ISO/IEC 10026-3:1996

I NTE R NATIONAL
STANDARD
Information technology - Open Systems
Interconnection - Distributed Transaction
Processing -
Part 3:
Protocol specification
Technologies de l'information - Interconnexion de systèmes ouverts
(OS11 - Traitement transactionnel réparti -
Partie 3: Spécification du protocole
Reference number
Contents
...
Foreword . XIII
Introduction . xiv
1 Scope . 1
2 Normative references . 2
3 Definitions . 3
4 Abbreviations . 3
5 Conventions . 3
6 Model of the PM . 4
6.1 Overview . 4
6.1.1 Principles of association usage . 4
6.1.2 Dialogue establishment . 5
6.1.3 Channel management . 6
6.1.4 Channel utilization . 6
6.1.5 Token control . 7
6.1.6 Concatenation/separation . 7
6.1.7 Embedding . 8
6.2 OS1 TP Protocol structure . 8
6.2.1 Components of the PM . 8
6.2.1.1 The TPPM . 10
6.2.1.2 The CPM . 11
7 Execution Rules . 11
................................................................................................................. 11
7.1 Operation of the PM
7.1 . 1 Relationship of SAO(s) to MACF(s) . 11
7.1.2 Input events to the PM . 12
7.1.3 Action sequences . 12
7.1.4 SACF queuing . 12
7.1.5 Input event blocking at the PSAP . 13
7.1.6 PM error conditions . 13
7.2 Procedure rules . 14
................................................................................................................................ 16
7.3 Definitions
7.4 Log records used by the PM . 21
7.4.1 Log-ready record . 21
7.4.2 Log-commit record . 22
.................................................................................................. 22
7.4.3 Log-heuristic record
7.4.4 Log-damage record . 22
7.5 Recovery-context-handle . 22
8 Use of ACSE, CCR and the Presentation Layer . 23
8.1 Introduction . 23
8.2 Use of ACSE Service primitives . 23
8.2.1 Use of the A-ASSOCIATE parameters . 23
8.2.2 Use of the A-RELEASE parameters . 24
8.2.3 Use of the A-ABORT and A-P-ABORT parameters . 24
8.3 Use of CCR Service primitives . 25
8.4 Use of the Presentation Layer . 26
O ISO/IEC 1996
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O ISO/IEC
8.4.1 Use of Presentation Service primitives . 26
8.4.2 Mapping of C-ROLLBACK-RI to Presentation . 27
8.5 Association Management . 27
8.5.1 Introduction . 27
8.5.2 Association/dialogue compatibility . 27
8.5.3 Association/channel compatibility . 27
8.5.4 Initiating an association establishment . 28
8.5.5 Receiving an association establishment indication . 29
8.5.6 Responding to association establishment . 29
8.5.7 Receiving confirmation of association establishment . 30
8.5.8 Initiating an association release . 31
8.5.9 Aborting an association . 31
9 TP-ASE description . 31
9.1 Introduction . 31
9.2 AF Service Definition . 32
9.2.1 AF-BEGIN-DIALOGUE . 32
9.2.2 AF-BID . 32
................................................................................................. 32
9.2.3 AF-END-DIALOGUE
9.2.4 AF-U-ERROR . 32
9.2.5 AF-ABORT . 33
9.2.6 AF-GRANT-CONTROL . 33
9.2.7 AF-REQUEST-CONTROL . 33
9.2.8 AF-HANDSHAKE . 33
9.2.9 AF-HANDSHAKE-AND-GRANT-CONTROL . 33
9.2.10 AF-DEFER . 33
9.2.1 1 AF-PREPARE . 33
9.2.12 AF-HEURISTIC-REPORT . 33
9.2.13 AF-ABORT-AND-HEURISTIC-REPORT . 34
9.2.14 AF-RECOVER . 34
9.2.15 AF-TOKEN-GIVE . 34
9.2.16 AF-TOKEN-PLEASE . 34
9.3 AF-Services and TP APDUs: parameters and field mappings . 34
9.3.1 AF-BEGIN-DIALOGUE request/indication/response/confirm, TP-BEGIN-
DIALOGUE-RI/-RC APDU . 34
9.3.2 AF-BID request/indication/response/ confirm, TP-BID-RI/-RC APDU . 37
9.3.3 AF-END-DIALOGUE request/ indication/response/confirm, TP-END-
DIALOGUE-RI/-RC APDU . 37
9.3.4 AF-U-ERROR request/indication/ response/confirm, TP-U-ERROR-RI/-RC
APDU . 38
9.3.5 AF-ABORT requesthndication, TP-ABORT-RI APDU . 38
9.3.6 AF-GRANT-CONTROL request/ indication, TP-GRANT-CONTROL-RI APDU . 39
9.3.7 AF-REQUEST-CONTROL request/ indication, TP-REQUEST-CONTROL-RI
APDU . 39
9.3.8 AF-HANDSHAKE request/indication/ response/confirm, TP-HANDSHAKE-RV-
RC APDU . 39
9.3.9 AF-HANDSHAKE-AND-GRANT-CONTROL request/indication/response
confirm, TP-HANDSHAKE-AND-GRANT-CONTROL-RI/-RC APDU . 40
9.3.1 O AF-DEFER request/indication, TP-DEFER-RI APDU . 40
9.3.1 1 AF-PREPARE requesthndication, TP-PREPARE-RI APDU . 40
9.3.1 2 AF-HEURISTIC-REPORT request/ indication, TP-HEURISTIC-REPORT-RI
APDU . 41
9.3.1 3 AF-ABORT-AND-HEURISTIC-REPORT requesthndication . 41
9.3.1 4 AF-RECOVER request/indication, TP-RECOVER-RI APDU . 42
9.3.1 5 AF-TOKEN-GIVE requesthndication, TP-TOKEN-GIVE-RI APDU . 42
9.3.1 6 AF-TOKEN-PLEASE request/ indication, TP-TOKEN-PLEASE-RI APDU . 43
9.4 Procedures . 43
iii
9.4.1 AF-BEGIN-DIALOGUE request . 43
9.4.2 TP-BEGIN-DIALOGUE-RI TP APDU . 43
9.4.3 AF-BEGIN-DIALOGUE response . 44
9.4.4 TP-BEGIN-DIALOGUE-RC TP APDU . 44
9.4.5 AF-BID request . 44
9.4.6 TP-BID-RI TP APDU . 44
9.4.7 AF-BID response . 44
9.4.8 TP-BID-RC TP APDU . 44
9.4.9 AF-END-DIALOGUE request . 44
9.4.1 0 TP-END-DIALOGUE-RI TP APDU . 44
9.4.1 1 AF-END-DIALOGUE response . 44
9.4.12 TP-END-DIALOGUE-RC TP APDU . 44
9.4.13 AF-U-ERROR request . 44
9.4.1 4 TP-U-ERROR-RI TP APDU . 44
9.4.1 5 AF-U-ERROR response . 44
9.4.1 6 TP-U-ERROR-RC TP APDU . 45
9.4.1 7 AF-ABORT request . 45
9.4.18 TP-ABORT-RI TP APDU . 45
9.4.1 9 AF-GRANT-CONTROL request . 45
9.4.20 TP-GRANT-CONTROL-RI TP APDU . 45
9.4.21 AF-REQUEST-CONTROL request . 45
9.4.22 TP-REQUEST-CONTROL-RI TP APDU . 45
9.4.23 AF-HANDSHAKE request . 45
9.4.24 TP-HANDSHAKE-RI TP APDU . 45
9.4.25 AF-HANDSHAKE response . 45
9.4.26 TP-HANDSHAKE-RC TP APDU . 45
9.4.27 AF-HANDSHAKE-AND-GRANT-CONTROL request . 45
9.4.28 TP-HANDSHAKE-AND-GRANT-CONTROL-RI TP APDU . 45
9.4.29 AF-HANDSHAKE-AND-GRANT-CONTROL response . 46
9.4.30 TP-HANDSHAKE-AND-GRANT-CONTROL-RC TP APDU . 46
................................................................................................. 46
9.4.31 AF-DEFER request
9.4.32 TP-DEFER-RI TP APDU . 46
9.4.33 AF-PREPARE request . 46
9.4.34 C-PREPARE indication . 46
9.4.35 AF-HEURISTIC-REPORT request . 46
9.4.36 AF-ABORT-AND-HEURISTIC-REPORT request . 46
............................................................................................ 46
9.4.37 AF-RECOVER request
9.4.38 C-RECOVER indication . 46
9.4.39 A-ABORT indication . 46
9.4.40 C-ROLLBACK indication . 47
9.4.41 C-ROLLBACK confirm . 47
9.4.42 C-COMMIT indication . 47
9.4.43 C-COMMIT confirm . 47
9.4.44 C-RECOVER confirm . 48
9.4.45 P-TOKEN-GIVE (sync-minor) indication . 48
9.4.46 AF-TOKEN-GIVE request . 48
............................................................. 48
9.4.47 P-TOKEN-PLEASE (sync-minor) indication
9.4.48 AF-TOKEN-PLEASE request . 48
9.5 Mapping . 48
1 O SACF description . 49
10.1 Introduction . 49
10.2 SACF states . 50
10.3 Service definitions for SAF-DETACH-ASSOCIATION and SAF-ASSOCIATION-LOST . 51
10.3.1 SAF-DETACH-ASSOCIATION request . 51
10.3.2 SAF-ASSOCIATION-LOST indication . 52
10.4 Procedure for SAF-DETACH-ASSOCIATION request . 52
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10.5 Procedures for TP.ASE. CCR. ACSE. and Presentation Service Primitives . 53
10.5.1 AF-BEGIN-DIALOGUE request . 53
10.5.2 AF-BEGIN-DIALOGUE indication . 54
10.5.3 AF-BEGIN-DIALOGUE response . 55
10.5.4 AF-BEGIN-DIALOGUE confirm . 56
0.5.5 AF-BID indication . 56
0.5.6 AF-BID confirm . 57
0.5.7 AF-END-DIALOGUE request . 57
0.5.8 AF-END-DIALOGUE indication . 58
0.5.9 AF-END-DIALOGUE confirm . 58
0.5.1 O AF-U-ERROR request . 58
0.5.1 1 AF-U-ERROR indication . 58
10.5.1 2 AF-U-ERROR confirm . 58
10.5.1 3 AF-ABORT request . 59
10.5.1 4 AF-ABORT (provider, abortRI) indication . 59
10.5.1 5 AF-ABORT (user, dataRI) indication . 59
10.5.1 6 A-ABORT request . 59
10.5.1 7 A-RELEASE (Result=affirmative) response . 60
10.5.1 8 A-[P-]ABORT indication or A-RELEASE (Result=affirmative) confirm . 60
10.5.1 9 AF-GRANT-CONTROL request . 60
10.5.20 AF-GRANT-CONTROL indication . 60
10.5.21 AF-REQUEST-CONTROL request . 60
10.5.22 AF-REQUEST-CONTROL indication . 60
10.5.23 AF-HANDSHAKE request . 61
10.5.24 AF-HANDSHAKE indication . 61
10.5.25 AF-HANDSHAKE confirm . 61
10.5.26 AF-HANDSHAKE-AND-GRANT-CONTROL request . 61
10.5.27 AF-HANDSHAKE-AND-GRANT-CONTROL indication . 61
10.5.28 AF-HANDSHAKE-AND-GRANT-CONTROL confirm . 62
10.5.29 AF-DEFER request . 62
10.5.30 AF-DEFER indication . 62
10.5.31 AF-PREPARE request . 62
10.5.32 AF-PREPARE indication . 62
10.5.33 AF-HEURISTIC-REPORT (commitRC) indication, or AF-HEURISTIC-
................................................................... 62
REPORT (recoverDoneRC) indication
10.5.34 C-BEGIN request . 62
10.5.35 C-BEGIN indication . 63
10.5.36 C-BEGIN confirm . 63
10.5.37 C-READY indication . 64
10.5.38 C-COMMIT indication or C-COMMIT+C-BEGIN indication . 64
0.5.39 AF-ABORT (user, commitRl) indication or AF-ABORT (user, commitRC)
indication . 64
0.5.40 C-COMMIT confirm . 64
0.5.41 AF-ABORT-AND-HEURISTIC-REPORT (commitRC) indication . 64
0.5.42 C-ROLLBACK request . 64
0.5.43 C-ROLLBACK indication . 64
0.5.44 AF-ABORT-AND-HEURISTIC-REPORT request or AF-HEURISTIC-
REPORT request . 65
10.5.45 AF-ABORT (rollbackRI) indication, AF-ABORT-AND-HEURISTIC-REPORT
(rollbackRI) indication, or AF-H EU RI STIC-REPORT (rollbackRI) indication . 66
1 0.5.46 C-ROLLBACK confirm, AF-HEURISTIC-REPORT (rollbackRC) indication,
AF-ABORT (usedprovider, rollbackRC) indication or AF-ABORT-AND-
HEURISTIC-REPORT (rollbackRC) indication . 66
10.5.47 AF-RECOVER indication . 67
10.5.48 C-RECOVER request or AF-RECOVER request . 67
10.5.49 C-RECOVER indication . 67
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ISOIIEC 10026-3:1996(E) O ISOAEC
10.5.50 C-RECOVER confirm . 67
10.5.51 U-ASE request . 67
10.5.52 U-ASE indication . 67
10.5.53 AF-TOKEN-GIVE (regular) indication . 68
10.5.54 AF-TOKEN-GIVE (keep) indication . 69
10.5.55 AF-TOKEN-GIVE (two-way-recovery) request . 69
10.5.56 AF-TOKEN-GIVE (two-way-recovery) indication . 69
10.5.57 P-TOKEN-GIVE (sync-minor) indication . 70
10.5.58 AF-TOKEN-PLEASE request . 70
10.5.59 AF-TOKEN-PLEASE indication . 70
10.5.60 P-TOKEN-PLEASE indication . 71
10.5.61 Protocol error . 71
10.5.62 Other service primitives . 71
10.6 SACF internal events . 71
10.6.1 Unsolicited BID reject . 71
1 0.7 Concatenation . 72
10.7.1 Mapping precedence . 72
10.7.2 Concatenation rules . 72
10.8 Routeing . 74
11 MACF description . 74
1 1.1 Introduction . 74
11.2 CAF service definition . 74
1 1.2.1 CAF-PLEASE request . 74
11.2.2 CAF-GIVE indication . 75
11.2.3 CAF-FAIL indication . 76
1 1.2.4 CAF-DETACH request . 76
...................................................................................... 76
11.2.5 CAF-RECOVER indication
11.3 Main procedures . 77
1 1.3.1 TP-BEGIN-DIALOGUE request . 77
11.3.2 AF-BEGIN-DIALOGUE indication (TPPM and CPM) . 78
1 1.3.3 TP-BEGIN-DIALOGUE response . 79
11.3.4 AF-BEGIN-DIALOGUE (accepted) confirm on a Dialogue . 80
1 1.3.5 AF-BEGIN-DIALOGUE (rejected, dataRI) confirm on a Dialogue . 81
1 1.3.6 AF-BEGIN-DIALOGUE (rejected(user), rollbackRI) confirm . 82
11.3.7 AF-BEGIN-DIALOGUE (rejected(user), rollbackRC) confirm . 82
11.3.8 AF-BEGIN-DIALOGUE confirm (CPM) . 83
..................................................................... 83
1 1.3.9 SAF-ASSOCIATION-LOST indication
1 1.3.1 O SAF-ASSOCIATION-LOST indication (CPM) . 84
11.3.11 TP-END-DIALOGUE request . 84
11.3.12 AF-END-DIALOGUE indication . 85
11.3.13 AF-END-DIALOGUE indication (CPM) . 87
11.3.14 TP-END-DIALOGUE response . 87
11.3.15 AF-END-DIALOGUE confirm . 87
1 1 -3.1 6 TP-U-ERROR request . 87
1 1.3.1 7 AF-U-ERROR indication . 87
1 1.3.1 8 AF-U-ERROR confirm . 88
1 1.3.19 TP-U-ABORT request . 88
11.3.20 AF-ABORT (user, dataRI) indication . 90
1 1.3.21 Protocol error, internal error, A[-PI-ABORT indication, AF-ABORT (provider,
abortRl) indication, A-ABORT request, A-RELEASE (Result=affirmative)
response, or A-RELEASE (Result=affirmative) confirm on a dialogue . 91
1 1.3.22 Protocol error, internal error, A[-PI-ABORT indication, AF-ABORT (provider.
abortRI) indication, A-ABORT request, A-RELEASE (Result=affirmative)
response, or A-RELEASE (Result=affirmative) confirm on a channel . 93
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1 1.3.23 Protocol error. internal error. A[-Pl-ABORT indication. AF-ABORT (provider.
abortRI) indication. A-RELEASE (Result=affirmative) response. or A-
RELEASE (Result=affirmative) confirm (CPM) . 94
11.3.24 TP-GRANT-CONTROL request . 94
1 1.3.25 AF-GRANT-CONTROL indication . 94
11.3.26 TP-REQUEST-CONTROL request . 94
1 1.3.27 AF-REQUEST-CONTROL indication . 95
1 1.3.28 TP-HANDSHAKE request . 95
11.3.29 AF-HANDSHAKE indication . 95
TP-HANDSHAKE response . 96
11.3.30
11.3.31 AF-HANDSHAKE confirm . 96
1 1.3.32 TP-HANDSHAKE-AND-GRANT-CONTROL request . 96
1 1.3.33 AF-HANDSHAKE-AND-GRANT-CONTROL indication . 96
1 1.3.34 TP-HANDSHAKE-AND-GRANT-CONTROL response . 96
1 1.3.35 AF-HANDSHAKE-AND-GRANT-CONTROL confirm . 97
1 1.3.36 TP-BEGIN-TRANSACTION request . 97
11.3.37 C-BEGIN indication . 97
11.3.38 C-BEGIN confirm . 98
1 1.3.39 TP-DATA request . 98
11.3.40 U-ASE indication . 99
11.3.41 TP-DEFERRED-END-DIALOGUE request . 99
1 1.3.42 TP-DEFERRED-GRANT-CONTROL request . 99
11.3.43 AF-DEFER indication . 99
1 1.3.44 TP-PREPARE request . 100
11.3.45 TP-COMMIT request . 100
11.3.46 AF-PREPARE indication . 101
11.3.47 C-READY indication . 101
1 1.3.48 C-COMMIT indication or C-COMMIT+C-BEGIN indication . 101
1 1.3.49 AF-ABORT (user. commitRI) indication . 102
1 1.3.50 TP-DONE request . 102
11.3.51 C-COMMIT confirm or AF-HEURISTIC-REPORT (commitRC) indication . 103
1 1.3.52 AF-ABORT (user. commitRC) indication or AF-ABORT-AND-HEURISTIC-
REPORT (commitRC) indication . 104
1 1.3.53 TP-ROLLBACK request . 104
1 1.3.54 C-ROLLBACK indication or AF-HEURISTIC-REPORT (rollbackR1) indication . 104
1 1.3.55 AF-ABORT (user/provider. rollbackRI) indication or AF-ABORT-AND-
HEURISTIC-REPORT (rollbackRI) indication . 105
1 1.3.56 C-ROLLBACK confirm or AF-HEURISTIC-REPORT (rollbackRC) indication . 107
1 1.3.57 AF-ABORT (user/provider. rollbackRC) indication or AF-ABORT-AND-
HEURISTIC-REPORT (rollbackRC) indication . 108
11.3.58 CAF-RECOVER (ready) indication . 109
11.3.59 C-RECOVER (ready) indication or AF-RECOVER (ready) indication (CPM) . 111
11.3.60 CAF-RECOVER (commit) indication . 111
11.3.61 C-RECOVER (commit) indication . 113
1 1.3.62 C-RECOVER (commit) indication or AF-RECOVER (commit) indication
(CPM) . 113
1 1.3.63 C-RECOVER (done) confirm or AF-HEURISTIC-REPORT
(recoverDoneRC) indication . 114
11.3.64 C-RECOVER (unknown) confirm . 114
11.3.65 C-RECOVER (unknown) confirm (CPM) . 114
11.3.66 C-RECOVER (retry-later) confirm . 114
11.3.67 C-RECOVER (retry-later) confirm (CPM) . 114
11.3.68 AF-TOKEN-GIVE (two-way-recovery) indication on a channel (TPPM) . 115
1 1.3.69 AF-TOKEN-GIVE (two-way-recovery) indication (CPM) . 115
11.3.70 AF-TOKEN-PLEASE indication on a channel (TPPM) . 115
11.3.71 AF-TOKEN-PLEASE indication (CPM) . 115

O ISO/IEC
ISOllEC 10026-3:1996(E)
11.3.72 CAF-PLEASE request ICPM) . 115
11.3.73 CAF-GIVE indication . 116
11.3.74 CAF-FAIL indication . 117
11.3.75 CAF-DETACH request (CPM) . 117
1 1.4 Internal event procedures . 117
11.4.1 Delay recovery . 117
1 1.4.2 Heuristic damage compensation for subtree . 117
11.4.3 Restart after node crash (CPM) . 118
1 1.4.4 Retry recovery . 118
1 1.4.5 Taking a heuristic decision . 118
11.4.6 Terminating a channel (CPM) . 119
11.4.7 TPPM creation after node crash . 119
11.4.8 TPPM-initiated rollback . 119
1 1.5 Common Procedures . 119
1 1.5.1 Completing commitment . 119
11.5.2 Entering READY state . 122
11.5.3 Fail an outstanding CAF-PLEASE request . 123
1 1.5.4 First request/response . 123
11 3.5 Initiating a transaction branch . 124
11 5.6 Initiating rollback at TPPM . 124
11 5.7 Initiating transaction after rollback . 126
11.5.8 Making commitment decision . 127
11 5.9 Receiving commit order . 128
11 5.10 Recording the heuristic condition . 128
11.5.1 1 Reporting rollback to superior . 129
11.5.12 Rollback next transaction . 131
1 1 5.1 3 Sending commit order . 132
12 Structure and encoding of TP APDUs . 133
12.1 Abstract syntax of the TP-ASE APDUs . 133
..
12.2 Rules of extensibility . 138
13 Conformance . 138
13.1 Static conformance requirements . 138
13.1.1 Conformance classes . 138
13.1.1.1 General requirements . 138
13.1.1.2 Application transaction branches class . 138
13.1.1.3 Chained provider-supported transaction branches class . 138
13.1.1.4 Unchained provider-supported transaction branches class . 139
13.1.2 Capabilities . 139
13.1.2.1 General capabilities . 139
13.1.2.2 Constraints . 140
13.1 -3 Functional units . 140
13.1.3.1 Definition . 140
13.1.3.2 Description of recovery functional unit . 140
13.1.3.3 Requirements on TP APDUs . 140
13.1.4 Dependencies on other standards . 142
13.2 Dynamic conformance requirements . 143
13.2.1 General requirements . 143
13.2.2 Specific requirements . 143
13.3 Protocol Implementation Conformance Statement .
...