SIST ISO 10161-1:2018

INTERNATIONAL ISO
STANDARD 10161-1
Third edition
2014-11-01
Information and documentation —
Open Systems Interconnection —
Interlibrary Loan Application Protocol
Specification —
Part 1:
Protocol specification
Information et documentation — Interconnexion de systèmes ouverts
(OSI) — Spécification du protocole d’application pour les prêts entre
bibliothèques —
Partie 1: Spécification du protocole
Reference number
ISO 10161-1:2014(E)
©
ISO 2014

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ISO 10161-1:2014(E)

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© ISO 2014
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ISO 10161-1:2014(E)

Contents Page
Foreword .iv
Introduction .v
1 Scope . 1
2 Normative references . 1
3  Terms and definitions . 2
3.1 Reference Model definitions. 2
3.2 Abstract Syntax Notation One definitions . 3
3.3 Presentation Service definitions . 3
3.4 Application Layer Structure Definitions . 3
3.5 Service convention definitions . 4
3.6 ILL definitions . 5
4 Abbreviations.19
5 Overview of the Protocol .19
5.1 Service provision .19
5.2 Supporting services assumed .20
5.3 Model .20
6 ILL APDUs .20
7 Transaction information .21
7.1 Transaction identification .22
7.2 Protocol states .23
7.3 Protocol variables .26
7.4 Expiry timer .26
7.5 Request information .26
7.6 History information .27
8 Elements of procedure .28
8.1 Events and actions .28
8.2 Procedural rules for all parties .33
8.3 Procedural rules for intermediaries .40
9 Abstract syntax .44
9.1 ASN.1 Specification of ILL APDUs .44
10 Conformance .60
10.1 Static conformance .60
10.2 Dynamic conformance .61
10.3 Protocol Implementation Conformance Statement Requirements .61
Annex A (normative) ILL state tables .62
Annex B (normative) Transfer syntax .90
Annex C (normative) Object Identifiers assigned in this part of ISO 10161 and
registration requirements .118
Annex D (normative) Registration procedures for ILL EXTERNAL data type definitions .119
Annex E (informative) Example of ILL external data type definition register entry .121
Annex F (informative) Use of supporting services .122
Annex G (informative) Invocation of external document delivery services .124
Bibliography .125
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ISO 10161-1:2014(E)

Foreword
ISO (the International Organization for Standardization) is a worldwide federation of national standards
bodies (ISO member bodies). The work of preparing International Standards is normally carried out
through ISO technical committees. Each member body interested in a subject for which a technical
committee has been established has the right to be represented on that committee. International
organizations, governmental and non-governmental, in liaison with ISO, also take part in the work.
ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of
electrotechnical standardization.
The procedures used to develop this document and those intended for its further maintenance are
described in the ISO/IEC Directives, Part 1. In particular the different approval criteria needed for the
different types of ISO documents should be noted. This document was drafted in accordance with the
editorial rules of the ISO/IEC Directives, Part 2 (see www.iso.org/directives).
Attention is drawn to the possibility that some of the elements of this document may be the subject of
patent rights. ISO shall not be held responsible for identifying any or all such patent rights. Details of
any patent rights identified during the development of the document will be in the Introduction and/or
on the ISO list of patent declarations received (see www.iso.org/patents).
Any trade name used in this document is information given for the convenience of users and does not
constitute an endorsement.
For an explanation on the meaning of ISO specific terms and expressions related to conformity
assessment, as well as information about ISO’s adherence to the WTO principles in the Technical Barriers
to Trade (TBT) see the following URL: Foreword - Supplementary information
The committee responsible for this document is ISO/TC 46, Information and documentation, Subcommittee
SC 4, Technical Interoperability.
This third edition cancels and replaces the second edition (ISO 10161-1:1997) of which it constitutes a
minor revision.
It also incorporates the Amendents ISO 10161-1:1997/Amd 1:2002 and ISO 10161-1:1997/Amd 2:2002.
ISO 10161 consists of the following parts, under the general title Information and documentation — Open
Systems Interconnection — Interlibrary Loan Application Protocol Specification:
— Part 1: Protocol specification
— Part 2: Protocol implementation conformance statement (PICS) proforma
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ISO 10161-1:2014(E)

Introduction
This part of ISO 10161 is one of a set of International Standards produced to facilitate the interconnection
of computer systems. It is related to other international standards in the set as defined by the Reference
Model for Open Systems Interconnection (ISO/IEC 7498). The Reference Model subdivides the area of
standardization for interconnection into a series of layers of specification, each of manageable size.
The aim of Open Systems Interconnection is to allow, with a minimum of technical agreement outside
the interconnection standards, the interconnection of computer systems
a) from different manufacturers,
b) under different managements,
c) of different levels of complexity, and
d) of different ages.
This part of ISO 10161 provides a protocol specification for Interlibrary Loan (ILL) communication. The
ILL Protocol operates in the Application Layer and allows the parties involved in an ILL-transaction to
progress through the ILL-transaction in an orderly and defined way.
The ILL Protocol has been designed to support the ILL services defined in ISO 10160, the ILL Application
Service Definition, which generally requires invocation of external delivery services to fulfill an ILL
request. The ILL Protocol carries information that permits both automatic and operator-mediated
invocation of external delivery services.
This part of ISO 10161 is one of a number of related standards supporting the interconnection of library
systems. These standards can be used by themselves or in a cooperative manner to support library
applications requiring a mixture of communications services. For example, ISO 23950, which supports
remote access to bibliographic databases, could be used in conjunction with the ILL Protocol to obtain
item identification information. The control and management of interactions among such bibliographic
applications are local matters that are outside the scope of this International Standard.
Security and accounting issues as they relate to ILL operations are for further study.
The specification technique used in this part of ISO 10161 is consistent with techniques used in defining
other OSI Protocols. Within most of this document, the technique is self-explanatory. The Abstract
Syntax of the ILL Application Protocol Data Units (APDUs) is defined by means of the ASN.1 specification
technique specified in ISO 8824.
This part of ISO 10161 contains seven annexes. Annexes A to D are normative. Annex A specifies the
state tables for the ILL Protocol. Annex B specifies the encoding rules for generating a transfer syntax
compatible with EDIFACT as defined in ISO 9735. Annex C specifies the object identifiers assigned
in this standard and registration requirements. Annex D defines the registration procedures for ILL
EXTERNAL data type definitions. Annex E is an example of an ILL EXTERNAL data type registry entry.
Annex F describes the possible mappings of this protocol onto supporting services. Annex G describes
possible methods of using a document delivery protocol in conjunction with the ILL Protocol.
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INTERNATIONAL STANDARD ISO 10161-1:2014(E)
Information and documentation — Open Systems
Interconnection — Interlibrary Loan Application Protocol
Specification —
Part 1:
Protocol specification
1 Scope
This part of ISO 10161 defines the protocol for an ILL application-service-element (ASE). It specifies
the behaviour which must be exhibited by a system in order to take part in the provision of the ISO
interlibrary loan service.
It provides a formal statement of the rules of behaviour of each of the two or more entities participating
in an ILL transaction. It specifies
a) the actions to be taken on receiving request service primitives issued by an ILL service-user,
b) the actions to be taken on receiving application-protocol-data-units (APDUs), and
c) the actions to be taken as a result of events within the local system.
It provides a specification (in Clause 9) of the abstract syntax required to convey the ILL Protocol APDUs.
It states the conformance requirements to be met by implementors of this protocol (in Clause 10).
The scope of the ILL Protocol is restricted to the interconnection of systems; it does not specify or
restrict the possible implementation of interfaces within a computer system. Computer systems can
range from stand-alone workstations to mainframes.
This part of ISO 10161 is intended for use by libraries, information utilities such as union catalogue
centres, and any other system which processes bibliographic information. These systems can participate
in an interlibrary loan transaction in the role of requester (i.e. an initiator of ILL requests), responder
(i.e. a provider of bibliographic material or information) and/or intermediary (i.e. an agent that acts on
behalf of a requester to find suitable responders).
Various interworking topologies are supported, ranging from simple two-party interactions, to multi-
party interactions.
2 Normative references
The following documents, in whole or in part, are normatively referenced in this document and are
indispensable for its application. For dated references, only the edition cited applies. For undated
references, the latest edition of the referenced document (including any amendments) applies.
1)
ISO 646 , Information processing — ISO 7-bit coded character set for information interchange
ISO 2108:2005, Information and documentation — International standard book number (ISBN)
ISO 3297:2007, Information and documentation — International standard serial number (ISSN)
1) ISO/IEC 646:1991 supersedes ISO 646:1983. However, when this part of ISO 10161 was under development,
the previous edition was valid and this part of ISO 10161 is therefore based on that edition.
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ISO 4217:2008, Codes for the representation of currencies and funds
ISO 8601, Data elements and interchange formats — Information interchange — Representation of dates
and times
ISO/IEC 8824-1:2008, Information technology — Open Systems Interconnection — Specification of Abstract
Syntax Notation One (ASN.1)
ISO/IEC 8825, Information technology — Open Systems Interconnection — Specification of Basic Encoding
Rules for Abstract Syntax Notation One (ASN.1)
ISO 9735, Electronic data interchange for administration, commerce and transport (EDIFACT) — Application
level syntax rules
ISO/IEC 9834-1:2012, Information technology — Procedures for the operation of object identifier
registration authorities: General procedures and top arcs of the international object identifier tree — Part 1
ISO/IEC 9834-2, Information technology — Open Systems Interconnection — Procedures for the operation
of OSI Registration Authorities — Part 2: Registration procedures for OSI document types
ISO 10160, Information and documentation — Open Systems Interconnection — Interlibrary Loan
Application Service Definition
3  Terms and definitions
For the purposes of this document, the following terms and definitions apply.
3.1  Reference Model definitions
NOTE This part of ISO 10161 is based on the concepts developed in ISO 7498 and makes use of the following
terms found in it. These terms are replicated here as a convenience to the reader.
3.1.1
application layer
seventh and highest layer in the Reference Model for Open Systems Interconnection (OSI), which serves
as the window between correspondent application-processes which are using the OSI to exchange
meaningful information
3.1.2
application-entity
aspects of an application-process pertinent to OSI
3.1.3
application-process
element within a real open system which performs the information processing for a particular application
3.1.4
application-protocol-data-unit
unit of data specified in an application-protocol and consisting of application-protocol-information and
possibly application-user-data
3.1.5
application-service-element
that part of an application-entity which provides an OSI environment capability, using underlying
services when appropriate
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3.1.6
(N)-service
capability of the (N)-layer and the layers beneath it, which is provided to (N+1)-entities at the boundary
between the (N)-layer and the (N+1)-layer
Note 1 to entry: An application-service does not provide a capability to higher layer entities, but rather to
application-processes.
3.1.7
presentation-service
capability of the Presentation Layer and the layers beneath it, which is provided to application-entities
at the boundary between the Presentation and the Application Layer
3.1.8
transfer syntax
concrete syntax used in the transfer of data between open systems
3.2  Abstract Syntax Notation One definitions
NOTE This part of ISO 10161 makes use of the following terms defined in ISO/IEC 8824.
3.2.1
data type
type
named set of values
3.2.2
simple type
type defined by directly specifying the set of its values
3.2.3
structured type
type defined by reference to one or more other types
3.2.4
component type
one of the types referenced when defining a structured type
3.2.5
value
distinguished member of a set of values
3.3  Presentation Service definitions
NOTE This part of ISO 10161 makes use of the following term defined in ISO 8822.
3.3.1
abstract syntax
those aspects of the rules used in the formal specification of data which are independent of the encoding
technique to represent the data
3.4  Application Layer Structure Definitions
NOTE This part of ISO 10161 makes use of the following terms defined in ISO/IEC 9545.
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3.4.1
application-association
cooperative relationship between two application-entity-invocations for the purpose of communication
of information and coordination of their joint operation
Note 1 to entry: This relationship is formed by the exchange of application-protocol-control-information using the
Presentation Service.
3.4.2
application-context
set of rules shared in common by two application-entity-invocations governing their behaviour in order
to enable their cooperative operation
Note 1 to entry: An application-context is a shared conceptual schema for the universe of discourse for
communication.
3.4.3
application-context-definition
description of an application-context
3.4.4
application-entity-invocation
specific utilization of part or all of the capabilities of a given application-entity in support of the
communications requirements of an application-process-invocation
3.4.5
application-process-invocation
specific utilization of part or all of the capabilities of a given application-process in support of a specific
occasion of information processing
3.5  Service convention definitions
3.5.1
indication primitive
representation of an interaction in which a service-provider either:
a) indicates that it has, on its own initiative, invoked some procedure; or
b) indicates that a procedure has been invoked by the service-user at the peer service-access-point.
3.5.2
non-confirmed service
distinct part of the total (N)-service which does not result in an explicit confirmation from the service-
provider to the initiating service-user
3.5.3
provider-initiated service
distinct part of the total (N)-service which is initiated by the service-provider rather than the service-
user
3.5.4
request primitive
representation of an interaction in which a service-user invokes some procedure
3.5.5
service primitive
abstract, implementation-independent representation of an interaction between service-user and the
service-provider
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3.5.6
service-provider
abstract of the totality of those entities which provide a service to peer service-users
3.5.7
service-user
entity in a single open system that makes use of a service
3.6  ILL definitions
NOTE For the purpose of this part of ISO 10161, the following definitions apply to the ASN.1 value reference
names and values which are associated with simple data types, as specified in Clause 9.
3.6.1
account-number
number of an account to which a credit or debit is made
Note 1 to entry: A requester typically has been assigned a separate account for each responder.
3.6.2
additional-no-letters
additional-numbers-letters
number or code identifying an item
3.6.3
already-forwarded
responder indication that an ILL request has already been forwarded
3.6.4
already-tried-list
list of institutions which have been approached but were unable to supply requested item
3.6.5
answer
code representing a yes or no response
3.6.6
at bindery
title is owned but the requested item is at the bindery
3.6.7
author
name of the person or corporate body responsible for the intellectual or artistic content of an item,
including composers, creators or originators of an item
3.6.8
author-of-article
author of an item which is a component part of another item
3.6.9
badly-structured-APDU
structure of a received APDU that does not conform to the standard notation and encoding defined in
ISO 8824 and ISO 8825, or to the EDIFACT encoding defined in ISO 9735 and Annex B of this part of
ISO 10161
EXAMPLE A received APDU does not match its stated length.
3.6.10
being-processed-for-supply
item is being retrieved, copied, and/or packaged for delivery
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3.6.11
call-number
notation assigned to an item indicating its physical location in the owner institution
3.6.12
can-send-CHECKED-IN
indication by the responder that it is capable of supplying the CHECKED-IN APDU
3.6.13
can-send-RECEIVED
indication by the requester that it is capable of supplying the RECEIVED APDU
3.6.14
can-send-RETURNED
indication by the requester that it is capable of supplying the RETURNED APDU
3.6.15
can-send-SHIPPED
indication by the responder that it is capable of supplying the SHIPPED APDU
3.6.16
cannot-send-onward
indication that intermediary is unable to send on a request due to communication problems
3.6.17
chargeable-units
number of units supplied for which there is a charge
3.6.18
charges
responder’s charges for the provision of the requested service
3.6.19
city
phrase used to identify a city, town, or village
3.6.20
client-identifier
number or code used to identify the client uniquely
3.6.21
client-name
name of the person or institution for which the item has been requested
3.6.22
client-signature-required
responder’s stipulation that the client must sign the signature sheet enclosed with the item
3.6.23
client-status
professional level or position of the client
3.6.24
conditions
code used to indicate the conditions under which an item may be borrowed
3.6.25
copyright-compliance
requester notation indicating the applicable copyright regulations or laws to which the requester is
adhering
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3.6.26
correlation-information
information that is used to correlate an error report with the service request to which the report relates
3.6.27
cost
amount asked, taken or billed by the responder for the service supplied
3.6.28
cost-estimate
estimate of the cost to provide the service requested
3.6.29
cost-exceeds-limit
responder indication that the minimum cost to supply the request is greater than the amount authorized
3.6.30
country
phrase used to identify a country
3.6.31
currency-code
code identifying the currency of an amount, according to ISO 4217
3.6.32
current-state
code identifying the state of the ILL-transaction
3.6.33
date-checked-in
date on which a loaned item is received back by the responder
3.6.34
date-due
date by which the loaned item should be returned to the responder
Note 1 to entry: This reflects the latest date-due.
3.6.35
date-for-reply
date by which a reply should be returned to the responder
3.6.36
date-of-last-transition
date on which the last state transition occurred
3.6.37
date-of-most-recent-service
date when the most recent service event occurred at the system providing the status report
Note 1 to entry: This is either a service invoked by the system providing the status report or a service reflected
in a received APDU.
3.6.38
date-of-service
date on which a service concerning an ILL-transaction is invoked
3.6.39
date-received
date when the item is received by the requester
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3.6.40
date-requested
date the ILL request was initiated by the requester
3.6.41
date-returned
date when the item was returned to the responder
3.6.42
date-shipped
date when the item was shipped to the requester
3.6.43
delivery-service
delivery service or method used in transporting a requested item
Note 1 to entry: Either physical or electronic delivery can be used.
3.6.44
desired-due-date
proposed due date for the renewed loan
3.6.45
duplicate-transaction-id
transaction-id value of an ILL-REQUEST APDU that is an illegal duplicate, i.e. the value is identical to one
for an existing ILL-REQUEST received from the same requester
3.6.46
edition
all the copies of an item produced from one master copy or substantially the same type image, having
the same contents, and, in the case of non-book materials, issued by a particular publishing agency or
group of such agencies
3.6.47
electronic delivery
delivery of an electronic representation of a document via a telecommun
...