1、ANSI/NISO Z39.83-2-2012 ISSN: 1041-5653 NISO Circulation Interchange Protocol (NCIP) Part 2: Implementation Profile 1 Version 2.02 Abstract: A practical implementation structure for the NISO Circulation Interchange Part 1: Protocol (NCIP) is defined. An American National Standard Developed by the Na
2、tional Information Standards Organization Approved: August 9, 2012 by the American National Standards Institute Published by: NISO, Baltimore, Maryland, U.S.A. About NISO Standards NISO standards are developed by the Standards Working Groups of the National Information Standards Organization. The de
3、velopment process is a strenuous one that includes a rigorous peer review of proposed standards open to each NISO Voting Member and any other interested party. Final approval of the standard involves verification by the American National Standards Institute that its requirements for due process, con
4、sensus, and other approval criteria have been met by NISO. Once verified and approved, NISO Standards also become American National Standards. This standard may be revised or withdrawn at any time. For current information on the status of this standard contact the NISO office or visit the NISO websi
5、te at: www.niso.org Published by NISO 3600 Clipper Mill Road Suite 302 Baltimore, MD 21211 www.niso.org Copyright 2012 by the National Information Standards Organization All rights reserved under International and Pan-American Copyright Conventions. For noncommercial purposes only, this publication
6、may be reproduced or transmitted in any form or by any means without prior permission in writing from the publisher, provided it is reproduced accurately, the source of the material is identified, and the NISO copyright status is acknowledged. All inquiries regarding translations into other language
7、s or commercial reproduction or distribution should be addressed to: NISO, 3600 Clipper Mill Road, Suite 302, Baltimore, MD 21211. ISSN: 1041-5653 (National Information Standards Series) ISBN: 978-1-937522-04-9 ANSI/NISO Z39.83-2-2012 Version 2.02 i Contents Foreword iii 1 Purpose . 1 2 Scope. 1 3 N
8、ormative References . 1 4 Definitions and Conventions 2 4.1 Definitions 2 4.2 Notational Convention . 2 5 Encoding . 3 5.1 Message Encoding and Structure . 3 5.1.1 XML Schema 3 5.1.2 Compression 3 5.2 Character Representation . 3 5.3 Representation of Data Types . 4 5.4 Representation of Monetary Qu
9、antities . 6 6 Required Components . 7 6.1 Required Services . 7 6.2 Required XML Prolog 7 6.2.1 XML Namespace . 8 6.3 Required Data Structures 8 6.3.1 Message Headers 8 6.3.2 Version Attribute. 8 6.4 Requirements and Restrictions on Data Elements 9 6.4.1 Lists of Values for Certain Data Elements .
10、9 6.5 Required Behavior Rules . 10 6.5.1 Declaration of Success 10 6.5.2 Omission of Requested Elements 11 6.5.3 Data Elements to be Included in Service Responses 11 6.5.4 Null Values . 11 6.5.5 Update Processing . 11 6.5.6 Mandated Action 12 6.5.7 Denial of Access 12 6.5.8 Error Identification 12 6
11、.5.9 Agency Id . 12 6.5.10 Persistent Ids . 12 7 Transport Protocol . 13 7.1 Implementations Acting as Initiators 13 7.2 Implementations Acting as Responders 13 7.3 HTTP/HTTPS Message Headers 13 ANSI/NISO Z39.83-2-2012 Version 2.02 ii 7.4 Direct Transmission via TCP/IP . 14 8 Security 14 9 Scheme /P
12、rofile Registration . 14 10 Extension . 14 Appendix A (normative) NCIP XML Schema 16 Appendix B (informative) Definitions of Values for Use in Some Sample Lists of Values 17 Appendix C (informative) Preliminary Registry of Schemes Defined for Optional Use with NCIP29 Bibliography 35 ANSI/NISO Z39.83
13、-2-2012 Version 2.02 iii Foreword (This foreword is not part of the NISO Circulation Interchange Protocol (NCIP) Part 2: Implementation Profile 1, ANSI/NISO Z39.83-2-2012. It is included for information only.) About This Standard This Implementation Profile (IMP1) has been developed to provide a pra
14、ctical implementation structure for the NISO Circulation Interchange Part 1: Protocol (NCIP). The Foreword to Part 1 provides a complete description of the reasons for the NCIPs development and the reasons for describing the physical implementation of the NCIP within an Implementation Profile rather
15、 than within the NCIP itself. In brief, the committee decided that this approach would improve the extensibility of the NCIP. This approach also allows the community of application providers and users to adapt the implementation profile to changing technology. Version 2.00 includes radical changes t
16、o the protocol. It is not backward compatible with Version 1.00, as it is based solely on an XML Schema. The Version 2.00 changes build on changes made since original publication of NCIP and known collectively (if inaccurately) as version 1.01, the version several implementers are already using. The
17、re are a few other changes that also break backward compatibility. The most significant are in error handling and extensibility. A summary of the changes made in Version 2.00 is included in the Foreword to ANSI/NISO Z39.83-1-2008, NISO Circulation Interchange - Part 1: Protocol (NCIP). A complete ch
18、ange list for Version 2.00 (including the incorporated changes from version 1.01) is posted on the NISO website at: www.niso.org/standards/z39-83-1-2008/. In 2009, the NCIP standard (parts 1 and 2) moved from a periodically maintained standard that requires reaffirmation every five years to a contin
19、uously maintained standard. Under continuous maintenance, a process is put in place for submittal and review of proposed changes on a published schedule. Requests for change must be submitted to the NCIP Standing Committee (NISO-SC) prior to its semiannual in-person meetings. At each meeting, the gr
20、oup will review all of the change requests and decide to accept the change for inclusion in the next revision, accept the change for further study and additional discussion at a future meeting, or reject the change. The complete procedure for the continuous maintenance is available at the NISO websi
21、te (www.niso.org/workrooms/ncip/continuous). When a sufficient number of changes have been accepted by the NCIP-SCor one or more changes is deemed to be to significant enoughthe NCIP-SC will prepare a revision for ballot and approval by a NISO voting pool of interested NISO voting members. The NCIP-
22、SC believes that Continuous Maintenance will permit the NCIP standard to adapt more quickly to the ever-changing needs in the implementer community. The group is, however, sensitive to the tension that exists between frequent changes, interoperability, and backwards compatibility. Therefore, the NCI
23、P-SC is committed to maintaining backwards compatibility in minor revisions and reserving more significant structural changes for major revisions. For example, Version 2.00 and 2.01 will be compatible, but there is no guarantee that Version 2.01 and Version 3.0 will be. Of course, a Version 2.0 impl
24、ementation exchanging with a Version 2.01 implementation will not understand any changes introduced in Version 2.01. It should be noted, too, that the effective version used in any specific transaction is governed by the Initiator. In December 2010, Version 2.01 was issued by the NISO-SC and treated
25、 as a draft for trial use. It was not officially balloted or approved as a revision to the standard. The changes in this standard (Implementation Profile 1) include updates for the proper URIs for the 2.01 schema and inclusion of what is the proper XML header for a conforming document. For a full li
26、st of the Version 2.01 changes to NCIP, see the Foreword to NISO Z39.83-1-2008 (Version 2.01), NISO Circulation Interchange - Part 1: Protocol (NCIP). This is Version 2.02. The changes in this revision are primarily corrections to earlier versions. Most notably, the reference in Section 5.3 to ISO 8
27、601 for the format for dateTime elements has been ANSI/NISO Z39.83-2-2012 Version 2.02 iv adjusted to reflect changes in the structure of that standard. Also, the location for the NCIP Version schema (Section 6.3.2) has been restored to what it was in Version 1.0 of the standard. The schema for the
28、Version element was intended to remain static across versions and should not have changed with each revision. The URIs of the schemas given in Appendix C, too, have been restored to the values from Version 1.0. A note has been added to explain that the schema URI should not change unless the content
29、 of the referenced schema itself changes. In addition, these schemas have been normalized to have a consistent format. Finally, new values have been added to the Bibliographic Item Identifier Code scheme and the Medium Type scheme. Instructions for Submittal of Proposed Change to ANSI/NISO Z39.83 Un
30、der Continuous Maintenance If a provision of the standard is proposed to be added, deleted, or modified, the text of the provision must be submitted in writing. Comments or proposals for revisions to any part of the standard may be submitted to NISO any time. Submissions must be accompanied by the s
31、ubmitters name, affiliation, telephone number, and e-mail address. Written comments are to be sent to: National Information Standards Organization (NISO) Attn: NCIP Standing Committee 3600 Clipper Mill Road, Suite 302 Baltimore, MD 21211 Tel.: 301-654-2512 (main) 866-957-1593 (toll-free) Fax: 410-68
32、5-5278 E-mail: nisohqniso.org Comments may also be submitted to NISO online at www.niso.org/contact. In addition, the following person may be contacted by those interested in submitting changes: Robert Walsh ANSI/NISO Z39.83 Maintenance Agency Representative, EnvisionWare E-mail: Principles In maki
33、ng decisions about this Implementation Profile 1 (IMP1) the committee examined ways to facilitate rapid and widespread implementation of the NCIP. Two goals drove decision-making: 1) make it easy for service providers to use NCIP in a variety of applications, and 2) make it easy for them to build th
34、ose applications quickly. From these goals, the committee developed the following principles: Use technology that is widely supported. This dictated choosing options that offered the most robust support for application development. Stay with the curve. NCIP will be embedded in applications that last
35、 an average of several years, if not longer. This requires choosing technology likely to stand the test of time. In some cases, this meant rejecting very promising technology when it was not clear that the technology would be widely adopted. As noted below, the committee deliberately built bridges t
36、o emerging technology where possible. These were judgment calls, not matters of precise calculations. Several areas deserve particular mention: Message Encoding and Structure The committee chose Extensible Markup Language (XML) over ASN.1/BER, which has been widely used in library applications. XML
37、is supported by a large number of organizations and tool providers. This provides implementers with a choice of tools. In addition, the expectation is that it will be the dominant encoding ANSI/NISO Z39.83-2-2012 Version 2.02 v method used in Internet communication. This widespread usage will help t
38、hose using the NCIP for library applications to connect libraries to the broader stream of information services available in todays electronic environment. Extensibility The Foreword to Part 1 discusses the variation in circulation practice and the need for a flexible mechanism for supporting variat
39、ion in practice and local policy. The business rules that enforce these policies often use enumerated data types to characterize those policies. In some cases these are defined in existing authoritative lists; in other cases, the lists are maintained locally by an agency or a consortium. In either c
40、ase, the expectation is that the definition of the enumerated types will be independent of the XML Schema definition for NCIP messages. The committee has adopted a data structure that allows for an optional Scheme attribute on data elements that tend to be values drawn from lists of values (authorit
41、ative or local) while leaving implementers free to use values without the mandated constraint of pre-defined lists.” Character Encoding The committee chose Unicode (UCS-2) for character encoding because the protocol messages may carry character data unsupported by the ASCII character set (American S
42、tandard Code for Information Interchange, ANSI X3.4-1 986). UTF-8 was chosen as the encoding scheme. Using UTF-8 is consistent with the Internet Engineering Task Force (IETF) mandate for the use of Unicode in Internet standards. UTF-8 will allow applications that only require support provided by ASC
43、II encoding to use ASCII and remain compliant with this IMP1. Message Transport The committee carefully considered the options for specifying transport protocols. Two aspects of the anticipated implementations drove the decision-making: The NCIP will be implemented extensively in applications that c
44、ross administrative domains. In these applications, secure transmission is a critical issue. In many cases NCIP messages will be embedded within Web applications, but in others, notably self-standing kiosk applications, the use of Web protocols might be difficult. For these reasons, the IMP1 allows
45、applications to use one of three transport protocols: hypertext transport protocol (HTTP), hypertext transport protocol with secure socket layer (HTTPS), and TCP/IP. The initiating application selects the transport mechanism and the responding application must respond using that transport. These cho
46、ices may be restricted by an application profile. The committee also considered using Simple Object Access Protocol (SOAP). While it had several advantages, the committee chose not to adopt it because SOAP is not currently a fully approved protocol. Trademarks, Service Marks Wherever used in this st
47、andard, all terms that are trademarks or service marks are and remain the property of their respective owners. ANSI/NISO Z39.83-2-2012 Version 2.02 vi The following NISO members were in the voting pool that approved this standard. American Society for Information Science the most current version of
48、the standards should be used. See the Bibliography for additional references that are cited in informative sections of the standard. ANSI/NISO Z39.83-1-2012, NISO Circulation Interchange Part 1: Protocol (NCIP) IETF RFC2119, Key words for use in RFCs to Indicate Requirement Levels, March 1997 IETF R
49、FC 2396, Uniform Resource Identifiers (URI): Generic Syntax, August 1998 IETF RFC 2616, Hypertext Transfer Protocol HTTP/1.1; June 1999 ISO 4217, Codes for the representation of currencies and funds ANSI/NISO Z39.83-2-2012 Version 2.02 2 ISO 8601, Data elements and interchange formats Information interchange Representation of dates and times ISO 10646, Information Technology Universal multiple-octet coded character set (UCS) The Unicode Consortium, The Unicode Standard W3C Recommendation, Character Model for the World Wide Web 1.0:
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