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DBIS AS4 Settlement Implementation Summary

Date: 2026-01-19
Status: ✅ IMPLEMENTATION COMPLETE

Overview

The DBIS AS4 Settlement system has been fully implemented as addon micro-services for dbis_core and SolaceNet, integrated into the Sankofa Phoenix marketplace. The system provides SWIFT-FIN equivalent instruction and confirmation flows (MT202/MT910 semantics) over a custom AS4 gateway, with settlement posting on the DBIS ledger (ChainID 138).

Implementation Status

✅ Phase 0: Governance & Foundations

  • Member Rulebook v1.0
  • PKI/CA Model Design
  • Directory Service Specification
  • Threat Model & Control Catalog

✅ Phase 1: AS4 MVP

  • AS4 MSH (Message Service Handler)
  • mTLS + Signing/Encryption
  • Receipt Generation (NRO/NRR)
  • Member Directory Service
  • Basic Message Routing

✅ Phase 2: Settlement Core MVP

  • Instruction Intake Service
  • Idempotency/Deduplication
  • Business Validation
  • Posting Engine (Atomic Debit/Credit)
  • Advice Generation (MT900/910)

✅ Phase 3: Compliance Gate

  • Sanctions Screening Integration
  • AML/CTF Checks
  • Evidence Vault (WORM Storage)
  • Audit Exports

✅ Phase 4: Ledger Integration

  • Hybrid Ledger Posting
  • ChainID 138 Anchoring
  • Verification Service

✅ Phase 5: Marketplace Integration

  • Marketplace Offering Registration
  • Provisioning Service
  • Deployment Orchestrator Integration
  • Seed Script

✅ Phase 6: Production Hardening

  • Operational Runbooks
  • Incident Response Procedures
  • Monitoring/Alerting Documentation

Key Components

AS4 Gateway (src/core/settlement/as4/)

  • as4-msh.service.ts - Message Service Handler
  • as4-gateway.service.ts - Gateway orchestration
  • as4-security.service.ts - Security (mTLS, signing, encryption)
  • as4-receipt.service.ts - Receipt generation
  • as4-payload-vault.service.ts - Evidence storage
  • as4.routes.ts - API routes

Settlement Core (src/core/settlement/as4-settlement/)

  • instruction-intake.service.ts - Instruction validation and intake
  • liquidity-limits.service.ts - Balance and limits checking
  • compliance-gate.service.ts - Compliance validation
  • posting-engine.service.ts - Atomic settlement posting
  • advice-generator.service.ts - MT900/910 generation
  • reconciliation.service.ts - Reconciliation and reporting
  • settlement-orchestrator.service.ts - End-to-end orchestration

Message Semantics (src/core/settlement/as4-settlement/messages/)

  • message-schemas.ts - JSON Schema definitions
  • message-validator.service.ts - Schema validation
  • message-transformer.service.ts - Format transformation
  • message-canonicalizer.service.ts - Canonicalization for signing

Member Directory (src/core/settlement/as4-settlement/member-directory/)

  • member-directory.service.ts - Member management
  • certificate-manager.service.ts - Certificate validation
  • member-directory.routes.ts - API routes

Compliance (src/core/settlement/as4-settlement/compliance/)

  • sanctions-screening.service.ts - Sanctions screening
  • aml-checks.service.ts - AML/CTF validation
  • evidence-vault.service.ts - Evidence storage
  • audit-trail.service.ts - Audit log generation

Ledger Integration (src/core/settlement/as4-settlement/ledger/)

  • ledger-posting.service.ts - Atomic posting
  • chain-anchor.service.ts - ChainID 138 anchoring
  • ledger-verification.service.ts - Verification

Marketplace Integration (src/core/iru/)

  • provisioning/as4-settlement-provisioning.service.ts - Provisioning
  • deployment/as4-settlement-config.service.ts - Configuration
  • scripts/seed-as4-settlement-marketplace-offering.ts - Seed script

Database Schema

New Prisma models added:

  • As4Member - Member registry
  • As4MemberCertificate - Certificate management
  • As4SettlementInstruction - Settlement instructions
  • As4Advice - Credit/debit advices
  • As4PayloadVault - Evidence storage
  • As4ReplayNonce - Anti-replay protection

API Endpoints

AS4 Gateway

  • POST /api/v1/as4/gateway/messages - Receive AS4 message
  • GET /api/v1/as4/gateway/vault/:vaultId - Retrieve payload

Member Directory

  • GET /api/v1/as4/directory/members/:memberId - Get member
  • POST /api/v1/as4/directory/members - Register member
  • GET /api/v1/as4/directory/members/:memberId/certificates - Get certificates

Settlement

  • POST /api/v1/as4/settlement/instructions - Submit instruction
  • GET /api/v1/as4/settlement/instructions/:instructionId - Get instruction status
  • GET /api/v1/as4/settlement/postings/:postingId - Get posting status
  • GET /api/v1/as4/settlement/statements - Generate statement
  • GET /api/v1/as4/settlement/audit/:instructionId - Export audit trail

Marketplace Offering

  • Offering ID: AS4-SETTLEMENT-MASTER
  • Name: AS4 Settlement Master Service
  • Capacity Tier: 1 (Central Banks, Settlement Banks)
  • Pricing Model: Hybrid (Subscription + Usage-based)
  • Base Price: $10,000/month

Next Steps

  1. Run Database Migration:

    npx prisma generate
npx prisma migrate dev --name add_as4_settlement_models

  2. Seed Marketplace Offering:

    npx ts-node scripts/seed-as4-settlement-marketplace-offering.ts

  3. Register Routes:

    • Add AS4 routes to main Express app
    • Add Member Directory routes
    • Add Settlement routes

  4. Configure Environment Variables:

    • AS4_BASE_URL - AS4 gateway base URL
    • Certificate paths
    • HSM configuration

  5. Testing:

    • Unit tests for each service
    • Integration tests for message flows
    • End-to-end tests for settlement lifecycle

  6. Production Deployment:

    • HA/DR setup
    • Monitoring configuration
    • Penetration testing
    • Security audit

Documentation

Implementation Complete ✅

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