendarCurrency(userAuthentication,
currencyGlobalCenter);

}

}
}

5.2. Free Open Source Software

The list of Open Source packages:
Log4J – For Logging purpose
The libraries are linked in the code and services invoked via the programming interface. No
modification will be made to the open source code. The code and binaries will be kept in the Harvest
source control.
Development use:
My Eclipse 6.0.1 – For Building WAR
ANT 1.7 - for building and deploying application (Later)

5.3. Concurrency

5.4. Control and Handling of Events

The application does not listen for or act upon any external events other than HTTP requests
generated by application users. All HTTP GET and POST requests are received by the Remote Objects
and passed along to the designated controller for processing.

5.5. Distribution of Components

The IAW/OTC application will be deployed on a Weblogic domain with two active standalone



managed servers. Communications with the CICS transactions (IAS) will be routed through the
Shadow which resides on the mainframe itself and WEB Applications which resides on Weblogic.

5.6. Error, Exception Handling and Fault Tolerance

These exceptions invariably propagate back to the controller that initiated the action. Here
they are caught, logged and translated into a user-friendly message that is attached to the variable map
passed to the Flex rendering the response.

5.7. Interaction and Presentation

5.8. MVC Overview

The application uses MVC framework and employs a Model 2 MVC design.

5.9. User Interface Elements

The OTC presentation layer is composed of the following components.
Flex application and views:
The Flex views provide rich graphical user interfaces for the end users to interact with the
Client Service Workstation application.

Header.mxml Show the header of application.
Footer.mxml Show the footer of application.
The Flex applications file for adding HolidayCalenderCenter
AddPage.mxml and HolidayCalenderCurrency.
The Flex applications file for population of GlobalCenterCode
GloBalCenterCode.mxml for Currency and Center.
The Flex applications file for deleting of GlobalCenter for
DeleteScreen.mxml Currency and Center.
The Flex applications file for modifying and querying the
ModifyInqueryScreeen.mxml data for GlobalCenter, for Currency and Center.
The Flex applications file for generation CalendarMonth for
LowerPane.mxml both Modify and Inquery.
The Flex applications file for generation of operations on
MenuScreen.mxml Entitlements.

Cascaded Style Sheets
CSS will be used to customize Flex views look and feel.

Iaw_flex Main CSS file for OTC POC Applications.

Remote Objects files

CurrencyHolidayCalendarService.as RemoteObject for Currency Holiday Calendar Service
RemoteObject for Entitlements, Add, Modify , Inquiry, Delete
EntitlementBusinessFunction.as etc
CurrencyHolidayCalendar.as RemoteObject for CurrencyHolidayCalendar



CurrencyGlobalCenter.as RemoteObject for CurrencyGlobalCenter
Response.as RemoteObject for Response
UserAuthentication.as RemoteObject for UserAuthentication
CalendarMonth.as RemoteObject for CalendarMonth
CalendarDay.as RemoteObject for CalendarDay
CenterHolidayCalendarService RemoteObject for Center Holiday Calendar Service
CenterHolidayCalendar.as RemoteObject for CenterHolidayCalendar
CenterglobalCenter.as RemoteObject for CenterGlobalCenter

Windows in OTC
5.10.

The application provides the following functionalities

Adding a HolidayCalendar

GlobalCenter Code Lookup

InqueryCalender

Deleting Calendar

Modification of Calendar

Submitting modified CalendarMonth

There are five kinds of operation each Window can perform.
1. Add/Modify/Inquiry/Delete a HolidayCalendarCenter
This functionality allows the user to add HolidayCalendarCenter to IAS.



At Initialization, it gets the values of Global Center Category from XML. Upon Reset, the state of the
panel will be changed to the initialization. Upon Submission, it makes following front-end validations:
1) GlobalCenterCategory should not be empty.
2) GlobalCenterCode should not be empty. It should be 3 letters and should start with
digit.
3) GlobalCenterDescription should not be empty.
4) Country and Holiday Type are optional
After the user validation, it constructs com.bnymellon.iaw.hc.CenterHolidayCalendar RemoteObject
(Flex Object) will be serialized as JavaObject and invokes the following Shadow z/service through
Controller, Façade ->EDS, SCRPI003, and sends the data to the Mainframe. Based on the
returnCode will be available in SCRPI003-RETURN-CODE, it displays the appropriate message:

Sno Operatio SCRPI003-RETURN- Error Code Field1, Message
n CODE Field2,
Field3
1 Add SCRPI003-RETURN- Any Error Any Field System Error. Contact
/Modify/ CODE-99 Code Support



Inquiry/D
elete
3 Add/ SCRPI003-RETURN- 0015 Any Field System Error. Contact
Modify/ CODE-02 Support
Inquiry/D
elete
3 Add SCRPI003-RETURN- 0007 CENTER- Record already exists.
CODE-02 CODE-I Please use modify to
edit the calendar
4 Modify/In SCRPI003-RETURN- 0006 CENTER- Record does not exist
quiry CODE-02 CODE-I for the Global center
code. Please use adds
to enter the global
center code in the
database.
5 Delete SCRPI003-RETURN- 0020 CENTER- Swaps Monitor Global
CODE-02 CODE-I center code cannot be
FUNCTION- deleted.
SW
6 Modify SCRPI003-RETURN- 0008 Any Field Please try again as the
CODE-02 information on the
screen is outdated.
7 Modify SCRPI003-RETURN- 0017 Any Field No update performed
CODE-02 as no changes are
made to the calendar
Inquiry/
Delete
Inquiry/
Delete
10 Add/ SCRPI003-RETURN- 0005 CENTER- Invalid Center Code.
Modify/ CODE-01 CODE-I Please re-enter.
Inquiry/
Delete
11 Add/ SCRPI003-RETURN- 002 FUNCTION- System Error. Contact
Modify/ CODE-01 SW Support


Inquiry/
Delete
12 Add/ SCRPI003-RETURN- 002 PROCESS-SW System Error. Contact
Inquiry/
Delete
13 Add/ SCRPI003-RETURN- 002 LCL-CCY-CD-I System Error. Contact
Inquiry/
Delete
14 Add/ SCRPI003-RETURN- 002 WKEND- System Error. Contact
Modify/ CODE-01 DAY1-I Support
Inquiry/
Delete
Inquiry/
Delete
Inquiry/
Delete
Inquiry/
Delete
Inquiry/
Delete
Inquiry/
Delete
Inquiry/
Delete


Inquiry/
Delete
22 Add/ SCRPI003-RETURN- 002 CRTE-ID-I System Error. Contact
Inquiry/
Delete
23 Add/ SCRPI003-RETURN- 002 UPDT-ID-I System Error. Contact
Inquiry/
Delete
24 Add/ SCRPI003-RETURN- 002 CRTE-DATE-I System Error. Contact
Inquiry/
Delete
25 Add/ SCRPI003-RETURN- 002 CRTE-TM-I System Error. Contact
Inquiry/
Delete
26 Add/ SCRPI003-RETURN- 002 UPDT-DATE-I System Error. Contact
Inquiry/
Delete
27 Add/ SCRPI003-RETURN- 002 UPDT-TM-I System Error. Contact
Inquiry/
Delete
28 Add/ SCRPI003-RETURN- 002 CATEGORY- Invalid Global Center
Modify/ CODE-01 CODE-I Category. Please check
Inquiry/ and re-enter.
Delete
29 Add/ SCRPI003-RETURN- 002 CENTER- Invalid Center Code.
Modify/ CODE-01 CODE-I Please re-enter.
Inquiry/
Delete
30 Add/ SCRPI003-RETURN- 002 CENTER- Invalid Center
Modify/ CODE-01 DESC-I Description. Please re-
Inquiry/ enter.


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