I N T E R N AT I O N AL I SO/I EC

S T AN D AR D 1 0040

S e co n d e d i ti o n

1 998-1 0-1 5

I n form ati on tech n ol og y — Open System s

I n tercon n ecti on — System s m an ag em en t

overvi ew

Te ch n o l o g i e s de l ' i n fo rm ati o n — I n te rco n n e xi o n de s ys tè m e s o u ve rts

(OSI ) — Ap e rçu g é n é ral de la g e s ti o n - s ys tè m e

BC R e fe re n ce

I S O /I E C
n u m ber

1 0 040: 1 998(E )
ISO/IEC 1 0040: 1 998(E)

Contents

Page
1 S cope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

2 Normative references . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

2. 1 Identical ITU- T Recommendations | International S tandards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

2. 2 Paired Recommendations | International S tandards equivalent in technical content . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

2. 3 Additional references . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . 4

3 Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

3.1 B as ic reference model definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . 4

3.2 Management framework definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . 4

3.3 C MIS E definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . 4

3.4 Management information model definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

3.5 OS I conformance tes ting methodology and framework definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

3.6 S ys tems management overview definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

4 Abbreviations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

5 S ys tems management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . 7

6 S ys tems management model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . 8

6. 1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

6. 2 Information as pects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . 9

6. 3 Functional as pects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . 11

6. 4 O S I communications as pects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . 11

6. 5 O rganizational as pects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . 15

7 S ys tems management s tandards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . 16

7. 1 Architecture and s tructure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . 17

7. 2 C ommunication of management information. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

7. 3 S tructure of management information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

7. 4 S ys tems management functions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18

8 Conformance and compliance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . 19

8.1 C ompliance to this Recommendation | International S tandard . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19

8.2 C onformance to this Recommendation | International S tandard . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21

Annex A – Application context for s ys tems management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

A. 1 B ackground . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

A. 2 S ys tems management application context . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

A. 3 Rules for es tablis hing as s ociations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23

A. 4 Conformance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25

Annex B – S cope s tatement for s ys tems management functions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

B.1 The rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

B.2 The boilerplate. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26

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© ISO/IEC ISO/IEC 1 0040: 1 998(E)

Foreword

ISO (the International Organization for Standardization) and IEC (the International Electrotechnical Commission) form the
specialized system for worldwide standardization. National bodies that are members of ISO or IEC participate in the
development of International Standards through technical committees established by the respective organization to deal with
particular fields of technical activity. ISO and IEC technical committees collaborate in fields of mutual interest. Other
international organizations, governmental and non-governmental, in liaison with ISO and IEC, also take part in the work.
In the field of information technology, ISO and IEC have established a joint technical committee, ISO/IEC JTC 1. Draft
International Standards adopted by the joint technical committee are circulated to national bodies for voting. Publication as an
International Standard requires approval by at least 75 % of the national bodies casting a vote.
International Standard ISO/IEC 10040 was prepared by Joint Technical Committee ISO/IEC JTC 1, Information technology,
Subcommittee SC 33, Distributed application services, in collaboration with ITU-T. The identical text is published as ITU-T
Recommendation X.701.
This second edition cancels and replaces the first edition (ISO/IEC 10040:1992), which has been technically revised. It also
incorporates Amendment 1:1995, Technical Corrigendum 1:1994 and Technical Corrigendum 2:1996.
Annex A forms an integral part of this International Standard. Annex B is for information only.

iii
 ISO/IEC 1 0040 : 1 998 (E)

INTERNATIONAL STANDARD
IS O/IEC 1 0040 : 1 998 (E)
ITU-T Rec. X. 701 (1 997 E)

ITU-T RECOMMENDATION

INFORMATION TECHNOLOGY – OPEN SYSTEMS INTERCONNECTION –

SYSTEMS MANAGEMENT OVERVIEW

1 Scope

This Recommendation | International S tandard:

– provides an overview to the family of systems management standards;

– establishes the basis for partitioning the systems management standards into separate groups, specifying
the scope of each group and identifying the principal components within each group;

– gives guidance on the development of systems management standards and identifies the way they relate to
each other;

– defines terms for use by other systems management standards;

– is applicable to the definition of all systems management standards and to all aspects of systems
management of whatever scale;

– is applicable to situations in which the responsibility for systems management is centralized and those
where it is decentralized;

– establishes a model for systems management, identifies several aspects of systems management
(i. e. information, functional, communications, and organizational), and further refines the model to clarify
these aspects;

– identifies the principles governing conformance requirements and conformance claims to systems
management standards.

There are no conformance requirements on the main body of this Recommendation | International S tandard, however it
does specify requirements on standards claiming compliance to systems management.

Annex A defines an application context for systems management and specifies the rules for negotiating systems
management functional units. There are conformance requirements associated with these rules.

2 Normative references

The following Recommendations and International Standards contain provisions which, through reference in this text,
constitute provisions of this Recommendation | International S tandard. At the time of publication, the editions indicated
were valid. All Recommendations and S tandards are subj ect to revision, and parties to agreement based on this
Recommendation | International S tandard are encouraged to investigate the possibility of applying the most recent edition
of the Recommendations and S tandards listed below. Members of IEC and IS O maintain registers of currently valid
International S tandards. The Telecommunication S tandardization B ureau of the ITU maintains a list of currently valid
ITU-T Recommendations.

2.1 Identical ITU-T Recommendations | International Standards

– ITU-T Recommendation X. 200 (1 994) | IS O/IEC 7498-1 : 1 994, Information technology – Open Systems
Interconnection – Basic Reference Model: The Basic Model.

– ITU-T Recommendation X. 207 (1 993 ) | ISO/IEC 95 45 : 1 994, Information technology – Open Systems
Interconnection – A pplication layer structure.

– ITU-T Recommendation X. 21 7 (1 995 ) | ISO/IEC 8649: 1 996, Information technology – Open Systems
Interconnection – Service definition for the association control service element.

– ITU-T Recommendation X. 227 (1 995 ) | IS O/IEC 865 0-1 : 1 996, Information technology – Open Systems
Interconnection – Connection- oriented protocol for the association control service element: Protocol

specification.

ITU-T Rec. X.701 (1 997 E) 1

ISO/IEC 1 0040 : 1 998 (E)

– ITU-T Recommendation X. 680 (1 994) | IS O/IEC 8824-1 : 1 995 , Information technology – A bstract Syntax
Notation One (ASN. 1 ): Specification of basic notation.

– ITU-T Recommendation X. 681 (1 994) | IS O/IEC 8824-2: 1 995 , Information technology – A bstract Syntax
Notation One (ASN. 1 ): Information object specification.

– ITU-T Recommendation X. 682 (1 994) | IS O/IEC 8824-3 : 1 995 , Information technology – A bstract Syntax
Notation One (ASN. 1 ): Constraint specification.

– ITU-T Recommendation X. 683 (1 994) | IS O/IEC 8824-4: 1 995 , Information technology – A bstract Syntax
Notation One (ASN. 1 ): Parameterization of ASN. 1 specifications.

– ITU-T Recommendation X. 690 (1 994) | IS O/IEC 8825 -1 : 1 995 , Information technology – ASN. 1 encoding
rules: Specification of Basic Encoding Rules (BER), Canonical Encoding Rules (CER) and Distinguished
Encoding Rules (DER).

– ITU-T Recommendation X. 691 (1 995 ) | IS O/IEC 8825 -2: 1 995 , Information technology – ASN. 1 encoding
rules: Specification of Packed Encoding Rules (PER).

– ITU-T Recommendation X. 702 (1 995 ) | IS O/IEC 1 1 5 87: 1 996, Information technology – Open Systems
Interconnection – Application context for systems management with transaction processing.

– CCITT Recommendation X. 71 2 (1 992) | ISO/IEC 95 96-2: 1 993 , Information technology – Open Systems
Interconnection – Common management information protocol: Protocol Implementation Conformance
Statement (PICS) proforma plus Technical Corrigenda 1 and 2 (1 996).

– CCITT Recommendation X. 720 (1 992) | IS O/IEC 1 01 65 -1 : 1 993 , Information technology – Open Systems
Interconnection – Structure of management information: Management information model.

– CCITT Recommendation X. 721 (1 992) | IS O/IEC 1 01 65 -2: 1 992, Information technology – Open Systems
Interconnection – Structure of management information: Definition of management information.

– CCITT Recommendation X. 722 (1 992) | IS O/IEC 1 01 65 -4: 1 992, Information technology – Open Systems
Interconnection – Structure of management information: Guidelines for the definition of managed objects.

– ITU-T Recommendation X. 723 (1 993 ) | IS O/IEC 1 01 65 -5 : 1 994, Information technology – Open Systems
Interconnection – Structure of management information: Generic management information.

– ITU-T Recommendation X. 724 (1 993 ) | IS O/IEC 1 01 65 -6: 1 994, Information technology – Open Systems
Interconnection – Structure of management information: Requirements and guidelines for implementation
conformance statement proformas associated with OSI management.

– ITU-T Recommendation X. 725 (1 995 ) | IS O/IEC 1 01 65 -7: 1 996, Information technology – Open Systems
Interconnection – Structure of management information: General relationship model.

– CCITT Recommendation X. 73 0 (1 992) | IS O/IEC 1 01 64-1 : 1 993 , Information technology – Open Systems
Interconnection – Systems Management: Object management function.

– CCITT Recommendation X. 73 1 (1 992) | IS O/IEC 1 01 64-2: 1 992, Information technology – Open Systems
Interconnection – Systems Management: State management function.

– CCITT Recommendation X. 73 2 (1 992) | IS O/IEC 1 01 64-3 : 1 993 , Information technology – Open Systems
Interconnection – Systems Management: Attributes for representing relationships.

– CCITT Recommendation X. 73 3 (1 992) | IS O/IEC 1 01 64-4: 1 992, Information technology – Open Systems
Interconnection – Systems Management: Alarm reporting function.

– CCITT Recommendation X. 73 4 (1 992) | IS O/IEC 1 01 64-5 : 1 993 , Information technology – Open Systems
Interconnection – Systems Management: Event report management function.

– CCITT Recommendation X. 73 5 (1 992) | IS O/IEC 1 01 64-6: 1 993 , Information technology – Open Systems
Interconnection – Systems Management: Log control function.

– CCITT Recommendation X. 73 6 (1 992) | IS O/IEC 1 01 64-7: 1 992, Information technology – Open Systems
Interconnection – Systems Management: Security alarm reporting function.

– ITU-T Recommendation X. 73 7 (1 995 ) | IS O/IEC 1 01 64-1 4: 1 996, Information technology – Open Systems
Interconnection – Systems Management: Confidence and diagnostic test categories.

– ITU-T Recommendation X. 73 8 (1 993 ) | IS O/IEC 1 01 64-1 3 : 1 995 , Information technology – Open Systems
Interconnection – Systems Management: Summarization function.

– ITU-T Recommendation X. 73 9 (1 993 ) | IS O/IEC 1 01 64-1 1 : 1 994, Information technology – Open Systems
Interconnection – Systems Management: Metric objects and attributes.

2 ITU-T Rec. X.701 (1 997 E)

 ISO/IEC 1 0040 : 1 998 (E)

– CCITT Recommendation X. 740 (1 992) | ISO/IEC 1 01 64-8: 1 993 , Information technology – Open Systems
Interconnection – Systems Management: Security audit trail functions.

– ITU-T Recommendation X. 741 (1 995 ) | IS O/IEC 1 01 64-9: 1 995 , Information technology – Open Systems
Interconnection – Systems Management: Objects and attributes for access control.

– ITU-T Recommendation X. 742 (1 995 ) | IS O/IEC 1 01 64-1 0: 1 995 , Information technology – Open Systems
Interconnection – Systems Management: Usage metering function for accounting purposes.

– ITU-T Recommendation X. 745 (1 993 ) | IS O/IEC 1 01 64-1 2: 1 994, Information technology – Open Systems
Interconnection – Systems Management: Test management function.

– ITU-T Recommendation X. 746 (1 995 ) | IS O/IEC 1 01 64-1 5 : 1 995 , Information technology – Open Systems
Interconnection – Systems Management: Scheduling function.

– ITU-T Recommendation X. 75 1 (1 995 ) | IS O/IEC 1 01 64-1 7: 1 996, Information technology – Open Systems
Interconnection – Systems Management: Change over function.

2.2 Paired Recommendations | International Standards equivalent in technical content

– CCITT Recommendation X. 208 (1 988), Specification of Abstract Syntax Notation 1 (A SN. 1 ).

IS O/IEC 8824: 1 990, Information technology – Open Systems Interconnection – Specification of A bstract
Syntax Notation One (ASN. 1 ).

– CCITT Recommendation X. 209 (1 988), Specification of basic encoding rules for Abstract Syntax
Notation One (A SN. 1 ).

IS O/IEC 8825 : 1 990, Information technology – Open Systems Interconnection – Specification of Basic
Encoding Rules for Abstract Syntax Notation One (ASN. 1 ).

– CCITT Recommendation X. 21 9 (1 988), Remote operations: Model, notation and service definition.

IS O/IEC 9072-1 : 1 989, Information processing systems – Text communication – Remote Operations –
Part 1 : Model, notation and service definition.

– CCITT Recommendation X. 229 (1 988), Remote operations: Protocol specification.

IS O/IEC 9072-2: 1 989 Information processing systems – Text communication – Remote Operations –
Part 2 : Protocol specification.

– ITU-T Recommendation X. 290 (1 995 ), OSI conformance testing methodology and framework for
protocol Recommendations for ITU-T applications – General concepts.

IS O/IEC 9646-1 : 1 994, Information technology – Open Systems Interconnection – Conformance testing
methodology and framework – Part 1 : General concepts.

– ITU-T Recommendation X. 296 (1 995 ), OSI conformance testing methodology and framework for
protocol Recommendations for ITU-T applications – Implementation conformance statements.

IS O/IEC 9646-7: 1 995 , Information technology – Open Systems Interconnection – Conformance testing
methodology and framework – Part 7: Implementation Conformance Statements.

– CCITT Recommendation X. 700 (1 992), Management framework for Open Systems Interconnection (OSI)
for CCITT applications.

IS O/IEC 7498-4: 1 989, Information processing systems – Open Systems Interconnection – Basic
Reference Model – Part 4: Management framework.

– CCITT Recommendation X. 71 0 (1 991 ), Common management information service definition for CCITT
applications .

IS O/IEC 95 95 : 1 991 , Information technology – Open Systems Interconnection – Common management

information service definition.

– CCITT Recommendation X. 71 1 (1 991 ), Common management information protocol specification for

CCITT applications.

IS O/IEC 95 96-1 : 1 991 , Information technology – Open Systems Interconnection – Common management
information protocol – Part 1 : Specification.

– CCITT Recommendation X. 860 (1 992), Open Systems Interconnection – Distributed transaction

processing – Model.

IS O/IEC 1 0026-1 : 1 992, Information technology – Open Systems Interconnection – Distributed

Transaction Processing – Part 1 : OSI TP Model.

ITU-T Rec. X.701 (1 997 E) 3

ISO/IEC 1 0040 : 1 998 (E)

– CCITT Recommendation X. 861 (1 992), Open Sy s te m s In te rc o n n e c tio n – D istrib u te d tra n s a c tio n

p ro c e s s in g : Se rv ic e de fin itio n .

ISO/IEC 1 0026-2: 1 992, In fo rm a tio n te c h n o lo g y – Op e n Sy ste m s In te rc o n n e c tio n – D istrib u te d

Tra n s a c tio n Pro c e s s in g – Pa rt 2 : O SI TP Se rv ic e .

– CCITT Recommendation X. 862 (1 993 ), Open Sy s te m s In te rc o n n e c tio n – D istrib u te d tra n s a c tio n

p ro c e s s in g : Pro to c o l s p e c ific a tio n .

ISO/IEC 1 0026-3 : 1 992, In fo rm a tio n te c h n o lo g y – Op e n Sy ste m s In te rc o n n e c tio n – D istrib u te d

Tra n s a c tio n Pro c e s s in g – Pa rt 3 : Pro to c o l s p e c ific a tio n .

2.3 Additional references

– IS O 85 71 : 1 988 , In fo rm a tio n p ro c e s s in g s y s te m s – Op e n Sy s te m s In te rc o n n e c tio n – File Tra n s fe r, A cce ss

a n d Ma n a g e m e n t.

– ISO/IEC 95 45 : 1 994, In fo rm a tio n te c h n o lo g y – Op e n Sy ste m s In te rc o n n e c tio n – A p p lic a tio n La y e r

s tru c tu re .

3 Definitions

3.1 B asic reference model definitions

This Recommendation | International S tandard is based on the concepts in the B asic Reference Model for Open S ystems
Interconnection and makes use of the following terms defined in ITU-T Rec. X. 200 | IS O/IEC 7498-1 :

a) application service element;

b) systems management.

3.2 Management framework definitions

This Recommendation | International S tandard makes use of the following terms defined in CCITT Rec. X. 700 | IS O/IEC
7498-4:

a) managed obj ect;

b) management information base;

c) systems management application entity.

3.3 CMISE definitions

This Recommendation | International S tandard makes use of the following terms defined in CCITT Rec. X. 71 0 | IS O/IEC
95 95 :

a) attribute (of managed obj ect);

b) common management information service element;

c) common management information services.

3.4 Management information model definitions

This Recommendation | International S tandard makes use of the following terms defined in CCITT Rec. X. 720 | IS O/IEC
1 01 65 -1 :

a) attribute type;

b) naming tree;

c) managed obj ect boundary.

This Recommendation | International S tandard makes use of the following term defined in ITU-T Rec X. 725 |
IS O/IEC 1 01 65 -7:

d) managed relationship.

4 ITU-T Rec. X.701 (1 997 E)

 ISO/IEC 1 0040 : 1 998 (E)

3.5 OSI conformance testing methodology and framework definitions

T his Rec o mmendatio n | Internatio nal S tandard makes us e of the fo llo wing terms defined in IT U- T Rec . X. 2 9 0 |

IS O /IEC 9 6 46- 1 and ITU- T Rec . X. 29 6 | IS O /IEC 9 646 - 7 :

a) Pro to c o l Imp lementatio n C o nfo rmanc e S tatement ( PIC S ) ;

a) PIC S p ro fo rma;

b) s ys tem c o nformanc e s tatement;

c) imp lementatio n c o nfo rmanc e s tatement ( IC S ) ;

d) IC S p ro fo rma.

3.6 Systems management overview definitions

Fo r the purp o s es o f this Rec o mmendatio n | International S tandard, the fo llo w ing definitio ns ap ply.

3.6.1 agent: An MIS - Us er, w hic h fo r a p artic ular s ys tems manag ement interac tio n, has taken an ag ent ro le.

3.6.2 agent role : A ro le taken by an MIS - Us er in whic h it is c ap ab le of p erfo rming manag ement o p eratio ns on

manag ed o b j ec ts and o f emitting no tific atio ns o n b ehalf o f manag ed o b j ec ts .

3.6.3 generic definitions : D efinitio ns of manag ed o b j ec t c las s es , attrib ute typ es , no tific atio n typ es or manag ement

o p eratio n typ es , made availab le fo r g eneral us e.

3.6.4 (management) interaction : A s ing le manag ement o p eratio n or a s ing le no tific atio n or an identified s et of

lo g ic ally related manag ement o p eratio ns and no tific atio ns during w hic h the manag er and ag ent ro le do no t c hang e.

3.6.5 managed obj ect class : A named s et of manag ed o b j ec ts s haring the s ame ( named) s ets of attrib utes ,

no tific atio ns , manag ement o p eratio ns ( p ac kag es ) , and w hic h s hare the s ame c o nditio ns fo r p res enc e o f tho s e p ac kag es .

NO TE – The fo llo wi ng two defini ti o ns are ali gned wi th the c o rres p o ndi ng defini ti o ns in OS I C o nfo rmanc e Tes ti ng M etho do lo gy

and Framew o rk ITU- T Rec . X. 29 0 | IS O /IEC 9646- 1 fo r PIC S and PIC S p ro fo rma.

3.6.6 managed obj ect conformance statement (M OCS) : A s tatement made by a s up p lier of a managed o b j ec t

imp lementatio n, s tating the c ap ab ilities and o p tio ns whic h have b een imp lemented, and any features whic h have b een

o mitted.

3.6.7 management information conformance statement (MICS) : A s tatement fro m a s up p lier ab o ut an

imp lementatio n' s manag er ro le c ap ab ilities and o p tio ns relating to manag ement info rmatio n whic h have b een

imp lemented and any features w hic h have b een o mitted.

3.6.8 M ICS proforma : A do c ument, in the fo rm of a ques tio nnaire, whic h when c o mp leted by the s up p lier of an

imp lementatio n having manag er ro le c ap ab ility b ec omes a MIC S .

3.6.9 MOCS proforma : A do c ument, in the fo rm of a ques tio nnaire, des igned by the managed o b j ec t definer or

c o nfo rmanc e tes t s uite s p ec ifier, w hic h w hen c o mpleted fo r a manag ed o b j ec t imp lementatio n b ec omes the MO C S .

3.6.1 0 managed (open) system : A real o p en s ys tem c o ntaining an MIS - Us er w hic h c an take the ag ent ro le.

3.6.1 1 management domain : A s p ec ific atio n o f a c o llec ti o n o f manag ed o b j ec ts o f interes t.

3.6.1 2 management information : T he info rmatio n within an o p en s ys tem whic h may be trans ferred by OS I

manag ement p ro to c o ls .

3.6.1 3 management j urisdiction : A rep res entatio n of the relatio ns hip b etween a manag ement p o lic y and a

management do main.

3.6.1 4 management policy : An identifiab le s p ec ific atio n that c an be evaluated w ith res p ec t to manag ed o b j ec ts .

3.6.1 5 management policy violation : T he c o nditio n exis ting when manag ed o b j ec ts fail to c o mp ly with the s emantic s

o f a p o lic y.

3.6.1 6 management support obj ect: A s ys tems managed o b j ec t defined s p ec ific ally to s up p o rt a s ys tems

manag ement func tio n ( e. g. lo g, dis c riminato r) .

3.6.1 7 manager : An MIS - Us er, w hic h fo r a p artic ular s ys tems manag ement interac tio n, has taken a manag er ro le.

3.6.1 8 manager role : A ro le taken by an MIS - Us er in whic h it is c ap ab le of is s uing management o p eratio ns and of

rec eiving no tific atio ns .

3.6.1 9 managing (open) system : A real op en s ys tem c o ntaining an MIS - Us er w hic h c an take the manag er ro le.

ITU-T Rec. X.701 (1 997 E) 5

ISO/IEC 1 0040 : 1 998 (E)

3.6.20 MIS-User : An application making use of systems management services.

3.6.21 notification : Information emitted by a managed obj ect relating to an event that has occurred within the
managed obj ect.

3.6.22 notification type : A named data-type defining a specific kind of notification.

3.6.23 (N)-layer managed obj ect: A managed obj ect specific to the (N)-layer.

3.6.24 (N)-layer management protocol : An (N)-layer protocol for the exchange of (N)-layer management
information supported solely by protocols of the layers (N-1 ) and below.

NOTE – This Recommendation | International S tandard neither specifies nor requires the use of (N)-layer management protocols.
The definition is included here for the sake of completeness.

3.6.25 (systems management) operation : An operation on a managed obj ect to effect systems management.

3.6.26 systems managed obj ect : A managed obj ect relevant to more than one layer, to the system as a whole, or to
specific management functions.

3.6.27 systems management application process : An application process participating in systems management.

3.6.28 systems management application service element: An application service element providing systems
management services.

3.6.29 systems management function : A part of systems management activities which satisfy a set of logically related
user requirements.

3.6.30 systems management functional area: A category of systems management user requirements.

3.6.31 systems management functional unit: A named non-empty set of systems management services defined for
the purpose of identifying specific sets of functionality where there is a requirement to establish or negotiate the use of
such functionality between end systems or for reference purposes in other standards.

3.6.32 systems management functional unit package : A named non-empty set of systems management functional
units, defined for the purposes of negotiation of functional units on an association.

3.6.33 systems management (application) protocol : An application layer protocol supporting systems management
services.

3.6.34 systems management service : A named set of service primitives that provide a service for use in systems
management.

4 Abbreviations

For the purposes of this Recommendation | International S tandard, the following abbreviations apply:

ACSE Association Control S ervice Element

AS E Application S ervice Element

AS N. 1 Abstract S yntax Notation One

B -IS DN B roadband Integrated S ervices Digital Network

CMIP Common Management Information Protocol

CMIPDU Common Management Information Protocol Data Unit

CMIS Common Management Information S ervice

CMIS E Common Management Information Service Element

CS PDN Circuit Switched Public Data Network

DMI Definitions of Management Information

FTAM File Transfer, Access and Management

GDMO Guidelines for the Definition of Managed Obj ects

GMI Generic Management Information

GMOCS Guidelines for Managed Obj ect Conformance S tatements

GRM General Relationship Model

ICS Implementation Conformance S tatement

Id Identifier

6 ITU-T Rec. X.701 (1 997 E)

 ISO/IEC 1 0040 : 1 998 (E)

IS DN Integrated S ervices Digital Network

LAN Local Area Network

MAPDU Management Application Protocol Data Unit

MCS Management Conformance Summary

MHS Message Handling System

MIB Management Information B ase

MICS Management Information Conformance S tatement

MIDS Management Information Definition S tatement

MIS Management Information S ervice

MOCS Managed Obj ect Conformance S tatement

MOTIS Message Oriented Text Interchange S ystem

MRCS Managed Relationship Conformance S tatement

OSI Open S ystems Interconnection

PICS Protocol Implementation Conformance S tatement

PS PDN Packet S witched Public Data Network

ROS E Remote Operations S ervice Element

S ACF S ingle Association Control Function

SMAE S ystems Management Application Entity

S MAPM S ystems Management Application Protocol Machine

SMASE S ystems Management Application S ervice Element

SMF S ystems Management Function

SMFA S ystems Management Functional Area

SMFU S ystems Management Functional Unit

S MI Structure of Management Information

TMN Telecommunications Management Network

TP Transaction Processing

VT Virtual Terminal

WAN Wide Area Network

5 Systems management

S ystems management provides mechanisms for the monitoring, control and coordination of resources and OS I protocol
standards for communicating information pertinent to those resources. In order to describe management operations on
resources, the resources are viewed as managed obj ects with defined properties. Information required for systems
management purposes in any open system may be provided through local input, may result from input from other open
systems through systems management (application layer) communication or may be a result of lower layer protocol
exchanges.

In particular, systems management applies to but is not limited to (e. g. use of ITU-T M. 3 000-S eries, TMN, is also
considered a valid application of systems management):

– OS I Layer 1 (Dedicated lines/leased lines, satellite connections);

– OS I Layer 2 (LAN, WAN, etc. );

– OS I Layer 3 (CS PDN, PS PDN, IS DN, B -IS DN, ITU-T Rec. X. 3 00 subnetwork, etc. );

– OS I Layer 4 (Transport Layer Entities);

– OSI Layer 5 (S ession Layer Entities);

– OS I Layer 6 (Presentation Layer Entities);

– OS I Layer 7 (MHS | MOTIS , FTAM, VT, TP, Directory).

NOTE – While the principal impetus for the development of these standards has been the need to manage OS I resources, they also
have broader applicability. Furthermore, it is possible that in the future, standards development may be undertaken to specifically
address additional areas.

ITU-T Rec. X.701 (1 997 E) 7

ISO/IEC 1 0040 : 1 998 (E)

S ystems management is applicable to a wide range of distributed processing and communications environments. These
environments range from local area networks interconnecting small systems, to interconnected corporate and national
networks on a global scale. S mall scale environments may be managed by appropriate small scale management systems,
consisting of a single manager capable of controlling and coordinating the open communication environment through a
number of agents. The standards and concepts are also applicable to large scale environments supporting multiple
managers.

There are three main groupings within the set of systems management standards. They are:

a) a set of standards specifying systems management functions;

b) a set of standards relating to the specification of managed obj ects;

c) a set of application layer service and protocol standards for communicating information relating to
management functions.

The requirements to be satisfied by systems management activities can conveniently be grouped into five areas, each of
which gives rise to one or more standards covering one or more functions. These areas as defined by the OS I
Management Framework (see CCITT Rec. X. 700 | IS O/IEC 7498-4) are:

– fault management;

– configuration management;

– accounting management;

– performance management;

– security management.

However, many items of information, their associated management operations and the communication protocols are
known to be common to more than one area. And, in performing management activities, sets of management functions
may be combined to effect a particular management policy.

For these reasons, systems management standards form a closely interrelated set of standards.

6 Systems management model

6.1 Introduction

This clause identifies a number of concepts of systems management and provides a model to clarify these concepts and
their relationships.

The following subclauses describe the various aspects of the systems management model:

– information aspects;

– functional aspects;

– OSI communications aspects;

– organizational aspects.

Management of a communications environment is an information processing application. B ecause the environment being
managed is distributed, the individual components of the management activities are themselves distributed. Management
applications perform the management activities in a distributed manner, by establishing associations between systems
management application entities.

As shown in Figure 1 the interactions which take place between systems management application entities are abstracted in
terms of management operations and notifications issued by one entity to the other; these are communicated using
systems management services and protocols.

8 ITU-T Rec. X.701 (1 997 E)

 ISO/IEC 1 0040 : 1 998 (E)

Man aged open system

Performi ng

Com m u ni cati ng m an agemen t

operation s
M an agem ent operations
MI S-U ser MI S-U ser

(manag er role) N oti fi cati ons (agent rol e )

N oti fi cati ons

em i tted

Managed
obj ects

TI SO 0 0 1 0 - 9 2 /d 0 1

Figure 1 – Systems management interactions

FIGURE 1 /X. 7 01 . . . [ D 0 1 ] =

Management ac tivities are effec ted thro ugh the manip ulatio n of managed o b j ec ts . Fo r the p urp o s es of s ys tems

management, management ap p lic ati o ns are c atego rized as M IS - Us ers . Eac h interac tio n takes p lac e b etween two MIS -

Us ers , o ne taking the manag er ro le, the o ther the ag ent ro le.

An MIS - Us er taking the ro le o f an ag ent is that p art of a dis trib uted ap p lic atio n that manag es the manag ed o b j ec ts within

its lo c al s ys tem enviro nment. An agent p erfo rms management o p eratio ns on managed o b j ec ts as a c o ns equenc e of

management o p eratio ns c o mmunic ated fro m a manager. An ag ent may als o fo rward no tific atio ns emitted by manag ed

o b j ec ts to a manag er.

An MIS - Us er taking the ro le of a manag er is that p art of a dis trib uted ap p lic atio n whic h has res p o ns ib ility fo r o ne or

mo re manag ement ac tivities , by is s uing manag ement op eratio ns and rec eiving notific atio ns .

T he c o nc ep t of a manag er is no t limited to ap p lic atio ns p artic ip ating s o lely in s ys tems manag ement; o ther ap p lic atio ns

needing ac c es s to management info rmation may us e manag ement info rmatio n s ervic es .

Ro les are no t p ermanently as s igned to M IS - Us ers . S o me MIS - Us ers c an be res tric ted to o nly taking an agent ro le, s o me

to o nly taking a manag er ro le while o ther MIS - Us ers are allo wed to take an ag ent ro le in o ne interac tio n and to take a

manag er ro le in a s ep arate interac tio n.

NO TE 1 – When a management i nterac ti o n b etween o p en s ys tems p ertains to mo re than o ne managed o b j ec t, the s p ec ific ati o n of

ho w the ag ent dis trib utes the manag ement o p eratio n amo ng s t i ts manag ed o b j ec ts is no t s ub j ec t to s tandardi zatio n.

NO TE 2 – A managed o b j ec t c an i ts elf rep res ent a res o urc e o uts i de o f the managed s ys tem. The relati o ns hi p b etween the managed

s ys tem and the o u ts ide res o urc e may als o be o ne of manager/agent. If the c o mmu nic ati o n b etween thes e s ys tems fo llo ws OS I

M anagement s tandards , then management o p erati o ns on a managed o b j ec t in the o ri gi nal managed s ys tem mi ght res ult in further

manager/agent exc hanges , o p erati ng on a “ remo te” managed o b j ec t. No limi ts are i mp o s ed up o n the numb er of s uch c as c aded

manag ement o p eratio ns that are p ermitted.

It is imp o rtant to rec o g nize that this Rec o mmendatio n | Internatio nal S tandard o nly es tab lis hes a c o nc ep tual mo del that

des c rib es the s truc ture and c o ntents of the info rmatio n ac tually c o mmunic ated by the us e of s tandardized management

info rmatio n s ervic es . Whenever manag ement info rmatio n is c o mmunic ated, it is do ne in terms o f this mo del.

Whether, where and ho w s ys tems rep res ent and s to re the real data fro m whi c h the management info rmati o n is derived is a

lo c al matter, and therefo re no t s ub j ec t to s tandardi zatio n.

NO TE 3 – Fi gure 2 rep res ents a p arti c ular way of viewi ng c ertai n as p ec ts of the s ys tem management mo del and is given fo r

i nfo rmati o n o nly. The figure has b een of value during the develo p ment of thi s S p ec ific ati o n. In p arti c ular, it di fferenti ates the

map p i ng to s tandardi zed c o mmunic atio n ( fo llo wi ng the rules i ntro duc ed in 6. 2) fro m lo c al map p i ng, whi c h illus trates that a

metho d o f viewi ng the real management i nfo rmati o n in terms o f the mo del mus t exis t wi thin the s ys tems management ap p lic ati o n

p ro c es s . Furthermo re, the metho d exis ts in the lo c al enviro nment and is therefo re an imp lementatio n matter no t s ub j ec t to

s tandardiz ati o n.

Fi gure 2 do es no t s ho w the c o mp lete mo del, no r do es it s ho w all the detai ls in full. In p arti c ular it do es no t i mp ly that there is

nec es s arily o nly o ne s ub tree o f the naming tree related to a s p ec ific layer, no r do es it imp ly that the term “s ys tems managemen t

info rmatio n mo del s p ac e” is a defined term.

6.2 Information aspects

T his s ub c laus e intro duc es the info rmatio n as p ec ts o f the s ys tems manag ement mo del. T he definitive s p ec ific atio n o f the

info rmatio n mo del is given in C C IT T Rec . X. 7 2 0 | IS O /IEC 1 01 65 - 1 . It refines the c o nc ep t o f M anaged O b j ec ts defined

in C C IT T Rec . X. 7 00 | IS O /IEC 7 49 8 - 4. It deals with their attrib utes , the management o p eratio ns that may be p erfo rmed

up o n them, and the no tifi c atio ns that they may emit. T he s et o f manag ed o b j ec ts in a s ys tem, to g ether with their attrib utes ,

c o ns titutes that s ys tem' s Manag ement Info rmatio n B as e ( MIB ) .

ITU-T Rec. X.701 (1 997 E) 9

ISO/IEC 1 0040 : 1 998 (E)

S tandardized managed obj ects are expected to be specified by the standardization organizations responsible for
standardizing the resources represented by the managed obj ects (e. g. the group responsible for standardizing an (N)-layer
protocol entity is also responsible for standardizing the managed obj ect that represents the management view of that
protocol entity). Guidelines and tools to support the definition of managed obj ects are provided, as are a collection of
definitions of management information to support the definitions of managed obj ects and the definition of systems
management functions.

6.2.1 Managed obj ects

A managed obj ect is the OS I Management view of a resource that is subj ect to management, such as a layer entity, a
connection, a Directory S ervice Agent, or an item of physical communications equipment. Thus, a managed obj ect is the
abstraction of such a resource that represents its properties as seen by (and for the purpose of) management. An essential
part of the definition of a managed obj ect is the relationship between these properties and the operational behaviour of
the resource. This relationship is not modelled in a general way.

Managed obj ects can be specific to an individual layer, in which case they are known as (N)-layer managed obj ects.
Those managed obj ects that are relevant to more than one layer, to a specific systems management function (management
support obj ect) or to the system as a whole are known as systems managed obj ects.

System s manage m en t appl icatio n process

M appi n g to stan dardi ze d com m u n icati o n

Appl i cati on

Pre se ntati on

Se ssi o n

Lo cal
Tran spo rt
m appi ng

N e twork

Data-l i n k

Ph ysi cal

System s m anage d obje cts

(N ) -l ayer m anage d o bj ects

OSI e n vi ron me nt Lo cal en vi ron me nt

TI S O00 2 0- 92 /d o2

M an ag ed obj e ct

Co ntain me nt hi erarch y of m anage d objects

System s manage m en t i n fo rmati on m o de l space

U se s tan d ard ized OSI m anage me nt co m mu ni catio n

Figure 2 – Relationship between information and communication aspects

of the systems management model

FIGURE 2/X. 701 . . . [D02] =

6.2.2 Attributes

Attributes are properties of managed obj ects. An attribute has an associated value, which may have a simple or a complex
structure.

6.2.3 Management operations and notifications

Part of the definition of a managed obj ect is the specification of the set of management operations that can be performed
upon it and the effect that these management operations have upon the managed obj ect and its attributes. The definition
may also specify the effect, if any, on related managed obj ects. The execution of a management operation may also be
conditional upon the state of the managed obj ect or its attributes. An essential part of the definition of a management
operation is the set of possible ways in which it can fail.

10 ITU-T Rec. X.701 (1 997 E)

 ISO/IEC 1 0040 : 1 998 (E)

Managed o b j ec ts may als o emit no ti fi c atio ns , whi c h c o ntai n info rmatio n c o nc erning the o c c urrenc e o f an event as s o c iated

w ith the manag ed ob j ec t.

Whereas the mec hani s ms fo r c o mmunic ating management o p eratio ns and no tific ati o ns are s ub j ec t to OS I management

s tandardi zatio n, the mec hanis ms fo r p erfo rming management o p eratio ns and no tific atio ns are no t. No c o rres p o ndi ng

internal s ys tems interfac e is s ub j ec t to s tandardizatio n. T he relati o ns hip b etween management o p eratio ns at the managed

o b j ec t b o undary and w hat is c o mmunic ated in p ro to c o l b etw een o p en s ys tems is des c rib ed in 6. 4 .

6.3 Functional aspects

This s ub c laus e des c rib es func tio nal as p ec ts of the s ys tems manag ement mo del.

A s ys tems manag ement func tio n may s atis fy mo re than o ne requirement and to s atis fy s o me requirements , mo re than o ne

func tio n may be ap plic able. Therefo re, a many- to- many relatio ns hip b etw een func tio ns and requirements exis ts .

T he s p ec ific atio n o f a s ys tems management func tio n defines the management ac tivities and info rmatio n that are nec es s ary

to meet the requirements .

Manag ement func tions may be c o mb ined to ac c o mp lis h a s p ec ific manag ement ac tivity.

S i nc e no t all s ervic es are always required on a given as s o c iatio n, a s ys tems management func tio n' s s ervic es may be

s ub gro up ed into o ne or mo re func tio nal units , whic h are b as ic units of neg o tiatio n b etween MIS - Us ers . In additio n,

func tio nal units s p anning s ervic es fro m mo re than one func tion may be defined.

Func tio nal units that c ro s s func tio n b o undaries are p ro vided to s up p o rt the fo llo w ing s ets o f c ap ab iliti es :

a) no tific atio ns only;

b) manag ement op eratio ns only;

c) no tific atio ns and manag ement op eratio ns .

NO TE – O ther func ti o nal units are defi ned that allo w neg o tiatio n o f s ub s ets o f thes e c ap ab i liti es ( e. g . mo nito r, c o ntro l) .

T he agent c anno t in general determine the p urp o s e o f the management o p eratio ns it rec eives or the no ti fic atio ns it emits .

Fo r examp le, an o p en s ys tem c anno t in g eneral determine whether its res p o ns es to reques ts to read erro r c o unters will be

us ed fo r the p urp o s e o f fault management or p erfo rmanc e management. T he agent res p o nds to reques ts fro m a manager

individually, w ithout needing any wider c o ntext within w hic h to c arry o ut the reques t.

6.4 OSI communications aspects

T he interac tio ns b etween MIS - Us ers ac ting in the ro le of manager and agent res p ec tively are realiz ed thro ugh the

exc hang e o f management info rmatio n. This c o mmunic atio n is ac c o mp lis hed us ing OS I p ro to c ols .

T he general OS I c o mmunic atio n s ervic e fo r s ys tems manag ement is C M IS . S ub c laus e 6. 4. 1 des c rib es ho w C M IS is us ed

to s up p o rt c o mmunic atio ns c o nc erning the management o p eratio ns and no tific atio ns ap p lic ab le to managed o b j ec ts in a

managed s ys tem. S ub c laus es 6. 4. 2 thro ugh 6. 4. 5 exp lain ho w c o mmunic atio ns s up p o rt fits into the ap p lic atio n layer

s truc ture.

M IS - Us ers may make us e o f o ther OS I s ervic es ( s uc h as TP or FT AM) whic h may or may no t s up p o rt the manager/agent

ro le dis tinc tio n, ho w ever the MIS - Us ers s hall s till s up p o rt the manag er/ag ent ro le dis ti nc ti o n.

NO TE – MIS - Us ers may make us e of o ther s ervic es .

6.4.1 Support for management operations and notifications

There are tw o as p ec ts to c o mmuni c atio ns s up p o rt fo r manag ement o p eratio ns and no tific atio ns :

a) s up p o rt fo r the trans fer o f reques ts fo r manag ement o p eratio ns and no tific atio ns b etw een MIS - Us ers ;

b) s up p o rt fo r the c o ntro l of ac c es s to managed o b j ec ts and the external dis s eminatio n of no tifi c ati o n

informatio n.

ITU-T Rec. X.701 (1 997 E) 1 1

ISO/IEC 1 0040 : 1 998 (E)

The maj or components are shown in Figure 3 .

M an ag ed open s yste m

Pe rform i n g

Co m m u n icati n g Acce ss m an ag em en t

con trol
operati on s
M an ag em en t o pe rati on s
M I S-U ser

(m an ag er role ) N o ti fi cati o ns

N o ti fi cati o n N o ti fi cati o ns

di s se m i natio n em i tte d

M I S-U ser

(age nt role )
M an ag ed

obj e cts

TI S O00 3 0- 92 /d 03

Figure 3 – Communication support for notifications and managements operations

FIGURE 3 /X. 701 . . . [D03 ] =

The systems management services have primitives for the communication of requests for the various types of
management operations defined in CCITT Rec. X. 720 | IS O/IEC 1 01 65 -1 , and primitives for the transfer of notification
information. In this way, the systems management services mirror the exchange defined at the managed obj ect boundary.
The systems management services provide additional support for the selection of appropriate managed obj ects by scoping
and filtering.

CCITT Rec. X. 73 0 | IS O/IEC 1 01 64-1 defines how the systems management services are mapped onto CMIS services.

There is a strict correspondence between the types of exchange defined (in the information model) at the managed obj ect
boundary and communications support in systems management services; however, in individual exchanges (or potential
exchanges) of information, these mechanisms may intervene to control information flow.

Access control mechanisms may deny management operation requests from specified managers on selected managed
obj ects.

For the external communication of a management notification emitted by a managed obj ect, a mechanism is defined to
identify destinations for external communications and matching criteria that the notification information shall satisfy.
Independently of this, another mechanism is defined that can cause the information to be logged for subsequent retrieval.

6.4.2 Systems management application entity

The S ystems Management Application Entity (S MAE) consists of the S ystems Management Application Service Element
(SMAS E) and the Association Control S ervice Element (ACSE, ITU-T Rec. X. 21 7 | IS O/IEC 8649). Other OSI
application service elements required within the S MAE are described below.

Figure 4 shows how systems management components fit into the application layer structure.

The S MAS E defines the semantics and abstract syntaxes of the information transferred as relevant to OS I management in
Management Application Protocol Data Units (MAPDUs). The MAPDU is the OS I protocol realization of the abstract
notion of management operations and notifications exchanged between systems management application entities
(see 6. 1 ). For each MAPDU defined, the mapping to supporting services is also specified.

The services provided by the S MASE may be grouped for the purpose of negotiation using functional units. The S MAS E
specifies management information to be exchanged between the systems management application entities. The
communications service used by the S MASE may be provided by the Common Management Information S ervice
Element (CMIS E) ASE or other ASEs such as File Transfer, Access and Management (FTAM, IS O 85 71 ) or Transaction
Processing (TP, CCITT Rec. X. 860 | IS O/IEC 1 0026-1 ). The use of CMIS E also implies the presence of the Remote
Operation S ervice Element (ROS E, CCITT Rec. X. 21 9 | IS O/IEC 9072-1 ). CMIS E specifies the service and procedures
for transfer of Common Management Information Protocol Data Units (CMIPDUs). CMIS E provides a means for the
exchange of information in management operations and notifications for management purposes in a common manner.
Other AS Es can be used to communicate management information.

12 ITU-T Rec. X.701 (1 997 E)

 ISO/IEC 1 0040 : 1 998 (E)

Re al system Appl i cati on pro cess

en vi ro nm en t

SM AE

SACF

A R C S
OSI

en vi ro nm en t C O M M

S S I A

E E S S

E E

TI S O 00 4 0- 92 /d 04

Figure 4 – Management and the app lication layer

FIGURE 4/X. 701 . . . [D04] =

6.4.3 Application context

Two systems management application entities establish an association by agreeing on an application context, which
identifies the initial shared management knowledge for that association, including the various application service
elements used.

For the purpose of systems management, a name has been allocated to a systems management application context in
Annex A. This application context is for use in cases where only systems management is used. Other names may be
allocated in the future, implying the use of a different set of ASEs.

An application context for use of TP with CMIS is specified in ITU-T Rec. X. 702 | IS O/IEC 1 1 5 87.

6.4.4 Shared management knowledge

In order to perform systems management, shared management knowledge must exist between the manager and the agent.

Management knowledge for systems management communication includes (but is not limited to):

– Protocol knowledge (e. g. application context).

– Function knowledge (e. g. functions and functional units).

– Managed obj ect knowledge (e. g. classes and instances and identification of managed obj ects and their
attributes).

– Constraints on functions supported and relationships between those functions and managed obj ects. In
particular, constraints on the relevant managed obj ects in an open system that shall be present in order for
specific functions to be supported.

– Definition knowledge (e. g. definitions of managed obj ect classes).

– Repertoire knowledge (e. g. knowledge of classes of managed obj ects supported by a given managed
system.

Shared management knowledge manifests itself in terms of distributed management applications, and hence the respective
views of each end system may be different if managed obj ects contained within the associated open systems are dissimilar
(see Figure 5 ). The shared management knowledge refers to the common knowledge between the two systems, i. e. the
shared management schema.

ITU-T Rec. X.701 (1 997 E) 13

ISO/IEC 1 0040 : 1 998 (E)

Ope n system A Ope n system B

A-to -B
Ag en t
sh ared
M an ag er

m an ag em en t
Obj ects

kno wl e dg e

Ag en t

Obj ects

B-to -A

sh ared

M an ag er
m an ag em en t

kno wl e dg e

TI S O 00 5 0- 92 /d 05

Figure 5 – Views of shared management knowledge

FIGURE 5 /X. 701 . . . [D05 ] =

As specified in 6. 1 there is a need to be able to establish and modify the shared management knowledge that exists
between two systems engaging in management information exchange.

Management knowledge can be established at any time, specifically:

– prior to any communication taking place (e. g. established at system design or build time, or “remembered”
from a previous association);

– during the association establishment phase;

– subsequently, during the lifetime of the association.

A priori knowledge to enable management communication is an example of the establishment of management knowledge.

At association establishment time it should be possible to either establish or modify the management knowledge.

Having set up an association for the purposes of systems management, a mechanism may be used to modify the
management knowledge. For example, a knowledge discovery mechanism may be supported by systems supporting the
agent role, to enable the capabilities of a system to be examined. (The use of such a mechanism by managers should be
left optional. )

Any modifications to the shared management knowledge after association time might be made by means of a knowledge
update mechanism.

S tandardized management knowledge shall be made available as managed obj ects.

In addition, some aspects of standardized management knowledge may be made available by other mechanisms, such as
Directory obj ects.

6.4.5 Use of supporting services

Different functions require different communication services, for example, certain functions may require file-oriented
management operations, while others may only require a simple request/reply protocol.

14 ITU-T Rec. X.701 (1 997 E)

 ISO/IEC 1 0040 : 1 998 (E)

6.5 Organizational aspects

The organizational aspects of the model describe the distributed nature of OS I management. Many of the concepts
pertinent to systems management organizational aspects (e. g. manager, agent) have been introduced earlier (see 6. 1 ). This
subclause identifies further organizational aspects.

6.5.1 Requirements

The organizational requirements for management policies are:

– to be able to manage management policies;

– to share the responsibility for setting a policy between multiple authorities and to delegate a policy from
one authority to another.

The organizational requirements for management domains are:

– to be able to manage management domains;

– to permit managed obj ects to be associated in a group;

– to allow managed obj ects to belong to more than one group.

The organizational requirements for management j urisdiction are:

– to be able to manage management j urisdictions;

– to be able to apply policy to a group of managed obj ects;

– to support multiple policies applying to a specific managed obj ect.

6.5.2 Architectural model

Figure 6 illustrates how a management j urisdiction relates a management policy and a management domain, and,
consequently provides a means of applying policy semantics to the domain membership. The dashed arrows illustrate that
the representation of policy semantics and domain membership are not prescribed by the architecture.

M an ag em en t M an ag em en t

po li cy do m ai n

M an ag em en t
D o m ai n
j u ri d ictio n
Po l i cy m em be rshi p
sem an ti cs (M an ag ed
obje cts)

TI SO821 0-98/d06

Figure 6 – Organizational aspects of the architectural model

FIGURE 6/X. 701 . . . [D06] =

The requirements expressed in 6. 5 . 1 for policy are addressed by identifying semantics of a management policy:

a) The application of management policy cannot extend the defined behaviour of a managed obj ect.

b) A management policy is subj ect to change.

c) A management policy is dynamic in that it may come into and go out of existence over time.

d) A management policy can be evaluated for managed obj ects.

e) Management policy include, but are not limited to, the following types: Management policy of
authorization and management policy of obligation. Management policies of authorization state what may
be done. Management policies of obligation state what shall be done.

The requirements expressed in 6. 5 . 1 for domains are addressed by identifying specification for a grouping of managed
obj ects as a management domain:

a) A management domain is a specification of a grouping of zero or more managed obj ects; these managed
obj ects are referred to as members of the management domain.

b) A managed obj ect can be a member of zero or more management domains.

ITU-T Rec. X.701 (1 997 E) 15

ISO/IEC 1 0040 : 1 998 (E)

c) Membership of a management domain can be dynamic.

d) A managed obj ect is neither required to possess, nor is it precluded from possessing, knowledge of the
management domains of which it may be a member.

e) The membership of a management domain need not be enumerable.

The requirements expressed in 6. 5 . 1 for j urisdiction are addressed by identifying a relationship between a management
policy and a management domain:

a) Management domains and management policies referenced by a management j urisdiction are

independently dynamic.

b) A management policy applies to managed obj ects when a management j urisdiction relates the management
policy to a management domain.

c) If a managed obj ect is a member of more than one management j urisdiction, it may consequently be
subj ect to more than one management policy.

d) As a result of a managed obj ect being subj ect to a management policy, a policy violation may occur. It can
occur that two or more management policies, when applied to a managed obj ect, will generate an
unavoidable policy violation.

e) A managed obj ect is neither required to possess, nor is it precluded from possessing, knowledge of the
management policies that can apply to it.

7 Systems management standards

The model introducing the concepts of systems management is given in clause 6. This clause describes the various
standards documents, and their relationships to each other and to the model in clause 6. Figure 7 illustrates these
relationships. It also indicates other standards that contain specific management information and how they relate to the
systems management standards. The arrows in Figure 7 are the suggested order for reading systems management
standards.

The standards relevant to systems management can be categorized as:

– standards specifying the structure;

– standards for communication of management information;

– standards relating to management information;

– standards for systems management functions.

SM O

X. 70 1 1 0 0 40

MIM CM I S

X. 72 0 1 0 1 6 5- 1 X. 71 0 9 59 5

GDM O CM I P

X. 72 2 1 0 1 6 5- 4 X. 71 1 9 59 6

G RM G M OC S S M Fs

X. 72 5 1 0 1 6 5- 7 X. 72 4 1 0 1 6 5- 6 1 , 2, an d 3

DM I S M Fs

X. 72 1 1 0 1 6 5- 2 4, 5, 6, . . .

TI S O8 2 2 0 -9 8 /d0 7

Figure 7 – Relationship between standards

FIGURE 7/X. 701 . . . [D07] =

16 ITU-T Rec. X.701 (1 997 E)

 ISO/IEC 1 0040 : 1 998 (E)

7.1 Architecture and structure

CCITT Rec. X. 700 | IS O/IEC 7498-4 provides a framework for the coordinated development of standards for OSI
Management, by defining terminology, providing a structure and describing OS I Management activities.

This Recommendation | International S tandard provides an overview to OS I S ystems Management, as described in clause
1.

7.2 Communication of management information

CCITT Rec. X. 71 0 | ISO/IEC 95 95 defines an Application Service Element (The Common Management Information
S ervice Element), which may be used by an application process (in a centralized or decentralized management
environment) to exchange information in management operations and notifications for the purpose of systems
management.

CCITT Rec. X. 71 0 | IS O/IEC 95 95 defines a set of service primitives (that constitute the application service element), the
related parameters and any necessary information for the semantic description of each service primitive. The CMIS
service primitives convey requests for management operations, results of management operations and event reports,
corresponding to the operations and notifications defined in the Management Information Model, between open systems.

CCITT Rec. X. 71 1 | IS O/IEC 95 96-1 specifies the protocol that provides the Common Management Information S ervice.
It is used by application layer entities to exchange management information.

CCITT Rec. X. 71 1 | IS O/IEC 95 96-1 specifies procedures for the transmission of management information between
application entities, the abstract syntax of the CMIP, procedures for the correct interpretation of protocol control
information, and the conformance requirements for implementations.

In case of specific needs, other ASEs (such as TP or FTAM) may be used in addition for the communication of
management information. An application context for use of TP with CMISE is specified in ITU-T Rec. X. 702 |
IS O/IEC 1 1 5 87.

7.3 Structure of management information

The standards relating to management information fall into two groups: definitions of managed obj ect classes, and
standards which support the definition of managed obj ect classes. Most managed obj ect class definitions will be defined
by layer groups and liaison organisations; but some managed obj ects are required to support OS I Management itself.
S pecific examples are the managed obj ects representing event forwarding discriminators and management logs. S tandards
for these form part of the set of systems management standards.

The standards that present guidelines on how to define managed obj ect classes include:

– CCITT Rec. X. 720 | ISO/IEC 1 01 65 -1 (MIM), which defines the model for managed obj ects covering
their attributes, the management operations that can be performed on them, the notifications they may emit
and the appropriate naming schemes so that managed obj ects and attributes can be identified in protocol;

– CCITT Rec. X. 721 | IS O/IEC 1 01 65 -2 (DMI), which defines system managed obj ects, and templates that
can be imported into a variety of managed obj ect class definitions, to support the consistent definition of
attributes, notifications, and management operations including their parameters;

– CCITT Rec. X. 722 | IS O/IEC 1 01 65 -4 (GDMO), which provides guidance, methods and notational
techniques for specifying managed obj ect classes and other management information;

– ITU-T Rec. X. 723 | IS O/IEC 1 01 65 -5 (GMI), which defines generic management information pertinent to
managed obj ects for OS I layer protocols;

– ITU-T Rec. X. 724 | ISO/IEC 1 01 65 -6 (GMOCS ), which provides guidance, methods and notational
techniques for specifying ICS for management systems; and

– ITU-T Rec. X. 725 | ISO/IEC 1 01 65 -7 (GRM), which defines the model for general relationships and
notational tools for defining general relationships.

NOTE – Other management information documents (e. g. standards, technical reports or registers containing registration of
information obj ects, generic managed obj ects or classification of managed obj ects) may be required.

ITU-T Rec. X.701 (1 997 E) 17

ISO/IEC 1 0040 : 1 998 (E)

7.4 Systems management functions

The standards related to systems management functions include one or more of the following components:

a) Definition of a set of systems management services that address particular requirements. In standards
which include this component, functionality that represents added value beyond that available from
CMIS E (or other AS Es used to support management activity) is documented as a service. Added value
services are defined whenever restrictions are placed on the information content of a supporting AS E
service primitive (e. g. restricting the parameter types that may occur in the primitive, or restricting the
primitive to operate on a particular support obj ect class). Added value services are also defined whenever
a particular ordering or procedural use of supporting services is required.

This component consists of one or more of:

1) user requirements;

2) models that relate the systems management services to user requirements;

3) a service definition that lists systems management services that are required and their semantics;

4) a protocol specification that specifies the mapping of systems management services and their
parameters onto underlying services;

5) definitions of the relationship between systems management services and S MI management

operations and notifications;

6) relationships with other systems management functions;

7) conformance requirements.

S tandards which include this component may contain or call for the use of particular generic definitions,
and may also define systems management functional units.

b) Requirements and models for generic definitions. S uch components of systems management function
standards are concerned solely with the provision of generic definitions of managed obj ects, attributes,
management operations and notifications that address particular functional requirements.

The managed obj ects, attributes, management operations and notifications required by standards which
include this component are available for use on the Pass-through service defined in CCITT Rec. X. 73 0 |
IS O/IEC 1 01 64-1 . These services map the operations that can be performed on and by a managed obj ect
directly onto the CMIS services.

This component consists of:

1) user requirements;

2) models that relate the generic definitions to user requirements;

3) statements of the compliance requirements placed on other standards that make use of the generic
definitions.

NOTE – The generic definitions required by these functions are documented in accordance with the
guidelines for the definition of managed obj ects. The first seven parts of the systems management functions
refer to DMI, while the other systems management functions refer to annexes which contain the generic
definitions.

c) Definition of systems management functional units. S tandards which include this component identify
specific sets of systems management services where there is a requirement to establish knowledge of the
use of such functionality on an association as part of the establishment of management knowledge. A
single functional unit may include services defined in more than one standard, and may define the use of
services in conj unction with managed obj ect classes.

This component consists of:

1) user requirements;

2) models that relate the systems management functional units to the user requirements;

3) lists of systems management services that are required by the functional unit, along with any managed
obj ect class restrictions associated with any of these services as they pertain to a functional unit;

4) definitions of functional units;

5) the abstract syntax necessary to identify the functional unit in protocol;

6) descriptions of any relationships between functional units;

18 ITU-T Rec. X.701 (1 997 E)

 ISO/IEC 1 0040 : 1 998 (E)

7) descriptions of any relationships between functional units and systems management functions;

8) conformance requirements.

Each of these components can appear alone in a systems management function standard. They can also be combined in
any manner except that a generic definition component and a functional unit component cannot be combined without
reference to or inclusion of a service definition component.

8 Conformance and compliance

This clause specifies:

– compliance requirements placed by this Recommendation | International S tandard on other standards;

– compliance requirements for systems claiming conformance to systems management;

– conformance requirements for systems claiming conformance to this Recommendation | International

S tandard.

8.1 Compliance to this Recommendation | International Standard

8.1 .1 Introduction

Three categories of systems management standards are identified in clause 7:

– standards for communication of management information;

– standards relating to management information;

– standards related to systems management functions.

S tandards claiming compliance with this Recommendation | International S tandard shall identify the category of standard
for which compliance is claimed and shall comply with any requirements defined in clauses 7 and 8 that apply to the
category identified.

Standards for communication and standards relating to systems management functions shall require, for conformance, the
minimum required to maintain the integrity of the protocol specified by the standards. Collections of useful functionality
can be defined in profiles.

NOTE – some standards may define a profile.

It is also a requirement that each standard should express its dependencies on non-mandatory aspects of underlying
standards by identifying what elements of a given underlying service are required to support the given protocol. This also
requires that each protocol standard should specify the conditional requirements that express, for each element of the
service provided by that protocol, which protocol units are required to enable that element of service to be supported.

8.1 .2 Requirements for communication standards

S tandards that specify protocols to be used for the communication of management information shall state the
requirements for static and dynamic conformance to the protocol and shall provide a PICS proforma that identifies all the
information that shall be provided in claims of conformance. These standards shall state that as a minimum requirement
for conformance to systems management, the support of the AS N. 1 B asic Encoding Rules (see CCITT Rec. X. 209 |
IS O/IEC 8825 ) is required for abstract syntaxes defined for systems management.

S tandards for communication shall require, for conformance, only the minimum required to maintain the integrity of the
protocol specified by the standards. S uch standards may also define a profile within the base standard.

S tandards for communications shall also identify which protocol units are required for each element of service that can be
provided by the communications standard so that any other standard using the communications service can
unambiguously define its requirements.

A system claiming conformance to communications standards shall support the set of elements of protocol that are
required for each of the services claimed to be supported.

8.1 .3 Requirements for management information standards

S tandards that define management information shall state the requirements for static and dynamic conformance in the
agent role to the management information definitions and shall provide a MOCS proforma, in accordance with
ITU-T Rec. X. 724 | IS O/IEC 1 01 65 -6, that identifies all the information that shall be provided in claims of conformance
to the managed obj ect class definition. It may also provide a MRCS proforma that identifies all the information about
managed relationships, including name bindings, that shall be provided in claims of conformance.

ITU-T Rec. X.701 (1 997 E) 19

ISO/IEC 1 0040 : 1 998 (E)

The requirements for conformance to a managed obj ect class shall be specified in terms of the behaviour definitions
associated with the class, its attributes, management operations and notifications. A claim of conformance to a managed
obj ect class requires that a managed obj ect instance identified as being a member of that class conforms to the managed
obj ect class definition; i. e. to have the structure defined for the class, to be able to perform the operations and emit the
notifications defined for the class, and to have the attributes defined for the class with their expected type and operations.

There can be a relationship between the behaviour of a resource visible at the managed obj ect boundary and the
behaviour of the resource visible at any other boundary defined by OS I standards. If, and only if, such a relationship is
specified, then the nature of that relationship shall be stated as part of the definition of the managed obj ect class. S uch
specified relationships are subj ect to a claim from the supplier describing how the relationship appears in a particular
implementation, with a statement of implementation restrictions (for example, the maximum delay between a
management interaction and its effect on other externally visible behaviour, or vice versa). This claim may be specified in
the MOCS , or in a document referenced by the MOCS .

NOTE – S uch a relationship may be part of the conformance requirement to the managed obj ect as specified in the relevant
standard. It is not always feasible to express such a relationship in a deterministic way which is subj ect to conformance testing
without at the same time over-constraining implementations. For example, internal synchronization delays within a system could
cause indefinite delays between interactions. S hould it be feasible in some particular case, these relationships would be part of the
conformance requirements of the managed obj ect definition. In doing so, it is especially important not to over-constrain
implementations nor create undesirable over-specification of their operation.

The existence of a conformance requirement in a standard does not necessarily imply testability of the requirement.

Where a standard provides a generic definition of a managed obj ect, it shall provide a MIDS proforma that identifies all
of the information that is required for construction of a MOCS proforma for a managed obj ect using the generic
definition.

Where a standard claims to provide support for a function or makes use of a generic definition within a managed obj ect
definition, the standard shall satisfy the compliance requirement stated in the function or generic definition standard.

S tandards that define management information shall also state the requirements for static and dynamic conformance in the
manager role to the operations and notifications specified in the management information definitions, and shall provide or
reference a MICS proforma that identifies all the information that shall be provided in claims of conformance.
Conformance in the manager role to operations means that the implementation has the ability to generate the specified
operations; where relevant, operations can be limited to specified attributes. Conformance in the manager role to
notifications means that the implementation has the ability to receive the specified notifications.

8.1 .4 Requirements for standards related to management functions

S tandards that define systems management functions shall state the static and dynamic conformance requirements
associated with the protocol defined in the function standard and shall provide a PICS proforma that identifies all the
information that shall be provided in claims of conformance. Where support of a function requires the use of particular
generic definitions, the function standard shall identify the set of generic definitions that it requires.

S tandards that contain generic definitions shall state the compliance requirements that are placed upon managed obj ect
standards or other standards that make use of the definitions it contains.

Conformance may be claimed to the generic definitions in S ystems Management Function standards, in accordance with
ITU-T Rec. X. 724 | IS O/IEC 1 01 65 -6.

S tandards that define systems management functional units shall state the conformance requirements associated with the
support of each functional unit and shall provide a PICS proforma that identifies all the information that shall be provided
in claims of conformance.

Where a function standard defines the use of a management support obj ect, that standard shall specify the conformance
requirements for that managed obj ect in a MOCS proforma.

S tandards that define system management functions shall include a statement advising the supplier of an implementation
how to complete the ICS proforma.

A systems management function standard shall specify the mapping to the supporting services.

NOTE – A S ystems Management Application Protocol Machine (S MAPM) is an abstraction within a systems management
function that maps the parameters of request and response primitives into MAPDUs and maps the information received in
MAPDUs into parameters of indication and confirmation primitives.

S tandards relating to systems management functions shall require, for conformance, the minimum required to maintain
the integrity of the specification in the standards. The minimum required may vary according to the scope and purpose of
the function standard.

20 ITU-T Rec. X.701 (1 997 E)

 ISO/IEC 1 0040 : 1 998 (E)

For example, in the case of a systems management function standard, such as the S tate management function, that defines
generic attributes, a generic attribute group and notifications to be used in many managed obj ect definitions, the minimum
conformance requirement might be simply to any one of the state attributes, the state attribute group or notifications. In
other cases, such as Usage metering, minimum conformance might be to one of the obj ects or packages defined in the
systems management function. In yet other cases, such as Test management, the minimum conformance required might
include several managed obj ects as well as sequences of exchanges.

The minimum requirement for a manager role implementation may also differ from the minimum requirement for an
agent role implementation. For example, in a manager role implementation, the minimum conformance requirement to a
generic attribute (such as a state attribute) might be limited to at least one operation (e. g. Get) on the attribute, whereas in
an agent role implementation, the minimum requirement could be support for all operations defined for the attribute.

8.1 .5 Guidelines for claims to conform to OSI management

The supplier of an implementation which is claimed to conform to systems management standards shall follow the
instructions for completion of ICS proforma given in that standard. S uch instructions can include:

a) the set of systems management application contexts supported;

b) the relevant standards to which conformance is claimed. A MCS shall be completed, in accordance with
ITU-T Rec. X. 724 | IS O/IEC 1 01 65 -6;

c) the set of management information protocols (e. g. CMIP) that the supplier of an implementation claims to
support, in the form of a PICS for each management information protocol, in the format required by the
protocol standard. S upport for this set of protocols shall include the ability to support AS N. 1 B asic
Encoding Rules (see CCITT Rec. X. 208 | IS O/IEC 8824) for abstract syntaxes defined for systems
management. This set of protocols shall include:

1) all protocols required for the support of any systems management functional unit for which support is
claimed;

2) all protocols required for the support of the application context(s) for which support is claimed;

3) all protocols required for the support of the management operations and notifications specified by the
set of managed obj ect classes for which support is claimed;

a) the set of systems management functions (which may be expressed in terms of systems management
functional units) that the supplier of an implementation claims to support, in the form of a PICS for each
function, in the format required by the function standard;

b) the managed relationships, including name bindings, that the supplier of an implementation taking the
agent role claims to support, in the form of a MRCS , in the format required by the management
information standard; and

c) the set of managed obj ect classes that the supplier of an implementation taking the agent role claims to
support, in the form of a MOCS for each managed obj ect class, in the format required by the managed
obj ect class standard. This set of managed obj ects classes shall include any managed obj ect classes that are
required for the support of the systems management functional units for which support is claimed.

8.2 Conformance to this Recommendation | International Standard

The only conformance requirements specified by this Recommendation | International S tandard are those related to the
application context for systems management specified in Annex A.

ITU-T Rec. X.701 (1 997 E) 21

ISO/IEC 1 0040 : 1 998 (E)

Annex A

Application context for systems management

(This annex forms an integral part of this Recommendation | International Standard)

A.1 B ackground

This annex describes an application context that is available for an association in the systems management environment.

This annex defines an application context to be used within systems management. The support of this application context
is required to guarantee successful establishment of an association for systems management. Additional application
contexts for systems managment are specified in ITU-T Rec. X. 702 | ISO/IEC 1 1 587.

The rules for the Systems management application context, defined within this annex, enable the part of the application
context used on the association to be modified by addition of CMISE and SMASE functional unit definition and
negotiation, without a change in the application context name.

A.2 Systems management application context

A.2.1 ASEs

This application context consists of the following ASEs and referential relationships:

– ACSE;

– ROSE;

– CMISE;

– SMASE.

The S MASE provides service to the user of the Systems Management Application Entity (SMAE). The SMASE uses the
CMISE which, in turn, uses the ROS E. The SACF provides the management association services to the S MAE and uses
ACSE.

The SMASE, CMISE and ROSE share a single abstract syntax. This abstract syntax is defined in CCITT Rec. X. 71 1 |
ISO/IEC 95 96-1 .

A.2.2 Elements of procedure

In the Systems management application context both the initiator of the association and responder can take both the agent
role and the manager role. When the association is successfully established with the Systems management application
context, manager and agent roles may be switched between each interaction taking place on that association, and the
assignment of roles for a particular interaction is decided by the invoker of that interaction.

In this application context any interaction can be attempted, but an attempt to use an interaction not supported by both
management systems shall result in an error. If an unsupported interaction is attempted, the following error values, as
defined in CCITT Rec. X. 71 0 | IS O/IEC 9595, shall be used to report the failure of the interaction:

– “unrecognized operation: the operation is not one of those agreed between the CMISE-service-users”, if
the attempted interaction was an operation;

– “no such event type: the event type specified was not recognized”, if the attempted interaction was a
notification.

Further elements of procedure are defined in A. 3 .

A.2.3 Application context name

The Application Context Name of this application context shall have the following obj ect identifier value:

{j oint-iso-itu-t ms(9) smo(0) application-context(0) systems-management(2)}

and the following obj ect descriptor value:

" Systems management application context"

A.2.4 Use of ACSE

The association-information parameter defined in ITU-T Rec. X. 227 | ISO 865 0-1 shall be the sequence of the
EXTERNAL data supplied for CMISE, as defined in CCITT Rec. X. 71 1 | ISO/IEC 95 96-1 , optionally followed by the
EXTERNAL data supplied for SMASE.

22 ITU-T Rec. X.701 (1 997 E)

 ISO/IEC 1 0040 : 1 998 (E)

The EXTERNAL data supplied for S MAS E is an AS N. 1 data type “S MAS EUserData” as defined in A. 3 . 4.

The mode parameter defined in ITU-T Rec. X. 21 7 | IS O 8649 shall have the value “normal”.

The abstract syntax name specified in A. 3 . 4, shall be included in the Presentation Context Definition List.

A.3 Rules for establishing associations

The association rules for CMIS E, specified in Annex A of CCITT Rec. X. 71 1 | IS O/IEC 95 96-1 , apply for the
application context defined within this Recommendation | International S tandard.

A.3.1 Application context negotiation

The initiator of the association uses the S ystems management application context name to propose the establishment of an
association with the S ystems management application context.

If the responder accepts the association and responds with the same application context name, then the association is
established with the S ystems management application context.

If the responder accepts the association but responds with a different application context name, then an association with a
different application context is established. The rules for its use and for negotiation of its functionality are out of scope of
the Systems management application context.

If the responder rej ects the association request, then no application association is established, in accordance with the rules
defined in ITU-T Rec. X. 227 | IS O 865 0-1 .

A.3.2 Functional unit negotiation

The negotiation rules defined in CCITT Rec. X. 71 1 | ISO/IEC 95 96-1 are followed for negotiating CMIS E functional
units.

Negotiation of S ystems Management Functional Units (S MFUs) is optional. An agreed initial set of S MFUs can be
determined at association establishment time by use of the smfuPackages parameter defined in A. 3 . 3 and A. 3 . 4. When a
set of S MFUs has been agreed, the association is constrained by the agreed set of functional units until a new agreement
has been reached. Only operations and notifications in the agreed set are allowed to be used on the association.

NOTE 1 – Provision of a mechanism to modify the agreed set of S MFUs during the association is the subj ect of ongoing work.

A set of S MFUs is identified by specifying the smfuPackages parameter with all bits corresponding to elements of the set
of S MFUs set to one. Missing trailing bits in a B ITS TRING shall be interpreted as set to zero.

To negotiate a set of S MFUs, the initiator of the association shall propose a valid non-empty set of S MFUs. To accept
S MFU negotiation, the responder shall respond with a valid set of S MFUs, which is either identical to or a subset of the
proposed set. To refuse S MFU negotiation, the responder shall respond with the smfuPackages parameter absent.

If no set of S MFU is proposed by the initiator (the smfuPackages parameter not present on the request), the responder
shall respond with the smfuPackages parameter absent, or rej ect the association.

If S MFU negotiation is accepted, the set of S MFUs specified in the response constitutes the agreed initial set of S MFUs
on that association. If the association is successfully established but S MFU negotiation is not accepted, then the rules for
the association are governed only by the agreed application context as specified in A. 2. 2.

NOTE 2 – If two functional units proposed by an initiator provide overlapping management capabilities, and one functional unit is
specified in the response and the other functional unit is not specified in the response, then those management capabilities
common to both functional units are within the agreed initial set for that association.

The managerRoleFunctionalUnit and the agentRoleFunctionalUnit subparameters of the smfuPackages parameter are
used to distinguish between the support of a particular S MFU in either the manager role, the agent role or both. This
allows for the use of functional unit negotiation to negotiate down to a manager-only or an agent-only management
system.

Once an agreed set of SMFU has been negotiated, the management systems are responsible for supporting any
requirements and/or constraints agreed for the association. If specific S MFUs have been negotiated, any attempt to carry
out interactions outside the bounds of the negotiated S MFUs shall result in an error.

A.3.3 Guidelines for the definition of functional unit packages

A functional unit package is a non-empty set of functional units, defined for the purposes of negotiation of functional
units on an association.

Functional unit package definitions require allocation of an obj ect identifier value. The value of this obj ect identifier is
used to identify the functional unit package during association negotiation, using the abstract syntax specified in A. 3 . 4.

ITU-T Rec. X.701 (1 997 E) 23

ISO/IEC 10040 : 1998 (E)

Furthermore a functional unit package definition shall assign one unique bit position to each of the functional units
defined within the functional unit package. These bit positions are used to identify which bits to set in either the
managerRoleFunctionalUnit B IT STRING or the agentRoleFunctionalUnit B IT STRING or both to indicate which
functional units are proposed for negotiation.

EXAMPLE

"This Recommendation | International Standard assigns the following object identifier value

{joint-iso-itu-t ms(9) function(2) partX(X) functionalUnitPackage(1)}

as a value of the ASN.1 type FunctionalUnitPackageId defined in ITU-T Rec. X.701 | ISO/IEC 10040 to use for
negotiating the following functional unit(s)

0 functional unit A
1 functional unit B
.
.
.
n functional unit Z
where the numbers identifies the bit position assigned to the functional unit, and the name references the functional
units as defined in clause X of this Recommendation | International Standard."

A.3.4 Definition of abstract syntax for SMASE

This Recommendation | International S tandard assigns the AS N. 1 obj ect identifier value:

{joint-iso-itu-t ms(9) smo(0) negotiationAbstractSyntax(1) version1(1)}

as an abstract syntax name for the set of all presentation data values each of which is a value of the AS N. 1 type

SMASE-A-ASSOCIATE-Information.SMASEUserData

The ACS E protocol (see ITU-T Rec. X. 227 | IS O 865 0-1 ) is described using AS N. 1 . The “user information” is defined
using the EXTERNAL data type. The S MAS E user information to be passed in the A-AS SOCIATE in a separate
EXTERNAL in the “user information” parameter is defined as follows:

SMASE-A-ASSOCIATE-Information {joint-iso-itu-t ms(9) smo(0) asn1Modules(2) negotiationDefinitions(0)

version1(1)}
DEFINITIONS ::= BEGIN
SMASEUserData :: = SEQUENCE{
smfuPackages SET OF FunctionalUnitPackage OPTIONAL,
-- s h a ll b e p re s e n t o n re q u e s t/in dic a tio n if SMFU

-- n e g o tia tio n is p ro p o s e d a n d o n re s p o n s e /c o n firm

-- if SMFU n e g o tia tio n is a c c e p te d, o th e rw is e th is

-- p a ra m e te r s h a ll b e o m itte d.

reason Reason OPTIONAL,

-- may o n ly be p re s e n t o n A - A SSO CIA TE re s p o n s e /c o n firm .

-- Wh e n SMFU n e g o tia tio n fa ils , when SMFU n e g o tia tio n

-- re s u lts in a re du c tio n o f th e p ro p o s e d s e t o f SMFUs

-- o r whe n th e a s s o c ia tio n re qu e s t is re je c te d, it m a y

-- c a rry a s p e c ific re a s o n fo r th is .

systemsManagementUserInformation GraphicString OPTIONAL

-- th is p a ra m e te r is p ro v ide d s o le ly fo r th e c o n v e n ie n c e

-- o f im p le m e n ta tio n s n e e din g to dis tin g u is h b e tw e e n

-- diffe re n t im p le m e n ta tio n e n v iro n m e n ts , it s h a ll n o t

-- be th e s u b je c t o f c o n fo rm a n c e te s t

Reason ::= INTEGER {

smfusNotSupported (0),
-- o ne o r m o re o f th e re qu e s te d SMFUs a re n o t s u p p o rte d

smfuCombinationNotSupported (1),
-- th e in div idu a l SMFUs a re s u p p o rte d, but not

-- in th is p ro p o s e d c o m b in a tio n on a s in g le a s s o c ia tio n

smfusRequiredNotAvailable (2),
-- one o r m o re re q u ire d SMFUs have been n e g o tia te d a w a y

24 ITU-T Rec. X.701 (1997 E)

 ISO/IEC 1 0040 : 1 998 (E)

smfuNegotiationRefused (3)

- - responder refuses to negotiate SMFUs

- - without explicitly stating why

}

FunctionalUnitPackage : : = SEQUENCE {
functionalUnitPackageId FunctionalUnitPackageId,
managerRoleFunctionalUnit [0] IMPLICIT B IT STRING DEFAULT { },

- - If not present implies role not supported for this functionalUnitPackage.

agentRoleFunctionalUnit [1 ] IMPLICIT B IT STRING DEFAULT { }

- - If not present implies role not supported for this functionalUnitPackage.

}

FunctionalUnitPackageId : : = OBJECT IDENTIFIER

END

A.3.5 Minimum communications support

Where systems management communications uses connection oriented services, the minimum requirements of systems
management for supporting services are:

– a Presentation connection only using the kernel functional unit without any context management service
elements;

– a two-way simultaneous S ession connection without expedited or synchronization service element.

A.4 Conformance

An open system claiming conformance to the S ystems management application context shall comply with the static and
dynamic requirements stated in A. 4. 1 and A. 4. 2.

A.4.1 Static conformance

The system shall support the transfer syntax derived from the encoding rules specified in CCITT Rec. X. 209 |
ISO/IEC 8825 and the named { j oint-iso-itu-t asn1 (1 ) basic-encoding(1 )} set of encoding rules for the purpose of
interpreting the user-information parameter in the ACS E-apdu as defined by the abstract syntax { j oint-iso-itu-t ms(9)
smo(0) negotiationAbstractS yntax(1 ) version1 (1 )} defined in A. 3 . 4.

A.4.2 Dynamic conformance

The open system shall support the elements of procedure defined in this annex as either association initiator, association
responder or both.

ITU-T Rec. X.701 (1 997 E) 25

ISO/IEC 1 0040 : 1 998 (E)

Annex B

Scope statement for systems management functions

(This annex does not form an integral part of this Recommendation | International S tandard)

This boilerplate for scope clauses defines the elements that are required to be present (or absent) in scope clauses as a
consequence of the definitions that appear in clause 7 ; it does not disallow the addition of other material in the scope
clause that may be required for other reasons.

B .1 The rules

The rules that applies to filling in the scope boilerplate are:

– { } surround elements in the boilerplate that require context specific modification;

– [] surround optional elements of the boilerplate;

– ***comment*** is used to qualify { } and [] where necessary to further describe the nature of the
optionality or replacement text required.

B .2 The boilerplate

The boilerplate for writing scope clauses in systems management standards is:

1 S cope

This part of this Recommendation | International S tandard

* * * S ERVICE DEFINITION PART: * * * [

– establishes user requirements for the service definition needed to support the { function name}
function;

– establishes models that relate the service provided by the function to the user requirements;

– defines the service provided by the function;

– specifies the protocol that is necessary in order to provide the service;

– defines the relationship between the service and S MI management operations and notifications;

– defines relationships with other systems management functions;

– specifies conformance requirements.

] * * * Present only in standards that define systems management services* * *

* * * GENERIC DEFINITION PART: * * * [

– establishes user requirements for the generic definitions needed to support the { function name}
function;

– establishes models that relate the generic definitions to user requirements;

– defines generic [managed obj ect classes,] [attribute types,] [management operation types,]
[notification types,] ***delete as appropriate*** documented in accordance with the guidelines for the
definition of managed obj ects;

– specifies compliance requirements placed on other standards that make use of these generic
definitions.

] ***May exist IN IS OLATION in a single standard but shall not exist in a standard that contains a
FUNCTIONAL UNIT PART unless the standard also contains a S ERVICE DEFINITION PART. * * *

* * * FUNCTIONAL UNIT PART: * * * [

– establishes user requirements for the { name[s] of functional unit[s] } functional unit[s] ;

– establishes models that relate the functional unit[s] to the user requirements;

– defines the functional unit[s] and the list[s] of systems management services that are required by the
functional unit[s] ;

26 ITU-T Rec. X.701 (1 997 E)

 ISO/IEC 1 0040 : 1 998 (E)

– specifies the abstract syntax necessary to identify the functional unit[s] in protocol;

– [ establishes the relationship[s] between { functional unit name[s] } functional unit[s] ; ]

– [ establishes the relationships between the { functional unit name[s] } functional unit[s] and the
function name[s] } systems management function[s] ; ]

– specifies conformance requirements.

] ***May exist IN ISOLATION in a single standard but shall not exist in a standard that contains a GENERIC
DEFINITION PART unless the standard also contains a SERVICE DEFINITION PART. * * *

This Recommendation | International Standard is applicable to { field of application, user requirements,

e. g. " managing states. . . " } .

ITU-T Rec. X.701 (1 997 E) 27

I SO/I EC 1 0040: 1 998(E) © I SO/I EC

I CS 35. 1 00. 70

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