Network Working Group I.

Friend
Request for Comments: 5024 ODETTE
Obsoletes: 2204 November 2007
Category: Informational

ODETTE File Transfer Protocol 2

Status of This Memo

This memo provides information for the Internet community. It does

not specify an Internet standard of any kind. Distribution of this
memo is unlimited.

IESG Note

This RFC is not a candidate for any level of Internet Standard. The
IETF disclaims any knowledge of the fitness of this RFC for any
purpose and in particular notes that the decision to publish is not
based on IETF review for such things as security, congestion control,
or inappropriate interaction with deployed protocols. The RFC Editor
has chosen to publish this document at its discretion. Readers of
this document should exercise caution in evaluating its value for
implementation and deployment. See RFC 3932 for more information.

Abstract

This memo updates the ODETTE File Transfer Protocol, an established

file transfer protocol facilitating electronic data interchange of
business data between trading partners, to version 2.

The protocol now supports secure and authenticated communication over

the Internet using Transport Layer Security, provides file
encryption, signing, and compression using Cryptographic Message
Syntax, and provides signed receipts for the acknowledgement of
received files.

The protocol supports both direct peer-to-peer communication and

indirect communication via a Value Added Network and may be used with
TCP/IP, X.25, and ISDN-based networks.

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RFC 5024 ODETTE FTP 2 November 2007

Table of Contents

1. Introduction ....................................................4
1.1. Background .................................................4
1.2. Summary of Features ........................................5
1.3. General Principles .........................................5
1.4. Structure ..................................................6
1.5. Virtual Files ..............................................6
1.6. Service Description ........................................9
1.7. Security ...................................................9
2. Network Service ................................................11
2.1. Introduction ..............................................11
2.2. Service Primitives ........................................11
2.3. Secure ODETTE-FTP Session .................................12
2.4. Port Assignment ...........................................12
3. File Transfer Service ..........................................13
3.1. Model .....................................................13
3.2. Session Setup .............................................14
3.3. File Transfer .............................................16
3.4. Session Take Down .........................................20
3.5. Service State Automata ....................................23
4. Protocol Specification .........................................28
4.1. Overview ..................................................28
4.2. Start Session Phase .......................................28
4.3. Start File Phase ..........................................30
4.4. Data Transfer Phase .......................................34
4.5. End File Phase ............................................35
4.6. End Session Phase .........................................36
4.7. Problem Handling ..........................................36
5. Commands and Formats ...........................................37
5.1. Conventions ...............................................37
5.2. Commands ..................................................37
5.3. Command Formats ...........................................37
5.4. Identification Code .......................................68
6. File Services ..................................................69
6.1. Overview ..................................................69
6.2. File Signing ..............................................69
6.3. File Encryption ...........................................70
6.4. File Compression ..........................................70
6.5. V Format Files - Record Lengths ...........................70
7. ODETTE-FTP Data Exchange Buffer ................................71
7.1. Overview ..................................................71
7.2. Data Exchange Buffer Format ...............................71
7.3. Buffer Filling Rules ......................................72
8. Stream Transmission Buffer .....................................73
8.1. Introduction ..............................................73
8.2. Stream Transmission Header Format .........................73

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9. Protocol State Machine .........................................74

9.1. ODETTE-FTP State Machine ..................................74
9.2. Error Handling ............................................75
9.3. States ....................................................76
9.4. Input Events ..............................................79
9.5. Output Events .............................................79
9.6. Local Variables ...........................................80
9.7. Local Constants ...........................................81
9.8. Session Connection State Table ............................82
9.9. Error and Abort State Table ...............................85
9.10. Speaker State Table 1 ....................................86
9.11. Speaker State Table 2 ....................................91
9.12. Listener State Table .....................................93
9.13. Example ..................................................96
10. Miscellaneous .................................................97
10.1. Algorithm Choice .........................................97
10.2. Cryptographic Algorithms .................................97
10.3. Protocol Extensions ......................................97
10.4. Certificate Services .....................................98
11. Security Considerations .......................................98
Appendix A. Virtual File Mapping Example .........................100
Appendix B. ISO 646 Character Subset .............................103
Appendix C. X.25 Specific Information ............................104
C.1. X.25 Addressing Restrictions .............................104
C.2. Special Logic ............................................105
C.3. PAD Parameter Profile ....................................116
Appendix D. OFTP X.25 Over ISDN Recommendation ...................118
D.1. ODETTE ISDN Recommendation ...............................119
D.2. Introduction to ISDN .....................................120
D.3. Equipment Types ..........................................123
D.4. Implementation ...........................................124
Acknowledgements .................................................132
Normative References .............................................132
Informative References ...........................................133
ODETTE Address ...................................................134

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1. Introduction

1.1. Background

The ODETTE File Transfer Protocol (ODETTE-FTP) was defined in 1986 by

working group four of the Organisation for Data Exchange by Tele
Transmission in Europe (ODETTE) to address the electronic data
interchange (EDI) requirements of the European automotive industry.

ODETTE-FTP allows business applications to exchange files on a peer-

to-peer basis in a standardised, purely automatic manner and provides
a defined acknowledgement process on successful receipt of a file.

ODETTE-FTP is not to be confused as a variant of, or similar to, the

Internet FTP [FTP], which provides an interactive means for
individuals to share files and which does not have any sort of
acknowledgement process. By virtue of its interactive nature, lack
of file acknowledgements, and client/server design, FTP does not
easily lend itself to mission-critical environments for the exchange
of business data.

Over the last ten years, ODETTE-FTP has been widely deployed on
systems of all sizes from personal computers to large mainframes
while the Internet has emerged as the dominant international network,
providing high-speed communication at low cost. To match the demand
for EDI over the Internet, ODETTE has decided to extend the scope of
its file transfer protocol to incorporate security functions and
advanced compression techniques to ensure that it remains at the
forefront of information exchange technology.

The protocol now supports secure and authenticated communication over

the Internet using Transport Layer Security, provides file
encryption, signing, and compression using Cryptographic Message
Syntax, and provides signed receipts for the acknowledgement of
received files.

The protocol supports both direct peer-to-peer communication and

indirect communication via a Value Added Network and may be used with
TCP/IP, X.25 and ISDN based networks.

ODETTE-FTP has been defined by the ODETTE Security Working Group

which consists of a number of ODETTE member organisations. All
members have significant operational experience working with and
developing OFTP and EDI solutions.

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1.2. Summary of Features

This memo is a development of version 1.4 of ODETTE-FTP [OFTP] with

these changes/additions:

Session level encryption

File level encryption
Secure authentication
File compression
Signed End to End Response (EERP)
Signed Negative End Response (NERP)
Maximum permitted file size increased to 9 PB (petabytes)
Virtual file description added
Extended error codes

Version 1.4 of ODETTE-FTP included these changes and additions to

version 1.3:

Negative End Response (NERP)

Extended Date and Time stamp
New reason code 14 (File direction refused)

1.3. General Principles

The aim of ODETTE-FTP is to facilitate the transmission of a file

between one or more locations in a way that is independent of the
data communication network, system hardware, and software
environment.

In designing and specifying the protocol, the following factors were

considered.

1. The possible differences of size and sophistication of file

storage and small and large systems.

2. The necessity to work with existing systems (reduce changes to

existing products and allow easy implementation).

3. Systems of different ages.

4. Systems of different manufactures.

5. The potential for growth in sophistication (limit impact and avoid

changes at other locations).

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1.4. Structure

ODETTE-FTP is modelled on the OSI reference model. It is designed to

use the Network Service provided by level 3 of the model and provide
a File Service to the users. Thus, the protocol spans levels 4 to 7
of the model.

The description of ODETTE-FTP contained in this memo is closely

related to the original ’X.25’ specification of the protocol and in
the spirit of the OSI model describes:

1. A File Service provided to a User Monitor.

2. A protocol for the exchange of information between peer

ODETTE-FTP entities.

1.5. Virtual Files

Information is always exchanged between ODETTE-FTP entities in a

standard representation called a Virtual File. This allows data
transfer without regard for the nature of the communicating systems.

The mapping of a file between a local and virtual representation will

vary from system to system and is not defined here.

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o---------o
Site | Local |
A | File A |
o---------o
|
o----------------------- Mapping A ------------------------o
| | |
| o---------o |
| | Virtual | |
| | File | |
| o---------o |
| o------------------------------------------------o |
| | | |
| | ODETTE-FTP | |
| | | |
| o------------------------------------------------o |
| o---------o o---------o |
| | Virtual | | Virtual | |
| | File | | File | |
| o---------o o----+----o |
| | | |
o------ Mapping B ------------------------ Mapping C ------o
| |
o---------o o----+----o
| Local | Site Site | Local |
| File B | B C | File C |
o---------o o---------o

A Virtual File is described by a set of attributes identifying and

defining the data to be transferred. The main attributes are
detailed in Sections 1.5.1 to 1.5.4.

1.5.1. Organisation

Sequential

Logical records are presented one after another. ODETTE-FTP must

be aware of the record boundaries.

1.5.2. Identification

Dataset Name

Dataset name of the Virtual File being transferred, assigned by

bilateral agreement.

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Time stamp (HHMMSScccc)

A file qualifier indicating the time the Virtual File was made
available for transmission. The counter (cccc=0001-9999) gives
higher resolution.

Date stamp (CCYYMMDD)

A file qualifier indicating the date the Virtual File was made
available for transmission.

The Dataset Name, Date, and Time attributes are assigned by the
Virtual File’s originator and are used to uniquely identify a file.
They are all mandatory and must not be changed by intermediate
locations.

The User Monitor may use the Virtual File Date and Time attributes in
local processes involving date comparisons and calculations. Any
such use falls outside the scope of this protocol.

1.5.3. Record Format

Four record formats are defined:

Fixed (F)

Each record in the file has the same length.

Variable (V)

The records in the file can have different lengths.

Unstructured (U)

The file contains a stream of data. No structure is defined.

Text File (T)

A Text File is defined as a sequence of ASCII characters,

containing no control characters except CR-LF that delimit
lines. A line will not have more than 2048 characters.

1.5.4. Restart

ODETTE-FTP can negotiate the restart of an interrupted Virtual File

transmission. Fixed and Variable format files are restarted on
record boundaries. For Unstructured and Text files, the restart
position is expressed as a file offset in 1K (1024 octet) blocks.

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The restart position is always calculated relative to the start of

the Virtual File.

1.6. Service Description

ODETTE-FTP provides a file transfer service to a User Monitor and in

turn uses the Internet transport layer stream service to communicate
between peers.

These services are specified in this memo using service primitives

grouped into four classes as follows:

Request (RQ) An entity asks the service to do some work.

Indication (IND) A service informs an entity of an event.
Response (RS) An entity responds to an event.
Confirm (CF) A service informs an entity of the response.

Services may be confirmed, using the request, indication, response,

and confirm primitives, or unconfirmed using just the request and
indication primitives.

1.7. Security

ODETTE-FTP provides a number of security services to protect a

Virtual File transmission across a hostile network.

These security services are as follows:

Confidentiality
Integrity
Non-repudiation of receipt
Non-repudiation of origin
Secure authentication

Security services in this specification are implemented as follows:

Session level encryption

File level encryption
Signed files
Signed receipts
Session level authentication
ODETTE-FTP Authentication

Session level encryption provides data confidentiality by encryption

of all the protocol commands and data exchanged between two parties,
preventing a third party from extracting any useful information from
the transmission.

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This session level encryption is achieved by layering ODETTE-FTP over

Transport Layer Security [TLS], distinguishing between secure and
unsecure TCP/IP traffic using different port numbers.

File encryption provides complementary data confidentiality by

encryption of the files in their entirety. Generally, this
encryption occurs prior to transmission, but it is also possible to
encrypt and send files while in session. File encryption has the
additional benefit of allowing a file to remain encrypted outside of
the communications session in which it was sent. The file can be
received and forwarded by multiple intermediaries, yet only the final
destination will be able to decrypt the file. File encryption does
not encrypt the actual protocol commands, so trading partner EDI
codes and Virtual File names are still viewable.

Secure authentication is implemented through the session level

authentication features available in [TLS] and proves the identity of
the parties wishing to communicate.

ODETTE-FTP Authentication also provides an authentication mechanism,

but one that is integral to ODETTE-FTP and is available on all
network infrastructures over which ODETTE-FTP is operated (this is in
contrast to [TLS] which is generally only available over TCP/IP-based
networks). Both parties are required to possess certificates when
ODETTE-FTP Authentication is used.

The security features in ODETTE-FTP 2 are centred around the use of

[X.509] certificates. To take advantage of the complete range of
security services offered in both directions, each party is required
to possess an [X.509] certificate. If the confidentiality of data
between two parties is the only concern, then [TLS] alone can be
used, which allows the party accepting an incoming connection (the
Responder) to be the only partner required to possess a certificate.

For businesses, this means that session level encryption between a

hub and its trading partners can be achieved without requiring all
the trading partners to obtain a certificate, assuming that trading
partners always connect to the hub.

With the exception of [TLS], all the security services work with X.25
and ISDN as transport media. Although nothing technically precludes
[TLS] from working with X.25 or ISDN, implementations are rare.

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2. Network Service

2.1. Introduction

ODETTE-FTP peer entities communicate with each other via the OSI
Network Service or the Transmission Control Protocol Transport
Service [RFC793]. This is described by service primitives
representing request, indication, response, and confirmation actions.

For the Internet environment, the service primitives mentioned below

for the Network Service have to be mapped to the respective Transport
Service primitives. This section describes the Network Service
primitives used by ODETTE-FTP and their relationship to the TCP
interface. In practice, the local transport service application
programming interface will be used to access the TCP service.

2.2. Service Primitives

All network primitives can be directly mapped to the respective

Transport primitives when using TCP.

2.2.1. Network Connection

N_CON_RQ ------> N_CON_IND

N_CON_CF <------ N_CON_RS

This describes the setup of a connection. The requesting ODETTE-FTP

peer uses the N_CON_RQ primitive to request an active OPEN of a
connection to a peer ODETTE-FTP, the Responder, which has previously
requested a passive OPEN. The Responder is notified of the incoming
connection via N_CON_IND and accepts it with N_CON_RS. The requester
is notified of the completion of its OPEN request upon receipt of
N_CON_CF.

Parameters

Request Indication Response Confirmation

---------------------------------------------------------------------
Dest addr ------> same same same

2.2.2. Network Data

N_DATA_RQ ------> N_DATA_IND

Data exchange is an unconfirmed service. The requester passes data

for transmission to the Network Service via the N_DATA_RQ primitive.
The Responder is notified of the availability of data via N_DATA_IND.

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In practice, the notification and receipt of data may be combined,

such as by the return from a blocking read from the network socket.

Parameters

Request Indication
---------------------------------------------------------------------
Data ------------------> same

2.2.3. Network Disconnection

N_DISC_RQ ------> N_DISC_IND

An ODETTE-FTP requests the termination of a connection with the

N_DISC_RQ service primitive. Its peer is notified of the CLOSE by a
N_DISC_IND event. It is recognised that each peer must issue a
N_DISC_RQ primitive to complete the TCP symmetric close procedure.

2.2.4. Network Reset

------> N_RST_IND

An ODETTE-FTP entity is notified of a network error by a N_RST_IND

event. It should be noted that N_RST_IND would also be generated by
a peer RESETTING the connection, but this is ignored here as N_RST_RQ
is never sent to the Network Service by ODETTE-FTP.

2.3. Secure ODETTE-FTP Session

[TLS] provides a mechanism for securing an ODETTE-FTP session over

the Internet or a TCP network. ODETTE-FTP is layered over [TLS],
distinguishing between secure and unsecure traffic by using different
server ports.

The implementation is very simple. Layer ODETTE-FTP over [TLS] in

the same way as layering ODETTE-FTP over TCP/IP. [TLS] provides both
session encryption and authentication, both of which may be used by
the connecting parties. A party acts as a [TLS] server when
receiving calls and acts as a [TLS] client when making calls. When
the [TLS] handshake has completed, the responding ODETTE-FTP may
start the ODETTE-FTP session by sending the Ready Message.

2.4. Port Assignment

An ODETTE-FTP requester will select a suitable local port.

The responding ODETTE-FTP will listen for connections on Registered

Port 3305; the service name is ’odette-ftp’.

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The responding ODETTE-FTP will listen for secure TLS connections on

Registered Port 6619; the service name is ’odette-ftps’.

3. File Transfer Service

The File Transfer Service describes the services offered by an

ODETTE-FTP entity to its User Monitor (generally an application).

NOTE: The implementation of the service primitives is an application

issue.

3.1. Model

o-------------------o o-------------------o
| | | |
| USER MONITOR | | USER MONITOR |
| | | |
o-------------------o o-------------------o
| A | A
| | | |
F_XXX_RQ/RS | | F_XXX_IND/CF F_XXX_RQ/RS | | F_XXX_IND/CF
V | V |
o-------------------o o-------------------o
| |- - - - - - >| |
| ODETTE-FTP Entity | E-Buffer | ODETTE-FTP Entity |
| |< - - - - - -| |
o-------------------o o-------------------o
| A | A
N_XXX_RQ/RS | | N_XXX_IND/CF N_XXX_RQ/RS | | N_XXX_IND/CF
| | | |
V | V |
o---------------------------------------------------------o
| |
| N E T W O R K |
| |
o---------------------------------------------------------o

Key: E-Buffer - Exchange Buffer

F_ - File Transfer Service Primitive
N_ - Network Service Primitive

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3.2. Session Setup

3.2.1. Session Connection Service

These diagrams represent the interactions between two communicating

ODETTE-FTP entities and their respective User Agents.

The vertical lines represent the ODETTE-FTP entities. The User

Agents are not shown.

| |
F_CONNECT_RQ ---->|------------|----> F_CONNECT_IND
| |
F_CONNECT_CF <----|------------|<---- F_CONNECT_RS
| |

Parameters

Request Indication Response Confirm

---------------------------------------------------------------------
called-address -> same --- ----
calling-address-> same --- ----
ID1 ------------> same ID2 ------------> same
PSW1------------> same PSW2 -----------> same
mode1 ----------> mode2 ----------> mode3 ----------> same
restart1 -------> same -----------> restart2 -------> same
authentication1-> same -----------> authentication2-> same
---------------------------------------------------------------------

Mode

Specifies the file transfer capabilities of the entity sending or

receiving a F_CONNECT primitive for the duration of the session.

Value:
Sender-only The entity can only send files.
Receiver-only The entity can only receive files.
Both The entity can both send and receive files.

Negotiation:
Sender-only Not negotiable.
Receiver-only Not negotiable.
Both Can be negotiated down to Sender-only or
Receiver-only by the User Monitor or the
ODETTE-FTP entity.

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Request Indication Response Confirm

---------------------------------------------------------------------
Sender-only ----> Receiver-only --> Receiver-only --> Sender-only

Receiver-only --> Sender-only ----> Sender-only ----> Receiver-only

Both -----+-----> Both ----+------> Both -----------> Both

| or +------> Receiver-only --> Sender-only
| or +------> Sender-only ----> Receiver-only
|
or +-----> Receiver-only --> Receiver-only --> Sender-only
or +-----> Sender-only ----> Sender-only ----> Receiver-only
---------------------------------------------------------------------

Restart

Specifies the file transfer restart capabilities of the User

Monitor.

Value:
Y The entity can restart file transfers.
N The entity cannot restart file transfers.

Negotiation:

Request Indication Response Confirm

---------------------------------------------------------------------
restart = Y ----> restart = Y --+-> restart = Y ----> restart = Y
or +-> restart = N ----> restart = N

restart = N ----> restart = N ----> restart = N ----> restart = N

---------------------------------------------------------------------

Authentication

Specifies the authentication requirement of the User Monitor.

Value:
Y Authentication required.
N Authentication not required.

Negotiation: Not negotiable.

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Request Indication Response Confirm

---------------------------------------------------------------------
auth = Y ----> auth = Y ----> auth = Y ----> auth = Y

auth = N ----> auth = N ----> auth = N ----> auth = N

---------------------------------------------------------------------

3.3. File Transfer

3.3.1. File Opening

| |
F_START_FILE_RQ ---->|------------|----> F_START_FILE_IND
| |
F_START_FILE_CF(+|-) <----|------------|<---- F_START_FILE_RS(+|-)
| |

Parameters

Request Ind. RS(+) CF(+) RS(-) CF(-)

------------------------------------------------------------------
filename-------> same ---- ---- ---- ----
date-time------> same ---- ---- ---- ----
destination----> same ---- ---- ---- ----
originator-----> same ---- ---- ---- ----
rec-format-----> same ---- ---- ---- ----
rec-size ------> same ---- ---- ---- ----
file-size------> same ---- ---- ---- ----
org-file-size--> same ---- ---- ---- ----
signed-eerp----> same ---- ---- ---- ----
cipher---------> same ---- ---- ---- ----
sec-services---> same ---- ---- ---- ----
compression----> same ---- ---- ---- ----
envelope-format> same ---- ---- ---- ----
description----> same ---- ---- ---- ----
restart-pos1---> same-> restart-pos2-> same ---- ----
---- ---- ---- ---- cause ------> same
---- ---- ---- ---- retry-later-> same
------------------------------------------------------------------

Notes:

1. Retry-later has values "Y" or "N".

2. Cause is the reason for refusing the transfer (1,..,13,99).
3. Restart-pos1 not equal 0 is only valid if restart has been
agreed during initial negotiation.
4. Restart-pos2 is less than or equal to restart-pos1.

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3.3.2. Data Regime

| |
F_DATA_RQ ---->|------------|----> F_DATA_IND
| |
F_DATA_CF <----|(---CDT----)|
| |

Note: Unlike other commands, where the F_XXX_CF signal is a result of

a corresponding F_XXX_RS command, in this case, the local entity
layer issues this signal when it is ready for the next data
request. This decision is based on the current credit count and
the reception of CDT (Set Credit) from the receiver.

3.3.3. File Closing

| |
F_CLOSE_FILE_RQ --->|------------|----> F_CLOSE_FILE_IND
| |
F_CLOSE_FILE_CF(+|-) <---|------------|<---- F_CLOSE_FILE_RS(+|-)
| |

Parameters

Request Ind RS(+) CF(+) RS(-) CF(-)

---------------------------------------------------------------------
rec-count ---> same ---- ---- ---- ----
unit-count --> same ---- ---- ---- ----
---- ---- Speaker=Y ---> Speaker=N ---- ----
---- ---- Speaker=N ---> Speaker=Y ---- ----
---- ---- ---- ---- cause ---> same
---------------------------------------------------------------------

In a positive Close File response (F_CLOSE_FILE_RS(+)) the current

Listener may either:

1. Set Speaker to "Yes" and become the Speaker or

2. Set Speaker to "No" and remain the Listener.

The File Transfer service will ensure that the setting of the speaker
parameter is consistent with the capabilities of the peer user.

The turn is never exchanged in the case of a negative response or

confirmation.

Only the Speaker is allowed to issue F_XXX_FILE_RQ primitives.

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3.3.4. Exchanging the Turn

3.3.4.1. Initial Turn (First Speaker)

The Initiator becomes the first Speaker at the end of the Session
Setup (F_CONNECT_CF received by Initiator and F_CONNECT_RS sent by
Responder).

3.3.4.2. Following Turns

Rules:

1. At each unsuccessful End of File, the turn is not exchanged.

2. At each successful End of File, the turn is exchanged if requested

by the Listener:

- The current Listener receives F_CLOSE_FILE_IND (Speaker =

choice).

- If the Listener answers F_CLOSE_FILE_RS(Speaker = YES), it

becomes the Speaker, the Speaker receives F_CLOSE_FILE_CF
(Speaker = NO) and becomes the Listener.

- If the Listener answers F_CLOSE_FILE_RS(Speaker = NO), it

remains as the Listener, and the Speaker receives
F_CLOSE_FILE_CF (Speaker = YES) and remains as the Speaker.

3. The Speaker can issue a Change Direction request (F_CD_RQ) to

become the Listener. The Listener receives a Change Direction
indication (F_CD_IND) and becomes the Speaker.

4. In order to prevent loops of F_CD_RQ/IND, the Speaker may not send

an F_CD_RQ after receiving an unsolicited F_CD_IND. If the
Listener receives a solicited F_CD_IND as a result of sending
EFPA(Speaker=Yes), it is acceptable to immediately relinquish the
right to speak by sending an F_CD_RQ.

3.3.5. End to End Response

This service is initiated by the current Speaker (if there is no file

transfer in progress) to send an End to End Response from the final
destination to the originator of a file.

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| |
F_EERP_RQ ---->|------------|----> F_EERP_IND
| |
F_RTR_CF <----|------------|<---- F_RTR_RS
| |

Parameters

Request Indication
------------------------------------
filename -----------> same
date ---------------> same
time ---------------> same
destination --------> same
originator ---------> same
hash ---------------> same
signature ----------> same
------------------------------------

Relationship with Turn:

- Only the Speaker may send an End to End Response request.

- Invoking the EERP service does not change the turn.

- If an F_CD_IND has been received just before F_EERP_RQ is issued,

this results in leaving the special condition created by the
reception of F_CD_IND; i.e., while it was possible to issue
F_RELEASE_RQ and not possible to issue F_CD_RQ just after the
reception of F_CD_IND, after having issued F_EERP_RQ the normal
Speaker status is entered again (F_CD_RQ valid, but F_RELEASE_RQ
not valid).

Notes:

1. The F_EERP_RQ (and also F_NERP_RQ) is confirmed with an F_RTR_CF

signal. The F_RTR_CF signal is common to both F_EERP_RQ and
F_NERP_RQ. There should be no ambiguity, since there can only be
one such request pending at any one time.

2. The signature is optional and is requested when sending the

F_START_FILE_RQ.

3. If it is not possible to sign the EERP, then an unsigned EERP

should still be sent.

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4. It is an application implementation issue to validate the contents

of the EERP and its signature and to decide what action to take on
receipt of an EERP that fails validation or is not signed when a
signed EERP was requested.

3.3.6. Negative End Response

This service is initiated by the current speaker (if there is no file

transfer in progress) to send a Negative End Response when a file
could not be transmitted to the next destination. It is sent only if
the problem is of a non-temporary kind.

This service may also be initiated by the final destination instead

of sending an End to End Response when a file could not be processed,
after having successfully received the file.

| |
F_NERP_RQ ---->|------------|----> F_NERP_IND
| |
F_RTR_CF <----|------------|----- F_RTR_RS
| |

Parameters

Request Indication
---------------------------------------------------
filename ----------------------> same
date --------------------------> same
time --------------------------> same
destination -------------------> same
originator --------------------> same
creator of negative response --> same
reason ------------------------> same
reason text -------------------> same
hash --------------------------> same
signature ---------------------> same
---------------------------------------------------

Relationship with Turn:

The same as for the End-To-End response (see Section 3.3.5).

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3.4. Session Take Down

3.4.1. Normal Close

| |
F_RELEASE_RQ ---->|------------|----> F_RELEASE_IND
| |

Parameters

Request Indication
---------------------------------------------------------------------
reason = normal -------> ----
---------------------------------------------------------------------

The Release service can only be initiated by the Speaker.

The Speaker can only issue a Release request (F_RELEASE_RQ) just

after receiving an unsolicited Change Direction indication
(F_CD_IND). This ensures that the other partner doesn’t want to send
any more files in this session.

Peer ODETTE-FTP entities action a normal session release by

specifying Reason = Normal in an End Session (ESID) command.

3.4.2. Abnormal Close

| |
F_RELEASE_RQ ---->|------------|----> F_ABORT_IND
| |

Parameters

Request Indication
---------------------------------------------------------------------
reason = error value --> same (or equivalent)
AO (Abort Origin) = (L)ocal or (D)istant
---------------------------------------------------------------------

Abnormal session release can be initiated by either the Speaker or

the Listener and also by the user or provider.

Abnormal session release can occur at any time within the session.

Peer ODETTE-FTP entities action an abnormal session release by

specifying Reason = Error-value in an End Session (ESID) command.

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The abnormal session release deals with the following types of error:

1. The service provider will initiate an abnormal release in the

following cases:

1. Protocol error.
2. Failure of the Start Session (SSID) negotiation.
3. Command not recognised.
4. Data Exchange Buffer size error.
5. Resources not available.
6. Other unspecified abort code (with Reason = unspecified).

2. The User Monitor will initiate an abnormal release in the

following cases:

1. Local site emergency close down.

2. Resources not available.
3. Other unspecified abort code (with Reason = unspecified).

Other error types may be handled by an abort of the connection.

3.4.3. Abort

| |
F_ABORT_RQ ---->|------------|----> F_ABORT_IND
| |
User-Initiated Abort

| |
F_ABORT_IND <----|------------|----> F_ABORT_IND
| |
Provider-Initiated Abort

Parameters

Request Indication
---------------------------------------------------------------------
-- R (Reason): specified or unspecified
-- AO (Abort Origin): (L)ocal or (D)istant
---------------------------------------------------------------------

The Abort service may be invoked by either entity at any time.

The service provider may initiate an abort in case of error

detection.

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3.4.4. Explanation of Session Take Down Services

User | OFTP | Network | OFTP | User

---------------|------|----------------------|------|---------------
| | | |

1. Normal Release

F_RELEASE_RQ | | ESID(R=normal) | | F_RELEASE_IND

*--------------|-> ==|======================|=> --|-------------->
(R=normal) | | | |

2. User-Initiated Abnormal Release

F_RELEASE_RQ | | ESID(R=error) | | F_ABORT_IND

*--------------|-> ==|======================|=> -|-------------->
(R=error value)| | | | (R=error,AO=D)

3. Provider-Initiated Abnormal Release

F_ABORT_IND | | ESID(R=error) | | F_ABORT_IND

<--------------|-* *=|======================|=> --|-------------->
| | | |

4. User-Initiated Connection Abort

F_ABORT_RQ | | N_DISC_RQ | | F_ABORT_IND

*--------------|-> --|--------->..----------|-> --|-------------->
| | N_DISC_IND | | (R=unsp.,AO=D)

5. Provider-Initiated Connection Abort

F_ABORT_IND | | N_DISC_RQ | | F_ABORT_IND

<--------------|-* *-|--------->..----------|-> --|-------------->
(R=error,AO=L) | | N_DISC_IND | | (R=unsp.,AO=D)

Key: * Origin of command flow

F_ ---> File Transfer Service primitive
N_ ---> Network Service primitive
===> ODETTE-FTP (OFTP) protocol message

3.5. Service State Automata

These state automata define the service as viewed by the User

Monitor. Events causing a state transition are shown in lower case
and the resulting action in upper case where appropriate.

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3.5.1. Idle State Diagram

o------------o
decision | | f_connect_ind
+-----------------| IDLE |-----------------+
| F_CONNECT_RQ | (0) | F_CONNECT_RS |
| o------------o |
V |
o-----------------o |
| | |
| I_WF_FCONNECTCF | |
| | |
o--------+--------o |
| |
| F_CONNECT_CF |
V V
o-----------------o o-----------------o
| | | |
| IDLE SPEAKER | | IDLE LISTENER |
| (1) | | (2) |
| See Speaker | | See Listener |
| State Diagram | | State Diagram |
| | | |
o-----------------o o-----------------o

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3.5.2. Speaker State Diagram

o-----------------o o-----------------o
| IDLE LISTENER | | IDLE |
| CD_RQ just sent | | see (0) |
| see (3), Listen | | Idle |
| State Diagram | | State Diagram |
o-----------------o o-----------------o
A A
| |
decision decision
F_CD_RQ F_RELEASE_RQ
| |
o================o decision o----------o decision o---------------o
| |---------->| WAIT FOR |<----------| |
| | F_EERP_RQ | | F_EERP_RQ | |
| IDLE | | EERP/ | | IDLE |
| SPEAKER | decision | NERP | decision | SPEAKER |
| (1) |---------->| CONFIRM. |<----------| (4) |
| | F_NERP_RQ | | F_NERP_RQ | |
| | | | | |
| | | | | CD_IND |
| | f_rtr_cf | | | just received |
| |<----------| | | |
| | o----------o | |
| | | |
| | | |
o================o o---------------o
A A | |
| | | decision and P2 decision and P2 |
| | +-----------------+ +---------------------+
| | F_START_FILE_RQ | | F_START_FILE_RQ
| | V V
| | o---------------o
| | f_file_start_cf(-) | |
| +----------------------| OPENING |
| | |
| o---------------o
| |
f_file_close_cf(-) or f_start_file_cf(+)
f_file_close_cf(+) and not P1 |
| V

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o---------------o o---------------o record to send o---------o

| | | |------------------>| |
| CLOSING | | DATA TRANSFER | F_DATA_RQ | NEXT |
| | | | | RECORD |
| | | | f_data_cf | |
| | | |<------------------| |
o---------------o o---------------o o---------o
| A |
| | end of file |
| +-------------------+
| F_CLOSE_FILE_RQ
| o-----------------o
| f_file_close_cf(+) and P1 | IDLE LISTENER |
+--------------------------------------------->| see (2), Listen |
| State Diagram |
Predicates: o-----------------o
P1: Positive confirmation and Speaker = YES
P2: Mode = Both or (Mode = Sender-only)

3.5.3 Listener State Diagram

o-----------------o o-----------------o
| IDLE SPEAKER | | IDLE |
| CD_IND just | | |
| received see(4) | | see (0) |
| Speaker State | | Idle |
| Diagram | | State Diagram |
o-----------------o o-----------------o
A A
| |
decision f_eerp_ind decision
F_CD_IND +--------------+ F_RELEASE_IND
| | F_RTR_RS | |
o=================o | o-----------------o
| |<-----------+ | |
| | | |
| | f_nerp_ind | |
| |------------+ | |
| | F_RTR_RS | | |
| | | | |
| |<-----------+ | |
| IDLE LISTENER | f_eerp_ind | IDLE LISTENER |
| (2) |<-----------------------------| (3) |
| | F_RTR_RS | CD_RQ |
| | | just sent |
| | f_nerp_ind | |
| |<-----------------------------| |

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| | F_RTR_RS | |
| | | |
| | f_start_file_ind | |
| | and not P1 | |
| |---------------------+ | |
o=================o F_START_FILE_RS(-) | o-----------------o
A A | A A | | |
| | | | +-----------------------+ | |
| | | | | |
| | | | f_start_file_ind and not P1 | |
| | | +--------------------------------------+ |
| | | F_START_FILE_RS(-) |
| | | |
| | | f_start_file_ind f_start_file_ind |
| | | and P1 and P1 |
| | +----------------------------+ +------------------+
| | F_START_FILE_RS(+) | | F_START_FILE_RS(+)
| | V V
| | o---------------o
| |f_close_file_ind and not P3 | |
| +----------------------------| |
| F_CLOSE_FILE_RS(+,N) | |
| | DATA |
| | TRANSFER |
| f_close_file_ind and not P2 | |-------------+
+------------------------------| | |
F_CLOSE_FILE_RS(-) | |<------------+
o---------------o F_DATA_IND
o---------------o |
| IDLESPEAKER | f_close_file_ind and P3 |
| see (1), Spkr |<--------------------------+
| State Diagram | F_CLOSE_FILE_RS(+,Y)
o---------------o

Predicates:
P1: Decision to send F_START_FILE_RS(+)
P2: Decision to send F_CLOSE_FILE_RS(+)
P3: Decision to become Speaker

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4. Protocol Specification

4.1. Overview

ODETTE-FTP is divided into five operating phases.

Start Session
Start File
Data Transfer
End File
End Session

After the End File phase, an ODETTE-FTP entity may enter a new Start
File phase or terminate the session via the End Session phase.

ODETTE-FTP peers communicate by sending and receiving messages in

Exchange Buffers via the Network Service. Each Exchange Buffer
contains one of the following commands.

SSRM Start Session Ready Message

SSID Start Session
SECD Security Change Direction
AUCH Authentication Challenge
AURP Authentication Response
SFID Start File
SFPA Start File Positive Answer
SFNA Start File Negative Answer
DATA Data
CDT Set Credit
EFID End File
EFPA End File Positive Answer
EFNA End File Negative Answer
ESID End Session
CD Change Direction
EERP End to End Response
NERP Negative End Response
RTR Ready To Receive

The remainder of this section describes the protocol flows. Section

five details the command formats.

4.2. Start Session Phase

The Start Session phase is entered immediately after the network

connection has been established.

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4.2.1. Entity Definition

The ODETTE-FTP entity that took the initiative to establish the

network connection becomes the Initiator. Its peer becomes the
Responder.

4.2.2. Protocol Sequence

The first message must be sent by the Responder.

1. Initiator <-------------SSRM -- Responder Ready Message

-- SSID ------------> Identification
<------------ SSID -- Identification

4.2.3. Secure Authentication

Having exchanged SSIDs, the Initiator may optionally begin an

authentication phase, in which each party proves its identity to the
other.

4.2.4. Protocol Sequence

The first authentication message must be sent by the Initiator.

1. Initiator -- SECD ------------> Responder Change Direction

<------------ AUCH -- Challenge
-- AURP ------------> Response
<------------ SECD -- Change Direction
-- AUCH ------------> Challenge
<------------ AURP -- Response

The Initiator sends a Security Change Direction (SECD) to which the

Responder replies with an Authentication Challenge (AUCH).

The Responder looks up the public certificate that is linked to the

purported identity of the Initiator (located in the SSID). If the
Responder is unable to locate a suitable certificate then
authentication fails. The Responder uses the public key contained in
the certificate to encrypt a random challenge, unique for each
session, for the Initiator. This encrypted challenge is sent as a
[CMS] envelope to the Initiator as part of the AUCH.

The Initiator decrypts the challenge using their private key and
sends the decrypted challenge back to the Responder in the
Authentication Response (AURP).

The Responder checks that the data received in the AURP matches the
random challenge that was sent to the Initiator.

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If the data matches, then the Initiator has authenticated

successfully and the Responder replies with a Security Change
Direction (SECD) beginning the complementary process of verifying the
Responder to the Initiator. If the data does not match, then the
Initiator fails authentication.

4.3. Start File Phase

4.3.1. Entity Definition

The Initiator from the Start Session phase is designated the Speaker
while the Responder becomes the Listener. The roles are reversed by
the Speaker sending a Change Direction command to the Listener.

4.3.2. Protocol Sequence

1. Speaker -- SFID ------------> Listener Start File

<------------ SFPA -- Answer YES

2. Speaker -- SFID ------------> Listener Start File

<------------ SFNA -- Answer NO
Go To 1

Note: The User Monitor should take steps to prevent a loop

situation occurring.

2. Speaker -- CD --------------> Listener Change Direction

Listener <------------ EERP -- Speaker End to End Response
-- RTR -------------> Ready to Receive
<------------ NERP -- Negative End Response
-- RTR -------------> Ready to Receive
<------------ SFID -- Start File

4.3.3. Restart Facilities

The Start File command includes a count allowing the restart of an

interrupted transmission to be negotiated. If restart facilities are
not available, the restart count must be set to zero. The sender
will start with the lowest record count + 1.

4.3.4. Broadcast Facilities

The destination in a Start File command can be specified as follows.

1. An explicitly defined destination.

2. A group destination that allows an intermediate location to

broadcast the Virtual File to multiple destinations.

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The Listener will send a negative answer to the Speaker when the
destination is not known.

4.3.5. Priority

The prioritisation of files for transmission is left to the local

implementation. To allow some flexibility, a change direction
mechanism is available in the End File phase.

4.3.6. End to End Response (EERP)

The End to End Response (EERP) command notifies the originator of a

Virtual File that the Virtual File has been successfully delivered to
its final destination. This allows the originator to perform house
keeping tasks such as deleting copies of the delivered data.

If the originator of the Virtual File requested a signed EERP in the

SFID, the EERP must be signed. Signing allows the originator of the
file to prove that the EERP was generated by the final destination.
If the final destination is unable to sign the EERP, it may send back
an unsigned EERP. It is an implementation issue to allow the
acceptance of an unsigned EERP if a signed EERP is requested.

A Response Command must be sent from the location performing the

final processing or distribution of the data to the originator. The
Response is mandatory and may be sent in the same or in any
subsequent session.

When an intermediate location broadcasts or distributes a Virtual

File, it must receive a Response command from all the locations to
which it forwarded the data before sending its own Response. This
ensures that the Response received by the Virtual File’s originator
accounts for all the destination locations. An intermediate location
therefore needs to track the status of files it processes over time.

The requesting of a signed EERP is incompatible with the use of

broadcast facilities because an EERP can be signed by only one
destination. If this scenario occurs, the intermediate broadcast
location may continue and ignore the request for a signed EERP or
send back a NERP.

Example: Point to Point

Location A sends file Ba to location B, which will send an EERP to

location A after it successfully receives the file.

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o----------o o-----------o
| Loc. A |----------- S1 ---------->| Loc. B |
| | | |
| [Ba] |<---------- R2 -----------| [Ba] |
+----------o o-----------o

Key: S - File Transfer

R - Response EERP
[Ba] - File for B from A

Example: Data distribution

Location A sends a Virtual File containing data for distribution

to locations B and C via clearing centres E1 and E2. Clearing
centre E1 must wait for a response from E2 (for file Ba) and
location C before it sends its response, R8, to location A.
Clearing centre E2 can only send response R7 to E1 when location B
acknowledges file Ba with response R6.

o---------o o---------o o---------o o---------o

| Loc. A |-- S1 ->| Loc. E1 |-- S2 ->| Loc. E2 |-- S5 ->| Loc. B |
| | | | | | | |
| [Ba,Ca] |<- R8 --| [Ba,Ca] |<- R7 --| [Ba] |<- R6 --| [Ba] |
o---------o o---------o o---------o o---------o
A |
| | o---------o
| +----- S3 ->| Loc. C |
| | |
+--------- R4 --| [Ca] |
o---------o

Example: Data collection

Locations A and B send files Ca and Cb to clearing centre E1,

which forwards both files to location C in a single Virtual File.
When it receives response R4 from C, clearing centre E1 sends
response R5 to location A and R6 to location B.

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o---------o o---------o o---------o

| Loc. A |-- S1 ->| Loc. E1 |-- S3 ->| Loc. C |
| | | | | |
| [Ca] |<- R5 --| [Ca,Cb] |<- R4 --| [Ca,Cb] |
o---------o o---------o o---------o
A |
o---------o | |
| Loc. B |-- S2 -----+ |
| | |
| [Cb] |<- R6 ---------+
o---------o

4.3.7. Negative End Response (NERP)

In addition to the EERP, which allows control over successful

transmission of a file, a Negative End Response signals that a file
could not be delivered to the final destination or that the final
destination could not process the received file.

It may be created by an intermediate node that could not transmit the

file any further because the next node refuses to accept the file.
The cause of the refusal has to be non-temporary, otherwise the
intermediate node has to try the transmission again.

It may also be created by the final node that is unable to process

the file because of non-recoverable syntax or semantic errors in the
file, or because of the failure of any other processing performed on
the file.

The NERP will be sent back to the originator of the file.

The parameters are equal to the ones of the EERP, but with additional
information about the creator of the NERP and the abort reason.
Where the NERP is created due to a failure to transmit, the abort
reason is taken from the refusal reason that was sent by the node
refusing the file. Because of the NERP, it is possible for the
intermediate node to stop trying to send the non-deliverable file and
to delete the file.

The NERP allows the originator of the file to react to the

unsuccessful transmission or processing, depending on the reason code
and the creator of the NERP.

If the originator of the Virtual File requested a signed EERP in the

SFID, the NERP must be signed. Signing allows the originator of the
file to prove by whom the NERP was generated. If the location

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generating the NERP is unable to sign the NERP, it may send back an
unsigned NERP. It is an implementation issue to allow the acceptance
of an unsigned EERP if a signed NERP is requested.

4.3.8. Ready To Receive Command (RTR)

In order to avoid congestion between two adjacent nodes caused by a

continuous flow of EERPs and NERPs, a Ready To Receive (RTR) command
is provided. The RTR acts as an EERP/NERP acknowledgement for flow
control but has no end-to-end significance.

Speaker -- EERP ------------> Listener End to End Response

<------------- RTR -- Ready to Receive
-- EERP ------------> End to End Response
<------------- RTR -- Ready to Receive
-- NERP ------------> Negative End Response
<------------- RTR -- Ready to Receive
-- SFID ------------> Start File
or
-- CD --------------> Exchange the turn

After sending an EERP or NERP, the Speaker must wait for an RTR
before sending any other commands. The only acceptable commands to
follow are:

EERP
NERP
SFID or CD (if there are no more EERPs or NERPs to be sent)

4.4. Data Transfer Phase

Virtual File data flows from the Speaker to the Listener during the
Data Transfer phase, which is entered after the Start File phase.

4.4.1. Protocol Sequence

To avoid congestion at the protocol level, a flow control mechanism

is provided via the Set Credit (CDT) command.

A Credit limit is negotiated in the Start Session phase; this

represents the number of Data Exchange Buffers that the Speaker may
send before it is obliged to wait for a Credit command from the
Listener.

The available credit is initially set to the negotiated value by the

Start File positive answer, which acts as an implicit Credit command.
The Speaker decreases the available credit count by one for each data
buffer sent to the Listener.

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When the available credit is exhausted, the Speaker must wait for a
Credit command from the Listener; otherwise, a protocol error will
occur and the session will be aborted.

The Listener should endeavour to send the Credit command without

delay to prevent the Speaker blocking.

1. Speaker -- SFID ------------> Listener Start File

<------------ SFPA -- Answer YES

2. If the credit value is set to 2

Speaker -- Data ------------> Listener Start File

-- Data ------------>
<------------- CDT -- Set Credit
-- Data ------------>
-- EFID ------------> End File

4.5. End File Phase

4.5.1. Protocol Sequence

The Speaker notifies the Listener that it has finished sending a

Virtual File by sending an End File (EFID) command. The Listener
replies with a positive or negative End File command and has the
option to request a Change Direction command from the Speaker.

1. Speaker -- EFID ------------> Listener End File

<------------ EFPA -- Answer YES

2. Speaker -- EFID ------------> Listener End File

<------------ EFPA -- Answer YES + CD
-- CD --------------> Change Direction
Listener <------------ EERP -- Speaker End to End Response
-------------- RTR -> Ready to Receive
Listener <------------ NERP -- Speaker Negative End Response
-------------- RTR -> Ready to Receive
Go to Start File Phase

3. Speaker -- EFID ------------> Listener End File

<------------ EFNA -- Answer NO

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4.6. End Session Phase

4.6.1. Protocol Sequence

The Speaker terminates the session by sending an End Session (ESID)

command. The Speaker may only do this if the Listener has just
relinquished its role as speaker.

1. Speaker -- EFID ------------> Listener End File

<------------ EFPA -- Answer YES
-- CD --------------> Change Direction
Listener <------------ ESID -- Speaker End Session

4.7. Problem Handling

Error detection and handling should be done as close as possible to

the problem. This aids problem determination and correction. Each
layer of the reference model is responsible for its own error
handling.

ODETTE-FTP can detect protocol errors by virtue of its state machine

and uses activity timers to detect session hang conditions. These
mechanisms are separate from the End to End controls.

4.7.1. Protocol Errors

If a protocol error occurs, the session will be terminated and

application activity aborted. Both locations enter the IDLE state.

4.7.2. Timers

To protect against application and network hang conditions, ODETTE-

FTP uses activity timers for all situations where a response is
required. The timers and actions to be taken if they expire are
described in Section 9, "Protocol State Machine".

4.7.3. Clearing Centres

The use of clearing centres introduces the possibility of errors

occurring as a result of data processing activities within the
centre. Such errors are not directly related to ODETTE-FTP or the
communication network and are therefore outside the scope of this
specification.

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5. Commands and Formats

ODETTE-FTP entities communicate via Exchange Buffers. The Command

Exchange Buffers are described below. Virtual File data is carried
in Data Exchange Buffers, which are described in Section 7.

5.1. Conventions

5.1.1. Representation Unit

The basic unit of information is an octet, containing 8 bits.

5.1.2. Values and Characters

The ISO 646 IRV 7-bit coded character set [ISO-646], according to
Appendix B, is used to encode constants and strings within Command
Exchange Buffers except where [UTF-8] is explicitly indicated against
a field.

5.2. Commands

A Command Exchange Buffer contains a single command starting at the

beginning of the buffer. Commands and data are never mixed within an
Exchange Buffer. Commands cannot be compressed. Variable-length
parameters may be omitted entirely if not required and the associated
length indicator field set to zero.

Components:

1. Command identifier:

The first octet of an Exchange Buffer is the Command Identifier

and defines the format of the buffer.

2. Parameter(s):

Command parameters are stored in fields within a Command Exchange

Buffer. Where variable-length fields are used, they are preceded
with a header field indicating the length. All values are
required except where explicitly indicated.

5.3. Command Formats

The ODETTE-FTP commands are described below using the following

definitions.

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Position (Pos)

Field offset within the Command Exchange Buffer, relative to a

zero origin.

Field

The name of the field.

Description

A description of the field.

Format

F - A field containing fixed values. All allowable values for

the field are enumerated in the command definition.

V - A field with variable values within a defined range. For

example, the SFIDLRECL field may contain any integer value
between 00000 and 99999.

X(n) - An alphanumeric field of length n octets.

A String contains alphanumeric characters from the following

set:

The numerals: 0 to 9
The upper case letters: A to Z
The following special set: / - . & ( ) space.

Space is not allowed as an embedded character.

9(n) - A numeric field of length n octets.

U(n) - A binary field of length n octets.

Numbers encoded as binary are always unsigned and in

network byte order.

T(n) - An field of length n octets, encoded using [UTF-8].

String and alphanumeric fields are always left justified and right
padded with spaces where needed.

Numeric fields are always right justified and left padded with
zeros where needed.

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Reserved fields should be padded with spaces.

5.3.1. SSRM - Start Session Ready Message

o-------------------------------------------------------------------o
| SSRM Start Session Ready Message |
| |
| Start Session Phase Initiator <---- Responder |
|-------------------------------------------------------------------|
| Pos | Field | Description | Format |
|-----+-----------+---------------------------------------+---------|
| 0 | SSRMCMD | SSRM Command, ’I’ | F X(1) |
| 1 | SSRMMSG | Ready Message, ’ODETTE FTP READY ’ | F X(17) |
| 18 | SSRMCR | Carriage Return | F X(1) |
o-------------------------------------------------------------------o

SSRMCMD Command Code Character

Value: ’I’ SSRM Command identifier.

SSRMMSG Ready Message String(17)

Value: ’ODETTE FTP READY ’

SSRMCR Carriage Return Character

Value: Character with hex value ’0D’ or ’8D’.

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RFC 5024 ODETTE FTP 2 November 2007

5.3.2. SSID - Start Session

o-------------------------------------------------------------------o
| SSID Start Session |
| |
| Start Session Phase Initiator <---> Responder |
|-------------------------------------------------------------------|
| Pos | Field | Description | Format |
|-----+-----------+---------------------------------------+---------|
| 0 | SSIDCMD | SSID Command ’X’ | F X(1) |
| 1 | SSIDLEV | Protocol Release Level | F 9(1) |
| 2 | SSIDCODE | Initiator’s Identification Code | V X(25) |
| 27 | SSIDPSWD | Initiator’s Password | V X(8) |
| 35 | SSIDSDEB | Data Exchange Buffer Size | V 9(5) |
| 40 | SSIDSR | Send / Receive Capabilities (S/R/B) | F X(1) |
| 41 | SSIDCMPR | Buffer Compression Indicator (Y/N) | F X(1) |
| 42 | SSIDREST | Restart Indicator (Y/N) | F X(1) |
| 43 | SSIDSPEC | Special Logic Indicator (Y/N) | F X(1) |
| 44 | SSIDCRED | Credit | V 9(3) |
| 47 | SSIDAUTH | Secure Authentication (Y/N) | F X(1) |
| 48 | SSIDRSV1 | Reserved | F X(4) |
| 52 | SSIDUSER | User Data | V X(8) |
| 60 | SSIDCR | Carriage Return | F X(1) |
o-------------------------------------------------------------------o

SSIDCMD Command Code

Character

Value: ’X’ SSID Command identifier.

SSIDLEV Protocol Release Level Numeric(1)

Used to specify the level of the ODETTE-FTP protocol

Value: ’1’ for Revision 1.2

’2’ for Revision 1.3
’4’ for Revision 1.4
’5’ for Revision 2.0

Future release levels will have higher numbers. The

protocol release level is negotiable, with the lowest level
being selected.

Note: ODETTE File Transfer Protocol 1.3 (RFC 2204)

specifies ’1’ for the release level, despite adhering
to revision 1.3.

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RFC 5024 ODETTE FTP 2 November 2007

SSIDCODE Initiator’s Identification Code String(25)

Format: See Identification Code (Section 5.4)

Uniquely identifies the Initiator (sender) participating in

the ODETTE-FTP session.

It is an application implementation issue to link the

expected [X.509] certificate to the SSIDCODE provided.

SSIDPSWD Initiator’s Password String(8)

Key to authenticate the sender. Assigned by bilateral

agreement.

SSIDSDEB Data Exchange Buffer Size Numeric(5)

Minimum: 128
Maximum: 99999

The length, in octets, of the largest Data Exchange Buffer

that can be accepted by the location. The length includes
the command octet but does not include the Stream
Transmission Header.

After negotiation, the smallest size will be selected.

SSIDSR Send / Receive Capabilities Character

Value: ’S’ Location can only send files.

’R’ Location can only receive files.
’B’ Location can both send and receive files.

Sending and receiving will be serialised during the

session, so parallel transmissions will not take place in
the same session.

An error occurs if adjacent locations both specify the send

or receive capability.

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SSIDCMPR Buffer Compression Indicator Character

Value: ’Y’ The location can handle OFTP data buffer compression
’N’ The location cannot handle OFTP buffer compression

Compression is only used if supported by both locations.

The compression mechanism referred to here applies to each

individual OFTP data buffer. This is different from the
file compression mechanism in OFTP, which involves the
compression of whole files.

SSIDREST Restart Indicator Character

Value: ’Y’ The location can handle the restart of a partially

transmitted file.
’N’ The location cannot restart a file.

SSIDSPEC Special Logic Indicator Character

Value: ’Y’ Location can handle Special Logic

’N’ Location cannot handle Special Logic

Special Logic is only used if supported by both locations.

The Special Logic extensions are only useful to access an

X.25 network via an asynchronous entry and are not
supported for TCP/IP connections.

SSIDCRED Credit Numeric(3)

Maximum: 999

The number of consecutive Data Exchange Buffers sent by the

Speaker before it must wait for a Credit (CDT) command from
the Listener.

The credit value is only applied to Data flow in the Data

Transfer phase.

The Speaker’s available credit is initialised to SSIDCRED

when it receives a Start File Positive Answer (SFPA)
command from the Listener. It is zeroed by the End File
(EFID) command.

After negotiation, the smallest size must be selected in

the answer of the Responder, otherwise a protocol error
will abort the session.

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Negotiation of the "credit-window-size" parameter.

Window Size m -- SSID ------------>

<------------ SSID -- Window Size n
(n less than or
equal to m)
Note: negotiated value will be "n".

SSIDAUTH Secure Authentication Character

Value: ’Y’ The location requires secure authentication. ’N’ The

location does not require secure authentication.

Secure authentication is only used if agreed by both

locations.

If the answer of the Responder does not match with the

authentication requirements of the Initiator, then the
Initiator must abort the session.

No negotiation of authentication is allowed.

authentication p -- SSID ------------>

<------------ SSID -- authentication q

p == q -> continue.
p != q -> abort.

SSIDRSV1 Reserved String(4)

This field is reserved for future use.

SSIDUSER User Data String(8)

May be used by ODETTE-FTP in any way. If unused, it should

be initialised to spaces. It is expected that a bilateral
agreement exists as to the meaning of the data.

SSIDCR Carriage Return Character

Value: Character with hex value ’0D’ or ’8D’.

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5.3.3. SFID - Start File

o-------------------------------------------------------------------o
| SFID Start File |
| |
| Start File Phase Speaker ----> Listener |
|-------------------------------------------------------------------|
| Pos | Field | Description | Format |
|-----+-----------+---------------------------------------+---------|
| 0 | SFIDCMD | SFID Command, ’H’ | F X(1) |
| 1 | SFIDDSN | Virtual File Dataset Name | V X(26) |
| 27 | SFIDRSV1 | Reserved | F X(3) |
| 30 | SFIDDATE | Virtual File Date stamp, (CCYYMMDD) | V 9(8) |
| 38 | SFIDTIME | Virtual File Time stamp, (HHMMSScccc) | V 9(10) |
| 48 | SFIDUSER | User Data | V X(8) |
| 56 | SFIDDEST | Destination | V X(25) |
| 81 | SFIDORIG | Originator | V X(25) |
| 106 | SFIDFMT | File Format (F/V/U/T) | F X(1) |
| 107 | SFIDLRECL | Maximum Record Size | V 9(5) |
| 112 | SFIDFSIZ | File Size, 1K blocks | V 9(13) |
| 125 | SFIDOSIZ | Original File Size, 1K blocks | V 9(13) |
| 138 | SFIDREST | Restart Position | V 9(17) |
| 155 | SFIDSEC | Security Level | F 9(2) |
| 157 | SFIDCIPH | Cipher suite selection | F 9(2) |
| 159 | SFIDCOMP | File compression algorithm | F 9(1) |
| 160 | SFIDENV | File enveloping format | F 9(1) |
| 161 | SFIDSIGN | Signed EERP request | F X(1) |
| 162 | SFIDDESCL | Virtual File Description length | V 9(3) |
| 165 | SFIDDESC | Virtual File Description | V T(n) |
o-------------------------------------------------------------------o

SFIDCMD Command Code Character

Value: ’H’ SFID Command identifier.

SFIDDSN Virtual File Dataset Name String(26)

Dataset name of the Virtual File being transferred,

assigned by bilateral agreement.

No general structure is defined for this attribute.

See Virtual Files - Identification (Section 1.5.2)

SFIDRSV1 Reserved String(3)

This field is reserved for future use.

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SFIDDATE Virtual File Date stamp Numeric(8)

Format: ’CCYYMMDD’ 8 decimal digits representing the century,

year, month, and day.

Date stamp assigned by the Virtual File’s Originator

indicating when the file was made available for
transmission.

See Virtual Files - Identification (Section 1.5.2)

SFIDTIME Virtual File Time stamp Numeric(10)

Format: ’HHMMSScccc’ 10 decimal digits representing hours,

minutes, seconds, and a counter (0001-9999), which gives
higher resolution.

Time stamp assigned by the Virtual File’s Originator

indicating when the file was made available for
transmission.

See Virtual Files - Identification (Section 1.5.2)

SFIDUSER User Data String(8)

May be used by ODETTE-FTP in any way. If unused, it should

be initialised to spaces. It is expected that a bilateral
agreement exists as to the meaning of the data.

SFIDDEST Destination String(25)

Format: See Identification Code (Section 5.4)

The Final Recipient of the Virtual File.

This is the location that will look into the Virtual File
content and perform mapping functions. It is also the
location that creates the End to End Response (EERP)
command for the received file.

SFIDORIG Originator String(25)

Format: See Identification Code (Section 5.4)

Originator of the Virtual File.

It is the location that created (mapped) the data for

transmission.

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SFIDFMT File Format Character

Value: ’F’ Fixed format binary file

’V’ Variable format binary file
’U’ Unstructured binary file
’T’ Text

Virtual File format. Used to calculate the restart

position (Section 1.5.4).

Once a file has been signed, compressed, and/or encrypted,

in file format terms it becomes unstructured, format U.
The record boundaries are no longer discernable until the
file is decrypted, decompressed, and/or verified. SFID
File Format Field in this scenario indicates the format of
the original file, and the transmitted file must be treated
as U format.

SFIDLRECL Maximum Record Size Numeric(5)

Maximum: 99999

Length in octets of the longest logical record that may be

transferred to a location. Only user data is included.

If SFIDFMT is ’T’ or ’U’, then this attribute must be set

to ’00000’.

If SFIDFMT is ’V’ and the file is compressed, encrypted, or

signed, then the maximum value of SFIDRECL is ’65536’.

SFIDFSIZ Transmitted File Size Numeric(13)

Maximum: 9999999999999

Space in 1K (1024 octet) blocks required at the Originator

location to store the actual Virtual File that is to be
transmitted.

For example, if a file is compressed before sending, then

this is the space required to store the compressed file.

This parameter is intended to provide only a good estimate

of the Virtual File size.

Using 13 digits allows for a maximum file size of

approximately 9.3 PB (petabytes) to be transmitted.

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SFIDOSIZ Original File Size Numeric(13)

Maximum: 9999999999999

Space in 1K (1024 octet) blocks required at the Originator

location to store the original before it was signed,
compressed, and/or encrypted.

If no security or compression services have been used,

SFIDOSIZ should contain the same value as SFIDFSIZ.

If the original file size is not known, the value zero

should be used.

This parameter is intended to provide only a good estimate

of the original file size.

The sequence of events in file exchange are:

(a) raw data file ready to be sent

SFIDOSIZ = Original File Size

(b) signing/compression/encryption

(c) transmission
SFIDFSIZ = Transmitted File Size

(d) decryption/decompression/verification

(e) received raw data file for in-house applications

SFIDOSIZ = Original File Size

The Transmitted File Size at (c) indicates to the receiver

how much storage space is needed to receive the file.

The Original File Size at (e) indicates to the in-house

application how much storage space is needed to process the
file.

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SFIDREST Restart Position Numeric(17)

Maximum: 99999999999999999

Virtual File restart position.

The count represents the:

- Record Number if SSIDFMT is ’F’ or ’V’.
- File offset in 1K (1024 octet) blocks if SFIDFMT is
’U’ or ’T’.

The count will express the transmitted user data (i.e.,

before ODETTE-FTP buffer compression, header not included).

After negotiation between adjacent locations,

retransmission will start at the lowest value.

Once a file has been signed, compressed, and/or encrypted,

in file format terms, it has become unstructured, like
format U. The file should be treated as format U for the
purposes of restart, regardless of the actual value in
SFIDFMT.

SFIDSEC Security Level Numeric(2)

Value: ’00’ No security services

’01’ Encrypted
’02’ Signed
’03’ Encrypted and signed

Indicates whether the file has been signed and/or encrypted

before transmission. (See Section 6.2.)

SFIDCIPH Cipher suite selection Numeric(2)

Value: ’00’ No security services

’01’ See Section 10.2

Indicates the cipher suite used to sign and/or encrypt the

file and also to indicate the cipher suite that should be
used when a signed EERP or NERP is requested.

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SFIDCOMP File compression algorithm Numeric(1)

Value: ’0’ No compression

’1’ Compressed with [ZLIB] algorithm

Indicates the algorithm used to compress the file.

(See Section 6.4.)

SFIDENV File enveloping format Numeric(1)

Value: ’0’ No envelope

’1’ File is enveloped using [CMS]

Indicates the enveloping format used in the file.

If the file is encrypted/signed/compressed or is an

enveloped file for the exchange and revocation of
certificates, this field must be set accordingly.

SFIDSIGN Signed EERP request Character

Value: ’Y’ The EERP returned in acknowledgement of the file

must be signed
’N’ The EERP must not be signed

Requests whether the EERP returned for the file must be

signed.

SFIDDESCL Virtual File Description length Numeric(3)

Length in octets of the field SFIDDESC.

A value of 0 indicates that no description is present.

SFIDDESC Virtual File Description [UTF-8](n)

May be used by ODETTE-FTP in any way. If not used,

SFIDDESCL should be set to zero.

No general structure is defined for this attribute, but it

is expected that a bilateral agreement exists as to the
meaning of the data.

It is encoded using [UTF-8] to support a range of national

languages.

Maximum length of the encoded value is 999 octets.

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5.3.4. SFPA - Start File Positive Answer

o-------------------------------------------------------------------o
| SFPA Start File Positive Answer |
| |
| Start File Phase Speaker <---- Listener |
|-------------------------------------------------------------------|
| Pos | Field | Description | Format |
|-----+-----------+---------------------------------------+---------|
| 0 | SFPACMD | SFPA Command, ’2’ | F X(1) |
| 1 | SFPAACNT | Answer Count | V 9(17) |
o-------------------------------------------------------------------o

SFPACMD Command Code Character

Value: ’2’ SFPA Command identifier.

SFPAACNT Answer Count Numeric(17)

The Listener must enter a count lower than or equal to the

restart count specified by the Speaker in the Start File
(SFID) command. The count expresses the received user
data. If restart facilities are not available, a count of
zero must be specified.

5.3.5. SFNA - Start File Negative Answer

o-------------------------------------------------------------------o
| SFNA Start File Negative Answer |
| |
| Start File Phase Speaker <---- Listener |
|-------------------------------------------------------------------|
| Pos | Field | Description | Format |
|-----+-----------+---------------------------------------+---------|
| 0 | SFNACMD | SFNA Command, ’3’ | F X(1) |
| 1 | SFNAREAS | Answer Reason | F 9(2) |
| 3 | SFNARRTR | Retry Indicator, (Y/N) | F X(1) |
| 4 | SFNAREASL | Answer Reason Text Length | V 9(3) |
| 7 | SFNAREAST | Answer Reason Text | V T(n) |
o-------------------------------------------------------------------o

SFNACMD Command Code Character

Value: ’3’ SFNA Command identifier.

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SFNAREAS Answer Reason Numeric(2)

Value: ’01’ Invalid filename.

’02’ Invalid destination.
’03’ Invalid origin.
’04’ Storage record format not supported.
’05’ Maximum record length not supported.
’06’ File size is too big.
’10’ Invalid record count.
’11’ Invalid byte count.
’12’ Access method failure.
’13’ Duplicate file.
’14’ File direction refused.
’15’ Cipher suite not supported.
’16’ Encrypted file not allowed.
’17’ Unencrypted file not allowed.
’18’ Compression not allowed.
’19’ Signed file not allowed.
’20’ Unsigned file not allowed.
’99’ Unspecified reason.

Reason why transmission cannot proceed.

SFNARRTR Retry Indicator Character

Value: ’N’ Transmission should not be retried.

’Y’ The transmission may be retried later.

This parameter is used to advise the Speaker if it should

retry at a later time due to a temporary condition at the
Listener site, such as a lack of storage space. It should
be used in conjunction with the Answer Reason code
(SFNAREAS).

An invalid file name error code may be the consequence of a

problem in the mapping of the Virtual File on to a real
file. Such problems cannot always be resolved immediately.
It is therefore recommended that when an SFNA with Retry =
Y is received the User Monitor attempts to retransmit the
relevant file in a subsequent session.

SFNAREASL Answer Reason Text Length Numeric(3)

Length in octets of the field SFNAREAST.

0 indicates that no SFNAREAST field follows.

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SFNAREAST Answer Reason Text [UTF-8](n)

Reason why transmission cannot proceed in plain text.

It is encoded using [UTF-8].

Maximum length of the encoded reason is 999 octets.

No general structure is defined for this attribute.

5.3.6. DATA - Data Exchange Buffer

o-------------------------------------------------------------------o
| DATA Data Exchange Buffer |
| |
| Data Transfer Phase Speaker ----> Listener |
|-------------------------------------------------------------------|
| Pos | Field | Description | Format |
|-----+-----------+---------------------------------------+---------|
| 0 | DATACMD | DATA Command, ’D’ | F X(1) |
| 1 | DATABUF | Data Exchange Buffer payload | V U(n) |
o-------------------------------------------------------------------o

DATACMD Command Code Character

Value: ’D’ DATA Command identifier.

DATABUF Data Exchange Buffer payload Binary(n)

Variable-length buffer containing the data payload. The

Data Exchange Buffer is described in Section 7.

5.3.7. CDT - Set Credit

o-------------------------------------------------------------------o
| CDT Set Credit |
| |
| Data Transfer Phase Speaker <---- Listener |
|-------------------------------------------------------------------|
| Pos | Field | Description | Format |
|-----+-----------+---------------------------------------+---------|
| 0 | CDTCMD | CDT Command, ’C’ | F X(1) |
| 1 | CDTRSV1 | Reserved | F X(2) |
o-------------------------------------------------------------------o

CDTCMD Command Code Character

Value: ’C’ CDT Command identifier.

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RFC 5024 ODETTE FTP 2 November 2007

CDTRSV1 Reserved String(2)

This field is reserved for future use.

5.3.8. EFID - End File

o-------------------------------------------------------------------o
| EFID End File |
| |
| End File Phase Speaker ----> Listener |
|-------------------------------------------------------------------|
| Pos | Field | Description | Format |
|-----+-----------+---------------------------------------+---------|
| 0 | EFIDCMD | EFID Command, ’T’ | F X(1) |
| 1 | EFIDRCNT | Record Count | V 9(17) |
| 18 | EFIDUCNT | Unit Count | V 9(17) |
o-------------------------------------------------------------------o

EFIDCMD Command Code Character

Value: ’T’ EFID Command identifier.

EFIDRCNT Record Count Numeric(17)

Maximum: 99999999999999999

For SSIDFMT ’F’ or ’V’, the exact record count.

For SSIDFMT ’U’ or ’T’, zeros.

The count will express the real size of the file (before
buffer compression, header not included). The total count
is always used, even during restart processing.

EFIDUCNT Unit Count Numeric(17)

Maximum: 99999999999999999

Exact number of units (octets) transmitted.

The count will express the real size of the file. The
total count is always used, even during restart processing.

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5.3.9. EFPA - End File Positive Answer

o-------------------------------------------------------------------o
| EFPA End File Positive Answer |
| |
| End File Phase Speaker <---- Listener |
|-------------------------------------------------------------------|
| Pos | Field | Description | Format |
|-----+-----------+---------------------------------------+---------|
| 0 | EFPACMD | EFPA Command, ’4’ | F X(1) |
| 1 | EFPACD | Change Direction Indicator, (Y/N) | F X(1) |
o-------------------------------------------------------------------o

EFPACMD Command Code Character

Value: ’4’ EFPA Command identifier.

EFPACD Change Direction Indicator Character

Value: ’N’ Change direction not requested.

’Y’ Change direction requested.

This parameter allows the Listener to request a Change

Direction (CD) command from the Speaker.

5.3.10. EFNA - End File Negative Answer

o-------------------------------------------------------------------o
| EFNA End File Negative Answer |
| |
| End File Phase Speaker <---- Listener |
|-------------------------------------------------------------------|
| Pos | Field | Description | Format |
|-----+-----------+---------------------------------------+---------|
| 0 | EFNACMD | EFNA Command, ’5’ | F X(1) |
| 1 | EFNAREAS | Answer Reason | F 9(2) |
| 3 | EFNAREASL | Answer Reason Text Length | V 9(3) |
| 6 | EFNAREAST | Answer Reason Text | V T(n) |
o-------------------------------------------------------------------o

EFNACMD Command Code Character

Value: ’5’ EFNA Command identifier.

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EFNAREAS Answer Reason Numeric(2)

Value: ’01’ Invalid filename.

’02’ Invalid destination.
’03’ Invalid origin.
’04’ Storage record format not supported.
’05’ Maximum record length not supported.
’06’ File size is too big.
’10’ Invalid record count.
’11’ Invalid byte count.
’12’ Access method failure.
’13’ Duplicate file.
’14’ File direction refused.
’15’ Cipher suite not supported.
’16’ Encrypted file not allowed.
’17’ Unencrypted file not allowed.
’18’ Compression not allowed.
’19’ Signed file not allowed.
’20’ Unsigned file not allowed.
’21’ Invalid file signature.
’22’ File decryption failure.
’23’ File decompression failure.
’99’ Unspecified reason.

Reason why transmission failed.

EFNAREASL Answer Reason Text Length Numeric(3)

Length in octets of the field EFNAREAST.

0 indicates that no EFNAREAST field follows.

EFNAREAST Answer Reason Text [UTF-8](n)

Reason why transmission failed in plain text.

It is encoded using [UTF-8].

Maximum length of the encoded reason is 999 octets.

No general structure is defined for this attribute.

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5.3.11. ESID - End Session

o-------------------------------------------------------------------o
| ESID End Session |
| |
| End Session Phase Speaker ----> Listener |
|-------------------------------------------------------------------|
| Pos | Field | Description | Format |
|-----+-----------+---------------------------------------+---------|
| 0 | ESIDCMD | ESID Command, ’F’ | F X(1) |
| 1 | ESIDREAS | Reason Code | F 9(2) |
| 3 | ESIDREASL | Reason Text Length | V 9(3) |
| 6 | ESIDREAST | Reason Text | V T(n) |
| | ESIDCR | Carriage Return | F X(1) |
o-------------------------------------------------------------------o

ESIDCMD Command Code Character

Value: ’F’ ESID Command identifier.

ESIDREAS Reason Code Numeric(2)

Value: ’00’ Normal session termination

’01’ Command not recognised

An Exchange Buffer contains an invalid command code

(1st octet of the buffer).

’02’ Protocol violation

An Exchange Buffer contains an invalid command for

the current state of the receiver.

’03’ User code not known

A Start Session (SSID) command contains an unknown or

invalid Identification Code.

’04’ Invalid password

A Start Session (SSID) command contained an invalid

password.

’05’ Local site emergency close down

The local site has entered an emergency close down

mode. Communications are being forcibly terminated.

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’06’ Command contained invalid data

A field within a Command Exchange Buffer contains

invalid data.

’07’ Exchange Buffer size error

The length of the Exchange Buffer as determined by

the Stream Transmission Header differs from the
length implied by the Command Code.

’08’ Resources not available

The request for connection has been denied due to a

resource shortage. The connection attempt should be
retried later.

’09’ Time out

’10’ Mode or capabilities incompatible

’11’ Invalid challenge response

’12’ Secure authentication requirements incompatible

’99’ Unspecified Abort code

An error was detected for which no specific code is

defined.

ESIDREASL Reason Text Length Numeric(3)

Length in octets of the field ESIDREAST.

0 indicates that no ESIDREAST field is present.

ESIDREAST Reason Text [UTF-8](n)

Reason why session ended in plain text.

It is encoded using [UTF-8].

Maximum length of the encoded reason is 999 octets.

No general structure is defined for this attribute.

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ESIDCR Carriage Return Character

Value: Character with hex value ’0D’ or ’8D’.

5.3.12. CD - Change Direction

o-------------------------------------------------------------------o
| CD Change Direction |
| |
| Start File Phase Speaker ----> Listener |
| End File Phase Speaker ----> Listener |
| End Session Phase Initiator <---> Responder |
|-------------------------------------------------------------------|
| Pos | Field | Description | Format |
|-----+-----------+---------------------------------------+---------|
| 0 | CDCMD | CD Command, ’R’ | F X(1) |
o-------------------------------------------------------------------o

CDCMD Command Code Character

Value: ’R’ CD Command identifier.

5.3.13. EERP - End to End Response

o-------------------------------------------------------------------o
| EERP End to End Response |
| |
| Start File Phase Speaker ----> Listener |
| End File Phase Speaker ----> Listener |
|-------------------------------------------------------------------|
| Pos | Field | Description | Format |
|-----+-----------+---------------------------------------+---------|
| 0 | EERPCMD | EERP Command, ’E’ | F X(1) |
| 1 | EERPDSN | Virtual File Dataset Name | V X(26) |
| 27 | EERPRSV1 | Reserved | F X(3) |
| 30 | EERPDATE | Virtual File Date stamp, (CCYYMMDD) | V 9(8) |
| 38 | EERPTIME | Virtual File Time stamp, (HHMMSScccc) | V 9(10) |
| 48 | EERPUSER | User Data | V X(8) |
| 56 | EERPDEST | Destination | V X(25) |
| 81 | EERPORIG | Originator | V X(25) |
| 106 | EERPHSHL | Virtual File hash length | V U(2) |
| 108 | EERPHSH | Virtual File hash | V U(n) |
| | EERPSIGL | EERP signature length | V U(2) |
| | EERPSIG | EERP signature | V U(n) |
o-------------------------------------------------------------------o

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EERPCMD Command Code Character

Value: ’E’ EERP Command identifier.

EERPDSN Virtual File Dataset Name String(26)

Dataset name of the Virtual File being transferred,

assigned by bilateral agreement.

No general structure is defined for this attribute.

See Virtual Files - Identification (Section 1.5.2)

EERPRSV1 Reserved String(3)

This field is reserved for future use.

EERPDATE Virtual File Date stamp Numeric(8)

Format: ’CCYYMMDD’ 8 decimal digits representing the century,

year, month, and day, respectively.

Date stamp assigned by the Virtual File’s Originator

indicating when the file was made available for
transmission.

See Virtual Files - Identification (Section 1.5.2)

EERPTIME Virtual File Time stamp Numeric(10)

Format: ’HHMMSScccc’ 10 decimal digits representing hours,

minutes, seconds, and a counter (0001-9999), which gives
higher resolution.

Time stamp assigned by the Virtual File’s Originator

indicating when the file was made available for
transmission.

See Virtual Files - Identification (Section 1.5.2)

EERPUSER User Data String(8)

May be used by ODETTE-FTP in any way. If unused, it should

be initialised to spaces. It is expected that a bilateral
agreement exists as to the meaning of the data.

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EERPDEST Destination String(25)

Format: See Identification Code (Section 5.4)

Originator of the Virtual File.

This is the location that created the data for

transmission.

EERPORIG Originator String(25)

Format: See Identification Code (Section 5.4)

Final Recipient of the Virtual File.

This is the location that will look into the Virtual File
content and process it accordingly. It is also the
location that creates the EERP for the received file.

EERPHSHL Virtual File hash length Binary(2)

Length in octets of the field EERPHSH.

A binary value of 0 indicates that no hash is present.

This is always the case if the EERP is not signed.

EERPHSH Virtual File hash Binary(n)

Hash of the transmitted Virtual File, i.e., not the hash of

the original file.

The algorithm used is determined by the bilaterally agreed

cipher suite specified in the SFIDCIPH.

It is an application implementation issue to validate the

EERPHSH to ensure that the EERP is acknowledging the exact
same file as was originally transmitted.

EERPSIGL EERP signature length Binary(2)

0 indicates that this EERP has not been signed.

Any other value indicates the length of EERPSIG in octets

and indicates that this EERP has been signed.

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EERPSIG EERP signature Binary(n)

Contains the [CMS] enveloped signature of the EERP.

Signature = Sign{EERPDSN
EERPDATE
EERPTIME
EERPDEST
EERPORIG
EERPHSH}

Each field is taken in its entirety, including any padding.

The envelope must contain the original data, not just the
signature.

The [CMS] content type used is SignedData.

The encapsulated content type used is id-data.

It is an application issue to validate the signature with

the contents of the EERP.

5.3.14. NERP - Negative End Response

o-------------------------------------------------------------------o
| NERP Negative End Response |
| |
| Start File Phase Speaker ----> Listener |
| End File Phase Speaker ----> Listener |
|-------------------------------------------------------------------|
| Pos | Field | Description | Format |
|-----+-----------+---------------------------------------+---------|
| 0 | NERPCMD | NERP Command, ’N’ | F X(1) |
| 1 | NERPDSN | Virtual File Dataset Name | V X(26) |
| 27 | NERPRSV1 | Reserved | F X(6) |
| 33 | NERPDATE | Virtual File Date stamp, (CCYYMMDD) | V 9(8) |
| 41 | NERPTIME | Virtual File Time stamp, (HHMMSScccc) | V 9(10) |
| 51 | NERPDEST | Destination | V X(25) |
| 76 | NERPORIG | Originator | V X(25) |
| 101 | NERPCREA | Creator of NERP | V X(25) |
| 126 | NERPREAS | Reason code | F 9(2) |
| 128 | NERPREASL | Reason text length | V 9(3) |
| 131 | NERPREAST | Reason text | V T(n) |
| | NERPHSHL | Virtual File hash length | V U(2) |
| | NERPHSH | Virtual File hash | V U(n) |
| | NERPSIGL | NERP signature length | V U(2) |
| | NERPSIG | NERP signature | V U(n) |
o-------------------------------------------------------------------o

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NERPCMD Command Code Character

Value: ’N’ NERP Command identifier.

NERPDSN Virtual File Dataset Name String(26)

Dataset name of the Virtual File being transferred,

assigned by bilateral agreement.

No general structure is defined for this attribute.

See Virtual Files - Identification (Section 1.5.2)

NERPRSV1 Reserved String(6)

This field is reserved for future use.

NERPDATE Virtual File Date stamp Numeric(8)

Format: ’CCYYMMDD’ 8 decimal digits representing the century,

year, month, and day, respectively.

Date stamp assigned by the Virtual File’s Originator

indicating when the file was made available for
transmission.

See Virtual Files - Identification (Section 1.5.2)

NERPTIME Virtual File Time stamp Numeric(10)

Format: ’HHMMSScccc’ 10 decimal digits representing hours,

minutes, seconds, and a counter (0001-9999), which gives
higher resolution.

Time stamp assigned by the Virtual File’s Originator

indicating when the file was made available for
transmission.

See Virtual Files - Identification (Section 1.5.2)

NERPDEST Destination String(25)

Format: See Identification Code (Section 5.4)

Originator of the Virtual File.

This is the location that created the data for

transmission.

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NERPORIG Originator String(25)

Format: See Identification Code (Section 5.4)

The Final Recipient of the Virtual File.

This is the location that will look into the Virtual File
content and perform mapping functions.

NERPCREA Creator of the NERP String(25)

Format: See Identification Code (Section 5.4)

It is the location that created the NERP.

NERPREAS Reason code Numeric(2)

This attribute will specify why transmission cannot proceed

or why processing of the file failed.

"SFNA(RETRY=N)" below should be interpreted as "EFNA or

SFNA(RETRY=N)" where appropriate.

Value ’03’ ESID received with reason code ’03’

(user code not known)
’04’ ESID received with reason code ’04’
(invalid password)
’09’ ESID received with reason code ’99’
(unspecified reason)
’11’ SFNA(RETRY=N) received with reason code ’01’
(invalid file name)
’12’ SFNA(RETRY=N) received with reason code ’02’
(invalid destination)
’13’ SFNA(RETRY=N) received with reason code ’03’
(invalid origin)
’14’ SFNA(RETRY=N) received with reason code ’04’
(invalid storage record format)
’15’ SFNA(RETRY=N) received with reason code ’05’
(maximum record length not supported)
’16’ SFNA(RETRY=N) received with reason code ’06’
(file size too big)
’20’ SFNA(RETRY=N) received with reason code ’10’
(invalid record count)
’21’ SFNA(RETRY=N) received with reason code ’11’
(invalid byte count)
’22’ SFNA(RETRY=N) received with reason code ’12’
(access method failure)

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’23’ SFNA(RETRY=N) received with reason code ’13’

(duplicate file)
’24’ SFNA(RETRY=N) received with reason code ’14’
(file direction refused)
’25’ SFNA(RETRY=N) received with reason code ’15’
(cipher suite not supported)
’26’ SFNA(RETRY=N) received with reason code ’16’
(encrypted file not allowed)
’27’ SFNA(RETRY=N) received with reason code ’17’
(unencrypted file not allowed)
’28’ SFNA(RETRY=N) received with reason code ’18’
(compression not allowed)
’29’ SFNA(RETRY=N) received with reason code ’19’
(signed file not allowed)
’30’ SFNA(RETRY=N) received with reason code ’20’
(unsigned file not allowed)
’31’ File signature not valid.
’32’ File decompression failed.
’33’ File decryption failed.
’34’ File processing failed.
’35’ Not delivered to recipient.
’36’ Not acknowledged by recipient.
’50’ Transmission stopped by the operator.
’90’ File size incompatible with recipient’s
protocol version.
’99’ Unspecified reason.

NERPREASL Reason Text Length Numeric(3)

Length in octets of the field NERPREAST.

0 indicates that no NERPREAST field follows.

NERPREAST Reason Text [UTF-8](n)

Reason why transmission cannot proceed in plain text.

It is encoded using [UTF-8].

Maximum length of the encoded reason is 999 octets.

No general structure is defined for this attribute.

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NERPHSHL Virtual File hash length Binary(2)

Length in octets of the field NERPHSH.

A binary value of 0 indicates that no hash is present.

This is always the case if the NERP is not signed.

NERPHSH Virtual File hash Binary(n)

Hash of the Virtual File being transmitted.

The algorithm used is determined by the bilaterally agreed

cipher suite specified in the SFIDCIPH.

NERPSIGL NERP Signature length Binary(2)

0 indicates that this NERP has not been signed.

Any other value indicates the length of NERPSIG in octets

and indicates that this NERP has been signed.

NERPSIG NERP Signature Binary(n)

Contains the [CMS] enveloped signature of the NERP.

Signature = Sign{NERPDSN
NERPDATE
NERPTIME
NERPDEST
NERPORIG
NERPCREA
NERPHSH}

Each field is taken in its entirety, including any padding.

The envelope must contain the original data, not just the
signature.

The [CMS] content type used is SignedData.

The encapsulated content type used is id-data.

It is an application issue to validate the signature with

the contents of the NERP.

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5.3.15. RTR - Ready To Receive

o-------------------------------------------------------------------o
| RTR Ready To Receive |
| |
| Start File Phase Initiator <---- Responder |
| End File Phase Initiator <---- Responder |
|-------------------------------------------------------------------|
| Pos | Field | Description | Format |
|-----+-----------+---------------------------------------+---------|
| 0 | RTRCMD | RTR Command, ’P’ | F X(1) |
o-------------------------------------------------------------------o

RTRCMD Command Code Character

Value: ’P’ RTR Command identifier.

5.3.16. SECD - Security Change Direction

o-------------------------------------------------------------------o
| SECD Security Change Direction |
| |
| Start Session Phase Initiator <---> Responder |
|-------------------------------------------------------------------|
| Pos | Field | Description | Format |
|-----+-----------+---------------------------------------+---------|
| 0 | SECDCMD | SECD Command, ’J’ | F X(1) |
o-------------------------------------------------------------------o

SECDCMD Command Code Character

Value: ’J’ SECD Command identifier.

5.3.17. AUCH - Authentication Challenge

o-------------------------------------------------------------------o
| AUCH Authentication Challenge |
| |
| Start Session Phase Initiator <---> Responder |
|-------------------------------------------------------------------|
| Pos | Field | Description | Format |
|-----+-----------+---------------------------------------+---------|
| 0 | AUCHCMD | AUCH Command, ’A’ | F X(1) |
| 1 | AUCHCHLL | Challenge Length | V U(2) |
| 3 | AUCHCHAL | Challenge | V U(n) |
o-------------------------------------------------------------------o

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AUCHCMD Command Code Character

Value: ’A’ AUCH Command identifier.

AUCHCHLL Challenge length Binary(2)

Indicates the length of AUCHCHAL in octets.

The length is expressed as an unsigned binary number using

network byte order.

AUCHCHAL Challenge Binary(n)

A [CMS] encrypted 20-byte random number uniquely generated

each time an AUCH is sent.

NOTE:

Any encryption algorithm that is available through a defined cipher

suite (Section 10.2) may be used. See Section 10.1 regarding the
choice of a cipher suite.

5.3.18. AURP - Authentication Response

o-------------------------------------------------------------------o
| AURP Authentication Response |
| |
| Start Session Phase Initiator <---> Responder |
|-------------------------------------------------------------------|
| Pos | Field | Description | Format |
|-----+-----------+---------------------------------------+---------|
| 0 | AURPCMD | AURP Command, ’S’ | F X(1) |
| 1 | AURPRSP | Response | V U(20) |
o-------------------------------------------------------------------o

AURPCMD Command Code Character

Value: ’S’ AURP Command identifier.

AURPRSP Response Binary(20)

Contains the decrypted challenge (AUCHCHAL).

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IMPORTANT:

It is an application implementation issue to validate a received AURP

to ensure that the response matches the challenge. This validation
is extremely important to ensure that a party is correctly
authenticated.

5.4. Identification Code

The Initiator (sender) and Responder (receiver) participating in an

ODETTE-FTP session are uniquely identified by an Identification Code
based on [ISO-6523], Structure for the Identification of
Organisations (SIO). The locations are considered to be adjacent for
the duration of the transmission.

The SIO has the following format.

o-------------------------------------------------------------------o
| Pos | Field | Description | Format |
|-----+-----------+---------------------------------------+---------|
| 0 | SIOOID | ODETTE Identifier | F X(1) |
| 1 | SIOICD | International Code Designator | V 9(4) |
| 5 | SIOORG | Organisation Code | V X(14) |
| 19 | SIOCSA | Computer Subaddress | V X(6) |
o-------------------------------------------------------------------o

SIOOID ODETTE Identifier Character

Value: ’O’ Indicates ODETTE assigned Organisation Identifier.

Other values may be used for non-ODETTE codes.

SIOICD International Code Designator String(4)

A code forming part of the Organisation Identifier.

SIOORG Organisation Code String(14)

A code forming part of the Organisation Identifier. This

field may contain the letters A to Z, the digits 0 to 9,
and space and hyphen characters.

SIOCSA Computer Subaddress String(6)

A locally assigned address that uniquely identifies a

system within an organisation (defined by an Organisation
Identifier).

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6. File Services

6.1. Overview

ODETTE-FTP provides services for compressing, encrypting, and signing

files. These services should generally be performed off line,
outside of the ODETTE-FTP communications session for performance
reasons, although this is not a strict requirement.

ODETTE-FTP requires that the following steps must be performed in

this exact sequence, although any of steps 2, 3, or 4 may be omitted.
Step 1 is required only if any of steps 2, 3, or 4 are performed:

1. Insert record length indicators (V format files only; see Section

6.5)
2. Sign
3. Compress
4. Encrypt

The cipher suite for the encryption and signing algorithms is

assigned by bilateral agreement.

Secured and/or compressed files must be enveloped. The envelope

contains additional information about the service used that is
necessary for a receiving party to fully process the file.

The [CMS] content types used are:

EnvelopedData - Indicates encrypted data

CompressedData - Indicates compressed data
SignedData - Indicates signed content
Data - Indicates unstructured data

For signed or encrypted data, the encapsulated content type

(eContentType field) is id-data.

6.2. File Signing

Files that are to be signed are enveloped according to the file

enveloping format (SFIDENV). Generally, this will be as a [CMS]
package.

A file may be signed more than once to ease the changeover between
old and new certificates.

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It is recommended that the envelope does not contain the public

certificate of the signer. Where files are sent to the same
recipient continuously, it would serve no benefit to repeatedly send
the same certificate. Both the original file data and signature are
stored within the [CMS] package.

6.3. File Encryption

Files that are to be encrypted are enveloped according to the file

enveloping format (SFIDENV). Generally, this will be as a [CMS]
package.

It is recommended that encryption should be performed before the

ODETTE-FTP session starts because a large file takes a long time to
encrypt and could cause session time outs, even on high-performance
machines.

Likewise, decryption of the file should occur outside of the session.

However, an application may choose to allow in-session encryption and
decryption for very small files.

6.4. File Compression

Files that are to be compressed are enveloped according to the file

enveloping format (SFIDENV). Generally, this will be as a [CMS]
package using the [CMS-Compression] data type, which uses the [ZLIB]
compression algorithm by default.

Unlike the buffer compression method, this method operates on a whole

file. Because of the increased levels of compression, file level
compression essentially deprecates the older buffer compression
inside ODETTE-FTP. The buffer compression is kept for backwards
compatibility.

6.5. V Format Files - Record Lengths

A file that has been signed, compressed, and/or encrypted will have
lost its record structure, so ODETTE-FTP will not be able to insert
the End of Record Flag in subrecord headers in Data Exchange Buffers.
To preserve the record structure, V format files must have record
headers inserted into them prior to signing, compression, or
encryption. These 2-byte binary numbers, in network byte order,
indicate the length of each record, allowing the receiving system,
where appropriate, to recreate the files complete with the original
variable-length records. Note that the header bytes hold the number
of data bytes in the record and don’t include themselves.

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This is only applicable to V format files, which themselves are

typically only of concern for mainframes.

7. ODETTE-FTP Data Exchange Buffer

7.1. Overview

Virtual Files are transmitted by mapping the Virtual File records

into Data Exchange Buffers, the maximum length of which was
negotiated between the ODETTE-FTP entities via the Start Session
(SSID) commands exchanged during the Start Session phase of the
protocol.

Virtual File records may be of arbitrary length. A simple

compression scheme is defined for strings of repeated characters.

An example of the use of the Data Exchange Buffer can be found in

Appendix A.

7.2. Data Exchange Buffer Format

For transmission of Virtual File records, data is divided into

subrecords, each of which is preceded by a 1-octet Subrecord Header.

The Data Exchange Buffer is made up of the initial Command Character

followed by pairs of Subrecord Headers and subrecords, as follows.

o--------------------------------------------------------
| C | H | | H | | H | | /
| M | D | SUBRECORD | D | SUBRECORD | D | SUBRECORD | /_
| D | R | | R | | R | | /
o-------------------------------------------------------

CMD

The Data Exchange Buffer Command Character, ’D’.

HDR

A 1-octet Subrecord Header defined as follows:

0 1 2 3 4 5 6 7
o-------------------------------o
| E | C | |
| o | F | C O U N T |
| R | | |
o-------------------------------o

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Bits

0 End of Record Flag

Set to indicate that the next subrecord is the last

subrecord of the current record.

Unstructured files are transmitted as a single record; in

this case, the flag acts as an end-of-file marker.

1 Compression Flag

Set to indicate that the next subrecord is compressed.

2-7 Subrecord Count

The number of octets in the Virtual File represented by the

next subrecord expressed as a binary value.

For uncompressed data, this is simply the length of the

subrecord.

For compressed data, this is the number of times that the

single octet in the following subrecord must be inserted in
the Virtual File.

As 6 bits are available, the next subrecord may represent

between 0 and 63 octets of the Virtual File.

7.3. Buffer Filling Rules

A Data Exchange Buffer may be any length up to the value negotiated

in the Start Session exchange.

Virtual File records may be concatenated within one Data Exchange

Buffer or split across a number of buffers.

A subrecord is never split between two Exchange Buffers. If the

remaining space in the current Exchange Buffer is insufficient to
contain the next ’complete’ subrecord, one of the following
strategies should be used:

1. Truncate the Exchange Buffer, and put the complete subrecord

(preceded by its header octet) in a new Exchange Buffer.

2. Split the subrecord into two, filling the remainder of the

Exchange Buffer with the first new subrecord and starting a new
Exchange Buffer with the second.

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A record of length zero may appear anywhere in the Exchange Buffer.

A subrecord of length zero may appear anywhere in the record and/or

the Exchange Buffer.

8. Stream Transmission Buffer

8.1. Introduction

To utilise the TCP stream, a Stream Transmission Buffer (STB) is

created by adding a Stream Transmission Header (STH) to the start of
all Command and Data Exchange Buffers before they are passed to the
TCP transport service. This allows the receiving ODETTE-FTP to
recover the original Exchange Buffers.

Note: The Stream Transmission Buffer is not used when using ODETTE-
FTP over an X.25 network.

This is because ODETTE-FTP can rely on the fact that the Network
Service will preserve the sequence and boundaries of data units
transmitted through the network and that the Network Service will
pass the length of the data unit to the receiving ODETTE-FTP. TCP
offers a stream-based connection that does not provide these
functions.

The Stream Transmission Buffer is composed of an STH and an OEB.

o-----+-----------------+-----+--------------------+-----+------
| STH | OEB | STH | OEB | STH | OEB/
o-----+-----------------+-----+--------------------+-----+----

STH - Stream Transmission Header

OEB - ODETTE-FTP Exchange Buffer

8.2. Stream Transmission Header Format

The Stream Transmission Header is shown below. The fields are

transmitted from left to right.

0 1 2 3
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5 6 7 8 9 0 1
+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+
|Version| Flags | Length |
+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+-+

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Version

Value: 0001 (binary)

Stream Transmission Header version number.

Flags

Value: 0000 (binary)

Reserved for future use.

Length

Range: 5 - 100003 (decimal)

The length of the Stream Transmission Buffer (STH+OEB).

The smallest STB is 5 octets consisting of a 4-octet header

followed by a 1-octet Exchange Buffer such as a Change Direction
(CD) command.

The maximum Exchange Buffer length that can be negotiated is 99999

octets (Section 5.3.2) giving an STB length of 100003.

The length is expressed as a binary number in network byte order.

It is expected that implementations of this protocol will follow the

Internet robustness principle of being conservative in what is sent
and liberal in what is accepted.

9. Protocol State Machine

9.1. ODETTE-FTP State Machine

The operation of an ODETTE-FTP entity is formally defined by the

State Machine presented below. There are five State and Transition
tables, and for each table additional information is given in the
associated Predicate and Action lists.

The response of an ODETTE-FTP entity to the receipt of an event is

defined by a Transition table entry indexed by the Event/State
intersection within the appropriate state table.

Each Transition table entry defines the actions taken, events

generated, and new state entered. Predicates may be used within a
table entry to select the correct response on the basis of local
information held by the entity.

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A Transition table contains the following fields:

Index (I) State transition index.

Predicate A list of predicates used to select between different

possible transitions. The predicates are defined in
the Predicate and Action lists.

Actions A list of actions taken by the entity. The actions are

defined in the Predicate and Action lists.

Events Output events generated by the entity.

Next State The new state of the entity.

9.2. Error Handling

The receipt of an event in a given state may be invalid for three

reasons.

1. The case is impossible by design of the state automata, denoted

’X’ in the state tables. For example, a timer that has not been
set cannot run out.

2. The event is the result of an error in the Network Service

implementation, also denoted ’X’ in the state tables. The
Network Service implementation is considered to be correct.

3. For all other cases, the event is considered to be a User Error,

denoted "U" in the state tables.

The state tables define the conditions under which a User event is
valid, thus preventing the generation of a protocol error by the
ODETTE-FTP entity as a result of a User Monitor error. The reaction
of the entity to such errors is undefined and regarded as a local
implementation issue.

The state tables also allow protocol errors due to the receipt of
invalid Exchange Buffers, to be detected. In such cases, the
reaction of the entity to the error is defined.

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9.3. States

The Command Mode is strictly a half-duplex flip-flop mode.

A_NC_ONLY Responder, Network Connection opened

The Responder has sent its Ready Message (SSRM) and is

waiting for Start Session (SSID) from the Initiator.

A_WF_CONRS Responder Waiting for F_CONNECT_RS

The Responder has received the Initiator’s Start Session

(SSID) and is waiting for a response (F_CONNECT_RS) from
its User Monitor.

CDSTWFCD CD_RQ stored in WF_CD state

Since the User Monitor doesn’t see the WF_CD state, it

may send a Change Direction request (F_CD_RQ) before the
ODETTE-FTP receives a Change Direction (CD) command.

CLIP Close Input Pending

The Listener has received an End File (EFID) command and

is waiting for the Close File response (F_CLOSE_FILE_RS)
from its User Monitor.

CLOP Close Out Pending

The Speaker has sent an End File (EFID) command and is

waiting for an End File Answer (EFPA or EFNA).

ERSTWFCD End to End Response stored in WF_CD state

Since the User Monitor doesn’t see the WF_CD state, it

may send F_EERP_RQ, before ODETTE-FTP receives a Change
Direction (CD) command.

IDLE Connection IDLE

IDLELI Idle Listener

IDLELICD Idle Listener, F_CD_RQ Received

The ODETTE-FTP entity has become the Listener after

receiving a Change Direction request (F_CD_RQ) from the
User Monitor. The receipt of an End Session (ESID) is
valid in this state.

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IDLESP Idle Speaker

IDLESPCD Idle Speaker, F_CD_IND Sent

The ODETTE-FTP entity has sent a Change Direction

indication (F_CD_IND) to the User Monitor. A Change
Direction request (F_CD_RQ) is invalid in this state.

I_WF_NC Initiator Waiting for Network Connection

The Initiator has requested a new network connection and

is waiting for a Connection confirmation (N_CON_CF) from
the Network Service.

I_WF_RM Initiator Waiting for Ready Message

Before sending Start Session (SSID), the Initiator must

wait for a Ready Message (SSRM) from the Responder.

I_WF_SSID Initiator Waiting for SSID

The Initiator has sent a Start Session (SSID) command and

is waiting for Start Session from the Responder.

NRSTWFCD Negative End Response stored in WF_CD state

Since the User Monitor doesn’t see the WF_CD state, it

may send F_NERP_RQ, before ODETTE-FTP receives a Change
Direction (CD) command.

OPI Open Input (Data Transfer Phase)

The Listener is waiting for the Speaker to send a Data

Exchange Buffer.

OPIP Open Input Pending

The Listener has received a Start File (SFID) command and

is waiting for the Start File response (F_START_FILE_RS)
from its User Monitor.

OPO Open Out (Data Transfer Phase)

The Speaker has received a Start File Positive Answer

(SFPA) and is waiting for a Data (F_DATA_RQ) or Close
File (F_CLOSE_FILE) request from its User Monitor.

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OPOP Open Out Pending

The Speaker has sent a Start File (SFID) command and is

waiting for a Start File Answer (SFPA or SFNA).

OPOWFC Open Out Wait for Credit

The Speaker is waiting for a Set Credit (CDT) command

before sending further Data Exchange buffers.

RTRP Ready to Receive (RTR) Pending

The Listener has received an EERP or a NERP and is

waiting for the Ready to Receive response (F_RTR_RS) from
its User Monitor.

SFSTWFCD Start File Request stored in WF_CD state.

Since the User Monitor doesn’t see the WF_CD state, it

may send a Start File request (F_START_FILE_RQ) before
the ODETTE-FTP receives a Change Direction (CD) command.

WF_CD Wait for Change Direction

The Listener wishes to become the Speaker and is waiting

for a Change Direction (CD) command after sending an End
File Positive Answer (EFPA) requesting change direction.

WF_RTR Wait for Ready To Receive

The Speaker has sent an End to End Response (EERP) or a

Negative End Response (NERP) command and must wait for
Ready To Receive (RTR) from the Listener.

WF_NDISC Wait for N_DISC_IND

ODETTE-FTP has sent an End Session (ESID) command and is

waiting for a Disconnection indication (N_DISC_IND) from
the Network Service.

WF_SECD Wait for Security Change Direction

The Speaker is expecting a Security Change Direction

(SECD) from the Listener.

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WF_AUCH Wait for Authentication Challenge

The Speaker has sent a Security Change Direction (SECD)

command and must wait for Authentication Challenge (AUCH)
from the Listener.

WF_AURP Wait for Authentication Response

The Speaker has sent an Authentication Challenge (AUCH)

command and must wait for Authentication Response (AURP)
from the Listener.

9.4. Input Events

User Monitor Input Events (Section 3)

F_DATA_RQ F_CONNECT_RQ F_START_FILE_RQ F_CLOSE_FILE_RQ

F_EERP_RQ F_CONNECT_RS F_START_FILE_RS(+) F_CLOSE_FILE_RS(+)
F_NERP_RQ F_ABORT_RQ F_START_FILE_RS(-) F_CLOSE_FILE_RS(-)
F_CD_RQ F_RELEASE_RQ F_RTR_RS

Network Input Events (Section 2.2)

N_CON_IND N_CON_CF N_DATA_IND N_DISC_IND N_RST_IND

Peer ODETTE-FTP Input Events (Section 4)

SSID SFID SFPA SFNA EFID EFPA EFNA

DATA ESID EERP RTR CD CDT SSRM
NERP SECD AUCH AURP

Internal Input Events

TIME-OUT - Internal ODETTE-FTP timer expires.

Input event parameters are denoted I.Event-name.Parameter-name within

the state table action and predicate lists. Their value can be
examined but not changed by the ODETTE-FTP entity.

9.5. Output Events

User Monitor Output Events (Section 3)

F_DATA_IND F_CONNECT_IND F_START_FILE_IND F_CLOSE_FILE_IND

F_EERP_IND F_CONNECT_CF F_START_FILE_CF(+) F_CLOSE_FILE_CF(+)
F_CD_IND F_ABORT_IND F_START_FILE_CF(-) F_CLOSE_FILE_CF(-)
F_NERP_IND F_RELEASE_IND F_DATA_CF F_RTR_CF

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Network Output Events (Section 2.2)

N_CON_RQ N_CON_RS N_DATA_RQ N_DISC_RQ

Peer ODETTE-FTP Output Events (Section 4)

SSID SFID SFPA SFNA EFID EFPA EFNA

DATA ESID EERP RTR CD CDT SSRM
NERP SECD AUCH AURP

Output event parameters are denoted O.Event-name.Parameter-name

within the state table action and predicate lists. Their values can
be examined and changed by the ODETTE-FTP entity.

9.6. Local Variables

The following variables are maintained by the ODETTE-FTP entity to

assist the operation of the protocol. They are denoted V.Variable-
name within the state table action and predicate lists. Their value
can be examined and changed by the ODETTE-FTP entity. The initial
value of each variable is undefined.

Variable Type Comments

---------------------------------------------------------------------
Buf-size Integer Negotiated Data Exchange Buffer size.
Called-addr Address Used to build O.F_CONNECT_IND.Called-addr
Calling-addr Address To build O.F_CONNECT_IND.Calling-addr
Compression Yes/No Compression in use as agreed.
Credit_L Integer Listener’s credit counter.
Credit_S Integer Speaker’s credit counter.
Id String Used to build O.SSID.Id
Mode Sender-only, Receiver-only, Both.
Pswd String Password, used to build O.SSID.Pswd
Req-buf Primitive Input event (F_XXX_RQ) stored in WF_CD
state.
Restart Yes/No Restart in used as agreed.
Restart-pos Integer Used only during file opening.
Window Integer The credit value negotiated for the
session.
Caller Yes/No This entity initiated the ODETTE-FTP
session.
Authentication Yes/No Secure authentication in use as agreed
Challenge Binary Random challenge
---------------------------------------------------------------------

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9.7. Local Constants

The following constants define the capabilities of a given ODETTE-FTP

entity. They are denoted C.Constant-name within the state table
action and predicate lists. Their value can be examined but not
changed by the ODETTE-FTP entity.

Constant Value Comments

---------------------------------------------------------------------
Cap-compression Yes/No Compression supported?
Cap-init Initiator Must be Initiator.
Responder Must be Responder.
Both Can be Initiator or Responder.
Cap-mode Sender-only Must be sender.
Receiver-only Must be receiver.
Both Can be sender or receiver.
Max-buf-size 127 < Int < 100000 Maximum Data Exchange Buffer
size supported.
Max-window 0 < Int < 1000 Local maximum credit value.
Cap-restart Yes/No Restart supported?
Cap-logic 0, 1, 2 0 = does not support special
logic
1 = supports special logic
2 = needs special logic
---------------------------------------------------------------------

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9.8. Session Connection State Table

9.8.1. State Table

o----------------------------------------------------------o
| | Other States |
| |--------------------------------------------------o |
| | WF_SECD | |
| |----------------------------------------------o | |
| | WF_AURP | | |
| |------------------------------------------o | | |
| | WF_AUCH | | | |
| |--------------------------------------o | | | |
| S | A_WF_CONRS | | | | |
| |----------------------------------o | | | | |
| T | A_NC_ONLY | | | | | |
| |------------------------------o | | | | | |
| A | I_WF_SSID | | | | | | |
| |--------------------------o | | | | | | |
| T | I_WF_RM | | | | | | | |
| |----------------------o | | | | | | | |
| E | I_WF_NC | | | | | | | | |
| |------------------o | | | | | | | | |
| | IDLE | | | | | | | | | |
|==================o---+---+---+---+---+---+---+---+---+---|
| | F_CONNECT_RQ | A | X | X | X | X | X | X | X | X | X |
| |--------------+---+---+---+---+---+---+---+---+---+---|
| E | N_CON_CF | X | C | X | X | X | X | X | X | X | X |
| |--------------+---+---+---+---+---+---+---+---+---+---|
| V | SSRM | X | X | H | X | X | X | L | L | L | X |
| |--------------+---+---+---+---+---+---+---+---+---+---|
| E | SSID | X | X | X | D | E | F | L | L | L | F |
| |--------------+---+---+---+---+---+---+---+---+---+---|
| N | N_CON_IND | B | X | X | X | X | X | X | X | X | X |
| |--------------+---+---+---+---+---+---+---+---+---+---|
| T | F_CONNECT_RS | X | U | U | U | U | G | X | X | X | U |
| |--------------+---+---+---+---+---+---+---+---+---+---|
| | ESID | X | X | X | F | X | X | F | F | F | X |
| |--------------+---+---+---+---+---+---+---+---+---+---|
| | AUCH | X | X | U | U | X | X | I | L | L | U |
| |--------------+---+---+---+---+---+---+---+---+---+---|
| | AURP | X | X | U | U | X | X | L | K | L | U |
| |--------------+---+---+---+---+---+---+---+---+---+---|
| | SECD | X | X | U | U | X | X | L | L | J | U |
o----------------------------------------------------------o

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9.8.2. Transition Table

I | Predicate Actions Output Events Next State

===o=============================================================
A | P1: F_ABORT_IND IDLE
| !P1: 1,2 N_CON_RQ I_WF_NC
---+-------------------------------------------------------------
B | P3: N_DISC_RQ IDLE
| !P3: 2 N_CON_RS
| SSRM A_NC_ONLY
---+-------------------------------------------------------------
C | 4,2 I_WF_RM
---+-------------------------------------------------------------
D | P2 & P8 & P11: 4,2,5 SECD WF_AUCH
| P2 & P8 & !P11: 4,2,5 F_CONNECT_CF IDLESP
| P2 & !P8: 4,2 ESID(R=12)
| F_ABORT_IND(R,AO=L) WF_NDISC
| else: 4,2 ESID(R=10)
| F_ABORT_IND(R,AO=L) WF_NDISC
---+-------------------------------------------------------------
E | P4: 4 N_DISC_RQ IDLE
| !P4: 4,2 F_CONNECT_IND A_WF_CONRS
---+-------------------------------------------------------------
F | 4 F_ABORT_IND
| N_DISC_RQ IDLE
---+-------------------------------------------------------------
G | P2 & P9 & P10: 4,2,5 SSID WF_SECD
| P2 & !P9 & P10: 4,2,5 SSID IDLELI
| !P10: 4,2 ESID(R=12)
| F_ABORT_IND(R,AO=L) WF_NDISC
| else: 4,2 ESID(R=10)
| F_ABORT_IND(R,AO=L) WF_NDISC
---+-------------------------------------------------------------
H | 4,2,3 SSID I_WF_SSID
---+-------------------------------------------------------------
I | P5: 4,2 AURP WF_SECD
| !P5: 4,2 AURP IDLELI
---+-------------------------------------------------------------
J | 4,2 AUCH WF_AURP
---+-------------------------------------------------------------
K | P6: 4,2 F_CONNECT_CF IDLESP
| P7: 4,2 SECD WF_AUCH
| else: 4,2 ESID(R=11)
| F_ABORT_IND(R,AO=L) WF_NDISC
---+-------------------------------------------------------------
L | 4,2 ESID(R=02)
| F_ABORT_IND(R,AO=L) WF_NDISC
---+-------------------------------------------------------------

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9.8.3. Predicates and Actions

Predicate P1: (No resources available) OR

(C.Cap-init = Responder) OR
(C.Cap-mode = Sender-only AND
I.F_CONNECT_RQ.Mode = Receiver-only) OR
(C.Cap-mode = Receiver-only AND
I.F_CONNECT_RQ.Mode = Sender-only)

Predicate P2: SSID negotiation is successful

(for these, Buf-size, Restart, Compression, Mode,
Special logic, and Window, compare the inbound SSID
with the local constants to set the local variables.
Any incompatibilities result in failure of the
negotiation.)

Predicate P3: C.Cap-init = Initiator

Predicate P4: Mode in SSID incompatible with C.Cap-mode

Predicate P5: V.Caller = Yes

Predicate P6: (V.Caller = Yes) AND (AURP.Signature verifies with

V.Challenge)

Predicate P7: (V.Caller = No) AND (AURP.Signature verifies with

V.Challenge)

Predicate P8: V.Authentication = I.SSID.Authentication

Predicate P9: I.F_CONNECT_RS.Authentication = Yes

Predicate P10: O.F_CONNECT_IND.Authentication =

I.F_CONNECT_RS.Authentication

Predicate P11: V.Authentication = Yes

Action 1: Set V.Mode from (C.Cap-mode, I.F_CONNECT_RQ.Mode)

Set V.Pswd, V.Id, V.Restart, and
V.Authentication from I.F_CONNECT_RQ
Set V.Buf-size = C.Max-buf-size
Set V.Compression = C.Cap-compression
Set V.Caller = Yes
Build O.N_CON_RQ

Action 2: Start inactivity timer

Action 3: Set parameters in O.SSID = from local variables

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Action 4: Stop timer

Action 5: Set V.Mode, V.Restart, V.Compression, V.Buf-size,

V.Window, V.Authentication = from SSID

Action 6: Set V.Challenge = A random number unique to the

session

9.9. Error and Abort State Table

9.9.1. State Table

o--------------------------------------o
| | Other States |
| S |------------------------------o |
| T | WF_NDISC | |
| A |--------------------------o | |
| T | I_WF_NC | | |
| E |----------------------o | | |
| | IDLE | | | |
|======================o---+---+---+---|
| | TIME-OUT | X | X | A | B |
| |------------------+---+---+---+---|
| E | F_ABORT_RQ | X | A | X | C |
| V |------------------+---+---+---+---|
| E | N_RST_IND | X | X | A | D |
| N |------------------+---+---+---+---|
| T | N_DISC_IND | X | E | F | G |
| |------------------+---+---+---+---|
| | Invalid Buffer | X | X | H | I |
o--------------------------------------o

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9.9.2. Transition Table

I | Predicate Actions Output Events Next State

===o=================================================================
A | N_DISC_RQ IDLE
---+-----------------------------------------------------------------
B | F_ABORT_IND
| N_DISC_RQ IDLE
---+-----------------------------------------------------------------
C | 1 N_DISC_RQ IDLE
---+-----------------------------------------------------------------
D | 1 N_DISC_RQ
| F_ABORT_IND IDLE
---+-----------------------------------------------------------------
E | F_ABORT_IND IDLE
---+-----------------------------------------------------------------
F | 1 IDLE
---+-----------------------------------------------------------------
G | 1 F_ABORT_IND IDLE
---+-----------------------------------------------------------------
H | WF_NDISC
---+-----------------------------------------------------------------
I | 1,2 ESID(R=01)
| F_ABORT_IND(R,AO=L) WF_NDISC
---------------------------------------------------------------------

9.9.3. Predicates and Actions

Action 1: Stop inactivity timer

Action 2: Start inactivity timer

9.10. Speaker State Table 1

9.10.1. State Table

The following abbreviations are used in the Speaker state table.

F_REL_RQ(Ok) - F_RELEASE_RQ Reason = Normal

F_REL_RQ(Err) - F_RELEASE_RQ Reason = Error

o--------------------------------------------------------------------o
| | Other States |
| |--------------------------------------------------------------o |
| | WF_NDISC | |
| |----------------------------------------------------------o | |
| | OPOWFC | | |

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| |------------------------------------------------------o | | |
| | OPO | | | |
|S|--------------------------------------------------o | | | |
| | OPOP | | | | |
|T|----------------------------------------------o | | | | |
| | CDSTWFCD | | | | | |
|A|------------------------------------------o | | | | | |
| | SFSTWFCD | | | | | | |
|T|--------------------------------------o | | | | | | |
| | NRSTWFCD | | | | | | | |
|E|----------------------------------o | | | | | | | |
| | ERSTWFCD | | | | | | | | |
| |------------------------------o | | | | | | | | |
| | WF_CD | | | | | | | | | |
| |--------------------------o | | | | | | | | | |
| | WF_RTR | | | | | | | | | | |
| |----------------------o | | | | | | | | | | |
| | IDLESPCD | | | | | | | | | | | |
| |------------------o | | | | | | | | | | | |
| | IDLESP | | | | | | | | | | | | |
|=+==============o---+---+---+---+---+---+---+---+---+---+---+---+---|
| | F_EERP_RQ | A | A | W | F | W | W | U | U | U | U | U | U | U |
| |--------------+---+---+---+---+---+---+---+---+---+---+---+---+---|
| | F_NERP_RQ | Y | Y | W | Z | W | W | U | U | U | U | U | U | U |
| |--------------+---+---+---+---+---+---+---+---+---+---+---+---+---|
| | F_START_ | B | B | W | G | W | W | U | U | U | U | U | X | U |
| | FILE_RQ | | | | | | | | | | | | | |
| |--------------+---+---+---+---+---+---+---+---+---+---+---+---+---|
| | SFPA | C | C | C | C | C | C | C | C | K | C | C | S | C |
| |--------------+---+---+---+---+---+---+---+---+---+---+---+---+---|
|E| SFNA | C | C | C | C | C | C | C | C | L | C | C | S | C |
| |--------------+---+---+---+---+---+---+---+---+---+---+---+---+---|
|V| CD | C | C | C | H | R | Z1| I | J | C | C | C | S | C |
| |--------------+---+---+---+---+---+---+---+---+---+---+---+---+---|
|E| F_DATA_RQ | U | U | U | U | U | U | U | U | U | M | U | S | U |
| |--------------+---+---+---+---+---+---+---+---+---+---+---+---+---|
|N| CDT | C | C | C | C | C | C | C | C | C | P | O | S | C |
| |--------------+---+---+---+---+---+---+---+---+---+---+---+---+---|
|T| F_CD_RQ | D | U | W | T | W | W | U | U | U | U | U | X | U |
| |--------------+---+---+---+---+---+---+---+---+---+---+---+---+---|
| | F_REL_RQ(Ok) | U | E | U | U | U | U | U | U | U | U | U | X | U |
| |--------------+---+---+---+---+---+---+---+---+---+---+---+---+---|
| | F_REL_RQ(Err)| Q | Q | Q | Q | Q | Q | Q | Q | Q | Q | Q | S | Q |
| |--------------+---+---+---+---+---+---+---+---+---+---+---+---+---|
| | RTR | C | C | N | C | C | C | C | C | C | C | C | S | C |
o--------------------------------------------------------------------o

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9.10.2. Transition Table

I | Predicate Actions Output Events Next State

===o=================================================================
A | P5: 1,2,3,18 EERP WF_RTR
| !P5: 1,2,3 EERP WF_RTR
---+-----------------------------------------------------------------
B | P1: UE
| !P1: 1,2,5 SFID OPOP
---+-----------------------------------------------------------------
C | 1,2 ESID(R=02)
| F_ABORT_IND(R,AO=L) WF_NDISC
---+-----------------------------------------------------------------
D | 1,2 CD IDLELICD
---+-----------------------------------------------------------------
E | 1,2 ESID(R=00) WF_NDISC
---+-----------------------------------------------------------------
F | 4 ERSTWFCD
---+-----------------------------------------------------------------
G | P1: UE
| !P1: 6 SFSTWFCD
---+-----------------------------------------------------------------
H | 1,2 IDLESP
---+-----------------------------------------------------------------
I | 1,2,10 SFID OPOP
---+-----------------------------------------------------------------
J | 1,2 CD IDLELICD
---+-----------------------------------------------------------------
K | P2: 1,2 ESID(R=02)
| F_ABORT_IND(R,AO=L) WF_NDISC
| !P2: 1,2,7,12 F_START_FILE_CF(+) OPO
---+-----------------------------------------------------------------
L | 1,2,8 F_START_FILE_CF(-) IDLESP
---+-----------------------------------------------------------------
M | P3: 1,2,11,13 DATA OPOWFC
| !P3: 1,2,11,13 DATA
| F_DATA_CF OPO
---+-----------------------------------------------------------------
N | F_RTR_CF IDLESP
---+-----------------------------------------------------------------
O | 12 F_DATA_CF OPO
---+-----------------------------------------------------------------
P | Protocol 1,2 ESID(R=02)
| Error F_ABORT_IND(R,AO=L) WF_NDISC
---+-----------------------------------------------------------------
Q | 1,2 ESID(R) WF_NDISC
---+-----------------------------------------------------------------
Continued -->

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I | Predicate Actions Output Events Next State

===o=================================================================
R | 1,2,9 EERP WF_RTR
---+-----------------------------------------------------------------
S | WF_NDISC
---+-----------------------------------------------------------------
T | CDSTWFCD
---+-----------------------------------------------------------------
U | User Error UE
---+-----------------------------------------------------------------
W | User Error - Note 1 UE
---+-----------------------------------------------------------------
X | Error
---+-----------------------------------------------------------------
Y | P4 & P5: 1,2,15,18 NERP WF_RTR
| !P4 & !P5: 1,2,15,14 NERP WF_RTR
| P4 & !P5: 1,2,15 NERP WF_RTR
| !P4 & P5: 1,2,15,14,18 NERP WF_RTR
---+-----------------------------------------------------------------
Z | 16 NRSTWFCD
---------------------------------------------------------------------
Z1| P4: 1,2,17 NERP WF_RTR
| !P4: 1,2,17,14 NERP WF_RTR
---------------------------------------------------------------------

9.10.3. Predicates and Actions

Predicate P1: (I.F_START_FILE_RQ.Restart-pos > 0 AND V.Restart = No)

OR (V.Mode = Receiver-only)

Note: Restart requested and not supported for this session.

Predicate P2: I.SFPA.Restart-pos > V.Restart-pos

Note: Protocol error due to the restart position in the SFPA

acknowledgement being greater than the position
requested in the SFID request.

Predicate P3: V.Credit_S - 1 = 0

Note: Speaker’s Credit is exhausted.

Predicate P4: No special logic is in use

Predicate P5: Signed EERP/NERP requested

Action 1: Stop inactivity timer

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RFC 5024 ODETTE FTP 2 November 2007

Action 2: Start inactivity timer

Action 3: Build an EERP from F_EERP_RQ

Action 4: Store F_EERP_RQ in V.Req-buf

Action 5: Build SFID from F_START_FILE_RQ

V.Restart-pos = I.F_START_FILE_RQ.Restart-pos

Action 6: Store F_START_FILE_RQ in V.Req-buf

Action 7: Build F_START_FILE_CF(+) from I.SFPA

Action 8: Build F_START_FILE_CF(-) from I.SFNA

Action 9: Build EERP from F_EERP_RQ stored in V.Req-buf

Action 10: Build SFID from F_START_FILE_RQ stored in V.Req-buf

Set V.Restart-pos

Action 11: Build Exchange Buffer

Action 12: V.Credit_S = V.Window

Action 13: V.Credit_S = V.Credit_S - 1

Action 14: Activate CRC-calculus function. Wrap Exchange buffer

in special logic

Action 15: Build a NERP from F_NERP_RQ

Action 16: Store F_NERP_RQ in V.Req-buf

Action 17: Build NERP from F_NERP_RQ stored in V.Req-buf

Action 18: Sign the contents of NERP/EERP

Note 1: Whether to accept this "Request/Event" while in this

state is a matter of local implementation. The ODETTE
state tables are based on the assumption that this
event cannot occur in this state and is considered to
be a user error (UE).

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9.11. Speaker State Table 2

9.11.1. State Table

o---------------------------------o
| S | CLOP |
| T |-------------------------o |
| A | OPOWFC | |
| T |---------------------o | |
| E | OPO | | |
|=====================o---+---+---|
| E | F_CLOSE_FILE_RQ | A | E | U |
| V |-----------------+---+---+---|
| E | EFPA | B | B | C |
| N |-----------------+---+---+---|
| T | EFNA | B | B | D |
o---------------------------------o

9.11.2. Transition Table

I | Predicate Actions Output Events Next State

===o=================================================================
A | 1,2,5,7 EFID CLOP
---+-----------------------------------------------------------------
B | 1,2 ESID(R=02)
| F_ABORT_IND(R,AO=L) WF_NDISC
---+-----------------------------------------------------------------
C | P1: 1,2,3 F_CLOSE_FILE_CF(+,SP=No)
| CD IDLELI
| !P1: 1,2,4 F_CLOSE_FILE_CF(+,SP=Yes) IDLESP
---+-----------------------------------------------------------------
D | 1,2,6 F_CLOSE_FILE_CF(-) IDLESP
---+-----------------------------------------------------------------
E | See Note 1
---+-----------------------------------------------------------------
U | User Error UE
---------------------------------------------------------------------

9.11.3. Predicates and Actions

Predicate P1: (I.EFPA.CD-Request = Yes)

Predicate P2: No special logic is in use

Action 1: Stop inactivity timer

Action 2: Start inactivity timer

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RFC 5024 ODETTE FTP 2 November 2007

Action 3: O.F_CLOSE_FILE_CF(+).Speaker = No

Action 4: O.F_CLOSE_FILE_CF(+).Speaker = Yes

Action 5: Build EFID from F_CLOSE_FILE_RQ

Action 6: Build F_CLOSE_FILE_CF(-) from EFNA

Action 7: Set V.Credit_S = 0

Action 8: Wrap Exchange buffer in special logic

Note 1: In order to respect the "half duplex" property of

ODETTE-FTP, it is forbidden to send EFID while in the
OPOWFC state. EFID can be sent only in the OPO state.

The ODETTE-FTP implementation must avoid sending EFID

(or receiving F_CLOSE_FILE_RQ) while in the OPOWFC
state.

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RFC 5024 ODETTE FTP 2 November 2007

9.12. Listener State Table

9.12.1. State Table

o---------------------------------------------o
| | RTRP |
| |-------------------------------------o |
| | CLIP | |
| |---------------------------------o | |
| | OPI | | |
| S |-----------------------------o | | |
| T | OPIP | | | |
| A |-------------------------o | | | |
| T | IDLELICD | | | | |
| E |---------------------o | | | | |
| | IDLELI | | | | | |
|=====================o---+---+---+---+---+---+
| | SFID | A | A | B | B | B | B |
| |-----------------+---+---+---+---+---+---+
| E | DATA | B | B | B | I | B | B |
| V |-----------------+---+---+---+---+---+---+
| E | EFID | B | B | B | J | B | B |
| N |-----------------+---+---+---+---+---+---+
| T | F_START_FILE_RS | U | U | H | U | U | U |
| |-----------------+---+---+---+---+---+---+
| | F_CLOSE_FILE_RS | U | U | U | U | K | U |
| |-----------------+---+---+---+---+---+---+
| | CD | C | B | B | B | B | B |
| |-----------------+---+---+---+---+---+---+
| | ESID R=Normal | D | F | D | D | D | D |
| |-----------------+---+---+---+---+---+---+
| | ESID R=Error | D | D | D | D | D | D |
| |-----------------+---+---+---+---+---+---+
| | EERP | E | E | B | B | B | B |
| |-----------------+---+---+---+---+---+---+
| | NERP | L | L | B | B | B | B |
| |-----------------+---+---+---+---+---+---+
| | F_RTR_RS | U | U | U | U | U | M |
o---------------------------------------------o

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9.12.2. Transition Table

I | Predicate Actions Output Events Next State

===o=================================================================
A | P1: 1,2 ESID(R=02)
| F_ABORT_IND(R,AO=L) WF_NDISC
| !P1: 1,2,3 F_START_FILE_IND OPIP
---+-----------------------------------------------------------------
B | 1,2 ESID(R=02)
| F_ABORT_IND(R,AO=L) WF_NDISC
---+-----------------------------------------------------------------
C | 1,2 F_CD_IND IDLESPCD
---+-----------------------------------------------------------------
D | 1 F_ABORT_IND(Received
| ESID Reason,AO=D)
| N_DISC_RQ IDLE
---+-----------------------------------------------------------------
E | 1,2,4 F_EERP_IND RTRP
---+-----------------------------------------------------------------
F | 1 F_RELEASE_IND
| N_DISC_RQ IDLE
---+-----------------------------------------------------------------
H | P4: User Error UE
| P2 & !P4 & !P5: 1,2,8 SFPA OPI
| !P2 & !P4 & !P5: 1,2 SFNA IDLELI
| P2 & !P4 & P5: 1,2,5,8 SFPA OPI
| !P2 & !P4 & P5: 1,2,5 SFNA IDLELI
---+-----------------------------------------------------------------
I | P6: 1,2 ESID(R=02)
| F_ABORT_IND(R,A0=L) WF_NDISC
| !P5 & !P6 & !P7: 1,2,7 F_DATA_IND (See Note 1) OPI
| !P5 & !P6 & P7: 1,2,8 F_DATA_IND
| CDT (See Note 1) OPI
| P5 & !P6 & P8: 1,2 ESID(R=07)
| F_ABORT_IND(R,A0=L) WF_NDISC
| P5 & !P6 & !P7 : 1,2,6,7 F_DATA_IND (See Note 1) OPI
| & !P8
| P5 & !P6 & P7 : 1,2,5,6,8 F_DATA_IND OPI
| & !P8 CDT (See Note 1)
---+-----------------------------------------------------------------
J | 1,2 F_CLOSE_FILE_IND CLIP
---+-----------------------------------------------------------------
K | P2 & P3 & !P5: 1,2 EFPA(CD-Req) WF_CD
| P2 & !P3 & !P5: 1,2 EFPA(no CD) IDLELI
| !P2 & !P5: 1,2 EFNA IDLELI
| P2 & !P3 & P5: 1,2,5 EFPA(no CD) IDLELI
| !P2 & P5: 1,2,5 EFNA IDLELI
| P2 & P3 & P5: 1,2,5 EFPA(CD-Req) WF_CD

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---+-----------------------------------------------------------------
L | 1,2,10 F_NERP_IND RTRP
---+-----------------------------------------------------------------
M | 1,2 RTR IDLELI
---+-----------------------------------------------------------------
U | User Error UE
---------------------------------------------------------------------

9.12.3. Predicates and Actions

Predicate P1: (I.SFID.Restart-pos > 0 AND V.Restart = No) OR (V.Mode

= Sender-only)

Note: Invalid Start File command.

Predicate P2: Positive Response

Predicate P3: I.F_CLOSE_FILE_RS(+).Speaker = Yes

Predicate P4: I.F_START_FILE_RS(+).Restart-pos > V.Restart

Predicate P5: Special logic is used

Predicate P6: V.Credit_L - 1 < 0

Note: Protocol Error because the Speaker has exceeded its

available transmission credit.

Predicate P7: V.Credit_L - 1 = 0

Note: The Speaker’s credit must be reset before it can send

further Data Exchange Buffers.

Predicate P8: The calculus of the received CRC indicates an error

Action 1: Stop inactivity timer

Action 2: Start inactivity timer

Action 3: Build F_START_FILE_IND from I.SFID

V.Restart-pos = I.SFID.Restart-pos

Action 4: Build F_EERP_IND from I.EERP

Action 5: Add special logic header to the command to be sent to

the Speaker

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Action 6: Suppress the special logic header from the data buffer
before giving it to the user

Action 7: V.Credit_L = V.Credit_L - 1

Action 8: V.Credit_L = V.Window

Action 10: Build F_NERP_IND from I.NERP

Note 1: Flow control in case of reception.

The ODETTE-FTP Listener must periodically send new

credit to the Speaker. The timing of this operation
will depend on:

1. The User Monitor’s capacity to receive data.

2. The number of buffers available to ODETTE-FTP.
3. The Speaker’s available credit, which must be
equal to zero.

9.13. Example

Consider an ODETTE-FTP entity that has sent a Start File (SFID)

command and entered the Open Out Pending (OPOP) state. Its response
on receiving a Positive Answer (SFPA) is documented in Speaker State
Table 1, which shows that transition ’K’ should be applied and is
interpreted as follows:

if (I.SFPA.Restart-pos > V.Restart-pos) then

begin // invalid restart
Actions: Stop inactivity timer, // reset timer
Start inactivity timer;
Output: ESID(R=02), // to peer ODETTE-FTP
F_ABORT_IND(R,AO=L); // to User Monitor
New State: WF_NDISC;
end
else begin
Actions: Stop inactivity timer, // reset timer
Start inactivity timer;
Build F_START_FILE_CF(+) from I.SFPA
V.Credit_S = V.Window // initialise credit
Output: F_START_FILE_CF(+); // to User Monitor
New State: OPO;
end

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ODETTE-FTP checks the restart position in the received Start File

Positive Answer (SFPA) command. If it is invalid, it aborts the
session by sending an End Session (ESID) command to its peer and an
Abort indication (F_ABORT_IND) to its User Monitor. If the restart
position is valid, a Start File confirmation (F_START_FILE_CF) is
built and sent to the User Monitor, the credit window is initialised,
and the Open Out (OPO) state is entered.

10. Miscellaneous

10.1. Algorithm Choice

The choice of algorithms to use for security or compression between

partners is for bilateral agreement outside of ODETTE-FTP.

10.2. Cryptographic Algorithms

The algorithms for symmetric and asymmetric cryptography and hashing

are represented by a coded value, the cipher suite:

Cipher Suite Symmetric Asymmetric Hashing

------------ ----------------- ------------ -------

01 3DES_EDE_CBC_3KEY RSA_PKCS1_15 SHA-1

02 AES_256_CBC RSA_PKCS1_15 SHA-1

Support of all cipher suites listed here is mandatory.

The certificates used must be [X.509] certificates.

TripleDES is using Cipher Block Chaining (CBC) mode for added

security and uses the Encryption Decryption Encryption (EDE) process
with 3 different 64-bit keys.

RSA padding is as defined in [PKCS#1].

AES is using a 256-bit key in CBC mode.

An extended list of optional cipher suites may be used (Section

10.3), but there is no guarantee that two communicating ODETTE-FTP
entities would both support these optional cipher suites.

10.3. Protocol Extensions

The algorithms and file enveloping formats available in ODETTE-FTP

may be extended outside of this document.

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An up-to-date list of cipher suite values for use in ODETTE-FTP is

maintained by ODETTE International, and published on their website at
www.odette.org.

10.4. Certificate Services

Certificates and certificate revocation lists may be exchanged as

[CMS] enveloped files. It is therefore valid to exchange a [CMS]
file that is neither encrypted, compressed, nor signed. It is an
application implementation issue to determine the correct course of
action on receipt of such a file.

11. Security Considerations

ODETTE-FTP security requires the use of [X.509] certificates. If no

security options are agreed for use, the send and receive passwords
are sent in plain text. Whilst this is acceptable over X.25 and ISDN
networks, this is a risky practice over insecure public networks such
as the Internet.

All, some, or none of the security options available in ODETTE-FTP

may be used. No recommendations for the use of these options are
provided in this specification. Whilst use of the highest-strength
encryption algorithms may seem admirable, there is often a
performance tradeoff to be made, and signing all files and
acknowledgements has potential legal implications that should be
considered.

It should be noted that whilst the security measures ensure that an

ODETTE-FTP partner is authenticated, it does not necessarily mean
that the partner is authorised. Having proven the identity of a
partner, it is an application issue to decide whether that partner is
allowed to connect or exchange files.

Extracted from [RFC3850]:

"When processing certificates, there are many situations where the

processing might fail. Because the processing may be done by a user
agent, a security gateway, or other program, there is no single way
to handle such failures. Just because the methods to handle the
failures have not been listed, however, the reader should not assume
that they are not important. The opposite is true: if a certificate
is not provably valid and associated with the message, the processing
software should take immediate and noticeable steps to inform the end
user about it.

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Some of the many situations in which signature and certificate

checking might fail include the following:

No certificate chain leads to a trusted CA

No ability to check the Certificate Revocation List (CRL) for a
certificate
An invalid CRL was received
The CRL being checked is expired
The certificate is expired
The certificate has been revoked

There are certainly other instances where a certificate may be

invalid, and it is the responsibility of the processing software to
check them all thoroughly, and to decide what to do if the check
fails. See RFC 3280 for additional information on certificate path
validation."

The push / pull nature of ODETTE-FTP means that a party can make an
outbound connection from behind a firewall to another party and
exchange files in both directions. There is no need for both
partners to open ports on their firewalls to allow incoming
connections; only one party needs to allow incoming connections.

See Section 1.7 for a discussion of the benefits of session security

[TLS] versus file security.

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Appendix A. Virtual File Mapping Example

This example demonstrates the mapping of a Virtual File into a

sequence of ODETTE-FTP Data Exchange Buffers.

Each line in this extract from ’The Rime of the Ancient Mariner’ by
Coleridge [RIME] is separated by CR-LFs in a file that is being
transmitted as a T format file.

It is an ancient Mariner,
And he stoppeth one of three.
"By thy long grey beard and glittering eye,
Now wherefore stopp’st thou me?

"The Bridegroom’s doors are opened wide,

And I am next of kin;
The guests are met, the feast is set:
May’st hear the merry din."

He holds him with his skinny hand,

"There was a ship," quoth he.
"Hold off! unhand me, grey-beard loon!"
Eftsoons his hand dropt he.

He holds him with his glittering eye--

The Wedding-Guest stood still,
And listens like a three years; child:
The Mariner hath his will.

The Wedding-Guest sat on a stone:

He cannot chuse but hear;
And thus spake on that ancient man,
The bright-eyed Mariner.

The ship was cheered, the harbour cleared,

Merrily did we drop
Below the kirk, below the hill,
Below the light-house top.

The Exchange Buffers below were built from the above. The top line
of each represents the ASCII code, while the two lines below give the
hexadecimal value.

Note that:

. The "D" at the beginning of each Exchange Buffer is the command

code.

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. The "?" preceding each subrecord is the header octet (see the
hexadecimal value).

Exchange Buffer 1

D?It is an ancient Mariner,..And he stoppeth one of three..."By

4347267266266666672467666720046626627767767626662662767662002472
4F9409301E01E395E40D129E52CDA1E4085034F005480FE50F6048255EDA2290

t?hy long grey beard and glittering eye,..Now wherefore stopp’st

7367266662676726667626662666776766626762004672766766676277677277
4F890CFE70725902512401E407C944529E70595CDAEF70785256F25034F00734

?thou me?...."The Bridegroom’s doors are opened wide,..And I am

2376672663000025662476666766627266677267626766662766620046624266
0F48F50D5FDADA248502294572FFD7304FF2301250F05E5407945CDA1E40901D

?next of kin;..The guests are met, the feast is set:..May’st he

2366772662666300566267677726762667227662666772672767300467277266
0FE5840F60B9EBDA485075534301250D54C04850651340930354ADAD19734085

a?r the merry din."....He holds him with his skinny hand,.."Ther
6372766266777266622000046266667266627676266727666672666620025667
1F204850D5229049EE2DADA8508FC43089D07948089303B9EE9081E4CDA24852

e? was a ship," quoth he..."Hold off! unhand me, grey-beard loon

6327672627667222776762662002466626662276666626622676726667626666
5F07130103890C2015F48085EDA28FC40F66105E81E40D5C07259D251240CFFE

!?"..Eftsoons his hand dropt he.....He holds him with his glitte
2320046776667266726666267677266200004626666726662767626672666776
1F2DA5643FFE30893081E4042F04085EDADA8508FC43089D07948089307C9445

r?ing eye--..The Wedding-Guest stood still,..And listens like a

7366626762200566256666662476772776662776662004662667766726666262
2F9E70595DDDA485075449E7D75534034FF40349CCCDA1E40C9345E30C9B5010

t?hree years; child:..The Mariner hath his will.....The Wedding-

7367662766773266666300566246766672667626672766620000566256666662
4F8255095123B0389C4ADA4850D129E52081480893079CCEDADA485075449E7D

G?uest sat on a stone:..He cannot chuse but hear;..And thus spak

4376772767266262776663004626666672667762677266673004662767727766
7F553403140FE01034FE5ADA85031EEF4038535025408512BDA1E4048530301B

e? on that ancient man,..The bright-eyed Mariner.....The ship wa

6326627667266666672666200566267666726766246766672000056627667276
5F0FE0481401E395E40D1ECDA4850229784D59540D129E52EDADA48503890071

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s? cheered, the harbour cleared,..Merrily did we drop..Below the

7326666766227662667667726666766200467766726662762676700466672766
3F03855254C048508122F5203C51254CDAD5229C90494075042F0DA25CF70485

.kirk, below the hill,..Below the light-house top...

2B667622666672766266662004666727662666672667762767200
03B92BC025CF70485089CCCDA25CF704850C9784D8F53504F0EDA

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Appendix B. ISO 646 Character Subset

o-----------------------------------------------------------------o
| | 7| 0 | 0 | 0 | 0 | 1 | 1 | 1 | 1 |
| | B -+-----+-----+-----+-----+-----+-----+-----+-----|
| | I 6| 0 | 0 | 1 | 1 | 0 | 0 | 1 | 1 |
| | T -+-----+-----+-----+-----+-----+-----+-----+-----|
| | 5| 0 | 1 | 0 | 1 | 0 | 1 | 0 | 1 |
| |----+-----+-----+-----+-----+-----+-----+-----+-----|
| | | | | | | | | | |
| | | | | | | | | | |
|------------| | 0 | 1 | 2 | 3 | 4 | 5 | 6 | 7 |
| BIT | | | | | | | | | |
| 4 3 2 1 | | | | | | | | | |
|============o====o=====+=====+=====+=====+=====+=====+=====+=====|
| 0 0 0 0 | 0 | | | SP | 0 | | P | | |
|------------|----|-----+-----+-----+-----+-----+-----+-----+-----|
| 0 0 0 1 | 1 | | | | 1 | A | Q | | |
|------------+----|-----+-----+-----+-----+-----+-----+-----+-----|
| 0 0 1 0 | 2 | | | | 2 | B | R | | |
|------------+----|-----+-----+-----+-----+-----+-----+-----+-----|
| 0 0 1 1 | 3 | | | | 3 | C | S | | |
|------------+----|-----+-----+-----+-----+-----+-----+-----+-----|
| 0 1 0 0 | 4 | | | | 4 | D | T | | |
|------------+----|-----+-----+-----+-----+-----+-----+-----+-----|
| 0 1 0 1 | 5 | | | | 5 | E | U | | |
|------------+----|-----+-----+-----+-----+-----+-----+-----+-----|
| 0 1 1 0 | 6 | | | & | 6 | F | V | | |
|------------+----|-----+-----+-----+-----+-----+-----+-----+-----|
| 0 1 1 1 | 7 | | | | 7 | G | W | | |
|------------+----|-----+-----+-----+-----+-----+-----+-----+-----|
| 1 0 0 0 | 8 | | | ( | 8 | H | X | | |
|------------+----|-----+-----+-----+-----+-----+-----+-----+-----|
| 1 0 0 1 | 9 | | | ) | 9 | I | Y | | |
|------------+----|-----+-----+-----+-----+-----+-----+-----+-----|
| 1 0 1 0 | 10 | | | | | J | Z | | |
|------------+----|-----+-----+-----+-----+-----+-----+-----+-----|
| 1 0 1 1 | 11 | | | | | K | | | |
|------------+----|-----+-----+-----+-----+-----+-----+-----+-----|
| 1 1 0 0 | 12 | | | | | L | | | |
|------------+----|-----+-----+-----+-----+-----+-----+-----+-----|
| 1 1 0 1 | 13 | | | - | | M | | | |
|------------+----|-----+-----+-----+-----+-----+-----+-----+-----|
| 1 1 1 0 | 14 | | | . | | N | | | |
|------------+----|-----+-----+-----+-----+-----+-----+-----+-----|
| 1 1 1 1 | 15 | | | / | | O | | | |
o-----------------------------------------------------------------o

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Appendix C. X.25 Specific Information

The International Organization for Standardization (ISO) Open Systems

Interconnection (OSI) model is the basis for ODETTE-FTP.

ODETTE-FTP covers levels 4 to 7, and originally CCITT X.25 was the

only recommended telecommunication protocol for OSI’s layers 1, 2, 3.

ISO Reference Model:

+------------------------------+ <==== File Service

| Level-7 FTP application |
|------------------------------|
| Level-6 FTP presentation |
|------------------------------|
| Level-5 FTP session |
|------------------------------|
| Level-4 FTP transport |
|------------------------------| <==== Network Service
| Level-3 X.25 |
|------------------------------|
| Level-2 X.25 |
|------------------------------|
| Level-1 X.25 |
+------------------------------+

C.1. X.25 Addressing Restrictions

When an X.25 call is made over a PSDN, the Network User Address (NUA)
of the destination must be specified in order that the PTT may route
the call. The call placed is directed to the termination equipment
upon the user’s premises.

It is possible to provide extra information in the Call Request

Packet in addition to the mandatory NUA required by the PTT.

This extra information may be of 2 kinds:

(a) A subaddress:

It is simply an extension to the address and it is put into the

called address field of the Call Request Packet. This
information (Address + Subaddress) is taken from the destination
address field of the F_CONNECT_RQ; therefore, from the user’s
point of view, there is no distinction between the main address
and subaddress parts.

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(b) User data:

There is no standard for user data. Moreover, there is no

information in the F_CONNECT_RQ from which the ODETTE-entity may
derive user data to be put in the N_CONNECT_RQ; therefore, user
data shall not be used.

C.2. Special Logic

The SSID field SSIDSPEC specifies whether special logic must be

applied (Y (yes) or N (no)) to the Data Exchange Buffer before the
ODETTE-FTP moves the data into the NSDU (Network Service Data Unit)
and passes control to the Network Service.

C.2.1. When Special Logic Is Not To Be Used

This logic is not applied to SSRM and SSID commands.

C.2.2. The Need for "Enveloping" Exchange Buffers

The "special-logic" parameter was created in order to allow the use

of ODETTE-FTP over asynchronous links. The "special-logic" could be
needed to enable terminals to access an X.25 network via an
asynchronous entry (through a PAD: Packet Assembly / Disassembly).
The "special-logic" is not needed in case of a whole X.25 connection.
This "special-logic" realises a CRC function in order to detect
errors due to the asynchronous medium.

Negotiation of the "special-logic" parameter in the SSID command is

as follows:

SSID SSID
-----------------------------------------------

special-logic=yes --------------------->

<------------------------------------ special-logic=yes
or
<------------------------------------ special-logic=no

special-logic=no ---------------------->

<------------------------------------ special-logic=no

This logic is activated when the "special-logic" parameter in the

SSID specifies Y (yes).

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Special logic processing, when activated, will function within level

4 of the OSI model.

+------------------------------+ <==== File Service

| Level-7 FTP application |
|------------------------------|
| Level-6 FTP presentation |
|------------------------------|
| Level-5 FTP session |
|------------------------------|
| Level-4 FTP transport |
| SPECIAL LOGIC PROCESSING |
|------------------------------| <==== Network Service
| Level-3 X.25 |
|------------------------------|
| Level-2 X.25 |
|------------------------------|
| Level-1 X.25 |
+------------------------------+

C.2.3. Responsibilities of Special Logic

When transmitting an Exchange Buffer and special logic is active,

layer 4 will wrap the Exchange Buffer in synchronization and
delineation characters, then protect the data integrity by means of a
block checksum (BCS). When receiving an Exchange Buffer and special
logic is active, layer 4 will remove such things as synchronization
and delineation characters, etc., before passing the Exchange Buffer
to the higher layers.

C.2.4. Extended Exchange Buffer Format

Each envelope has a 1-byte header prefixed to it, and a 2-byte

checksum appended to the end. The checksum is derived in a manner
specified in the ISO DIS 8073 TRANSPORT LAYER documentation.

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The layout of the data buffer will be structured as follows:

+------------------------------------------------------------------+
| S | B | | B | C |
| T | S | COMPLETE EXCHANGE BUFFER (CEB) | C | / |
| X | N | | S | R |
+------------------------------------------------------------------+
A A A A
| | | |
| +------------- Block sequence number | |
| | |
+----------------- Synchronization character | |
| |
Block checksum -----------------------+ |
|
Delineation character --------------------+

The envelope is initialised with an STX and the checksum variables

are set to 0. The leading STX is not protected by the checksum
calculation but is explicitly protected by a character compare at the
receiver’s end. The Exchange Buffer is processed character by
character. As each character is removed from the Exchange Buffer, it
is put through the checksum calculation and then, prior to its
insertion in the envelope, it is put through the Shift-out
transparency logic, which will result in either one or two characters
being inserted. When the contents of the Exchange Buffer have been
entirely processed, then the checksum variables are brought up to
date by inserting two X’00’s through the checksum calculator and the
two resultant checksum characters forwarded to the Shift-out
transparency logic for insertion into the envelope. Finally, a
carriage return (CR) is appended to the envelope. The segment is now
ready for transmission to line.

Upon receipt of a valid envelope that has the correct sequence

number, the host should increment his sequence number register ready
for the next transmission.

The receiver will initialise his receiving buffer area upon receipt
of an STX character, place the STX at the beginning of the buffer,
and reset checksum variables. All subsequent characters are
processed using Shift-out logic before they are inserted into the
buffer, at which point they will NOT be processed by the checksum
calculator, although the character following the Shift-out (after
subtracting X’20’) will be. The checksum characters themselves will
be processed by the checksum calculator by virtue of the design of
the checksum algorithm.

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C.2.5. Error recovery

C.2.5.1. Mechanism

The error correction scheme is implemented by the definition of three

timers and the use of an ASCII NAK (Negative Acknowledgement)
character followed by a C/R. The <NAK><C/R> will flow between the
two session partners, but only as a consequence of previous bad data.

A user of the error recovery correcting extension must always work

with a credit value of 1. This can be forced upon any session
partner at SSID negotiation. The effect will be to force a simple
half-duplex flip-flop protocol.

Upon receipt of a bad block, send <NAK><C/R> to the session partner.

Upon receipt of a <NAK><C/R>, a session partner should retransmit the

last block in its entirety.

C.2.5.2. Timers

The majority of error conditions will be detected by a bad BCS

sequence. However, certain conditions cannot be so detected. For
example, a corrupt C/R will mean that the receiver will not know that
the end of a block has been reached. No matter how long he waits, no
more data will come from the sender. Thus, a timer is the only way
to detect this type of corruption. There are three timers needed to
detect all possible malignant conditions of this type.

T1 - Exchange Buffer Time Out (Inactivity or Response)

T2 - Inter Character Time Out
T3 - Data Carrier Detect Loss Time Out

The three timers are in addition to the timer defined in the original
protocol.

TIMER T1 - RESPONSE TIME OUT (DEFAULT = 45 SECONDS):

Used to detect a high-level block Time Out, e.g., the Time Out
between an SFID and its associated SFPA or SFNA response.

Started - It is started after the last character of an exchange

buffer has been sent to the line.

Stopped - It is stopped when an STX has been received.

Expiry - Retransmit the whole block again, until such time as the
retry limit has been reached.

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TIMER T2 - INTER CHARACTER TIME OUT (DEFAULT = 7 SECONDS):

Used to detect errors in the reception of individual characters.

Started - For an asynchronous entity, it is started upon receipt

of each character while in synchronisation mode. For an
X.25 entity, it is started after a received block that
did not terminate an Exchange Buffer.

Stopped - Upon receipt of the next character.

Expiry - Send a <NAK><C/R>, drop out of synchronised mode, and go

back and listen to line.

TIMER T3 - DATA CARRIER TEMPORARY LOSS (DEFAULT = 1 SECOND):

Used by an asynchronous entity only and is used to detect a

temporary carrier failure.

Started - When DCD (Data Carrier Detect) is lost.

Stopped - When DCD is regained.

Expiry - Disconnect the session.

C.2.5.3. Types of Error

Data corruption when it occurs can be categorised in one of five

ways:

(1) CORRUPT STX (START OF TEXT)

In this situation the STX is not seen and synchronisation is not

achieved. The terminating C/R is received out of synchronisation
and hence the block is not seen by the receiver. A <NAK><C/R> is
transmitted to the sender to indicate this. The sender should then
retransmit the last block (each implementation will need to set a
retry limit to be used for the number of consecutive times it
attempts to retransmit a block -- a default limit of 5 is
recommended). All data received outside synchronisation (except
<NAK><C/R>) are ignored.

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(A) (B)

Dropped Start of Text (STX)

+-------------------------+
| | B | | B | C |
-----| | S | CEB | C | / |-----> Not sync
| | N | | S | R |
+-------------------------+

+-------+
| N | C |
<-----| A | / |----- Not sync
| K | R |
+-------+

Exchange Buffer Resent

+-------------------------+
| S | B | | B | C |
-----| T | S | CEB | C | / |-----> Sync
| X | N | | S | R |
+-------------------------+

(2) CORRUPT TERMINATION (C/R)

This situation manifests itself as an extended period of

synchronisation with no activity. The T2 timer will detect this
condition.

(A) (B)

Corrupt Carriage Return

+-------------------------+
| S | B | | B | |
-----| T | S | CEB | C | |-----> No activity
| X | N | | S | |
+-------------------------+

+-------+
| N | C | T2
<-----| A | / |----- Timed out
| K | R |
+-------+

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Exchange Buffer Resent

+-------------------------+
| S | B | | B | C |
-----| T | S | CEB | C | / |-----> Sync
| X | N | | S | R |
+-------------------------+

(3) BAD DATA

(4) BAD BCS (BLOCK CHECK SUM)

In this situation, the receiver is unable to tell whether the error

is bad data or bad BCS. In either case, the response is to discard
the Exchange Buffer and send a <NAK><C/R>.

(A) (B)

Bad Data/BCS

+-------------------------+
| S | B | | B | C | Bad data
-----| T | S | "%! | C | / |-----> detected
| X | N | | S | R |
+-------------------------+

+-------+
| N | C |
<-----| A | / |----- Discard Block
| K | R |
+-------+

Exchange Buffer Resent

+-------------------------+
| S | B | | B | C |
-----| T | S | CEB | C | / |-----> Data OK
| X | N | | S | R |
+-------------------------+

(5) BAD BLOCK SEQUENCE NUMBER (BSN)

A circular sequential number (0 up to and including 9) is assigned

to transmitted Exchange Buffers. This is to aid detection of
duplicate or out-of-sequence Exchange Buffers. Once a duplicate
block is detected, the Exchange Buffer in question is discarded.
Once an out of sequence block is detected, this should result in a
protocol violation.

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Example protocol sequence:

(A) (B)

Exchange Buffer Being Sent

+-------------------------+
| S | | | B | C | Expecting
-----| T | 0 | EERP | C | / |-----> BSN=0
| X | | | S | R | Transmission
+-------------------------+

Exchange Buffer Being Sent

+-------------------------+
| S | | | B | C | Response to
<----| T | 0 | RTR | C | / |----- Previous
| X | | | S | R | Block
+-------------------------+

Exchange Buffer Being Sent

+-------------------------+ Expecting
| S | | | B | C | BSN=1 (Block
-----| T | 1 | SFID | C | / |- // -> lost in
| X | | | S | R | Transmission)
+-------------------------+ T1 Timed Out

Exchange Buffer Being Sent

+-------------------------+
| S | | | B | C | Send last
<----| T | 0 | RTR | C | / |----- Block
| X | | | S | R | again
+-------------------------+

Discard Block
and start
Timer T1

T1 Timed Out

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Exchange Buffer Resent

+-------------------------+
| S | | | B | C | Expecting
-----| T | 1 | SFID | C | / |-----> BSN=1
| X | | | S | R | Block OK
+-------------------------+

Exchange Buffer Being Sent

+-------------------------+
| S | | | B | C | Response
<----| T | 1 | SFPA | C | / |----- BSN=1
| X | | | S | R | Block OK
+-------------------------+

Exchange Buffer Being Sent

+-------------------------+
| S | | | B | C |
-----| T | 2 | DATA | C | / |-----> Data OK
| X | | | S | R |
+-------------------------+

Note: A credit value of 1 must be used to guarantee half-duplex

flip-flop.

C.2.6. Sequence of Events for Special Logic Processing

The following functions will be executed in sequence:

1. Calculation of the Block Sequence Number (BSN):

BSN is set to zero by SSID. First block will be sent with value
zero. Value of BSN is increased by one for each data buffer to be
transmitted. When BSN value exceeds 9, counter will be reset to
zero.

Format: numeric/1 pos.

2. Calculation of the Block Checksum (BCS):

Calculation is done as specified in the ISO DIS 8073 TRANSPORT

LAYER document.

Format: binary/2 pos.

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3. Shift-out transparency (See TRANSMIT/RECEIVE logic.)

To avoid appearance of any control characters in the data stream,

all the characters of the extended Exchange Buffer (with exception
of the STX and carriage return characters enveloping the buffer)
are put through a Shift-out logic, which result in a character
being inserted (SO) and adding hex value ’20’ to the control
character.

4. The carriage return is inserted at the end of the data buffer.

Note: After adding STX, BSN, BCS, CR, and SO-logic, the data buffer
may exceed the Data Exchange Buffer size.

C.2.7. Checksum Creation Algorithm

These follow the ISO DIS 8073 TRANSPORT LAYER standard.

SYMBOLS:

The following symbols are used:

C0,C1 Variables used in the algorithm

L Length of the complete NSDU
X Value of the first octet of the checksum parameter
Y Value of the second octet of the checksum parameter

ARITHMETIC CONVENTIONS:

Addition is performed in one of the two following modes:

a) modulo 255 arithmetic

b) one’s complement arithmetic in which if any of the variables
has the value minus zero (i.e., 255) it shall be regarded as
though if was plus zero (i.e., 0).

ALGORITHM FOR GENERATING CHECKSUM PARAMETERS:

. Set up the complete NSDU with the value of the checksum parameter
field set to zero.

. Initialise C0 and C1 to zero.

. Process each octet sequentially from i=1 to L by

a) adding the value of the octet to C0, then

b) adding the value of C0 to C1.

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. Calculate X and Y such that

X = C0 - C1
Y = C1 - 2*C0

. Place the values X and Y in the checksum bytes 1 and 2,

respectively.

C.2.8. Algorithm for checking checksum parameters

. Initialise parameters C0 and C1 to zero.

. Process each octet of NSDU sequentially from i=1 to L by

a) adding the value of the octet to C0, then

b) adding the value of C0 to C1.

. If, when all the octets have been processed, either or both C0
and C1 does not have the value zero, then the checksum formulas
have not been satisfied.

Note that the nature of the algorithm is such that it is not

necessary to compare explicitly the stored checksum bytes.

C.2.9. Shift-out Processing

(Transparency for all control characters)

TRANSMIT LOGIC (values SO: X’0E’ or X’8E’)

Buffer(1), ... , (n) is a character in the buffer to be sent.

FOR i=1 to n /* for all octets of the buffer */

IF ((buffer(i) & X’7F’) < X’20’)

THEN output (SO)

output (buffer(i) + X’20’)

ELSE output (buffer(i))

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NEXT:

RECEIVE LOGIC (values SO: X’0E’ or X’8E’)

Buffer(1), ... , (n) is a character in the received buffer.

drop = false
FOR i=1 to n /* for all octets of the buffer */

IF drop = true

THEN output (buffer(i) - X’20’)

drop = false

ELSE IF buffer(i) = (X’0D’ or X’8D’)

THEN Stop
ELSE IF buffer(i) = SO
THEN drop = true
ELSE output (buffer(i))

NEXT:

C.3. PAD Parameter Profile

Before an (ODETTE-FTP) asynchronous entity --> Modem --> PAD -->

(ODETTE-FTP) native X.25 link can be established, the target PAD
parameters must be set such that correct communication is
established. It is strongly recommended that the PAD parameters are
set by the X.25 entity. CCITT recommendations X.3, X.28, and X.29
define the PAD parameters and procedures for exchange of control
information and user data between a PAD and a packet mode Data
Terminal Equipment (DTE).

Following is the Parameter list and values used to set the PAD for
ODETTE-FTP communication. For further detailed information see the
specification for CCITT X.25, X.28, X.29 and X.3.

No. Description Value Meaning

---------------------------------------------------------------
1 Escape from Data Transfer 0 Controlled by host
2 Echo 0 No Echo
3 Data Forwarding Signal 2 Carriage Return
4 Selection of Idle Timer Delay 20 1 second
5 Ancillary Device Control 0 X-ON, X-OFF not used
6 PAD Service Signals 1 All except prompt
7 Procedure on Break 2 Reset
8 Discard Output 0 Do not discard
9 Padding after Carriage Return 0 No padding

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10 Line Folding 0 No line folding

11 Terminal Data Rate - Read only
12 Flow Control of the PAD 0 No flow control used
13 Linefeed Insertion after C/R 0 No linefeed
14 Linefeed Padding 0 No linefeed padding
15 Editing 0 No editing
16 Character Delete 127 Delete
17 Line Delete 24 <CTRL>X
18 Line Display 18 <CTRL>R
19 Editing PAD Service Signals 0 No service signal
20 Echo Mask 0 No echo mask
21 Parity Treatment 0 No parity check
22 Page Wait 0 No page wait

Note 1:

Refer to CCITT (1984)

- Parameters 1 - 12 are mandatory and available internationally.
- Parameters 13 - 22 may be available on certain networks and may
also be available internationally.
- A parameter value may be mandatory or optional.

The ODETTE profile refers only to parameter values which must be

internationally implemented if the parameter is made available
internationally.

The ODETTE-FTP "special-logic" parameter may be impossible on some

PADs because they do not support of some of the parameters (13 - 22).
(If the PAD is supporting parity check (21) by default, ODETTE-FTP
special logic would be impossible.)

It is a user responsibility to ensure special logic consistency when

making the PAD subscription.

Note 2:

Some parameters may have to be set differently depending on:

- Make and function of the start-stop mode DTE entity.
- Start-stop mode DTE entity ODETTE-FTP monitor function.
- PAD services implemented.
- Packet mode DTE entity ODETTE-FTP monitor function.

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Appendix D. OFTP X.25 over ISDN Recommendation

This appendix describes the recommendation of ODETTE Group 4 (1) for

the use of OFTP (2) over X.25 over ISDN.

(1) ODETTE Group 4 is responsible for the specification of

Telecommunications standards and recommendations for use
within the Automotive Industry.

(2) OFTP (ODETTE File Transfer Protocol) is the communications

standard specified by ODETTE Group 4 designed for the transfer
of both EDI and non-EDI data.

This document offers an introductory overview of a technical subject.

It is structured to contain the ODETTE recommendation, together with
introductory information for the person not familiar with ISDN, and
notes on the issues associated with the implementation of the
recommendation.

The first section provides the detailed ODETTE recommendation, which

is followed by a general discussion. If you are not familiar with
the terminology, please read the subsequent sections first.

How far an existing X.25 Line adapter may be replaced by an ISDN line
adapter in an installation depends on the opportunities in view of
connections (X.25 or ISDN) of the involved partners for file
transfer.

Companies that keep many connections to external partners (for

example, car manufacturing companies) may use the OFTP file transfer
in view of compatibility, which must always be considered anyway only
in parallel to the X.25 network.

It is not the aim of this recommendation to remove the OFTP file

transfer generally from the X.25 network to the ISDN network. This
will not always be possible for international connections because of
technical reasons, and this does not always make sense for
connections with a low size of data to be transmitted.

Certainly, the use of ISDN, when exchanging a high volume of data

(for example, CAD/CAM files), is very much cheaper than the use of an
X.25 network. For such cases, this recommendation shall provide a
cost-effective possibility for file transfer.

This appendix is organized as follows. D.1 defines the ODETTE

recommendation in these terms, D.2 introduces the ISDN environment to
the unfamiliar reader, D.3 describes the various methods of
connecting to ISDN, and D.4 covers implementation issues.

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D.1. ODETTE ISDN Recommendation

X.25: Level 2 ISO 7776

Protocol

Level 3 ISO 8208

Protocol

Packet Size 128

Level 2 7
Window Size

Level 3 7
Window Size

First LCN 1

Number of LCNs 1

Facilities Window Size and Packet Size

negotiation shall be supported
by everybody. Call User Data
should not be required.

Calling NUA Optionally provided by the call

initiator.

Called NUA Should be set to a value where

the last ’n’ digits can be
specified by the called party.

ISDN: Apart from requesting a 64K unrestricted digital

call, no ISDN features shall be required.

Timeout control: To avoid connections (B channels) within the

circuit-switched ISDN network remaining active
but unused for a long time, the adapter should
include a timeout control.

An ISDN connection (B channel) should be released

if no X.25 packets have been transmitted on this
connection for a longer time. For flexibility a
variable user definable timer should be
incorporated into the adapter.

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In the event of a timeout situation the adapter

has to release the ISDN connection and notify the
local OFTP by the transmission of a clear packet.

The pages that follow are informational and do not form part of this
recommendation.

D.2. Introduction to ISDN

The use of digital encoding techniques over such high-quality,

error-free backbone networks has allowed the PTTs to offer high
bandwidths to the end user. The service is named ISDN (Integrated
Services Digital Network).

The increasing need to transfer larger volumes of EDI data, in

particular CAD/CAM drawings, has focused attention upon high-speed,
low-cost communication. The traditional X.25 over a Packet Switched
Data Network (PSDN) has been a good general purpose communications
subsystem. Unfortunately, its cost and transfer speed make PSDN
expensive for the new requirement.

X.25 over the new ISDN provides both the transfer speed and cost
benefits to satisfy the new requirements.

We include the following terminology because for us to make sense of

ISDN and X.25, it is important that we use definitions precisely and
avoid the abuses of the past.

ISDN: Integrated Services Digital Network

X.25: X.25 is a communications protocol. It defines the

structure of data packets that comprise the protocol and
the manner in which they are used.

PSDN: A PSDN (Packet Switched Data Network) is a network over

which the X.25 protocol is operated.

PSPDN: A PSPDN (Packet Switched Public Data Network) is a PSDN

operated by the PTTs. PSPDNs are given trade names,
such as PSS in the UK, Datex-P in Germany, and Transpac
in France.

BRI: Basic Rate Interface, also known as Basic Rate Access,

defines an ISDN facility with 2 x 64 K B channels.

PRI: Primary Rate Interface, also known as Primary Rate

Access, defines an ISDN facility with 30 x 64 K B
channels.

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Channels: ISDN is typically brought into a consumer’s premises

using a twisted pair of wire. Over this wire, data can
be transmitted in frequency bands. These frequency
bands are allocated as channels.

B channels: The B channels are the data channels and operate at 64

Kb. The two end users of a connection will communicate
over a B channel.

D channel: Signalling on ISDN is performed over the D channel.

Signalling is used to set up and release connections on
the B channels. In some countries, the D channel can
also be used for limited X.25 access to the PTTs’ PSDN.

The D channel operates at the lower speed of 16 Kb as it

is normally used only at the beginning and end of a
connection.

Bandwidth Allocation:
2 Wire B2 - 64 Kb
Twisted Pair B1 - 64 Kb
D Channel - 16 Kb

The standard for the operation of the D channel is

called ETSI and is used in most European countries.
However, some countries that started the introduction
very early used proprietary standards, for example:

1TR6 - Used in Germany

BTNR - Used in the UK

Although there are D channel variations, this will not

affect communications over the B channels as the
communication over the D channel is between the
subscriber and the ISDN service provider.

However, the consumer’s equipment must be able to handle

the channel D signalling operated by the ISDN service
provider and so there may be a problem of equipment
availability and certification.

All the PTTs have committed to migrate to ETSI (also

known as EURO-ISDN and Q.931) and many are currently
supporting both their national variant and ETSI. It is
advisable that in this situation the subscriber select
the ETSI variant to avoid unnecessary equipment
obsolescence.

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Services: The high-speed service is provided in two forms, Basic

and Primary.

Basic: 2+D, the D 2B channel operates at 16 Kb. The

Basic Rate access is normally provided to the subscriber
over simple twisted pair cable.

Primary: 30B+D, the D channel operates at 64 Kb.

Primary Rate access is normally provided to the
subscriber over shielded coaxial cable. Note that the
bandwidth for Primary is 2.048 Mbit/s.

Protocols: The B channel is a binary channel and is transparent to

the flow of data. Therefore, all of the currently
available protocols can operate over a B channel. The
most common protocol is X.25.

X.25: The X.25 protocol is a primary protocol for open

computer-to-computer communication.

Passive Bus: It is possible to have an ISDN service enter a building

and then have an 8-core cable laid within the building
with multiple ISDN junction points, in the same way as
one would have multiple telephone points (extensions)
for a particular external telephone line.

Connection Setup

The adapter is responsible for analysing the outgoing X.25 call

request and making an ISDN call to a derived ISDN address,
establishing a new X.25 level-2 and level-3, and then propagating
the X.25 Call Request Packet.

Connection Termination

The termination phase of the X.25 call is made with a Clear

Request and finalised with a Clear Confirmation. The recipient of
the Clear Confirm should then close down the ISDN connection.

The clear down of the ISDN connection should only be made if there
are no other Switched Virtual Circuits (SVCs) active on the ISDN
connection; note that the usage of multiple simultaneous SVCs is
only by virtue of bilateral agreement.

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D.3. Equipment Types

There are a number of ways in which ISDN/X.25 access can be made.

Integrated Adapter

This is normally a PC-based ISDN adapter inside a PC. It is

normal in such an environment that the OFTP application has the
ability to manipulate the ISDN and X.25 aspects of the session
independently and therefore have complete control.

Equally important is that the speed of communication between the

adapter and the application are at PC BUS speeds. It is
therefore more likely that the effective transmission speed will
be nearer the 64K limit.

The other benefit of such a direct linkage is that both 64K B

channels may be used in parallel and both able to operate at
64Kb.

Elementary Terminal Adapter

In this scenario, the computer has an integral X.25 adapter

communicating X.21 with a Terminal Adapter that fronts the ISDN
network. This allows a host with a X.25 capability to interface
to ISDN, normally on a one-to-one basis.

The interface between the Terminal Adapter and the PC will

typically only support one 64K B channel. This is obviously an
inefficient usage of the ISDN service.

Because the linkage between the computer and the Terminal Adapter
is only X.25, then some modification/configuration may be needed
inside the Terminal Adapter when new users are added.

X.25 Switch

This solution is normally found inside the larger corporates

where an internal X.25 network is operated or where dual X.25 and
ISDN is required.

The main benefit of a switch is to support both PSDN and ISDN

simultaneously. Also, multiple X.21 lines may be implemented
between the X.25 switch and the computer.

This solution normally requires more effort to configure and may

require obligations to be placed upon how incoming callers
specify routing.

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D.4. Implementation

The adoption of ISDN as an additional subsystem to support OFTP

communications has associated implementation problems, which can be
categorised as below:

X.25/ISDN Addressing
Making a Call
Receiving a Call
Logical Channel Assignment
Facilities Negotiation
ISDN Call Attributes
Homologation Issues
Growth
Performance

D.4.1. X.25/ISDN Addressing

The original OFTP was designed to work over the X.25 networks
provided by the PTTs (PSPDNs). The national X.25 networks were
interconnected to provide a global X.25 network, and a common
addressing scheme was adopted by all. Although there were a few
differences in addressing within a national network, the interface to
other countries was quite rigid and normalised.

PSPDN Numbering

The addressing scheme adopted in X.25 is a 15-digit number

(Network User Address, NUA) where the first three identify the
country, the fourth digit identifies the network within the
country, and the remainder specify the individual subscriber plus
an optional subaddress. In the UK where a full X.25 numbering
scheme is adopted, a NUA is, e.g., 234221200170, where 2342 is the
DNIC (Data Network Identification Code) and 21200170 is the
subscriber number.

ISDN Numbering

ISDN is an extension of the normal telephone system; consequently,

it adopts (or rather is) the same numbering scheme as the
telephone system (PSTN).

The Numbering Conflict

The PSDN and PSTN numbering schemes are two totally different
numbering schemes. There is no relationship between them. It is
this conflict that is at the heart of the matter.

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D.4.2. Making a Call

It is a consequence of PSDN and PSTN being based upon different and

unconnected numbering schemes that the key problem arises.

For X.25 to work over ISDN, three main methods of addressing are
available:

Un-mapped: The X.25 called NUA is used as the PSTN number. Thus,
an X.25 call to 0733394023 will result in a PSTN call
to 0733394023 and the call request that consequently
flows will also be to 0733394023.

Manipulated: The X.25 called NUA is manipulated by the subtraction

and/or addition of digits to derive a resultant PSTN
number. Thus, 2394023 could be manipulated to derive
a PSTN number of 00944733394023, where the prefix 2 is
deleted and replaced by 00944733.

Mapped: The X.25 called NUA is used as a look-up into a table

of PSTN numbers. Thus, an X.25 call to 234221200170
could be mapped to and result in a PSTN call to
0733394023 and the call request that consequently
flows will remain as 234221200170.

Un-mapped Calls

Un-mapped calls are where the host-specified X.25 NUA is converted

directly to the corresponding ISDN number.

Thus, an X.25 call issued by the host to X.25 NUA 0733394023 will
result in an ISDN call to the PSTN number 0733394023. After the
call has been established, then HDLC/X.25 protocol setup will be
established after which an X.25 call request will be transferred
with the NUA 0733394023.

When a PSTN call is made, the number of digits in the called

number vary depending upon the location of the called party.

When a number is called, it may be local, national, or

international.

local: 394023
national: 0733 394023
international: 009 44 733 394023

Depending upon where a call originates, the corresponding X.25 NUA

in the call request packet will vary dramatically.

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Such variation of X.25 NUA, in particular the changing prefix, can

be difficult to be accommodated by X.25 routing logic in many
products.

When an international PSTN call is being made, then it is likely

that the PSTN number exceeds 15 digits, which is the maximum
length of an X.25 NUA. Therefore, using un-mapped addressing may
make some international calls impossible to make.

Manipulated Calls

The X.25 called NUA is manipulated by the subtraction and/or

addition of digits to derive a resultant PSTN number.

Let us assume that by internal convention we have identified the

prefix ’2’ to indicate an international ISDN call. Thus, an X.25
call request of 244733394023 could be manipulated to derive a PSTN
number of 00944733394023, where the prefix ’2’ is deleted and
replaced by ’009’ (the international prefix).

The X.25 called NUA would typically be left in its un-manipulated

state. As individual internal conventions vary, the X.25 called
NUA will vary. In the case above, it would be 244733394023, but
another installation might have the convention where a prefix of
’56’ specifies the UK and so the NUA will be 56733394023, where
the ’56’ is deleted and replaced with ’00944’ to derive the PSTN
number.

Mapped Calls

The mapped method offers maximum flexibility in that:

The PSTN number can exceed 15 digits.

The X.25 NUA and PSTN number can be totally different.

The problem with mapped calls is administrative. IBM mainframes

can’t handle X.25 over ISDN at all, let alone support mapping.
For the mainframe solution to work, an external X.25/ISDN router
box is required and it is the responsibility of the external box
to provide any mapping necessary.

This means that any changes or addition of OFTP partners over ISDN
will require access to the computer room or special configuration
equipment to change the tables inside the external X.25/ISDN
router box.

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D.4.3. Receiving a Call

We have seen from the previous section that the called X.25 NUA
from an ISDN incoming call may vary considerably. If ISDN/X.25 is
confined to a national boundary, then such variation will not be
so great as most calls will have matching called X.25 NUA and PSTN
numbers.

X.25 switches and X.25 adapters normally route/accept/reject calls

based upon their X.25 called NUA. In particular, routing is made
upon the X.25 called NUA subaddress.

To derive this subaddress, there are 2 methods:

1) the last ’n’ digits are analysed.

2) the base X.25 NUA of the line is removed from the called NUA.
For example, if the called X.25 NUA is 23422120017010 and the
PSDN subscriber NUA is 234221200170, then the subaddress
derived from subtraction is 10.

Obviously, the second method will not work if the incoming NUA
varies.

ISDN Features

ISDN, like X.25, has a core set of features that are then enriched
with options. In the original OFTP X.25 specification, it was
decided that the Q-bit and D-bit options were not common to all
networks or applications; they were therefore positively excluded
from the specification.

It is proposed that apart from the core ISDN features necessary to

establish a call, no other features be used.

Subaddressing

There are two forms of ISDN subaddressing, overdialled and specific.

The overdial method allows an ISDN number to be artificially

extended. A typical case would be where a private exchange has been
installed in a larger company. Assume that the base number is
394023 and the computer is on internal extension 1234, then by
specifying an ISDN number of 3940231234, direct access may be made
to the internal extension.

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The problem with this method is that it extends to called number and
may, especially for international access, exceed the ISDN numbering
limits between countries.

The other method of subaddressing is where a discrete subaddress is

placed in a specific field in the ISDN call setup.

The problem with this method, is that it requires the caller to

place the subaddress in the ISDN call setup. Not all ISDN
implementations will allow this insertion.

In conclusion, subaddressing of any kind should be avoided.

D.4.4. Logical Channel Assignment

An X.25 dataline will have associated with it a number of logical

channels.

The number of channels is a part of the agreement between the PTT

and the subscriber. The number of channels subscribed to is
important; call failure and similar problems will result if the
number of logical channels defined at the two remote ends are
different.

If a DTE makes a call out, then the highest defined logical channel
number will be selected. If the remote Data Communications
Equipment (DCE) does not have the same number of logical channels
defined, then an invalid logical channel is being used from the
perspective of the recipient DCE and the call will be rejected.

D.4.5. Facilities Negotiation

In the PSPDN environment, it is possible to subscribe to negotiation

of window size and packet size. Although this negotiation requested
by the originator’s DTE may be propagated to the remote DTE at the
discretion of the originator’s DCE, it is a local responsibility
between the DTE and DCE pair.

In the ISDN scenario where it is a DTE-DTE type connection, the

window size and packet size may be left at the default value and
consequently the values may be omitted from the call request. If no
values are specified, then it is vital that both DTEs have
configured themselves to the recommended defaults.

The symptom of a window size mismatch is a hang situation without

any informational error codes.

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The symptoms of a packet size mismatch could work in some scenarios,

but would otherwise issue error codes indicating invalid packet
sizes.

Window Size

The CCITT X.25 window size has a default value of ’2’, although
subscribers may have other default window sizes, e.g., ’7’, by
virtue of agreement with the PTT.

Window size negotiation can be explicitly requested by specifying

the requested window size in the Facilities fields in the Call
Request packet.

Packet Size

The CCITT X.25 packet size has a default value of ’128’ octets,
although subscribers may have other default values, e.g., ’1024’,
agreed with the PTT.

D.4.6. ISDN Call Setup

The initial setup of an ISDN call is initiated with the

transmission of a Q.931 SETUP command. Apart from requesting that
a call be established, the SETUP command can optionally carry
information about the calling party, the called party, routing
information, the type of circuit required (e.g., voice or data),
and information about the protocols that are requested to be
established.

Setup Parameters:

Bearer capability Information transfer and

access attributes

Called Party number Destination’s network address

Called Party subaddress Destination’s complete

address

Calling Party number Source’s network address

Low-layer compatibility Layer 1-3 indication

High-layer compatibility Layer 4-7 indication

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D.4.7. Homologation Issues

Homologation procedures were adopted and vigorously enforced by the

PTTs with respect to the quality and conformance of communications
equipment connected to the services provided by the PTTs.

In particular, commercial X.25 products had to be tested and approved

before they could be connected to the PTTs’ PSPDN. The advantage of
this to the subscriber was that there was very little chance of the
approved equipment not working.

With ISDN, similar approval standards are still enforced. So the

subscriber has the same confidence in their ISDN equipment. Wrong,
the ISDN equipment itself is approved, but the X.15 protocol that
operates on top of ISDN is now outside of the scope of approval
services.

This means that quality of conformance to standards of X.25 over ISDN

is subject to the variable quality procedures within the various ISDN
equipment manufacturers.

Although it is likely that commercial reputation will place pressure

upon the manufacturers with a programming bug to correct such errors,
it still requires the subscribers that do not communicate well to put
time and effort into finding the party with the error.

So far, tests have shown a number of subtle errors, such as timing

problems, that have taken many days to find, prove, and fix.

D.4.8. Growth

Primary Rate Access

If a user decides to plan for growth from the beginning, then the
Primary Rate Access has apparent financial benefits. Such
apparent savings are usually lost due to the increased cost of
user hardware to support such an interface. The BRI for data
usage is very common and cards/adapters are low in cost, whereas
the PRI cards/adapters are few and far between and consequently
highly priced.

Basic Rate Access

One way to grow with ISDN is to buy multiple BRI lines, increasing
slowly in units of 2 x B channels. The PTTs will be able to
provide the same subscriber number for all the lines provided in a
similar way to the traditional hunting group associated with PSTN
type working.

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D.4.9. Performance

The obvious benefit of ISDN is speed; unfortunately, the majority

of computer systems in use today have a finite amount of computing
power available. The attachment of multiple active high-speed
communication lines used in file transfer mode could take a
significant amount of CPU resource to the detriment of other users
on the system.

Connecting an ISDN line with the default 2 B channels to your

computer using an X.21 interface is going to give a consistent 64
Kb throughput only if one of the B channels is active at any one
time.

If there are two 64 Kb channels active and contending for a single

64 Kb X.21 interface, then effective throughput will be reduced
significantly to just over 50%.

Mainframe issues:

Users with a mainframe front-end are also going to find cost an

issue. The scanners that scan the communications interfaces are
based upon aggregate throughput. A 64 Kb interface takes up a lot
of cycles.

Determining ’DTE’ or ’DCE’ Characteristics

The following section is an extract from the ISO/IEC 8208

(International Standards Organization, International
Electrotechnical Commission) (1990-03-15) standard, which is an
ISO extension of the CCITT X.25 standard.

The restart procedure can be used to determine whether the DTE

acts as a DCE or maintains its role as a DTE with respect to the
logical channel selection during Virtual Call establishment and
resolution of Virtual Call collision.

When prepared to initialise the Packet Layer, the DTE shall

initiate the restart procedure (i.e., transmit a RESTART REQUEST
packet). The determination is based on the response received from
the data exchange equipment (DXE) as outlined below.

a) If the DTE receives a RESTART INDICATION packet with a

restarting cause code that is not ’DTE Originated’ (i.e., it
came from a DCE), then the DTE shall maintain its role as a DTE.

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b) If the DTE receives a RESTART INDICATION packet with a

restarting cause code of ’DTE Originated’ (i.e., it came from
another DTE), then the DTE shall confirm the restart and act as
a DCE.

c) If the DTE receives a RESTART INDICATION packet with a

restarting cause code of ’DTE Originated’ (i.e., it came from
another DTE) and it does not have an unconfirmed RESTART REQUEST
packet outstanding (i.e., a restart collision), then the DTE
shall consider this restart procedure completed but shall take
no further action except to transmit another RESTART REQUEST
packet after some randomly chosen time delay.

d) If the DTE issues a RESTART REQUEST packet that is subsequently

confirmed with a RESTART CONFIRMATION packet, then the DTE shall
maintain its role as a DTE.

Acknowledgements

This document draws extensively on revision 1.4 of the ODETTE File

Transfer Specification [OFTP].

Many people have contributed to the development of this protocol and

their work is hereby acknowledged.

Normative References

[CMS-Compression]
Gutmann, P., "Compressed Data Content Type for
Cryptographic Message Syntax (CMS)", RFC 3274, June 2002.

[CMS] Housley, R., "Cryptographic Message Syntax (CMS)", RFC

3852, July 2004.

[ISO-646] International Organisation for Standardisation, ISO

Standard 646:1991, "Information technology -- ISO 7-bit
coded character set for information interchange", 1991.

[PKCS#1] Jonsson, J. and B. Kaliski, "Public-Key Cryptography

Standards (PKCS) #1: RSA Cryptography Specifications
Version 2.1", RFC 3447, February 2003.

[TLS] Dierks, T. and E. Rescorla, "The Transport Layer Security

(TLS) Protocol Version 1.1", RFC 4346, April 2006.

[UTF-8] Yergeau, F., "UTF-8, A Transformation Format of ISO

10646", STD 63, RFC 3629, November 2003.

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[ZLIB] Deutsch, P. and J-L. Gailly, "ZLIB Compressed Data Format

Specification version 3.3", RFC 1950, May 1996.

Informative References

[ISO-6523] International Organisation for Standardisation, ISO

Standard 6523:1984, "Data interchange -- Structures for
the identification of organisations", 1984.

[OFTP] Organisation for Data Exchange by Tele Transmission in

Europe, Odette File Transfer Protocol, Revision 1.4, April
2000.

[FTP] Postel, J. and J. Reynolds, "File Transfer Protocol", STD

9, RFC 959, October 1985.

[RFC793] Postel, J., "Transmission Control Protocol", STD 7, RFC

793, September 1981.

[RIME] Coleridge, Samuel Taylor, "The Rime of the Ancient

Mariner", 1817.

[X.509] Housley, R., Polk, W., Ford, W., and D. Solo, "Internet
X.509 Public Key Infrastructure Certificate and
Certificate Revocation List (CRL) Profile", RFC 3280,
April 2002.

[RFC3850] Ramsdell, B., "Secure/Multipurpose Internet Mail

Extensions (S/MIME) Version 3.1 Certificate Handling", RFC
3850, July 2004.

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ODETTE Address

The ODETTE File Transfer Protocol is a product of the Technology

Committee of Odette International. The Technology Committee can be
contacted via the ODETTE Central Office:

ODETTE INTERNATIONAL Limited

Forbes House
Halkin Street
London
SW1X 7DS
United Kingdom

Phone: +44 (0)171 344 9227

Fax: +44 (0)171 235 7112
EMail: [email protected]
URL: http://www.odette.org

Author’s Address

Ieuan Friend
Data Interchange Plc
Rhys House
The Minerva Business Park
Lynchwood
Peterborough
PE2 6FT
United Kingdom

Phone: +44 (0)1733 371 311

EMail: [email protected]

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Full Copyright Statement

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