7 0 Saa Daily Ops Guide

Connectivity
Alliance Access 7.0.20
Daily Operations Guide

This operations guide explains the day-to-day operations of Alliance Access using the Alliance Workstation graphical
user interface. In particular, the document explains how to connect to the SWIFT network, work with outgoing and
incoming messages, resolve queries, and control message exchange. This document is for all Alliance Access users.
15 July 2011
Table of Contents
.Preface .............................................................................................................................................................................6
Part A – Introduction ..........................................................................................................................................7

1 Understanding the Basics ........................................................................................................................... 9
1.1 The Alliance Access Options ................................................................................................................... 9
1.2 Signing on to Alliance Access ................................................................................................................. 9
1.3 The Access Control Window ................................................................................................................. 11
1.4 The File Menu .......................................................................................................................................... 13
2 Using Applications ....................................................................................................................................... 20

2.1 Running Applications .............................................................................................................................. 20
2.2 Standard Menus ...................................................................................................................................... 23
2.3 Shortcut Menus ....................................................................................................................................... 25
2.4 Printing Reports ....................................................................................................................................... 26
2.5 Printing Messages ................................................................................................................................... 27
2.6 Entering Dates and Times ..................................................................................................................... 28
2.7 Sorting Items ............................................................................................................................................ 28
2.8 Rearranging Columns ............................................................................................................................. 29
2.9 Selecting a File ........................................................................................................................................ 31
Part B – Connecting to SWIFT .................................................................................................................33

3 Connecting to the SWIFT Network ........................................................................................................ 35
3.1 Logging in to the SWIFT Network ......................................................................................................... 35
3.2 Scheduling FIN Select or Logout from SWIFT ................................................................................... 39
3.3 Changing the Operating Mode of a Logical Terminal ........................................................................ 39
3.4 Reconnecting Automatically to SWIFT ................................................................................................ 39
3.5 Aborting a Session .................................................................................................................................. 39
3.6 Disconnecting from the SWIFT Network ............................................................................................. 40
4 Monitoring SWIFT Sessions ..................................................................................................................... 42

4.1 Display Logical Terminal Details ........................................................................................................... 42
5 Sending and Receiving InterAct and FileAct Messages from SWIFTNet ............................ 48
5.1 Activating and Deactivating Profiles for SWIFTNet ........................................................................... 48
5.2 Scheduling Automatic Activation or Deactivation of Profiles for SWIFTNet .................................. 51
5.3 Status of SWIFTNet Emission or Reception Session ....................................................................... 52
5.4 Message Emission Processing ............................................................................................................. 53
5.5 Message Reception Processing ........................................................................................................... 55
5.6 Connectivity Failure ................................................................................................................................ 56
5.7 Delivery Notifications to the Back-Office ............................................................................................. 57
5.8 Emission and Reception Appendices .................................................................................................. 58
5.9 Possible Duplicate Indication ................................................................................................................ 59
2 Daily Operations Guide

Table of Contents
6 Monitoring SWIFTNet Profile Sessions ............................................................................................... 60

6.1 Monitoring an Emission Profile Session .............................................................................................. 60
6.2 Monitoring a Reception Profile Session ............................................................................................... 60
6.3 Monitoring Emission and Reception Profiles from the Monitoring Application .............................. 61
7 Managing Message Exchange Sessions ............................................................................................ 63

7.1 Application Interface ............................................................................................................................... 63
7.2 Message Partners and Message Partner Profiles ............................................................................. 63
7.3 Exit Point ................................................................................................................................................... 64
7.4 Sessions ................................................................................................................................................... 64
7.5 Connection Methods ............................................................................................................................... 65
7.6 Preparing the Application Interface for a Transfer Session .............................................................. 68
7.7 Message Partner View ........................................................................................................................... 69
7.8 Starting a Message Exchange Session ............................................................................................... 70
7.9 Controlling Message Exchange Sessions ........................................................................................... 79
7.10 Session Failure and Recovery in Application Interface ..................................................................... 81
Part C – Preparing Messages ...................................................................................................................87

8 Message Preparation ................................................................................................................................... 89
8.1 Preparing Messages ............................................................................................................................... 89
8.2 Types of Messages ................................................................................................................................. 90
8.3 Message Information for SWIFT MT and System Messages .......................................................... 92
8.4 Message Information for SWIFT MX Messages ................................................................................ 95
9 Creating Messages ....................................................................................................................................... 99

9.1 Message Creation Process ................................................................................................................... 99
9.2 Message Creation Window .................................................................................................................. 100
9.3 Message Templates ............................................................................................................................. 103
9.4 Creating a New Message ..................................................................................................................... 108
9.5 Completing Network Details ................................................................................................................ 123
9.6 Completing Operator Comments ........................................................................................................ 124
9.7 Completing Security Details ................................................................................................................ 124
9.8 Routing, Disposing, and Moving Messages ...................................................................................... 125
9.9 Cancelling a Message .......................................................................................................................... 129
10 Approving Messages ................................................................................................................................. 130

10.1 The Message Approval Window ......................................................................................................... 130
10.2 Searching for Messages ...................................................................................................................... 132
10.3 Sorting Messages by Attribute ............................................................................................................ 133
10.4 Message Verification ............................................................................................................................ 133
10.5 Message Authorisation ......................................................................................................................... 138
11 Modifying Messages .................................................................................................................................. 143

11.1 Modify a Message ................................................................................................................................. 143
11.2 Modify Messages in the Text Modification Queue ........................................................................... 150
11.3 Re-authenticating Messages in the Emission Security Modification Queue ............................... 153
15 July 2011 3
11.4 Re-authenticating Messages in the Reception Security Modification Queue .............................. 155
11.5 Modify Messages in the Transmission Modification Queue ........................................................... 158
11.6 Modify Messages in the Modification After Reception Queue ....................................................... 160
Part D – Investigations and Queries ..................................................................................................163

12 Monitoring Alliance Access ................................................................................................................... 165
12.1 Running the Monitoring Application ................................................................................................... 165
12.2 Customising Monitoring ........................................................................................................................ 167
12.3 Monitoring Exceptional States ............................................................................................................. 171
12.4 Investigating Problems Further ........................................................................................................... 172
12.5 Monitoring the Object Windows .......................................................................................................... 173
13 Using the Event Journal Application ................................................................................................. 189

13.1 Types of Events ..................................................................................................................................... 189
13.2 Running the Event Journal Application .............................................................................................. 189
13.3 Searching for Events ............................................................................................................................ 190
13.4 The Event Journal Window .................................................................................................................. 196
13.5 Repeating an Event Search ................................................................................................................. 198
13.6 Printing Reports ..................................................................................................................................... 199
13.7 Displaying Event Details ...................................................................................................................... 199
13.8 Treating Alarms ..................................................................................................................................... 200
13.9 Archiving Events .................................................................................................................................... 201
14 Using the Message File Application ................................................................................................... 202

14.1 Messages and Message Instances .................................................................................................... 202
14.2 The Message File Window .................................................................................................................. 203
14.3 Launch a Search for Messages, Instances, or Message Templates ............................................ 207
14.4 Specifying Search Criteria ................................................................................................................... 209
14.5 Detecting Duplicate Messages ........................................................................................................... 221
14.6 Sort the Message List ........................................................................................................................... 222
14.7 Templates for Message Searches ...................................................................................................... 223
14.8 Printing Reports ..................................................................................................................................... 225
14.9 Handling of Instances ........................................................................................................................... 225
14.10 Display Message Details ...................................................................................................................... 232
14.11 Displaying Instance Details ................................................................................................................. 254
14.12 Display Transmission Intervention Details ........................................................................................ 261
14.13 Displaying System or User Intervention Details ............................................................................... 271
Part E – Usual End of Day Tasks .........................................................................................................277

15 Archiving Messages .................................................................................................................................. 279
15.1 Searching for Live Messages .............................................................................................................. 279
15.2 Completing Live Messages ................................................................................................................. 280
15.3 Archival of Messages ........................................................................................................................... 281
15.4 Archiving Messages Manually ............................................................................................................. 281
15.5 Scheduling Message File Archiving ................................................................................................... 283

Table of Contents
16 Treating Alarms and Archiving Events ............................................................................................. 285

16.1 What is an Alarm? ................................................................................................................................. 285
16.2 Treating Alarms Throughout the Day ................................................................................................. 285
16.3 Treating Alarms Later ........................................................................................................................... 286
16.4 Archiving Events .................................................................................................................................... 286
17 Backing Up and Restoring ...................................................................................................................... 289

17.1 Backup and Restore ............................................................................................................................. 289
17.2 Scheduling Archive Backups ............................................................................................................... 289
17.3 Backing Up an Archive Manually ........................................................................................................ 292
17.4 Scheduling Database Backups ........................................................................................................... 294
17.5 Performing a Manual Backup of the Database ................................................................................. 296
17.6 Scheduling Database Recovery Backups ......................................................................................... 298
17.7 Performing Manual Database Recovery Backups ........................................................................... 300
17.8 Backing Up Templates ......................................................................................................................... 301
17.9 Restoring an Archive Backup .............................................................................................................. 301
17.10 Viewing Archives ................................................................................................................................... 303
18 Reconciling FIN Traffic ............................................................................................................................. 304

18.1 System Messages ................................................................................................................................. 304
18.2 Searching for Messages ...................................................................................................................... 306
Part F – Additional Information .............................................................................................................309

19 Downloading a File over FileAct in Real-Time Mode .................................................................. 311
19.1 Download a File From a Correspondent over FileAct in Real-Time Mode .................................. 311
19.2 saa_rtfilegetrequest .............................................................................................................................. 312
20 Exporting Templates ................................................................................................................................. 315

20.1 Description ............................................................................................................................................. 315
20.2 Tool for Exporting Templates .............................................................................................................. 316
20.3 Messages While Exporting Templates .............................................................................................. 318
21 Unreserving Blocked Messages ........................................................................................................... 319

21.1 Tool for Unreserving Blocked Messages ........................................................................................... 319
21.2 Journalised Events ................................................................................................................................ 320
22 Mapping of InterAct Tags for Alliance Access .............................................................................. 321

22.1 Derivation of Correspondents ............................................................................................................. 321
22.2 Extraction of Keywords ......................................................................................................................... 322
23 Cold Start ........................................................................................................................................................ 323

23.1 FIN Cold Start ........................................................................................................................................ 323
23.2 Store-and-Forward Cold Start ............................................................................................................. 331
.Legal Notices .............................................................................................................................................................335
15 July 2011 5
Preface
Purpose
This operations guide explains the day-to-day operations of Alliance Access using the Alliance
Workstation graphical user interface.
The following operations are described:
• connecting to the SWIFT network
• preparing outgoing messages, processing incoming messages, and files (for FileAct) within
Alliance Access
• resolving queries by monitoring system use, examining events, or displaying details of a

message's history
• controlling the exchange of messages and files (for FileAct) through the Application Interface
• performing end-of-day tasks such as archiving and backing up, or reconciling message traffic
Audience
This guide is for all Alliance Access users.

Part A - Introduction
Part A
Introduction
15 July 2011 7

Understanding the Basics
1 Understanding the Basics

Introduction
This section describes how to sign on and sign off from Alliance Access, and introduces you to
the Access Control application.
1.1 The Alliance Access Options

Overview
Alliance Access consists of applications that perform tasks related to the exchange of messages
using the SWIFT network. You can access the Alliance Access graphical user interface by
selecting either Alliance Workstation or Alliance Access from the Windows Start Programs
menu. The Alliance Access option only appears if you are using Alliance Access at the server.
The Alliance menu contains the following options:
• Workstation runs the Access Control application which is the entry point to the rest of
Alliance Access.
• Installation groups applications that control the installation of Alliance Access.
• Relicensing opens a program that enables you to license or relicense any additional
packages and features that your institution can purchase from SWIFT. For more information,
see "Relicensing" in the Installation and Administration Guide. This menu option only appears
if you have installed the Alliance Access server.
• System Administration groups applications that manage Alliance Access. This menu option
only appears if you are using Alliance Access at the server.
• Help opens the online help system.
• Uninstall Alliance Access opens a window that enables you to remove Alliance Access.
This menu option only appears if you have installed the Alliance Access server.
• Uninstall Alliance Workstation opens a window that enables you to remove Alliance
Workstation. This menu option only appears if you have installed Alliance Workstation.
1.2 Signing on to Alliance Access

Overview
To sign on to Alliance Access, you must know your Alliance Access operator name and
password. Security Officers are responsible for providing you with this information.
Note If you are running Alliance Workstation, then the Alliance Access server to which
you want to connect must have an "active" instance configuration, set up using the
Alliance Control application on your Alliance Workstation.
The Alliance Access server must also be started. If this is not the case, then please
consult your System Administrator.
15 July 2011 9
Signing on for the first time

Before you sign on to Alliance Access for the first time, you must obtain both your operator
name and the two halves of your password from the Security Officers. The halves of the
password consist of a left-hand and right-hand part. To complete the password, simply put both
halves together. The password is always in uppercase.
When you sign on for the first time, you are asked to change your password (see "Changing
your Password" on page 18). Security Definition parameters determine the requirements for
passwords (such as how long you can use the same password, and whether you can reuse
passwords that you have used before). Your Alliance Access Security Officers configure these
parameters. If you are not sure what the requirements are, then check with your Security
Officers.
One-time passwords
Operators and Security Officers can also use One-time passwords (OTP) for the authentication
(user name and password) of users. Operators can also be authenticated through LDAP
repositories.
To sign on to Alliance Access:

1. Log on to the operating system using your Windows user name and password.
2. Select Programs from the Windows Start menu.
3. Select Alliance Access.
4. Select the Workstation option from the sub-menu. The Sign-On screen appears.
5. Enter your Operator name and Password.

The Alliance Access password is case sensitive, so make sure that you enter every
character using the correct case.
6. If Active Instance Visible in Sign-On has been set in the Alliance Control application,
then the Active Instance field appears. If this is the case, then the "active" instance
configuration is shown. This is the Alliance Access server instance to which you connect.
You can also select and activate a different Alliance Access server instance by selecting its
instance configuration from the drop-down list in the Active Instance field. This feature is
mainly for Alliance Workstation users so they can connect easily to different servers.
Click Sign On .

Note If your sign-on attempt to an Alliance Access instance fails for any reason,
then the Active Instance field is not available because from this point on you
are not allowed to change the active instance. If the problem when signing on
was selecting the wrong instance, then you must quit this sign-on window and
restart Alliance Workstation and re-select the instance.
7. If your installation of the Alliance Access server has been configured to use user
passwords, and this is the first time that you have logged on as this operator, then the
Change Password dialog box prompts you to change the password.
Enter your existing password in the Old Password field.
8. Enter a new password in the New Password field. The requirements for passwords (how
long they must be, how long you can use the same password, and whether you can reuse
passwords that you have used before) are configured on the Alliance Access server. If you
are not sure what the requirements are, then check with your Alliance Security Officers.
Remember your password and keep it a secret. Do not write it down. You can change your
password at any time by selecting Change Password from the File menu in the Access
Control window.
9. Enter the new password again in the Retype New Password field, and then click OK .
Note If you do not use Alliance Access for a certain length of time (the Signon
Timeout period), then a dialog box appears. You cannot resume work with
Alliance Access until you re-enter your password in the dialog box and click
OK within a further period of time (the Signoff Timeout period). After the
Signoff Timeout period has passed, you are signed off automatically. The
System Administrator can change the Signon Timeout and Signoff Timeout
period if necessary.
1.3 The Access Control Window

Overview
When you sign on, the first window that you see is the Access Control window.
The active instance that you are signed on to appears at the top of the window.
Note The application icons that you see in the Access Control window may vary. The
available applications depend on your operator profile.
Overview of applications
The following provides a brief description of each Alliance Access application:
• The Application Interface application is used to import and export messages from and to
other sources in your institution.
15 July 2011 11
• The Calendar application is used to manage calendar(s). Within other Alliance Access
applications, operators can use the calendar to schedule automatic operations.
• The Correspondent Information File application allows you to update the Correspondent
Information File (CIF) manually or by importing information from a SWIFT Alliance Bank File,
which contains details of financial institutions.
• The Event Journal application is used to search for events that occur in the system and help
diagnose any problems.
• The Message Approval application is used to verify and authorise SWIFT messages before
they are sent.
• The Message Creation application is used to create SWIFT FIN messages.
• The Message File application is used to monitor the location and status of messages within
Alliance Access.
• The Message Modification application is used to modify SWIFT FIN messages to correct
problems.
• The Monitoring application is used to display continually updated information about all
Alliance Access applications, servers, and message queues.
• The Relationship Management application is used to authorise FIN messages.
• The Routing application is used to define the rules controlling the flow of SWIFT messages
through Alliance Access.
• The Security Definition application is used to define operators on the system and configure
various security parameters (such as password controls).
• The SWIFT Interface application is used to connect you to the SWIFT network and send and
receive SWIFT messages.
• The SWIFT Support application provides general support for use of the Alliance Access
interface to SWIFTNet FIN.
• The SWIFTNet Interface application is used to create and manage emission and reception
profiles for the transmission and the reception of InterAct and FileAct messages.
• The SWIFTNet Support application is used to configure the SWIFTNet connections.
• The System Management application is used to configure and administer your system.
Modes of operation
The mode in which Alliance Access is running can also affect the applications that are available
to you.
Alliance Access can run in either Operational Mode or Housekeeping Mode. Operational Mode
is the normal multi-user mode for operating Alliance Access. Housekeeping mode is a
maintenance mode. By default, only one user can sign on when Alliance Access is in
Housekeeping mode.
By default, only the Security Officers, Supervisors and the System Administrator can use the
System Management application to stop Alliance Access and restart it in a different mode. Other
operators can also be given this permission.
Some applications and some functions within applications can only be used when Alliance
Access is in a specific mode. Other applications and functions are available in both Operational

and Housekeeping mode. Where a specific mode is required to perform a task, this is indicated
at the start of the task.
The following applications are not available in Housekeeping mode:
• Application Interface
• Message Creation
• Message Approval
• Message Modification
• Monitoring
• Relationship Management
• SWIFT Interface
• SWIFTNet Interface
• SWIFTNet Support.
1.4 The File Menu

Overview
You use the File menu in the Access Control window to control system settings, switch
operators, or sign off.
1.4.1 Setting the Refresh Rate

Overview
Use the Set Refresh Rate command to set the rate at which system information, such as the
contents of messages queues, is refreshed on your screen automatically. All screens which are
refreshed automatically also have a manual refresh function which you can use to refresh the
screen immediately.
To set the refresh rate:

1. Select Set Refresh Rate from the File menu.
The Refresh Rate dialog box appears:
2. Click in the Value field and type the duration, in seconds, that you want the data to be
refreshed. The maximum refresh rate is 300 seconds. If you type 0 seconds, then the
refresh option is turned off.
3. Click Modify to confirm your changes.
Note You cannot use the Set Refresh Rate command to change the refresh rate if
your speed mode setting is set to low speed. See "Setting the Speed Mode"
on page 16 for details of how to set the speed mode setting.
15 July 2011 13
1.4.2 Setting Up the Printer

Overview
Use the Print Setup, Page Setup, and Printer Font commands to specify the printer that you
want to use, the page settings and fonts to be used.
Your printer setup:
• applies to all Alliance Access applications except the Application Interface application, which
has its own settings
• applies only to you, and is associated with your Alliance Access operator name.
Note If you install a new printer and set it up as the default printer within Windows while
Alliance Access is running, then you can use the printer from any Alliance Access
application. If you do not set the printer as the default, then you cannot access the
printer until you have used the Alliance Access Print Setup command to specify
the printer.
To set up the printer:

1. If you do want to use the default printer, then select Print Setup... from the File menu.
The Print Setup dialog box appears:
2. Select the Name of the printer that you want to use for printing. The Status, Type, Where
and Comment fields display the printer information as defined by the Windows Print
Manager. If you want to connect to a network printer, then click Network... and select the
network printer from those displayed. If you want to change the properties of the printer,
then click Properties and change the properties as required.
3. Click OK to save the printer settings.
Note If you change the printer settings, then you must quit any applications that are
already running and restart them before you can use the new settings within
the applications.
Specifying the page setup

1. Select Page Setup... from the File menu.

The Page Setup dialog box appears, showing the default page setup details:
2. Change the default page setup details as required. If necessary, select the Size and
Source of the paper, specify the paper's Orientation, and enter the size of the margins.
3. Click OK to save the page settings.
Note If you change the page settings, then you must quit any applications that are
the applications.
Setting the printer font

1. Select Printer Font... from the File menu. .
The Font dialog box appears:
2. Select the Font, Font style and Size of the printer font that you want to use. If necessary,
select the available language script that is appropriate for the language that your computer
is set up for.
Note If you select a proportional font, then different columns of text in your printed
outputs are not aligned properly. If you want text columns to be aligned, then
select a non-proportional font such as Courier.
15 July 2011 15
3. Click OK to save the font settings.
Note If you change the font settings, then you must quit any applications that are
the applications.
1.4.3 Setting the Speed Mode

Overview
Use the Low/High Speed Mode command to set the speed mode setting that your remote
Alliance Workstation must use when connected to an Alliance Access server.
To set the speed mode setting:

1. Select Low/High Speed Mode from the File menu. The Low speed mode settings dialog
box appears.
If you want your Alliance Workstation to use low speed mode when connected to an
Alliance Access server, then select the Low Speed Mode option. This mode is
recommended if you are using a low bandwidth line, such as a telephone line, as it reduces
your Workstation's use of the line.
In this mode:
• the number of records retrieved each time that a list of objects appears, is reduced to 50,
as shown in the Size of pages field
• the Automatic refresh is enabled box is blank, showing that your screen display is not
refreshed automatically for most Alliance Access applications, except when a new object
is added. In the message preparation applications, lists of internal correspondents or
aliases are no longer provided. In the Application Interface application, the details for a
message partner are refreshed if you click the message partner list. Similarly, in the
SWIFT Interface application, Logical Terminal details are refreshed if you click the list.
For details of the Sort allowed on partial lists and Main lists have a grid aspect check
boxes, see steps 3 and 4.
Note If you select the Low Speed Mode option, then you can no longer use the Set
Refresh Rate command from the File menu to change the refresh rate.
2. If you want your Alliance Workstation to use high speed mode when connected to an
Alliance Access server, then select the High Speed Mode option.

This mode is recommended if you are using a high bandwidth line, such as a LAN line.
In this mode:
• the number of records retrieved each time that a list of objects appears, is increased to
1024, as shown in the Size of pages field
• the Automatic refresh is enabled box is checked, showing that your screen display is
refreshed automatically whenever any change occurs to the objects shown.
3. When a list of items appears in a window, you can sort the items by clicking a column
heading (for details, see "Sorting Items" on page 28). Alliance Access sorts a list
completely only if the number of items in the list are equal to or less than 1024 (or 50 in
Low Speed Mode).
You can specify how Alliance Access sorts lists of more than 1024 items (or more than 50
items in Low Speed Mode), by using the Sort allowed on partial list check box:
• if the box is checked, when you click a column heading, then Alliance Access sorts the
1024 items that are currently active (or 50 items in Low Speed Mode), so the list is only
partially sorted. If you display the next "page" of items, then these are correctly sorted,
and so on. Effectively, the list is sorted into separately sorted sets of 1024 items (or 50
items).
• if the box is not checked, when you click a column heading, then Alliance Access does
not sort the list at all.
4. If you want items listed in any window to appear within a grid, then check Main lists have a
grid aspect.
15 July 2011 17
1.4.4 Changing your Password

Overview
Use the Change Password command to change your password at any time. You are
recommended to change your password frequently to guarantee system security.
Note This command is not available if your operator definition is set to use One-Time or
LDAP passwords.
The same applies to the left security officer and right security officer if the
Password: Sec Officer One Time Pwd security parameter is set to Yes.
When you are changing your password, you must remember that good passwords:
• contain a mixture of both lower-case and upper-case characters
• contain numbers as well as letters
• do not consist of the same characters repeated two or more times, for example, do not use
swiftswift as a password.
To change your password:

1. Select Change Password from the File menu. The Change Password dialog box
appears.
a. Type your existing password in the Old Password field.
b. Type a new password in the New Password field. You must remember your password
and keep it a secret. Do not write it down.
c. Type the new password again in the Retype New Password field. This is to ensure
that you did not make an error when typing in the new password.
2. Click OK .
1.4.5 Signing Off from Alliance Access

Overview
Use the Sign off command to quit the Access Control window. Signing off prevents
unauthorised access and frees resources for other processes on your computer and on the
server.

To sign off from Alliance Access:

1. Select Sign off from the File menu. If there are no applications running, then Alliance
Access asks you to confirm your request.
If any applications are open, then an Application Exit dialog box appears. Confirming a
sign-off forces an orderly close of the applications. If any applications are open, then the
dialog box warns you that any unsaved data will be lost.
2. Click OK to confirm or Cancel to abort the sign-off process. If you confirm the sign-off, then
Alliance Access returns you to the operating system.
15 July 2011 19
2 Using Applications
Introduction
This section gives a general overview about how to use the Alliance applications.
It also introduces some Alliance terms that are used frequently in the other Alliance guides.
2.1 Running Applications

Overview
After you sign on as described in "Signing on to Alliance Access" on page 9, the Access
Control window displays icons for the applications that you have permission to use.
There are several ways of running an application from the Access Control window:
• double-click the application icon
• click an application icon and press Ctrl + O or Enter
• click an application icon and select Open from the Application menu (if you are not sure
how to select menus, see "Selecting Commands" on page 20).
You can set different default applications to run when Alliance is in Operational mode and
Housekeeping mode.
All applications operate in a similar way in terms of their windows, menus, and commands.
2.1.1 Selecting Commands

Overview
The names of the menus that you can use are always displayed on a menu bar near the top of
an application window, beneath the name of the window itself.
To select a command from the menu bar in any application:

1. Click the menu name. The menu opens, showing a list of the commands that are available.
2. Click the command name. Alliance attempts to perform the command.
2.1.2 Using Commands

Overview
Many menu commands perform an action on an item. To use these commands, you must select
an item first and then select the menu command. For example, you can run an application from
the Access Control window.
To use a command:
1. Click an application icon.
2. Click Application near the top of the Access Control window, to select the Application
menu. A list of the commands in the menu appears.
3. Click Open from the Application menu. The application opens and starts running.

Using Applications
2.1.3 Running Applications Automatically

Overview
You can select an application to run automatically each time that you sign on.
To select an application to run automatically:

1. Click the icon for the application that you want to run after you sign on.
2. Select Set As Default Application from the Application menu.
2.1.4 Windows and Dialog Boxes

Overview
When you run an Alliance application, the first window that appears usually shows a list of the
items managed by that application.
For example, the Message File application main window shows a list of messages:
When you open certain applications, a search dialog box appears first. For example, when you
run the Event Journal application, the Event Journal search dialog box appears, with the
search criteria fields organised over three different tabs.
15 July 2011 21
After you enter details of the events you want to search for, Alliance searches for these events
and displays them within the main Event Journal window.
In some cases, there is more information than can be comfortably fitted into a window. In these
cases, you can use the View menu to select which details appear.
In many applications, you can double-click an item to see more details about it. The details are
displayed in a dialog box divided into tabs. The dialog box opens in the centre of the window.
You may want to rearrange the display so that the dialog box, toolbar, and menus are all visible
at once. You can also re-size or maximise the main window and save the new size as a setting
using the File/Save Current Setting command.
2.1.5 Status Bars

Overview
Most applications have a status bar and toolbar. As well as the usual indications of whether
Caps Lock, Scroll Lock, and Num Lock are on or off, the status bar is used to display
information about the current context. For example, if you select an option from a menu, the
status bar displays a brief description of what that option does. The current speed mode setting
is also shown in the status bar.
Certain applications also give additional information. In the Message Details dialog box of the
Message Creation application, for example, if you are entering or editing a field in the message
header or in prompted mode, the status bar displays a description of the required syntax of the
current field as well as the current and maximum allowed size of the message.
To display or hide a status bar, select the Status Bar command from the Options menu.
2.1.6 Toolbars
Overview
The toolbar gives direct access to the most commonly used actions within the application. The
Message Details toolbar in the Message Creation application, for example, has functions such
as disposing, routing, printing, switching between the header and text views, and so on.

Using Applications
If you are not sure what a particular button on a toolbar does, then position the mouse pointer
over the button. A short description appears below the button.
To display or hide a toolbar, select Toolbar from the Options menu. This toggles the toolbar on
or off.
2.1.7 Keyboard Shortcuts

Overview
Many commands have shortcut keys which are listed next to them on the menus. Keys that
must be pressed at the same time are separated by a plus sign.
Mnemonics
A mnemonic is a single character associated with a menu, or with a command within a menu.
When a menu or command has a mnemonic, the mnemonic appears as an underlined
character:
• If a menu has a mnemonic, then you can open the menu by pressing the meta key and the
mnemonic character simultaneously. The meta key is a key such as Alt, as defined by your
System Administrator. If you are not sure what the meta key is on your system, then check
with your System Administrator.
• If a command within an open menu has a mnemonic, then you can activate the command
simply by pressing the mnemonic character.
Note Mnemonics are case sensitive.
Accelerators
An accelerator is a combination of keys which appear next to a command on a menu. You can
activate the command without displaying the menu which contains the command by pressing
the accelerator keys simultaneously. For example, in the Access Control window, the Sign off
command on the File menu has the accelerator Ctrl-S, so you can activate the command by
holding down the Ctrl key and pressing S.
2.2 Standard Menus

Overview
Some menus are available in many of the Alliance applications. The following sections describe
how to use the commands in these menus.
2.2.1 File Menu

Overview
Use the following commands on the File menu to save the current settings, refresh the screen,
or quit an application:
Use To
Save Current Settings Save settings and preferences. They become the default settings and
preferences for the application. The positions of any windows that are open at
the moment the Save Current Settings command is run are saved. If you
have rearranged the order of the information within a column (see "Sorting
15 July 2011 23
Use To
Items" on page 28), or the columns in a list (see "Rearranging Columns" on
page 29), then the changed column information or column order is saved.
Refresh Now Refresh a screen with the latest data.
Exit Quit the application.
2.2.2 Edit Menu

Overview
Use the commands on the Edit menu of a main window to copy or select items in a list.
Use To
Copy Copy selected lines from a list into the clipboard.
Select All Select all items in a list.
Deselect All Deselect all items in a list.
You can also select a single item by clicking it. The item becomes highlighted. You can deselect
the item by holding down the Ctrl key and clicking again on the item. In some lists, you can
select more than one item by holding down Ctrl and clicking each required item.
2.2.3 View Menu

Overview
Use the View menu to select which list panes appear within a main window.
2.2.4 Help Menu

Overview
Use the commands on the Help menu to access the online help system or to display information
about your working environment.
Use To
Help Topics Display the contents of the Help system. From here, you can access search
for help on specific topics.
About... Display information about the application you are using.
If you have a problem with your system, then you may be asked to provide details of your
system to help diagnose the difficulty. Selecting the About option on the Help menu displays
useful information about your system, such as the type of server that you are using, and the
current server mode.

Using Applications
2.3 Shortcut Menus

Overview
To display a shortcut menu of the most frequently used commands for an application, click the
right mouse button while using the application.
The commands on a shortcut menu vary depending on the application and the action that you
are performing. For example, if you run the Message File application, select a message, and
then click the right mouse button, the shortcut menu appears.
If the message is opened, then clicking the right mouse button displays a different shortcut
menu.
15 July 2011 25
You select commands from a shortcut menu in the same way that you select commands from a
standard menu.
2.4 Printing Reports

Overview
Many applications have a Print command which you use to obtain a printed report listing items
or item details.
If you select Print from a main window which contains a list of items, then the displayed list is
printed. If you select some items in a list before selecting the Print command, then you can
select to print either all items in the list, or the selected items only.
If you select Print from a window in which the details of a single item appear (for example, the
details of a message), then the details are printed.
To print a report:
1. Run the application.
2. Search for the items you want a report on (if they do not already appear). Searching for
items is described for each application later on in this guide.
3. If you want to print several items in a list, then select them.
4. Select Print from the menu named after the item (for example, the Event menu or the
Message menu). The Print Report dialog box appears.

Using Applications
5. Click Items All to print all the items in a list or Selected to print only selected items. Click
Details All to print all the details for the items or None to print only the details shown in the
window.
6. Check Print Preview if you want to see the report before you print it out.
You can use the following buttons within the Print Preview window:
• Print prints the report out
• Next Page shows the next page of the report
• Prev. Page shows the previous page of the report
• Two Page shows two pages side by side
• Zoom In shows an enlarged view of the report
• Zoom Out shows a reduced view of the report
• Close quits the Print Preview window without printing the report.
7. If you want to print to a file, then check Print to File and enter the File name, or browse for
an existing file (which will be overwritten). The report file is printed to the Report sub-
directory, which is within the directory where Alliance Access is installed on your machine.
8. Click OK .
2.5 Printing Messages

Overview
The message preparation applications (Message Creation, Message Approval, and Message
Modification) can be used to print copies of messages. A print preview allows you to review a
message before sending it to a printer.
You can also configure the number of messages to be printed.
A printer must be configured through a message partner profile with the connection method of
type Print. For more information about how to configure a Print message partner, see the
System Management Guide.
15 July 2011 27
2.6 Entering Dates and Times

Overview
When using an Alliance application, you may need to enter a date and time. Your System
Administrator uses the System Management application to specify the format used for dates
and times on your system.
When entering dates or times, one shortcut that you can use is to specify an offset value: a
value preceded by a plus or minus sign. The result is the current date or time, plus or minus the
specified offset. Entering -2 as the date on 5 February, for example, goes back to 3 February.
In addition, you can also specify an offset for a specific part of the date, or time by specifying
the offset unit:
• for dates: D for days, M for months, and Y for years. -2D goes back two days, -2M goes back
two months, -2Y goes back two years from the current date
• for times: H for hours, M for minutes, and S for seconds. -2H goes back 2 hours, -2M goes
back 2 minutes, -2S goes back 2 seconds from the current time.
2.7 Sorting Items

Overview
When a list of items appears within a window, you can sort and save them into order using any
of the column headings.
For example, you can display a list of events in the Event Journal main window, sorted in Date
& Time order, from most recent date and time to oldest date and time.
To sort items into a different column order, click the title of any column. The items are sorted
into descending order (this is shown by appearing next to Date & Time in the example
above). Clicking the same column title a second time sorts the items into ascending order. This
is shown by appearing next to the heading.
For example, clicking Operator sorts the events into descending alphabetical order of operator
name. Clicking Operator a second time sorts the events into ascending alphabetical order of
operator name.

Using Applications
Normally, when you click a column heading, Alliance sorts a list completely if there are 1024
items or less. This is because Alliance retrieves records in 'pages' of 1024 items. If the Low
Speed Mode option is set (see "Setting the Speed Mode" on page 16), then the page size is set
to 50, so Alliance sorts a list completely only if there are 50 items or less.
If there are more than 1024 items (or 50 items, in low speed mode), then Alliance sorts the
items according to the Sort allowed on partial list setting in the Low Speed Mode Settings
dialog box (see "Setting the Speed Mode Setting" step 3). Depending on this setting, you can
either sort a long list only partially by clicking a column heading, or you may not be able to sort
the list at all. For this reason, when you are searching for items, always refine your search
criteria carefully so that the number of items meeting the criteria is as small as possible.
Note In some applications (for example, the Message File application), you can use a
menu option to sort a list. Menu options sort a list completely, regardless of the
number of items in the list. However, if you use a sort menu option initially and then
sort the same list by clicking a column heading, the sort is subject to the restrictions
described above. To avoid confusion when sorting long lists of items, you may
prefer to use only one sorting method within an application.
Alliance allows each operator to save their sorting information settings for each individual
application. Select Save Current Settings from the File menu after all the changes have been
completed.
2.8 Rearranging Columns

Overview
When a list of items appears within a window, you can rearrange and save the order of the
columns in the list. For example, suppose you have sorted a list of events in the Event Journal
main window in order of operator name.
15 July 2011 29
You would like the Operator column to be the first column on the left in the window.
To move any column to a new position:

1. Click the column heading, and continue to hold the mouse button down.
2. Drag the column heading to its new position. You must drag the column heading completely
past the column heading already at the new position.
3. Release the mouse button.

The Operator column is now the first column in the window.
4. Select Save Current Settings from the File menu to save the new position of the column.

Using Applications
2.9 Selecting a File

Overview
In some applications, you can specify the file name and the path to it. You can enter the path
and file name directly, or use a file browser to identify the file.
For example, in the SWIFT Support application, you can use the Import Message Templates
command to import templates from a file that was previously exported. The Import Message
Templates dialog box includes a Template File field where you either enter the path of a
template file directly, or click the browse button ( ... ) to locate it.
Clicking the browse button opens the file browser, which you can use to navigate through
directories, view files and sub-directories within them, and select the required file.
15 July 2011 31
Some commands enable you to specify whether a file is located on the Workstation or on the
server.

Part B - Connecting to SWIFT
Part B
Connecting to SWIFT
15 July 2011 33

Connecting to the SWIFT Network
3 Connecting to the SWIFT Network

Introduction
The SWIFT Interface application provides all the functions necessary to log on to and off from
the SWIFT network.
3.1 Logging in to the SWIFT Network

Overview
Before you send and receive FIN messages, you must establish a communication session with
the SWIFT network. This involves:
• logging on to Application Control (APC). This is the SWIFT application that establishes and
controls communication between a logical terminal and SWIFT. APC also controls the
initiation and termination of FIN sessions.
• selecting FIN and its facilities. FIN is the SWIFT application through which all FIN messages
between institutions are input and output. Certain messages between institutions and SWIFT
can also be sent and received through the FIN application.
Connecting to SWIFT requires:
• that your logical terminal is configured. For more information, see "Creating and Configuring
Your Logical Terminals" in the System Management Guide.
• PKI secrets are stored on Hardware Security Modules (HSMs).

A logical terminal must have a connection assigned to it in order for you to be able to log on. If
you have installed Alliance Access for the first time or if you have defined a new logical terminal
on an upgraded system, then you may have to assign a connection to the logical terminal you
want to use. For more information, see "Assigning SWIFTNet Connections to a Logical
Terminal" in the System Management Guide.
3.1.1 Connecting to SWIFT

Overview
This section describes how to establish a session with the SWIFT network.
To log on to SWIFT:
1. Run the SWIFT Interface application.
2. If the Logical Terminal list pane is not shown, then select Logical Terminal from the View
menu.
3. If the Logical Terminal list pane does not show the logical terminal state and FIN state,
then select View LT State and View FIN State from the Logical Terminal menu.
4. From the Logical Terminal list pane, select the logical terminal that you want to log on
with.
15 July 2011 35
5. From the Logical Terminal menu, select Login. The Login window appears.
6. Click Login and wait until the logical terminal State changes from Login Ack Wait to
Logged In. This indicates that the logical terminal is logged on to the APC. For more
information about logical terminal states, see "APC States" on page 37.
7. From the Logical Terminal menu, select Select FIN. The Select FIN window appears.
8. In the Mode field, select the mode that you want the logical terminal to work in.
The choices are:
• Send & Receive - to both send messages to and receive messages from the SWIFT
network.
• Send Only - to send messages to the SWIFT network.
• Receive Only - to receive messages from the SWIFT network.
9. If you are logging on using a test and training logical terminal with a working mode of Send
and Receive, then select a training mode:
• Local Test Mode
• Full Function Mode
10. In the LT Directed Queue field, select whether to receive system messages that are
addressed to this specific logical terminal from the SWIFT network.

The choices are:
• Select - to receive system messages
• Do Not Select - not to receive these system messages.
11. In the Delivery Subsets frame, select the delivery subsets for which you want the logical
terminal to receive messages.
The default subsets are:
• NORMAL - to receive all messages that have a normal delivery priority in the Message
Header
• URGENT - to receive all messages that have an urgent delivery priority in the Message
Header
• SYSTEM - to receive all system messages addressed to the destination, but not to a
specific logical terminal
All the delivery subsets not already selected by another logical terminal appear in the
Selected column. Move the delivery subsets for which you do not want the logical terminal
to receive messages to the Available column.
12. Click Select FIN .

The FIN State changes to Select Ack Wait and finally to Selected for..., whatever the
mode that you selected. This indicates that a session has been established with FIN. For
more information, see "FIN States" on page 38.
3.1.2 APC States

Overview
During a communication session, a logical terminal has an "APC state", which you can see by
selecting View/LT State from the Logical Terminal menu.
Possible APC states are:
State Description
Aborting The logical terminal has been requested to abort by the user or the network
and is waiting for an acknowledgement to the Abort request from APC.
Interrupted The session has failed. An automatic reconnection will be attempted shortly, if
the option was enabled before log on (see the Usersync - Retry Timer
parameter in the System Management Guide for more information).
Logged In APC system message transfer is possible over the APC session.
Logged Out No session exists for the logical terminal.
Login Ack Wait Waiting for an acknowledgement to the Login request.
Logout Ack Wait Waiting for an acknowledgement to the Logout request.
Reconnecting The automatic reconnect is currently attempting to reconnect a failed session.

This can only occur if the auto reconnect feature is enabled before login.
15 July 2011 37
3.1.3 FIN States

Overview
A logical terminal also has a "FIN state" which represents the state of communication between
the logical terminal and the FIN. You can see the FIN state of a logical terminal by selecting
View/LT State from the Logical Terminal menu.
Possible FIN states are:
State Description
Aborting The logical terminal has been requested (by the user or the network) to abort.
Awaiting the acknowledgement to the Abort request from FIN.
Interrupted The FIN session has failed. If auto reconnect is enabled, then the logical
terminal automatically attempts to re-select after the APC has been
established.
Not Selected No FIN session exists for the logical terminal.
Quit Ack Wait Waiting for an acknowledgement to the Quit request.
Re-selecting This indicates that the logical terminal is attempting to re-select a failed FIN
session. This FIN state can only occur if the auto reconnect feature is
enabled.
Select Ack Wait Waiting for an acknowledgement to the Select request. This state is transient.
Selected for Input Selected for input only. You have selected the logical terminal for sending
messages to FIN, but not for receiving any messages from FIN.
Selected for Output Selected for output only. You have selected the logical terminal for receiving
messages from FIN, but not for sending any messages to FIN.
Selected I/O Selected for input and output. You have selected the logical terminal for
sending and receiving messages from FIN.
3.1.4 Connection Failures

Overview
If your attempt to connect is rejected by the SWIFT network, then you are sent a negative
acknowledgement (NAK). To determine why a connection attempt has failed, search the event
journal for the associated event and examine the details provided.
To search Event Journal:

1. Run the Event Journal application.
2. If the Search window is not displayed, then select Search from the Event menu.
3. Click the Class and Severity tab.
4. Make sure that only Communication is selected in the Class/Selected list box.
5. Click Search .
6. When the search operation has finished, double-click the event for which you want to
display details.
7. Look for the NAK Code in the Journal text field. The meaning of this code is described in
the User Handbook.

3.2 Scheduling FIN Select or Logout from SWIFT

Overview
You can automate FIN Select or Logout from SWIFT. For more information, see the System
Management Guide.
3.3 Changing the Operating Mode of a Logical

Terminal
Overview
Within Alliance Access, there are two modes in which the logical terminal operates, that is,
manual and automatic. The operational mode of a logical terminal can be changed at any time,
even if it is currently logged into APC/FIN.
For more information, see the System Management Guide.
3.4 Reconnecting Automatically to SWIFT

Overview
Sometimes the session of a logical terminal with the SWIFT network can be interrupted while
you are logged on. If you have enabled the auto reconnect feature, then Alliance Access
attempts to reconnect automatically the logical terminal to the same SWIFT session.
Parameters can be configured that determine the number of times, how often and for how long
auto reconnect is attempted. For more information, see "Classes of Configuration Parameters -
Network" in the System Management Guide.
To enable or disable auto reconnect:

menu.
3. Select the logical terminal for which you want to enable or disable automatic reconnection
to APC/FIN.
4. From the Logical Terminal menu, select Enable Re-Connect or Disable Re-Connect.
Note For the Enable Re-Connect command to work, you must select it before you
begin Login and Select for a logical terminal.
3.5 Aborting a Session

Overview
Use the Abort command to abort the communication session of a logical terminal that is not
responding. The operation of Abort depends on the status of your logical terminal at the time
that you use the command. You are warned which logical terminals are using the connection
before the Abort command takes place. After an Abort command, Login and Select can take
place normally for all logical terminals.
15 July 2011 39
To abort a communication session:

menu.
3. Select the logical terminal that you want to abort.
4. From the Logical Terminal menu, select Abort.
5. Click OK to confirm that you want to abort the logical terminal or click Cancel to quit
without aborting any logical terminals.
In some cases, you are shown a list of the other logical terminals sharing the same line as
the aborting logical terminal. These logical terminals are also aborted, if you confirm the
operation.
3.6 Disconnecting from the SWIFT Network

Overview
To terminate a SWIFT session, the logical terminal must be disconnected from FIN and then
logged off of APC.
To disconnect from FIN:

menu.
3. Select the logical terminal that you want to disconnect.
4. From the Logical Terminal menu, select Quit FIN.

The following window appears:
Quit FIN window
5. In the Next Select field, select when you want to enable the Select FIN command again for
this logical terminal.
The choices are:
• Restricted Until - lets you specify a date and time before which the next login is
forbidden for this particular logical terminal. The date and time specified must be within
seven days of the current date and time.
• No Restriction on Next Select specifies that you can run the Select FIN command at
any time.

6. Click Quit FIN .

A Quit request message is sent to terminate the FIN session for the specified logical
terminal. The Quit request is sent to FIN only after it has received all outstanding
acknowledgements (when the FIN Waiting Ack counter in the Logical Terminal Details
window is 0).
7. Wait until the FIN State becomes Not Selected (in the Logical Terminal list pane).
8. From the Logical Terminal menu, select Logout. The following window appears:
9. In the Next Login field, select when you want to enable the Login command again for this
logical terminal.
The choices are:
• No Restriction on Next Login lets you log on again using this logical terminal without
restriction.
• Restricted Until lets you specify a date and time before which the next login is forbidden
for this particular logical terminal. The date and time specified must be within seven days
of the current date and time.
Warning You cannot disable this restriction once it has been set. Be very careful when
entering a Next Select date and time.
10. Click Logout .

The APC application for the selected logical terminal is terminated. The network can no
longer send APC messages for that logical terminal.
Note Quit messages are not sent to the print queue. To print quit messages, you
have to change the routing rules.
15 July 2011 41
4 Monitoring SWIFT Sessions

Introduction
Details of your connection to SWIFT can be monitored using the SWIFT Interface application.
This includes monitoring:
• the communication status of a logical terminal
• the messages that are queued for the logical terminal to send
This section describes how to perform this monitoring using the functions available from the
SWIFT Interface application.
4.1 Display Logical Terminal Details

To display logical terminal details
2. The Logical Terminal - SWIFT Interface main window appears. If the list of logical
terminals is not shown, then select Logical Terminal from the View menu.
3. Double-click the logical terminal that you want to monitor.

The Logical Terminal Details window appears, with a choice of the following:
• Session Status tab
• Session Details tab
• Connection Details tab
• Schedule Details tab.
4.1.1 Session Status Tab

Description
The Session Status tab displays details about the communication status of a logical terminal
and any messages that are queued for the logical terminal to send.

Monitoring SWIFT Sessions
Example of Logical Terminal Details - Session Status tab
Field descriptions
Operating Mode
Specifies the operating mode of the selected logical terminal, either manual, or automatic.
Field descriptions - FIN session status

Status
Specifies the status of the FIN session. For more information, see "FIN States" on page 38.
Output sequence number
Specifies the last output sequence number received from SWIFT to the selected logical
terminal.
Input sequence number
Specifies the last input sequence number sent to SWIFT by the selected logical terminal.
Waiting ACK
Specifies the number of messages sent by the selected logical terminal, for which an ACK or
NAK has not yet been received.
SYSTEM ready queue
Specifies the number of FIN or APC messages with a SYSTEM priority that have been queued
for transmission and are waiting to be sent to the network by the selected logical terminal. This
number includes the number of system messages which have been sent but not yet
acknowledged.
URGENT ready queue
Specifies the number of FIN messages with an URGENT priority that have been queued for
transmission and are waiting to be sent to the network by the selected logical terminal. This
number includes the number of FIN messages with urgent priority that have been sent but not
yet acknowledged.
NORMAL ready queue
Specifies the number of FIN messages with a NORMAL priority that have been queued and are
waiting to be sent to the network by the selected logical terminal. This number includes the
number of FIN messages with normal priority that have been sent but not yet acknowledged.
15 July 2011 43
Field descriptions - APC session status

Status
Specifies the status of the APC session. For more information, see "APC States" on page 37.
Output sequence number
Specifies the last output sequence number received from SWIFT to the selected logical
terminal.
Input sequence number
Specifies the last input sequence number sent to SWIFT by the selected logical terminal.
Waiting ACK
Specifies the number of messages sent by the selected logical terminal, for which an ACK or
NAK has not yet been received.
SYSTEM ready queue
Specifies the number of FIN or APC messages with a SYSTEM priority that have been queued
for transmission and are waiting to be sent to the network by the selected logical terminal. This
number includes the number of system messages which have been sent but not yet
acknowledged.
4.1.2 Session Details Tab

Description
Displays details of the selected session.
Example of Session Details tab
Field descriptions
APC session number
If the logical terminal is not logged in, then this field contains the session number of the last
APC session opened by the selected logical terminal. If the logical terminal is logged in, then
this field contains the current APC session initiated by the selected logical terminal.
FIN session number
If the logical terminal is not in session with FIN, then this field contains the session number of
last FIN session opened by the selected logical terminal. If the logical terminal has selected the
FIN application, then this field contains the current FIN session initiated by the selected logical
terminal.

Selected Delivery Subsets

Options are:
• System
• Urgent
• Normal
Logical Terminal Directed Queue
Specifies whether the logical terminal receives system messages addressed to it from the
SWIFT network.
Actual window size
Specifies the number of messages that can be sent to the network in the current FIN sessions
without having to wait for an acknowledgement from FIN. For more information, see "Creating
and Configuring Your Logical Terminals" in the System Management Guide.
4.1.3 Connection Details Tab

Description
The Connection Details tab displays the SWIFTNet connections assigned to the logical
terminal.
Example of Connection Details tab
Field descriptions
Requested window size
The requested window size when a FIN session is opened.
Sequence
The sequence number (1 to 4) indicates the order in which the connections are used when
connecting to FIN, or in case of failure.
Conn Name
The name of the connection assigned to the logical terminal.
If the connection is not in use, then (not used).
Authoriser DN
The Authoriser DN assigned to the SWIFTNet connection.
15 July 2011 45
An Authoriser DN only appears if a user has assigned a specific Authoriser DN to the

connection. A user can do this with Use Specific Authoriser DN option in the SWIFT Interface
application.
The format of the distinguished name is described in the SWIFTNet Naming and Addressing
Guide.
CID Signing DN
The CID Signing DN is the Distinguished Name of the PKI certificate holder in the context of
FINCopy.
A user can assign a CID Signing DN to a connection by specifying the distinguished name in
either of the following options:
• in the Use Specific Authoriser DN option, when assigning a connection to a SWIFTNet

Emission Profile in the SWIFTNet Interface application.
• in the Use Specific CID Signing DN option, when assigning a SWIFTNet connection to a
logical terminal in the SWIFT interface application
For more information, see the System Management Guide.
4.1.4 Schedule Details Tab

Description
The Schedule Details tab displays the scheduled activities of a particular logical terminal.
Scheduled actions are listed with their attributes. The actions are prioritised by date, type, and
set time of execution.
For more information about scheduling, see "Configuring the Calendar and Scheduling
Processes" in the System Management Guide.
Example of Schedule Details tab
Field descriptions
Category
Use this option button to change the category of the schedule. The categories available are
initialised using the Calendar application. If you change the category of the schedule, then all
existing scheduled actions for the concerned logical terminal are cancelled.
Choices are:
• Every day: when this option is selected, no particular day is specified. The set action is
carried out every day, at the same time.

• Specific day: when this option is selected, any day from Sunday to Saturday can be
selected.
• Business day: when this option is selected, specific days from the business week may be
selected (peak working day, normal working day, holiday).
• Business week: when this option is selected, you may select specific days from the
business week (first working day of the week, last working day of the week, other working
day of the week, holiday).
Only one schedule category can exist for a logical terminal. After selecting from the Category
option button, use the Modify command from the Logical Terminal menu to clear any previous
actions, and to reset the database. You must open the Action Details window if you want to
define a new set of actions.
Calendar
Use this option button to select the calendar to be used by the selected logical terminal (for the
scheduled actions).
Action Id
This field displays the action identifier. This is a numeric value assigned to the action as part of
the definition in the Action Details window.
Day Profile
This field displays the day, or type of day, upon which the assigned action takes place. This is
selected from the Action Details window when the action is defined. The selection from the
Category button determines which "day types" are permitted for the action. For instance, if the
category of the schedule is set to Specific day, then the Day Profile can be set to any one of
seven days, that is, Sunday to Saturday.
Time
This field displays the time of the day when the scheduled action takes place. This value is
assigned in the Action Details window when the action is defined.
Action
This field describes the type of action that is scheduled to take place, and the choices are:
• Select Input: the logical terminal only sends messages to the SWIFT network
• Select Output: the logical terminal only receives messages from the SWIFT network
• Select Input/Output: the logical terminal sends and receives messages to and from the
SWIFT network
• Logout: logs the logical terminal out of the SWIFT network
15 July 2011 47
5 Sending and Receiving InterAct and FileAct

Messages from SWIFTNet
Introduction
This section describes how to manage InterAct and FileAct message traffic with SWIFTNet
using the emission and reception profiles which control the sending and receiving of InterAct
and FileAct messages.
It covers the following topics:
• Activating and de-activating emission and reception profiles
• Scheduling automatic activation or deactivation of profiles
• Monitoring sessions.
The SWIFTNet Interface application provides all the functions to manage the emission and
reception profiles and their sessions.
Note The procedures described in this section use MX messages as an example, but
they are valid for any InterAct or FileAct messages to be sent or received from
SWIFTNet.
5.1 Activating and Deactivating Profiles for

SWIFTNet
Introduction
To send and receive MX messages through SWIFTNet, you have to start emission and
reception sessions by activating an emission and a reception profile.
For information about setting up emission and reception profiles and assigning SWIFTNet
connections, see "Defining SWIFTNet Profiles" in the System Management Guide.
5.1.1 Emission Profile

SWIFTNet profiles
The flow of messages to and from SWIFTNet is managed through the following profiles in
Alliance Access:
• emission profiles for outgoing messages
• reception profiles for incoming messages

For each profile defined, a SWIFTNet connection (and logical terminal) must also be assigned.
Profiles must be enabled and activated to be ready for use, before Alliance Access transmits
InterAct and FileAct messages to SWIFTNet.

Sending and Receiving InterAct and FileAct Messages from SWIFTNet
Emission Profile
An emission profile controls the message flow of outgoing messages.
The emission profile defines the messaging service and its requestor DN, delivery mode, and
Delivery Notification queue (for store-and-forward mode). The messaging service is associated
with an Application Service Profile which provides requirements for specific SWIFTNet services.
It also provides various parameters for the InterAct and FileAct messages that are sent for a
given service (for example, signature, non-repudiation, or window size), and parameters such
as the input channel for the store-and-forward mode.
You can configure schedules to activate and deactivate an emission profile automatically.
FIN Test and Training

An emission profile must be defined for each licensed live BIC8 that will be used to sign all
authorisation messages for FIN Test and Training. That licensed BIC is referred to as the
Signing BIC for Test and Training.
5.1.2 Reception Profile

SWIFTNet profiles
The flow of messages to and from SWIFTNet is managed through the following profiles in
Alliance Access:
• emission profiles for outgoing messages
• reception profiles for incoming messages

For each profile defined, a SWIFTNet connection (and logical terminal) must also be assigned.
Profiles must be enabled and activated to be ready for use, before Alliance Access transmits
InterAct and FileAct messages to SWIFTNet.
Reception profile
A reception profile controls the message flow of incoming messages.
The reception profile defines the delivery mode and the queue (for store-and-forward mode) for
the MX messages received.
You can configure schedules to activate and deactivate a reception profile automatically.
FIN Test and Training

A reception profile must be defined for each licensed live BIC8 that will be used to sign all
authorisation messages for FIN Test and Training. That licensed BIC is referred to as the
Signing BIC for Test and Training.
5.1.3 Activating an Emission Profile

Introduction
To initiate emission message traffic, an emission profile must be activated.
It is also possible to automatically activate and deactivate profiles using predetermined
schedules. For details, see "Scheduling Automatic Activation or Deactivation of Profiles for
SWIFTNet" on page 51.
15 July 2011 49
Note Before you can activate an emission profile, it must be "enabled". For more
information, see the System Management Guide.
Activating an emission profile

1. Run the SWIFTNet Interface application.
2. If not already displayed, then select Emission Profile from the View menu.
The Emission Profile window appears, displaying the list of defined emission profiles:
3. Select an emission profile that is currently inactive from the Emission Profile list pane.
4. Select Activate from the Emission Profile menu. The profile's session status changes to
"Active".
5.1.4 Deactivating an Emission Profile

Introduction
To terminate emission message traffic, an emission profile must be deactivated.
Deactivating an Emission Profile

1. Select an emission profile that is currently active from the Emission Profile list pane.
2. Select Deactivate from the Emission Profile menu. The profile's session status changes
to "Inactive".
5.1.5 Activating a Reception Profile

Introduction
To initiate reception message traffic, a reception profile must be activated.
It is also possible to automatically activate and deactivate profiles using predetermined
schedules. For more information, see "Scheduling Automatic Activation or Deactivation of
Profiles for SWIFTNet" on page 51.
Note Before you can activate a reception profile, it must be "enabled". For more
information, see the System Management Guide.
Activating a reception profile

2. If not already displayed, then select Reception Profile from the View menu.

The Reception Profile window appears, displaying the list of defined reception profiles:
3. Select a reception profile that is currently inactive from the Reception Profile list pane.
4. Select Activate from the Reception Profile menu. The profile's session status changes to
"Active".
5.1.6 Deactivating a Reception Profile

Introduction
To terminate reception message traffic, a reception profile must be deactivated.
Note If the reception profile is used to receive FileAct traffic, any outstanding ongoing file
transfers should end successfully or be aborted before deactivating the reception
profile. If a reception profile is deactivated while a file transfer is ongoing, Alliance
Access will stop responding to the file transfer events, and the file transfer will not
be successful.
Deactivating a Reception Profile

1. Select a reception profile that is currently active from the Reception Profile list pane.
2. Select Deactivate from the Reception Profile menu. The profile's session status changes
to "Inactive".
5.2 Scheduling Automatic Activation or Deactivation

of Profiles for SWIFTNet
Introduction
Schedules can be defined to allow the automatic initiation of messages traffic to and from
SWIFTNet by activating profiles at predetermined times and dates, according to selected
schedule criteria. Profiles can also be deactivated in the same way.
For details of how to create schedules for emission and reception profiles, see the System
Management Guide.
5.2.1 Automatic Activation or Deactivation of an Emission

Profile
Introduction
To control message emission automatically you must create a schedule with the required
actions and then set automatic mode for the emission profile concerned.
15 July 2011 51
To set Automatic Mode for an emission profile:

2. Ensure that the Emission Profile view is displayed. If the window is not shown, then select
Emission Profile from the View menu. The Emission Profile view displays a list of the
currently defined emission profiles.
3. Select the emission profile for which you want to set automatic mode.
4. Optionally, set up or check the schedule for the profile. Select Open from the Emission
Profile menu in the Emission Profile Details window and then select the Schedule
Details tab.
5. Select Automatic Mode from the Emission Profile menu.
The profile is now activated or deactivated according to the actions set in its schedule.
5.2.2 Automatic Activation or Deactivation of a Reception

Profile
Introduction
To control message reception automatically you must create a schedule with the required
actions and then set automatic mode for the reception profile concerned.
Note Automatically deactivating a reception profile used to receive FileAct traffic can
lead to the unsuccessful termination of ongoing file transfer reception.
To set Automatic Mode for a reception profile:

2. Ensure that the Reception Profile view is displayed. If the window is not shown, then
select Reception Profile from the View menu. The Reception Profile view displays a list
of the currently defined reception profiles.
3. Select the reception profile for which you want to set automatic mode.
4. Optionally, set up or check the schedule for the profile. Select Open from the Reception
Profile menu and in the Reception Profile Details window, then select the Schedule
Details tab.
5. Select Automatic Mode from the Reception Profile menu.
The profile is now activated or deactivated according to the actions set in its schedule.
5.3 Status of SWIFTNet Emission or Reception

Session
Description
The following table describes the various states that a session can have.

Status
Status Description
Activating The profile is in the process of being "activated".
Active The profile has been "activated" and the session for this profile is in progress.
Inactive The profile has been "deactivated" and the session is inactive.
Deactivating The profile was active, but the session has been terminated for some reason and the
profile is in the process of being "deactivated".
Interrupted The profile was active, but the session has been interrupted for some reason. The
system attempts to resume the session automatically.
5.4 Message Emission Processing

Introduction
For each attempt to send a message, an emission appendix is created. The value entered in the
Retry Limit field of the emission profile determines the number of attempts to send the
message. When a successful response has been received for a message, the emission status
is set to "ACKed" and the message instance is routed with "Success" processing result.
5.4.1 Emission Retry in Case of Transmission Error

Description
If a transmission error occurs, then the following retry policy is applied for the emission:
• Fatal errors (MVal errors - Message Validation processing): Fatal errors are never retried.
The current emission appendix is set to network delivery status "Nacked". The message
instance is routed with a "Failure" processing result.
• Transient and Unknown errors (for example, temporary network problems resulting in a
timeout, or signature verification failure on the technical acknowledgement): Transient and
Unknown errors are retried a number of times (retries are based on the value of the Retry
Limit defined in the Emission Profile) with the same sequence number and the PDIndication
set in the E2E Control Block. The emission appendix of the failing transmission is set to
network delivery status "Timeout" or Unknown". If the retry count is exhausted, then the
message instance is routed with a "Failure" processing result.
In case of signature failure on the reply, the original message is Nacked.
When the emission profile session is "interrupted", the system attempts to resume the session
at a regular interval (based on the Reconnect Timer configuration parameter setting, as
described in the System Management Guide) until it is "Active" again, or it is de-activated by the
user.
Note If the emission profile is in the "Inactive" state, then no transmission attempt is
performed. The message retry count is reset to 0 each time the profile is
deactivated.
15 July 2011 53
5.4.2 Generation of a Pseudo SWIFT Acknowledgement

Description
If the emission of a message is unsuccessful, then the appe_nak_reason code field is
included in the emission appendix as follows:
Code Text
T02 Transmission error. This contains all items where the <SwGbl:Severity> field of
<SwGbl:Status> contains Fatal or Transient and the <SwGbl:Code> equals
Sw.Gbl.NetworkTransmissionError.
The text of the <SwGbl.Details><SwGbl:Code> field (first occurrence) is put in the text of
the appendix.
T03 Unknown error
T04 The file that was sent over FileAct is marked as a duplicate at the correspondent's site.
T05 The correspondent rejected the file that was sent over FileAct.
T06 The file transfer has been aborted either remotely by the correspondent during reception, or
locally by the user sending the file.
T07 The SWIFTNet feature <Feature> is not implemented as defined by the Application Service
Profile.
Upon (successful or unsuccessful) transmission response, the appe_ack_nack_text field of

the emission appendix is updated as follows:
{1:F21<BIC8(Sender_X1)>A<Branch(Sender_X1)<SessionNbr><SequenceNbr>{4:
{177:<LocalTime(YYMMDDHHMM)>}
{451:0(Ack)/1(Nack)}[{405:<Code>}]{311:ACK/NAK\r\n<Text>}
{108:<Message_User_Reference(1..16)>}}
Examples
{1:F21GEBABEBBAXXX0005000100}{4:{177:0405041139}{451:0}{311:ACK}{108:MyRef}}
{1:F21GEBABEBBAXXX0005000100}{4:{177:0405041139}{451:1}{405:T02}
{311:NAKSw.WFE.eCUGError}{108:MyRef}}
5.4.3 Non-Reachable Responder DN List Management (Real-

Time only)
Description
As several Responder DNs can share the same emission profile (and window size) identified by
the Requestor DN and Service, it is possible that a single Responder DN, which has frequent
timeouts can delay the traffic for all the other Responder DNs.
To minimise the impact in such a situation, the SWIFTNet Interface application maintains a list,
per emission profile, of Responder DNs that are currently not reachable (for a given Requestor
DN and Service).
For each real-time emission profile, if a message fails more than the retry limit specified in the
emission profile for a given Responder DN, then the message is routed with the "failure"
processing result and this Responder DN is put on the non-reachable list and an entry is added

to the event journal. The entry remains in the list for 30 minutes. When a message is available
for this Responder DN, a check is first made in the list:
• If an entry for the Responder DN is found and still within the validity period, then the message
is routed with a "Transmission Failure". An emission appendix is created with a "Rejected
Locally" network delivery status and the message instance is routed with "Failure" as
processing result.
• If an entry for the Responder DN is found, but not within the validity period, then the entry is
removed from the list, an event is added to the journal and the message is sent.
• If no entry is found for the Responder DN, then the message is sent.
It is possible that the current emission window contains messages addressed to this Responder
DN. These messages have been sent, but have not yet been ACKed.
These messages are treated as follows:
• if they fail consecutively more than Retry Limit count times, then the message instance is
routed with "Failure" processing result.
• if one message is ACKed, then the Responder DN is also removed from the list and an event
is generated.
The list is reset at each time the emission profile is deactivated.
5.5 Message Reception Processing

5.5.1 Queue Re-Acquisition
Description
Once acquired, the status of the active store-and-forward queues is monitored. If the queue
status changes to "Closed" or "TimedOut" (due to connection failure), then the SWIFTNet
Interface component immediately retries the queue acquisition on the primary connection. In
case of queue acquisition failure, another connection (if any) is also tried. The primary
connection is always retried first.
If the queue still cannot be acquired, then an event is generated and the reception profile
session status is set to "Interrupted". Once interrupted, the queue acquisition is retried at a
regular interval until the reception profile session becomes "Active" again, or the user
deactivates it. The Reconnect Timer configuration parameter value determines the frequency
of acquisition attempts. For more information about this parameter, see the System
Management Guide.
Queue re-acquisition only takes place if the profile is in automatic mode. If the reception profile
is in manual mode and a queue acquisition error is detected, then the profile is deactivated and
an event added to the journal.
5.5.2 Message Delivery after Queue Release

Description
When the Reception Profile is deactivated, the store-and-forward queue is released to terminate
message delivery. However, it is still possible that a few messages are received after a
successful queue release. These messages are ignored and a SwOperationFailed error
returned.
15 July 2011 55
5.6 Connectivity Failure

5.6.1 Emission Profile
Description
If the Alliance Gateway becomes unavailable, or a connection failure (with Alliance Access, or
SWIFTNet) occurs for a given session, then the messages are automatically routed through the
alternative Alliance Gateway/Remote API connection (if configured) if the emission profile is
running in Automatic mode. An entry is added to the event journal showing the switch from one
connection to another. The Authoriser DN defined on that connection is used, while the session
information (session number, sequence number, retry count, and so on) is not affected. If no
alternative connection is defined, then the emission profile session status is set to "Interrupted".
If a connection failure is also detected on the alternative connection and the primary connection
failure was detected within the last 10 minutes, then the emission profile session status is set to
"Interrupted". If, however, the primary connection failure was detected more than 10 minutes
ago, the primary connection is first retried, and then an alternative connection if needed. If the
failure continues, then the emission profile session status is set to "Interrupted".
If the emission profile is in manual mode and a connection failure occurs, then it is deactivated
and the session status set to "Inactive". An event is also added to the event journal.
Once the emission profile session is "interrupted", the system attempts to resume the session at
a regular interval (based on the Reconnect Timer configuration parameter setting, as described
in the System Management Guide) until it is "Active" again, or the user deactivates it.
5.6.2 Reception Profile

Real-time mode
If the Alliance Gateway becomes unavailable, or a connection failure (with Alliance Access)
occurs for a given session, and the reception profile is in automatic mode, then the profile
session is interrupted. If the profile is in manual mode, then the profile session is deactivated
and an event added to the journal. No alternative connection is available for a Real-Time
reception profile.
If the Alliance Gateway becomes unavailable, then you can perform the following steps:
• On Alliance Gateway: run a swiftnet reroute command (manually) on one of the

surviving Alliance Gateway instances, to instruct SWIFTNet to route the incoming traffic to
another instance, as configured by MRR.
• On Alliance Access: you can enable and activate a different reception profile on the
connection with this Alliance Gateway instance.
Store-and-forward mode
If the Alliance Gateway becomes unavailable, or a connection failure (with Alliance Access)
occurs for a given session, then the messages are automatically routed through the alternative
Alliance Gateway/Remote API connection (if configured) if the reception profile running in
Automatic mode. An entry is added to the event journal showing the switch from one connection
to another. The Authoriser DN defined on that connection is used, while the session information
(session number, sequence number, retry count, and so on) is not affected. If no alternative
connection is defined, then the reception profile session status is set to the "Interrupted" state.
If a connection failure is also detected on the alternative connection and the primary connection
failure was detected within the last 10 minutes, then the reception profile session status is set to

"Interrupted". If, however, the primary connection failure was detected more than 10 minutes
ago, the primary connection is first retried, and then the alternative connection if needed. If the
failure continues, then the reception profile session status is set to "Interrupted".
If the reception profile is in manual mode and a connection failure occurs, then it is deactivated
and the session status set to "Inactive". An event is also added to the event journal.
5.7 Delivery Notifications to the Back-Office

5.7.1 Network Delivery Notifications to Back-Office
Description
Alliance Access can generate two types of delivery notification:
• Transmission notification: driven by the routing rules associated with the emission queue
• Delivery notification: driven by the Traffic Reconciliation component of Alliance Access where
the User Acknowledgement report is processed.
The SWIFTNet Interface does not notify the emitting application whether a message was
transmitted or not.
In real-time delivery mode, the exchange takes place directly between the sender and the
receiver. In this case only a Network Acknowledgement is generated.
In store-and-forward delivery mode, both a Network Acknowledgement (delivered to the central
store-and-forward system) and a User Delivery Acknowledgement (optional: the sender must
request it, or in case of a non-delivery) are generated.
Therefore, the message instance is routed after successful transmission or when the retry limit
has been reached with the following Message Processing Function result:
• Transmission error: Failure
• Transmission successful: Success.
5.7.2 User Delivery Notification to Back-Office (Store-and-

Forward only)
Description
A failed delivery notification is (always) generated by the central store-and-forward engine when
the message cannot be delivered: optionally (upon sender's request) a positive ("Accepted") or
negative ("Rejected") delivery notification can also be generated by the receiver.
Store-and-forward delivery notifications are placed by the central store-and-forward engine in
the notification queue that was provided with the queue acquisition. They can be received once
the reception profile for that queue is activated.
After successful emission to the store-and-forward central system, the following delivery
notification can be received:
• Successful delivery notification (optional): a User Delivery Report message (DELIVERED) is

created and routed to the Traffic Reconciliation component.
• Failed delivery notification: a User Delivery Report message (REJECTED) is created and
routed to the Traffic Reconciliation component.
15 July 2011 57
Delivery notifications are reconciled with the original request (based on the Sw:SnFRef) and
reconciliation at the back office can be done based on the mesg_user_reference_text (in
the Message Header).
For more information, see "MX Message UUMIDs" on page 96.
5.8 Emission and Reception Appendices

5.8.1 Emission Appendix
Description
For each attempt to send a message, an emission appendix is created containing the following
information:
• IAPP name: SWIFTNet Network
• Appendix Type: Emission
• Session Holder: Emission Profile name, or Input Channel name when the emission profile
uses an input channel
• Session Number: Session Number
• Sequence Number: Sequence Number
• Receiver delivery status:
– if no reconciliation: "-"
– if reconciliation: "Delivered to receiver"
• Network Delivery Status: Network ACK.

Upon successful response, the emission status is set to "ACKed" and the message instance is
routed with "Success" processing result.
5.8.2 Reception Appendix

Real-time mode
When a message is retrieved a reception appendix is created with the following information:
• IAPP Name: SWIFTNet Network
• Appendix Type: Reception
• Session Holder: SNL endpoint on which the message was received (present in the
SWIFTNet Link header)
• Session Number: Current Session Number
• Sequence Number: Current Sequence Number
• Network Delivery Status: <empty>
• Receiver Delivery Status: Receiver ACKed.

A reception appendix is created for a delivery notification with the following information:
• IAPP Name: SWIFTNet Network
• Appendix Type: Reception
• Session Holder: Output Channel name
• Session Number: Session Number taken from store-and-forward Session Identifier
• Sequence Number: Sequence Number taken from store-and-forward output sequence

number
• Receiver Delivery Status: Receiver ACKed.
5.9 Possible Duplicate Indication

5.9.1 Message Emission
Description
All messages for which a transmission attempt has been already performed and the
transmission status was "Aborted", "Timeout" or "Unknown" have the PDIndication flag set in
their E2E Control block. The PDIndication flag can also be present if a User PDE indicator is
present in the message instance.
5.9.2 Message Reception

Real-time mode
No duplicate detection exists for real-time reception.
Duplicate detection is based on the output sequence number carried with each message, and
complemented with a possible duplicate message indication. If a message has been already
received with the same output sequence number on the same queue, then the message is
reported as "Accepted" to the central store-and-forward engine and dropped by the SWIFTNet
Interface together with an entry in the event journal.
If the message is not found and the possible duplicate message indication is set, then the
message is accepted and the Possible Duplicate Reception flag is set in the message
(mesg_possible_dup_creation field set to PDR).
The Possible Duplicate Indication (PDIndication) in the E2E control block is always
preserved and kept with the message header (mesg_possible_dup_creation field set to
PDE).
15 July 2011 59
6 Monitoring SWIFTNet Profile Sessions

Introduction
SWIFTNet profiles are used to control the emission and reception of InterAct and FileAct
messages. Details of your SWIFTNet profiles, such as session status and current session
number, can be monitored for each profile using the SWIFTNet Interface application.
This section describes how to:
• monitor emission and reception profile sessions
• monitor emission and reception profiles from the Monitoring application.
6.1 Monitoring an Emission Profile Session

Displaying emission profile session details
2. If not already displayed, then select Emission Profile from the View menu. The Emission
Profile window appears, displaying the list of defined emission profiles.
3. Select the emission profile that you want to monitor from the profiles list pane.
4. In the Emission Profile Details window, select the Session Status tab.
The Session Status tab displays the status of the profile session and current session
number. For more information about the status, see "Status of SWIFTNet Emission or
Reception Session" on page 52.
6.2 Monitoring a Reception Profile Session

Displaying reception profile session details
2. If not already displayed, then select Reception Profile from the View menu. The
Reception Profile window appears, displaying the list of defined reception profiles.
3. Select the reception profile that you want to monitor from the profiles list pane.
4. In the Reception Profile Details window, select the Session Status tab.

Monitoring SWIFTNet Profile Sessions
The Session Status tab displays the status of the profile session and current session
number (for store-and-forward only). For more information about the status, see "Status of
SWIFTNet Emission or Reception Session" on page 52.
6.3 Monitoring Emission and Reception Profiles from

the Monitoring Application
Introduction
For an overview of all the installed emission and reception profiles and their transmission
sessions, you can use the Monitoring application.
Monitoring emission and reception profiles

1. Run the Monitoring application.
2. From the New window, select SWIFTNet Profiles. The SWIFTNet Profiles window
appears.
This window displays all the emission and reception profiles available on the system with
the following details:
• I/O: I for emission profile and O for reception profile.
• Profile Name: Name of the emission or reception profile.
• Status: Status of profile, "enabled" or "disabled".
• Session Status: the status of the session. For more information, see "Status of
SWIFTNet Emission or Reception Session" on page 52.
• Mode: "automatic" (for scheduling) or "manual".
• U: Number of Urgent messages queued.
• N: Number of Normal messages queued.
15 July 2011 61
• Sent: Number of messages successfully sent (by local Requestor DN) in the current
session.
• Received: Number of messages successfully received (for local Responder DN) in the
current session.
• Connection Name: Name of the current connection used for emission or reception.
3. Optionally, it is possible to specify through a filter the profiles displayed in the list in the
window. Select SWIFTNet Profiles from the View Mode menu and then one of the
following:
• All: all the available profiles appear.
• Selected: only the profiles you have selected appear. You are prompted to select the
profiles when you select this option.
• Exceptions: only those profiles whose status has become "interrupted" (automatic
mode) or "inactive" (manual mode).
Selecting an option toggles it on or off depending on its original state.

Managing Message Exchange Sessions
7 Managing Message Exchange Sessions

Overview
This section explains the objects managed by the Application Interface, how to set up and start
a message exchange session, and how to print messages and monitor sessions.
7.1 Application Interface

Description
The Application Interface controls the transfer of messages and files between Alliance Access
and back-office applications, printers, or any other system that communicates with Alliance
Access. Suitable messages for transferring include SWIFT FIN, MX, FileAct, and system
messages. Suitable files include payload files, or files that contain several messages (such as
for Bulk Payments).
Within the Application Interface, a message partner represents the external application or
product that communicates with Alliance Access. A message partner profile specifies how each
message partner communicates with Alliance Access, and allows you to control and monitor the
communication sessions.
Alliance Access transfers a message to a message partner through an exit point, which holds
the message in a queue before transferring it to the message partner. Each exit point is
associated with a particular message partner.
The Application Interface allows you to:
• create, modify, or remove exit points and message partner profiles
• assign an exit point to a message partner
• control and monitor communication sessions between Alliance Access and a message
partner.
7.2 Message Partners and Message Partner Profiles

Message partner
A message partner is an external application, such as, a back-office application, a printer, or a
mainframe connection.
The Application Interface manages the transfer of files and messages between Alliance Access
and a message partner using the profile that is defined for that message partner.
Profile of a message partner

A message partner profile specifies the parameters necessary to transfer message and files
between Alliance Access and a message partner. The most important of these parameters is
the connection method, which defines the type of connection protocol and the data format to be
used for the transfer.
Every application that communicates with Alliance Access must have a message partner profile
defined in the Application Interface.
You can view message partner profiles in the Message Partner view of the Application
Interface main window.
15 July 2011 63
Note When operating Alliance Access in low-speed mode, the message partner details
are refreshed after you click in the message partner list.
Managing communication sessions

Once a message partner profile is configured, an operator with the appropriate permissions can
view details about the current ongoing communication session or about the last communication
session.
7.3 Exit Point

Description
Messages for a message partner accumulate at an exit point that is assigned to that message
partner. An exit point is a routing queue where output messages are stored until the Application
Interface processes the messages.
An operator can create and remove exit points, and assign them to a message partner.
Messages that are coming from message partners are not stored at exit points, but are directed
to a common entry routing point called _AI_from_APPLI. For simplicity, we refer to this queue
as AI inbound.
The Message Exchange Services (MXS) manage the details of all message partner profiles and
exit points.
7.4 Sessions
Description
The main purpose of a session is to provide a secure and reliable transmission mechanism for
sending and receiving messages through the Application Interface. A session also enables the
user to control the start and end of message transfer.
When traffic is moving across the connection between a message partner and Application
Interface, a session is said to be Open. For a complete list of the statuses that a message
partner session may have, see "Status of Message Partner Sessions" on page 177.
Each message partner session has a session number assigned to it, which is incremented at
the start of each session.
Important When using Alliance Workstation to connect to servers, consider the following
points:
• All sessions using automatic message partners are run on the server.
• On the workstation side, all message files or parameter files referenced in a

manual message partner profile can either be local to the workstation or on the
server.
• On the server side, all message files or parameter files referenced in the
message partner profile must be local to the server.
Operator association with input sessions

When starting a manual input session, the current operator automatically becomes the "creator"
of any messages that Alliance Access accepts from the message partners.

In an automatic input session, the "creator" of all accepted messages is always SYSTEM.
The creator of accepted messages can be relevant to the testing criteria for routing rules as
routing can be decided on the message element keyword creating_operator_name. It can also
be important to message verification if attempted by the same operator.
For more information, see "Verifying Messages" on page 133.
7.5 Connection Methods

Connection method description
A connection method is part of a message partner profile. It specifies the type of communication
protocol and the data format that is used to transfer messages between Alliance Access and a
back-office application or external product. The location of the message or parameter files for
transmission are specified as a connection point, which is associated with a connection method.
The Application Interface application supports several connection methods. This section
provides basic descriptions of these connection methods after the summary table.
Note All sessions that use the Interactive, WebSphere MQ, and SOAP connection
methods are run on the server.
Bidirectional message exchange

Bidirectional message exchange during the same session (to and from Alliance Access a
message partner) is possible with the following connection methods:
• Interactive
• File Transfer
• SOAP
FileAct message exchange

To exchange FileAct messages between Alliance Access and a message partner, the following
connection methods are available:
• Direct FileAct
• File Transfer
• SOAP
• WebSphere MQ
Summary of connection methods and data formats

The following table lists the available connection methods:
Connection Method Data Format Connection Point Protocol
Direct FileAct NA Directory NA
15 July 2011 65
Connection Method Data Format Connection Point Protocol
File Transfer DOS PCC Directory Batch

(ST200 PCC)
RJE Directory Batch

(ST200 RJE)
CAS 1/2 Directory CAS Batch

(NDF/NIF)
MERVA/2 Directory Batch
XML Version: Directory Batch
• 1
• 2 Revision Original, 1, 2,
or 3
Interactive NDF/NIF TCP/IP sockets CAS Interactive
Print Expanded File ASCII Write
Printer Spooled
SOAP XML version 2 Revision 2 or NA SOAP

3
WebSphere MQ MQ-MT NA MQ Messages
XML version 2 Revision

Original, 1, 2, or 3
Direct FileAct
The Direct FileAct connection method enables the transfer of a payload file between Alliance
Access and a back-office application. A payload file contains the data that is to be transferred.
The FileAct transmission parameters are deduced from the message partner profile. You do not
need to send an XML version 2 message or a file that contains the FileAct transmission
parameters when you send each payload file. Dedicated Direct FileAct input and output file
directories are accessible to both Alliance Access and the back-office application or operator.
The back-office application or an operator put the payload files in these directories to send the
files over SWIFTNet, or they get the payload files received from SWIFTNet from these
directories.
Direct FileAct also enables back-office applications to benefit from simplified reporting of
network acknowledgements and of reconciled delivery notifications.
A message partner profile with the Direct FileAct connection method must exist for each
correspondent that will use Direct FileAct to transmit files between each other.
The Direct FileAct connection method requires the licence package 22: DIRECT FILEACT.
The file-transfer session can be started automatically or manually. For example, if a back-office
application stores a payload file in a pre-configured input directory, then the presence of the file
in the directory can automatically start a file-transfer session.
You can define a message partner profile for Direct FileAct only through the Alliance
Configuration package on Alliance Web Platform. You can also view a message partner profile
for Direct FileAct through the Alliance Monitoring package on Alliance Web Platform.

File Transfer
The File Transfer method enables the transfer of batch files containing multiple FIN, FileAct, or
InterAct messages between Alliance Access and a back-office application. For FileAct
messages, in addition to transferring a payload file, Alliance Access or a back-office application
also transfers an XML version 2 message containing the FileAct settings which control the file
transfer, and an optional parameter file. The file-transfer session can be started automatically or
manually.
Note For FileAct messages, the body of the XML version 2 message does not contain
the payload of the message to be transmitted. Instead, the body of the message
points to the location of the payload file.
To exchange FileAct messages, XML version 2 with revision 2 or 3 is required.
For each message format, the communication media are file system directories. Alliance Access
can read or write a batch message file from or to a directory in a local or remote file system.
The File Transfer connection method supports the following message file data formats:
Data format Purpose
Common Application Server CAS standards 1 and 2 which support the sub-formats ASN.1 or text
(CAS) encoding (only CAS version 2)
used for Network Dependent Format (NDF) or Network Independent
Format (NIF)
DOS-PCC used for batch input and output of messages, which enables you to
read or write an ST200 DOS message file
MERVA/2 used for batch transfer (to and from Mainframes) in IBM MERVA/2
format
Remote Job Entry (RJE) used for batch input and output of messages in ST200 RJE format
XML used for batch input and output of MX or FileAct messages, or for
FpML documents
You can find examples of the data formats that you can use with the File Transfer method in the
following directory, which is beneath your installation directory:
Windows: <Alliance installation directory>\mxs\batch_examples
UNIX: $ALLIANCE/MXS/batch_examples
Interactive
The Interactive method supports bidirectional message transfer with back-office applications
according to the Common Application Server (CAS) standards 1 and 2 that support sub-formats
ASN.1 or text encoding (only CAS version 2) for Network Dependent Format (NDF) or Network
Independent Format (NIF).
Print
The Print method enables you to specify how to print messages in batch from Alliance Access
to either a printer or a file in a user-specified directory. The file or printer is specified as a
connection point in a message partner profile.
For Alliance Workstation, it is possible to specify the host name of the machine where the
printer is connected, that is, on the local machine or on the server machine.
Output messages can also be printed in ST200-like format, which can also include warning
indications, or eye-catchers, in the header of the output.
15 July 2011 67
SOAP
The SOAP connection method enables the exchange of MT, XML-based messages, and FileAct
messages between Alliance Access and back-office applications. The SOAP connection
method requires the licence package 14:SOAP ADAPTER and supports only the XMLv2 data
format.
The parameters that control the file transfer include a pointer to the payload file, service,
receiver of the file, header information, and notification options. These file-transmission
parameters are carried in an XMLv2 message.
The SOAP Host Adapter supports the exchange of FileAct messages over HTTPS in two
modes:
• Full FileAct mode, where file transmission parameters and the FileAct payload are
transferred in XMLv2 format and the data exchange uses Web services over HTTPS.
• Mixed FileAct mode, where the file transmission parameters are carried in an XML version 2
message that is transferred using Web services over HTTPS, whereas the FileAct payload is
transferred over the local file system
WebSphere MQ
The WebSphere MQ connection method enables FIN, XML-based, or FileAct messages to be
exchanged between Alliance Access and back-office applications through IBM WebSphere MQ.
This connection method requires the licence package 13:MQ HOST ADAPTER.
The WebSphere MQ method supports the following data formats:
• MQ-MT
• XML version 2, with revision Original, 1, 2, or 3.

The exchange of FileAct messages over WebSphere MQ requires XML version 2, revision 2 or
3.
The WebSphere Host Adapter supports the exchange of FileAct messages over WebSphere
MQ in two modes:
• Full FileAct mode - where both the XML version 2 message and the FileAct payload are
transferred over WebSphere MQ.
• Mixed FileAct mode - where the XML version 2 message is transferred over WebSphere MQ,
whereas the FileAct payload is transferred over the local file system.
7.6 Preparing the Application Interface for a Transfer

Session
Purpose
Before working with the Application Interface for the first time, you must define a number of key
objects.
Warning During day-to-day operations, do not open the message partner profiles or exit
point profiles unless you need to modify them or add new profiles.
Automatic message partner sessions

All sessions using automatic message partners are run on the server.

All message files or parameter files that are referenced in an automatic message partner profile
must be local to the server.
The operator profile of the operator who loads or moves files to the server must have the Files
on Server permissions assigned for the Access Control application. By default, these
permissions are assigned to the Superkey and Supervisor operator profiles.
Preparing the Application Interface

1. Ensure that you have correctly configured and enabled message partner profiles, to control
the flow of messages and files.
2. Ensure that the routing is defined and active. For example, to route messages and files to
an exit point associated with a message partner profile, you must have routing rules defined
to do this.
3. To change the existing default exit point profiles, you can create an exit point which stores
files or message before they are transferred to a message partner.
4. Run the Application Interface and start a message partner session to transfer files or
messages between Alliance Access and the message partner.
7.7 Message Partner View

Description
After you start the Application Interface, the Message Partner window appears (if the message
partner view is selected).
This window lists all the defined message partners, including the message partners that are
created through the Alliance Access Configuration package on Alliance Web Platform.
Tip To view the details of a message partner that uses the Direct FileAct connection
method, you must use the Alliance Access Configuration package on the Alliance
Web Platform.
Example of Message Partner window
15 July 2011 69
Field descriptions
Partner Name
The name of the message partner profile.
Partner Id
An internal system ID of the message partner profile. This ID is used together with the session
number to form the name of both the parameter file and the message file for automatic file-
output sessions.
Status
A message partner profile can have one of the following statuses:
• Enabled - the profile is approved for use
• Disabled - the profile is not authorised and cannot be used in a session
• Disabling - at the end of its current session, the profile has the status Disabled.
Note An Interactive Message Partner that is in the state "disabling" only becomes
disabled after the current session is stopped.
Session Status
Indicates whether the message partner has a session active, and the status of that
communication session. For more information about the statuses, see "Status of Message
Partner Sessions" on page 177.
Session
Indicates the number of the latest session in which a message partner was participating or is
still participating in.
Description
A description of the message partner profile.
7.8 Starting a Message Exchange Session

Overview
This section provides information about starting a communication session with a message
partner.
7.8.1 Automatic Input Sessions

Overview
Automatic input sessions are available for the File Transfer, Direct FileAct, and WebSphere MQ
connection methods.
During automatic input, a message partner submits files to Alliance Access. As each file is
submitted, the current date and time are added to its name to make it unique. External
programs can use standard file names.
For Alliance Workstation, sessions using automatic message partners are always run on the
server side.

Directories for automatic input

Two directories are used for automatic input, and are defined as configuration parameters in the
System Management application:
• Automatic - Backup Dir, where all authenticated input message files are backed up to. After
a message file has been in this directory for 10 days, it is deleted. This period is defined in
the Batch Input - History Period configuration parameter. For more information, see
"Configuring System Parameters" in the System Management Guide.
• Automatic - Error Dir, where input message files with errors (for example, failed
authentication) are placed.
Description of an automatic input session

With automatic MQ input sessions, the enabling of the message partner automatically triggers
the opening of a session. If a failure causes the session to close, then Alliance Access tries to
re-open the session according to the system parameters. For more information, see "Recovery
of a WebSphere MQ Connection" on page 82.
An automatic input session begins when input files of the correct file type appear at the
connection point.
An automatic scan of the directory picks up each input message file and submits it to Alliance
Access. The Automatic - Polling Timer parameter in the System Management application
controls the frequency with which the directory is scanned. The default setting is once a minute.
The input session carries out the following procedures:
• The name and Cyclic Redundancy Check (CRC) value of the message file are recorded in a
Batch History file. The CRC value is the result of a mathematical function applied to the sum
of the file contents. The CRC value uniquely identifies the file to the input session.
• The input file is opened and each message is transferred to the _AI_from_APPLI queue,
which you can monitor by selecting it in the monitoring application.
• During the transfer, each message is authenticated locally if the local-authentication option is
selected in the Authentication tab of the message partner profile.
• If a message fails authentication, then the input file is closed and sent to the Error directory.
Local authentication failure means that an event is recorded in the Event Journal and the
message partner becomes disabled. It is recommended that a user-defined script scans the
Error directory every few minutes to see whether any files appear there. The cause of the
failure must be determined using the information provided by the Event Journal. If you want
to transfer the input file again, you can attempt to fix it and then copy it back to the location it
had before the file transfer began. Check that the file name has not been used previously.
• If all the messages pass authentication, then they are validated.
• If a message fails validation, then the whole input file or the individual message is rejected.
This depends on the type of error that the message has associated with it:
– If a sending logical terminal specified in a message is incorrect, then the whole file is
rejected and the event is logged in the Event Journal.
– If the file is not of a recognised format, then it is not sent to the Automatic - Error Dir
directory. The file is deleted from the queue, that is, the session is not started. You can
find a list of acceptable formats in "Summary of connection methods and data formats" on
page 65.
15 July 2011 71
– Message files with a CRC that matches a CRC recorded in the Batch History file are sent
to the Automatic - Error Dir directory.
Depending on the parameter values in the message partner profile, if there is a syntax error,
such as an obsolete currency code, then the message is sent to the modification queue. When
a message is in the modification queue, you can attempt to correct the error. Some errors occur
because the back-office application does not have permission to create a particular type of
message.
The reason for a validation failure is logged in the Event Journal.
Valid messages are directed to the queue defined in Disposition field in the message partner
profile.
7.8.2 Automatic Output Sessions

Description
Automatic output sessions are available for the File Transfer, Direct FileAct, WebSphere MQ,
and Print connection methods.
Note For Alliance Workstation, sessions using automatic message partners are always
run on the server side.
An automatic session starts when the conditions are met for running an output session. These
conditions are defined in message partner profile.
During file output, files are named automatically using the following syntax:
<Partner ID><Session ID>.<file extension>
Where:
• <Partner ID> is a 4-digit unique identifier assigned to the message partner. Select View/
Partner ID from the Message Partner menu to see a list of IDs, for example 0006.
• <Session ID> is a 4-digit number of the session with this message partner, for example
0540.
• <file extension> is selected in the output file extension field of the message partner
profile. If no selection is made in this field, then the extension defaults to .out.
7.8.3 Start Session Window

Description
The Start Session window allows you to start a manual input or output session. For more
information about starting a session, see "The Start Session Command" on page 76.

Example
Field descriptions
Message Partner
Read-only field, indicating the profile selected for this particular session.
Connection Method
Read-only field, indicating the connection method as specified in the message partner profile.
File on
Select the location of the file:
• Workstation
• Server
Connection Point
For file transfer batch sessions, you must specify the message file name or the parameter file
name (if required). You can use the browse button ( ... ) to locate the file. The creation and
administration of parameter files is described in "Parameter Files in AI" in the System
Management Guide. For all other connection methods, this field is not available.
When working on a server, the path name already displayed here comes from the file pattern
specifier field Input/Output Filename Pattern in the Message Partner Details window. A
menu button is available here which invokes a file selection window. Use this window to select a
message or parameter file and append it to the path. Only files which match the specified
pattern appear.
When working from a Workstation, this field is empty.
Session Direction
Used to specify the session direction and they are:
• From Message Partner: Input messages to Alliance Access.
• To Message Partner: Output messages from Alliance Access.
• To & From Message Partner: Input messages to and output messages from Alliance
Access.
Add a PDE
Used to force a Possible Duplicate Emission trailer to each of the messages.
15 July 2011 73
Dispose or route message

This field determines whether messages received in input sessions are disposed to message
preparation or Ready queues, for example, SI_to_SWIFT, or handled by the Alliance Access
routing. This field is used to determine the default message disposition applied to messages
during a manual input session.
Message In
Available when the Dispose option is selected. This option lists the message preparation and
Ready queues which are valid for message disposition.
7.8.4 Manual Input Sessions

Overview
Manual input sessions from a message partner to Alliance Access are available for all
connection methods, except for the Print connection method.
You can start a manual input session (even if the partner is configured to start sessions
automatically), possibly in arrangement with someone at the message partner side.
For more information about the commands, see "The Start Session Command" on page 76.
To start a manual input session

1. Run the Application Interface application.
2. If the message partner list does not appear, then select Message Partner from the View
menu.
3. Select the message partner for this session.
4. Select Start Session from the Message Partner menu.

The Start Session window appears. For more information, see "Start Session Window" on
page 72.
5. If the connection method is File Transfer, then provide the name of an input message file or
the parameter file in the Connection Point field.
For more information about the creation and the administration of parameter files, see
"Parameter Files in AI" in the System Management Guide.
For information about specifying data for the connection point in the file transfer method,
see "The Message File Name for Manual Input" on page 75.
6. Select Add a PDE, to add a Possible Duplicate Emission trailer to each message that is
transferred during this session. A Possible Duplicate Emission Trailer indicates to the
recipient that the same transaction may have been sent already in an earlier message. By
default, messages are transferred without a Possible Duplicate Emission Trailer. For more
information, see "Adding a Possible Duplicate Emission Trailer" on page 77.
7. Select:
• Route puts the messages in the queue specified by the routing setup for
AI_from_APPLI.
• Dispose puts the messages in the queue selected here, if allowed by the profile of the
message partner. Otherwise, messages are put in other queues, for example,
verification or authorisation.

8. Click Start .
The session stops automatically when the file input is complete.
7.8.5 Manual Output Sessions

Introduction
To start a manual output session from Alliance Access to a message partner, you can use either
the Start Session or the Run Session command. For more information about the difference
between these commands, see "The Start Session Command" on page 76 and "The Run
Session Command" on page 77.
To run or start an output session

1. Run the Application Interface application.
2. Select the message partner for this session from the main window.
3. Select Run Session or Start Session from the Message Partner menu. The Start
Session or Run Session window appears.
4. If the connection method is File Transfer, then provide the name of a particular output
message file or parameter file in the Connection Point field. The creation and
administration of parameter files is described in "Parameter Files in AI" in the System
Management Guide. You can display the file selector by clicking the menu button to the
right of the field. Alternatively, you can type a file name at the end of the displayed path. Do
not type *, as it is not a valid file name.
Note When the connection method is File Transfer, notifications of output messages
or copies of input messages cannot be output. Such messages can only be
printed.
5. If the connection method is Print, then the Connection Point field contains the name of the
printer where the messages are printed. To change printers, edit the message partner
profile.
6. Click Run or Start .
7.8.6 The Message File Name for Manual Input

Description
If the connection method is File Transfer (for batch file sessions), then you must provide the
name of the message file name or of a parameter file name in the Connection Point field.
Note The name of the file specified in the Connection Point field has a maximum limit
of 32 acceptable characters.
A menu button is available to select the file name from a file selector window. For example, if
the path (in the field labelled Input path name in the Message Partner Profile tab) is already
specified as ...\SERVER\batch\input\*, then complete the path name by providing only
the file name.
Example: short701.rje
15 July 2011 75
The complete path name to the file in this example becomes:

...\SERVER\batch\input\short701.rje
Note that, in the example the default file pattern specifier ...\SERVER\batch\input\* is
used. Using the asterisk as a pattern specifier in the Input path name in the Message Partner
Profile tab, permits you to send or receive a message file using any file name pattern that you
select. If, for example, the filename pattern was:
...\SERVER\batch\input\*.old
then in the Run/Start Session window that you are confined to specifying files with a file
extension of .old.
7.8.7 Interactive Sessions

Description
The operator, the message partner, or both start interactive (CAS) sessions. Either party can
stop or abort the sessions.
Note By setting the Window Size field (only CAS version 2), the sender can transmit a
set number of messages before receiving a reply. For example, if the window size
is set to five, then five messages may be sent sequentially to the receiver before a
reply on the first message is required.
In input sessions, as each message is received, validation and local authentication checks are
made. If a message passes validation and local authentication, then it is accepted and a
positive reply is sent. If a message fails validation, then it is rejected and a negative reply is
sent. A record of the event is logged in the Event Journal. If a message fails local
authentication, then the session is aborted and the message partner disabled.
When started, all interactive sessions remain open until the:
• operator or the message partner stops the session
• operator or the message partner aborts the session
• session fails
Also, if an output session is initiated by a Run Session command, the session stops when all
reserved messages have been sent to the message partner.
7.8.8 The Start Session Command

General
You can use the Start Session command for both input and output sessions.
Selecting Start Session transfers all messages that are queued for exchange with the message
partner. After that, the session remains open so that all new messages that appear are also
transferred.
After you start a session using the Start Session command, it will stop only if you run the Stop
Session command, or if an error occurs from which the session cannot recover.
Note If you disable a message partner that is currently in session (started by the Start
Session command), then the session moves into the "Disabling" state until the
Stop Session command is issued.

For output sessions

If the output session is an Interactive session opened using the Start command, then messages
arriving at an exit point are transmitted directly to the message partner, for as long as the output
session remains open.
If the output session is a Print session opened using the Start command, then you have to stop
the session before a print job is spooled to the printer.
For input sessions

If the connection method is File Transfer with File RJE, MERVA/2 or CAS message format, then
the session stops automatically when the file input is complete.
For a description of session recovery in the event of session failure, see "Session Failure and
Recovery in Application Interface" on page 81.
MQ sessions
See "Management of a WebSphere MQ Session" on page 82.
7.8.9 The Run Session Command

Description
The Run Session command can only be used for output sessions, both manual and automatic.
When the command is issued, Alliance Access first counts the number of messages that are
waiting at assigned exit point and then transfers those messages. It stops the session when this
pre-recorded number of messages has been processed. Any new messages which are queued
during the session are held there until the next time a session is started.
The session stops if you run a Stop Session command or if an error occurs from which the
session cannot recover.
For WebSphere MQ message partners, Alliance Access can run this command automatically if
the Keep Session Open option is selected in the message partner profile.
For a description of session recovery in the event of session failure, see "Session Failure and
Recovery in Application Interface" on page 81.
7.8.10 Adding a Possible Duplicate Emission Trailer

Why add a Possible Duplicate Emission trailer?
Sometimes with input sessions, it may be necessary to retransmit a batch file. In such cases, it
is essential that a Possible Duplicate Emission trailer is added to each of the messages.
SWIFT recommends that you avoid situations where messages in a batch are identical with
those in another batch.
Note Automatic input sessions reject all input files with CRC matches. These files are
moved into the Automatic Input Error Directory (set by the system parameter
Automatic - Error Dir).
15 July 2011 77
To continue the session using filename

In practice, if a warning message refers to a file name check (no CRC match), and you want to
continue the session using this filename, then use the following steps:
1. Click No in the warning dialog to cancel the start session.
2. Go again to the Start Session window and set the check box to Yes.
3. Continue with the session by selecting Start.

A Possible Duplicate Emission trailer is added if the option Add a PDE is set. The default
value is unset.
7.8.11 Setting the Message Disposition

Description
You can send incoming messages into any one of the message preparation queues. To
configure this, set the Disposition option and the related field Message In in the Reception tab
of a message partner profile.
Message disposition provides the means to either "hold and check" messages arriving from a
particular message partner, or to forward the messages using the routing rules set at the
Application Interface Inbound queue.
If you require no restriction on message disposition, then select Route from the Disposition
button.
To dispose messages into a particular message preparation queue:
1. Select Dispose from the Disposition option.
2. The field Message In appears. Click the field to display a list of available message
preparation queues.
Permissions for routing or disposing messages

The message preparation queues which are available to a particular message partner depend
upon the permission to bypass certain stages in the message preparation sequence. For
instance, if the R7.0_MsgPartner permission profile permits the message partner to bypass
Verification but not Authorisation, then the message may skip Verification and be disposed to
the Authorisation queue. Available queues are:
• Modification (MP_mod_text)
• Verification
• Authorisation
• Ready-to-send
For more information about message disposition, see "Message Validation and Disposition in
the Application Interface" in the System Management Guide.
For messages received in the CAS NIF format, message disposition may be pre-defined within
fields of the APDU itself.

7.9 Controlling Message Exchange Sessions

7.9.1 Monitoring a Session
Description
To examine details about the current or last communication session with a message partner,
access the Session tab. The Application Interface enables you to examine session details
dynamically during a session and after the session has closed.
The session information is refreshed automatically at the interval specified by the Set Refresh
Rate command in the File menu of the Access Control application.
To monitor a session:
1. Start the Application Interface application.
2. Select the message partner that you want to monitor in the Message Partner view.
3. Select the Session tab and view the status of the session. The following section describes
the screen and its components.
Example
Field descriptions
Sequence number
Shows the sequence number of the next message expected to be processed during this
session for both Input (from MP) and Output (to MP) sessions.
Accepted
Shows the number of messages that have been accepted for both Input (from MP) and Output
(to MP) sessions. During file transfer, the entire file must be read in and processed before a
15 July 2011 79
number appears here. Only when the entire file is read in, are the messages routed (see "Not
Yet Acknowledged").
Rejected
Shows how many messages have so far been rejected in the current session for both Input
(from MP) and Output (to MP) sessions. Rejection can occur for a number of reasons, for
example, message syntax errors. The reason for the rejection of a message is logged in the
Event Journal.
Bypassed
Displays the number of output messages that were bypassed (and completed) in a "To
Message Partner" session. Messages are bypassed when the output data format selected for
the exchange is one that does not support certain types of message, for example, RJE does not
support notifications. When an unsupported type of message appears at the exit point it is
moved to the text modification queue and completed. Each message bypass is recorded as an
event in the Event Journal.
Not Yet Acknowledged
Shows the number of processed messages that are waiting to be "Accepted" for both Input
(from MP) and Output (to MP) sessions. Acceptance only occurs when the entire file has been
processed.
Connection point
The location of the message file or parameter file.
Direction
The direction of the transfer (for example, From Message Partner).
Session Identifier
The session number with this message partner. This number is incremented for each
consecutive session.
Status
The current status of the session. See "Session Status" on page 70.
Last error message
Shows the last error that occurred in the session.
7.9.2 Stopping a Session

Introduction
Use the Stop Session command to stop a session. Following the completion of any active
message or message file transfer, the current active session is closed.
Note If the Allowed direction is "From Message Partner" and the Session initiation is
"Automatic", then the communication session re-opens automatically. To prevent
this, you must disable the message partner.
To stop a session
2. Select a message partner from the Message Partner view.
3. Select Stop Session from the Message Partner menu.

7.9.3 Aborting a Session

Introduction
Use the Abort Session command to stop a session immediately. Any messages that have
already been exchanged are removed and a recovery of the session takes place automatically.
To abort a session
2. Select the relevant message partner from the Message Partner view.
3. Select Abort Session from the Message Partner menu. A message box appears asking
that you to confirm your abort request.
4. Click OK , to confirm the request or Cancel , to continue the session. If you continue with
the abort request, then a session recovery procedure is started.
7.10 Session Failure and Recovery in Application

Interface
Introduction
Recovery mechanisms in the Application Interface are designed to react to the following
failures:
• abort session request
• unexpected system failures
• local authentication errors

In general, if there is a session failure or software crash, any message de-queued and destined
to a message partner which has not been acknowledged, is re-transmitted at the earliest
opportunity, for example, the next suitable session. If in the meantime the exit point is
reassigned, then the message is transmitted to the new message partner.
If there is any possibility of a duplicate transmission, whether to the same or to a different
message partner, then a Suspected Possible Duplication (SPD) trailer is included in the S-Block
of the message. For NIF/NDF formatted messages, the SPDU field retransmission is set to
TRUE.
7.10.1 Recovery of Batch Sessions

Batch output
The batch output process for File Transfer ensures that each message is written from the exit
point to disk by means of an intermediate file. If anything goes wrong with the session, then the
recovery mechanism unreserves and requeues the messages at the exit point. An event
concerning the session failure is recorded in the Event Journal.
It is the same process for File Transfer when using any of the other message formats, except
that no intermediate file is required.
15 July 2011 81
Batch input
With batch input sessions, the session operation and recovery principle is very similar. If
anything goes wrong with the session, then the recovery mechanism unreserves, removes, and
discards the messages in the AI inbound queue.
Automatic sessions
If an error occurs, then the batch input message file is moved into a storage location known as
the Automatic Input Error Directory (set by the system parameter Automatic - Error Dir).
If a parameter file is being used, then the parameter file is moved into this Error Directory. If the
message file and parameter file are located in the same connection point directory, then both
are moved into the Error Directory.
To avoid filename clashes, each file placed in the Error Directory is given a file extension
YYMMDDHHMMSS.
An event concerning the reason for the session failure is recorded in the Event Journal.
7.10.2 Management of a WebSphere MQ Session

Introduction
This section describes how Alliance Access recovers sessions with the MQ Host Adapter.
7.10.2.1 Recovery of a WebSphere MQ Connection
Overview
If the Keep Session Open option is selected in the message partner profile and a session
connection is lost, then the session status changes to "Interrupted" and Alliance Access
attempts to re-establish the connection to WebSphere MQ.
If the Keep Session Open option is not selected and a session connection is lost, then the
session status changes to "Closed".
Recovery attempts
System parameters specify the frequency of the recovery attempts, as follows:
1. After the number of seconds that are specified in Recovery Time - Initial have elapsed,
then Alliance Access attempts to re-open the session for the first time.
2. If the reconnection is unsuccessful, then Alliance Access increases the time between the
reconnection attempts by the value specified in Recovery Time - Increment, and attempts
to re-establish the connection.
3. The time interval between attempts is increased after every attempt until it reaches the
value specified in Recovery Time - Max, after which Alliance Access attempts the
reconnection at these intervals.
Recovery of a Full FileAct session

Alliance Access uses the WebSphere options, MQ MQGMO_ALL_MSGS_AVAILABLE and
MQGMO_ALL_SEGMENTS_AVAILABLE. This ensures that Alliance Access processes a
message only after all the segments and messages of the logical message are in the queue. If a
segment is missing, then the Alliance Access does not process the logical message.
If Alliance Access exits unexpectedly while processing a message or segment, then the action
can be recovered and all the messages that Alliance Access processed are rolled back and

placed in the MQ queue again. The "Backout count" of these rolled-back messages are
incremented and Alliance Access treats them as a Possible Duplicate the next time that it
processes them.
When sending a FileAct message over WebSphere MQ, Alliance Access only routes the FileAct
instance when the complete message has been sent to the back-office application.
After the message is sent,Alliance Access cannot know whether a segment is lost during its
transfer. It is the responsibility of the WebSphere MQ infrastructure to ensure that no messages
are lost. The application reading the FileAct messages can use the same set of options as
Alliance Access to process messages only after all segments are present in the queue.
7.10.2.2 Closure of an MQ Session
Automatic sessions
If you close an automatic session for an incoming message partner (that is, with From Message
Partner as the Allowed direction) or for an outgoing message partner (that is, with To
Message Partner as the Allowed direction), then Alliance Access re-opens the session
automatically. To avoid this session reopening, you must first disable the message partner and
afterwards close the session.
Manual sessions
You can stop a manual session of either an incoming or outgoing message partner.
7.10.3 Interactive Sessions

Description
Session recovery for interactive sessions involves restarting the session using the same session
number as the failed session.
Session recovery begins by transmitting an OpenRequest SPDU. Either party can send the
SPDU and it contains:
• The sequence number (incremented by one) of its last fully transmitted and acknowledged
message
• The session number used for the recovered session. This is always the sequence number of
the failed session
• A software flag recoveryIndication = TRUE indicating that this is a recovery request.

The other side replies with an OpenConfirm SPDU. This SPDU includes the input sequence
number (incremented by one), of its last fully transmitted and acknowledged message from that
side.
Scenario
During the transmission of a message to a message partner, the session is aborted before
Alliance Access receives the logical reply. After the session is closed, the operator moves the
message to a different exit point. Then, Alliance Access re-opens the session. In such cases,
Alliance Access sends the message to the message partner even though the exit point to which
the message has been "moved" is no longer assigned to the message partner.
15 July 2011 83
Note for UNIX: connection problems arising when using TCP/IP protocol
The following error messages appear when a TCP/IP error occurs. Exactly which message
depends on which of the following files is out of configuration:
• protocol file
• services file
• hosts file
problem in protocols file:
Message Partner <message partner name>
- TCP connection error
Reason:
Could not obtain protocol number for protocol name TCP.
Failed to initiate communication.
problem in services file:
Reason :
Unable to find service name MPconn...
problem in hosts file :
Reason : Unable to get host information for host name <host name>
To get the relevant information about the error message, look into the Event Journal for the
event.
TCP_connection error
reason: description of the problem.
reason can be :
-Could not obtain protocol number from protocol name: protocol name
-Unable to find service name : service name
-Unable to get host information for host name : hostname.
In all cases, use the help of the UNIX system administrator to resolve the problem.
7.10.4 Recovery of a SOAP Session

Introduction
This section describes how Alliance Access recovers sessions with the SOAP host adapter.
Session Rebuild
In the case of an Alliance Access restart, Alliance Access resumes the traffic as if nothing
happened. Alliance Access rebuilds the SOAP session and resets it in the state that it was
before the Alliance Access restart. The emission and reception window is rebuilt in such a state
that:
• the messages being sent or received are in the window
• the messages waiting acknowledgement are identified

The SOAP host adapter sends an error to the back-office application when:
• a message sent by the back-office application is not within the window
• the messages that the back-office application is acknowledging are not present in the window

Messages re-sent with Possible Duplicate Emission

When, at session closure, messages sent by Alliance Access to the back-office application have
not been acknowledged yet, the session is aborted, and these messages have their Network
Status set to "Network Aborted". The messages are requeued in the exit point. If the back-office
application requests these messages again, then they are re-sent with a possible duplicate
emission indication when the session is re-opened.
15 July 2011 85

Part C - Preparing Messages
Part C
Preparing Messages
15 July 2011 87

Message Preparation
8 Message Preparation
Overview
This section describes the message preparation process and provides information about the
types of messages that you can prepare and send, and details of various elements of the
messages themselves.
8.1 Preparing Messages

Overview
Alliance Access includes three separate applications which are used when preparing messages:
• Use the Message Creation application to create messages (see "Creating Messages" on
page 99)
• Use the Message Approval application to verify and authorise messages (see "Approving
Messages" on page 130)
• Use the Message Modification application to modify any messages that Alliance Access is
unable to process automatically (see "Modifying Messages" on page 143).
MX and FileAct message instances

When MX message instances are present in the queues related to message preparation, they
do not appear in the Message Creation, Message Approval, or Message Modification
applications.
You can approve FileAct message instances using Alliance Messenger package on the Alliance
Web Platform. FileAct message instances do not appear in the Message Creation, Message
Approval, or Message Modification applications.
8.1.1 Message Preparation Process

Overview
Message preparation involves several steps:
1. You can create messages with the Message Creation application.

You can always create SWIFT messages.
The next stage of message processing depends on the message type and format, as well
as the permission and routing defined by your institution:
• SWIFT FIN messages must be verified or authorised, or both
• SWIFT system messages do not have to be verified, but must be authorised.
2. The Message Approval application verifies the key fields in SWIFT FIN messages, such as
value dates, currencies, and amounts.
The creator of a message does not normally verify it. The verifier re-enters the key fields,
which appear as blanks when the message is displayed. The original and re-entered fields
must match for the message to be verified successfully. Messages that are waiting for
verification are held in the Message Verification queue (_MP_verification).
15 July 2011 89
3. Verified SWIFT FIN messages and SWIFT system messages are authorised for release to
the appropriate network with the Message Approval application.
During authorisation, a visual check of the message is made. Normally, supervisors
authorise messages. Messages waiting for authorisation are held in the Message
Authorisation queue (_MP_authorisation).
4. When authorised, the message is transferred to the appropriate queue for the network
specified within the message. Alliance Access takes messages from the network queues
and transmits each message on the network automatically.
8.1.2 SWIFT Message Validity

Overview
The Message Creation application helps you to create valid SWIFT messages. A message is
valid if it has the correct syntax and a completed header, mandatory text fields, and trailer.
Alliance Access performs a full syntax validation on the text of a message when it is being
created, to ensure that invalid messages are not routed to the SWIFT network. Alliance Access
identifies syntax errors or any mandatory fields that are empty, so that you can correct them. If
you cannot correct an error in the message, then you can move the message to the text
modification queue. For example, this situation may arise if some instructions are missing from
the message. The message remains in the queue until you or another operator corrects the
error. This prevents invalid messages from being sent to the SWIFT network.
Alliance Access does not perform a semantic check of the message when the message is being
created. Therefore, a message that is valid within the message preparation applications may be
rejected after Alliance Access sends it to the SWIFT network. Before SWIFT can return a
positive acknowledgement (ACK), SWIFT performs semantic checks, and other checks, such as
the validity of the sender, and receiver. If these checks are successful, then an ACK is returned.
If the checks fail, then SWIFT rejects the message, and returns a negative acknowledgement
(NAK). The NAK provides the reason for the rejection.
8.2 Types of Messages

Overview
This section describes information about the types of messages that you can process using
Alliance Access.
8.2.1 SWIFT MT Financial (FIN) User-to-User Messages

Overview
The SWIFT MT financial user-to-user messages allow you conduct transactions with your
correspondents over SWIFTNet using the SWIFT FIN application.
FIN messages belong to one of nine categories:
Category Description
1 Customer Payments and Cheques
2 Payments, Cash Management, and Customer Status
3 Financial Trading

Message Preparation
Category Description
4 Collections and Cash Letters
5 Securities
6 Precious Metals and Syndications
7 Documentary Credits and Guarantees
8 Travellers Cheques
9 Cash Management and Customer Status
Messages are numbered within each category, beginning with the category number and
followed by a unique 2-digit number. The resulting 3-digit number is known as the message type
(MT). So, message type 510 (Confirmation of Purchase or Sale) is referred to as "MT 510". The
character "n" is used to enable groups of messages to be referred to together. So, all Category
5 messages are referred to as "MT 5nn", where "nn" is a 2-digit number.
Each message contains the following elements:
Message part Description
Header Defines the sender, receiver, message type, priority and so on. A message is
divided into blocks with the header information in blocks 1, 2 and 3.
Text The actual contents of the message: the financial information that the sender wants
to send to the receiver. The data in the text block is usually structured into a
predefined sequence and format, as determined by SWIFT's message standards
(see the User Handbook for further information). The text is in block 4 of the
message.
Trailer Confirms the authenticity of the sender, contains control information, and indicates
whether any special handling is required of the receiver. The trailer is in block 5 of
the message, and is identified by a 3-letter code.
You can send SWIFT FIN user-to-user messages onto the SWIFT and Application networks.
8.2.2 SWIFT System Messages

Overview
You can use the message preparation applications to prepare and send system messages to
SWIFT by means of the SWIFTNet network. System messages either request administrative
information from, or send it to the SWIFT FIN application. See the User Handbook for
information about system messages.
8.2.3 SWIFT MX Messages

Overview
Alliance Access supports Standards XML (MX) messages used for SWIFTNet services such as
Cash Reporting and Funds, and so on. MX (XML) messages can be sent and received by
Alliance Access, but creation, modification, or approval of MX messages cannot be performed
directly. To do this, you must use Alliance Messenger, available on Alliance Web Platform.
15 July 2011 91
8.2.4 File Messages

Overview
Alliance Access supports FileAct messaging. Alliance Access can send and receive files over
the FileAct service. Files within Alliance Access are represented as File messages, which can
appear in the Message File application. These File messages cannot be modified in Alliance
Access. Alliance Access can send and receive File messages from back-office applications
using message partners that use the connection method "File Transfer" or "WebSphere MQ"
and the data format, XML version 2 Revision 2 or above, or using message partners that use as
connection method "Direct FileAct".
8.3 Message Information for SWIFT MT and System

Messages
Overview
This section contains details about:
• SWIFT Message Trailers
• Unique Message Identifiers (UMIDs)
• Business Identifier Codes (BIC)
• Message Queues and Routing.
8.3.1 SWIFT Message Trailers

Overview
Every SWIFT message has a trailer that:
• Indicates the status of the message. For example, whether the message is for Test and
Training purposes (TNG)
• Assists in checking the integrity of the message, for example, to convey checksums.
Note With SWIFTNet PKI for FIN, a signature element is generated in the enveloping
InterAct message.
• Warns the receiver that some special handling may be required for the message, for
example, the message may already have been delivered by SWIFT, or the message may
have been sent before (PDM, PDE).
When a PDE or PDM is added to the message at emission, or detected at reception, then the
event is marked in the event journal.
Most trailers are computed and attached automatically to the end of the message. They do not
normally appear as part of the message. The only exception is the PDE (Possible Duplicate
Emission) trailer, which is added to a message, at the sender's request, to indicate to the
recipient that the same transaction may already have been conveyed in an earlier message.
A PDE trailer is usually added if the sender is unsure whether a previous message was actually
sent to the recipient, for example, following an application system failure. On receipt of a
message with a PDE trailer, the recipient will try to match the transaction to an earlier message,

Message Preparation
for example, by reference to the TRN. If none is found, then the message containing the PDE
trailer is processed as normal. If a duplicate transaction is found, then the message with the
PDE trailer is discarded.
8.3.2 Unique Message Identifiers (UMIDs)

Overview
Every SWIFT message can be uniquely identified based on information contained within the
following parts of the header, and text:
Message identifier Description
I/O This is a single-character direction indicator. "I" means an input message, that is,
a message input to the network specified within the message, from Alliance
Access. "O" - means an output message, that is, a message output from a
network to Alliance Access.
Correspondent This is 11 alphanumeric characters long and is the full BIC address of the
sender, or receiver of the message. If no specific branch code is given, then the
last 3 characters of the BIC address default to "XXX". For messages with a
direction indicator of "I", the BIC address identifies the receiver of the message.
Where the direction indicator is "O", it identifies the sender of the message.
MT For SWIFT format, this is always a 3-character number and refers to the
message type, for example, "100" for a customer transfer.
Reference This is either the Transaction Reference Number (TRN) as given in Field 20 of
the message, or the Message User Reference (MUR) extracted from the User
Header block of the message, in SWIFT format. This reference may be up to 16
characters in length. The exact form of reference used - TRN or MUR - is
determined during the installation of SWIFT Message Syntax Tables into Alliance
Access.
In addition, the Suffix can help uniquely identify a message. The Suffix is a system-generated
value that consists of the date that the message was created (in "YYMMDD" format), and
optionally, an additional value. The additional value is generated only if a message is already
present in the message file which has the same values for I/O, Correspondent, MT, and
Reference.
8.3.3 Business Identifier Codes (BICs)

Description
A financial institution is assigned business identifier code (BIC) and the BIC identifies that
financial institution within messages.
The BIC has four distinct parts:
Code Description
Bank A 4-character code (BBBB) that identifies all instances of a particular institution
worldwide (this is sometimes referred to as the BIC-4 address).
Country A 2-character code (CC) that identifies a country in which an institution operates (this,
along with the Bank Code, is sometimes referred to as the BIC-6 address).
Location A 2-character code (LL) that identifies a particular location within a country.
Branch A 3-character code (BCD) that identifies a particular branch of an institution in a

particular location. In messages, if the branch code is not known or not used, the
characters "XXX" are used instead.
15 July 2011 93
If a BIC address is given without a branch code, then the eight characters, "BBBBCCLL",
uniquely identify a financial institution, at a particular location, within a particular country. This
form of address is called the "BIC-8" address for that institution and is identical to the
institution's SWIFT "destination address".
If a BIC address is given with a branch code, then the eleven characters, "BBBBCCLLBCD",
uniquely identify a particular branch of a financial institution at a particular location, within a
particular country. This form of address is called the "BIC-11" address for that institution. If a
branch is not known, or not used, then BIC-11 addresses may be expressed as
"BBBBCCLLXXX".
BIC Directory
SWIFT regularly publishes the BIC Directory which is a directory of all registered BICs. The BIC
Directory lists all institutions:
• with a connection to the SWIFT network.
• with a BIC address, but without a current connection to the SWIFT network.
This information is also distributed electronically in the form of a Bank File. Use the
Correspondent Information File application to load it. You can add your own correspondents to
the CIF. You then must select a new unique Business Identifier Code (BIC).
Terminal code
During message preparation, the sender and receiver of a message are identified by their BIC-8
or BIC-11 addresses. A further character, called a Terminal Code, is combined with the BIC to
identify the logical terminals used by the sender and the receiver of the message. The Terminal
Code occupies the ninth position of the BIC address (in front of the branch code):
"BBBBCCLLXBCD". The Terminal Code of the receiver defaults to "X" because the sender has
no way of knowing which logical terminal the receiver will use to receive the message.
8.3.4 Message Queues and Routing

Overview
Alliance Access holds messages in message queues, according to their current status. The
queue named "_MP_creation" holds templates, but messages are held there for a fraction of a
second before being routed instantaneously to the next queue. You use the three Message
Preparation applications to process the messages in the different queues.
You can change the default message queue settings in the Routing application. For more
information, see "Message Routing" in the System Management Guide.
If at any stage you cannot send a message to the next normal queue, perhaps because you do
not have enough information to do so, then you can send it to the Text Modification queue
(_MP_mod_text). If Alliance Access itself has a problem with an input or output message and
cannot process it, then the system routes the message to one of several other modification
queues. Use the Message Modification application to edit the messages in these queues so that
Alliance Access can process them normally.
Each message queue has a set of "routing rules". These determine the default flow of
messages from one queue to the next, which your institution can change, if needed. After you

Message Preparation
finish creating, modifying, verifying, or authorising a message, there are three different methods
you can use to move the message to another queue so that its processing can continue:
• You can "route" a message to the next logical queue, according to the routing rules. For
information about routing rules, see "Message Routing" in the System Management Guide.
• You can "dispose" a message to a queue. In this case, a list of possible queues, and you
select the queue to which the message is moved.
• You can move a message to the Text Modification queue (_MP_mod_text) for later editing.
There are restrictions on the methods that you can use to move a message. Details are given in
the next section.
For maximum security and accuracy, message preparation normally requires three people:
• creator
• verifier
• authoriser.
You can reduce the number of people involved in message preparation by giving operators
permission in their profiles to create, verify, and authorise messages, but ensuring that they are
not allowed to verify/authorise the messages that they have created themselves.
Operator profiles also define the sort of message that operators can prepare and which queues,
if any, they can bypass.
If operators in your institution belong to different units, then this also affects which messages
they can prepare.
The Alliance Administrator uses the Security Definition application to view and modify profiles
and units and assign them to operators. For more information about unit definition and
assignment, see the System Management Guide.
8.4 Message Information for SWIFT MX Messages

Overview
This section contains details of:
• Standards XML Syntax
• Extraction of MX Keywords
• Message Validation
• Message UUMIDs
• Business Identifier Codes (BIC)
• MX Message Standards
• Message Formatting and Expansion.
15 July 2011 95
8.4.1 Standards XML Syntax

Overview
The Standards XML defines a structure which is defined as the "request payload". Within the
"payload" are the message header and the body of the message called the "Document" which
contains the XML schemas. All MX messages processed by Alliance Access must comply with
the Standard MX message format and syntax definition.
8.4.2 Extraction of MX Keywords

Overview
Alliance Access extracts the MX Keyword fields from the MX Message Payloads. The extraction
is based on the MX Keyword XPath definitions defined by Standards XML. The MX keywords
are extracted from the messages by default and are available for display and routing purposes.
8.4.3 MX Message Validation

Overview
Alliance Access performs a basic validation of the XML structure of the payload as follows:
• Size of an InterAct XML payload does not exceed 100,000 bytes
• InterAct XML payload must have a structure compliant with the Standards XML.
8.4.4 MX Message UUMIDs

Overview
Alliance Access maintains a User Unique Message Identifier (UUMID) used to identify each
message. The UUMID is constructed for MX messages as follows:
Message Description
identifier
I/O This is a single-character direction indicator. "I" means an input message, that is, a
message input to the network specified within the message, from Alliance Access.
"O" means an output message, that is, a message output from a network to Alliance
Access.
Correspondent Eleven-alphanumeric character long and is the full BIC8 address of the sender or
the receiver of the message plus "XXX". For messages with a direction indicator of
"I", the BIC address identifies the receiver of the message. Where the direction
indicator is "O", it identifies the sender of the message.
Message type Three-character number that indicates the message type. It is extracted from the
schema name or defaulted to "MX ".
Reference This is a maximum of 30 characters and contains the "Request Reference"

(equivalent to the TRN or MUR for a SWIFT MT message). It is extracted from the
mesg_user_reference_text.
Example: IGEBABEBBXXX007myref

Message Preparation
8.4.5 Business Identifier Codes (BIC)

Overview
All financial institutions are assigned Business Identifier Codes (BICs) by which that institution
may be identified within messages. For details, see "Business Identifier Codes (BICs)" on
page 93.
8.4.6 MX Message Standards

Overview
SWIFT provides standards for MX message services (Standards XML) through its message
standards deployment packages.
These can be installed on Alliance Access using the SWIFT Support application by means of
the Alliance Workstation on Windows. See "Install an MX Message Standard" in the System
Management Guide.
8.4.7 Message Formatting and Expansion

Overview
Alliance Access is responsible for formatting an MX message payload in an expanded form.
For example:
<AppHdr xmlns="urn:swift:xsd:$ahV10">
<MsgRef>123456789</MsgRef>
<CrDate>2002-09-09T13:20:00.001-05:00</CrDate>
</AppHdr>
<Document xmlns:xsi="http://www.w3.org/2001/XMLSchemainstance"
xmlns="urn:swift:xsd:mas.mepsplus.mval.br$camt.007.001.01">
<camt.007.001.01>
<CompoundTag2>
<SingleTag1>value</SingleTag1>
<SingleTag2/>
</CompoundTag2>
</camt.007.001.01>
</Document>
Payloads in UTF-8 encoding are accepted.

The expanded message is generated using the following conventions (indentation is two space
characters):
• Only printable US-ASCII characters below 127 appear. All other characters are replaced by a
"."
• CR, LF, and CR/LF are replaced by a New Line
• Tab is replaced by a space character
• Lines are wrapped based on the maximum line length provided with the format API (typically
72). The wrapped line keeps the current indentation and is aligned with the text on the
previous line (that is, after the tag).
• A tag is never indented with more than 30 positions (nesting of 15 levels). If the tag goes
deeper than 15 levels, then only an indentation of 15 levels is used, and the indentation is
only undone upon the return to level 14.
15 July 2011 97
• Start and end tags appear as follows:
– On one line if the field contained within the tags does contain a value and no further
subfields. Line wrapping is as described above.
– The end tag on a new line and is aligned with the starting "<" character of the
corresponding start tag, if the field contained within the tags does contain further subfields.
– Empty tags appear as one single tag ending with "/>".
• Tags not fitting on one line are wrapped keeping the current indentation and are aligned with
the starting "<" character on the first line.
8.4.8 SWIFT MX Messages

Overview
Message Preparation functions for MX messages are provided by Alliance Messenger, available
on Alliance Web Platform.
For information, see the Alliance Messenger Administration and Operations Guide.

Creating Messages
9 Creating Messages
Overview
One of the applications that is used most within Alliance Access is Message Creation. With this
application, you can create financial messages for secure transmission to correspondents all
over the world using the SWIFT networks (if you are licensed to do so). You can also use the
application to create system messages to communicate with the SWIFT organisation and its
user community about network issues.
From the first time you run the application, you can start to create FIN messages quickly and
easily. You can create templates for messages that you send on a regular basis. If you are
familiar with message syntax, or want to paste text in from external sources, then you can
create FIN messages in fast mode. Alternatively, you can create FIN messages in prompted
mode which offers a lot more assistance in the completion of fields.
You can use the Message Creation application to create SWIFT messages at any Alliance
Workstation. You can only create a message for a unit to which you belong, or create a
message which is not assigned to a unit.
9.1 Message Creation Process

Overview
The Message Creation application provides all the functions necessary to create messages.
You can either create a completely new message, or you can open an existing template and
base the message on it..
Depending on your operator profile, you can:
• Open a template and base a new message on it
• Create a SWIFT message by entering all its details in full
• Create a template, or modify or remove an existing template.

For information about using templates, see "Message Templates" on page 103.
After you finish creating a message, route or dispose it to the next Alliance Access message
queue. If the message is incomplete, then you can move it to the Text Modification queue for
later editing. For more information, see "Routing, Disposing, and Moving Messages" on
page 125.
If you decide not to complete a message which you are creating, then you can "cancel" the
message. For more information, see "Cancelling a Message" on page 129.
You can obtain help about tabs and fields within the Message Creation window by pressing F1
at any time.
Note Throughout this section, the words "SWIFT message" mean that a message is in
SWIFT format, and do not imply that the message is being sent on the SWIFT
network. In this case, the network is specified in the network data information within
the message.
15 July 2011 99
9.1.1 Correspondent Information File (CIF)

Overview
If a correspondent record exists for the message sender, or receiver in the Correspondent
Information File (CIF), then Alliance Access takes values from the correspondent record and
includes them as default values for the address expansion in the header, and for network data
and security data information. This helps to speed up message creation.
You can specify that the message is sent to an alias. An alias is an alternative name for one or
more correspondents. The Correspondent Information File application is used to define aliases
for correspondents. For more information about aliases, see the System Management Guide. If
an alias is for a group of correspondents, then you can create one SWIFT MT 999 message and
broadcast it to the whole group of correspondents. Alliance Access obtains the correspondent
details from the CIF and creates separate identical original messages to send to each
correspondent.
9.1.2 Modes of Creation for SWIFT Messages

Overview
There are two modes of SWIFT message creation, "prompted" and "fast". You can create FIN
messages in either mode but system messages must be created in prompted mode.
In prompted mode, each field has a text description displayed next to it, and the syntax for the
field which currently contains the cursor is also shown on screen. If you are a less experienced
operator, or you are creating a message whose syntax you are not sure of, then use prompted
mode.
There are three types of fast mode:
• No Tags, gives no on-screen assistance but you can copy and paste message text from
external files quickly and easily
• Mandatory Tags, shows only the mandatory field tags required by the selected message
type in the Text area
• All Tags, shows all the field tags required by the selected message type in the Text area.
Fast mode is for experienced operators creating familiar message types.
You can switch between prompted mode and fast mode at any time during message creation,
provided Alliance Access has validated the message as being complete and correct. To switch
mode, select Display Fast or Display Prompted from the Message menu, or press F10.
9.2 Message Creation Window

Description
When you run the Message Creation application, the Message Creation main window appears.
In the window is a list of the message templates that are available to you, listed in order by
name. If a template has an operator ID in the Reserved by column, then that operator is
modifying the template at present.
The following pages include an example of the window and provide some general information
about its design.

Creating Messages
Example of Message Creation main window
Window information
View Commands
You can configure the information that is displayed in the Message Creation window with the
View command in the Template menu.
Command Action
Unit Indicates which unit the message template is assigned to. Units are
groups of operators that have something in common, such as access to
confidential information.
Sender Displays the BIC-11 address of the institution sending the message, as
defined in the message template.
Preference Commands
The Preferences command on the File menu lets you configure various aspects of the
Message Creation application. The following options are available:
Command Action
Colors ... Changes the default colours that fields appear in when you are working
on a message text in prompted.
Enable Message Print Prints a copy of a message when it is queued.
Auto-Zoom Multiline Fields Automatically opens a box which you can type the contents of the multi-
line field into. The box has word-wrapping and indicates the position of
the cursor within the field as you type.
Allow Tab-Wrapping in Text Makes the cursor jump from the last field to the first field when the TAB
key is pressed while you are working on text in prompted mode. If this
preference is switched off, then the cursor jumps to the Text tab when
the TAB key is pressed in the last field. You can then jump to the
Header, Network, or Security tabs using the arrow keys.
Tool Bar
The Message Creation main window has a toolbar, which is situated near the top of the
window and provides access to the most common commands.
Button Description
Open Open a template to create a message.
15 July 2011 101

Button Description
Previous List Move to the previous list of elements.
Previous Item Move to the previous item in the list.
Next Item Move to the next item in the list.
Next List Move to the next list of elements.
Search Specify search criteria and perform a new message template search.
New SWIFT Start the creation of a SWIFT message in prompted mode.
Route Route a message.
Dispose Dispose a message.
Move to Text Modification Move a message to the text modification queue.
Clear Clear the text tab of a message in creation.
Add a Template Add the message in creation as a template.
Modify Template Modify a template.
Remove Template Delete a template.

Creating Messages
Button Description
Print Print a report containing information about selected message templates.
Online help Invoke online help and list the help topics.
Status Bar
The status bar at the bottom of the window indicates how many:
• templates exist
• templates are listed in the window
• templates are selected.
9.3 Message Templates

Overview
Templates are partially completed messages that you can use when you want to create
messages that you send on a regular basis. In templates, the fields that do not change, such as
the sender and the receiver of the message, are usually already completed. The only fields that
you have to complete are the variable ones, such as dates and amounts. You can use one
template to create any number of new messages.
A template can be assigned to a unit. A unit is a group of operators within an organisation who
have common requirements, such as the need to access the same confidential information.
Only templates which are assigned to units that you are a member of are displayed in this
window. Templates that are not assigned to any unit are available to everyone. For more
information about unit definition and assignment, see the System Management Guide.
The Message Creation window lists the message templates that are available to you, listed
alphanumerically by Name. If a template has an operator ID in the Reserved by column then
this means that operator is currently modifying it. If you want to modify a reserved template,
then you can make a copy of it by selecting Message/New As... and add it back to the list
under a different name (Template/Add). A reserved template can be used "as is" to create a
message by selecting Message/New As.
9.3.1 Creating a New Message Template

Overview
When you have created a message (see "Creating a New Message" on page 108) , you can
create a template from it.
To create a message template

1. Select Add from the Template menu in the Message Creation main window.
15 July 2011 103

The dialog box appears:
2. Type the name of the template. This name identifies the template and appears in the
Message Creation window.
3. Click OK . An event marking the creation of the template is placed in the event journal.
9.3.2 Basing a New Message on a Template

To base a new message on a template
1. In the Message Creation main window, double-click the message template that you want
to use.
2. Complete the message by entering values in the appropriate fields.
9.3.3 Modifying Message Templates

To modify a template
1. Select the template in the Message Creation main window.
2. Select Open... (Ctrl + O) from the Template menu.
3. Make the necessary changes to the template.
4. Select Modify from the Template menu to save your changes. The modified template is
saved. The template remains displayed so that if needed, you can create a message based
on it. An event marking the modification of the template is placed in the event journal.
5. Close the template (by clicking the X in the top right corner of the window).
9.3.4 Removing Message Templates

To remove templates
1. Select a template or a list of templates in the Message Creation main window.
2. Select Remove from the Template menu. An event marking the removal of the template is
placed in the event journal.
9.3.5 Searching for Message Templates

Overview
You can search for templates that match certain criteria and list them in the Message Creation
window. If you want to print the list of templates, then select them and select Copy from the
Edit menu.

Creating Messages
To search for templates

1. Select Search... from the Template menu. The Template Search window appears.
The Format of the message is SWIFT. You cannot select a different format.
Note You can use some or all of the search criteria.
2. Enter a part of the name of the templates that you are searching for. You can also use the
following characters:
• % - to replace one or more unknown characters in a string, for example MT5%
• _ - to replace one unknown character in a string, for example MT1_0
3. Select an operator in the Created By field to indicate who created the templates that you
want to search for.
4. Select who the templates were Modified By.
5. If you want the search to consider uppercase and lowercase letters then select Match
case.
6. Click OK to start searching based on the criteria that you provided.
9.3.6 Sorting Message Templates

Overview
You can rearrange the order in which message templates are listed in the Message Creation
window.
To change the sort order

1. Point to the column heading that contains the attribute that you want to sort by. For
example, to sort by Sender, point to the Sender column.
2. Click with the left mouse button to change the sort order. A triangle appears in the column
heading to indicate whether the sequence is ascending or descending.
In the following example, templates are sorted in descending order by name:
15 July 2011 105

9.3.7 Printing Message Templates

Overview
You can print out templates. Before printing, a print preview dialog box appears so that you can
see the template before printing it.
To print a template
1. Double-click the template that you want to print.
2. Select Print... from the Template menu. You can use the following buttons:
• Print... prints the template.
• Next Page displays the next page of the template.
• Prev. Page displays the previous page of the template.
• Two Page displays two pages side by side.
• Zoom In displays the message in more detail.
• Zoom Out displays the message in less detail.
• Close exits from the Print Preview window without printing the template.
9.3.8 Reporting Tool for Message Templates

Purpose
The Template Management tool (templatemgt) enables you to create a list of message
templates based on selected criteria.
The tool also enables you to remove obsolete message templates from the Alliance Access
database.
When an operator runs the tools, Alliance Access writes an event to the Event Journal, with the
following information:
• The date and time at which the templatemgt tool was run
• The operating-system account of the operator who used the tool
• The parameters that the operator specified when launching the tool

Creating Messages
Prerequisites
The Alliance Access servers must be stopped (not running in either Housekeeping or
Operational mode) before running this tool.
Permissions required
The tool must be invoked from the command line by the user all_adm. It accepts a number of
optional parameters to select the templates to include in the output list.
Tool location
The tool is located in the following directory:
• for Windows: <Alliance installation directory>\BSS\bin\win
• for AIX: <Alliance installation directory>/BSS/bin/AIX
• for Oracle Solaris: <Alliance installation directory>/BSS/bin/SunOS

Note that the tool can be run in two ways:
• By entering the command from the directory where the tool is located.
• From another location. In this case, you must provide the full path, and the command.
Command syntax
templatemgt
[-f <filename>]
[-s <syntax> | -l <syntax> | -x]
[-c <operator>]
[-m <operator>]
[-u <unit>]
[-d <date>]
[-n <date>]
[-R]
[-h]
Parameters
Parameter Description Mandatory?

-f <filename> Defines the output filename (defaults to standard output).
-s <syntax> Selects templates with a specific message syntax version, for example, -s
0305.
-l <syntax> Selects templates with a message syntax version older than the one
specified.
-x Selects templates for MX messages.
-c <operator> Selects templates created by a specific operator.
-m <operator> Selects templates last modified by a specific operator.
-u <unit> Selects templates for a specific unit.
-d <date> Selects templates created before a specific date (date format: dd/mm/yy).
-n <date> Selects templates last modified before a specific date (date format: dd/mm/
yy).
-R Permanently removes the selected templates.
-h Displays help about the usage of the tool.
15 July 2011 107

Additional information
The output list is comma delimited, and can be directly imported into applications such as Excel.
The output resembles the following example:
Template,Syntax,Creator,Created at,Last modifier,Unit,Last modified at
myTemplate,0305,dirk, 23/04/05 17:20:15,eric,None,26/04/05 13:19:32
temp553,0505,bob,22/04/05 13:20:14,robin,None,22/04/05 14:00:12
9.3.9 Resolving Message Syntax Table Conflicts

Overview
A template in SWIFT message format may have been created using a different Message Syntax
Table from the one assigned to the logical terminal which you are using. For information about
Message Syntax Tables, see "Installing a Message Syntax Table" in the System Management
Guide.
If you are not entitled to use the logical terminal for the template, then the logical terminal field
on the screen is blanked out. When you fill in a logical terminal for which you are entitled,
Alliance Access uses the Message Syntax Table assigned to that logical terminal to validate the
message text in the template.
If the message syntax table used to create the text in the template is different from the one on
the logical terminal, then the one on the logical terminal is used to validate the message. If the
message is not valid, then it is opened in fast mode. It is the users responsibility to adapt the
text and to save it as a new template.
9.4 Creating a New Message

Ways to create a message
From the main Message Creation window:
• Click a message template and select New As in the Message menu or, alternatively, double-
click a message template to open a copy of a message with many key fields already
complete. The message text appears in the mode it was created in, but you can switch.
• Select New SWIFT Prompted from the Message menu to open a blank SWIFT message
with the message text displayed in prompted mode.
• Select New SWIFT Fast (No Tags, Mandatory Tags, or All Tags) from the Message menu to
open a blank SWIFT message with the message text displayed in fast mode.
Information in a message
You can insert the following types of information in a message:
• Header: the identity of the sender and the receiver of the message.
You can also provide other details, which are different for a SWIFT message. For example,
for a SWIFT message, you must specify what type of message that you are creating. For
more information about completing message headers, see "Completing the Message Header
- SWIFT Message" on page 109.
• Text : the text of the message.

This layout is different for SWIFT messages. See later in this section for details of text entry
for messages.

Creating Messages
• Network: the network application that is used to send the message.

The range of networks is restricted to those for which your organisation is licensed. After you
select the network, other fields appear so that you enter additional information.
• Comments: comments about the content of the message.

Comments are not transmitted on the SWIFT network.
• Security: the information required to authenticate the message.

The authentication data depends on the network used to send the message. For more
information, see "Completing Security Details" on page 124.
Example
When you open a new message, the Message Creation window appears:
9.4.1 Completing the Message Header - SWIFT Message

Reconciliation of FIN Traffic
SWIFT provides delivery monitoring facilities that allow the sender of a message to monitor the
progress of that message across the SWIFT network to the intended receiver.
To make full use of the delivery monitoring facilities for SWIFT user-to-user messages, you
must ensure that you specify both the message priority and the delivery monitoring options,
when you prepare a message.
For more information about how to use the delivery monitoring facilities to help with traffic
reconciliation, see "Reconciling FIN Traffic" on page 304.
To complete the message Header

1. Click Unit to select the unit to which the message is assigned. Only operators who are
members of the same unit are able to access the message.
15 July 2011 109

2. Click Type to select the type of correspondent sending the message: Institution,
Department, or Individual. If you select Department or Individual, then extra fields
appear so that you can enter additional details.
3. Enter the BIC-11 address of the sender institution in the Institution field. This must be the
address of an internal correspondent whose details are recorded in your Correspondent
Information File. An internal correspondent is a correspondent that has at least the same
BIC-4 (bank code) as your organisation.
To record new correspondent details in the Correspondent Information File, run the
Correspondent Info application. If you modify internal correspondent information in the
Correspondent Information File, then you must restart Alliance Access.
4. If the correspondent Type is Department or Individual, then complete the extra fields so
that the Department or Individual is clearly identified. The combination of details in the
Institution field and these other fields make up a Full Name which uniquely identifies the
correspondent to Alliance Access.
5. Click Sender LT to select the logical terminal that the message is to be sent from. You can
only send a message from a logical terminal that is licensed to your installation. The logical
terminal that you select must belong to a destination that you have permission to send
messages from.
6. Click Application and select:
• FIN, to send a financial or system message to the Financial Messaging Service.
• APC, to send a system message to the Application Control.
7. The FIN-Copy field only appears if you set the Application to FIN. Only use this field if you
have installed a FINCopy service. Use the SWIFT Support application to install and control
the FINCopy service. Select the three-character ID of the FINCopy service that
corresponds to the Central Institution Destination (a local regulatory body) you want to copy
the message to.
The FINCopy service lets you copy messages in one of three ways:
• "Y copy" in which the central institution either authorises the message and delivers it to
the receiver, or rejects the message, that is aborts the copy process, and notifies the
sender.
• "T copy" in which the central institution only receives a copy of the message. The original
is sent directly from the sender to the receiver. The central institution does not authorise
the message before it is delivered.
• "Bypassed" in which the message is not sent or copied to the central institution.
8. In the Message Type field, type the number of the message type that you want to create. If
you do not know the exact number, then type the first one or two digits and press the Tab
key. A list of all matching message types and descriptions appears.

Creating Messages
Double-click the message type that you want to create.
9. For certain message types, an additional field appears where you can specify an extension.
This extension determines the layout of the message.
For example, when you create an MT 103, you can select the Message Types 103,
103.REMIT, or 103.STP. Alliance Access automatically puts the extension into the
validation flag (field 119 of block 3).
Note For other messages types, no additional field appears for you to fill in. Instead,
Alliance Access automatically places the contents of a field or subfield in the
message text into field 119.
Some examples are:
• the collateral reason for MT 503, MT 504, MT 505, MT 506, and MT 507
• the RFDD flag for MT 104.
10. The message priority determines the priority with which SWIFT delivers a message.
Click Priority to select the priority for the message:
• N: normal priority
• U: urgent priority
SWIFT delivers urgent user-to-user messages first, then normal user-to-user messages. If
you do not specify a priority, then system messages are always delivered first, followed by
messages with urgent priority, and then messages with normal priority.
The message priority affects the delivery monitoring options that you can specify for a
message.
11. When you create a message, you can request that SWIFT sends system messages in
response so that you can monitor the progress of your message.
Click Monitoring and select an option for monitoring the delivery of the message:
Priority Monitoring Description
Normal N no monitoring
2 delivery notification(1)
Urgent 1 non-delivery warning(2)
15 July 2011 111

Priority Monitoring Description
3 both non-delivery warning and

delivery notification
(1) SWIFT sends an MT 011 (delivery notification) to you after the message has been delivered to your
correspondent
(2) SWIFT sends an MT 010 (non-delivery warning) if the message is not delivered to your correspondent within
a fixed period.
12. You can specify that the message is sent to an alias as long as the alias is defined in the
CIF. An alias is an alternative name for one or more correspondents. Check the Alias box.
13. If you check Alias, then select or enter an alias name in the field that appears. If the alias is
for a group of correspondents, then the message type must be SWIFT MT999. The
message is broadcast to the group of correspondents.
If the alias represents only one correspondent, then there is no restriction on the message
type. If the alias is for a group, then you do not have to complete the next few steps -
continue at step 18
14. Click Type to select the type of correspondent receiving the message: Institution,
Department, or Individual. If you select Department or Individual, then extra fields
appear so that you can enter additional details. For sending messages to the SWIFT
network, Institution is the only valid type.
15. In the Institution field, type the BIC-11 address of the Receiver correspondent. This is
usually a BIC-11 address for an external correspondent, that is, one not owned by your
organisation, and so having a different BIC-11 to your organisation. It can, however, be an
internal one.
When you move the cursor from the field where you identified the institution, if a record
exists for this BIC-11 address in the Correspondent Information File, Alliance Access
completes the Address Expansion fields automatically. If the BIC is not found in the
Correspondent Information File, then the Address Expansion fields remain empty. It is
possible that the BIC you have typed is not yet included in the Correspondent Information

Creating Messages
File on your system. If Alliance Access does not complete the Institution and other fields,
then you can type the data yourself, although this is not mandatory.
If the message requires authentication and therefore, also authorisation, then the
Institution field shows the default error colour, a beep sounds, and an error message is
displayed if the one or several of the following conditions exist:
• no valid authorisation to send is present
• a valid and enabled authorisation to send is present, but the authorisation does not the
allowed permissions for this message type
• a FINCopy service has been selected but the FINCopy server has not been set up to
bypass message authorisation
• the message is a FIN T&T message and RMA authorisation is required for T&T but it has
not been configured
16. If you specified the correspondent Type as Department or Individual, then complete the
extra fields so that the Department or Individual is clearly identified.
17. Click User PDE if you want to add a PDE trailer to the message. By default, messages are
sent without a PDE trailer.
18. In the Banking Priority field, type a priority with which your correspondent processes the
message. This field is optional. Any value that you enter in this field must be agreed with
the correspondent in advance.
19. In the M.U.R. field, enter a message user reference of up to 16 alphanumeric characters.
This field is optional. How the reference is derived and how it is used is for individual
organisations to decide.
9.4.2 Completing the Text of a SWIFT Message in Prompted

Mode
Description
In the Text tab, the text of the message type in prompted mode, with a unique sequence of
mandatory and optional fields. This sequence is derived from the Message Syntax Table
currently assigned to the Sender logical terminal. Complete these fields in their displayed
sequence. If the message type has more fields than can appear in the viewing area, then scroll
vertically by using the scroll bar on the right. A horizontal scroll bar appears at the bottom of a
field if the width exceeds the viewing area.
Note Alliance Access fills the Codeword/Common Reference field (Field 22C)
automatically when the message is created manually.
15 July 2011 113

A typical message type (MT 103) is shown here:
To type data into a field, place the mouse pointer over the field and click the left-hand button
once to create an insertion point. Within the Message Text tab, while the entry cursor is in a
field, you can use the following accelerator keys:
Keys Description
Tab Jumps to the next field of the message
Shift + Tab Jumps back to the previous field of the message
Ctrl + T Jumps to the top of the message, into the first field
Ctrl + B Jumps to the bottom of the message, into the last field
Ctrl + M Jumps to the next mandatory field of the message
Ctrl + Shift + M Jumps to the previous mandatory field of the message
Ctrl + E Jumps to the next field of the message which is in error
Ctrl + Shift + E Jumps to the previous field of the message which is in error
Ctrl + Z Jumps to the next completed field of the message. If a field has empty subfields the
first time these accelerator keys are used, then the cursor may jump to an empty
subfield
Ctrl + Shift + Z Jumps to the previous completed field of the message.
F8 If the cursor is in a multi-line edit field, then it displays the auto zoom box which
allows automatic word-wrapping. You can set the auto-zoom to appear each time
that you put the cursor in a multi-line edit field by selecting Preferences/Auto-
Zoom Multiline Fields from the File menu.
Enter or Return Operates like the TAB key, except in Multi-line Edit fields such as Field 79, where
the Enter or Return key is used to force a new line
F1 Displays help for the field the cursor is in
Backspace Deletes the last character that you entered. Hold down this key to delete
successive characters.

Creating Messages
Note Some shortcut keys displayed on the Message and Template menus (such as Alt
+ Shift + A, to add a template) are enabled only when the Text tab has focus. If
you work without using a mouse, then please keep this in mind.
When you enter data in a field it must obey the syntax required by that field. The status bar at
the bottom of the Message Creation main window tells you what syntax is required for the field
the cursor is in:
On the far right of the status bar, the current and maximum allowable size of the message
appears. The current size increases as you enter data.
The syntax in the status bar indicates the number of characters required or allowed in the field,
followed by the character type. For example, 16A means you can enter up to 16 alphabetic
characters. Possible character types are:
Character Description Characters allowed

type
a Alphabetic characters upper case fixed-length A-Z, in fixed-length field
A Alphabetic characters upper case variable- A-Z, in variable-length field

length
b Alphanumeric characters upper case fixed- A-Z, 0-9, in fixed-length field

length
B Alphanumeric characters upper case variable- A-Z, 0-9, in variable-length field

length
c Currency code Any valid SWIFT currency code
d Numeric characters fixed-length 0-9, in fixed-length field
D Numeric characters variable-length 0-9, in variable-length field
h Hexadecimal characters fixed-length 0-9, A-F, in fixed-length field
H Hexadecimal characters variable-length 0-9, A-F, in variable-length field
N SWIFT amount Any valid SWIFT amount (including

decimal separator)
S Space character <SPACE>
x Any character from the "X" SWIFT character set A-Z, a-z, 0-9, <SPACE> / - ? : ( ) . , ' +
fixed-length <CrLf> in fixed-length field
X Any character from the "X" SWIFT character set A-Z, a-z, 0-9, <SPACE> / - ? : ( ) . , ' +
variable-length <CrLf> in variable-length field
y Any character from the "Y" SWIFT character set A-Z, 0-9, <SPACE> / - ? : ( ) . , ' + = ! "
fixed-length % & * ; < > in fixed-length field
Y Any character from the "Y" SWIFT character set A-Z, 0-9, <SPACE> / - ? : ( ) . , ' + = ! "
variable-length % & * ; <> in variable-length field
z Any character from the "Z" SWIFT character set A-Z, a-z, 0-9, <SPACE> / - ? : ( ) . , ' +
fixed-length = ! " % & * # @; < > <CrLf> in fixed-
length field
Z Any character from the "Z" SWIFT character set A-Z, a-z, 0-9, <SPACE> SPACE> /
variable-length - ? : ( ) . , ' + = ! " % & * # @; < >
<CrLf> in variable-length field
15 July 2011 115

For variable-length fields, the number preceding the character type indicates that you can enter
up to that number of characters. For example, 16X indicates that from one to 16 characters of
type X are allowable. If the minimum number is greater than one, then a number range is given,
for example, 2-8A indicates that between two and eight characters of type A are allowed.
Character strings that are optional are included in square brackets. For example, [3b] indicates
the optional use of three alphanumeric characters.
Some of the fields seen most often are:
Field Description
Currency Type a currency code. The code is expanded - a text description appears next to the field.
For example, when you enter "USD" it expands into "US DOLLAR". If you enter an
unknown currency code, then a beep sounds to warn you about a possible error and an
error status window appears.
Amount Type amounts in the format specified by the Amount parameter in the System
Management application. You can use any other format, as long as both the thousands
separator and the decimal separator are used. When you move the cursor out of the field,
the entry is validated and displayed in the format specified by the Amount parameter.
Date Enter dates in one of these formats: "YYMMDD", "MMDD", or "YYMM".
Every field in the Text tab has a field tag and a field description:
The field tag is a SWIFT standard that always appears to the left of a field and consists of the
following:
• MF (Mandatory Field), which says that the field must have input or OF (Optional Field), which
says that input is optional. The colour of these fields is defined using the System
Management application. By default, mandatory fields appear in light blue, and optional fields
appear in white.
• A 2-digit field number.
• A field option letter (where applicable) which says how the field is used in the context of the
message type. For example, MF32 is an amount field. In some message types MF32
consists of three separate subfields: value date, currency code, and amount. This version of
MF32 is called MF32A. In other message types, the value date is not required, and the field
is called MF32B.
Subfields appear separately. For example, MF32A has three subfields:
Subfields can themselves be mandatory or optional. If you start to complete an optional field,
then you must complete all mandatory subfields that are part of the field.
In some message types, you can use an option button to select which combination of subfields
that you want to use. Each option represents a different combination of subfields. The subfields
for each option do not appear until the option is selected. To select an option quickly, type its
letter, for example, A for option A.

Creating Messages
In some system messages, a special option appears with the field tag MA. You can select which
of several alternative criteria that you want to use. For example, you may want to send a FIN
MT 020 message to request a copy of FIN messages previously sent or received. You can then
define the criteria used to select the messages to be retrieved.
There are field sequences in some message types. Sequences are a group of mandatory or
optional fields which are labelled A, B, C, and so on, in the order in which they appear in the
message. Sequences can be either mandatory or optional. Each sequence is contained within
its own window within the Text tab.
Mandatory sequences must appear in the message. Optional sequences may be included or
omitted from the message, as required. Mandatory sequences are open by default and you
must complete them. Optional sequences are closed by default and you must select them if you
require them. To open or close a sequence, click the button to the far right of the sequence title.
When a sequence is closed, it is reduced to a box containing the sequence title. When a
sequence is opened, it is expanded in full with all the fields and subfields visible. Opening and
closing sequences makes large messages more manageable. Optional sequences are closed
by default, as this makes more room for the display of mandatory sequences.
15 July 2011 117

A particular field or field sequence may occur more than once. Such repetitions are known as
loops.
To keep track of the occurrences, each loop has a descriptive header consisting of three fields:
• The Min field defines how many times the loop must appear in the message. If the Min field
indicates 0, then the loop is optional and can be omitted. The fields in an optional loop do not
appear until a new occurrence is created by clicking New . If the Min field shows 1 or more,
then you must create at least that number of occurrences.
• The Max field defines the maximum allowable number of occurrences. The Max field is left
blank if you are allowed unlimited occurrences.
• The Created field shows the number of occurrences that you have created.
Here is an example of an optional loop that can be completed once within a mandatory
sequence:
If a loop is optional, then you must click New to display the first occurrence of the loop. If a loop
is mandatory, then all the fields needed for the minimum number of occurrences appear at
message creation time.
The fields within the loop appear like a field sequence and can be completed in the same way.
A Delete button appears within each loop. Above this button, the Occurrence field shows the
number of the occurrence. Loops are numbered 1, 2, 3 and so on, in the order in which they
were created. An occurrence is deleted by clicking Delete .
To create an occurrence of a loop
1. If the loop is mandatory, then move the cursor to the first field. If the loop is optional, then
click New . The Created field changes from 0 to 1 and the fields within the loop appear. The
focus is in the first field.
2. Type the data required in the field.
3. Press Tab to go to the next field.

Creating Messages
4. Repeat the previous two steps until you have entered data in all the mandatory fields, and
any optional fields that you select to complete.
5. When you Tab from the last field, the focus returns to the New button.
6. Click New or press Enter to create an occurrence, or press Tab, to exit from the loop. If you
select New , then an identical set of fields and subfields appears below the previous
occurrence. Each new occurrence is numbered and clearly identified as separate from the
previous occurrence. As you create different occurrences of a loop, the Created field (at
the top of the loop) shows how many occurrences have been created.
To delete an occurrence of a loop
1. Use the scroll bars at the side of the window to scroll up or down to locate the loop.
2. Click Delete . All the fields and subfields of the loop are deleted. When an occurrence of a
loop is deleted, all the remaining occurrences of the loop are renumbered accordingly. You
cannot "undelete" an occurrence, so be careful.
Nested Loops
Some message types have loops within loops, where one field (or group of fields) is repeated
within another group of fields. These are known as "nested loops". The "inner" loops are clearly
shown within the "outer" loops. Each occurrence of a nested loop is created in the same way as
an occurrence of a normal loop, and has its own Min, Max and Created fields just as other
loops do.
The following example shows part of a message containing nested loops:
To create an occurrence of a nested loop, click New within the "inner" loop. The position of the
nested loop is slightly indented to indicate that it falls within the "outer" loop.
Validation and Error Correction

The contents of each field are validated automatically as you move the focus on to the next field
(or subfield). Field expansion is also performed on any fields that contain a currency, date,
amount, or BIC address. If a syntax error is found, then the background colour of the field in
15 July 2011 119

error changes to the default error colour. You can either correct the error immediately or send
the message to the Text Modification queue for later modification.
Note At any time as you add text, you can select Clear from the Message menu to
erase the contents of the Text tab. This can be useful if you feel that you have
made mistakes and want to start again.
9.4.3 Completing the Text of a SWIFT Message in Fast Mode

Description
Use Fast Mode if you are familiar with the structure, and syntax of SWIFT messages. In this
mode, no validation is performed as you enter the text for each field. You are presented with
three fast mode options when you select New SWIFT Fast command from the Template menu
in the Message Creation main window:
• No Tags gives no on-screen assistance but you can copy and paste message text from
external files quickly and easily.
• Mandatory Tags shows the mandatory field tags required by the selected message type in
the text area.
The Text tab looks like this for an MT 103 message:
• All Tags shows all the field tags required by the selected message type in the text area.

Creating Messages
Assuming that you are creating an MT 103 message, the Text tab looks like this:
A brief overview of the main features of fast mode entry is given here. These features apply to
whichever field tag option that you select.
Note When using Mandatory Tags or All Tags in fast mode, all possible field tag options
appear in the message text area. Be sure to delete the letters of any field tag
options that you do not want to use.
The text of a message is entered as a sequence of fields. You must start a new field at the
beginning of a new line and the data that you enter must obey the syntax rules required for that
field (see the User Handbook for the syntax). You can also paste in text that has been prepared
in other applications.
For each message type, the message structure, syntax, field options, and code words must be
used when creating messages in fast mode. These are detailed in the User Handbook -
Standards books. When typed in fast mode, the on-screen appearance and format of a
message text must be the same as the various examples detailed in the Standards books.
A field always begins with a two-digit field tag and, if applicable, an option letter. The field tag
and option letter must be enclosed by colons, for example, ":20:" or ":32A:". The actual contents
of the field are always entered after the second colon, for example, a transaction reference
number "25/2/96-RM43-100".
A complete message text, therefore, looks like this:
:20:25/2/96-RM43-100
:23B:CRED
:32A:040528EUR1958,47
:50K: Ordering Customer
:59A: Beneficiary Customer
:71A:SHA
15 July 2011 121

Some fields, such as field 72, contain more than one line. A typical multiple line field looks like
this:
:72:SWIFT
Avenue Adèle 1
La Hulpe
Belgium
Each new line is a continuation of the field defined in the first line.
A field can consist of several subfields. Some fields have alternative sets of subfields, each
identified by an option letter after the field tag, for example, 32A and 32B.
Subfields can be of fixed or variable length. A field with two fixed length subfields (date,
currency), and one variable length subfield (amount), looks like this:
:32A:040528EUR1958,47
A field with variable length subfields must have "/" as a separator between each subfield:
:22:NEW/BEBEBB1831CRESZZ
Note In field 22, the application only checks the syntax of subfield 2. Make sure that the
semantic content is correct.
Where a message consists of a defined set of sequences, type each sequence of fields in the
order in which they are to appear in the message. No "/" separator is used.
Where a field, or series of fields, is repeated in the form of a loop, type the fields for each loop
and repeat the fields as required. No "/" separator is used.
How you enter the message text depends on whether you selected the New SWIFT Fast
command with the No Tags, Mandatory Tags or All Tags option:
Field tags displayed To enter text
No Tags On a new line, enter each 2 digit field tag followed by the field value. The field
tag and option letter must be enclosed by colons.
Press Enter at the end of a line to move to the start of a new line. You can
either continue the previous field by entering further text for it, or enter a new
field tag followed by a field value.
Mandatory Tags You must enter a field value after each mandatory field tag.
At the end of a line, if you want to enter a value for the next mandatory field
tag, use the cursor keys or mouse to move to the field tag. If you want to
continue the previous field or to enter an optional field tag, then press Enter to
create a line.
All Tags You must enter a field value after each mandatory field tag.
At the end of a line, if you want to continue the previous field, press Enter to
create a line. Otherwise, use the cursor keys or mouse to move to the next
field tag. If the next field tag is optional, then you can either enter a field value
after it or leave the field blank.

Creating Messages
9.5 Completing Network Details

Introduction
If you specified that the Receiver is a single correspondent, then you use the Network tab to:
• Select the network application which you want to use to send the message to the Receiver.
You can send a SWIFT message to the SWIFT network, or to the Alliance application
interface to external message partners.
• Type additional information for the selected network. The layout depends on the network
application that you selected.
If you specified an Alias for the Receiver in the header, then this tab is closed and you cannot
enter any data in it. Alliance Access sends a copy of the message to each correspondent using
the network application defined for them in the CIF. You can create, modify, and display alias
details with the Correspondent Information File application.
To complete the network details

1. Click Network to see the networks that you can use to send the message. Only networks
for which your organisation is licensed are shown, and then only if the network is suitable
for the selected message format.
If a name is followed by "*", then the CIF contains network "address" information for the
Receiver.
2. Select the network that you want to use to send the message. When you select a network,
other fields appear so that you can enter network address information. If the CIF contains
address information for the Receiver, then Alliance Access displays the values
automatically, although you can change them if you want. Possible networks are:
• SWIFT
If you select this option, then you are not required to enter any other data.
• APPLI
15 July 2011 123

This is the Alliance application interface to external message partners (such as back-
office banking systems). Select this option if you want to output the message so that it
can be dealt with outside Alliance Access. If you select APPLI in the Network field, then
the Target Exit Point option button appears. Click the button and select the exit queue to
which the message is to be routed.
3. If you select APPLI in the Network field, then select a Target Exit Point. This is the exit
queue to which the message is to be routed.
9.6 Completing Operator Comments

Overview
Comments can be added to all messages. Each comment is specific to an instance. Therefore,
all instances can have their own comments. The related instance is shown above the comment
field.
The comments field can hold a maximum of 500 alphanumeric characters, including line feeds.
Any operator having the appropriate permission can update its contents, modify, or remove
them.
9.7 Completing Security Details

Description
With the introduction of SWIFTNet PKI, authentication is integrated into the message sending
and receiving process.
Financial messages
If the message is financial, then it requires authentication to make it secure. Your choice of
network application determines how the message is authenticated. A message sent on the
SWIFT network is automatically PKI-signed and authenticated as part of the SWIFTNet Public

Creating Messages
Key Infrastructure messaging process. In addition, your correspondent must have authorised
you to send this message. For more information about authorisations, see the Relationship
Management Application User Guide.
Note Any financial message sent on the SWIFT network is always in SWIFT format,
because the SWIFT network only supports messages in this format.
Non-financial messages
If the message is non-financial, then the Security tab shows text to show that the message
does not require security (for a message sent on the SWIFT network) or that the message does
not require testing. If the message does not require security, then you do not have to take any
further action - you have finished creating the message. Route or dispose it to the appropriate
input network queue. For more information, see "Routing Messages" on page 126.
Authorisation validation
If the message required authorisation, then the security check displays one of the following
results:
• Success - The message was authorised.
• Authorisation not enabled - An authorisation record was found, but it was not
enabled. For example, it was revoked.
• Message not allowed according to authorisation - A valid, enabled

authorisation to send exists, and the message type is either explicitly excluded or is not
included in the authorisation.
• Authorisation Validity Period does not allow the message - An

authorisation record was found, but the message cannot be sent because the current date
falls outside the validity period of the authorisation.
• No Authorisation to send for this message - No authorisation record exists for

this message.
9.8 Routing, Disposing, and Moving Messages

Introduction
When you start creating a message it is automatically added to the creation queue
(_MP_creation). When you have finished creating the message, you must Route or Dispose it to
another queue, usually the verification queue, so that processing on it can continue. If you
cannot finish creating the current message for some reason, perhaps because of lack of
information, and you want to go on to create a message, then you can move the current
message to the Text Modification queue where you can edit it later.
The following commands on the Message menu route, dispose, or move messages from the
creation queue:
Command Purpose
Route Routes a message to a predefined queue following the routing rules, depending,
for example, on message characteristics. For more information, see "Routing
Messages".
Use of this command can be restricted to certain operators.
15 July 2011 125

Command Purpose
Dispose Displays a list of available queues so that you can select a queue to dispose the
message to. For more information, see "Disposing a Message" on page 127.
Use of this command can be restricted to certain operators.
Move to Text Moves a message to the Text Modification queue so that you can finish creating it
Modification (or edit it) later. For more information, see "Moving a Message" on page 129.
An event is recorded in the Event Journal each time that you route, dispose, or move a
message. For each message, the event describes:
• the queue the message came from
• the queue the message is in
• which operator routed the message.

When a message is first created, it is assigned a suffix, and added to the Message File.
9.8.1 Routing Messages

Introduction
An operator only has access to the Route command if the operator's profile includes the "Route
Message" entitlement. If you do not want an operator to route messages, then make sure that
the "Route Message" entitlement is deselected in the operator's profile.
System messages are routed directly to _SI_to_SWIFT.
When you route a message, the message is sent from its current queue to the next logical
queue. This queue depends on:
• The routing rules defined for the current queue.
• The format of the message.
• For messages in SWIFT format only, the message type.

If you want messages to print automatically whenever they are routed, then select File/
Preferences/Enable Message Print.
The following description assumes that the default routing rules apply. You use the Routing
application to change the routing rules. For more information, see "Message Routing" in the
To route a message
1. Select Route from the Message menu. The syntax and structure of a SWIFT message are
validated to ensure that:
• all mandatory fields, subfields, and sequences are complete
• any optional fields selected are complete
• all text loops have the minimum number of occurrences
• all completed fields and subfields have the correct syntax.
2. If a SWIFT message has no errors, then it is "valid" and is routed to the queue defined in
the routing rules. The default routing for newly created SWIFT messages is:

Creating Messages
• All FIN messages except MT 999 messages are routed to the Message Verification
queue (MP_verification).
• MT 999 messages are routed from the Message Creation queue to the Message
Authorisation queue (MP_authorisation).
3. If a SWIFT message has errors then it is not valid and the message is not routed. An
"Invalid Message" warning appears on the screen.
Click OK to acknowledge any warnings.
4. Correct any fields that are in error. All fields in error are identified in the error field colour.
The cursor is automatically placed at the first error. In prompted mode, you can use these
keys to move to fields that contain errors:
• Ctrl + E moves the cursor to the next field which is in error
• Ctrl + Shift + E moves the cursor back to the previous field which is in error.
Remember that you can change between fast and prompted mode.
5. Try to route the message again.
6. If you cannot correct the errors in a message, or the message is incomplete, then take one
of the following steps:
• Select Move to Text Modification from the Message menu to move the message to the
Text Modification queue for later editing. For details, see"Moving a Message" on
page 129.
• Cancel the message. For details, see "Cancelling a Message" on page 129.
Note When a message is moved out of the creation queue, it is added to the Message
File.
If you broadcast an MT 999 message to an alias for a group of correspondents,
then Alliance Access creates a message for each correspondent. It also creates a
copy of the message in the Message Creation queue, using XXXXXXXX as the
BIC, and 999 as the branch. You can use the Message File application to inspect
message instances. For more information about the Message File application, see
"Using the Message File Application" on page 202.
9.8.2 Disposing a Message

Introduction
An operator only has access to the Dispose command if the operator's profile includes the
"Dispose Message" entitlement. If you do not want an operator to dispose messages, then
make sure that the "Dispose Message" entitlement is deselected in the operator's profile.
The queue to which you dispose a message need not necessarily be the "next" queue in the
logical sequence of message processing. The available queues depend on:
• The operator entitlements and permissions currently assigned to your operator profile.
• The format of the message.
• For messages in SWIFT format only, the message type.
15 July 2011 127

Note If you use an alias to specify the receiver of a message, then Alliance Access does
not allow you to dispose the message.
To dispose a message
1. Select Dispose from the Message menu.
The Dispose Message window appears:
2. Select the required queue from the Possible queues to dispose to list.
3. Check Print Message if you want a hardcopy of the message that is being disposed.
4. Click OK .
The syntax and structure of a SWIFT message is validated to ensure that:
• all mandatory fields, subfields, and sequences are complete
• any optional fields selected are complete
• all mandatory text loops have the minimum number of occurrences
• all completed fields and subfields have the correct syntax.
5. If a SWIFT message has errors, then it is not valid and the message is not routed. An
Invalid Message warning appears on the screen.
Click OK to acknowledge any warnings.
6. Correct any fields that are in error. All fields in error are identified in the error field colour.
The cursor is automatically placed at the first error.
If a message has several errors, then you can use these keys to move to fields that contain
errors:
• Ctrl + E moves the cursor to the next field which is in error
• Ctrl + Shift + E moves the cursor back to the previous field which is in error.
7. Try to dispose the message again.
8. If you cannot correct the errors in a message, or the message is incomplete, then take one
of the following steps:

Creating Messages
• Select Move to Text Modification from the Message menu to move the message to the
Text Modification queue for later editing. For more information, see "Moving a Message"
on page 129.
• Select Clear from the Message menu to clear the text tab and start entering the
message field content again. Note that all data typed in the Text tab is lost.
• Click the X in the upper right corner of the template to cancel the message completely.
For more information, see "Cancelling a Message" on page 129.
9.8.3 Moving a Message

Introduction
You may decide to move a message to the Text Modification queue because you have not
finished creating it, but want to save the changes that you have made so far. You or another
operator can then edit the message later.
To move a message to the Text Modification queue

1. Select Move to Text Modification from the Message menu.
2. Click Yes . Alliance Access sends the message to the Text Modification queue.
9.9 Cancelling a Message

Introduction
Occasionally, you may want to cancel a message that you are creating. For example, during
training, you may create fictitious messages, or if you make serious errors in a lengthy
message, it may be easier to cancel the current message and start again.
To cancel a message
1. Click the X in the upper right corner of the window.
2. Click OK to cancel the message. All data is cleared from the relevant tabs.
15 July 2011 129

10 Approving Messages
Introduction
This section describes how to use the Message Approval application for the following two
purposes:
• to verify SWIFT messages held in the Verification queue
• to authorise SWIFT messages held in the Authorisation queue.

You can only verify or authorise messages if you have the appropriate permissions and
entitlements in your operator profile.
10.1 The Message Approval Window

Introduction
You can list the messages that are in the authorisation and verification queues by selecting
Authorisation or Verification from the View menu.
The main window has a toolbar which provides access to the most common commands:
Toolbar buttons
Button Description
Open Opens the message
Previous List Moves to the previous list of elements
Previous Item Moves to the previous item in the list
Next Item Moves to the next item in the list
Next List Moves to the next list of elements
Search Allows you to specify search criteria and perform a new message search
Authorise Authorises a message

Approving Messages
Button Description
Route Routes a message
Dispose Disposes a message
Move to Text Modification Moves a message to the text modification queue
Print Prints a report containing information about selected messages
Help Index Lists help topics
Help Activates and de-activates context-sensitive help. When active, point

and click an object in the window to display help. Click the icon once
more to de-activate help.
10.1.1 Setting Preferences

Description
Message Approval application.
The following options are available:
Command Action
Colors ... Changes the default colours that fields are displayed in when you are
working on a message text in prompted mode.
Auto-Zoom Multiline fields Automatically opens a box in which you can type the contents of the
multi-line field. The box has word-wrapping and indicates the position of
Warn on Open Next Used when several message instances are selected and opened at the
same time. The next message in the list is displayed automatically. If
you have the Preferences/Warn on Open Next command in the File
menu checked, then you can decide to cancel the process. Otherwise
each message in the list is automatically presented to you each time that
you route, dispose, or move to the previous message.
Warn when no Verifiable Not all messages contain verifiable fields. To warn you of messages that
fields do not require verification because they contain no verifiable fields,
select the Preferences/Warn when no verifiable fields command in
the File menu. When this command is enabled, each time a message in
the list is presented to you, and it contains no verifiable fields, the
system warns you of this fact. You can then route, dispose, or move the
message as required.
15 July 2011 131

Command Action
Allow Tab-Wrapping in Text Makes the cursor jump from the last field to the first field when the Tab
the Tab key is pressed in the last field. You can then the Header,
Network or Security tabs using the arrow keys.
10.2 Searching for Messages

Introduction
You can search for and list messages that match certain criteria in the main window. If you want
to copy and paste the messages, then select them, and then select Copy from the Edit menu.
Note When MX or FileAct message instances are present in the queues related to
message preparation, they do not appear in the Message Creation, Message
How to search for messages

1. Select Search... from the Message menu.
The Search window appears:
You can use some or all of the search criteria. The use of wildcards is allowed in the I/O,
Correspondent, Type, and Reference fields:
• "_" to replace one unknown character in a string
• "%" to replace one or more contiguous unknown characters in a string.
2. Select I/O.
The following choices are available:
• "I" to search for input messages, that is, messages that have been created for input to
the network
• "O" to search for output messages, that is, messages that have been output from the
SWIFT network to Alliance
• "%" to search for input and output messages.
3. Enter a Correspondent BIC address for the sender of the message.
4. Enter a Type of message.

Approving Messages
5. Enter a Reference. This is a Transaction Reference Number (from Field 20) or a Message
User Reference (from the Message Header).
6. Enter a Suffix.
7. In Created By, select which operator created the messages that you want to search for.
8. Select who the messages were Modified By.
9. Select Match case if you want the search to consider upper case and lower case letters.
10.3 Sorting Messages by Attribute

Introduction
You can rearrange the order in which messages are listed in the Message Approval window.
How to change the sort order

example, to sort by sender, point to the Sender column.
2. Click with the left mouse button to change the sort order. A triangle appears in the column
In the following example, messages are sorted in ascending order by Correspondent:
10.4 Message Verification

10.4.1 Verifying Messages
Introduction
If you are acting as a verifier, then you select messages from the Verification queue and display
them. Messages always appear for verification in prompted mode unless the message is too
complex. Verifiable fields appear blank. As a verifier, you must complete the blank fields. The
data that you enter is compared with the data entered by the message creator as you quit each
field. If there are any differences then the field is identified in a different colour.
15 July 2011 133

Note When there are long lists of MX message instances, you may need to use the Next
List icon or PgDn button to view any MT messages, even when the current list
does not appear to be full. Searching for messages with the SWIFT format only
lists MT messages.
How to verify a message

1. Run the Message Approval application.
2. Select Verification from the View menu.

The Message Approval main window appears:
A list of the messages that are available for verification appears. Urgent priority messages
are listed first, followed by normal priority ones. Only messages which are assigned to units
that you are a member of are listed. Messages which are "reserved by" other operators,
that is, they have them open, are listed but you cannot open them yourself. The list does
not include:
• SWIFT messages with a sending logical terminal, message type, or currency code which
your operator profile does not let you authorise
• Messages which you originally created, verified, or modified (if you do not have
permission to "Verify own entered messages" in your operator profile).
The status bar indicates how many:
• messages there are in the queue
• messages from the queue are listed in the window
• messages are selected.
3. Alliance supports many operators working on message preparation at the same time.
Messages in the Verification queue may already have been verified by another operator
since first appearing in the list.
To refresh the list of messages displayed, select the Refresh Now command from the File
menu.
4. The list shows for each message the identity of the operator who has reserved the
message (if applicable).
If you want to display additional information about a message, then select View from the
Message menu and select the appropriate option from the sub-menu.
View Description
Q Order Position of a message within the queue
Suffix Value that helps identify a specific message
Network Network application used to send the message (SWIFT or APPLI)

Approving Messages
View Description
Instance Type Message instance type, which can be:
• Original
• Copy
• Notification
Format Format of the SWIFT message
Last Modifier ID of the last operator who modified the message (if applicable)
Unit Unit to which the message is assigned
Sender The BIC-11 address of the institution sending the message
If you want your view preferences to be available next time you display the Verification
queue, then select Save Current View from the File menu.
5. Select the messages that you want to verify.

To verify:
• a single message, double-click it.
• several messages, select them and select Open from the Message menu. The first
message in the group appears.
Messages appear in prompted mode (unless they are too complex, in which case they
appear in fast mode).
Fields that do not require verification appear as originally entered, but cannot be changed.
Fields (including all related subfields) that require verification are identified in the colour as
defined in Preferences, with the field content blanked. The cursor is automatically placed in
the first verifiable field.
Optional fields that were left blank in the original message are no longer shown.
15 July 2011 135

Here is a typical message displayed in prompted mode:
If a message is too complex, then the message text appears in fast mode, with the values
for the verifiable fields replaced by # signs.
See the release letter delivered with the latest syntax table for a complete list per message
type.
The following fields are verifiable (depending on the message type):
Field tag Description Field options
19: Sum of Amounts -
32: Amount A, B, C, D, G, H, K, M, N, P, R, U
33: Amount A, B, C, D, E, F, G, K, N, P, R, U, V
34: Amount A, B, C, D, E, F, G, H, I, N, P, R
60: Opening Balance F, M
62: Closing Balance (Booked Funds) F, M
64: Closing Available Balance (Available -

Funds)
65: Forward Available Balance -
68: Details of Items A, B, C
71: Details of Charges E, F, G
90: Number and Sum of Entries C, D

Approving Messages
Note In fast mode, it is possible to change the text of the message for fields other
than those that require verification. Doing so prevents the message from being
routed: a pop-up window appears saying that the verification was not
performed.
It is possible, however, to dispose the message to text modification. A pop-up
window then appears stating that the verification was not finished.
6. Enter the required data, that is, the data entered by the message creation operator.
You must have the same information about amounts, value dates, currencies and so on, as
the creator of the message.
7. Press Enter.
If the data that you entered:
• matches the data originally entered, the field, or subfield is verified automatically as you
leave it
• does not match the data originally entered, the field, or subfield fails verification. The
field is identified in the error colour to indicate that verification has failed. Close the error
message and try to verify the field again.
8. If you successfully verify all the verifiable fields, then you can route or dispose the message
to the next queue, otherwise you can only move the message to the Text Modification
queue.
Command Result
Route Routes a message to the Authorisation queue (_MP_authorisation),

assuming that the default routing rules for the Verification queue apply. If the
default routing rules are changed, then verified messages can be
automatically routed to the appropriate input network queue, regardless of
the permissions in the operator profile.
Dispose Displays a list of available queues so that you can select a queue to dispose
the message to.
If you have verified the message, then the Authorisation queue
(_MP_authorisation) is shown. If you have permission to bypass
authorisation for a message, then the input network queue for sending the
message is also shown.
Move to Text Moves a message to the Text Modification queue.

Modification If a field fails verification but you entered the correct data, then the original
operator must have entered the data incorrectly. As you cannot modify a
message while it is in the Verification queue, you must move it to the Text
Modification queue so that you can modify it later.
If you selected more than one message, then the next message in the verification list appears
automatically.
If you have the Preferences/Warn on Open Next command in the File menu checked, then
you can decide to cancel verification. Otherwise, each message selected is automatically
presented each time that you route, dispose or move the previous message.
Not all messages contain verifiable fields. To warn you of messages that do not require
verification because they contain no verifiable fields, you must select the Preferences/ Warn
when no verifiable fields option in the File menu. When this command is enabled, each time a
message in the list is presented to you, and it contains no verifiable fields, then the system
warns you. You can then route, dispose, or move the message as required.
15 July 2011 137

10.5 Message Authorisation

10.5.1 About Message Authorisation
Verified SWIFT messages
Verified SWIFT messages are held in the Message Authorisation queue (_MP_authorisation)
and must be authorised using the Message Approval application.
Note Authorisation in the Message Approval application must not be confused with
authentication of FIN messages with SWIFTNet Public Key Infrastructure, or the
authorisation of messages using the Relationship Management service. For
information about authentication and authorisations of messages in SWIFTNet
Public Key Infrastructure, see the Relationship Management Application User
Guide.
After a FIN Cold Start

Messages that have to be reauthorised after a FIN cold start are held in the _MP_recovery
queue, available from Recovery in the View menu. For more information about FIN cold start
operations, see "FIN Cold Start" on page 323.
Authorisation checks
During authorisation, you visually check a message before releasing it to the appropriate input
network queue. The purpose of authorisation is to ensure that the message has been prepared
correctly, and that the content of all fields is correct.
If you are acting as an authoriser of messages, then you can:
• Authorise an individual message by selecting it, displaying and checking its contents, then
disposing or routing it to an input network queue
• Authorise multiple messages by selecting them, displaying and checking their contents, then
disposing or routing them to an input network queue
• Authorise a group of messages without displaying their contents, and route each message to
its input network queue.
To authorise messages you must have the necessary entitlements and permissions. Usually,
you are not allowed to authorise messages that you created or verified.
Although all SWIFT messages in the authorisation queue are syntactically valid, you may still
find data entry errors, such as incorrect account numbers or correspondent addresses that are
not valid. If you do not want to authorise a message because of an error, then move it to the
Text Modification queue.
MX and FileAct instances

When MX or FileAct message instances are present in the queues related to message
preparation, they do not appear in the Message Creation, Message Approval, or Message
Modification applications.
You must use the Alliance Messenger package on the Alliance Web Platform to approve
InterAct or FileAct messages because these messages are not displayed in the Message
Approval application on Alliance Workstation.

Approving Messages
10.5.2 Authorising Selected Messages

How to authorise a specific message
1. Select Authorisation from the View menu.
The Message Approval window appears:
A list of the messages that are available for authorisation appears. Urgent priority
messages are listed first, followed by normal priority ones. Only messages which are
assigned to units that you are a member of and unassigned messages are listed.
Messages which are "reserved by" other operators, that is, they have them open, are listed
but you cannot open them yourself. The list does not include:
• SWIFT messages with a sending logical terminal, message type, or currency code which
your operator profile does not let you authorise.
• Messages which you originally created, verified, or modified (if you do not have
permission to "Authorise own entered messages" in your operator profile).
2. Alliance Access supports many operators working on message preparation at the same
time. Messages in the Authorisation queue may already have been authorised by another
operator since first appearing in the list.
To refresh the list of messages displayed, select the Refresh Now command from the File
menu.
15 July 2011 139

3. The list shows various attributes for each message, each message's UMID, and the identity
of the operator who has reserved the message (if applicable).
If you want to display additional information about a message, then select View from the
Message menu, and select the appropriate option from the sub-menu.
View Description
Q Order Position of a message within the queue
Suffix Value that helps identify a specific message
Currency/Amount Currency code and value of the transaction (if applicable)
Value Date Date on which the transaction is to be completed (if applicable)
Network Network application used to send the message
Instance Type Message instance type, which can be:
• Original
• Copy
• Notification
Format Format of the message
Last Modifier ID of the last operator who modified the message (if applicable)
Last Verifier ID of the last operator who verified the message (if applicable)
Unit Unit to which the message is assigned
Sender The BIC-11 address of the institution sending the message
4. Select the messages that you want to authorise.

To authorise:
• a single message, double-click it
• several messages, select them and select Open from the Message menu. The first
message in the group appears.

Approving Messages
Messages appear in prompted mode:
5. Check the message to ensure that it has been prepared correctly and that the content of
sensitive fields is correct.
You cannot make changes to any of the fields. A message is said to be successfully
authorised when, and only when, you make the decision to send it to the appropriate input
network queue.
6. Route or dispose of the message.

If you route a message, then it goes to the appropriate input network queue:
• Messages for the SWIFT network are sent to the SWIFT input queue _SI_to_SWIFT
• Messages for your Application network are sent to the exit queue specified in the
Network tab within the message. A message is routed to the Transmission Modification
queue _MP_mod_transmis if one of the following criteria is met:
– the network details are not fully specified in the message
– the Correspondent Information record for the receiving Correspondent does not
contain a preferred network, and a preferred network was not selected during the
approval of the message
If you decide, for whatever reason, not to authorise a message, either move it to the Text
Modification queue for editing or cancel authorisation for the message. In either case, the
message is not authorised. For more information about editing the message, see "Modify
Messages in the Text Modification Queue" on page 150.
15 July 2011 141

Note If you selected more than one message, then the next message in the
authorisation list appears automatically.
If you have the Preferences/Warn on Open Next command in the File menu
checked, then you can decide to cancel authorisation.
Otherwise each message in the list is automatically presented to you each time
that you route, dispose, or move the previous message.
10.5.3 Authorising a Group of Messages

Introduction
You can authorise a group of messages without displaying their contents. Each message is
routed directly to the appropriate input network queue. You can authorise a group of messages
only if you have the "Perform Group Authorisation" permission set to "Yes" in your operator
definition.
How to authorise a group of messages

1. Select the messages that you want to authorise.
Use one of the following methods:
To... Use this method
Select a single message Click the message
Select a sequence of messages Click the first message in the sequence and, holding down the
SHIFT key, click the last message in the sequence
Select a choice of messages Hold down the CTRL key and click each message
Select all messages Select Select All from the Edit menu
Deselect all selected messages Select Deselect All from the Edit menu
2. Select Authorise And Route from the Message menu.

Each message goes to the appropriate input network queue:
• Messages for the SWIFT network are sent to the SWIFT input queue _SI_to_SWIFT
• Messages for your Application network are sent to the exit queue specified in the
Network tab within the message. A message is routed to the Transmission Modification
queue _MP_mod_transmis if one of the following criteria is met:
– the network details are not fully specified in the message
– the Correspondent Information record for the receiving Correspondent does not
contain a preferred network, and a preferred network was not selected during the
approval of the message.

Modifying Messages
11 Modifying Messages
Introduction
This section explains why Alliance Access routes messages to the different modification
queues, and describes how to use the Message Modification application to:
• modify messages held in the Text Modification queue
• modify messages held in the Transmission Modification queue
• modify messages held in the Modification After Reception queue
• deal with messages that have failed the authorisation and authentication filtering tests used
by SWIFTNet Public Key Infrastructure for FIN
• re-authenticate input messages held in the Emission Security Modification queue (not for
system messages)
• re-authenticate output messages held in the Reception Security Modification queue (not for
system messages).
About modifying messages

Messages that require modification are held in five modification queues within Alliance Access.
By default, if Alliance Access cannot process a message, the system routes it automatically to
the appropriate modification queue. For example, if an input message fails authentication,
Alliance Access routes the message to the Emission Security Modification queue.
The Message File and Message Modification applications provide all the functions necessary to
monitor and perform modifications to messages respectively.
You can move messages to the Text Modification queue at any time during message
preparation. Alliance Access itself adds messages to the other queues. You may be able to
route messages to these queues as a result of user-defined routing rules. You use the Routing
application to define routing rules. For more information, see "Message Routing" in the System
Management Guide.
Your operator profile determines the message queues that you can display and which
messages that you can modify.
Note When MX or FileAct message instances are present in the queues related to
message preparation, they do not appear in the Message Creation, Message
11.1 Modify a Message

Introduction
You use the Message Modification application to modify a FIN message. To display the history
details of the message, use the Message File application instead.
To modify a message, you may need to contact the person who originally put the message in
the modification queue to find out which fields are in error.
15 July 2011 143

Modifying InterAct or FileAct messages

You must use the Alliance Messenger package on the Alliance Web Platform to modify InterAct
or FileAct messages because these messages are not displayed in the Message Modification
application on Alliance Workstation.
To modify a message:
1. Run the Message Modification application.
The Text Modification - Message Modification window appears (if Text Modification is
selected in the view menu).
For more information about this window, see "The Message Modification Window" on
page 145.
2. Select a queue from the View menu. The window lists the messages currently held in the
selected modification queue.
3. To refresh the list of messages displayed, select the Refresh Now command from the File
menu.
Note Alliance Access supports many operators working on message preparation at

the same time. Therefore, another operator may have modified the messages
in a modification queue, after they first appeared in the list.
4. To display additional information about a message, select View from the Message menu,
and select the appropriate option from the sub-menu.
If you want your view preferences to be available next time you display a modification
queue, then select Save Current View from the File menu.
5. When you display certain message queues, extra menu commands become available
which can operate on groups of messages. If you want to use one of these commands, first
select a group of messages, and then select the command from the menu.
You can select a group of messages in any of the following ways:
To... Use this method
Select a single message Click the message.
Select a sequence of messages Click the first message in the sequence and, holding down the
SHIFT key, click the last message in the sequence.
Select a choice of messages Hold down the CTRL key and click each message.
Select all messages Select Select All from the Edit menu.
To clear all messages Select Deselect All from the Edit menu.
6. If you want to modify a single message, then double-click it to display its details. The fields
which you can change depend on the queue to which the message belongs.
For information about the modifications, you can make to messages in:
• the Text Modification queue, see "Modify Messages in the Text Modification Queue" on
page 150.
• the Emission Security Modification queue, see "Re-authenticating Messages in the

Emission Security Modification Queue" on page 153.

Modifying Messages
• the Reception Security Modification queue, see "Re-authenticating Messages in the

Reception Security Modification Queue" on page 155.
• the Transmission Modification queue, see "Modify Messages in the Transmission

Modification Queue" on page 158.
• the Modification After Reception queue, see "Modify Messages in the Modification After
Reception Queue" on page 160.
7. Modify fields by selecting the entire field and typing the correct data so that the previous
data is overwritten or by creating an insertion point in the field and changing part of the
data, as required.
You can:
• Press the BACKSPACE key to delete the last character entered. Holding down this key
deletes successive characters.
• Use the mouse (or the arrow keys) to position the cursor at a particular point in the text
and use the keyboard to insert additional characters at this point.
• Use the mouse to select a sequence of characters. Press the DELETE key to delete this
sequence of characters or re-enter the (correct) character sequence. The selected
characters are overwritten.
8. Route or dispose the message. If a message is not valid, then you cannot route or dispose
it. However, you can use the Move to Text Modification command from the Message
menu to move the message to the Text Modification queue for later editing.
11.1.1 The Message Modification Window

Description
The Message Modification window is displayed when you open the Message Modification
application (if the Text Modification view is selected). The Message Modification window lists
the messages that are currently held in a selected modification queue.
Your operator profile determines which message queues that you can display. Urgent priority
messages are listed first, followed by normal priority ones. Only messages which are assigned
to units that you are a member of are listed.. The list does not include SWIFT messages with a
sending logical terminal, message type, or currency code which your operator profile does not
let you modify.
15 July 2011 145

Example
The following is an example of the Message Modification window:
Field descriptions
The list shows the attributes of each message and the identity of the operator who has reserved
the message (if applicable). To display additional information about a message, select View
from the Message menu, and then select the appropriate option from the sub-menu:
Q order
Position of a message within the queue.
I/O
The values are:
• I, for messages that are sent from Alliance Access as input to the SWIFT network
• O, for messages that are sent from the SWIFT network and to Alliance Access
Correspondent
If the value of I/O is:
• I, then the correspondent identifies the full BIC address of the receiver of the message.
• O, then the correspondent identifies the full BIC address of the sender of the message.
If no specific branch code is given, then the last 3 characters of the BIC address default to
"XXX".
MT
For FIN messages, this is always a 3-character number and refers to the message type, for
example, "100" for a customer transfer.
Reference
This is either the Transaction Reference Number (TRN) as given in Field 20 of the message, or
the Message User Reference (MUR) extracted from the User Header block of the message, in
SWIFT format. This reference may be up to 16 characters in length. The exact form of reference
used - TRN or MUR - is determined during the installation of SWIFT Message Syntax Tables
into Alliance Access.
Suffix
The Suffix can help uniquely identify a message. The Suffix is a system-generated value that
consists of the date that the message was created (in "YYMMDD" format), and optionally, an
additional value. The additional value is generated only if a message is already present in the
message file which has the same values for I/O, Correspondent, MT, and Reference.

Modifying Messages
Reserved by
Messages which are "reserved by" other operators, that is, they have them open, and you
cannot open them.
Currency/Amount
Currency code and value of the transaction (if applicable).
Value Date
Date on which the transaction is to be completed (if applicable).
Nak code
Error code generated when a SWIFT message is rejected.
Network
Network application used to send the message.
Instance Type
Message instance type.
Last Modifier
ID of the last operator who modified the message (if applicable).
Last Verifier
ID of the last operator who verified the message (if applicable).
Unit
Unit to which the message is assigned.
Sender
The BIC-11 address of the institution sending the message.
Toolbar
The Message Modification window has a toolbar like the following:
Button Name Description
Open Displays the message details
Previous list Moves to the previous list of elements
Previous Moves to the previous item in the list
Next Moves to the next item in the list
Next list Moves to the next list of elements
Search Allows you to specify search criteria and perform a new message search
Complete Remove a message from the Text Modification queue and marks it as
"complete" in the Message File
Route Routes a message
15 July 2011 147

Button Name Description
Dispose Disposes a message
Move to Text Moves a message to the text modification queue

Modification
Clear Delete a message. Note that all data typed in the Text tab is lost
Print Prints a report containing information about selected messages
Help Index Lists help topics
11.1.2 Set Preferences

Description
Message Modification application.
Command Action
Colors... Changes the default colours that fields appear in when you are working
on a message text in prompted mode.
Auto-Zoom Multiline Fields Automatically opens a box which you can type the contents of the multi-
line field into. The box has word-wrapping and indicates the position of
Warn on Open Next Used when several message instances are selected and opened at the
same time. The next message in the list automatically. If you have the
Preferences/Warn on Open Next command in the File menu checked,
then you can decide to cancel the process. Otherwise each message in
the list is presented automatically to you each time that you route,
dispose, or move to the previous message.
Allow Tab-Wrapping in Text Makes the cursor jump from the last field to the first field when the TAB
the TAB key is pressed in the last field. You can then the Header,
Network or Security tabs using the arrow keys.
11.1.3 Search for Messages

Introduction
You can search for and list messages that match certain criteria in the Message Modification
window. If you want to copy and paste from the list of messages, select messages and then
select Copy from the Edit menu.
To search for messages:

1. Select Search... from the Message menu.
The Search window appears.

Modifying Messages
You can use some or all of the search criteria. Use of wildcards is allowed in the I/O,
Correspondent, Type, and Reference fields:
• "_" to replace one unknown character in a string.
• "%" to replace one or more contiguous unknown characters in a string.

2. Select a message Format to search for.
3. In the I/O field, select the direction of the messages to search for.
Select:
• "I" to search for input messages, that is, messages that have been created for input to
the network.
• "O" to search for output messages, that is, messages that have been output from the
SWIFT network to Alliance Access.
• "%" to search for input and output messages.
4. Enter a Correspondent BIC address for the sender of the message.
5. Enter a Type of message.
6. Enter a Reference. This is either a Transaction Reference Number from Field 20 or a

Message User Reference from the Message Header (depending on the selection made
when the syntax table was installed).
7. Enter a Suffix value.
8. In Created By, select which operator created the messages that you want to search for.
9. Select who the messages were Modified By.
10. Select Match case if you want the search to consider uppercase and lowercase letters.
11.1.4 Sorting Message Attributes

Introduction
You can rearrange the order in which messages are listed in the Message Modification main
window.
15 July 2011 149

To change the sort order:

example, to sort by Sender, point to the Sender column.
2. Click the left mouse button to change the sort order. A triangle appears in the column
In the following example, messages are sorted in descending order by Correspondent:
11.1.5 Printing Messages

Printing messages
You can print out messages. Before printing, a Print Preview window appears so that you can
see the message before printing it.
11.2 Modify Messages in the Text Modification Queue

11.2.1 Valid and Invalid Messages
Description
The Text Modification queue can contain "valid" and "invalid" messages:
• "Valid" messages are usually sent to the queue by an operator because they have fields
which cannot be completed during message creation, or because errors were found during
verification or authorisation.
• "Invalid" messages have been sent to SWIFT but have failed SWIFT's input validation
process. These messages are rejected (that is, NAKed) by the SWIFT network and routed
back to the Text Modification queue as NAKs. The NAK error code associated with the
message shows why the message has been NAKed. For information about these codes, see
the FIN Error Codes on www.swift.com > Support > Documentation (User Handbook), or see
the FIN online help.
"Invalid" messages can also be received from APPLI if they fail to be correctly validated: for
example, if a mandatory field is missing.
Messages can also be moved or disposed to the Text Modification queue from another
modification queue.
You can use the Message Modification application to display the details of a single message so
that you can modify it. Alternatively, you can remove one or more messages from the Text
Modification queue by "completing" them. For more information, see the following sections.

Modifying Messages
11.2.2 Getting NAK Code Explanations

Introduction
When a message gets NAKed, you can view an explanation of the NAK code to know the
reason.
How to display the meaning of a NAK code

2. Select Text Modification from the View menu. The window lists the messages currently
held in the Text Modification queue.
3. Select the NAKed message by clicking it.
4. Right-click in the Nack Code column header. Details about the NAK code appear.
11.2.3 Completing Messages

Introduction
Sometimes you may want to discard a message that has been created, for example, following
staff training. Use the Complete command to remove messages from the Text Modification
queue and mark them as "complete" in the Message File. You must have the entitlement to
"Complete a Message" in your operator profile to use this command.
A completed message:
• has no further processing performed on it
• is no longer available for routing to any other queue
• is no longer visible in the Text Modification queue
• is retained in the Message File (and in subsequent archives of the Message File).
When a message is completed, an event is also written to the Event Journal.
To complete one or more messages:

held in the Text Modification queue.
3. Select one or more messages.
4. Select Complete from the Message menu.
5. Confirm the completion.
11.2.4 Modify a Message

To modify a message in the Text Modification queue:
held in the queue.
15 July 2011 151

3. Double-click the message that you want to modify. The message details appear so that you
can change them.
4. If the message is an invalid SWIFT message, then you probably only have to make
changes in the Text tab, although you can change the details in the other tabs if necessary.
The modifications which you can make vary depending on whether the message is an
original instance or a copy instance, and are described in the following sections. For more
information about instances, see "Messages and Message Instances" on page 202.
5. After modifying the message, route or dispose it.
11.2.5 Edit the Message Header

Description
If the message is an original instance, then you can modify any of the details in the Header tab.
You can change the Sender correspondent, the Receiver correspondent, and the details
specific to the message format. For example, for a SWIFT message, you can change the
message type, although if you do so, Alliance Access displays a message, warning that SWIFT-
specific data (such as the text in the Text tab) may be lost.
If the message is a copy instance, then you can only change the Addressee correspondent
details in the Header tab. The Addressee is the correspondent to whom Alliance Access sends
the copy.
11.2.6 Edit SWIFT Message Text

Description
You can only modify the text in the Text tab if the message is an original instance created within
Alliance Access for input to a network.
Message text in the same mode that it was created in, unless the message is too complex,
when it appears automatically in fast mode. You can change between fast and prompted mode
by using the Display Prompted and Display Fast commands on the Message menu. For a
complex message displayed in fast mode, however, it is not possible to switch to prompted
mode.
To correct an error in the text, move the cursor to the relevant field or subfield and modify the
text. For information about the keys you can use to move between fields and to edit message
text, see "Creating Messages" on page 99.
11.2.7 Edit the Network Data

Description
You must change network details in the following situations:
• The network address for the Receiver correspondent is incorrect or incomplete. If this is the
case, then enter the correct network address.
• No network address details are shown. Alliance Access cannot complete the details
automatically because the Correspondent Information File (CIF) does not contain the network
address information for the Receiver - the Receiver has a "wild address". Type the network
address details manually.

Modifying Messages
• As Alliance Access is unable to transmit the message using the network application currently
specified, you may decide to send the message using a different network application. Click
the Network option button and select a different network application. You must ensure that
the network address information is entered correctly. You may also need to edit the data in
the Security tab, as this contains authentication information for the message.
For information about how to complete the fields, see "Completing Network Details" on
page 123.
11.2.8 Edit Comments

Description
In this field, you can add to, modify, or remove comments if you have the permission. This field
holds a maximum of 500 alphanumeric characters, including line feeds.
11.2.9 View Re-activation Comments

Description
From the Comments tab, you can view the re-activation comments which have been entered if
the message is a completed message instance which has been re-activated from the Message
File Application. This field is read-only.
11.2.10 View the Security Data for the SWIFT Network

Viewing the security data for the SWIFT network
The fields in this panel only appear if the message is a SWIFT FIN message which requires
authentication. You cannot change the data in these fields.
If the message requires a proprietary authentication code (PAC), then the tab displays similar
information about the proprietary authentication code.
If the message requires authorisation, then the result of the validation appears.
11.3 Re-authenticating Messages in the Emission

Security Modification Queue
11.3.1 The Emission Security Modification Queue
Description
If a message that you are trying to send fails signing or authorisation, it is routed to the
Emission Security Modification queue.
After you use the Message Modification application to list the messages in this queue, you can
select a single message, display its details, modify the message, and then attempt to re-
authenticate it. For more information, see the following sections.
If authentication or authorisation is successful, then the message is put in the _SI_to_SWIFT
queue. If not, the message remains on the emission security modification queue.
You can also re-authenticate a group of messages. For more information, see "Re-
authenticating or Re-testing a Group of Messages" on page 155.
15 July 2011 153

Note You cannot re-authenticate system messages. System messages can only be
processed further by using the Bypass Security command (see "Bypassing
Security for Messages").
11.3.2 Modify a Message in the Emission Security

Modification Queue
To modify a message in the Emission Security Modification queue:
2. Select Emission Security Modification from the View menu. The window lists the
messages currently held in the queue.
3. Double-click the message that you want to modify. The message details appear.
4. A SWIFT message is added to the Emission Security Modification queue if:
• no authorisation that allows this message
• PKI signing failure

You cannot change the data in the Header tab or the Text tab for a message in this queue.
However, you can change the details of the network application used to send the message,
and (depending on the network application) view or change the authentication information
for the message.
5. If a message repeatedly fails authentication, then you may prefer to discard it and create a
message to replace it. To discard a message, select Move to Text Modification from the
Message menu to move the message to the Text Modification queue, then use the
Complete command to remove the message.

Editing the Network Data
You must change details in this tab in the following situations:
• No network address details are shown in the tab. Alliance Access cannot complete the
details automatically because the Correspondent Information File (CIF) does not contain the
network address information for the Receiver. Type the network address details manually.
• You want to send the message using a different network application to the one currently
specified. Select an option from the drop-down list in the Network field. You must ensure that
page 123.

Modifying Messages

Viewing the security data for the SWIFT network
The fields in this tab only appear for an original instance of a SWIFT FIN message that requires
authentication. You cannot change the data in any of these fields.
A message is in the Emission Security Modification queue because:
• no authorisation exists for the message
• PKI signing failure
11.3.5 Re-authenticating or Re-testing a Group of Messages

How to re-authenticate or re-test a group of messages
2. Select Emission Security Modification from the View menu. The window lists the
3. Select one or more messages. If you select Select All from the Edit menu, then you can
re-authenticate/re-test a maximum of 50 messages at a time.
4. Select Authenticate/Test from the Message menu.

For a message being sent on the SWIFT network, Alliance Access re-authenticates/re-tests
the message using the SWIFTNet PKI that belong to the relevant communicating pair.
If the re-authentication, or re-test:
• succeeds for a message, the message is routed automatically according to the routing
rules defined for the Emission Security Modification queue. By default, the message is
sent to the appropriate input network queue.
• fails for a message, the message is returned to the Emission Security Modification
queue. You must open the message and modify it before trying to authenticate or test
the message again.
11.4 Re-authenticating Messages in the Reception

Security Modification Queue
11.4.1 The Reception Security Modification Queue
Description
If a FIN message that you are receiving from the SWIFT network fails authentication or
authorisation, then it is routed to the Reception Security Modification queue.
15 July 2011 155

After you use the Message Modification application to list the messages in the Reception
Security Modification queue, you can:
• Select a single message received from the SWIFT network, display its details, modify the
message, and then attempt to re-authenticate it.
• Re-authenticate a group of messages. For more information, see "Re-authenticating or Re-

testing a Group of Messages" on page 157.
• Bypass authentication for a group of messages. For more information, see "Bypassing
Security for Messages" on page 157.
Note You cannot re-authenticate system messages. System messages can only be
processed further by using the Bypass Security command.
11.4.2 Modify a Message

To modify a message in the Reception Security Modification queue:
2. Select Reception Security Modification from the View menu. The window lists the
You cannot change the data in the Header tab or the Text tab, and the Network tab does
not appear for a message in this queue. However, you can view or change the
authentication information in the Security tab.
For more information about:
• messages received from the SWIFT network (that is, a SWIFT message), see the
following sections.

Viewing the Security Data for the SWIFT network
This tab appears only for a FIN message received from the SWIFT network.
The Authorisation Validation Result field has one of the following values:
• Success, the message passed authorisation validation. It was stored on the

_MP_mod_rec_secu queue because of an authentication failure.
• No authorisation to receive for this message, there exists no authorisation to receive

allowing this message.
• Authorisation Validity Period does not allow message, an authorisation to receive exists,
but the message is received outside the validity period specified in the authorisation.
• Message not allowed according to authorisation, an authorisation to receive exists, but

the message received is either explicitly excluded or is not included in the authorisation.
To re-authenticate the message, click Check Calculation.

Modifying Messages
If you cannot resolve an authentication problem, then you can do either of the following:
• Bypass authentication completely. For more information, see "Bypassing Security for
Messages" on page 157.
• Use the Move to Text Modification command to move the message to the Text Modification
queue, where you can discard the message by "completing" it.
For more information, see "Cancelling a Message" on page 129. No further processing takes
place on a discarded message. You must tell your correspondent that you have discarded
the message.
11.4.4 Re-authenticating or Re-testing a Group of Messages

How to re-authenticate or re-test a group of messages
3. Select one or more messages. If you select Select All from the Edit menu, then you can
re-authenticate a maximum of 50 messages at a time.
4. If you want to re-authenticate/re-test the messages, then select Authenticate/Test from the
Message menu.
For a message received from the SWIFT network, Alliance Access calculates the
Proprietary Authentication Code and compares the result to the Proprietary Authentication
Code (if any) in the received message.
If the re-authentication, or re-test:
• succeeds for a message, the message is routed automatically according to the routing
rules defined for the Reception Security Modification queue. By default, the message is
sent to the preferred network queue for the Receiver as specified within the message. If
the Receiver has no preferred network, then the message is routed to the Transmission
Modification queue.
• fails for a message, the message remains in the Reception Security Modification queue.
11.4.5 Bypassing Security for Messages

How to bypass security for a message, or group of messages
3. Select one or more messages.
4. If you want to bypass authentication for the messages, then select Bypass Security from
the Message menu.
The messages are routed according to the defined routing rules, but without authentication
or authorisation. By default, messages are routed to the preferred network queue for the
Receiver, as specified within the message.
15 July 2011 157

If the Receiver has no preferred network, then the message is routed to the Transmission
Modification queue.
11.5 Modify Messages in the Transmission

Modification Queue
11.5.1 The Transmission Modification Queue
Description
Transmission failure for a message may occur because:
• the network address specified for the Receiver of the message is not valid
• the BIC-11 for the Receiver is not valid
• there is a transmission problem

For example, if a message is prepared externally, and the BIC-11 for the Receiver includes an
unpublished branch code. When the message enters Alliance Access through the Application
Interface, it is added to the Transmission Modification queue.
If messages are supplied to Alliance Access by an interactive CAS connection or a CAS file
format, then the address expansion supplied through CAS has priority over the expansion given
by the Correspondent Information.
If any of the following CAS fields are found in the message:
• financialInstitution:S
• branchInformation:S
• location:S
• cityName:S
• countryCode:S
all these fields are used for the expansion (including the empty ones).
If NONE of these fields is found, then CAS fields x1:S thru x4:S are used to access the
Correspondent Information, and the expansion found in the Correspondent Information is
shown.
Note If Alliance Access tries to transmit a message to an unknown address on the

SWIFT network, then the message is NAKed by SWIFT. Alliance Access routes the
NAKed message to the Text Modification queue, not the Transmission Modification
queue.
However, messages for the SWIFT network may still be routed to the Transmission
Modification queue as a result of user-defined routing rules.

Modifying Messages
11.5.2 Modify a Message in the Transmission Modification

Queue
How to modify a message in the Transmision Modification queue
2. Select Transmission Modification from the View menu. The window lists the messages
currently held in the queue.
You cannot change the data in the Header tab or the Text tab. However, you can change
the details of the network application used to send the message, and (depending on the
network application) view or change the authentication information in the Security tab.
4. After modifying the message, route or dispose it. If you route a message, then by default it
is sent to the appropriate input network queue.

Description
You must change network details in the following situations:
• No network address details are shown. Alliance Access cannot complete the details
automatically because the Correspondent Information File (CIF) does not contain the network
address information for the Receiver - the Receiver has a "wild address". Type the network
address details manually.
• As Alliance Access is unable to transmit the message using the network application currently
specified, you may decide to send the message using a different network application. Click
the Network option button and select a different network application. You must ensure that
page 123.
11.5.4 Edit the Security Data

Editing the Security Data
This tab only appears if the message is an original instance. Security is not required for copy
instances.
The message is in the Transmission Modification queue because Alliance Access was unable to
transmit it. Normally, you do not have to change the data in the Security tab unless you have
changed the network application in the Network tab. However, it is a good idea to view this
panel to ensure that there are no authentication problems.
For information about what you can do if there is an authentication problem, see "View the
Security Data for the SWIFT Network" on page 155.
15 July 2011 159

11.6 Modify Messages in the Modification After

Reception Queue
11.6.1 The Modification After Reception Queue
Description
Normally, SWIFT messages do not appear in this queue, but some may be added as a result of
user-defined routing rules. This may be worth doing for MT 999 and broadcast messages, as
the Modification after Reception queue allows for the manual routing of messages. System
messages that cannot be manually created, modified, or authorised cannot be handled with
manual routing. See "Modify a Message in the Modification After Reception Queue" on
page 160.
Other messages may also be routed to the queue as a result of user-defined routing rules.
If messages are supplied to Alliance Access by an interactive CAS connection or a CAS file
format, then the address expansion supplied through CAS has priority over the expansion given
by the Correspondent Information:
• If any of the CAS fields financialInstitution:S, branchInformation:S, location:S, cityName:S,

countryCode:S are found in the message, then all these fields are used for the expansion
(including the empty ones).
• If NONE of these fields are found, then CAS fields x1:S thru x4:S are used to access the
Correspondent Information, and the expansion found in the Correspondent Information is
shown.
11.6.2 Modify a Message in the Modification After Reception

Queue
How to modify a message in the Modification After Reception queue
2. Select Modification after Reception from the View menu. The window lists the messages
currently held in the queue.
You can change certain details in the Header tab. The Network tab does not appear for a
message in this queue. However, you can view or change the authentication/test
information in the Security tab. For more information, see the following sections.

If you route a message, then by default it is routed as follows:
• Any message with a network address that Alliance Access cannot recognise is routed
back to the Modification After Reception queue
• Any other message is routed to the ToBeInvestigated queue.

Modifying Messages
11.6.3 Edit the Message Header

Introduction
As you have already received the message, the Sender details in this panel identify the external
correspondent who has sent the message to you, if it has been recognised by Alliance Access.
You cannot change these details.
However, you can do any or all of the following:
• specify an internal Receiver correspondent to whom Alliance Access can now direct the
message
• assign the message to a different unit
• type a routing code to affect how the message is routed.
Note If you want Alliance Access to direct messages for a Receiver correspondent to a
specific exit point, then you must make sure that the APPLI exit point is defined for
the correspondent in the Correspondent Information File. For more information, see
"Updating the Correspondent Information File" in the System Management Guide.
How to edit the Message Header details

1. Specify a different internal Receiver correspondent, as required.
For a message received from:
• the SWIFT network, change the last three characters of the BIC-11 address in the
Institution field to the branch code for the correspondent
2. If you want to assign the message to a different unit, then click the Unit option button to
select the unit.
3. If you want to control the routing of the message, then type a routing code in the Routing
Code field.
The routing code must be part of a conditional criteria statement for an existing routing rule.
For more information about how to use the Routing application to define routing rules, see
"Message Routing" in the System Management Guide.
11.6.4 Edit the Security Data

Description
You must view the security data so that you can try to correct any authentication problems. If
you do not resolve authentication problems while the message is in the Modification After
Reception queue, then you cannot route the message and you can only dispose it back to the
Modification After Reception queue or to the Reception Security Modification queue.
15 July 2011 161


Part D - Investigations and Queries
Part D
Investigations and Queries
15 July 2011 163


Monitoring Alliance Access
12 Monitoring Alliance Access

Introduction
You may need to monitor the system from time to time to ensure that it is running correctly, or to
investigate a particular situation. You can do this with the Monitoring application. In a single
screen, you can see and continuously monitor everything that is happening on your system.
The information is constantly updated. You can set a refresh rate for the application, indicating
how often the screen is to be updated. There is also a mechanism to draw your attention to
special exceptional events that require user action, such as an abort of your SWIFT connection,
or a message queue exceeding its default threshold.
Note The Monitoring application is not available in Housekeeping mode.
This section describes how to select what you monitor, how to monitor exceptional states, and
how to interpret the information in each window.
12.1 Running the Monitoring Application

Overview
When you run the Monitoring application, the Monitor Application window appears.
From this window, you can monitor various aspects of your system, known as objects. Objects,
such as queues and message partners, appear in separate object windows within the overall
monitor window. If you have more than one object window open at one time, then one of the
windows is considered to be the active window. You can tell which window is active because its
name appears in the Monitor Application title bar and its object window bar is blue. If any
other windows are open, then they appear with grey borders.
15 July 2011 165

Toolbar
Below the menu bar is a toolbar which gives you quick access to the most common commands:
12.1.1 Opening Object Windows

To select an object:
1. From the File menu, select New.
A window appears containing a list of the objects available for monitoring:
The following objects are available:
Object Description
Overview Monitors the other objects that you select. Each open object has a 1-line
entry in the Overview window. The name of the object, the number of
elements that it is monitoring and the number of those elements that are
in an exceptional state are all shown. For more information about
exceptional states, see "Monitoring Exceptional States" on page 171.
Logical Terminals Monitors the status of the live and test and training logical terminals and
the number of messages that have been sent and received by them.
Message Partners Monitors the status of sessions with message partners, including the
number of messages that have been exchanged.
Queues Monitors the system's queues and shows how many messages they
currently hold.
Events Monitors the events that occur on the system.
System Resources Monitors the available disk space (in MB) for the database, the current
server mode, and the progress of archiving and backups.
If you have license 14:DATABASE RECOVERY, it also shows the
available space (in MB) on the Recovery Backup disk.
Processes Monitors the status of the processes that are running.
SWIFTNet Profiles Monitors the status of the emission and reception profiles.
(emission and
reception)

Object Description
Operator Sessions Monitors the sessions currently open by operators in Alliance Access.
This view also shows the type of session currently open, that is,
Workstation or Web services.
File Transfers Monitors the status of ongoing incoming and outgoing file transfers.
2. Double-click an object. Repeat for each object that you want to monitor.
Note When you have selected all available object windows, the New command is
disabled.
12.1.2 Arranging Object Windows

Introduction
If you are monitoring more than one object window at once, then you must consider what is the
best way to arrange them. You can use the commands in the Monitor Application window to
arrange object windows.
How to arrange object windows:

• In the Window menu of the Monitor Application window, select a command.
The choices are:
Command Description
Cascade Overlap windows so that each object window title remains visible
Tile Resize and arrange object windows without overlap so that they are all
completely visible
Arrange Icons Arrange object icons along the bottom of the Monitor window
Close All Close all object windows
Minimize All Minimise all object windows to icons
12.1.3 Stopping Object Monitoring

To stop monitoring an object:
1. In the Monitor Application window, select the object that you no longer want to monitor by
making its window active.
2. Click X in the upper-right corner of the object window.
12.2 Customising Monitoring

Introduction
You can customise the monitoring application by deciding what is monitored in each list box.
The object which can be monitored appears in the View Mode menu.
• All
15 July 2011 167

monitors everything
• Selected
allows you to select what is monitored using various criteria
• Exceptions
monitors only exceptional events.
Each object listed in the View Mode menu has a sub-menu with these commands. You can see
which view is currently selected for any object by running the mouse pointer down the list. The
current view is the one that is selected. If Selected is the current view, then you can release the
mouse button to see what criteria have been selected. The Selected dialog box appears with
the selected criteria. You can also see which criteria are available and select from them.
Exceptional events have been pre-defined for most of the objects in Alliance Access. When an
object is discovered to be in an exceptional state, an exceptional event is generated, and an
asterisk (*) appears before the object name in the monitor window. The exceptional events are:
Object Exceptional events
Logical Terminals A session is aborted.
Message Partners A session is aborted or recovered, or a message partner is disabled.
Queues A queue's threshold value is exceeded.
Events There are untreated alarms. For information about alarms, see "Treating Alarms
and Archiving Events" on page 285.
SWIFTNet Profiles An emission or reception profile is made inactive by the system.

An emission or reception profile is interrupted in automatic mode, or a manual
profile is made inactive by the system.
System Resources The recommended minimum free disk space for the database is reached, or an
archive or backup fails.
Processes The process status becomes Crashed.
Note When an object goes into an exceptional state, it is shown in that state in the
Monitoring Application window even if the situation that caused the exception is
resolved (for example, if a threshold is exceeded temporarily). Use the Reset All
Exceptions command to re-evaluate the objects and reset any objects that are no
longer in an exceptional state, so that their names appear normally.
For details of this and other commands that you can use to control the information
displayed in the monitor window, see "Monitoring Exceptional States" on
page 171.
To show all items for an object:

1. Select the View Mode menu.
2. Click the name of the object within the menu. A cascade menu appears, listing the four
commands which you can use to control monitoring for the object.
3. Select All from the cascade menu.

How to show selected items for an object:

1. Open the required object.
2. From the View Mode menu, select Selected for the object that you are working with.
3. Click the button to the right of the Filter on field to see the criteria that are available.
You can filter what is monitored. For example, if you are selecting the items to be shown in
the Message Partner list window, you can select to monitor only message partner sessions
with selected statuses, such as all aborting output sessions.
4. Select the Filter on option that you want to select from. Two columns Available and
Selected containing filtering criteria appear.
Note Only the selected item in the Filter on field is taken into account. For example,
for the Message Partners window, you can monitor Partner Name or Status,
but not a combination of both.
5. Move the criteria between the two columns.

There are several ways to do this:
• Click an item, then click a transfer button to move the item to the other column
• Double-click an item to move it from one column to another
• Click and drag the mouse pointer to select a range of items, then click a transfer button
to move the items to the other column.
6. Click OK to apply your filtering criteria or Cancel to quit.
Note System Resources and Processes cannot be moved to the Selected or

Available columns.
To show exceptions for an object:

1. From the Window menu, select the object window that you want to work with.
2. From the View menu, select Exceptions for the object that you are working with.
15 July 2011 169

12.2.1 Saving Your Preferences

Introduction
You can make your current window settings, including which object windows are open, how they
are arranged, the toolbar position, the View Mode and column sort settings, into the default
settings for the Monitoring application.
To save your preferences:

• Select Save Current View from the Object menu, or click the Save Preferences icon on
the toolbar.
All your current settings are saved. The next time that you start the Monitoring application,
these settings appear automatically.
12.2.2 Setting the Refresh Rate

Introduction
You can decide how frequently the information in the object list boxes is updated by changing
the refresh rate.
Select Refresh Now from the File menu, or press the F5 function key.
The following monitoring windows contain information about the number of messages queued.
The refresh of this information is limited by an internal database refresh rate.
• Logical terminals: columns N, U, and S provide the number of Normal, Urgent or System
messages queued at _SI_to_SWIFT for a particular sender logical terminal and waiting to be
sent
• Message partners: column Queued provides the number of messages queued at an exit
point, waiting to be sent to a particular message partner
• Queues: column Entries provides the number of messages queued at a particular queue
• SWIFTNet Profiles: columns N and U provide the number of Normal or Urgent messages
queued at _SI_to_SWIFTNet for a particular emission profile and waiting to be sent.
To set the refresh rate:

1. From the File menu, select Set Refresh Rate.
2. Click the Value field and type the duration, in seconds, that you want the object windows to
be refreshed. The duration must be between 2 and 3600 seconds.
3. Click Modify to confirm your changes.

12.3 Monitoring Exceptional States

Introduction
Elements displayed in object windows can go into what is called an exceptional state.
Exceptional states are caused when something happens in the system that is considered
unusual enough to require your attention. For example, a logical terminal goes into an
exceptional state when it is aborted and a queue goes into an exceptional state when its
threshold is exceeded. What constitutes an exceptional state is predefined and cannot be
changed.
An object in an exceptional state is shown with an asterisk (*) in front of its name. Alliance
Access displays a window whenever one or more objects goes into an exceptional state. The
window names the object and describes why it went into an exceptional state.
To monitor objects in exceptional states continuously:

1. From the File menu, select Raise on Exception.
2. Minimise the Monitoring window to an icon.

Whenever any of the selected objects goes into an exceptional state, the window will be
raised, bringing the exceptional state to your attention.
Available commands
Use the commands on the File menu to control the information displayed about exceptional
states:
Command Effect
Raise on Raises the Monitoring window whenever an object moves into an exceptional
Exception state. The window is raised at the next refresh cycle. A pop-up dialog box also lists
the objects that caused the window to be raised, together with the reason for
raising the window.
If you decide to run the Monitoring application continuously, then you can reduce it
to an icon, or conceal it behind other windows
Raising the Monitoring window means that when an exceptional state occurs:
• if the main window is iconised, then it is de-iconised
• if the concerned object window is iconised, then it is de-iconised
• a beep sounds
• if the window is hidden behind other windows, then it is brought to the front of
the stack of windows.
Note that when the Monitoring window is raised, the object which has moved into
an exceptional state may not appear - this depends on the View Mode and filter
which you have selected.
Note also that if the Monitoring application is closed, Raise on Exception does not
work any more.
15 July 2011 171

Command Effect
Reset All Resets to a normal state all objects that currently appear as being in an exceptional
Exceptions state, but which are no longer in this state.
Objects in an exceptional state are shown with an asterisk (*) in front of their
names. This command resets any objects that are no longer in an exceptional state
so that their names appear normally. Objects that are still in an exceptional state
are not affected.
For Processes, this command permanently removes the items that have a
Crashed state.
12.4 Investigating Problems Further

Introduction
The Monitoring application not only gives you a complete picture of what is happening on your
system, it also lets you investigate situations further and resolve any problems quickly and
easily.
If you are monitoring an object and you want further information about an item, then just double-
click the item. Alliance Access automatically runs the application associated with the item. The
only exception is the Overview window which displays the object window of the selected object.
For example, if you see an event that you want to investigate in the Event window, just double-
click the event. Alliance Access runs the Event Journal application and searches the Event
Journal for the selected event, based on its date, time and severity. The results of the search
are displayed in a window.
All the other object windows have "actions" associated with them, except System Resources.
What happens when you double-click an object depends on which object list box you are in:
Object Action
Overview De-iconises the object window associated with the item or brings it to the front of a
stack of windows automatically.
Logical Terminals Opens the SWIFT Interface application.
Message Partners Opens the Application Interface application.
Queues Opens the Message File application and launches a search for the messages in
the selected queue and displays them. This is only available if you have one or
more entries in the queue.
Events Opens the Event Journal application and launches a search for events with the
severity selected using View Mode - Selected, starting from the date, and time of
the selected event.
System Resources There is no action associated with this object.
Processes Double-clicking on a process has no effect. The action for a process is described in
"The Processes Window" on page 183.
SWIFTNet Profiles There is no action associated with this object.
Operator Sessions There is no action associated with this object.
File Transfers There is no action associated with this object.
In general, when you double-click an object:
• the associated application is opened, if it is not already open
• the associated application is restored to its previous size, if it is minimised to an icon

• the associated application is brought to the front, if it is hidden beneath other windows.
Opening an application
You can also open an associated application either by selecting an object, then pressing Enter,
or as follows:
1. Select an object.
2. Select the name of the object from the Action menu.
3. Click Open .
Note You can perform actions only if they are permitted in your operator profile. If the
profile does not permit an action to be performed, then the action does not appear
in the Action menu.
To move up and down the list:

• From the Action menu, select Next or Previous.
Note Right-clicking the mouse pops up the corresponding Action menu for a particular
object. For more information, see "Using Applications" on page 20.
12.5 Monitoring the Object Windows

Introduction
Each object list window within the Monitoring application shows useful information that is
specific to the type of object being monitored.
When a list of items within a window, you can sort them into order using any of the column
headings. For more information, see "Sorting Items" on page 28.
12.5.1 The Overview Window

Description
This window shows only the currently monitored objects.
Example of Overview window
15 July 2011 173

Field descriptions
Comp.
Indicates the application associated with the object.
Objects
Indicates the type of object window.
Elements
Specifies the total number of items, independent of the View Mode setting in the object window.
Exceptions
Specifies the number of items in the object window that are currently in an exceptional state.
12.5.2 The Logical Terminals Window

Description
This window displays real-time information about the logical terminals on your system, such as
their FIN session status. Each logical terminal is identified by a unique 8-character Business
Identifier Code (BIC), plus a 1-character terminal code.
A Logical Terminal is visible only if it has a SWIFT line assigned to it, and the SIS component is
running.
The Logical Terminals/Selected option in the View Mode menu allows you to filter the
information shown in the Logical Terminals window.
For example, if you are not be interested in monitoring the test and training logical terminal, then
you can filter it so that it does not appear in the Logical Terminals window.
You can also monitor logical terminals that only have a certain communication status on the
SWIFT network, such as when they are aborting or resuming.
Example of Logical Terminals window
Field descriptions
SWIFT LT
The 9-character unique identifier for the logical terminal.
Status
The operational status of the logical terminal in relationship to the SWIFT network.
Mode
The current mode of the logical terminal ("manual" or "automatic").
U
Specifies the number of FIN messages with an URGENT priority that have been queued for
transmission and are waiting to be sent to the network. This includes messages that have been
sent, but not yet acknowledged.

N
Specifies the number of FIN messages with a NORMAL priority that have been queued for
transmission and are waiting to be sent to the network. This includes messages that have been
sent, but not yet acknowledged.
S
Specifies the number of FIN System Messages that have been queued for transmission and are
waiting to be sent to the network.
Sent
The value of this field depends on the state of the session.
If the logical terminal has been selected for sending FIN messages (see "Logging in to the
SWIFT Network" on page 35), then this field displays the number of messages sent in the
current FIN session.
If the logical terminal has not been selected, then this field displays the number of messages
sent in the previous session.
Received
The value of this field depends on the state of the session.
If the logical terminal has been selected for receiving FIN messages (see "Logging in to the
SWIFT Network" on page 35), then this field displays the number of messages received in the
current FIN session.
If the logical terminal has not been selected, then this field displays the number of messages
received in the previous session.
Connection Name
The connection assigned to the logical terminal if the logical terminal is logged on. Otherwise
this field is blank.
User-controlled sent counter
Number of messages sent.
User-controlled received counter
Number of messages received.
Exception indicator
-
In exception timestamp
-
12.5.3 Types of Logical Terminal Status

Description
You can monitor logical terminals that have a certain communication status on the SWIFT
network, such as when they are aborting or resuming. Any or all of these statuses can be
monitored:
Status Description
Aborting The logical terminal has been requested to abort by the user or the network.
Awaiting the acknowledgement to the Abort request from FIN.
15 July 2011 175

Status Description
Interrupted The APC session has failed. An automatic re-connection is attempted if the auto-
reconnect parameter is enabled (see "Reconnecting Automatically to SWIFT").
Logged In The FIN can be in any state. If the FIN state is Not Selected, then the logical
terminal can now select the FIN application.
Logged Out No session exists for the logical terminal. The FIN state is Not Selected.
Login Ack Wait Waiting for an acknowledgement to the Login request. The FIN state is Not
Selected.
Logout Ack Wait Waiting for an acknowledgement to the Logout request. The FIN state is Not
Selected.
Quit Ack Wait Waiting for an acknowledgement from FIN to the Quit request.
Re-connecting The automatic re-connect is currently attempting to re-connect a failed session.
Re-selecting The logical terminal is attempting to re-select a failed FIN session.
Select Ack Wait Waiting for an acknowledgement to the Select request. This state is transient.
Selected for Input Selected for input only. The logical terminal has been selected to send messages
to FIN, but not to receive any messages from FIN.
Selected for Selected for output only. The logical terminal has been selected to receive
Output messages from FIN, but not to send any messages to FIN.
Selected I/O Selected for input and output. The logical terminal has been selected to send and
receive messages from FIN.
12.5.4 The Message Partners Window

Description
This window displays real-time information about message partners, such as the number of
messages sent or received.
The Message Partners/Selected command in the View Mode menu enables you to filter the
information appears. You can decide not to monitor a message partner at all.
You may, for example, only feel that it is necessary to monitor the messages being sent to a
message partner. All other message partners can be filtered out of your view using the
Selected command.
Example of Message Partners window
Field descriptions
Partner Name
The name of the message partner profile.

Status
The operational network status of the message partner. For more information about the
statuses that a message partner communication session can have, see "Status of Message
Partner Sessions" on page 177.
Queued
The number of messages currently queued at the exit point. This field only displays a number
when the session direction is To Message Partner.
Sent
This is the number of output messages sent to a message partner during the current or most
recent session. This field only displays a number when the session direction is To Message
Partner.
Received
This is the number of input messages received from a message partner during the current or
most recent session. This field only displays a number when the session direction is From
Message Partner.
User-controlled sent counter
Number of messages sent.
User-controlled received counter
Number of messages received.
Exception indicator
-
-
12.5.5 Status of Message Partner Sessions

Description
You can monitor message partners that have a certain communication status, such as when
they are aborting or recovering. You can monitor any or all of the following session statuses:
Status Description
Aborting The session is closing down as a result of an Abort command being issued or a
serious failure, such as an authentication error. Interactive sessions may also be
aborted by the message partner.
You can use the Event Journal to examine the details of all abort events. Such events
are classified as System, and are described with an abort reason and an abort text. For
sessions involving the CAS protocol, the description of an event may include the
expected session or sequence number.
Closed No transfer of messages is currently taking place with the message partner.
Closing The session is closing down for one of the following reasons:
• An end-of-file (EOF) was reached during a batch input session
• All the messages queued at the exit points when the Run Session command was
issued have been transferred in this batch output session
15 July 2011 177

Status Description
• A Stop Session command was issued. Note that interactive sessions may also be
stopped by the message partner.
Interrupted The message partner has lost the connection to WebSphere MQ.
Only applicable to WebSphere MQ message partners.
Open The session is active and messages are being transferred.
Opening The session is started but is not yet open.

The Run Session or Start Session command was issued and the session is
initialising. Such a session is said to have been started manually in the Application
Interface.
Some sessions may be started directly by the message partner.
This is optional for an interactive session.
Recovering The session is recovering from a session failure, such as an abort request or a system
restart.
12.5.6 The Queues Window

Description
The Queues window shows the current state of message flow on Alliance Access. You can use
it, for example, to monitor how many messages are being sent to, or received from, the SWIFT
network.
Each queue is identified by the name of the routing point to which it is connected, for example,
SI_TO_SWIFT. Queues contain message instances that are processed sequentially.
The Queues window also shows the number of message instances currently held in each
queue and the name of the assigned message partner for the queue.
The Queues/Selected command in the View Mode menu lets you filter the information that
appears. You may decide not to monitor some queues at all.
You may, for example, only be interested in the queue that outputs messages to the SWIFT
network. With the Selected command, you can filter all other queues out of the display.
All queues have a threshold that specifies the maximum number of messages that can be held
in a queue before an alarm is raised. This threshold is set using the System Management
application. When the threshold of a queue is exceeded, the queue is placed in an exceptional
state.
If you want to raise the Monitoring application automatically whenever a queue goes into an
exceptional state, then select Raise On Exception from the File menu.
Example of Queues window

Field descriptions
Queue
The name of the queue that contains message instances. Message instances accumulate in a
queue, are processed, and are routed onwards by routing software. For more information about
queues, see "Configuring Queues" in the System Management Guide.
Entries
The number of message instances in the queue, regardless of which units the instances are
assigned to. A message instance can be the original message, a copy, or a notification. The
term "message" refers to the whole set of instances relating to a message. It is the message
instance that is processed, routed, and completed.
Instances have their own life cycle in the system and are processed independently from one
another. A message is said to be completed only when all instances are completed.
Message Partner
The name of the assigned message partner. Message partners represent the external sources
that the Alliance Access servers can communicate with, such as printers. Queues which can be
assigned to message partners are defined in the system as exit points.
Status
Indicates the current status of the queue, either Held, or Released.
Reference of the next message instance to be processed
SUMID + instance #
Reference of the oldest message instance in queue
SUMID + instance #
Exception indicator
-
-
12.5.7 Holding or Releasing a Queue

Introduction
You can use the Monitoring application to hold or release queues.
To hold or release a queue:

1. Click the queue that you want to hold or release.
2. Select Queues from the Action menu.
3. Select Hold or Release from the Queues sub-menu. After a few moments, the status of the
queue that you selected changes to show that the queue is now held or released.
The System Management application can also be used to hold or release queues. For more
information, see "Configuring Queues" in the System Management Guide.
15 July 2011 179

12.5.8 The Events Window

Description
Events may occur in the system that you must know about, such as a message partner
becoming disabled. The Events window helps you keep track of what is happening in the
system by displaying real-time information.
Example of Events window
Field descriptions
Date & Time
The date and time the event was logged in the Event Journal.
Severity
The event's degree of importance.
Possible values are:
• Fatal
This severity level is reserved for the unlikely case of a fatal system error which causes the
system to stop working.
• Info
A normal event that does not require any action from the operator. Most events are
generated with this severity level just to confirm that some action has taken place.
• Severe
The event is serious enough to require the immediate attention of the operator. For example,
a message has failed authentication or a session was aborted.
• Warning
The event may require the attention of the operator. For example, a message-format error
was detected.
Text of event
The first 40 characters of the textual description of the event. The full version of this text is
available in the Event Journal.
Name
The name of the event.

Status
Indicates whether the event has an alarm associated with it and, if it has, whether the alarm has
been treated. If the alarm has not been treated, then you have the option to do so by double-
clicking the event. This opens the Event Journal application, from which you can use the Treat
Alarm command to treat the alarm.
If the alarm has been treated, then the operator nickname and the date and time of the
treatment appear in the Event Journal.
12.5.9 The System Resources Window

Description
You can use the System Resources window to monitor disk space, server mode, and system
archiving.
System Resources window
Field descriptions - System Resource column

Backup Database
The status of the automated Database Backup process with the date, and time of the backup.
This can be:
• running
• completed
• failed
Backup/Remove journal archive
The status of the Backup/Remove Journal Archive process with the date, and time of the
backup.
This can be:
• running
• completed
• failed
Backup/Remove message archive
The status of the manual or automated Archive Backup process.
15 July 2011 181

This can be:
• running
• completed - no archive to be backed up
• failed
Disk Space
The disk space available on the disk where the database is located.
This parameter is placed in an exceptional state if the value displayed here is less than the
minimum specified for the configuration parameter Warning - MB in the System Management
application.
For more information about configuration parameters, see "Configuring System Parameters" in
the System Management Guide.
Full Recovery Backup
The status of the Full Recovery Backup with the date, and time of the backup
This can be:
• running
• completed
• failed
Incremental Recovery Backup
The status of the Incremental Recovery Backup with the date, and time of the backup
This can be:
• running
• completed
• failed
Journal Archive
The status of the manual or automated Event Journal Archive process.
This can be:
• running
• completed
• failed
Message Archive
The status of the manual or automated Message Archive process.
This can be:
• running
• completed
• failed

Recovery Backup Disk space

The status column shows the free amount of disk space available in MB on the Recovery
Backup disk.
This parameter is placed in an exceptional state if the value displayed here is less than the
minimum specified for the configuration parameter Recovery Warning - MB in the System
Management application.
Startup Mode
This is the mode in which Alliance Access is running. It can be either Housekeeping mode or
Operational mode.
Housekeeping mode is a maintenance mode. By default, only one user can sign on when
Alliance Access is in Housekeeping mode. Queues are frozen and messages cannot be sent or
received. In this mode, the Monitoring application is not available, so normally this mode never
appears.
Operational mode is the normal multi-user mode for operating Alliance Access, which enables
all functions of Alliance Access to be used. It is the default mode.
Field descriptions - Status column

Status column
The fields in the Status column contain values for the corresponding fields in the System
Resource column.
12.5.10 The Processes Window

Description
You can use the Processes window to monitor the running of applications and servers. It is
important to do this to ensure that the system is running well. The server processes and delivers
data to the applications. Applications represent the software used to communicate this data to
and from the operator, for example, the Monitoring application is itself an application.
Processes window
Field descriptions
Comp.
The name of the application or the service.
The Alliance Access software is divided into subsystems which represent major functional areas
of the system, for example, SWIFT Interface. Each subsystem is broken down into a service
and an application, in recognition of Alliance's client-server architecture.
The service refers to the server in the architectural model and is a collection of individual
servers, for example, Message Exchange services, SWIFT Interface services. Servers provide
services to client applications.
15 July 2011 183

The application refers to the client in the architectural model and is a collection of individual
applications, for example, the Application Interface, the SWIFT Interface application.
Description
A short textual description of the application or the server. This can just be the application or
server name.
Started by
The user name of the operator that started the process. If the Alliance Access servers started a
process, then this field is empty.
PID
The Process Identification Number. An identifier that is unique for each active process with
respect to all other processes running on the same host.
TID
The thread ID of a logical process within a process.
Display
This field is only defined for Alliance Workstation graphical applications or Alliance Web
Platform browsers. The format of the field is machine:session where machine is either the
hostname of the Alliance Workstation or the IP address of the machine that hosts the Alliance
Web Platform browser. For Alliance Workstation, the session is the Session ID as seen in the
Task Manager. For Alliance Web Platform the session is a unique number per browser
instance.
Status
The current operational status of the process:
• Running
The application is available. This is the normal process state. Some processes may go
directly into this state without initialising.
• Crashed
The application or server has either crashed or the user has aborted the process. This is an
exceptional state.
Note If your operator profile allows it, you can use the Stop command to stop a process
without having to resort to the low-level UNIX commands, or to shutting down the
Alliance Access completely.
To stop a process:
1. Select the process in the Processes list pane.
2. Select Process from the Action menu.
3. Click Stop .
12.5.11 The SWIFTNet Profiles Window

Description
The SWIFTNet Profiles window shows the status of the SWIFTNet emission and reception
profiles on your system.

Example of SWIFTNet Profiles window
Field descriptions
I/O
I for emission profile and O for reception profile.
Profile Name
The name of the profile.
Status
Status of profile: "enabled" or "disabled".
Session Status
This can be "active", "inactive", "interrupted", or "deactivating".
Mode
This can be "automatic" (for scheduling) or "manual".
U
Number of Urgent Messages queued.
N
Number of Normal Messages queued.
Sent
Number of messages successfully sent (by local Requestor DN) in the current session.
Received
Number of messages successfully received (for local Responder DN) in the current session.
Connection Name
Name of the current connection used for emission or reception.
12.5.12 The Operator Sessions Window

Description
The Operator Sessions window shows all the sessions currently open by operators in Alliance
Access, and the type of session, that is, Workstation or Web Service.
Example of Operator Sessions window
15 July 2011 185

Field descriptions
Operator
The name of the operator running the session.
Operator Type
The type of operator. It can be Human or Application.
Remote IP
The IP address or host name of the host where the operator initiated a session.
Expiration
For Web Service sessions, the time at which the session automatically expires if no action is
taken before.
Session Type
The type of session. It can be:
• Workstation, for sessions run through Alliance Workstation
• Web Service, for sessions run through Alliance Web Platform or Web Service applications.
12.5.13 The File Transfers Window

Description
The File Transfers window shows the status of incoming and outgoing file transfers.
Example of File Transfers window
Field descriptions
I/O
The file transfer direction: Input (I), which means that a file is sent, or Output (O), which means
that a file is received.
Transfer Reference
The Transfer Reference is a unique identifier for the file transfer and is automatically generated
when the file transfer takes place.
Correspondent
The correspondent institution.
Request Type
A specific function within the service being provided.

User Reference
Additional reference information concerning the transfer, for instance the date, an ID number, or
reference code.
Progress
The file transfer progress.
Start Date/Time
The start date and time of the file transfer.
Profile Name
The emission or reception profile name.
Service Name
The name of the service used.
Network Priority
The priority of the file transfer: Normal or Urgent.
Logical File Name
The logical name of the file transferred.
File Description
Additional information about the file included by the sender.
File Info
Structured data that the receiver can use for automatic processing of the file.
File Size
The size of the file transferred.
Transfer Description
Information about the file transfer provided by the sender.
Transfer Info
Structured data that the receiver can use for automatic processing of the file transfer.
Copy Required
Indicates whether a copy was requested (input only).
Copy Type
The type of copy (output only).
Copy Status
The status of the copy (output only).
Possible Duplicate
Indicates whether the file transfer is a possible duplicate.
Stored Transfer Ref
The Stored Transfer Reference is a unique transfer reference generated by the SWIFTNet
store-and-forward systems to identify a store-and-forward file transfer.
15 July 2011 187

12.5.14 Aborting File Transfers

Introduction
You can use the Monitoring application to cancel ongoing file transfers.
To abort an ongoing file transfer:

1. Click the file transfer entry that you want to abort.
2. Select File Transfers from the Action menu.
3. Select Abort. A dialog box asks you to confirm the abort operation. Click Yes to confirm.
After a few moments, the status of the file transfer that you selected changes to show that
the file transfer has aborted.

Using the Event Journal Application
13 Using the Event Journal Application

Introduction
Every event that occurs in an Alliance Access system is recorded in an Event Journal. If you
ever have to resolve a problem or find out more about an incident that has taken place on the
system, then you can go to this journal. To help you get to the right information quickly and
easily, the Event Journal has its own Event Journal application, with powerful facilities for
searching and viewing the events that have been recorded. Events can vary widely in nature,
and can range from simple information events, such as an operator logging in or a SWIFT
message being moved from one queue to another, to security-related events, such as
unsuccessful attempts to log in.
This section describes how to specify the events that you want to search for, list search results,
repeat searches, and display the details of events that match your search criteria.
13.1 Types of Events

About events
Events are reports about actions that have taken place within Alliance Access. There are many
kinds of events. Some are simple information messages, such as an operator logging in, or a
SWIFT message being moved from one queue to another. Others are more serious, such as
unsuccessful attempts to log in.
Events are classified as:
• Fixed events. This type of event (usually a security-related event) is preset in Alliance
Access and is always recorded in the Event Journal. This ensures that the auditing facilities
and security of the system does not fall below a minimum level.
• Non-fixed events. You can use the System Management application to specify whether a
non-fixed event is recorded in the Event Journal. For details, see "Configuring Event and
Alarm Distribution" in the System Management Guide.
13.2 Running the Event Journal Application

Introduction
When you run the Event Journal application, the Event Journal - Search Criteria window
appears.
15 July 2011 189

This window enables you to search for events.

The Event Journal main window appears in the background, but shows no events until you run
a search.
If the Search Criteria window does not appear:

• If the window does not appear when you start the Event Journal application, then select
Search from the Event menu in the Event Journal main window.
13.3 Searching for Events

Introduction
To obtain a list of events, you must start a search by selecting a source: Live Days or Archives.
Every event has a number of attributes associated with it, such as the event class, the severity
of the event or the time at which the event occurred.
These attributes can be used as criteria for searching for events or groups of events that have
occurred. A number of tabs are available to specify the search criteria. They are:
• Source & Creation tab
• Class & Severity tab
• Other tab.
You can also combine search criteria from different tabs. For example, you can search for all
security events (specified in the Other tab) that have occurred between 9 am and 10 am
(defined in the Source & Creation tab).
If you want to list all events (except events from the class process, which must be explicitly
specified) that are in the database, then click Start Search immediately.
If, while you are specifying search criteria, you decide to start again from scratch, then you can
remove all criteria entered by clicking Clear Criteria.

13.3.1 Searching by Source and Creation

Introduction
Use the Source & Creation tab to specify the source and creation criteria of the events which
you want to search.
You must first specify the source of the events for which you want to search. SWIFT
recommends that you archive, and backup events regularly. When you search for an event, it
may be archived. In that case, you must select a different source.
You can search for events using a range of dates between which the event or events were
logged.
The date and time formats depend on the setting of the configuration parameters Display
Format - Date and Display Format - Time. You use the System Management application to set
the value of these parameters. For more information, see "Configuring System Parameters" in
The fields in the Creation panel contain the event creation criteria:
To specify the source and creation criteria:

1. Click the Source & Creation tab.
2. Click Search Events in, to select the database to search:
• Live Days
• Archives to select an archive for your search.
3. If you want to search for events within a specific time frame, then fill in the relevant fields in
the Creation pane.
13.3.2 Search by Class and Severity

Introduction
Use the Class & Severity tab to specify event details.
15 July 2011 191

To specify the class and severity criteria:

1. Click the Class & Severity tab.
2. Select event classes from the Event Class/Available column.

The classes include:
Event Class Description
Backup/Restore Events related to the backup and restore of the Alliance Access database,
including events related to the archiving of the Message File and the Event
Journal.
Communication Events related to the transfer of messages and associated transmission

errors. A communication event is not related to the message itself.
Some examples are:
• start and stop of sessions
• login and select
• login ACKs and NAKs
• select ACKs and NAKs
• sequence number errors
• protocol errors.
Data Any action performed on Alliance Access data, such as add, modify or delete
Message Messages are logged in the Event Journal when they are sent to or received
from APC/FIN, message partners, or when they are manually completed. The
class also includes ACKs and NAKs of FIN messages (except Quit).
Network All network-related events. Typically, this includes any modifications to logical
terminals and SWIFT communication connections.
Operator Includes access control activities such as sign-on (normal and after inactivity
time-out), sign-off, and password modification. Other events are caused by
the use of commands, such as enabling or disabling message partner profiles
in the Application Interface.
Process Successful start and termination of internal processes

Event Class Description
Restart/Stop Automated (scheduled) stops and restarts of the system
Security All security-related events. Mainly Login and Select authentication failures
Software Abnormal software behaviour and internal failures
System Monitoring activities performed by the system and not covered by any of the
other classes, that is, queue overflow conditions, system recoveries, disk
space availability, and so on.
3. Click the transfer button > to move the event classes that you have selected from the
Available list pane into the Selected list pane.
To move an event class out of the Selected list pane back to the Available list pane, select
it and click the reverse transfer button < .
Note The search is aborted if you do not select at least one event class here.
4. Click in the Severity/Available column.
5. Each event is given a severity that shows its degree of importance. Use the Severity/
Available list pane to select the severity of events to search for. The levels are as follows
Severity Level Description
Fatal The event causes the system to stop working.
Severe The event requires the immediate attention of the operator. A severe event is
generated, for example, when a message fails authentication, or if a session
is aborted.
Warning The event possibly requires the attention of the operator. An example is
when a message-format error is detected.
Info The event does not require any action by the operator. Most events are
generated with this severity level just to confirm that some action has taken
place.
6. Click the transfer button > to move the severity level that you have selected from the
Available list into the Selected list.
To move a severity level out of the Selected list back to the Available list, select it and
click the reverse transfer button < .
13.3.3 Search by Other Criteria

Introduction
Use the Other tab to specify other event details.
15 July 2011 193

To specify the search criteria:

1. Click the Other tab.
2. Select the operator. This refers to the operator who caused the event. The drop-down box
contains the following operator selections:
Operator Name Description
All Searches for events triggered by all operators.
System Searches only for events triggered by the system, for example, the Alliance
Access software system.
LSO Searches for events triggered by the Left Security Officer.
RSO Searches for events triggered by the Right Security Officer.
Individual Lists all operators. Use this option to search for events triggered by an
Operators individual operator.
3. In the Search Text field, specify a string of characters to search for in the event's long
textual description.
You can specify the character string fully or partially by using the following "wildcard"
characters:
• _ to replace one unknown character in a string. For example, type A_Z to match both
"AUZ" and "ABZ".
• % to replace zero or more contiguous unknown characters in a string. For example, type
A%Z to match both "ABCDEZ" and "AZ".
Note Using wildcards may slow down your search significantly.
4. Click Event Type to select the type of event to search for:
Event Type Description
All Events All events that have occurred within the system, unless they have been filtered
out by the selection of other criteria
Security Events Events that have been pre-defined as being security-related. The security
nature of an event cannot be altered: it is hard-coded in the system.

Event Type Description
Alarm Events Normal events that have been set as alarms, but are not security-related
Security Alarm Normal events that have been set as alarms: security-related events
Events
Config Mgmt Events which have been defined as being Configuration Management related
Events
If you select Alarm Events or Security Alarm Events, then the Alarm Type field appears
so that you can select the type of alarm to search for:
Alarm Type Description
All Alarms All the events of the selected type
Non Treated All the events of the selected type that have not had their alarms treated
Alarms
Treated Alarms All the events of the selected type that have had their alarms treated
5. Use the Application Service/Available list pane to select the applications and services to
search for.
Every event in Alliance Access is generated within an application, and each event contains
information about the application that generated the event, for example, the Message File
application. Each event that occurs within the system can be traced to one of the following:
Application Description
Access Control The application that allows access to all other applications
ADK Events caused by the Application Developers Toolkit application
Advanced BIC Load Events caused by the Advanced BIC Load application
Alliance Control Servers starting in operational or housekeeping modes
Alliance System System processes such as operating system errors, failure to create a
directory, too many open files
Applic. Interface Events caused by the Application Interface application
Archive Server Events caused by the archive server
Base Launcher Start and termination (normal and abnormal) of processes launched
by the control process "csys"
Base Maintenance Service
Base Message Service
Base Server Service
Calendar Events caused by the Calendar application
Correspondent Info Events caused by the Correspondent Info application
Event Journal Events caused by the Event Journal application
Interactive Service Events caused by Interactive Service application
Journal Archiver Events caused by the use of the Archive command in the Event
Journal application
Log Migration Events caused during data migration
Mesg Approval Events caused by the Message Approval application
15 July 2011 195

Application Description
Mesg Creation Events caused by the Message Creation application
Mesg Modification Events caused by the Message Modification application
Message Archiver Events caused by the use of the Archive command in the Message
File application
Message File Events caused by the Message File application
Monitoring Events caused by the Monitoring application
nroff Events caused by the nroff application
Relationship Mgmt Events caused by the Relationship Management application
Routing Events caused by the Routing application
Rule Server Changes to routing points, rules, or schemas through the use of
commands available in the Routing application
Security Definition Events caused by the Security Definition application
SWIFT Interface Events caused by the SWIFT Interface application
SWIFT Support Events caused by the SWIFT Support application
SWIFTNet Interface Events caused by the SWIFTNet Interface application
SWIFTNet Support Events caused by the SWIFTNet Support application
System Management Events caused by the System Management application
Traffic Recon Events caused by traffic reconciliation of messages to and from the
SWIFT network
Web Services Events caused by the Web Services application
User Format Events caused by the User Format application (messages with
INTERNAL message format)
6. Click the transfer button > to move the applications or services that you have selected
from the Available list pane into the Selected list pane.
To move an item out of the Selected list pane back to the Available list pane, select it and
click the reverse transfer button < .
Note The search is aborted if you do not select at least one item here.
13.4 The Event Journal Window

Description
When a search is complete, the results appear in the Event Journal main window.
The number of events listed depends on whether you are using a high-speed or low-speed
connection. If more than the defined number of events is present, then there is more than one
list. If there is more than one list of events, then select Next List or Previous List from the
Event menu to see them.
You can sort the results into order using any of the column headings. For more information, see
"Sorting Items" on page 28.

Example of Event Journal window
Field descriptions
Date & Time
The date and time at which the event was added to the Event Journal
Severity
The importance of the event.
The following severity levels are defined:
Severity level Description
Fatal The event causes the system to stop working.
Severe The event requires the immediate attention of the operator. A severe event is
generated, for example, when a message fails authentication, or if a session is
aborted.
Warning The event possibly requires the attention of the operator. An example is when a
message-format error is detected.
Info The event does not require any action by the operator. Most events are generated
with this severity level just to confirm that some action has taken place.
Application
The application or service name that is associated with the event. This is not necessarily the
application which recorded the event in the Event Journal.
Class
The operational domain to which the event belongs.
Security
A Boolean, to show whether the event relates to security.
Name
A short description of the event.
Operator
The identity of the operator who caused the event. If the event is linked directly to a software or
system action, then this field displays the term "system".
Location
The location of the event (in the database or in an archive).
15 July 2011 197

The name of an archive is shown as a date, the format of which is specified in the System
Field display
You can control the information that is displayed in the Event Journal window by changing the
fields (that is, the columns) that appear. To change the fields that are displayed, select View
from the Event menu, and then select a field.
Default view
You can make the view options that you select into the default settings for the Event Journal
application. You can save your current view option setting by selecting Save Current View from
the File menu.
The next time that you start the application, these settings are displayed automatically.
Toolbar
The toolbar gives you quick access to the most common commands:
Icon Name Description
Previous List Move to the previous list of elements
Previous Move to the previous item in the list
Next Moves to the next item in the list
Search Specify search criteria and perform a new event search
Search again Repeat an event search using the same criteria that were used for the
previous search
Treat alarm Treat an alarm
Print Print a report containing information about selected events
Online Help Invoke online help and list the help topics
13.5 Repeating an Event Search

How to search again using the same criteria:
• From the Event menu in the Event Journal main window, select Search Again.
How to search using different criteria:

• From the Event menu, select Search. The Search Criteria window appears and you can
enter search criteria as described previously.


Print search results
You can print the search results displayed in the Event Journal main window.
For more information, see "Printing Reports" on page 26.
13.7 Displaying Event Details

Introduction
You can see further information about an event by selecting it from the Event Journal main
window.
Double-click the event and the following window appears:
Note When the Event Details window is open, you can still move up and down the list of
events. As you do so, the Event Details window shows the currently selected
event.
The Event Details window has two tabs, Main and Other, that can be selected to see details
about an event.
Displaying the Event details:

1. If you click the Main tab, then the following information appears:
Field Descriptions
Field Description
Description A long textual description of the event. The first 40 characters of the text are
also used in the Text column of the main Event Journal window.
Date The date the event was logged into the Event Journal
Time The time the event was logged into the Event Journal
Operator The operator name, for example, LSO/RSO or SYSTEM
Function The name of the command, or process which instigated the action generating
the event
Type The type of event
15 July 2011 199

Field Description
Severity The event's degree of importance
Application The application or service name that is associated with the event. This is not
necessarily the application which recorded the event in the Event Journal.
Alarm History This field is only displayed when the event type is "Alarm". It indicates whether
an alarm has been treated. If the alarm has not been treated, then the
message reads "Alarm not treated yet". If the alarm has been treated, then the
operator name and the date/time of the treatment appear.
2. If you click the Other tab, then the following information appears.
Other Tab
Field Descriptions
Field Description
Name A short description of the event. For example, an operator successfully

signing on to the system is an event which is logged in the Event Journal
under the name "Successful Sign on".
Class The operational domain to which the event belongs
Number A unique number assigned to the type of event
Host Name The ID of the host machine on which the event occurred
Sequence Every event recorded in the Event Journal is stamped with a unique and
Number consecutively assigned number
13.8 Treating Alarms

To treat alarms:
Some events have alarms associated with them. This means that when the event occurs,
Alliance Access records the event as an alarm in the Event Journal.
You can use the System Management application to set an event as an alarm, and to specify
whether details of the alarm appear to operators. For more information, see "Configuring Event
and Alarm Distribution" in the System Management Guide.
If you are aware of an alarm, then you must try to find its cause and treat the alarm. For more
information of alarms and how to treat them, see "Treating Alarms and Archiving Events" on
page 285.

13.9 Archiving Events

To archive events:
Archiving freezes events from the Event Journal. It is recommended that you archive, and
backup events regularly.
You can either archive events manually, or archiving can be scheduled to occur automatically.
For details of manual archiving, see "Archiving Events" on page 286.
For details of automatic archiving, see "Configuring the Calendar and Scheduling Processes" in
15 July 2011 201

14 Using the Message File Application

Introduction
You may have to investigate the status and history of messages. A copy of every processed
message is kept on a database. From the Message File application, you can query this
database with powerful search criteria to find specific messages or groups of messages. For
example, you may have to check whether an urgent message has been sent or received.
This section describes how to:
• specify the messages that you want to search for
• create search templates
• list search results
• display the details of messages that match your search criteria
• change the state of a message instance by completing or reactivating it
• change the priority of a message instance
• move a message instance to a routing point or exit point
• reassign a message instance to a different unit
• check the transmission details for a message transmitted with automatic logical terminal
allocation enabled.
14.1 Messages and Message Instances

Overview
Alliance Access can create additional copies of a message during message processing. These
copies are known as message instances. For example, when a message is sent, a message
instance can be created and stored on a log file, so that there is a record of every message
sent.
There are three different types of message instance:
• Original instance (also called the source instance)
• Copy instance
• Notification instance.
Collectively, the different instances make up the "message". The status of a message can be
live or completed. A message is not considered to be completed unless all of its instances have
been completed. When a message is completed, it can be archived.
Original instance
When a message is created by the Message Creation application or received by Alliance
Access, it is known as the original instance. Each message has only one original instance. After
the original instance is created, Alliance Access can create any number of copy or notification
instances from it. Each message instance has an independent existence and is processed
separately from the original instance.
You can only modify the message text in the original instance.

Using the Message File Application
Copy instance
Copy instances are created by the Alliance Access routing software and are usually generated
for information only. Copy instances cannot be used to alter the message text in any way. They
can only "point" to the text.
Notification instances are created by the routing software and give information about the
delivery status of a message. For example:
• The original instance has been acknowledged or rejected by the SWIFT network
• The message failed authentication.
Notification instance
Notification instances cannot be used to alter the message text in any way. Like copy instances,
they can only "point" to the text.
Status of message instances

The status of a message instance can be one of the following:
Status Description
Live The message instance is being processed or is awaiting processing at

one or more routing points
Completed The instance has been processed.
Reserved A Live or Completed instance that the Message Processing Function has
reserved. The instance is being processed, and you cannot perform an
action on it.
14.2 The Message File Window

Description
The first time that you run the Message File application, the Message File and the Message
File - Search Criteria windows appear.
To obtain a list of messages, you must start a search in either the database or selected
archives.
When a message or instance search is complete, the results appear in the Message File
window.
Field display
You can control the information that is displayed in the Message File window by changing the
fields (that is, the columns) that appear. To change the fields that appear, select View from the
Message or the Instance menu, and then select one or several fields.
Default View
There are three possible views in the Message file:
Message Displays the messages that match the search criteria selected.
Search Criteria Used to define the criteria that you use in a search.
The Search Criteria Details - New window in the Search Criteria view is
used to create templates for searches. You can use these templates
15 July 2011 203

when you want to run a number of different searches frequently. To do

this, you must first specify the template of the search criteria.
Instance The Instance Search Criteria window in the Instance view is used to
search for instances using different criteria. You can also use this window
to complete instances of messages, move instances to other queues and
reactivate instances.
You can save your current view option by selecting Save Current View from the File menu.
Then, the next time that you start the application, these settings are applied automatically.
Example
Fields common to messages and instances

The following fields appear for the Message view and Instance view in the Message File
application:
I/O
Specifies the direction of message flow:
• I - The message was created as input to a network, such as SWIFT. Alliance Access sends
this message.
• O - The message was output from a network, such as SWIFT. Alliance Access receives this
message.
Correspondent
The BIC-11 address of the correspondent.
Identifier
Identifies the type of message.
Reference
Message Value in the Reference field

Format
MT The Reference field contains one of the following:
• Transaction reference number, which is located in field 20 of the MT message
• Message user reference, which is located in the SWIFT user header
MX A user reference
other The number from the header or message text

formats

Suffix
A system-generated value intended to make the UMID unique. The first part is the date the
message was created in "YYMMDD" format. The second part is a 5-digit number randomly
derived by the system and unique for all messages created on a given day.
Message view
The following fields appear when you select the Message view:
Creation Date/Time
The date and time the message was created.
Currency/Amount
The financial amount prefixed by a currency code.
Messages that are assigned to a unit to which you belong are displayed first.
Messages without currency/amount are shown before those with currency/amount.
Alliance Access only displays the value of the Currency/Amount field if you are a member of a
unit to which at least one of the message instances is assigned. If this requirement is not met,
then the value has asterisks ("*****"), and if you produce a message details report, the value is
not printed. For more information about assigning units, see the System Management Guide.
Emission Info
The network name, session number, and sequence number of the last emission appendix of the
original message instance have the following format:
<network name><session number><sequence number>
Format/Status
The message format and current processing state of the message. For example, a message
may be in SWIFT format with a status of "live", which means the message has one or more
instances undergoing or awaiting processing. Alternatively, a message can have a status of
"complete", which means that all instances have been processed.
Location
Location of the message (database or archive). The name of an archive is shown as a date, the
format of which is specified in the System Management application.
MX Keyword 1
First keyword for an MX message (if present)
MX Keyword 2
Second keyword for an MX message (if present)
MX Keyword 3
Third keyword for an MX message (if present)
Netw. status
The network processing result of the last transmission. The data for this field is taken from the
information contained in the last transmission intervention attached to the corresponding
message instance.
Orig Inst RP
The queue or routing point in Alliance Access where the original instance of the message is
located. If the original instance has been completed, then no routing point appears.
15 July 2011 205

Reception Info
The network name, session number, and sequence number of the last reception appendix of
the original message instance. It has the format:
<network name><session number><sequence number>
Sender/Receiver
The BIC-11 address of the sender, and receiver of the message.
Validation Flag
Message User Group
Value Date
The date on which funds are credited or debited to or from the receiver's account.
Alliance Access only displays the value of the Value Date field if you are a member of a unit to
which at least one of the message instances is assigned. If this requirement is not met, then the
value has asterisks (*****), and if you produce a message details report, the value is not
printed. For more information about assigning units, see the System Management Guide.
Instance view
The following fields appear when you select the Instance view:
In Queue
Indicates in which queue the instance is. Use this information to move instances from one
queue to another.
In Queue Since
Shows when the message instance entered the queue it is currently in.
Application
Lists the application the instance was created in. Only the original instance can be changed.
Date/Time
Lists the date and time when the instance was created.
Creating Function
The function that created the instance.
Function
The last function in which the instance was processed.
Related Instance
A message cannot be completed until all the related instances are completed.
Service Name
SWIFTNet Service
Unit
The name of the unit to which the message instance is assigned.
Inst #
The sequence number of the instance. The original instance has the sequence number 0.
Status
The status of the message instance (Live, Completed, or Reserved).

Type
The type of message instance (Original, Copy, or Notification).
Instance Priority
The current internal priority of the message instance.
Restored Telex and Fax messages

You can restore Telex and Fax messages processed with releases earlier than release 7.0.
However, due to database structural changes required to remove Telex and Fax functionalities
for release 7.0, the following fields are not restored and do no appear in the Message File
application:
• for Telex messages: Telex Number, Answerback, and Network application
• for Fax messages: Fax Number, CUI, and Network application.
Toolbar
The toolbar gives you quick access to the most common commands:
Icon Name Description
Previous List Move to the previous list of elements
Previous Move to the previous item in the list
Next Item Moves to the next item in the list
Search Specify search criteria and perform a new message search
Search again Run the search again
Stop Search Stop the search
Print Print a report containing information about selected messages.

This command is not available if you select the Instances view.
Online Help Invoke online help and list the help topics
14.3 Launch a Search for Messages, Instances, or

Message Templates
Purpose
You can use this procedure to launch a message or instance search, or to count the number of
messages or message templates that are the result of a search.
All types of message are searched for if you do not specify any search criteria.
15 July 2011 207

To search for messages:

1. To search for all the messages that are in the database, click Search immediately in the
Message File - Search Criteria window.
2. To search for specific messages or instances, select the tab that specifies the type of
criteria to use for the search:
• "Search by ID and Content" on page 209
• "Search by Source and Creation" on page 215 - default tab
• "Searching by Transmission Details" on page 217
• "Search by Instance Location and Units" on page 219

The results appear in the Message File window. By default, the search retrieves only FIN
messages.
To display more items, select Next List from the Message menu.
The Size of pages option, in the Access Control application controls the number of items
that are displayed in a window. For more information, see "Setting the Speed Mode" on
page 16.
Note For more information about running a search with search criteria that you saved
previously, see "Templates for Message Searches" on page 223.
To stop a search:
• From the Message menu, select Stop Search.
To search again:
1. To repeat a search using the current criteria, select Search Again from the Message
menu.
Any search in progress is stopped and the list of retrieved messages is updated according
to the latest state of the system.
2. To search again using different criteria:
a. In the Search Criteria window, click Clear.
b. Enter your new search criteria.
c. Click Search.
To count the results:

1. Specify your search criteria as described in "Specifying Search Criteria" on page 209.
2. Click Count . The message count result appears.
3. Click OK to close the dialog box.
Note Message count is only available if you have the appropriate permission.

14.4 Specifying Search Criteria

Introduction
Every message has a number of attributes associated with it, such as the message ID, the
content of the message or transmission intervention details. These attributes can be used as
criteria for searching for messages or groups of messages.
You can also combine search criteria from different tabs. For example, you can search for all
messages in the SI_to_SWIFT queue (specified in the Instances Location and Units ) tab that
have been created between 9 am and 10 am (defined in the Source & Creation tab).
Any field preceded by the symbol '(*)' means that, by entering a significant value, you can
possibly reduce the number of database records that have to be scanned, but only if the
previous search criteria field has a * or (*) and has a significant value filled in.
Frequently performed searches using the same criteria can be saved. See "Create a Search
Criteria Template" on page 223.
While specifying the search criteria, if you decide to start again, click Clear .
14.4.1 Search by ID and Content

Purpose
Use the ID & Content tab to search for messages based on their format, Unique Message
Identifier (UMID), or the content of the message.
You can search for messages on the basis of the sender, receiver and what the message
contains. You can search for a particular type of message, such as financial messages, and
then search on some aspect of their contents, such as their amount fields. You can search for
messages by specifying a search text. You can also search for messages based on a FINCopy
service, a Banking Priority, or on a MUR.
Use the ID & Content tab to search for the following types of messages:
• Any
• FIN
• File
• Internal
• Other Standard
If you search for the Any messages, then the search results can contain Telex messages. In
this case, the Format column displays Telex for these messages.
UMID
The UMID is the most common criteria to use in searches. You can search for all input or all
output messages using a general UMID search. Alternatively, you can specify a full UMID to
search for a specific message.
The fields in the UMID panel contain the format and UMID of the messages to be searched for.
The fields displayed in this panel depend on the format of the message.
15 July 2011 209

The fields in the Content panel contain the content of messages to be searched for:
To specify ID and Contents criteria:

1. Click the ID & Content tab.
2. Select a Message Format:
The items in the Standards list depend on the packages for which you are licensed and the
MX Message Standards that are installed.
The Service Name field is filled automatically with the service that corresponds to the
standard selected (for example, swift.if.ia).
If you select Any, FIN, or Internal, then only the Standard field appears in this pane.
The fields FIN Copy Service, Banking Priority, and MURare only available if Standard
FIN is selected.
In the Standard field, if you select an MX standards (for example, Funds), then the Service
Name, Message Name, and Identifier fields appear.
The search returns messages for the "live" service only. The extension is always present to
type additional characters such as %, p or x. Entering % as an extension returns messages

for the live service as well as any messages that may have been created for any other
implementation of that service, for example (!pu1).
Select the required Message Name from the drop-down list. The system automatically
completes the Identifier field. If the Message Name field is empty, then all the messages
for the selected Standard are used for the search.
If you select File, then you can specify a Service in the Service Name field. If you leave
this field empty, then the search returns all the messages (of all the services) of type File.
If you select Other Standard, then you must enter a Service in the Service Name field,
and optionally, in the Identifier field (entries cannot be made in the Message Name field).
If the Service Name field is left blank, then Input and Output messages appear for all
Services.
3. The UMID or Other (for MX message standards) pane allows you to define the structure of
the message UMID. In these fields, you can either specify the UMID in full, to locate an
individual message, or you can specify messages, in part, by using wildcard characters.
Wildcard characters are as follows:
• _, to replace one unknown character in a string
• %, to replace zero, one or more contiguous unknown characters in a string

In the I/O field, select:
• I, to search for input messages, that is, messages that have been created for input to a
network, for example, SWIFT network
• O, to search for output messages, that is, messages that have been received from a
network
• %, to search for both input and output messages.
For SWIFT MT message format

1. In the Correspondent field, type the eleven-character BIC address of the sender (if the
message was output from the network) or the receiver (if the message was input to the
network). If no specific branch code is given, then the last three characters of the BIC
address default to ___ (for example, three wildcard characters).
For messages with a directional indicator of:
• I, the BIC address identifies the receiver of the message
• O, the BIC address identifies the sender of the message.

The other fields in this panel vary depending on the message format that you selected.
15 July 2011 211

2. In the Type field, enter the SWIFT message type that is the object of the search. If only a
partial message type is entered (or the complete message type in the case of message
type allowing multiple formats) and the Tab key is pressed, then a list is shown of all
message types starting with the entered message type. For example, in the case of
message type 103, the options MT103, MT103.STP and MT103.REMIT appear, where STP
and REMIT are the Qualifiers.
3. In the Qualifier field, if an entry has not been selected through the Type field, then enter
either the Qualifier Name to be used or a wild-card symbol, % or _. If no entry is made, then
the system default is %.
4. In the Reference field, enter either the transaction reference number or the message user
reference. The transaction reference number is located field 20 of the MT message. The
message user reference is located in the SWIFT user header.
Note You specify whether the UMID is based on the transaction reference number or
message user reference when the Message Syntax Table is installed. For more
information, see "Installing Message Syntax Tables" in the System Management
Guide.
For SWIFT MX message format

1. In the Correspondent field, type the eight-character BIC address of the sender (if the
message was output from the network) or the receiver (if the message was input to the
network).
2. In the Reference field, enter the user reference.
Note You specify whether the UMID is based on the transaction reference number
or message user reference when the Message Syntax Table is installed. For
more information, see "Installing Message Syntax Tables" in the System
Management Guide.
For all other message formats

• Type a reference number in the Reference field. This number is taken from the header or
message text.
To specify content criteria for MT messages:

1. Click the Sender and Receiver in the Content panel and select the message sender and
receiver for your search. If you select Institution, Department, Application or Individual,
then additional text fields appear for you to type the name of the institution, department,
application, or individual.
Note For more information about sender and receiver definitions, see "Updating the
Correspondent Information File" in the System Management Guide.
2. Click Nature and select the exact business nature of the messages that you are searching
for:
• All
• Financial
• Text

• Network
• Security
• Binary
• Service
Note If you selected Templates in the Source & Creation tab or All as the
message nature, then no other fields appear in this panel.
3. In the Transaction reference field, type a transaction reference number.
4. In the Related reference field, type a related transaction reference number. A related
transaction reference number is often included in a message to connect it to one previously
issued by the correspondent. In other words, a related transaction reference number is the
transaction reference number of a previous message. This information is taken from field
21 of the SWIFT message text.
5. In the Search text field, type a text string.

Note that there are search restrictions:
• Input information is case-sensitive.
• The search is limited to block 4 of the message.

For improved results, use wildcards. You can specify the character string fully or partially by
using the following wildcard characters:
• o _, to replace one unknown character in a string. For example, type A_Z to match both
AUZ and ABZ.
• o %, to replace zero or more contiguous unknown characters in a string. For example,

type A%Z to match both ABCDEZ and AZ.
6. In the FIN Copy Service field, select a FINCopy service. Select All to find messages that
have a FINCopy service value. If you leave this field empty, then this criteria is not taken
into account.
7. In the Banking Priority field, specify a banking priority of four alphanumeric characters
maximum.
8. In the MUR field, specify a MUR of 16 characters maximum. You can type alphanumeric
characters, wildcards characters (%_), and /-?:().,'+.
Note The fields FIN Copy Service, Banking Priority, and MURare only available if
Standard FIN is selected.
For Financial message nature

1. If you selected Financial as the message nature, then additional fields appear.
15 July 2011 213

2. In the Amount fields, type an amount range. If you want to search for a message that
contains a specific amount, then enter this amount in both the From and To fields.
3. In the Cur field, type a 3-character currency code. The currency is in ISO format, for
example, GBP or USD. You must complete this field if you specified an amount.
4. In the Value Date fields, type a date range.
Note The formats for the amount and date values are set by configuration parameters in
the System Management application. For more information, see "Configuring
System Parameters" in the System Management Guide.
To specify content criteria for MX messages:

If you select an MX message-related option in the Standards field in the Message Format
pane (such as Cash Reporting or Funds), then three additional fields appear to enter MX
keywords as search criteria:
1. Click the Sender and Receiver in the Content pane and select the message sender and
receiver for your search. If you select Institution, Department, Application or Individual,
then additional text fields appear for you to type the name of the institution, department,
application, or individual.
2. In the MX Keyword 1, MX Keyword 2, and MX Keyword 3 fields enter search data as

required. Wildcard characters can also be used in the search.
3. In the Search text field, type a text string.
Note If you select Any, File, Other Standard, or any MX standard in the Message
Format pane, then the Copy checkbox appears in the Content pane. Select this
checkbox to search for all the messages using a copy service (for example,
FINCopy).

14.4.2 Search by Source and Creation

Introduction
Use the Source & Creation tab to specify the source file and creation date criteria of the
messages which you want to search for.
You can search for messages using a range of dates between which the message or messages
were created. You can also search for duplicate messages, if any, in the database (excluding
system messages).
You must first specify the source of the messages which you want to search. SWIFT
recommends that you backup up and archive messages regularly. When you search for a
message, it may exist in an archive, in which case you must select Archives as the source
(otherwise select Live Days).
Archives are named based on the creation date of the messages they contain. The date format
depends on the setting of the configuration parameter Display Format - Date You use the
System Management application to set the value of this parameter. For more information, see
"Configuring System Parameters" in the System Management Guide.
The fields in the Source & Creation tab contain the message creation criteria:
15 July 2011 215

To specify the source and creation criteria:

1. Click the Source & Creation tab.
2. In the Search in, field, select where you want to perform the search:
• Live Days, to search for messages in the database.
• Archives, to search for messages in the message archives.
• Templates, to search the message templates that are stored.
3. If Archives was selected as the source, then select the archives to search, by clicking the
transfer arrows to move the archives from the Available pane to the Selected pane.
4. To search for messages that were created within a range of dates, complete the fields in
the Creation section, as follows:
Field Description
from Date The date of the earliest message to search for.

The Search function searches for messages that were logged in the database with a
creation date on or after the date in this field.(1)
Time The earliest time at which a message was created

The Search function searches for messages that match the from Date criterion and
that were logged in the database after the time specified in this field.(2)

Field Description
to Date The date of the latest message to search for.

The Search function searches for messages that were logged in the database with a
creation date on or before the date in this field.(1)
If you are searching the archives, then you can enter a maximum date range of 31
days.
Time The latest time at which a message was created.

The Search function searches for messages that match the to Date criterion and that
were logged in the database before the time specified in this field(2).
(1) If you enter no value in this field, then the Search function uses today's date.
(2) If no value is typed, then the system substitutes a time of "00:00:00" or "12:00:00 am", depending on the
setting of the Display Format - Time configuration parameter.
5. To search for duplicate messages, check the option Find Possible Duplicates.
6. To save the search criteria as a template, click Save Criteria before you click Search .
For more information, see "Templates for Message Searches" on page 223.
14.4.3 Searching by Transmission Details

Introduction
You can use the Transmissions tab to search for messages on the basis of the details of their
transmission interventions.
15 July 2011 217

Interventions are information fields that are added to a message during its processing.
Transmission interventions (also known as appendices) are added to a message when the
message is received from an external network or from a message partner. A transmission
intervention is also generated every time a message is sent to a network or to a local message
partner, regardless of whether the transmission is successful or unsuccessful. For this reason,
incoming messages (original instances) have only one transmission intervention of type
"Reception", whilst outgoing messages can have many transmission interventions of type
"Emission".
The fields in the Interventions panel specify the details of the transmission interventions to be
searched.
The fields in the Status panel specify the transmission status of messages in your search.
The network that sent or received the message can either be an external network such as the
SWIFT network, or the internal network. Messages exchanged using the Application Interface
are received from, or sent to, message partners over the internal network. This internal network
is given the name "APPLI".
To specify transmission intervention criteria:

1. Click the Transmissions tab.
2.
Click Network Name and select the name of the network that sent or received the
message. Choices are:
• SWIFT, SWIFTNet, OTHER, for external networks
• APPLI, for the internal network
• Any, for internal and external networks.

If you select SWIFTNet as the Network Name, then you can enter a SWIFT Reference, a
Transfer Reference, a Stored Transfer Reference, or an Original SnF Reference in the
Reference field that appears. Wildcards are allowed for this field.
3. In the From/To Network field, select the search direction. Choices are:
• From, for messages that have been transmitted from the network
• To, for messages that have been transmitted to the network
• Any, for messages in both directions.
4. In the Session Holder field, type the name of the logical terminal, or message partner
profile that established the session during which the message was exchanged with Alliance
Access.
If the Network Name is SWIFT, SWIFTNet, OTHER, then type the following for the logical
terminal:
• a 9-character logical terminal identifier through which the message is sent or received
• a 3-character branch code (this is always "XXX")
• a 1-character code identifying the session type (this is either "A" for APC sessions or "F"
for FIN sessions).
Example: SWHQUS33AXXXF
If the Network Name is APPLI, then type the name of the message partner through which
Alliance Access exchanges the messages that you are looking for.

5. In the Session Number field, type the number of the communications session during which
the messages were transmitted.
This number is automatically assigned to every session with the external network or the
message partner.
6. In the Sequence Number From field, type a sequence number to search from.
This is a sequence number within the communications session specified in the previous
field. For the SWIFT network, this number is the input sequence number for outgoing
messages or the output sequence number for incoming messages. Sequence numbers are
automatically assigned to each message transmitted during a communications session.
7. In the Sequence Number To field, type a sequence number to search to. This field
specifies the upper limit of the search.
8. Select the networks to be included in your search by using the Network Names list boxes
of the Status panel. To do this, select the networks that sent or received the messages by
moving them from the Available list box to the Selected list box.
9. When you select a network, options appear for you to specify transmission details.
Click:
• Transmission Failure to search for messages whose transmission has failed. For
example, if the SWIFT network is used, these are messages for which either an MT 015
(Delayed NAK) or an MT 019 (Abort Notification) has been received.
• Waiting Delivery to search for messages that are awaiting delivery. For example, if the
SWIFT network is used, these are messages for which an MT 011 (Delivery Notification)
was requested but has not yet been received, and also messages for which an MT 010
(Non-Delivery Warning) has been received.
• Waiting Transmission to search for messages that have not been transmitted yet.
14.4.4 Search by Instance Location and Units

Introduction
Message instances can be "live" or "completed". Live message instances are held in queues
and still have some processing to be done on them. Completed message instances are not held
in queues and require no further processing. Regardless of whether a message instance is
completed or not, a copy of it is still held in the Message File.
If you are searching for live messages, then you can specify which queues are to be searched
for message instances, and the units to which the message instances are assigned. You can
also search for completed message instances only.
Use the Instances Location and Units tab to specify status, and location and units criteria of
messages to be searched.
15 July 2011 219

To specify Instance Location and Units criteria:

1. Click the Instances Location and Units tab.
2. In the Status field, select:
• Any to search for all message instances
• Live to search for message instances that are still being processed. All queues are
automatically transferred to the Selected Queues list box if you select this option.
• Completed to search for message instances that have no further processing on them.
No queues are available for selection if you select this option.
3. Select the queues that you want to search in using the Queues list boxes. To do this,
select the queues by moving them from the Available Queues list box to the Selected
Queues list box. If no units are moved to the Selected Queues list box, then a search is
made for all queues.
4. If you want to search for message instances that are assigned to specific units, then select
the units using the Units list boxes. To do this, select the units by moving them from the
Available Units list box to the Selected Units list box. If no units are moved to the
Selected Units list box, then a search is made for all units.
5. If you want to save your selections as a search template, then click Save Criteria before
performing your search.
For more information, see "Templates for Message Searches" on page 223.

14.5 Detecting Duplicate Messages

Description
Duplicate detection is based on digest comparison. Every time a (FIN, InterAct, or FileAct)
message is added or updated in the database, a digest is calculated and compared to all the
digests of the active messages in the database.
In case of message update, the digest is re-calculated only when the message payload or one
of the fields used for the digest calculation is changed. The message is always added or
updated in the database.
Actions on the possible duplicate messages

When a message is added to or updated in the database, the message is checked if it is a
duplicate message depending on the digest comparison value.
The following tasks are performed using the digest-based duplicate detection functionality:
• For every message added or updated in the Alliance Access database, a digest is calculated
and compared with all digests of the active messages present in the database. The digest is
calculated for FIN, InterAct, and FileAct messages.
• When a message is updated, the digest is re-calculated only when the message payload or
the value in one of the fields used for the digest calculation is changed.
• When the same digest is found in the database, an extra comparison is performed on the
payload itself and if it is identical, then the existing routing keyword Possible_duplicate
is set to "True" for the message.
Duplicate message digest

The digest is calculated for each FIN, XML-based or File message, and the calculation uses, as
input, the message payload and a fixed set of fields:
• Sender: BIC11 for FIN, Requestor DN for InterAct and FileAct
• Receiver: BIC11 for FIN, Responder DN for InterAct and FileAct
• Direction: I or O
• Message type: Message type for FIN, Request Type for InterAct and FileAct
• Unique message identifier (UUMID): Generated by Alliance Access.

The duplicate messages can be found in the Message File application. For more information,
see "Using the Message File Application" on page 202.
Calculation of message digest
1. The digest of the message is calculated as follows:
• FIN message: digest of Block 4 (maximum 4 KB) plus the additional fields
• XML-based message: digest of the document (maximum 100 KB) plus the additional
fields
• File message: digest of the file payload digest (6 bytes) plus the additional fields
15 July 2011 221

Note If the back office provides the same file twice, but each file has a different
digest value, then the duplicate message is not detected.
2. The message is stored in the database along with its digest and when it is stored, the
system checks whether the digest already exists.
• If the digest does not exist already in the database, then the check stops.
• If the digest already exists in the database, then the message payload and the additional
fields must be compared to ensure a complete duplicate check.
• If the comparison check returns a difference, then the check stops.
• If the comparison check identifies the messages to be identical, then the message is
updated by setting the routing keyword value to "possible duplicate".
3. The message is added to the database or updated. A duplicate message is flagged as a

possible duplicate.
Note File messages cannot be updated because these messages cannot be modified.
14.6 Sort the Message List

Introduction
After a search is completed or has been stopped, you can sort the messages as in the Message
File.
To sort messages:
1. From the Message menu, select Sort.
2. Click Sort By, and then select a sort criteria:
Sort criteria Result
UMID Sort messages by their Unique Message Identifier in ascending

alphanumerical order. For example, a message starting with the letter "I"
is listed before a message starting with the letter "O", and a message
starting with the number "1" is listed before a message with the number
"8".
Currency/Amount Sorts messages by their amounts.

The financial amount is prefixed by a currency code.
Messages that are assigned to a unit to which you belong are displayed
first.
Messages without currency/amount are shown before those with
currency/amount.
Alliance Access only displays the value of the Currency/Amount field if
you are a member of a unit to which at least one of the message

Sort criteria Result

instances is assigned. If this requirement is not met, then the value has
asterisks ("*****"), and if you produce a message details report, the value
is not printed. For more information about assigning units, see the
Creation Date Sorts messages by the date and the time a message was created
3. Click OK .
Tip Messages can also be sorted by clicking directly on the respective column header
in the main window. For more information, see "Sorting Items" on page 28.
14.7 Templates for Message Searches

Introduction
You can save frequently used search criteria in a template and later use the template to search
for messages or message instances.
14.7.1 Create a Search Criteria Template

To create a template:
Click Save Criteria in the Search Criteria window. Alternatively, you can do the following:
1. From the View menu of the Message File application, select Search Criteria.
2. Select New... in the Search Criteria menu.

The Search Criteria Details - New view appears.
15 July 2011 223

3. Use the same process as when you specify search criteria. To complete the template, see
"Specifying Search Criteria" on page 209.
4. When you have completed all the necessary fields to create the template, select Add from
the Search Criteria menu, to save the criteria.
Tip If you are creating a template for a search of the Message archive, then make
sure that the Selected pane lists the archives to search.
5. Enter a name for the template and then click Save .
14.7.2 Modify a Search Criteria Template

To modify a search criteria template:
1. From the View menu of the Message File application, select Search Criteria.
2. Select a template to modify. From the Search Criteria menu, select Open.
Tip Do not double-click the search criteria template because this action runs a
search using the template.
3. Use the same process as when you specify search criteria, as described in "Using the
Message File Application" on page 202.
4. Select Modify from the Search Criteria menu, to save the template.


Overview
You can print the search results that are displayed in the Message File window.
When printing a message, if you select Message Partner print layout, then the message is
printed as if printed by a print message partner. This option is available when selecting a
message instance from the Instances tab.
To print a message instance in the Message Partner print layout, you must be a member of a
unit to which at least one of the message instances is assigned.
Note MX messages are only printed correctly when expanded text is set.
Message search results

To control the impact of searches on server performance, the Message Search Results
configuration parameter limits the maximum number of items that an operator can print. For
more details about this parameter, see the System Management Guide.
14.9 Handling of Instances

Introduction
You can use the Message File Instance Search Criteria windows to search for instances.
Once the search is complete, you can complete, move, reassign, reactivate and change the
priority of instances in groups instead of performing these actions for individual messages.
Counting the number of instances

You can also use the Message File Instance Search Criteria windows to count the number of
instances.
1. Specify your search criteria as described in "Search for Instances" on page 225.
2. Click Count . The instance count result appears.
3. Click OK .
14.9.1 Search for Instances

To search for instances:
1. Select Instance from the View menu in the Message File application, and then select
Search. The Instance Search Criteria window appears.
15 July 2011 225

2. Select one of the following options in the Instance Status field:
• Live, to search for message instances that have the status "Live" in the selected
queues. Double-click the queues to move them from "Available" list to the "Selected" list.
Note This search is possibly restricted to the units that the operator is allowed to
see, depending on the permission of the operator.
• Completed, to search for message instances that have the status "Completed" using
network information and session information as search criteria.
• Reserved, to search for Live or Completed message instances that the Message
Processing Function has reserved. These instances are being processed, and you
cannot perform an action on them.
3. Click Search . The results appear in the Instance - Message File window.
14.9.2 Completing a Message Instance

Introduction
You can complete instances of a message from within the Message Details window. You can
do this only if you are a member of a unit to which at least one of the message instances is
assigned, and if your operator profile allows it.
The process of completing a message instance removes it from the routing point where it is
queued.
To complete a message instance:

1. From the main Message File window, double-click the message, or select the message
and select Open from the Message menu.
2. Click the Instances tab.
3. Click the instance that you want to complete.
4. From the Instance menu, select Complete. The message instance is completed.
To complete multiple message instances:

1. From the main Message File window, select Instance from the View menu.
2. Select all the instances that you want to complete.
3. From the Instance menu, select Complete. The message instances are completed.

14.9.3 Reactivate a Completed Message Instance

Introduction
If necessary, you can reactivate a completed message instance which is no longer queued at a
routing point. You can only do this if you are a member of a unit to which the message instance
is assigned and if your operator profile gives you the entitlement to do it.
The reactivation scope is set by the security officers through the Security Definition application.
Settings for the reactivation scope are:
• Full, a message instance can be reactivated in all allowed routing and exit points.
• Partial, a message instance can be reactivated in exit points only.
• Restricted, a message instance can be reactivated in the Text Modification queue

(_MP_mod_text) for input messages, and the Modify After Reception queue
(_MP_mod_reception) for output messages.
Note An instance of an archived message cannot be reactivated.
The way in which the Reactivate message instance function behaves depends on how your
system is configured. This can be as follows:
• Both the Reactivation Comments and Target Routing Point tabs appear.
In this case you enter a comment, select the target Routing Point to which the message is to
be disposed and then click Reactivate .
• Only the Reactivation Comments tab.

In this case you enter a comment and the message is disposed to the default Routing Point.
Click Reactivate to complete the process. This occurs when the Security Configuration
Parameter Reactivation Scope is set to Restricted.
• Only the Target Routing Point tab.

In this case you can only select the target Routing Point to which the message is to be
disposed. Click Reactivate to complete the process. This occurs if the Configuration
Parameter Performance Routing Intervention is set to All
• The window and tabs do not appear.

You are asked to confirm the action and the message instance is disposed to the default
Routing Point.
15 July 2011 227

To reactivate a message instance (in the case where both the Reactivation Comment and
Target Routing Point tabs are displayed):
3. Click the instance that you want to reactivate and from the Instance menu, select
Reactivate. In the window that appears, select the Reactivation Comment tab:
4. Enter any comments for the message instance.
5. Select the Target Routing Point tab.
6. Click the routing point where the reactivated message instance is to be moved.
7. Click Reactivate .
Example
An example of the use of this function would be to reprint the details of a message by
reactivating a completed message instance to the print message partner.

To reactivate multiple message instances (in the case where both the Reactivation Comment
and Target Routing Point tabs appear):
2. Select the instances that you want to reactivate.
3. From the Instance menu, select Reactivate. In the window that appears, select the
Reactivation Comment tab and enter any comments for the message instances being
reactivated.
4. Select the Target Routing Point tab and select the routing point where the reactivated
message instances are to be moved.
5. Click Reactivate .
14.9.4 Moving a Message Instance

Introduction
You can move a message instance from the routing point where it is queued to one of the valid
target routing points from that routing point, or to an exit point. You can only do this if you are a
member of a unit to which the message instance is assigned, and if your operator profile gives
you the entitlement to do it.
Note The ability to move an instance is a permission assigned to an operator using the
Security Definition application. An operator who has this permission can move
messages between queues provided they are specified as valid target routing
points. If you have the entitlements to move messages (in the Message File
application), and to (group) authorise messages (in the Message Approval
application), then you can move messages from _MP_verification to
_MP_authorisation in the Message File application, and then (group) authorise
them in the Message Approval application (Authorisation screen).
To move a message instance:

3. Click the instance that you want to move.

From the Instance menu, select Move To. A window appears, showing the current routing
point and the valid target routing points from it.
15 July 2011 229

4. Click the routing point or exit point to which the message instance is to be moved.
5. Click Move .
To move multiple message instances:

1. From the Message Details window, click the instance that you want to move in the
Instances tab.
2. Select the instances that you want to move.
3. From the Instance menu, select Move To. A window appears, showing the current routing
point and the valid target routing points from it.
4. Click the routing point or exit point to which the message instances are to be moved.
5. Click Move .
14.9.5 Reassigning a Message Instance to a Different Unit

Introduction
You can reassign an original or copy message instance to a different unit from the Message
Details window. You can only reassign an instance if your operator profile gives you the
entitlement to do so. For more information about units, see the System Management Guide.
To reassign a message instance:

3. Click the instance that you want to reassign.

From the Instance menu, select Reassign. This command is not available if the message
instance is a notification. After you select Reassign, a window appears, showing the
current unit that the message is assigned to, and all the approved units.

4. From the list of Available Units, click the unit to which you want to assign the message.
5. Click Reassign . All further processing of the message is then restricted to operators
belonging to the unit displayed in the Selection field.
Note If you re-assign a message instance which has a related notification instance,
then Alliance Access assigns the notification to the same unit automatically.
To reassign multiple message instances:

2. Select the instances that you want to reassign.
3. From the Instance menu, select Reassign. This command is not available if the message
instances are a notification. After you select Reassign, a window appears, showing the
current unit that the messages are assigned to, and all the approved units.
14.9.6 Changing the Priority of a Message Instance

Introduction
You can modify the internal priority of one, or a group of message instances. The instance
priority can only be changed for live messages. This change requires that:
• you have the appropriate operator permission
• you belong to the unit associated with the selected message instance
Modifying the message instance priority has no effect on the message network priority. On the
other hand, changing the network priority of a message, for example through the Message
Modification application, modifies the value of the priority of an original or copy message
instance.
Note You can also change the internal priority of message instances through the
Routing application. For more information, see "Action Tab" in the System
Management Guide.
To change the priority of a message instance:

15 July 2011 231

3. Select the instance for which you want to change the priority.
4. From the Instance menu, select Change Priority....

The Change Priority window appears, showing the current priority of the selected
instance, and the list of priorities that are available.
5. Select a new priority from the following list: 1 (Highest priority), 2, 3 (System), 4, 5 (Urgent),
6, 7 (Normal), 8, 9 (Lowest priority).
6. Click OK .
To change the priority of multiple message instances:

2. Select the instances for which you want to change the priority.
3. From the Instance menu, select Change Priority....

The Change Priority window appears, showing the current priority of the selected
instance, and the list of priorities that are available.
4. Select a new priority from the following list: 1 (Highest priority), 2, 3 (System), 4, 5 (Urgent),
6, 7 (Normal), 8, 9 (Lowest priority).
5. Click OK .
14.10 Display Message Details

Introduction
What you see in the Message File window is only a summary of each message that matches
your search criteria. You may find that you have to look at a message in more detail to resolve a
problem or to get more information. You can look at the Message Header and text, as well as a
full history of the different processing steps that the message has undergone.
To see message details, double-click the message. The Message Details window appears.

The information displayed is common to all instances of a message and in a number of tabs:
• Header
• Sender/Receiver
• Text
• History
• Instances
• Other
Note For Telex messages, which were restored from an archive created in Alliance
Access release 6.x, the Status field displays Test Message.
After the Message Details window is open, you can move up and down the list of messages
that match your search criteria. The details of each message appear automatically in the
window as you do so.
To move up or down the list of messages, select Previous or Next from the Message menu.
14.10.1 Header Tab - MT Messages

Description
This tab contains information about the Alliance message header. You can view this tab for all
messages displayed in the list for which you have permission. If you have permission to view
messages belonging to other instances, then you can view all messages in the list, but the
Amount, Currency and Value Date fields do not appear. Further message header details
appear in the Other tab. For more information, see "Other Tab" on page 249.
15 July 2011 233

Example
Field descriptions
Status
Information about the message, such as attributes, permissions, or type. A message can have
one or more of the following statuses:
• Possible Duplicate Emission

means that the message has a Possible Duplicate Emission trailer indicating that it may have
been sent before
• Possible Duplicate Reception

indicates that the message may have been received before
• Partial Message
indicates that the message is incomplete.
• Template <name>
indicates that this is the template used as the basis for other messages
• Test Message
indicates that a test and training destination sent the message
• Read-only
indicates that it is an incoming message that has been set to read only by the SWIFT
Interface. This status cannot be reset.
• Message Modified
indicates that the message text has been modified after sending
• Retrieved

indicates that the message has been retrieved from the network and extracted from an MT
021.
• Sanctions screening - Message blocked

indicates that Sanctions Screening over SWIFT has reported the message instance as a true
hit. For more information about this warning, see the System Management Guide,
Configuration for Sanctions Screening over SWIFT.
Format
The message format. For example, SWIFT for MT message format, or MX for MX message
format.
Sub-Format
The sub-format of a message shows the direction of its flow in the network. For messages being
sent to the network, this is Input. For messages received from the network, this is Output.
Identifier
A 3-character code used to identify the type of message, such as a funds transfer message. For
MT messages, it is prefixed by "fin" for financial messages and "apc" for system messages.
Nature
The business nature of the message. For example, network means that the message is a
system message (MT 0nn).
Sender
The BIC-11 address of the sender of the message.
If the message was input (I in the I/O field) to the external network, then you are the message
sender and your BIC-11 address is shown here.
If the message was output (O in the I/O field) from the external network, then your
correspondent is the sender and their BIC-11 address is shown here.
Receiver
The SWIFT address of the receiver of the message.
If the message was input (I in the I/O field) to the external network, then your correspondent is
the receiver of the message and their BIC-11 address is shown here.
If the message was output (O in the I/O field) from the external network, then you are the
receiver and your BIC-11 address is shown here.
LT
The logical terminal that sent or received the message at your side. Only displayed for SWIFT
messages.
Amount
This field is only used for financial messages. An amount taken from the first occurrence of the
Amount subfield in the message. For SWIFT messages, this value is found in field 32A.
Currency
The currency of the Amount using the three-character ISO (International Standards
Organisation) currency code format. For SWIFT messages, this value is found in field 32A.
Value Date
The date on which the Amount is credited to or debited from the receiver's account. For SWIFT
messages, this value is found in field 32A.
15 July 2011 235

Transaction Reference
The transaction reference number. For SWIFT messages, this value is found in field 20.
Related Reference
The Related Transaction Reference Number (Rel TRN). For SWIFT messages, this value is
found in field 21.
14.10.2 Header Tab - MX Messages

Description
The Header tab contains information about the Alliance message header. You can only view
this tab if you are a member of a unit to which at least one of the message instances is
assigned. Further message header details appear in the Other tab. For more information, see
"Other Tab" on page 249.
Example
Field descriptions
Status
Information about the message, such as attributes, permissions or type. A message can have

been sent before

means that the message may have been received before

• Template <name>
means that this is the template used as the basis for other messages
• Test Message
means that a test and training destination sent the message
• Read-only
means that it is an incoming message that has been set to read only by the SWIFT Interface.
This status cannot be reset.
Format
The message format. For example, SWIFT format.
Sub-Format
Identifier
Identifies the type of request, for example, GetAccount.
Requestor DN
The Sender of the message.
Responder DN
The Receiver (Correspondent) of the message.
Service Name
The name of the SWIFTNet Service for which the message has been sent or received.
Non-repudiation
Whether non-repudiation was requested and the result. The field is TRUE, FALSE, or empty if
not set.
Sign Message
Whether a request was made to sign the message and the result. The field is TRUE, FALSE, or
empty if not set.
Delivery notif reqd.
Whether notification of delivery is required.
MX Keyword 1
MX Keyword if found.
MX Keyword 2
MX Keyword 3
15 July 2011 237

Overdue Warning Time

The date and time (in UTC) after which Store-and-forward generates an overdue warning if the
message or file remains undelivered.
Overdue Warning Delay
The number of minutes after which Store-and-forward generates an overdue warning if the
message or file remains undelivered. Minimum value: 5. Maximum value: 1440.
14.10.3 Header Tab - File Messages

Description
The Header tab contains information about the Alliance message header. You can only view
this tab if you are a member of a unit to which at least one of the message instances is
assigned. Further message header details appear in the Other tab. For more information, see
"Other Tab" on page 249.
Example
Field descriptions
Status
Information about the message, such as attributes, permissions, or type. A message can have

been sent before

means that the message may have been received before

• Template <name>
means that this is the template used as the basis for other messages
• Test Message
means that a test and training destination sent the message
• Read-only
means that it is an incoming message that has been set to read only by the SWIFT Interface.
This status cannot be reset.
Format
The message format, File.
Sub-Format
Identifier
Identifies the type of request, for example, GetAccount.
Requestor DN
The Sender of the message.
Responder DN
The Receiver (Correspondent) of the message.
Service Name
The name of the SWIFTNet Service for which the message has been sent or received.
Non-repudiation
Whether non-repudiation was requested and the result. The field is TRUE, FALSE, or empty if
not set.
Sign Message
Whether a request was made to sign the message and the result. The field is TRUE, FALSE, or
empty if not set.
Delivery notif req.
Whether notification of delivery is required.
Overdue Warning Time
This is the time (in UTC) that Start-and-forward generates a warning if the file is undelivered.
Overdue Warning Delay
This is the number of minutes after which store-and-forward generates a warning if the file is
undelivered. Minimum value is 5, maximum value is 1440.
Header Info
Contains header information.
15 July 2011 239

14.10.4 File Tab

Description
This tab describes the details of a File message.
Example
Field Descriptions
Logical File Name
The logical name of the file transferred. This field is optional.
File Description
Additional information about the file included by the sender.
File Info
Structured data that the receiver can use for automatic processing of the file.
File Size
Size of the file transferred. This field is automatically filled in by Alliance Access.
File Digest Value
Value of the file digest. Maximum 50 characters.
File Digest Algorithm
The name of the file digest algorithm ("SHA-1" or "SHA-256"). Maximum 20 characters.
Transfer Description
Information about the file transfer provided by the sender.

Transfer Info
Structured data that can be used for automatic processing of the file transfer.
14.10.5 Sender/Receiver Tab

Description
Click the Sender/Receiver tab to see details of who sent and who received the message.
Example
Field descriptions
Institution
The BIC-11 address of the institution.
Department
The name of the department within the institution.
Last Name
The receiver or sender's last name.
First Name
The receiver or sender's first name.
Recipients for Distribution
The list of recipient DNs to which a message or file must be distributed. It also indicates whether
the list can be made public to all recipients. This field does not appear for FIN messages.
15 July 2011 241

14.10.6 Text Tab

Description
The Text tab displays the contents of the body of the message. You can display this tab and the
information within it only if you are a member of a unit to which at least one of the message
instances is assigned.
For SWIFT messages, the Text tab shows blocks 4 and 5. Optionally, the message text can
also contain the blocks U and S. These blocks are reserved for local use and are never
transmitted over the SWIFT network.
Depending on the value of the configuration parameter FIN User Header, the Text tab may also
show the contents of the FIN User Header (block 3) of the message.
Expanded format
The text of a message can appear in either normal or expanded format. Normal format displays
the message text using standard SWIFT syntax.
The expanded format displays the descriptive names for each field and provides a more
readable field layout.
To display a message in expanded format, the following methods are available:
• Select the Display Expanded Format option, in a message
• Select Text/Expanded from the Message menu, to display text in expanded format
whenever you open Text tab.
To view the message text:

1. Click the Text tab.
2. If required, select the Display Expanded Format option.

14.10.7 Instances Tab

Description
This tab shows all the instances, both live and complete, that have been created for a message.
A new menu called Instance is added to the menu bar when you select the Instances tab.
You can display other instance details (see "Displaying Instance Details" on page 254). You
can also print, complete (see "Completing a Message Instance" on page 226), reactivate, or
change the priority of an instance.
You can display other instance details (see "Displaying Instance Details" on page 254). You
can also print, complete, or reactivate an instance (see "Completing a Message Instance" on
page 226).
You can control the information displayed in the Instances tab by selecting View from the
Instances menu.
Example
Field descriptions
Inst #
The sequence number of the instance. The original instance has the sequence number 0.
In Queue
The routing queue where the instance is being processed or waiting to be processed.
In Queue Since
Shows when the message instance entered the queue it is currently in.
15 July 2011 243

Status
Indicates whether the message instance is live or completed:
• Live means that the instance is queued at a routing point
• Completed means that the instance is not queued at a routing point.

Type
The type of message instance:
• Original - the original instance is created when a message is:
– received from the SWIFT network
– received from message partners through the Application Interface
– created manually by means of the Message Creation application.
• Copy - a copy instance permits message instances to be processed in parallel within the
system, thus enabling the same message to be sent to various internal and external
locations. A copy instance exists independently from its original. Copy instances are created
at routing points by routing rules and are usually generated for information.
• Notification - a notification is a report on processing which is usually sent to the originator of

the message. Its purpose is to report that the status of a message has changed in some way.
For example, the message has been positively acknowledged by the SWIFT network.
Application
The application that created the message instance, such as the SWIFT Interface or the
Message Creation application.
Date Time
The date and time of creation of the message instance.
Creating Function
The Message Processing Function (MPF) that created the message instance.
Function
The name of the last MPF that processed the message instance. If the message instance is
reserved, then this is the function which is currently processing the instance.
Unit
Instance Priority
The current internal priority of the message instance.

14.10.8 Message History Tab

Introduction
This tab shows the "history" of a message, which is derived from message interventions.
Interventions are information fields that are added to a message during its processing:
• Transmission interventions (also known as appendices) are added to a message every time
a message is sent to or received from an external network or a message partner
• System interventions are added to a message automatically at the time of routing
• Routing rule interventions are defined in the routing rule itself by the rule designer
• User interventions are a description of processing actions on a message.

The message history is presented chronologically in the form of individual paragraphs. Starting
with the original instance, each paragraph refers to a separate instance associated with the
message, such as copy or notification. For analysis, each paragraph may be broken down into a
number of separate statements:
• Type and Status
• Creation details
• Emission details
• Reception details
• System details.
Type and Status

The first line of each paragraph refers to the type, and status of the instance and is always
prefixed with an asterisk (*):
* Original/Copy/Notification (message status):
15 July 2011 245

• message status refers to the status of the instance. It may show one of the following two
status conditions:
– (Live): Instance not completed yet, that is, the instance is still being processed or awaiting
processing at the routing point stated.
– (Completed): The instance is not queued at any routing point.
– (Reserved): A Live or Completed instance that the Message Processing Function has
reserved. The instance is being processed, and you cannot perform an action on it.
Creation Details
If the message instance was created within an Alliance Access system, then the second line of
the instance description shows where and when the instance was created:
Created at routing point on date at time
• routing point refers to the routing point where the instance was created.
• date refers to the date of creation and is always in the format dd/mm/yy.
• time refers to the time of creation in 24-hour clock notation and is always in the format
hh:mm:ss
Emission Details
If the information refers to an emission (a message sent to the network), then the following
format is used:
Sent to network name "session holder" on date at time
Session Nr session number Sequence Nr sequence number Result: result
• network name refers to either SWIFT, SWIFTNet, APPLI (Application Interface)
• session holder is:
– for SWIFT messages, the logical terminal identifier through which you sent the message,
extended by a 1-character code, "A" for APC sessions or "F" for FIN sessions, which
identifies the session type
– for SWIFTNet messages, either:
• the name of the emission profile through which the message is sent
• the name of the input channel if the emission profile uses one
– for messages sent to local message partners, the name of the message partner profile
through which Alliance Access exchanged messages with the message partner
• date refers to the date of creation and is always in the format dd/mm/yy.
hh:mm:ss.
• session number refers to the number of the session during which the message was
exchanged between the Alliance Access servers and either an external source such as the
SWIFT network, or a message partner.
• sequence number refers to the sequence number assigned to the message during the
exchange of the message between the Alliance Access servers and either an external source
such as the SWIFT network, or a message partner.

• result refers to the network processing result. It can take the following values (and where
network is SWIFT or SWIFTNet):
– Waiting Network Ack- system is awaiting an acknowledgement from the network
– Network Timed Out - system was awaiting an acknowledgement from the network
before timing out
– Network Ack - acknowledgement received from the network, for example, message
accepted
– Network Nak - negative Acknowledgement received from the network, for example,
message rejected
– Network Aborted - transmission aborted for any number of reasons. For more
information, see the network handbooks.
– Rejected Locally - an error condition occurred when the message was entering
Alliance Access through the Application Interface, or when the message was leaving
Alliance Access through the SWIFTNet Interface.
Reception Details
If the information refers to a reception (a message received from the network), then the
following format is used:
Received from network name "session holder" on date at time
Session Nr session number Sequence Nr sequence number
• network name refers to either SWIFT, SWIFTNet, APPLI (the Application Interface)
• session holder is:
– for SWIFT messages, the logical terminal identifier through which you received the
message, extended by a 1-character code, "A" for APC sessions or "F" for FIN sessions,
which identifies the session type
– for SWIFTNet message, either:
• the SWIFTNet Link endpoint, for real-time delivery mode
• the output channel that is associated with the reception profile, for store-and-forward
delivery mode
– for messages received from local message partners, it is the name of the message partner
profile
• date refers to date of creation and is always in the format dd/mm/yy.
hh:mm:ss.
• session number refers to the number of the session during which the message was
exchanged between the Alliance Access servers and either an external source such as the
SWIFT network, or a message partner.
• sequence number refers to the sequence number of the instance. It is equal to 0 for an
original instance.
15 July 2011 247

Note If you have sent an MT 020 to request a copy of one or more FIN messages
previously sent or received, and received MT 021s in return, then Alliance Access
creates a message containing each retrieved message. These created messages
are shown as "Received from SWIFT", but they are actually copies of the
messages that you have received.
System Intervention
System interventions concern information generated at the time of routing the message. It is
generally in the format:
BY SYSTEM: Routed from rp [routing point] to rp [routing point]; Processed
by Function =[MPF] with result=result
• BY SYSTEM shows that the intervention was added to the message automatically at the time
of routing. In contrast, if an intervention was added to show a processing action taken by a
user, it is prefixed with BY operator_nickname where operator_nickname is the name
used by the operator to sign on to Alliance Access.
• routing point refers to any defined routing point or queue.
• MPF refers to the software program known as the Message Processing Function responsible
for performing work on the instance.
• result refers to the return value presented by the Message Processing Function to the
routing software. Possible values for result can vary depending upon the MPF and the
routing point.
Authentication and authorisation results

The panel also displays the results of authentication and authorisation checks.
If the message contains a MAC-Equivalent PKI signature, then the text "MAC-Equivalent PKI
Signed with result" is displayed, along with one of the following values:
• Success
The message was authenticated.
• Bypassed
An operator bypassed security for the message.
• Invalid Digest
The Digest verification failed.
• Invalid Sign DN
Invalid Sign DN used.
• Invalid Cert Policy ID

The Cert Policy Id verification failed.
• Failure
The signature verification failed.
If the message contains a PAC-Equivalent PKI signature, then the text "PAC-Equivalent PKI
Signed with result" is displayed, along with one of the following values:
• Success

The message was authenticated.
• Bypassed
• Invalid Digest
The Digest verification failed.
• Invalid Sign DN
Invalid Sign DN used.

The Cert Policy Id verification failed.
• Failure
The signature verification failed.
If the message is subject to authorisation, then the text "RMA Check with result" is displayed,
along with one of the following values:
• Success
The message was authorised.
• Bypassed
• No record
No authorisation record was found.
• Not enabled
An authorisation record was found, but it was not enabled.
• Invalid period
An enabled authorisation record was found, but the date of the message outside the validity
period.
• Not allowed
A valid enabled authorisation record was found but the message was not permitted.
14.10.9 Other Tab

Description
The Other tab contains further information about the Alliance message header. You can view
this tab only if you are a member of a unit to which at least one of the message instances is
assigned. It consists of a number of panels:
• Sender to Network Instructions or Sender to SWIFTNet Instructions
• Sender to Receiver Instructions
• Message Creation
• Format & Validation
15 July 2011 249

14.10.9.1 Sender to Network Instructions Pane (MT)
Introduction
This section describes the Sender to Network Instructions pane (for MT messages) shown in
the Other tab.
Example
Field descriptions
Priority
The priority that the message is handled with by the SWIFT network:
• Normal, is the standard priority for a message
• System, is the priority given to SWIFT user-to-system messages (MT 0nn)
• Urgent, lets the sender communicate the urgency of a message and lets the recipient select
the message as a priority when it arrives.
Delivery overdue warning request
Indicates whether the sender of the message has requested the issue of a Non-Delivery
Warning if the message is not delivered at the end of the obsolescence period. The SWIFT
network issues this warning using an MT 010. The value of this field is either TRUE or FALSE.
Network delivery notif. request
Indicates whether the sender of the message has requested automatic Delivery Notification
when the message is delivered. The SWIFT network generates this notification using an MT
011. The value of this field is either TRUE or FALSE.
FIN copy Service
A 3-character identifier used if Alliance Access is to send a copy of the message to a central or
clearing institution, for example, CBI or CRI.
14.10.9.2 Sender to Network Instructions Pane (MX)
Introduction
This section describes the Sender to Network Instructions pane (for MX messages) shown in
the Other tab.
Example

Field descriptions
User reference
Displays the user-defined reference text.
Warning status
Shows the warning status, if any.
14.10.9.3 Sender to SWIFTNet Instructions Pane
Introduction
This section describes the Sender to SWIFTNet Instructions pane (for MX messages) shown
in the Other tab.
Example
Field descriptions
Priority
The priority that the message is handled with by the SWIFT network:
• Normal, is the standard priority for a message
• System, is the priority given to SWIFT user-to-system messages (MT 0nn)
• Urgent, lets the sender communicate the urgency of a message and lets the recipient select
the message as a priority when it arrives (MT messages only).
Delivery Mode
The value is extracted from the corresponding MX Message Standard, and can be Real-time,
Store-and-Forward, or empty.
Network delivery notif. request
Indicates whether the sender of the message has requested automatic Delivery Notification
when the message is delivered. The value of this field is either TRUE or FALSE.
14.10.9.4 Sender to Receiver Instructions Pane
Introduction
This section describes the Sender to Receiver Instructions pane (for MX messages) shown in
the Other tab.
Example
15 July 2011 251

Field descriptions
User Priority
This optional code indicates the priority allocated by the sender for processing by the receiver.
For SWIFT messages, the code is the bank priority code found in the User Header (Block 3).
User Reference
For MT messages, the 16-character Message User Reference found in the User Header (Block
3).
For MX messages, this is the RequestRef.
Warning Status
Displays warning information, for example if a processing failure occurs.
Server to Receiver Instructions
If the FIN Copy Service field has been filled in, then this is the additional information supplied
by the FINCopy service Administrator in Field 115 of the SWIFT User Header (Block 3).
14.10.9.5 Message Creation Pane
Introduction
When a message is created in Alliance Access, it becomes the original message instance.
Messages are created (added to the Alliance Access database) when they are:
• received from an external network through a network interface module, such as the SWIFT
Interface application
• received from message partners through the Application Interface. Message partners are
external applications, such as mainframe connections or printers
• created manually using the Message Creation application, Alliance Messenger (available on
Alliance Web Platform), or the Relationship Management application.
The Message Processing Functions associated with the reception of these messages perform
the necessary controls, such as authentication and validation, before instructing lower software
layers to add these messages to the Alliance Access database as original instances.
Example
Field descriptions
Appl/Serv
Specifies the Alliance application or service that created the original message instance.
Routing Point & Function
The routing point and the associated message processing function that created the original
message instance.
Date
The date that the original message instance was created.

Time
The time that the original message instance was created.
14.10.9.6 Format & Validation Pane
Introduction
This section describes the Format & Validation Pane pane (for MX messages, and restored
Telex messages) shown in the Other tab.
Example
Field descriptions
Version
The version number of the Message Syntax Table (MST) that was used to validate the
message.
The format of the MST version (YYMM) provides the date when the MST table was activated on
the network by SWIFT.
Validation Checked
The level of validation requested for a message, which can be:
• Minimum
• Medium
• Maximum, This level is not available yet. It is reserved for future use.
Validation Passed
The level of validation that the message has successfully passed. For example, an intermediate
level validation may be requested for a message, but its grading may be lowered to that of
minimum level by the validation process. Because it meets the minimum quality grade, the
message is still recorded in the Alliance Access database.
The Validation Passed level can be:
• Minimum
• Medium
• Maximum
For invalid MX messages, the Validation Passed level is set to No Validation.
Network Application
The SWIFT network application, which is one of:
• LTC, Logical Terminal Control application
• APC, Application Control application
• FIN, User-to-user Message Control application
15 July 2011 253

• SWIFTNet, for MX messages, and restored Telex messages.
14.10.9.7 SWIFTNet Copy Pane
Description
This pane is displayed for File and InterAct messages.
Example
Field descriptions
Copy requested
Indicates whether a copy was requested (input message).
Authorisation delivery notification required
Indicates whether an authorisation delivery notification is required (input message).
Copy block
The copy block (output message).
Third Parties
Lists the Third Parties in case of dynamic selection of the Third Parties by the sender (input
message). This list is optional.
14.11 Displaying Instance Details

Introduction
You can only display or print details of a message instance if the operator is a member of a unit
to which the instance is assigned.
To display the details of a message instance, double-click the instance.

The instance information displayed is shown in a number of tabs:
• Instance Description
• Intervention
• Operator Comments
These are described in the following sections.
To view successive message instance details:
• Click Previous or Next in the Command panel.
14.11.1 Instance Description Tab

Description
The Instance Description tab contains information about the instance. It consists of a number
of panels:
• Lead
• Addressee
• Receiver
• Creation
15 July 2011 255

Example
This panel displays the instance details for a message:
Field descriptions
Message UMID
The Unique Message Identifier for the message, created from information in the message
header, and text. For a detailed description of the UMID, see "Unique Message Identifiers
(UMIDs)" on page 93 for MT messages, or "MX Message UUMIDs" on page 96 for MX
messages.
Instance No.
The instance sequence number. This is always equal to 0 for the original instance.
Instance Type
The type of message instance:
• Original - a message is instantiated as the original instance at message creation time.

Messages are added to the Alliance database when they are:
– received from the SWIFT network
– received from message partners through the Application Interface
– created manually through the Message Creation application, Alliance Messenger, or the
Relationship Management application.
• Copy - a copy instance permits message instances to be processed in parallel within the
system, thus enabling the same message to be sent to various internal and external
locations. A copy instance exists independently from its original. Copy instances are created
at routing points by routing rules and are usually generated for information.

• Notification - a notification is a report on processing which is usually sent to the originator of

the message. Its purpose is to report that the status of a message has changed in some way.
For example, the message has been positively acknowledged by the SWIFT network.
Notification Type
This field only appears if the instance is a notification. It shows the type of notification:
• Transmission, to indicate that the instance has been sent over a network
• Delivery, to indicate that the instance has been delivered to the recipient, or any other event
linked to that delivery
• Information, to give more information about a particular action
• History, to specify intervention details, such as transmission, system and user interventions.
Assigned Unit
The name of the unit to which the message instance is assigned (if any).
Status
The current processing state of the message. This includes information about the last process
which took place on the instance, such as, the name of the last MPF and the processing result
returned.
Priority
The current priority of the message (1 = highest, 9 = lowest).
Addressee panel
This panel displays information about the recipient of the message.
Example
Field descriptions
Institution
The details of the Receiver, including:
• The BIC-11 address of the Receiver Institution
• If the Receiver is a Department or an Individual within a Department, then the name of the
Department within the Institution
• If the Receiver is an Individual, then the Individual's last and first names.
15 July 2011 257

The following information is also shown if it is available and if the correspondent is of the
appropriate type:
• The full name of the Receiver correspondent
• The full name of the branch for the Receiver correspondent
• The name of the city where the Receiver correspondent is located.

Deferred until
If the instance is for a SWIFT message with a deferred delivery date, then this is the date (not
applicable to MX messages).
at
If the instance is for a SWIFT message with a deferred delivery time, then this is the time (not
applicable to MX messages).
Routing Code
Free-format text to influence routing. For more information, see "Message Routing" in the
Network
The name of the network, for example SWIFT or APPLI.
Disposition address code
The name of the queue to which the message is transferred.
Creation panel
This panel displays details about the creation of the message instance.
Example
Field descriptions
Appl/Serv
The Alliance application or service that created the instance.
RP & Ft
The routing point (RP) and the associated Message Processing Function (Ft) which created the
instance.
Date
The date when the instance was created.
Time
The time when the instance was created.

14.11.2 Intervention Tab

Description
This tab displays transmission, system, and user interventions that have been generated for the
instance. A transmission intervention is also referred to as an appendix.
Note You can display other details for an intervention. For information about the details
you can display for:
• a transmission intervention, see the following section.
• a system or user intervention, see "Displaying System or User Intervention

Details" on page 271.
Example
Field descriptions
Date
The date that the intervention was created.
Time
The time that the intervention was created.
Text
For transmission interventions, the following information is shown:
• Network name, for example, SWIFT or APPLI.
15 July 2011 259

• Session Holder, for example, the logical terminal or message partner profile that established
the session during which the message was exchanged with Alliance Access.
For MX messages, it is:
– the name of the emission profile (in case of emission) except if the emission profile uses
an input channel, or
– the name of the input channel for store-and-forward emission profiles using an input
channel, or
– the SWIFTNet Link endpoint (in case of reception).
• Type, either Emission or Reception.
• Session Number, the number of the session during which the message was exchanged
between Alliance Access and the external network or the message partner.
• Sequence Number, the sequence number within the communications session specified in
the previous field.
For user interventions, the following information is shown:
• Category, which is always Normal
• User intervention name, including the name of the application, or server which added the
user intervention, and the name of the operator that created it.
14.11.3 Operator Comments Tab

Description
Display any operator comments attached to the messages.

Example
14.12 Display Transmission Intervention Details

Introduction
Transmission interventions are generated by Alliance Access to record the transmission
processing of a message instance. They are generated by programs that operate at the
boundary of Alliance Access, for example, the Application Interface and the SWIFT Interface
applications. Transmission interventions are used to determine the instance sequence number
at transmission time, and to detect retransmission and generate Possible Duplicate Emissions
(PDEs) for a message. A transmission intervention is also called an appendix.
To display the details of a transmission intervention:
3. Double-click the instance, or select the instance and select Open from the Instance menu.
4. Select the Interventions tab.
5. Double-click the transmission intervention, or select it and select Open from the
Intervention menu.
15 July 2011 261

The window contains a number of tabs:
– Appendix Description
– Network ACK/NACK Text, depending on which network was used to send or receive
the message instance.
These are described in detail in the following sections.
14.12.1 Appendix Description Tab

Description
This tab displays the appendix details for the message instance. This tab only appears when a
transmission intervention is selected. It consists of a number of sub-panels:
• "Appendix sub-panel"
• "Message Reference sub-panel"
• "Checksum sub-panel (MT messages only)"
• "Authentication sub-panel (MT messages only)"

• "Proprietary Authentication sub-panel (MT messages only)"
• "SWIFTNet Options sub-panel (MX messages only)"
• "Business Relationship sub-panel"
• "Delivery/Cancellation Status sub-panel"
• "Creation sub-panel"
Example
This panel displays the appendix details for a message instance:
Field descriptions
Message UMID
(UMIDs)" on page 93 (for MT messages) or "MX Message UUMIDs" on page 96 (for MX
messages).
Instance No.
Appendix sub-panel
Type
A transmission intervention, which can be of type Emission or Reception.
Unit
The name of the unit to which the message instance is assigned (if any).
Network
The name of the network that created the transmission.
Session Holder
The logical terminal or message partner profile that established the session during which the
message was exchanged with Alliance Access.
For MX messages, it is:
• the name of the emission profile (in case of emission) except if the emission profile uses an
input channel, or
• the name of the input channel for a store-and-forward emission profiles using an input
channel, or
• the SWIFTNet Link endpoint (in case of reception).
15 July 2011 263

Session Number
The number of the session during which the message was exchanged between Alliance Access
and the external network or the message partner.
Seq. No.
The sequence number assigned to the message during the session identified by the Sequence
Number. For the SWIFT network, this number is the Input Sequence Number (ISN) for an
outgoing message or the Output Sequence Number (OSN) for an incoming message.
Message Reference sub-panel

This panel displays information about the original message.
Example
Field descriptions
Input Reference
A unique reference number assigned to any message sent to the SWIFT network. For FIN
Messages, this consists of the message input date, input logical terminal, input session number.
Output Reference
A unique reference number assigned at each attempt to deliver a message on the SWIFT
network. For FIN Messages, this consists of the message output date, output logical terminal,
output session number.
SWIFT Reference
Displays reference information, if present.
SWIFT Request Reference
Displays reference information, if present.
Transfer Reference
The Transfer Reference is a unique identifier for the file transfer and is automatically generated
when the file transfer takes place.
In real-time, this is the reference of the file transfer (over FileAct). In store-and-forward, its value
depends on the type of request:
• For an input, this is the reference of the file transfer (over FileAct).
• For the notification (in case of copy), this reference is not displayed.
• For the output, this is the reference of the local request to get the message.
Only applies to File messages.

Note The last character of the reference of the file transfer (over FileAct) indicates
whether the transfer reference is used at the client side (C) or at the server side
(S). Therefore, the reference displayed to your FileAct correspondent slightly differs
from the reference displayed to you. Replace the last character by a wildcard in
your search criteria to find the matching message.
Stored Transfer Reference

The Stored Transfer Reference is a unique transfer reference generated by the SWIFTNet
store-and-forward systems to identify a store-and-forward file transfer.
• For an input, this reference is not displayed.
• For the notification (in case of copy), this is the reference of the notification.
• For the output, this is the reference of the file transfer (over FileAct).
Original Reference
This reference is only present in the context of the FileAct copy. The Original Reference is the
unique reference of the original file transfer between the sender and the SWIFTNet Central
System.
• For an input, this reference is not displayed.
• For the notification (in case of copy), this is the reference of the original file transfer (over
FileAct).
• For the output, this reference is not displayed.

Only present when viewing a File message that has been copied (using the SWIFTNet Copy
feature).
Original SnF Reference

This reference is only present in the context of the SWIFTNet Copy, and for output copy
notification messages. The Original SnF Reference contains the Original Reference of the
original InterAct message that was received by a third party.
Checksum sub-panel (MT messages only)

This panel displays information about the checksum of the message. The checksum process is
a standard telecommunications practice to ensure accurate transmission of data over a network.
Specifically, the purpose of the SWIFT checksum trailer "CHK" allows the receiving CBT to
verify that the message was not corrupted as a result of a network malfunction or transmission
error.
15 July 2011 265

A message is not considered as properly delivered to Alliance Access until SWIFT receives a
positive user acknowledgement (UAK). Alliance Access rejects any message that fails
checksum validation and records the event in the Event Journal.
Example
Field descriptions
Value
The 12-character hexadecimal value of the sent or received checksum.
Result
The result of the checksum process. Because Alliance Access rejects the incoming messages
that have failed the checksum validation, the result of the checksum validation process is
usually successful. When a message received from a message partner does not carry a
checksum trailer, the result is shown as N.A.
Authentication sub-panel (MT messages only)

This panel displays information about the authentication of a message. Authentication is a
process which validates the identity of the sender and the correctness of the message content.
For messages exchanged with local message partners, the authentication value is placed in the
message in the form of a "LAU:" trailer and the process is called local authentication.
The PKI Signed field shows the value Yes and the PKI Result field contains the signing result.
Example
Field descriptions
PKI Signed
This field shows the value Yes when the message is PKI-signed.
PKI Result
The result of the signing process. This is significant to the user only when it refers to the
reception of a message.
For SWIFT incoming messages, signing can result in one of the following conditions:
• Success
• Bypassed
• Invalid Digest
• Invalid SignDN
• Failure

Proprietary Authentication sub-panel (MT messages only)

This panel displays authentication information about messages that have been authenticated for
the FINCopy service. For input messages, the authentication takes place between the sender
and a Central Institution. For output messages, the authentication takes place between a
Central Institution and the receiver.
When SWIFT messages are PAC-equivalent PKI-signed, the PAC Value and PAC Result fields
remain empty. The PKI Signed field shows the value Yes and the PKI Result field contains the
signing result.
If the message is not subject to proprietary authentication, then all the fields in the panel remain
empty.
For more information, see "The FINCopy Server" in the System Management Guide.
Note This sub-panel only appears if the FINCopy service is defined using the SWIFT
Support application.
Example
Field descriptions
PAC Value
The 8-character hexadecimal value of the proprietary authentication result (if applicable).
PAC Result
The result of the proprietary authentication. This is significant to the user only when it refers to
the reception of a message.
For incoming messages, proprietary authentication can result in one of the following conditions:
• Success - Proprietary authentication succeeded
• Failure - Proprietary authentication did not succeed with any key
• Bypassed - Manual proprietary authentication bypassed.
• Invalid Digest - Digest failed authorisation check.
• Invalid SignDN - SignDN failed authorisation check
• Invalid Cert Policy ID - Cert Policy ID failed authorisation check

PKI Signed
This field shows the value Yes when the message is PKI-signed.
PKI Result
The result of the signing process. This is significant to the user only when it refers to the
reception of a message.
For SWIFT incoming messages, signing can result in one of the following conditions:
• Success
15 July 2011 267

• Bypassed
• Invalid Digest
• Invalid SignDN
• Failure
SWIFTNet Options sub-panel (MX messages only)

MX messages may be signed using a signature list, therefore output messages may contain
several signatures (and several Sign DNs). If only one signature is present, then the signing DN
appears in the Signing DN field. If multiple signatures are present, then Multiple Signer DNs
appear in this field.
Example
Field descriptions
Signing DN
Contains either the signer DN or indicates multiple signatures are present.
Third Party Signing DN
Optionally appears for output File and InterAct messages that have been Y-copied and signed
by the Third Party.
Signature Result
Displays the result of the signing process.
Delivery Notification Request
Shows if this has been set (True) or not (False).
Non-Repudiation Setting
Shows if this has been set (True) or not (False).
Signature Method
The signing method that was used:
• Crypto: a signature is placed on each individual InterAct message.
• Signature: all messages within one InterAct message share the same signature, which is
based on the digest values that are generated from the content of the message.
Note The InterAct messages that relate to relationship management authorisations are
always signed.
Business Relationship sub-panel

This panel contains information about the BK relationship and RMA checks.

Example
Field description
BK Relationship Check
This field remains empty if:
• an RMA authorisation is found
• the message is not subject to any authorisation validation
• the message is subject to authorisation validation, but authorisation for the message has
been bypassed because:
– the message is subject to FINCopy and the FINCopy service explicitly bypasses
authorisation
– the message is a FIN T&T message and the RMA authorisation for T&T parameter has
been set to Not Required.
RMA Check
This field shows:
• a hyphen (-), if the message is not subject to authorisation validation
• the authorisation result, if the message is subject to authorisation validation. Possible values
are:
– Success - The message was authorised.
– Bypassed - An operator bypassed the security for the message
– No Record - No authorisation record was found.
– Not Enabled - An authorisation record was found, but it was not enabled.
– Invalid Period - An authorisation record was found, but the date of the message falls
outside the validity period of the authorisation.
– Not Allowed - A valid, enabled authorisation was found but the message was not
permitted.
Delivery/Cancellation Status sub-panel

This panel displays information about the status of a message instance. This can be the status
of an incoming message, an outgoing message, or a cancelled message.
Example
15 July 2011 269

Field descriptions
Receiver delivery status
This status only applies to SWIFT incoming messages. A message received from the network
and recorded in the Alliance database has by definition been UAKed by the receiving logical
terminal. On the other hand, messages which fail checksum validation are UNKed and rejected
by Alliance Access. This is the reason why the only value which is shown in this data field is
Receiver Acked.
Network delivery status
The status of delivery of the message to the network or a message partner. For a message sent
to the SWIFT network, the possible states are:
• Network Ack: Positive acknowledgement sent by SWIFT to the sender of a message,

indicating acceptance of that message for onward transmission
• Network Nack: Negative acknowledgement sent by SWIFT to the sender of a message,

indicating rejection of that message
• Waiting Ack: Waiting response from the network or a message partner
• Timed Out: Network transmission session timed out or no response from the message
partner
• Aborted: Recovery from a system failure. Message is sent again with a "PDE:" trailer
• Rejected locally: Message not written out to a batch file or not sent to the network due to the
unavailability of the communication stack.
A message sent to a network or message partner has similar states to the above: for example, a
message sent successfully to a local message partner would have a Network Delivery Status of
APPLI Ack rather than Network Ack.
Sender cancellation. status
The status of cancellation requested by the sender. Possible states are Cancel Requested or
Cancel Successful.
Creation sub-panel
This panel displays information about the source of a transmission intervention.
Example
Field descriptions
Appl/Serv
The Alliance application or service that created the transmission intervention, such as the
SWIFT Interface or the Application Interface.
RP & Ft
The Routing Point (RP) and the associated Message Processing Function (Ft) which created
the transmission intervention.

Date
The date when the transmission attempt was made, either successfully or unsuccessfully.
Time
The time when the transmission was made.
14.12.2 Network ACK/NACK Text Tab

Description
This tab only appears when a transmission intervention is selected and the message instance
was sent or received on the SWIFT network. It contains the text of the SWIFT positive or
negative acknowledgement.
14.13 Displaying System or User Intervention Details

Introduction
System and user interventions are not processed by the system, but are included for the benefit
of operators that want to track the processing of an instance.
To display the details of a system or user intervention:
2. Select the Instances tab.
15 July 2011 271

3. Double-click the instance, or select the instance and select Open from the Instance menu.
4. Select the Interventions tab.
5. Double-click the system or user intervention, or select it and select Open from the
Intervention menu.
The window contains a number of tabs:
• Intervention Description
• Intervention Text
These are described in detail in the following sections.
14.13.1 Intervention Description Tab

Description
This tab displays a description of the system or user intervention for a message instance and it
consists of two sub-panels:
• Intervention
• Creation

Example
Field descriptions
Message UMID
(UMIDs)" on page 93.
Instance No.
Intervention sub-panel
Name
Every system or user intervention type generated in the system is given a name.
Operator
The name of the operator who created and routed the message. At present, operators cannot
add interventions directly to a message instance.
Category
The categories available are:
• Routing
• Message as transmitted
• Delivery.
15 July 2011 273

Unit
Appendix Cross-Ref
In some cases, a system or user intervention may need to cross-reference a transmission
intervention. The cross-reference data is as follows:
• Date, the date when a transmission was made, either successfully or unsuccessfully, and a
transmission intervention created
• Time, the time when the transmission intervention was created.
Creation Sub-panel
This sub-panel displays information about the source of a system or user intervention.
Example
Field descriptions
Appl/Serv
The Alliance application or service that created the system or user intervention, such as the
SWIFT Interface or the Application Interface.
RP & Ft
The Routing Point (RP) and the associated Message Processing Function (Ft) which created
the system or user intervention.
Date
The date the system or user intervention was created.
Time
The time the system or user intervention was created.

14.13.2 Intervention Text

Description
Intervention text is optional information which is supplied by an application or a user when
adding a user intervention to a message. For example, Message Processing Functions (MPFs)
which change the message text can use the intervention text to record the old value and new
value(s) of the changed fields.
15 July 2011 275


Part E - Usual End of Day Tasks
Part E
Usual End of Day Tasks
15 July 2011 277


Archiving Messages
15 Archiving Messages
Introduction
Alliance Access keeps copies of the messages that it processes in the Alliance Access
database. You can use the Message File application to display details from this database, and
to archive completed messages. Archiving is used to save messages from the live Message File
into an archive directory. SWIFT recommends that you archive regularly because searches are
faster when there are fewer messages to be searched.
You can either archive messages manually or schedule the archiving to occur automatically. For
more information about automatic archiving, see "Scheduling Message File Archiving" on
page 283.
For details of automatic archiving, see "Configuring the Calendar and Scheduling Processes" in
For detailed information about message instances and the Message File application, see "Using
the Message File Application" on page 202.
15.1 Searching for Live Messages

Introduction
The status of a message can be either "Live" or "Completed". The message is "Live" if any of
the message instances associated with it are still being processed.
You cannot create an archive for any day that has live messages. Before you begin archiving,
you must use the Message File application to find any messages that you want to archive, but
which still have live message instances.
You can then complete the message instances, which also completes the message itself.
Note Messages older than a few days must normally always be complete. If not, this
means that the original, a copy or a notification of the message is still queued in
Alliance Access. Make sure that you take the necessary business-related actions
before completing the message instances.
To search for live messages:

1. Run the Message File application.
2. In the Message File- Search Criteria window, click the Instances Location and Units
tab.
3. In the Status field, select Live as the message type to locate.
4. Select the queues to search for live messages by moving the queues that you want to
search from the Queues/Available to the Queues/Selected message box.
5. Make sure that the Units/Selected list box is cleared of entries. If a unit is selected in this
box, then only live messages which have an instance assigned to this unit are shown.
6. Click Search to begin the search. Your results appear in the Message File main window.
You can now complete any live messages.
15 July 2011 279

15.2 Completing Live Messages

Introduction
To complete a message, you must complete every "Live" instance of the message. The
message is complete only when all of its instances (such as copy, notification, and original)
have finished their life cycle. If any instances of a message are live, then the message is
incomplete. The message is complete only when all instances of the message have finished
their processing.
Note When your routing is correctly configured, messages are all sent to their
destination, for example, to SWIFT, or a message partner. They then must
normally all be completed. Manual message completion must only be performed in
exceptional circumstances.
You can complete instances of a message from within the Message Details window. You can
only do this if the message instance is not assigned to a unit, or if you are a member of a unit to
which the message instance is assigned and if your operator entitlements allow you to do it.
The process of completing a message instance removes it from the routing point where it is
queued.
To complete the live messages that are to be archived:

1. Double-click one of the live messages in the Message File window. The Message Details
window appears.
3. Select the message instance that you want to complete.
4. From the Instance menu, select Complete. When a message instance is completed, its
status changes from "Live" to "Completed".
5. Repeat the previous two steps for every live instance of the message. When you have
completed all the live instances, the message itself is completed.

Archiving Messages
6. Repeat the previous steps for each live message, until all live messages have been
completed.
You can now archive the completed messages.
15.3 Archival of Messages

Description
• Archiving moves completed messages from the Message File into archives. You must
archive regularly as you can only back up messages to an external storage after they have
been archived.
• Messages of a particular day are only archived if all the messages of that day are completed.
If live messages are present for any day in the archival period, then the archival process is
not started for that day. Use the Complete command (available from the Instance menu of
the Message Details window) to complete those messages, and then start the archival
process again.
Archival of FileAct messages

When Alliance Access archives a File message, it does not archive the payload of the message,
that is, the actual file that is being sent or received over FileAct. The payload is removed from
the File message before it is archived.
Types of message archival

You can perform the following types of archival:
• Normal Archive
This process marks completed messages selected for archive as read only. The archived
messages remain in the database.
• Destructive Archive
This process removes all completed messages without archiving them. Uncompleted
messages remain in the database.
Note This choice is determined by the setting of the "Archive method" parameter in the
Security Definition application. For more information, see the Security Guide.
15.4 Archiving Messages Manually

Introduction
When you archive messages manually, the messages are archived immediately.
To archive messages manually:

1. Run the Message File application.
2. If the Message File - Search Criteria window appears, then close it.
3. From the File menu in the main window, select Archive....

The Message Archive window appears.
15 July 2011 281

4. Type the number of days for which you want to keep messages available in the database in
the field Number of Traffic Days to keep in the Database (including current day).
All other messages are archived (providing all messages for that day are complete). For
example, if you type 3, Alliance Access keeps today's messages and the messages from
the previous two days in the database, and archives all messages with earlier dates.
If you enter 1, the minimum value, then all messages older than today are archived if they
are completed (for that particular day).
5. In the Starting Date field, the oldest day that is ready to be archived appears. This is the
oldest day for which messages created on that day have all their instances completed. This
date cannot be changed.
Click Store to store the manual archiving values.
These become the default values that will appear the next time that you use the Archive
command. If you have changed any of the archiving values, then you must store the
changed details before continuing. Alliance Access does not allow you to archive until you
do so.
6. Click Archive .
If the archiving is successful, then an archive is created in the database. This archive is
automatically named based on the creation date.
If some messages in the archive period have not been completed, then the archiving fails.
If archiving fails, then an event is posted to the Event Journal, describing what has
happened.
For more details about using the Event Journal application, see "Using the Event Journal
Application" on page 189.
Archiving runs independently from any user interaction. This means that you do not have to
wait for archiving to finish before signing off from Alliance Access.

Archiving Messages
15.5 Scheduling Message File Archiving

Overview
SWIFT recommends that message file archiving is run on the last business day of the week,
and the information retained for seven days.
To schedule Message File archiving:

1. Run the Message File application. If the Message File Search Criteria window appears,
then close or move the window, so that the Message File window is visible.
2. From the File menu, select Archive. The Message Archive window appears.
3. Select Automatic from the Message archive operating mode menu. The Message
Archive Schedule Details window appears.
4. Type the number of days which you want to keep messages available in the database in
the field Number of Traffic Days to keep in the Database (including current day).
All other messages are archived (providing all messages for that day are complete). For
example, if you type 3, Alliance Access keeps today's messages and the messages from
the previous two days in the database, and archives all messages with earlier dates. If you
type 1, the minimum value, then all messages older than today, are archived if they are
completed (for that particular day).
5. From the Schedule Details/Schedule Category list, select a schedule.

Select from:
• Every day
• Specific day
• Business day
• Business week
• Business month
Note Changing this field deletes any previously scheduled actions.
15 July 2011 283

6. Specify at least one action for the schedule.

The following schedule details must be completed:
• in the On Every field, select the type of day (the available choices depend on the
Schedule Category selected).
• in the Earliest Start field, specify the time (HH:MM:SS) at which the action is to occur.
• in the Latest Start field, specify the latest time (HH:MM:SS) at which the action is to
occur. The action is initiated if the earliest start time is missed and a restart of the system
occurs after the time specified in the Earliest Start field but before that in the Latest
Start field.
Note Simultaneous backups of the same entity (messages or events) cannot be run.
Therefore, you must take care when setting the earliest and latest times for
different backups so that they do not coincide.
7. To specify another action, select In use from the Second (or Third) Action list.
8. When you have completed the schedule details, click Store to save the settings
9. Click Quit to quit the dialog box.

Treating Alarms and Archiving Events
16 Treating Alarms and Archiving Events

Introduction
Alliance Access records any events that occur in the Event Journal. You can use the Event
Journal application to display details of the events in the journal.
Archiving freezes events from the Event Journal. It is recommended that you archive, and
backup regularly.
This section explains the following:
• what alarms are
• how to treat alarms throughout the day
• how to find and treat untreated alarms at the end of each day.
• why you must archive events regularly
• how to use the Event Journal application to archive events.

The Event Journal application provides all the functions necessary to treat alarms and archive
events.
For detailed information about the Event Journal application, see "Using the Event Journal
Application" on page 189.
16.1 What is an Alarm?

Description
Some events have an alarm status. This means that when the event occurs, Alliance Access
records it as an alarm in the Event Journal, and may also display details of the alarm on
operators' screens and send it to internal correspondents.
If you have the appropriate operator profile, then you can use the System Management
application to give an event alarm status, and also to specify:
• how the alarm is classified
• whether details of the alarm are sent to operators' screens, internal correspondents, or both.
For more information, see "Configuring Event and Alarm Distribution" in the System
Management Guide.
If you are an operator who can receive alarms, then you must know how to treat them. This is
explained in the following sections.
16.2 Treating Alarms Throughout the Day

Introduction
If you receive an alarm, then it appears on your screen in an alarm window.
An alarm is always classified as either "For Action" or "For Information". When you receive an
alarm marked "For Action", it is your responsibility to find the cause of the alarm and correct the
problem.
15 July 2011 285

How to treat an alarm

1. If you want to continue with another task and treat the alarm later, then click Treat Later.
Note that if you do not deal with the cause of the alarm now, the alarm may soon occur
again.
2. After you correct the problem causing the alarm, click Treat Now to inform Alliance Access
that you have acted on the alarm.
This command records that you have treated the alarm in the Event Journal. It does not
cause the system to perform repair work on the source of the alarm. It is your responsibility
to take the necessary action.
16.3 Treating Alarms Later

Introduction
Some alarms may still be untreated, for the following reasons:
• The alarm occurred when no operators were signed on
• The operator who received the alarm clicked Treat Later so that the alarm can be treated
later.
Before you begin archiving, you may want to use the Event Journal application to find and treat
all untreated alarms. This is, however, not enforced by Alliance Access and, unlike the case for
live messages, you are able to archive untreated alarms. The procedure to find and treat all
untreated alarms is as follows.
How to find and treat untreated alarms

2. Specify your search criteria.

For information about performing a search, please see "Searching for Events" on page 190.
3. To treat an untreated alarm, select the alarm and open its details.
4. From the Event menu, select Treat Alarm. Note that this does not correct the problem. It is
your responsibility to perform the necessary action.
5. If you want to view details about an alarm, then select the alarm, and select Open from the
Event menu.
6. Repeat the previous steps until you have treated all the untreated alarms.
16.4 Archiving Events

Introduction
Archiving is used to freeze events from the Event Journal. You must archive regularly as you
can only back up events to external storage after they have been archived. You can either
archive events manually, or archiving can be scheduled to occur automatically.
For details about manual archiving, see further in this section. For details about automatic
archiving, see "Configuring the Calendar and Scheduling Processes" in the System
Management Guide.

Treating Alarms and Archiving Events
Note You can run only one event archive at a time. An error message appears if you try
to start an archive while another archive is still running.
When you archive events manually, the events are archived immediately.
To archive events manually:

2. If the Search Criteria window appears, then close or move the window so that the Event
Journal main window is visible.
3. From the File menu in the main window, select Archive....

The Event Archive window appears.
4. Select Manual as the Event Journal Archive operating mode option.
5. Type the number of days for which you want to keep events available in the database in the
field Number of Traffic Days to keep in the Database (including current day).
All other events are archived. For example, if you type 2, Alliance Access keeps today's
events and the events from the previous day in the live database, and archives all events
with earlier dates.
Note Since events are archived for a full day, it is not possible to archive the events
from the current day.
6. In the Starting Date field, the date of the oldest event to be archived appears. This date
cannot be changed.
Click Store to store the manual archiving values.
These become the default values that appear the next time that you use the Archive
command. If you have changed any of the archiving values, then you must store the
changed details before continuing: Alliance Access does not allow you to archive until you
do so.
15 July 2011 287

7. Click Archive .
If archiving is successful, then an archive is created in the database. This archive is
automatically named based on the creation date.
If there are any untreated alarms for the events that you are archiving, then these alarms
are also archived and can no longer be treated.

Backing Up and Restoring
17 Backing Up and Restoring

Introduction
This section describes how to create backups and how to restore information from a backup.
17.1 Backup and Restore

Concept
The System Management application, the Backup/Restore application (Windows only) and
command line tools provide functions to create backups of the Alliance Access database and of
the archives.
To restore information from an archive backup (that is, import that information into the
database), you can use command line tools, the System Management application of Alliance
Workstation or the Backup/Restore application of the System Administration window (Windows
only).
You must back up the Alliance Access database regularly to ensure that you can recover your
data if problems occur.
To restore a backup of the database, you can only use the Backup/Restore application
(Windows only) or command line tools. For more information, see the Installation and
Administration Guide.
Only operators with the appropriate access can set the backup operation mode (Manual or
Automatic) and define schedules to automatically backup the database.
When Alliance Access is running, use the System Management application to back up and
restore data.
When Alliance Access is not running, operators with the appropriate access can use the System
Administration application to back up and restore data, journal, and message archives. For
information about how to use the System Administration application and command line tools,
see the Installation and Administration Guide.
Note You cannot back up the Alliance Access software using the System Management
application or the Backup/Restore application. Software backup is left to the
Operating System Administrator.
17.2 Scheduling Archive Backups

Overview
Using the System Management application, you can define a schedule for Alliance Access to
create backups of the following archives:
• Event Journal archive
• Message File archive
15 July 2011 289

Newly stored schedules are accepted by the system within one minute after its creation,
provided that:
• the servers are running in Operational mode
• a calendar for the current year has been defined
Note • You cannot schedule the restoration of a backup.
• You cannot create backups of archives that were created using Alliance Access
6.0 or earlier.
Location of archive backup files

The following are the default locations where Alliance Access stores archive backup files:
• Event Journal archive: <software dir>\usrdata\backup\eja
• Message archive: <software dir>\usrdata\backup\mfa

Where <software dir> is the directory in which Alliance Access is installed.
In the schedule, the path names always refer to a location on server.
To schedule an archive backup:

1. Run the System Management application.
2. From the File menu, select Backup.

The Backup Alliance window appears.
3. Click one of the following tabs:
• Journal Archive
• Message Archive
4. In the Backup operating mode field, select Automatic from the list.
5. The Backup Directory field specifies the location where Alliance Access stores the backup
file. If required, click ... to specify a different location.

Tip If you intend to copy the backup to tape or a hard disk, then make a note of
this directory path for future reference.
6. In the Schedule Category list, select one of the following schedules:
• Every day
• Specific day
• Business day
• Business week
• Business month
7. Specify at least one action for the schedule, as follows:
Field Action
On Every Select the type of day.

The available choices depend on the Schedule Category that you selected.
Earliest Start Specify the time (HH:MM:SS) at which the action is to occur.
Latest Start Specify the latest time (HH:MM:SS) at which the action is to occur if the Earliest
Start time is missed.
If Alliance Access restarts after the time specified in the Earliest Start field but
before the time specified in the Latest Start field, then Alliance Access performs
the scheduled action.
Mode Specify the action (all archives except for Database), as follows:
• Backup, to back up the archive to the specified path.
• Remove, to remove the archive (no backup taken).
• Backup & Remove, to back up the archive and then remove the original.
Note Simultaneous backups of the same entity (messages or events) cannot be run.
Therefore, you must take care when setting the Earliest Start and Latest
Start times for different backups so that they do not coincide.
9. When you have completed the schedule details, click Store to save the settings.
A scheduled backup of any of the archive types (messages or events) always backs up all
available archives (with the status "Ready") of that type defined at the moment the backup
process starts. If the Mode is Backup & Remove, then archives are removed from the system
after being successfully backed up.
If an archive is being read by an application whilst a backup procedure begins, then the backup
is performed but the archive is not deleted (an error message is raised but not displayed).
If you do not remove the archive, then the archive stays in the database and its status is
changed to Backed Up. Therefore, it is not backed up at a later stage. This prevents the same
15 July 2011 291

archives being backed up at every scheduled backup. If the Mode is Backup & Remove, then
the archive is removed from the system after Alliance Access creates the backup successfully
and the same conditions apply as for manual archive backups.
The Backup/Restore application creates backups of archives according to a schedule. If a
backup or restore action is running when the backup is started, then Alliance Access does not
create the backup. It creates an event for this backup failure.
17.3 Backing Up an Archive Manually

Introduction
You can create a backup of archives manually using the System Management application. You
cannot create backups of archives that were created using Alliance Access 6.0.0 or earlier.
You can also create backups using the Backup/Restore application, which you can access from
the System Administration application. For more information, see the Installation and
Administration Guide (Windows version).
Location of archive backup files

The following are the default locations of an archive backup file:
• Event Journal archive:<software dir>\usrdata\backup\eja
• Message archive:<software dir>\usrdata\backup\mfa

<software dir> is the directory in which Alliance Access is installed.
If you select a different location from the default location, then the new location is not recorded
permanently. On Windows systems, you can change the default location permanently, using the
Alliance Configuration application, which is started from the System Administration application.
For more information, see the Installation and Administration Guide (Windows version).
Status of an archive
The archives that appear in the Available list in the Alliance Backup window can have of the
following states:
Status of an archive
Status Description
Done Alliance Access has created a backup of the archive successfully.
Ready Alliance Access has archived data successfully, and the archive is ready to be backed
up.
To perform a manual backup of archives

2. Select Backup from the File menu.


3. Click one of the following tabs:
• Journal Archive
• Message Archive
4. In the Backup operating mode field, select Manual. If you change the operating mode,
then click Store to save your change.
5. Click Backup .
The Alliance Backup window appears.
The following is an example for Journal Archives:
15 July 2011 293

The available archives names are shown as a date, the format of which is specified in the
System Management application.
If you intend to copy the backup to tape or a hard disk, then make a note of this directory
path for future reference.
7. Backup operation Description
Backup Creates a backup of an archive, without deleting the archive.
Backup and Remove Creates a backup of an archive, and then deletes the archive after the
backup is complete.
Remove Deletes an archive that has the status Done, without creating a backup of
the archive.
Note For archives that were created with Alliance Access 6.0.0 or earlier, you must
specify Remove.
8. Select the archives to be backed up, by clicking the transfer arrows to move the files
between the Available pane and the Selected pane.
9. Click OK .
If Alliance Access creates the backup file successfully, then it displays a confirmation
message. Click OK in the confirmation dialog box.
The selected archives are backed up, or removed according to your selection.
Names of archive backup directories

Alliance Access creates a directory for every database backup, and uses the following naming
convention for the directory:
<Item>_<ArchiveName>
<Item>_<ArchiveName1_ArchiveNameN>
Where:
• <Item> represents the type of item being archived, as follows:
– JRAR, for backups of Event Journal archives
– MEAR, for backups of Message File archives
• ArchiveName represents the name of the archive that Alliance Access backed up.
Examples of directory names:
MEAR_20070617
JRAR_20070610_20070614
17.4 Scheduling Database Backups

Overview
Using the System Management application, you can define a schedule to create backups of the
Alliance Access database.

Alliance Access accepts newly stored schedules within one minute of their being stored, if:
• the servers are in Operational mode
• a calendar for the current year has been defined.
Note You cannot schedule the restoration of a backup.
To schedule a database backup

2. From the File menu, select Backup.

3. Click the Database tab.
4. In the Backup operating mode field, select Automatic.
Tip If you intend to copy the backup to tape or a hard disk, then make a note of
this directory path for future reference.
6. In the Schedule Category list, select one of the following schedules:
• Every day
• Specific day
• Business day
• Business week
• Business month
15 July 2011 295

7. Specify at least one action for the schedule, as follows:
Field Action

The available choices depend on the Schedule Category that you selected.
Earliest Specify the time (HH:MM:SS) at which the action is to occur.

Start
Latest Start Specify the latest time (HH:MM:SS) at which the action is to occur if the Earliest
Start time is missed.
If Alliance Access restarts after the time specified in the Earliest Start field but
before the time specified in the Latest Start field, then Alliance Access performs
the scheduled action.
Note Because simultaneous backups cannot be run, take care when setting the
Earliest Start and Latest Start times for different backups to ensure that they
do not coincide.
9. When you have completed the schedule details, click Store to save the settings.
17.5 Performing a Manual Backup of the Database

Introduction
You can manually create a backup of the Alliance Access database using the System
You can also create backups using command line tools or, on Windows, the Backup/Restore
application, which is accessible from the System Administration application. For more
information, see the Installation and Administration Guide.
Location of database backup files

The default location of the database backup files is <software dir>\usrdata\backup\db.
<software dir> is usually the directory in which Alliance Access is installed.
If you select a different location from the default location, note that the new location is not
recorded permanently. On Windows systems, this default location can be changed in the
System Administration application.
To perform a manual backup of the database:

2. Select Backup from the File menu.


3. Click the Database tab.
4. In the Backup operating mode field, select Manual.
5. Click Backup .
The Alliance Backup window appears.
If you intend to copy the backup to tape or a hard disk, then make a note of this directory
path for future reference.
7. Click OK .
15 July 2011 297

If the Alliance Access creates the backup file successfully, then it displays a confirmation
message. Click OK in the confirmation dialog box.
Following the successful backup of a database, Alliance Access writes the version number of
the Alliance instance and the current date in an information file called backup.info. Alliance
Access stores backup.info in the same directory as the backup. If the backup process fails,
then Alliance Access deletes the database backup directory and any files in it.
If more than two backups exist, then you are asked whether you want to remove the oldest
backup.
Names of database backup directories

Alliance Access creates a directory for every database backup, and uses the following naming
convention for the directory:
YYYYMMDDTHHMMSS_SAA_DATA_BACKUP
Where YYYYMMDDTHHMMSS represents the local time on the server when the backup was
created.
Examples of directory names:
20070426T120000_SAA_DATA_BACKUP
20070426T220000_SAA_DATA_BACKUP
17.6 Scheduling Database Recovery Backups

Purpose
You can schedule a database recovery backup. To do this, option 14:DATABASE RECOVERY
must be licensed, and the function "Manage Rec Backup" of the System Management
application must be included in an operator profile.
The Recovery Mode must be active before a Recovery Backup can be scheduled. For
information on how to activate the Recovery Mode, see the Installation and Administration
Guide.
To schedule the creation of database recovery backups:

2. From the File menu, select Manage Recovery Backups.

The Recovery Backup Management window appears.

3. Specify the type of event which triggers a database recovery backup in the Recovery
Backup Trigger field. Select:
• Thresholds, to create a recovery backup when the total size of the archived redo log
files or of the incremental backups reach predefined values. To define thresholds, see
"Thresholds settings" on page 299.
• Time Schedule, to create a recovery backup at predefined moments. To define time

schedules, see "Time Schedule settings" on page 299.
4. The Recovery Mode field is a read-only field that displays the current value of the
Recovery Mode: Activated or Deactivated.
5. The Recovery Backup Directory field is a read-only field that displays the directory where
the database recovery backups are created.
6. Select the Include Archive Backups check box if you want backups of archives
(messages or journal events) to be included in the generated recovery backups. By default,
these archive backups are not included in the recovery backups.
7. Select the Compress Recovery Backups check box if you want created recovery backups
to be compressed, which reduces the disk space required for their storage.
8. When you have completed the Thresholds or Time Schedule settings, click Store to save
your settings.
Thresholds settings
When you select Thresholds in the Recovery Backup Trigger field, the following field settings
are available.
Field Action
Active From and To Specify the period of the day (hour, minute, and second) during which
recovery backups may be triggered.
The default values are 02:00:00 and 06:00:00.
Archived Logs Total Specify a threshold (in MB) for the total size of the archived redo log files. If
Size (MB) the size of the archived redo logs is greater than this value, then the total size
of the incremental backups is compared with the size of the latest full
database backup. If the total size of the incremental backups is greater, then
a full backup is taken.
If not, the total size of the incremental backups is compared with its threshold
(see Incremental Backups Total Size parameter).
The default value of this parameter is 1024. The value must be included in the
range [64, 999999].
Incremental Backups Specify a threshold (in MB) for the total size of the existing incremental
Total Size (MB) backups. If the size of the existing incremental backups is less than this value,
then an incremental backup is taken. If it is greater, then a full backup is
taken.
This parameter is used to trigger an incremental or a full backup. It is not used
to control the maximum size of the total incremental backups, which can be
greater than this specified threshold.
The default value of this parameter is 2048. The value must be included in the
range [64, 999999].
Time Schedule settings

When you select Time Schedule in the Recovery Backup Trigger field, the following field
settings are available.
15 July 2011 299

Field Action
Schedule Category Select one of the following schedules: Every day, Business day, Business
Week, Business month, Specific day.
Action Possible values are In use or Not in use.

At least one action must be In use, and one of the In use action must have
Full Backup selected in the Mode field.
Earliest Start time Specify the time (HH:MM:SS) at which the recovery backup is to start.
Latest Start time Specify the latest time (HH:MM:SS) at which a recovery backup is to start if
the Earliest Start time is missed.
Mode Specify which type of recovery backup must be created: Full Backup or
Incremental Backup.
17.7 Performing Manual Database Recovery Backups

Description
You can perform manual database recovery backups in two ways:
• from the System Management application, as described in this section
• using the saa_dbrecovery tool. For more information, see the Installation and
Two types of database recovery backup exist: "Full Backup" and "Incremental Backup". For
more information about these types of backup, see "Database Recovery" in the Installation and
When you perform a database recovery backup, Alliance Access first verifies that the estimated
size of the recovery backup is less than the available disk space on the recovery backup disk.
To perform a manual database recovery backup:

2. From the File menu, select Manage Recovery Backups.

The Recovery Backup Management window appears.

3. To launch the database recovery backup, click:
• Full Backup , to take a full backup of the database
• Incremental Backup , to take an incremental backup of the database.

A confirmation message appears.
4. Click Yes to continue, or No to cancel the backup request.

If you click Yes , then a second confirmation message may appear about the removal of
existing Full backups.
In that case, click Yes to remove the existing full recovery backup, or No to keep it.
A message appears to confirm that the backup has started, and prompts you to check the Event
Journal for successful completion.
17.8 Backing Up Templates

Description
You can use Alliance Access to back up any templates that you have created. For more
information, see "Exporting Templates" on page 315.
17.9 Restoring an Archive Backup

Overview
The restore procedure imports the contents of an archive backup file into the Alliance Access
database. The backup archive file remains in the backup directory.
If backed up archives of Journal or Message entries are needed (for example, for an audit), then
you can restore them from the backup files, using the Backup/Restore application or the
command line tools.
You can also restore archives from backup using the System Management application, which is
accessible through Alliance Workstation.
Note On UNIX, if you are restoring from a backup made with Alliance Access 6.0, then
you must use the saa_system archive restoretar command.
Before you begin

If you copied the backup files to tape using the Windows 2008 Backup facility, then you must
restore them to a hard disk using Windows 2008 Restore before you can restore them using the
Backup/Restore application. For information about using the Windows backup and restore
facilities, see the Windows System Guides. If archived files are compressed, then you must
uncompress them before you can restore them.
Restoring Telex and Fax messages

You can restore Telex and Fax messages processed with releases earlier than release 7.0.
However, due to database structural changes required to remove Telex and Fax functionalities
for release 7.0, the following fields are not restored:
15 July 2011 301

• for Telex messages: Telex Number, Answerback, and Network application
• for Fax messages: Fax Number, CUI, and Network application.
To restore an archive backup:

2. From the File menu, select Restore.

The System Management - Restore window appears.
3. Select one of the following types of archive to restore:
• Journal Archive
• Message Archive
4. Click Restore... .
The Alliance Restore window appears.
The following is an example for an Event Journal archive:
The Entity field displays the type of archive backup to be restored. You cannot edit this
field.

5. The Backup Directory field contains the current path name of the archive to be restored. If
required, select another path by clicking ... .
6. Click the transfer arrows to move the archives between the Available pane and the
Selected pane.
7. Click OK to restore the selected archives.

If the archive is restored successfully, then a confirmation message appears. Click OK .
17.10 Viewing Archives

Introduction
You can view message archives using the Message File application, event archives using the
Event Journal application. Archives files can be viewed before they are backed up, or after they
have been restored from a backup.
Note The servers must be in operational mode before you can view restored archives.
To view an archive:
1. Run the Message File application or Event Journal application, depending on the kind of
archive that you want to view.
2. Follow the instructions in one of the following procedures:
• Message archives: "Search by Source and Creation" on page 215
• Event Journal archives: "Searching by Source and Creation" on page 191
Note When you are viewing archives, do not open more than five archives at once.
15 July 2011 303

18 Reconciling FIN Traffic

Introduction
This section explains how to use the Alliance Access delivery monitoring facilities to monitor the
progress of FIN messages. It also outlines the Alliance Access features that you can use to
extract information about messages.
Message priority and delivery monitoring

SWIFT provides delivery monitoring facilities that allow the sender of a message to monitor the
progress of that message across the SWIFT network to the intended receiver. SWIFT achieves
this by sending you system messages related to the progress of the message delivery.
To make full use of the delivery monitoring facilities, ensure that you specify both the message
priority and the delivery monitoring option during preparation of a message. For more
information about preparing a message, see "Creating a New Message" on page 108.
18.1 System Messages

Description
Alliance Access uses a message processing function called TR_REC to perform traffic
reconciliation. This process runs in the background. The TR_REC function matches the
messages that are sent to SWIFT with the system messages that it receives from SWIFT.
Alliance Access sends a copy of the received system message to the system queue TR_REC,
where it is matched with the original message sent to SWIFT. Once matched, the received
system message is completed in _TR_REC.
System messages
When you send a user-to-user message, SWIFT can response to it using one of the following
SWIFT system messages:
System Message Description
MT 010 non-delivery warning If requested as a delivery monitoring option, an MT

010 is sent if the message is not delivered by the end
of the period during which the delivery must take
place:
• Urgent messages: 15 minutes
• Normal messages: 100 minutes
MT 011 delivery notification If requested as a delivery monitoring option, an MT

011 is sent immediately after delivery of the message.
MT 012 sender notification Optional notification for FIN copy services

If a specific FINCopy service requires the use of this
notification, then an MT 012 notifies the sender when
the Central Institution releases the message. The
transmission status of the original message changes
to "Released by Central Institution".
MT 015 delayed NAK An MT 015 is sent if SWIFT acknowledges (ACKs)

the message initially, but further processing reveals
that the message is invalid, or that the message is a

Reconciling FIN Traffic
System Message Description

request that cannot be executed, for example, a
retrieval request.
MT 019 abort notification An MT 019 is sent if a message is aborted by the

system. SWIFT aborts a message only in exceptional
circumstances, for example, if the message is not
delivered within 14 days.
Traffic reconciliation process

The following figure shows the traffic reconciliation process in Alliance Access:
SWIFT
MT 010, MT 011, inbound System
MT 012, MT 015, queue queue
SWIFT MT 019 Route original instance
network
From SWIFT
SI_from_SWIFT System
To SWIFT
Create copy instance
MT 103
Exit
point
SWIFT
System
outbound
queue
queue
SI_to_SWIFT TR_REC DeliveryNotifAck
Create notification
MT 011, MT 012
instance (see Note)
Exit
point
Routing MT 010, MT 015, MT 019

point
D0540074
TR_NOTIF DeliveryNotifNack
Example
The diagram in "Traffic reconciliation process" on page 305 shows how a notification instance is
routed by default from the TR_NOTIF routing point to one of two default exit points:
• DeliveryNotifAcks. MT 011 and MT 012 notifications are sent to this queue. This is the default
routing, which an authorised user can modify.
• DeliveryNotifNaks. MT 010, MT 015, and MT 019 notifications are sent to this queue.
From these exit points, you can send the delivery notification instances to a printer or to a
message partner.
15 July 2011 305

Configuration of traffic reconciliation

Optionally, you can configure the Traffic Recon - Delivery Notification system parameter in
the System Management application, so that a notification is generated in TR_NOTIF every time
one of your messages is matched with a system MT.
This notification is attached to the original message as an intervention. You may find these
notifications useful for traffic reconciliation purposes. By default, this parameter is set to Yes,
which means that a notification is generated.
For information about how to configure system parameters such as the Traffic Recon -
Delivery Notification parameter, see "Configuring System Parameters" in the System
Management Guide.
Reconciliation of RMA InterAct messages

When Alliance Access receives a successful network acknowledgement for an RMA InterAct
message, it stores the SWIFT reference of the RMA InterAct message in the associated RMA
authorisation record for the RMA message. You can use this to help reconcile delivery
notifications.
If the original RMA InterAct message has been archived and removed, then the traffic
reconciliation process (TR_REC) tries to find an RMA authorisation record with a SWIFT
reference that matches the original SWIFT reference included in the received delivery or non-
delivery notification. If a match is found, then Alliance Access updates the Transmission Status
of the RMA authorisation record.
The system parameter, Delivery Notif via Sysmsg, specifies whether SWIFTNet delivery
notifications for FileAct and InterAct message are received as system messages. For more
information about this parameter, see the System Management Guide.
18.2 Searching for Messages

Overview
You can use the Message File application to search for messages that meet a variety of criteria.
For example, to help in traffic reconciliation, you can search specifically for messages that are
awaiting transmission, awaiting delivery, or for which transmission has failed. For more
information about the Message File application, see "Using the Message File Application" on
page 202.
18.2.1 Searching for Messages by Transmission Status

To search for messages with a specified transmission status:
1. Run the Message File application. If the Search Criteria window is not shown, then select
Search from the Message menu in the main window of the Message File application.
2. In the Source & Creation tab, select Live Days to search for live messages.
3. In the Transmissions tab, select SWIFT as the network that sent the messages.
4. Click Start Search . When the search is complete, the messages matching your criteria
appear in the Message File window.

Reconciling FIN Traffic
18.2.2 Checking Delivery Monitoring Options

To check whether delivery monitoring options have been set for a specific message:
1. Use the Message File application to search for and display the message within the
Message File window.
2. Double-click the message to display its details. The Message Details window appears.
3. Click the Other tab.
4. In the Sender to Network Instructions box, check the value of the Network delivery
notif. request field:
• If the value is TRUE, then an MT 011 (delivery notification) was requested for the
message.
• If the value is FALSE, then delivery notification was not requested.
18.2.3 Checking the Delivery Status

To check the current delivery status of a message:
1. Use the Message File application to search for and display the message in the Message
File window.
2. Double-click the message that you want to check. The Message Details window appears.
3. In the Instances tab, double-click the instance of the message.
4. In the Interventions tab, double-click the relevant reception or emission intervention to

display the list of interventions for the message. The Transmission Intervention Details
window appears.
5. In the Appendix Description tab, locate the Delivery/Cancellation Status panel. This
displays information about the status of a message instance. This can be the status of an
incoming, outgoing, or cancelled message. The fields are described in the following table.
Field Description
Receiver delivery This status only applies to SWIFT incoming messages. A message
status received from the network and recorded in the Alliance Access database
has, by definition, been UAKed by the receiving logical terminal. On the
other hand, messages that fail checksum validation are UNKed and
rejected by Alliance Access. This is why the only value that is shown in
this data field is Receiver Acked.
Network delivery The status of the delivery of the message to the network or a message
status partner.
Sender cancellation The status of a cancellation requested by the sender of the message.
status Possible states are Cancel Requested or Cancel Successful.
For a description of these status fields, see "The Message File Window" on page 203.
15 July 2011 307


Part F - Additional Information
Part F
Additional Information
15 July 2011 309


Downloading a File over FileAct in Real-Time Mode
19 Downloading a File over FileAct in Real-

Time Mode
Overview
This section describes the saa_rtfilegetrequest command, and how to use it to download
a specific file from a correspondent.
19.1 Download a File From a Correspondent over

FileAct in Real-Time Mode
Purpose
This procedure explains how an operator or a back-office application can download a specific
file from a correspondent using FileAct in real-time mode. For example, you can use this
procedure to download files from a business service, such as the Target2 directories.
Alliance Access supports the file download operation in client mode from the correspondent,
through the use of the saa_rtfilegetrequest command. You can use the command to
specify which file to download from the correspondent and the type of signature to use for non-
repudiation, if it is required.
You can launch the command interactively from a command prompt, or using a script, which
allows an external scheduler to launch the command.
Overview of the file download operation

To download a file successfully from a correspondent over FileAct in real-time mode, the
following actions must succeed:
1. A user or application launches the saa_rtfilegetrequest command.
2. Alliance Access requests the download of the file from the correspondent.
3. The correspondent accepts the file download request.
4. FileAct transfers the file in real-time mode from the correspondent to Alliance Access.
Alliance Access receives the requested file using the standard FileAct reception mechanism in
Alliance Access. A real-time SWIFTNet Reception profile manages the reception of the file from
the correspondent and its storage in the Alliance Access database. If a back-office application
requested the file, then the Application Interface manages the routing of the file to the back-
office application.
For more information about SWIFTNet Reception profiles, see the System Management Guide.
Monitoring the progress of the file transfer

You can monitor the progress of the file transfer through the Monitoring application, or through
the Event Journal.
Alliance Access logs an event in the Event Journal on the following occasions:
• after a user launches the saa_rtfilegetrequest command successfully.
• after the correspondent accepts or rejects the request to send a payload file.
• while the file is being received.
15 July 2011 311

• if either Alliance Access or SWIFTNet fails to process the request successfully.
Before you begin

1. If the FileAct service requires an RMA authorisation, then ensure that your institution
(Requestor DN) has a valid RMA Authorisation-to-Receive from the correspondent
(Responder DN).
Note The RMA authorisation is checked when the file download request is
launched, and also when Alliance Access receives the file.
2. Ensure that you specify the correct logical name of the file, as known to the correspondent.
For example, DataFile-29082002.
The logical file name is independent of any operating system, and is used during the
exchange of files over the FileAct service.
For more information about logical names, contact the FileAct service designer of your
institution.
3. To run the saa_rtfilegetrequest command, your operator profile in Alliance Access

must have the RT File Get Request permission for the SWIFTNet Interface application.
4. The Alliance Access server must be running in Operational mode.
5. The real-time SWIFTNet Reception profile that will manage the file transfer must be
enabled and active.
Important Disabling the SWIFTNet Reception profile stops the transfer of the file from the
correspondent.
To request a file from a correspondent

1. Log on to the machine where Alliance Access is installed.
2. Navigate to the bin directory, one level below the directory where Alliance Access is
installed.
3. Run the saa_rtfilegetrequest command, with the relevant parameters.

For command location and syntax, see "saa_rtfilegetrequest" on page 312.
19.2 saa_rtfilegetrequest
Purpose
Use the saa_rtfilegetrequest command to request the download of a payload file from a
correspondent over the FileAct service in real time.
A real-time SWIFTNet Reception Profile manages the file request, the subsequent reception of
the file and its storage in the Alliance Access database.
Operator session
Your Alliance Access licensing agreement allows only a certain number of operators to use the
system concurrently. Running this tool starts an operator session with Alliance Access, and this
session is included in the count of concurrent users of the system.

Downloading a File over FileAct in Real-Time Mode
Tool location
%ALLIANCE%\bin
$ALLIANCE/bin
$ALLIANCE/bin
Command syntax
saa_rtfilegetrequest
-user|-application <username>
-service <service_name>
-request <request_type>
-requestor <distinguished_name>
-responder <distinguished_name>
-rprof <real-time_reception_profile>
-logicalname <logical_file_name>
[-password <password>]
[-passwordfile <password_file>]
[-authoriser <distinguished_name>]
[-nonrepudiation]
[-signature none|crypto|list]
[-priority <priority>]
[-port <port_number>]
Parameters
The saa_rtfilegetrequest command has mandatory and optional parameters, as follows:
-user|-application The name of the Alliance Access operator of type Human (-user) or Yes
<username> Application (-application) executing the command.
-service The name of the real-time FileAct service over which the payload file must Yes
<service_name> be transferred.
-request The name of the request type to use within the service, to transfer the file. Yes
<request_type>
-requestor The DN of the institution that is requesting the file from the correspondent. Yes
<distinguished_name> The Requestor DN must have a valid authorisation to receive from the
Responder DN.
-responder The DN of the correspondent institution, that is being requested to transfer Yes
<distinguished_name> the file.
-rprof <real- The name of the real-time SWIFTNet Reception Profile that will manage the Yes
time_reception_profil file request and the reception of the file from the correspondent.
e>
-logicalname The logical name of the file that is requested from the correspondent. This Yes
<logical_file_name> name must be known to the correspondent.
(1)
-password <password> The password of the Alliance Access operator specified in the -user or -
application parameter.
(1)
-passwordfile The name of the file that contains the password of the Alliance Access
<password_file>] operator specified in the -user or -application parameter.
-authoriser The Authoriser DN that Alliance Access must use when downloading the
<distinguished_name> file from the correspondent.
The level-2 BIC8 of the Authoriser DN must be the same as the level-2
BIC8 of the Requestor DN.
-nonrepudiation The presence of this parameter indicates that non-repudiation is required

for the file transfer from the correspondent.
15 July 2011 313


If the business service requires non-repudiation, then the transfer
negotiation for that service must be signed, and you must specify both the -
nonrepudiation and -signature parameters.
-signature none| The type of FileAct signature that is required, if any:

crypto|list
• none: No signature is required. Default value.
• crypto: encrypted signature is required
• list: signature list is required
-priority <priority> The SWIFTNet Priority to apply to the File Get Request:
• urgent
• normal
If you do not specify -priority, then normal priority is applied.
-port <port_number> The port number to use to access Alliance Access.

If you do not specify -port, then the default port, 48200, is used.
(1) You can use only one of the optional parameters, -password or -passwordfile, in the command. If you do not
specify -password or -passwordfile , then the system prompts you to type the password for the user.

Exporting Templates
20 Exporting Templates
Introduction
This section describes how to use an offline utility that exports templates to a single file. You
can run this tool from the Alliance Installation application on the Alliance Workstation system
(provided that an operator is signed on at the local Workstation) or from the Alliance Installation
application on the Alliance Server (provided that an operator is signed on at the local
Workstation) or from the System Administration application.
You can also use the SWIFT Support application (available through Alliance Workstation) to
export templates.
20.1 Description
Overview
Alliance Access provides an export function for MT and MX message templates. For a
designated server and database instance, an offline utility prepares a file that provides forward
compatibility when migrating templates from Alliance Messenger. You can export the templates
that were created with previous releases on any platform (AIX, Oracle Solaris, or Windows) and
then import those templates to this release. You can export all templates, or templates only for a
specific logical terminal. During the export, two files are produced:
• the output file
• the export.log file.

The output file containing the exported templates has the name specified as -f<output
filename> (see following section for syntax) when the export is launched.
The export.log file contains information about the circumstances of running the export. It lists
the names of each template considered for export and indicates whether a template was
exported successfully. It summarises how many templates were read, how many were exported,
and how many were skipped. The log file shows any errors encountered while building the
output file. For a list of possible error messages, see "Messages While Exporting Templates" on
page 318.
Both files are stored in the location specified as -p<output pathname> (see "Tool for
Exporting Templates" on page 316) when the export command runs. Re-running the export
overwrites the output file and the log file.
Note You can use the export tool as a convenient way to save all your templates. They
are stored in a single file, which is useful to have as a backup of this information.
You can also, if you prefer, use the SWIFT Support application to export templates.
The solution to prevent mapping inconsistencies for prompt templates is to export and import
the internal formats. The internal format is stored in block 5 and is identified with tag
{TMPI:<internal format>}. Block 5 contains the tag {TMPQ:<mesg_template_name>} to identify
the name of each template.
The internal format is not exported for fast templates, so block 5 contains only the name. If a
template created in fast mode is imported and then opened in prompt mode, then mapping
inconsistencies can result. For more information, see the examples in "Notes on Importing MT
Templates" in the System Management Guide.
15 July 2011 315

The structure of the internal format consists of the following elements:
Element (internal tag value) Description
BLOCK_SEPARATOR (\144) Indicates another block of data, or indicates in which subfield

data was entered
FIELD_INDICATOR (\145) Indicates a field
LOOP_INDICATOR (\146) Indicates the start of the first occurrence of a loop
LOOP_OCC_INDICATOR (\147) Indicates another occurrence of a loop
LOOP_END_INDICATOR (\148) Indicates the end of a loop
SEQUENCE_INDICATOR (\149) Indicates the start of a sequence
SEQUENCE_END_INDICATOR (\150) Indicates the end of a sequence
OPTION_FIELD_INDICATOR (\151) Indicates a field where letter options are chosen, such as
56A, B or D
ALTERNATE_FIELD_INDICATOR Indicates an alternative choice (system messages)

(\152)
Example
Using this structure, even obsolete templates can be exported and imported exactly as they
were created. For example, consider the following invalid example for an MT 103 template:
:20:REF
:23B:CRED
:32A:980620 1000, (the currency subfield is empty)
:50K:CLIENT
:59:BENEF
:71A:SHA
The resulting internal format would be a string as follows:

\128\00283\144\145F20\144REF\144\145F23B\144CRED\144\145F32A\144980620\144\
1441000,\144\145F50K\144CLIENT\144\145F59\144BENEF\\144\145F71A\144SHA\144
The value "\128" identifies the internal format for a prompt template. The value "\002" indicates
that this is the second prompt version, and "83" is the number of widgets to create. The
remainder of this example consists of "\144" to separate blocks and "\145" to indicate fields.
Even though the currency subfield has no value, all the fields and data in this example would be
mapped to the expected positions after importing the template.
20.2 Tool for Exporting Templates

Overview
The launch MPA EXPORT_TEMPLATES command launches an export tool for templates.
Note The spacing requirements and optional parameters for this command are the
following:
• space between the different "words" of the command, as well as before the
option letters
• no space between option letters and their associated values

Exporting Templates
Tool location
Windows:<Alliance installation directory>\BSA\bin\win32
AIX: <Alliance installation directory>/BSA/bin/AIX
Oracle Solaris: <Alliance installation directory>/BSA/bin/SunOS
Command syntax
On Windows, for Alliance Workstation and Alliance Server, the command has the following
syntax:
launch MPA EXPORT_TEMPLATES --
-p<pathname>
-f<filename>
[-l<senderLT>]
[-r<replacementLT>]
provided that an operator is signed on at the local Workstation.

On UNIX, the command has the following syntax:
launch -- -L MPA EXPORT_TEMPLATES --
-p<pathname>
-f<filename>
[-l<senderLT>]
[-r<replacementLT>]
Parameters
-p<pathname> Indicates where to store the output files (template file and log file) Yes
-f<filename> Specifies the name of the output file that contains exported templates Yes
-l<senderLT> BIC12 name of the logical terminal that contains the templates to be
exported. Include the terminal code before the 3-character branch code.
If this parameter is not included, then all templates are exported.
-r<replacementLT> BIC12 name of the logical terminal that receives the exported templates.
Include the terminal code before the 3-character branch code.
If this parameter is included, then the -l argument must also be included.
Launching the export tool

To launch the export tool:
1. On Windows, start the Alliance Installation application and double-click the Command
Prompt icon.
On UNIX, from the System Administration application, select xterm from the OS
Configuration menu.
2. Run the launch MPA EXPORT_TEMPLATES command.
15 July 2011 317

Example of syntax
launch MPA EXPORT_TEMPLATES -- -p\usr\wak -fexport -lALLIBEBBAXXX -
rSMLTBEBBAXXX
20.3 Messages While Exporting Templates

Overview
The following messages can appear when you are exporting templates:
Message Meaning
Cannot open [%] for The operating system cannot open the file that contains the exported
export templates. There can be problems with file permission, file ownership,
file existence, and so on.
[-l argument %] is not a There is a syntax error in the BIC12 value keyed as the sender logical
BIC12 terminal
[-r argument %] is not a There is a syntax error in the BIC12 value keyed as the replacement
BIC12 logical terminal
Template export started The export started at the date, and time specified
[date time]
Selecting LT [%] Templates are being selected from the logical terminal identified in the
BIC12 for the -l argument
Replacing with [%] Templates are being replaced on the logical terminal identified in the
BIC12 for the -r argument
EXPORTED The template was exported successfully
NOT EXPORTED (RESERVED) The template could not be exported because it was reserved during the
time that the export was running
NOT EXPORTED (LT %s) The templates could not be exported because the logical terminal
specified is incorrect
NOT EXPORTED (MISSING The template could not be exported because it did not contain a
MESSAGE TYPE) message type
NOT EXPORTED (WRONG The template could not be exported because it did not contain a valid
BANKING PRIORITY) code for banking priority
NOT EXPORTED (WRONG The template could not be exported because the message user
M.U.R.) reference syntax was incorrect

Unreserving Blocked Messages
21 Unreserving Blocked Messages

Introduction
What do you do when a message appears to be reserved, but no operator has reserved it?
Alliance Access provides an offline utility that allows you to unreserve messages that are
blocked. Messages can appear to be reserved even if they are not, due to system crashes of
applications used in message preparation (MPC, MPA, and MPM). This kind of crash
sometimes occurs in environments where Alliance Workstation is used.
You can run this tool from:
• the Alliance Installation application on the Alliance Workstation system (provided that an
operator is signed on at the local Workstation)
• on Windows, the Alliance Installation application on the Alliance Access server (provided that
an operator is signed on at the local Workstation)
• on UNIX, the System Administration application
21.1 Tool for Unreserving Blocked Messages

Overview
The launch MPA unres_mesg command starts an offline utility that allows you to unreserve
blocked messages.
The instance on which the message must be unreserved must be the Active one (as shown in
Instance Configuration window in the Alliance Control application).
Note Spacing requirements and parameters for this command:
• Be sure to space between the different "words" of the command
• If the UMID contains any spaces, then enclose the entire string in double
quotation marks. Otherwise, do not space between characters within the
brackets (<>)
• Be sure to include the underscore ( _ ) where indicated.
Note You can check the current status of a message in the Message File application to
get the required parameter values.
Prerequisites
To use the command to unreserve messages, the servers must be running.
Tool location
Windows: <Alliance installation directory>\BSA\bin\win32
AIX: <Alliance installation directory>/BSA/bin/AIX
Oracle Solaris: <Alliance installation directory>/BSA/bin/SunOS
15 July 2011 319

Command syntax
On Alliance Workstation and Alliance Server on Windows, the command has the following
syntax:
launch MPA unres_mesg --
<queue>
<UUMID>
<suffix>
provided that an operator is signed on at the local Workstation.

On UNIX, the command has the following syntax:
launch -- -L MPA unres_mesg --
<queue>
<UUMID>
<suffix>
Parameters
<queue> The queue in which the message instance is reserved. Yes
<UUMMID> Concatenated values of I/O indicator, Correspondent, Message Type, and Yes
Reference.
<suffix> Suffix of the message to unreserve. Yes

System-generated value.
Launching the tool
1. Start the Alliance Installation application and double-click the Command Prompt icon.
2. On UNIX, from the System Administration application, select xterm from the OS
Configuration menu.
3. Run the launch MPA unres_mesg command.
21.2 Journalised Events

Overview
All attempts to unreserve messages are logged in the Event Journal.
A message may fail to be unreserved for the following reasons:
• Message not found
• Unreserve operation failed
• No instances found
• No instances reserved by MPA found.

Mapping of InterAct Tags for Alliance Access
22 Mapping of InterAct Tags for Alliance

Access
Introduction
Alliance Access manages the mapping of the XML header information to create an internal
representation of the header information, and vice-versa. The internal representation provides a
generic representation for fields such as:
• Sender correspondent
• Receiver correspondent
• Network priority
22.1 Derivation of Correspondents

Description
If not provided explicitly by the back-office application, then the Alliance Access correspondents
(internal and external) are derived from the Requestor DN and the Responder DN contained in
the message.
When a message is received by the SWIFTNet Interface, the correspondent names are derived
from the Requestor DN (sender) and the Responder DN (receiver) as follows:
• mesg_sender_X1 (institution) = second node of the requestor DN (o=swift,o=<institution>),

padded with XXX or truncated at 11 characters
• mesg_sender_X2 (department) = third node of the requestor DN (o=swift,o=<institution>,

ou=<department>)
• mesg_receiver_X1 (institution) = second node of the responder DN (o=swift,o=<institution>),

padded with XXX or truncated at 11 characters
• mesg_receiver_X2 (department) = third node of the responder DN (o=swift,o=<institution>,

ou=<department>)
Note 1. No mapping is done for mesg_sender_X3, mesg_sender_X4,

mesg_receiver_X3, mesg_receiver_X4.
2. For mesg_sender_X2, if no "ou=" item is present, mesg_sender_X2 is not

filled in.
3. For mesg_receiver_X2, if no "ou=" item is present, mesg_receiver_X2 is not

filled in.
15 July 2011 321

22.2 Extraction of Keywords

Description
Alliance extracts the MX Keyword fields from the MX Message Payloads. The extraction is
based on the MX Keyword XPath definitions defined by Standards. The MX keywords are
extracted from the messages by default and are available for display and routing purposes. See
also "Performance Parameters" in the System Management Guide.
The following table provides the mapping between the MX Keywords and the internals of
Alliance message representation:
Alliance Access Field InterAct field Description Routing

keyword
mesg_xml_query_ref1 The field is defined by A keyword field is an existing Y

the xpath contained in field that is specified as being
the keyword 1 definition. searchable from within the
(SwInt:RequestPayload) Message File application and
Alliance Messenger (on
Alliance Web Platform).
mesg_xml_query_ref2 The field is defined by A keyword field is an existing Y

the xpath contained in field that is specified as being
the keyword 2 definition. searchable from within
mesg_xml_query_ref3 The field is defined by A query reference field is an Y

the xpath contained in existing field that is specified as
the keyword 3 definition. being searchable from within

Cold Start
23 Cold Start
23.1 FIN Cold Start

Introduction
This section describes FIN cold start.
23.1.1 About FIN Cold Start

Concept
Under exceptional circumstances, SWIFT may have to restore the FIN service from an empty or
zeroed state. This is called a FIN cold start.
The major impact of a FIN cold start can be summarised as follows:
• If a message had not been delivered at the moment of the FIN cold start, FIN does not try to
deliver the message.
• After the FIN cold start, no historical data is available about the message delivery status
before the FIN cold start occurred.
An exception is the last MT 082 Undelivered Message Report at a Fixed Hour if FIN
generated it before the cold start occurred.
The date and time of this report are published on www.swift.com.
After the FIN cold start, the first messages queued for the destinations by the FIN service are
the logical-terminal directed MT 082 messages that list the FIN messages that have not been
delivered at the time when the report is generated. These reports are generated at most 30
minutes before the event that led to the FIN cold start.
• All the session and sequence-related counters (ISNs and OSNs) are reset after the FIN cold
start for all the logical terminals associated to a zone (in the context of the distributed
architecture) affected by the FIN cold start.
Alliance Access supports FIN cold start by automatically determining which messages do not
have a proof of delivery, and by queuing these messages for re-sending to the correspondent.
Following a FIN cold start, these messages have to be re-sent to SWIFT:
• messages present in the MT 082 which have not been delivered to the correspondent yet
• messages sent after the MT 082 generation which have been acknowledged by FIN
• messages sent to SWIFT but for which a network acknowledgement is still to be received.
Alliance Access identifies the first two categories of messages, and re-sends these with the
Possible Duplicate Emission (PDE) indication. The messages waiting for a network
acknowledgement are automatically re-sent by Alliance Access due to the existing SWIFT
Interface recovery mechanism.
23.1.2 Identifying a FIN Cold Start

Overview
The status of the FIN service must be checked on www.swift.com to identify a FIN cold start.
15 July 2011 323

In most cases, the unavailability of the FIN service is due to local problems or connectivity
issues. These problems can be diagnosed within Alliance Access using the Monitoring
application, the Event Journal application, or the SWIFT Interface application.
If the situation cannot be resolved, then contact Support.
23.1.3 FIN Cold Start Operations

23.1.3.1 What To Do Before the First Login/Select
Procedure
1. Disable automatic login/select.
As the automatic login/select to FIN prevents controlling the messages that Alliance Access
re-sends when the ISN/OSN is reset, it is better to set the operation mode of the logical
terminals to Manual.
For more information, see "Scheduling FIN Select or Logout from SWIFT" in the System
Management Guide.
2. Manage the impact of the ISN/OSN reset.

If the ISN and OSN present in Alliance Access before the FIN cold start were close to zero,
then the reset to zero of these ISN and OSN has the following impact:
• When performing a message search, you can have repeating session and sequence
numbers, but the transmission times are different (before and after the cold start)
• Retrievals will only return the messages that have been processed by FIN after the cold
start
• The message partners defined in the Application Interface send duplicate session and
sequence numbers in the transmission reports. The back-office applications must be
dealing with this.
3. Deactivate any automatic message archiving to allow the re-sending of messages that have
not been delivered yet. This is only required if the retention period for your message
archiving is set to one day.
For more information, see "Scheduling Message File Archiving" in the System Management
Guide.
4. Deactivate any FINCopy service where the Service Administrator has instructed that
messages must not be re-sent in the event of a FIN cold start. In case of doubt, contact
your Service Administrator.
For more information, see "Activating and Deactivating Value-Added Services" in the
5. Identify on www.swift.com when the special undelivered message (UNDELV) report was
generated.
This report is in the form of the MT 082 Undelivered Message Report at a Fixed Hour, and
reflects the situation no more than 30 minutes before the event that led to the FIN cold
start. The content of this special UNDELV report, which contains the value CS in tag 301,
must be compared with the information contained in the most recent UNDELV report that
you receive during normal FIN processing. If you have selected to receive undelivered
message reports at the cut-off time of the receiver's country (MT 083), then review the

Cold Start
undelivered message reports for all countries, to determine the appropriate report(s), to
use.
If there is any doubt about which UNDELV report to use, then it is always safe to use the
special UNDELV report. This report is the first UNDELV report that you receive after the
cold start.
23.1.3.2 FIN Cold Start Configuration
Introduction
This section describes how to configure a FIN cold start.
23.1.3.2.1 About the Configuration
Concept
It is possible to configure the list of FINCopy services for which messages must be re-sent in the
context of a FIN cold start.
When the FIN cold start is configured on the system and approved, Alliance Access only
performs a special treatment of the Undelivered Message Report (MT 082) if tag 301 of this
report contains the value CS. If the MT 082 does not contain CS, then no FIN cold start
processing takes place.
Alliance Access uses the received MT 082 to identify all the delivered messages sent before the
UNDELV generation. If the messages that are not yet identified as delivered to correspondent
are completed, then they are re-activated in the _MP_recovery queue, dedicated to the FIN
cold start processing. If these messages are live, then they appear in an error report.
When Alliance Access has processed the received MT 082 messages, it will identify the
messages sent after the UNDELV generation which are not yet identified as delivered to the
correspondent. Alliance Access considers only the messages that were sent by a Sender logical
terminal and for which an MT 082 was received at the time the user had set the Processing
Status to "MT082 reports treated". These Sender logical terminals are the ones associated to a
zone (as defined by the distributed architecture) impacted by a FIN cold start. These messages
are re-activated or appear in an error report if they are live.
To authorise the messages re-activated as a result of the FIN cold start, an operator must have
a dedicated permission (Treat Recovered Msg) within the Message Approval application. The
authorised messages are re-sent automatically with the Possible Duplicate Emission (PDE)
indication whether they have a SWIFT emission appendix or not.
Report
When the FIN cold start processing is finished, a report on all the messages that were
successfully or unsuccessfully re-activated within the FIN cold start context is available for
printing into a file. The data for the report is available in the system for the report regeneration
and is removed at the next update of the FIN cold start configuration.
The report is generated through an option in the menu of the SWIFT Support application. There
is also a permission dedicated to the generation of this report: Report FCS.
Permissions required
For a FIN cold start, an Alliance Access operator can enter the information related to the FIN
cold start through the SWIFT Support application menu, FIN Cold Start item.
15 July 2011 325

The FIN cold start configuration becomes active only on approval by another operator. The
operator access to the configure FIN cold start and approve FIN cold start commands is subject
to the dedicated permissions:
• Configure FCS
• Treat Recovered Msg

Both permissions can be granted to the same operator.
23.1.3.2.2 Setting up the Configuration
Configuration procedure
1. Run the SWIFT Support application.
2. Select FIN Cold Start from the File menu, and then select Configure.
The Undelivered Message Report pane shows the Date and Time at which the MT 082
report was received and read.
3. In the Time Margin field, enter a value that allows for a difference between the Alliance
Access and the SWIFT clocks. Enter a value between 1 and 9 (minutes).
4. In the Process Messages for FIN Copy Services pane, the Selected column lists all the
value-added services that have FINCopy installed on the server.
If you do not want messages to be re-sent for a particular service, then move that service
into the Available column.
5. Click Store .
The Processing Status field changes the current status of the configuration from Not
configured to Waiting approval.

Cold Start
Note If you click Store without changing any values in the FIN Cold Start
Configure window, then the following occurs:
• Date and Time values are cleared.
• Time Margin is set to 1.
• All FINCopy services are selected
• Status is unapproved
6. Click Store , Approve , and Cancel , as appropriate.

The accessibility of these options depends on the following:
• the FIN Cold Start configuration status
• the functions that the operator has access to (determined by the SWIFT Support
application profile permissions assigned)
Store is only accessible if the operator is associated to a profile with the SWIFT Support
- Configure FCS function selected.
• the current status of the fields modified
Processing statuses
The Processing Status field displays the current status of the configuration.
Status Description
Not configured The FIN cold start configuration is not defined. No FIN cold start
processing takes place.
Waiting approval The FIN cold start configuration is defined but must be approved before
the FIN cold start processing takes place.
Active The FIN cold start configuration is defined. If an MT 082 report contains
CS in tag 301, then the messages requiring re-emission are identified.
MT082 reports treated When all the MT 082 reports associated to the FIN cold start have been
received, the status is manually changed to this value to identify all the
messages which have been sent after the MT 082 report generation,
and which require re-emission.
Processed The FIN cold start processing is finished. The messages identified for
re-emission are queued in the _MP_recovery queue.
23.1.3.2.3 Approving the Configuration
Procedure
2. Click Approve .
The Processing Status field changes the current status of the configuration from Waiting
approval to Active.
FIN cold start processing begins when an MT 082 containing the value CS in tag 301 is
received.
15 July 2011 327

All the messages that are not yet identified as delivered are re-activated in the _MP_recovery
queue if the messages are completed, or appear on an error report if they are live.
The re-activated messages have to be authorised in the Message Approval application.
23.1.3.2.4 Printing a FIN Cold Start Report
Introduction
When at least one Undelivered Message Report (MT 082) has been processed, you can
request a FIN Cold Start report.
Procedure
1. Select FIN Cold Start from the File menu, and then select Report.
2. In the Logical Terminals pane, select the destinations that you want a report for.
3. In the Items pane, select from:
• Messages for re-emission

These are the messages that have been re-activated in relation to the FIN cold start.
• Messages with errors

These are the messages that could not be re-activated in relation to the FIN cold start.
• LTs with received MT082s

This includes the logical terminal identifier, the latest received section, and the total
number of sections to be received for a particular logical terminal.

Cold Start
4. In the Details pane, select one of the following:
• All
Message details are included in the report for messages with errors.
• None
Only summary information present in the header is included in the report.
5. Click OK .
23.1.3.2.5 Completing the FIN Cold Start Processing
Introduction
When all MT 082 reports have been handled, Alliance Access can identify all messages sent
after the date, and time of the generation of the MT 082 reports.
Procedure
2. Change the value in the Processing Status field to MT082 reports treated.
3. Click Store .
When all the messages requiring re-emission have been identified and re-activated, the
Processing Status changes to Processed.
23.1.3.3 Performing the First Login/Select
Procedure
1. Log in all the logical terminals that were used for sending the messages.
2. Ensure that the logical terminals for which the Select is performed are selected for output,
and that the logical terminal directed queue (LTDIR) is selected. This is required as the first
messages that will be delivered after restoring the FIN service will be the MT 082
messages that have been generated after the cold start. The MT 082 is a logical terminal
directed message.
When performing the Select command on a logical terminal in the SWIFT Interface
application, ensure that:
• the Mode field has the value "Receive Only'"
• the LT Directed Queue field has the value "Select" (to receive the MT 082 message).
For more information, see "Logging in to the SWIFT Network" on page 35.
15 July 2011 329

23.1.3.4 Identifying Messages that Must be Re-sent
Re-sent messages
The messages that are affected by the FIN cold start, and therefore must be re-sent with a
Possible Duplicate Emission (PDE) indication, are all messages:
• sent after the date and time of the special UNDELV report published on www.swift.com. All
messages acknowledged after this date and time are not delivered.
• included in the most recent UNDELV report (the special one or the normal one). This report
contains details of messages that you have sent, and that FIN has positively acknowledged,
but which have not been delivered to the intended recipient at the time the report was
generated.
These affected messages can be found using the search functionality available in the Message
File application.
All messages are stored in the _MP_recovery queue.
When searching, select the Instances Location and Unit tab, and then the _MP_recovery
queue.
The following messages are exceptions and do not have to be re-sent:
• messages sent in the context of a FINCopy service, for which the service administrator has
issued instructions not to re-send
• messages for which the sender has selected delivery monitoring, and for which the sender
has received an MT 011 Delivery Notification from FIN, indicating successful delivery to the
intended recipient. These messages have the value "Delivered to Receiver" in the Receiver
Delivery Status field of the Emission Appendix.

Cold Start
Recovery view
The reception of the MT 082 reports by Alliance Access configured for FIN cold start (as
described in "FIN Cold Start Configuration" on page 325) has as a consequence the queuing of
the messages that may have been affected by the FIN cold start in a dedicated queue:
_MP_recovery. These messages are:
• all messages included in the most recent UNDELV reports: these reports contain details of
messages that you have sent, and that FIN has positively acknowledged, but which have not
been delivered to the intended recipient at the time the report were generated.
• all messages sent after the date and time of the special UNDELV report published on
www.swift.com. All messages acknowledged after this date, and time are not delivered.
These messages must be re-sent.
These messages identified for re-emission are available for approval in the Message Approval
application, under the Recovery view. When approved, the messages are re-sent with a
Possible Duplicate Emission (PDE) indication.
23.1.3.5 Re-approving Messages to be Re-sent
Re-approve
You can easily locate the messages that require re-approval in the Message Approval
application.
Select Recovery from the View menu on the Verification - Message Approval window.
The Recovery - Message Approval window appears.
23.1.3.6 Resuming Normal Operations
Description
When the messages identified for re-sending have been re-sent, you may have to perform some
final tasks before resuming normal operations. These tasks are:
1. Enable automatic login/select.
If, originally, some logical terminals were operating in automatic mode, then they can now
be reverted to that mode.
2. Activate any FINCopy service which was deactivated before the first login/select following
the FIN cold start.
For more information, see "Activating and Deactivating Value-Added Services" in the
23.2 Store-and-Forward Cold Start

Introduction
This section describes store-and-forward cold start.
15 July 2011 331

23.2.1 About Store-and-Forward Cold Start

Concept
Under exceptional circumstances, SWIFT may have to restore the SWIFTNet store-and-forward
service from an empty or zeroed state. This is called a cold start.
The major impact of a cold start can be summarised as follows:
• The messages, files, and related data that were in the store-and-forward systems before the
cold start are unavailable. SWIFT does not recover these messages and message data when
restoring the store-and-forward service.
The information that is unavailable and unrecoverable includes:
– all the positively acknowledged messages and files that were in queue and awaiting
delivery to the intended recipient. SWIFT makes no further delivery attempts for these
messages and files.
– all historic data related to message receipt by SWIFT before the cold start, or message
delivery by SWIFT before the cold start.
• SWIFT removes all input channels and output channels, except the generic input channels
and the default output channels. For each queue, there is a default output channel with the
same name as the queue.
• SWIFT resets all Input Sequence Numbers (ISNs) on the generic input channels and Output
Sequence Numbers (OSNs) on the default output channels to zero.
• The cold start is performed from a database in an empty or zeroed state. To indicate this
state, the database identifier reported in Sw:SnFInputTime after the cold start is changed.
• SWIFT resets the sharing mode of all queues to "Exclusive".
23.2.2 Identifying a Store-and-Forward Cold Start

Overview
In most cases, the unavailability of the store-and-forward service is due to local problems or
connectivity issues.
These problems can be diagnosed within Alliance Access using the Monitoring application, the
Event Journal application, or the SWIFT Interface application.
If the situation cannot be resolved, then contact Support or check the status of the of the store-
and-forward service on www.swift.com.
23.2.3 Store-and-Forward Cold Start Operations

23.2.3.1 What to Do Before Sending or Receiving Messages and Files
Procedure
1. Disable the automatic mode for the emission profiles.
To avoid re-sending traffic to SWIFT, disable the automatic mode for the emission profiles,
and activate and deactivate them manually during cold start operations.

Cold Start
2. Recreate the required input and output channels.

As only the generic input channels and the default output channels remain after a cold
start, you must recreate the input and output channels that have been removed. Once
created, it may be useful to get the list of input and output channels through the appropriate
system messages.
3. Deactivate any automatic message archiving to allow the re-sending of messages that have
not been delivered yet. This is only required if the retention period of your message
archiving is set to one day.
For more information, see "Scheduling Message File Archiving" in the System Management
Guide.
23.2.3.2 Identifying Messages and Files that Must be Re-sent
Description
Identify the messages and files that may not have been delivered by using the following search
criteria:
• input channel ISN range
• output channel OSN range
• Date and time range (sent or received)
• Service
• InterAct, FileAct, or both
• Delivery status (undelivered, delivered, unknown, unsent).
23.2.3.3 Reconciling Traffic
Description
Traffic reconciliation uses specific system messages, in the form of delivery notification
primitives or system messages, and the E2EControl information to maintain the status of
messages sent and to identify the duplicate status of messages received.
Reconciling delivery notifications

The xsys.011.001.01 or a delivery notification with Sw:AcceptStatus equal to Accepted or
Duplicated indicates that the message or file is delivered. The xsys.012.001.01 or a delivery
notification with Sw:AcceptStatus equal to Rejected or Failed indicates that the message or
file has not been delivered.
15 July 2011 333

Reconciling the undelivered traffic report

The undelivered traffic report, xsys.005.001.01, is received in response to the xsys.004.001.01
request. The xsys.004.001.01 provides criteria to limit the undelivered traffic report to a subset
of the messages and files sent.
The processing of the undelivered traffic report consists of two steps:
1. Identify the subset of messages and files for which the undelivered traffic report is
generated.
2. For traffic in this subset, mark the status as Delivered for the messages and files that are
not in the report.
The identification of the subset of messages and files is based on the criteria of the undelivered
traffic report request, xsys.004.001.01. This request is identified within the xsys.005.001.01 in
the Doc:ReqRef element, which contains the SwiftRef of the xsys.004.001.01. The criteria of
the xsys.004.001.01 and the Doc:ExctnTm found in the corresponding xsys.005.001.01 are
used to identify the subset of messages and files.
Note The identification of the subset of messages and files is always for the current
database identifier. That means that for an undelivered traffic report sent after a
cold start, the subset of messages and files is limited to messages and files sent
after the cold start.
The marking of the delivery status within the subset consists of marking all messages and files
as delivered except the ones present in the xsys.005.001.01 system message(s). For those
present in the xsys.005.001.01, the delivery status is "unknown" or "not delivered at
Doc:ExctnTm".
23.2.3.4 Re-queueing Messages and Files to be Re-sent
Description
All input messages and files that remain identified can be reactivated or moved to the
_MP_recovery queue.
Once the messages in _MP_recovery are approved, they are re-queued in _SI_to_SWIFTNet
and a Possible Duplicate Emission (PDE) indication is immediately added to the message if
there is already an emission appendix.
23.2.3.5 Resuming Normal Operations
Procedure
Follow these steps to resume normal operations:
1. Check that the store-and-forward service is available on www.swift.com.
2. Enable the automatic mode for the emission and reception profiles.
3. If you use shared queues, then send an Update Queue Sharing Mode Request system
message (xsys.028.001.01) for those queues that require the "Shared" mode.
4. Start sending messages to SWIFT.

Legal Notices
Legal Notices
Copyright
SWIFT © 2011. All rights reserved.
You may copy this publication within your organisation. Any such copy must include these legal notices.
Confidentiality
This publication may contain SWIFT or third-party confidential information. Do not disclose this publication
outside your organisation without the prior written consent of SWIFT.
Disclaimer
SWIFT supplies this publication for information purposes only. The information in this publication may
change from time to time. You must always refer to the latest available version on www.swift.com.
Translations
The English version of SWIFT documentation is the only official version.
Trademarks
SWIFT is the trade name of S.W.I.F.T. SCRL. The following are registered trademarks of SWIFT: SWIFT,
the SWIFT logo, 3SKey, Innotribe, Sibos, SWIFTNet, SWIFTReady, and Accord. Other product, service, or
company names in this publication are trade names, trademarks, or registered trademarks of their respective
owners.
15 July 2011 335

7 0 Saa Daily Ops Guide

Uploaded by

Document Information

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

7 0 Saa Daily Ops Guide

Uploaded by

Copyright:

Available Formats

Connectivity

Alliance Access 7.0.20

Daily Operations Guide

Part A – Introduction ..........................................................................................................................................7

2 Using Applications ....................................................................................................................................... 20

Part B – Connecting to SWIFT .................................................................................................................33

4 Monitoring SWIFT Sessions ..................................................................................................................... 42

2 Daily Operations Guide

6 Monitoring SWIFTNet Profile Sessions ............................................................................................... 60

7 Managing Message Exchange Sessions ............................................................................................ 63

Part C – Preparing Messages ...................................................................................................................87

9 Creating Messages ....................................................................................................................................... 99

10 Approving Messages ................................................................................................................................. 130

11 Modifying Messages .................................................................................................................................. 143

Part D – Investigations and Queries ..................................................................................................163

13 Using the Event Journal Application ................................................................................................. 189

14 Using the Message File Application ................................................................................................... 202

Part E – Usual End of Day Tasks .........................................................................................................277

4 Daily Operations Guide

16 Treating Alarms and Archiving Events ............................................................................................. 285

17 Backing Up and Restoring ...................................................................................................................... 289

18 Reconciling FIN Traffic ............................................................................................................................. 304

Part F – Additional Information .............................................................................................................309

20 Exporting Templates ................................................................................................................................. 315

21 Unreserving Blocked Messages ........................................................................................................... 319

22 Mapping of InterAct Tags for Alliance Access .............................................................................. 321

23 Cold Start ........................................................................................................................................................ 323

• connecting to the SWIFT network

• resolving queries by monitoring system use, examining events, or displaying details of a

6 Daily Operations Guide

8 Daily Operations Guide

1 Understanding the Basics

1.1 The Alliance Access Options

• Installation groups applications that control the installation of Alliance Access.

• Help opens the online help system.

1.2 Signing on to Alliance Access

Signing on for the first time

To sign on to Alliance Access:

2. Select Programs from the Windows Start menu.

3. Select Alliance Access.

5. Enter your Operator name and Password.

10 Daily Operations Guide

Enter your existing password in the Old Password field.

1.3 The Access Control Window

• The Message Creation application is used to create SWIFT FIN messages.

• The Relationship Management application is used to authorise FIN messages.

• The SWIFTNet Support application is used to configure the SWIFTNet connections.

12 Daily Operations Guide

1.4 The File Menu

1.4.1 Setting the Refresh Rate

To set the refresh rate:

3. Click Modify to confirm your changes.

1.4.2 Setting Up the Printer

To set up the printer:

3. Click OK to save the printer settings.

Specifying the page setup

14 Daily Operations Guide

3. Click OK to save the page settings.

Setting the printer font

3. Click OK to save the font settings.

1.4.3 Setting the Speed Mode

To set the speed mode setting:

16 Daily Operations Guide

1.4.4 Changing your Password