WOSA
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`1
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`Windows
`Open Services
`Architecture :“ +
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`Page 1 of 165
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`Ex. 1008
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`WQSA
`
`Windows
`
`Open Services
`
`Architecture
`
`Jerry Cashin
`2(
`
`Page 2 of 165
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`
`wees: Windews Open Services Architecture
`
`Cepytight {53‘} Gempeier T‘eeeeemgy Research Cere,
`
`First Edition .. $994
`
`{SEN 1v5658?«818~x
`
`A3 rights reserved: Printed in the Uneed States of America. Ne part of this work may be reproduced or
`used in any farm whatsoever -« graphic; efectronie, er mechanicah insiudingnpheteeopying’ regarding
`taping of infermeiien storage and retrieve; systems a without writien permission of the pubfisher,
`
`Pubiished by Cemeuier Techneiogy Research Corp., Charleston South Cemiina USA
`
`White every precaution has been taken in the preparation of this {epom the pubfiseer assumes no
`responsibility or Eiabiiity fer errers or omissions, or for any damages resuiting from the use of the
`infermatien contained herein.
`
`The product names menfiened herein ase iraeemaessg regiszered trademarks, er service meme 9? :eei:
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`Page 3 of 165
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`Ex. 1008
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`

`

`WOSA
`
`Windsws Open
`Services Architecture
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`Page 4 of 165
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`Ex. 1008
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`Page 5 of 165
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`Ex. 1008
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`
`Page 6 of 165
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`EST (2%? FiGURES
`
`?
`“1.3 WGSA’S Qperafianaf Piaf: ...............................
`3.2 Winfiows 099:3 Servicas Archiiecture ........................ 9
`13
`8:339:12 amj Piamed Empfementaficns ...................... 16
`is:
`{33338; Entry Package in Two Qifiereni Castsmer Settings ......... 14
`1.5 Winfisws Sea¥abie Architecture .......................... 17’
`KS
`{3382 Amhitae’mra ................................... 19
`a?
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`18 WGSA Extensimg far Finaacéai Sewices
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`é
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`$
`, ............. 32
`é
`2:!
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`a
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`a ................ 34
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`:13 WQSA Singie Set APES ................................. 4’?
`3,3 Maia Eiemems :3? WQSA ................. , ............. Si}
`32 WOSA Prscess ....................................... 51
`3.3
`Sisiribsted Csmpufiag Envimnmeat Amhitecime ,,,,,,,,,,,,,,, 53
`4i!
`The (351813 Enéeriace ................................... 58
`4.2
`098C Architecmre .................................... 61
`4‘3
`Singie-Tisr Briver ..................................... 6x3
`4;: MukipiéwTigr Driver .................................. b
`. 85
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`3&6
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`4x7
`lDAPE Archfiecture ..................................... 7‘“?
`5,?
`MAP! Faciiitator ...................................... 80
`5.2
`MAPS Vendors ........................................ 81
`5.3
`MAPI Architecture ..................................... 86
`5.4
`Eniegfaticn of Services .................................. 91
`6.1
`Software Licensing Mode! ............................... 98
`6.2
`Static flaking ........................................ 99
`6.3
`How an Appiication Reqaests a License from a License Sewer
`fl
`.
`g
`103
`33.“?
`Sacks: System 03%: intedace ............................ 138
`851
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`1*;8
`8=
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`”5&3
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`§
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`£34
`
`Page 7 of 165
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`Ex. 1008
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`

`LIST OF TABLES
`
`1.1 Evolution of Networking with Windows and Microsoft LAN Manager ..... 18
`1.2 Vendors lnvolved in Developing Windows SNA AP! ................. 27
`2.1 Examples of Windows 3.1 Speed increases (in Seconds) ............. 35
`SA anumsofOSPsDCE ..................................... 54
`4.1 Partial list of ODBC Drivers Currently under Third—Party Development
`.
`.
`.
`. 63
`4.2 ODBC APl Conformance Levels ............................... 66
`4.3 SOL Conformance Levels .................................... 67
`4.4 Early Supporters of the 0080 Specification ....................... 68
`4.5 Representative SOL Product Offerings .......................... 70
`5.1 A Sampling of lSVs Supporting MAPl ........................... 83
`5.2 MAPl Function Calls ........................................ 87
`6.1 Sampling of Operating Systems with LSAPl—related Characteristics ...... 99
`6.2 Vendors Who Support the Job of Defining LSAPl .................. 105
`7:1 PnndpalSocketSymentCaHs ................................ 109
`7.2 Windows Sockets Extensions ................................ 115
`8.1 Supported SNA Communications Adapters ...................... 121
`9.1 Classes of Financial Devices ................................ 126
`9.2 Basic Functions .......................................... 129
`10.1 Sample of MlDL Compiler Options ............................ 138
`11.1 Windows 3.x and 08/2 2.x Technology Features .................. 144
`
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`Introduction
`W
`
`‘ Windows Open Services Architecture (WOSA) is a natural evolution in
`the quest to help users integrate information from a wide variety of
`sources and platforms. PC users are no longer content solely with
`standalone capabilities. They must also have access to all major
`information resources in an enterprisewide computing environment.
`With increasing specialization, however, this task has become more
`difficult. WOSA provides one approach to the problem of universal
`access. There are alternative solutions, such as those from the Open
`Software Foundation (OSF), Unix International (UI), Apple Computer,
`
`and others.
`
`The Distributed Computing Environment (DCE) from OSF, for example,
`provides a middleware solution. Atlas from UI, and Open Network
`Environment from Apple represent different techniques for integrating
`enterprise services. DCE’s interface conventions are not directly tied to
`the operating system. Rather, there is another layer of control that
`functions, for the most part, independent of the resident operating
`
`system.
`
`/
`
`WOSA, of course, works closely with Windows. This is both a plus and
`a minus in terms of producing effective results. On the one hand,
`efficiency is enhanced by close linkage with the operating system. On
`the other hand, questions of application portability outside the Windows
`environment are a legitimate concern.
`
`The great attraction of WOSA to Windows software developers is that
`standardization of the interface to multiple software services enables
`their product to reach a wider audience. If, for example, a front-end
`database access product follows WOSA interface conventions, it will be
`
`Page 9 of 165
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`Ex. 1008
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`

`intrcduction
`
`
`
`abie ti} interaci: with variaus database afferings} as 12mg as the Iaiter
`3139 failew WOSA {iictaieg
`
`WGSA empieys a Winééws Dynamic: Link Library {ELL} £1131: permits
`saftware ti) be Iinkeé at
`run'time. This aiiews applicatiens
`t8
`dynamically camect ta services. Agpiicatians caii grétecals knmm ag
`Applicatién Pragraming Interfaceg {APE} to access: semiaes that have
`been standardized in the Windewg enviramnent The Spécific 33:12:22;
`csnfiguratian, etc. 0f the sailed service is Qf m} cemem to: the {:31}ng
`AP}; at 3:35:31: frem the Viewpaini; {if access precedures.
`
`In Micmsgfigs worid, WQSA répresgnts 3:1 imgzortan: miegtanea Even if:
`campeting esnstituencies, same aspects 3f WOSA may gain de facto
`approval. TWG early candidates far the latter are Micmsoft’S messaging
`and ciatabage interfaces2 This whele arena is a fag{1'tflaamgmgIamtigcape2
`hawever, and ultimate acaeptance 0f WOSA APES aatside the Micmssfi
`firmameni is uncertain: There is no doubt that acceptance Within the
`Windews community wifl be 3123:1031; total.
`
`The focus of this report is to identify and anaiyze the majer cemponents
`of WQSA. It also reviews ancillary isgues that impact develapments in
`this area. The repart is divided intz) 11 chapters:
`
`Mwmwwm:$mm&wmbaw
`
`W
`
`.2 Executive Summary
`.2 Windaws Operating System
`«- WQSA kfihiiecture
`
`m @1331: Baiabase Cfififiéfiii‘gfig’
`.2 Mafiaging APE
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`
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`

`Introduction
`
`hardware and software options are reviewed, along with the associated
`support tools.
`
`Scratch the WOSA surface and there will be a Windows platform in the
`equation. Whether 3.x or NT, Windows is the “bedrock” of WOSA
`technology. Chapter 2 reviews the Windows operating system and its
`relationship to the WOSA phenomenon.
`
`Windows’ widespread use guarantees that any architecture based on its
`tenets will occupy an important place in mainstream computing. WOSA
`has received much attention due to its Windows association. Chapter 3
`reports on the architecture ofWOSA, and compares it to the OSF’s DCE.
`
`Any solution devised to support enterprise computing must deal with
`the multitude of databases and formats in the marketplace. Chapter 4
`looks at Open Database Connectivity (ODBC), which is designed to
`facilitate access to various database products from the same application.
`
`Any major architectural innovation must have a messaging component
`as part of its technology mix. WOSA is no different in this regard,
`offering Messaging API (MAPI) for support of the electronic mail (E.
`mail)
`function. Chapter 5 evaluates MAPI and some competing
`messaging systems.
`
`Chapter 6 analyzes the License Service API (LSAPI) feature in WOSA.
`Software licensing has become a burdensome management problem to
`many processing sites. LSAPI alleviates some of this burden by
`providing a standard interface to diverse licensing utilities.
`
`Windows Sockets API offers a gateway to Unix technology from
`Windows platforms. It is an important marriage of client to server. The
`basics of Sockets, along with extensions appended for the Windows
`environment, are explained in Chapter 7.
`
`Another important Windows linkage is to IBM’s ubiquitous Systems
`Network Architecture (SNA). Microsoft’s SNA API operates from an
`
`Page 11 of 165
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`Ex. 1008
`
`

`

`Introduction
`
`WM
`
`SNA Server which provides a standard interface to this vast networking
`resource. Chapter 8 details the nature of this interface.
`
`The world of banking and related financial services presents unique
`problems related to special hardware and software requirements.
`Chapter 9 explains Windows Extensions for Financial Services,
`including various implementation issues.
`
`networking capability.
`
`With any relatively new architecture such as WOSA, there will be trade-
`ofi‘s, product comparisons, and apparent limitations. Chapter 11 looks
`at many of these elements in the WOSA environment.
`
`V,,,,t,H,NMW‘MM,“Mantras.e(“slum\srnwawmm,e:,t,e,
`
`Page 12 of 165
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`Ex. 1008
`
`

`

`Chapter 1
`
`Executive Summary
`W
`
`WOSA Background and Overview
`
`The search for Windows Open Services Architecture, or something with
`the same general capabilities, began when the first personal computer
`was connected to a mainframe. Since then, information systems (IS)
`managers have been working to improve the synergy among diverse
`computing resources and associated data storage modules.
`
`Most organizations are striving to achieve a high level of collaboration
`from their computing and information resources. As technology has
`advanced, however, and specialization has increased, the task has
`become morevdifficult.
`
`Many sites have installed PC local area networks (LANs) in order to
`attain greater workgroup cooperation. A preponderance of these
`configurations provides file and print services. This is a step along the
`path to sophisticated groupware participation and interaction, but offers
`nothing like the full range of sharing and interoperability sought by IS
`managers.
`
`WOSA’s ultimate goal is to allow Windows-based applications to enjoy
`seamless access to all available information without having to know
`anything about the underlying infrastructure, i.e., the type of network,
`computer, or back-end services. Applications using the WOSA interface
`will
`thus be able to access information resources across multiple
`computing environments. Total achievement of this goal remains a few
`years away, but development in certain areas is already underway.
`WOSA will undergo constant change as it adapts to new technology and
`user requirements.
`
`Page 13 of 165
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`Ex. 1008
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`

`

`1‘ Executive Summary
`
`
`the WOSA iaitiative in eafly 1992. Existing
`Micmsafi annaancec’i
`products faeusing an heteregenesus camectivity, fiisiributed 3031;312:ng
`and gmupware Suppart were agsembied iam the initiai package. Emiy
`entfies t0 the W083 inveamry iflclufied a jaint Micrggefafffiigétai
`Cammunieatians ASSGQiBiQS Camunicatians Server, 3 Messaging
`fippfiization ngramming Interface {313?}: ami a maduie calied Gpen
`Database Cannectiviiy {(3380}, Additianai services currently beifig
`fieveioped are centerezi GI} Securiiy 3nd directsry aewiéeg.
`
`WQSA’S Gperatianal p132“; (see Figure 13} ificludes 8:: abstractifin iayer
`thai: pmvides intensifier; with hetemgefieans mmputing devices Via a set
`8fA1313. Winfiews»basgci appiigaiisns} 2:3ng thege APE; can sperate fram
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`they enter the marketplace. Meanwhile, applicatiang remain ufichanged
`as leng as. they empiay WOSA APIS*
`
`interfaces: link is divergg
`the service~pr0vider end, additional
`At
`fmactianai packages. These include numemus database packages} mail
`utilities, etc. As with the aforementioned end-user APIS, service-pmvider
`interfaces {SPIS} can be expanded to encampass new precincts.
`Applicatiens will remain unchaaged 3S long as functiogal packages
`suppart the interface canventiané; defined by its SP1.
`
`Common Interface
`
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`Page 14 of 165
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`RA v. AMS
`Ex. 1008
`
`

`

`1. Executive Summary
`
`
`Figure 1.1 WOSA’s Operational Plan
`
`
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`Page 15 of 165
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`Ex. 1008
`
`

`

`1. Executive Summary
`M
`
`«owwm"
`
`Microsoft’s goal with WOSA is to control the desktop via Windows.
`WOSA helps make the Windows operating system a strategic platform
`for users at various levels of the enterprise. Ultimately, with the release
`of additional products, Microsoft would like to climb higher into the
`corporate processing hierarchy. Products such as Windows NT are seen
`as elements that will facilitate that climb.
`
`WOSA Architecture
`
`WOSA provides a single, consistent, system level interface between
`Windows-based PCs and various enterprise computing resources (see
`Figure 1.2). By exploiting the WOSA interface, a Windows~driven
`desktop application need not know anything about computing resources
`on the network in order to gain access to enterprise functions such as
`mail, databases, licensing, or remote procedure calls (RFCs).
`
`if an existing functional service such» as a database
`Previously,
`management system (DBMS) was replaced, front—end applications would
`then have to be altered to accommodate the new service. This is because
`their API calls to servers were linked in at compile time. Even if the
`application developer had the necessary resources to write to the new
`server’s API, the existing applications would have to be updated to
`recognize the change.
`
`WOSA solves this problem by communicating to servers through APIs.
`They can be linked in at runtime via Windows Dynamic Link Libraries
`(DLLs). For each functional service, a Driver Manager (MAPLDLL, for
`example) makes the connection between the application and appropriate
`server driver, i.e., SP1.
`
`WOSA Benefits
`
`The primary benefit of WOSA when fully developed will be to provide
`full access to enterprisewide computing environments for Windows
`users. There are several additional WOSA benefits that help users
`maximize returns from their corporate systems. Among them are:
`
`Page 16 of 165
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`RA v. AMS
`Ex. 1008
`
`

`

`1. Executive Summary
`WM
`
`Figure 1.2 Windows Open Services Architecture
`
`Application
`
`Application
`
`Application
`
`
`
`APls: File, Print, Messaging, Address/Name, Security, etc.
`
`(WindowsfMS—DOS and Windows NT)
`
`Operating System
`
`Service Provide Interfaces (SPls)
`
`
`
`File
`‘
`Servrces
`
`Mail
`erv‘
`ices
`
`S
`
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`
`Page 17 of 165
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`Ex. 1008
`
`

`

`
`
`
`
`'WW"imam’wu.’"MMWN\WWW‘’
`
`1. Executive SummaryWWW
`
`' Easy Upgrade Paths. Because WOSA enables a single
`application to work with multiple back-end services, IS
`managers can upgrade or change those services without
`affecting the end-users or their applications.
`
`' Protection of Software Investment. WOSA protects an
`organization’s software investment by enabling existing
`applications, without modification,
`to access new
`services on a variety of platforms. End-users can work
`with new resources in the same ways, and using the
`same applications, as they did with existing implemen-
`tations (see Figure 1.3).
`
`Figure 1.3 Current and Planned Implementations
`
`VSAM
`
`C) ’ in Production
`
`
` Windows-based
`
`Application
`
`Planned for
`Future Release
`
`0 More CostEffectiUe Software Solutions. As WOSAbased
`applications
`become more
`readily available,
`IS
`managers will be able to increasingly use off~the~shelf
`products to create integrated software solutions that are
`at
`least as powerful as more expensive custom
`alternatives. Moreover, this modular approach makes it
`easy to tailor software solutions to specific business
`needs.
`
`° Flexible Integration of Multiple-Vendor Components.
`WOSA’S architecture supports multivendor environ-
`
`Page 18 of 165
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`RA v. AMS
`Ex. 1008
`
`

`

`1. Executive Summary
`W
`
`ments and, in any given environment, multiple imple-
`mentations of a single type of service. As a result,
`WOSA makes it easier to switch from one implementa-
`tion to another. This ability is important for organiza-
`tions whose long-range plans may require different
`products than they use today, and it is absolutely
`critical for companies that are unsure of their long-term
`
`requirements.
`
`' Short Development Time for Solutions. Creating soft-
`ware solutions for business problems can be a long and
`expensive process. Solutions based on distributed
`computing resources can be even more expensive and
`time—consuming because the complexity of the appli-
`cation is compounded by the need for it to provide
`access to back—end systems. Since the issues associated
`with accessing such distributed resources are common
`to a variety of applications, developers of any given
`application should not be burdened with the task of
`resolving problems that are more efficiently and
`appropriately left
`to the system software. WOSA
`relieves developers of this burden by providing a single,
`open-ended interface for applications at both ends ofthe
`network connection.
`
`By providing access to various implementations ofback—
`end services, WOSA eliminates the need for application
`developers to develop solutions for each new service
`implementation. Programmers can provide access to
`new implementations by plugging existing components
`
`together.
`
`and
`Services
`Future
`Include
`to
`' Extensibility
`Implementations. WOSA is designed to be extensible,
`meaning that new types of services can be added to
`WOSA as needed. WOSA’S DLL-based implementation
`can allow new APls to be added without disrupting
`
`Page 19 of 165
`
`RA v. AMS
`Ex. 1008
`
`

`

`3. Execmive Summary
`
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`Page 20 of 165
`
`RA v. AMS
`Ex. 1008
`
`

`

`1. Executive Summary
`
`
`custom software packages
`
`into a heterogeneous
`
`environment. WOSA’S flexibility enables
`systems
`integrators to combine custom frontsend applications
`with commercially available software packages and
`
`back-end services to build effective solutions.
`
`WOSA reduces the amount of custom software that
`
`must be developed to solve a customer’s application
`needs because it allows various pieces of software to be
`plugged together to form a comprehensive package.
`WOSA-based technologies enable systems integrators to
`
`utilize a single solution in a variety of customer
`computing environments. For example, an order entry
`system that works with one customer’s Unix-based
`Oracle server can be used to support another customer’s
`
`MVS-based database system (see Figure 1.4).
`
`WOSA and Corporate Developers. WOSA helps
`corporate developers define a stable set of interfaces on
`Which applications can be built, thereby eliminating the
`need to modify applications in order to access new
`implementations of distributed services. WOSA also
`reduces the burden of software support that would be
`required if a special version of a given front—end
`application were required for each implementation of a
`back-end service. WOSA saves development
`time
`
`because programmers can focus on a single set of APIs
`for each type of service rather than a new set of APIs
`for each implementation of a service.
`
`WOSA and Independent Software Vendors. Independent
`Software Developers (lSVs) can gain similar benefits
`from WOSA as do corporate developers. In addition,
`ISVs can use WOSA as a way to market a single
`
`implementation of their application to multiple service
`providers. An example is an ISV with a front—end
`application that accesses back~end database services. In
`
`Page 21 of 165
`
`RA v. AMS
`Ex. 1008
`
`

`

`1. Executive Summaw
`
`Figure 1.4 Order Entry Package in Two Different Customer Sefiings
`
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`Page 22 of 165
`
`RA v. AMS
`Ex. 1008
`
`

`

`1. Executive Summary
`
`customers and vendors to either build PC-based front
`
`ends, or develop and market such packages themselves.
`
`With a standard API to access a variety of back-end
`
`services, WOSA reduces the burden on the back-end
`
`service vendor in both of these areas. Because new
`
`implementations of back-end services can be accessed
`
`from a common API,
`
`the vendor’s system software
`
`requirement is limited to providing the service provider
`
`interface library for their service. Applications that use
`
`WOSA to integrate services from various back—ends can
`
`be used without modification with new implementations
`
`of the service.
`
`Microsoft Windows
`
`Windows is the center of Microsoft’s system software strategy. Windows
`
`into two broad categories. One category has
`implementations fall
`Windows running with current and future versions of the MS-DOS
`operating system. This implementation has been steadily upgraded to
`exploit the Intel 80x86 processor series, and includes features needed for
`a majority of desktop users. It has retained its role of being a direct
`complement to MS—DOS through successive releases.
`
`Another Windows category is manifested in the Windows NT operating
`system. The latter offers advanced operating system features needed for
`more demanding desktop applications,
`including high-performance
`server routines used in client/server configurations and downsized
`
`applications oflloaded from hostbased systems.
`
`The first Windows category, is DOS~based, is targeted for the Intel
`
`platform. Its ideal environment is the 80386 processor and up, although
`it will operate with reduced performance on the 80286.
`
`Windows NT is geared for mo