Electronic Court Filing Web Services Service Interaction Profile Version 4.1

Committee Specification Draft 02

17 July 2023

This stage:

https://docs.oasis-open.org/legalxml-courtfiling/ecf-webservices/v4.1/csd02/ecf-webservices-v4.1-csd02.docx (Authoritative)

https://docs.oasis-open.org/legalxml-courtfiling/ecf-webservices/v4.1/csd02/ecf-webservices-v4.1-csd02.html

https://docs.oasis-open.org/legalxml-courtfiling/ecf-webservices/v4.1/csd02/ecf-webservices-v4.1-csd02.pdf

Previous stage:

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https://docs.oasis-open.org/legalxml-courtfiling/ecf-webservices/v4.1/csd01/ecf-webservices-v4.1-csd01.html

https://docs.oasis-open.org/legalxml-courtfiling/ecf-webservices/v4.1/csd01/ecf-webservices-v4.1-csd01.pdf

Latest stage:

https://docs.oasis-open.org/legalxml-courtfiling/ecf-webservices/v4.1/ecf-webservices-v4.1.docx (Authoritative)

https://docs.oasis-open.org/legalxml-courtfiling/ecf-webservices/v4.1/ecf-webservices-v4.1.html

https://docs.oasis-open.org/legalxml-courtfiling/ecf-webservices/v4.1/ecf-webservices-v4.1.pdf

Technical Committee:

OASIS LegalXML Electronic Court Filing TC

Chair:

James Cabral (jim.cabral@infotrack.com), InfoTrack US

Editors:

James Cabral (jim.cabral@infotrack.com), InfoTrack US

Gary Graham (GGraham@courts.az.gov), Arizona Supreme Court

Philip Baughman (Philip.Baughman@tylertech.com), Tyler Technologies, Inc.

Additional artifacts:

This document is one component of a Work Product that also includes:

·         WSDL files: https://docs.oasis-open.org/legalxml-courtfiling/ecf-webservices/v4.1/csd02/wsdl/.

o    CourtRecordMDE.wsdl

o    FilingAssemblyMDE.wsdl

o    FilingReviewMDE.wsdl

o    ServiceMDE.wsdl

·         WSDL example files: https://docs.oasis-open.org/legalxml-courtfiling/ecf-webservices/v4.1/csd02/wsdl/examples/.

o    CourtRecordMDE-ImplementationExample.wsdl

o    FilingAssemblyMDE-ImplementationExample.wsdl

o    FilingReviewMDE-ImplementationExample.wsdl

o    ServiceMDE-ImplementationExample.wsdl

Related work:

This specification replaces or supersedes:

·         Web Services Messaging Profile 1.0 Specification. Edited by Roger Winters. November 15, 2005. https://docs.oasis-open.org/legalxml-courtfiling/specs/ecf/v3.0/ecf-v3.0-webservices-spec/ecf-v3.0-webservices-spec-cd01.doc

·         Web Services Service Interaction Profile 1.1 Specification. Edited by Roger Winters. July 10, 2007. http://www.oasis-open.org/committees/download.php/29417/ecf-v3.1-webservices-spec-cd01.zip

·         Electronic Court Filing 4.0 Web Services Service Interaction Profile Version 2.0. Edited by Adam Angione. 21 September 2008. http://docs.oasis-open.org/legalxml-courtfiling/specs/ecf/v4.0/ecf-v4.0-webservices-spec/ecf-v4.0-webservices-v2.0-spec-cd01.html

·         Electronic Court Filing 4.0 Web Services Service Interaction Profile Version 2.01. Edited by Adam Angione. 09 August 2011. http://docs.oasis-open.org/legalxml-courtfiling/specs/ecf/v4.0/ecf-v4.0-webservices-spec/v2.01/ecf-v4.0-webservices-spec-v2.01.html

This specification is related to:

·         Electronic Court Filing Version 4.1. Edited by James Cabral, Gary Graham, and Philip Baughman. Latest stage: https://docs.oasis-open.org/legalxml-courtfiling/ecf/v4.1/ecf-v4.1.html.

Declared XML namespaces:

·         urn:oasis:names:tc:legalxml-courtfiling:schema:wsdl:CourtRecordMDE-4.1

·         urn:oasis:names:tc:legalxml-courtfiling:schema:wsdl:FilingAssemblyMDE-4.1

·         urn:oasis:names:tc:legalxml-courtfiling:schema:wsdl:FilingReviewMDE-4.1

·         urn:oasis:names:tc:legalxml-courtfiling:schema:wsdl:ServiceMDE-4.1

Abstract:

This document defines a Service Interaction Profile, as defined in section 5 of the LegalXML Electronic Court Filing 4.1 (ECF 4.1) specification. The Web Services Service Interaction Profile may be used to transmit ECF 4.1 messages between Internet-connected systems.

Status:

This document was last revised or approved by the OASIS LegalXML Electronic Court Filing TC on the above date. The level of approval is also listed above. Check the “Latest stage” location noted above for possible later revisions of this document. Any other numbered Versions and other technical work produced by the Technical Committee (TC) are listed at https://www.oasis-open.org/committees/tc_home.php?wg_abbrev=legalxml-courtfiling#technical.

TC members should send comments on this specification to the TC’s email list. Others should send comments to the TC’s public comment list, after subscribing to it by following the instructions at the “Send A Comment” button on the TC’s web page at https://www.oasis-open.org/committees/legalxml-courtfiling/.

This specification is provided under the RF on Limited Terms Mode of the OASIS IPR Policy, the mode chosen when the Technical Committee was established. For information on whether any patents have been disclosed that may be essential to implementing this specification, and any offers of patent licensing terms, please refer to the Intellectual Property Rights section of the TC’s web page (https://www.oasis-open.org/committees/legalxml-courtfiling/ipr.php).

Note that any machine-readable content (Computer Language Definitions) declared Normative for this Work Product is provided in separate plain text files. In the event of a discrepancy between any such plain text file and display content in the Work Product’s prose narrative document(s), the content in the separate plain text file prevails.

Citation format:

When referencing this document, the following citation format should be used:

[ECF-WS-SIP-v4.1]

Electronic Court Filing Web Services Service Interaction Profile Version 4.1. Edited by James Cabral, Gary Graham, and Philip Baughman. 17 July 2023. OASIS Committee Specification Draft 02. https://docs.oasis-open.org/legalxml-courtfiling/ecf-webservices/v4.1/csd02/ecf-webservices-v4.1-csd02.html. Latest stage: https://docs.oasis-open.org/legalxml-courtfiling/ecf-webservices/v4.1/ecf-webservices-v4.1.html.

Notices:

Copyright © OASIS Open 2023. All Rights Reserved.

Distributed under the terms of the OASIS IPR Policy, [https://www.oasis-open.org/policies-guidelines/ipr/]. For complete copyright information please see the full Notices section in Appendix E below.

Table of Contents

1        Introduction. 5

1.1 Relationship to ECF 4.1 Specifications. 5

1.2 Relationship to other XML Specifications. 5

1.2.1 W3C XML Schema 1.0. 5

1.2.2 W3C Namespaces in XML. 6

1.2.3 W3C Simple Object Access Protocol (SOAP) 1.1. 6

1.2.4 W3C Web Services Description Language (WSDL) 1.1. 6

1.2.5 W3C XML-Signature Syntax and Processing. 6

1.2.6 WS-I Basic Profile 1.1. 6

1.2.7 W3C SOAP 1.1 Binding for MTOM 1.0. 6

1.2.8 WS-I Basic Security Profile 1.0. 7

1.2.9 WS-ReliableMessaging Version 1.1. 7

1.3 Terms and Definitions. 7

1.4 Symbols and Abbreviations. 8

1.5 Normative References. 9

1.6 Non-Normative References. 10

2        Profile Design. 11

2.1 Service Interaction Profile Identifier 11

2.2 Transport Protocol 11

2.3 MDE Addressing. 12

2.4 Operation Addressing. 12

2.5 Request and Operation Invocation. 13

2.6 Synchronous Mode Response. 13

2.7 Asynchronous Mode Response. 13

2.8 Message/Attachment Delimiters. 13

2.9 Message Identifiers. 13

2.10 Message Non-repudiation. 13

2.11 Message Integrity. 13

2.12 Message Confidentiality. 13

2.13 Message Authentication. 14

2.14 Message Reliability. 14

2.15 Message Splitting and Assembly. 14

2.16 Transmission Auditing. 14

3        Service Definitions. 15

4        Conformance. 16

Appendix A. (Informative) Acknowledgments. 17

Appendix B. (Informative) Revision History. 18

Appendix C. (Informative) Example Implementation. 19

Appendix D. (Informative) Example Transmissions. 20

D.1 Operation Invocation. 20

D.2 Synchronous Response. 21

D.3 Asynchronous Response. 22

Appendix E. Notices. 23

 


1    Introduction

This document defines a Service Interaction Profile, as called for in section 5 of [ECF-v4.1].  The purpose of the Web Services Service Interaction Profile is to provide a web service-based system in conformance with the WS-I Basic Profile 1.1 ([WS-I BP 1.1]) and Basic Security Profile 1.0 ([WS-I BP 1.0]) for use with the [ECF-v4.1] specification. This version improves security support for tokens, attachments, and rights management through inclusion of WS-Security 1.1 and adds supports for message splitting and assembly through inclusion of WS-Reliable Messaging 1.0. This specification requires an active network connection between the sending and receiving MDEs.

1.1 Relationship to ECF 4.1 Specifications

The ECF 4.1 specification describes the technical architecture and the functional features of an electronic court filing system, that is, features needed to accomplish electronic filing in a court, pointing out both normative (required) and non-normative (optional) business processes it supports. The non-functional requirements associated with electronic filing transactions, and actions and services needed to accomplish the transactions, such as network structures and security infrastructures, are defined in related specifications, namely:

·         Service interaction profile specifications defining communications infrastructures within which electronic filing transactions can take place.

·         Document signature profile specifications that define mechanisms for stating or proving that a person signed a particular document.

This specification represents an ECF 4.1 service interaction profile based on web-services.  It is intended for implementation in conjunction with the ECF 4.1 specification and at least one ECF 4.1 document signature profile specification.  Specifically, in this service interaction profile, the implementation details for each of the Major Design Elements (MDEs), operations, and messages defined in the ECF 4.1 specification, are defined in Web Services Description Language (WSDL).

1.2 Relationship to other XML Specifications

Consistent with the ECF 4.1 principle of leveraging other existing, non-proprietary XML specifications wherever possible, this service interaction profile specification leverages previous specifications for web services messaging and security including the following:

·         W3C XML Schema 1.0 ([Schema Part 1, Schema Part 2]).

·         W3C Namespaces in XML ([Namespaces]).

·         W3C Simple Object Access Protocol (SOAP) 1.1 ([SOAP 1.1]).

·         W3C Web WSDL 1.1 ([WSDL 1.1]).

·         W3C XML-Signature Syntax and Processing ([XMLSIG]).

·         W3C SOAP 1.1 Binding for MTOM 1.0

·         WS-I Basic Profile Version 1.1.

·         WS-I Basic Security Profile Version 1.0.

·         OASIS WS-Reliable Messaging 1.0.

 

The use of each of these specifications is described below.

1.2.1 W3C XML Schema 1.0

The W3C XML Schema 1.0 ([Schema Part 1, Schema Part 2]) specification defines an application protocol for imposing constraints on the storage layout and logical structure of data objects using text tags or “markup.”  Compliance with the requirements of the XML Schema 1.0 specification is REQUIRED for compliance with this service interaction profile.

1.2.2 W3C Namespaces in XML

The W3C Namespaces in XML ([Namespaces]) specification defines conventions for defining and referring to separate XML tags. Compliance with the requirements of the Namespaces in XML specification is REQUIRED for compliance with this service interaction profile.

1.2.3 W3C Simple Object Access Protocol (SOAP) 1.1

The W3C SOAP 1.1 ([SOAP 1.1]) specification defines message exchange patterns and message structures for use with XML.  Compliance with the requirements of the SOAP 1.1 specification is REQUIRED for compliance with this service interaction profile.

1.2.4 W3C Web Services Description Language (WSDL) 1.1

The W3C WSDL ([WSDL 1.1]) specification enables the description of services as sets of endpoints operating on messages.  Compliance with the requirements of the WSDL 1.1 specification is REQUIRED for compliance with this service interaction profile.

An MDE implementation MUST consist of a [SOAP 1.1] web service that implements the SOAP HTTP binding for that MDE’s portType from the corresponding MDE WSDL document provided with this specification (e.g. CourtRecordMDE.wsdl).  Further, the implementation MUST be accompanied by an implementation-specific WSDL document that imports the namespace defined in the MDE WDSL, and defines a <wsdl:service> element containing a <soap:address> element with a location attribute whose value provides an HTTP URL at which the MDE implementation can be invoked.

(Note that in the previous paragraph, a namespace prefix of “wsdl” is assumed to map to the http://schemas.xmlsoap.org/wsdl/ namespace, while the namespace prefix of “soap” is assumed to map to the http://schemas.xmlsoap.org/wsdl/soap/ namespace.)

An example (non-normative) implementation-specific WSDL document for each MDE (e.g. wsdl/examples/CourtRecordMDE-ImplementationExample.wsdl) is provided with this specification.

1.2.5 W3C XML-Signature Syntax and Processing

The W3C XML Signature Syntax and Processing ([XMLSIG]) specification defines representations of signatures of Web resources, portions of protocol messages (anything that may be referenced by a URI), and procedures for computing and verifying such signatures.  Compliance with the requirements of the XML Signature Syntax and Processing specification is REQUIRED for compliance with this service interaction profile.

1.2.6 WS-I Basic Profile 1.1

The WS-Interoperability Basic Profile 1.1 ([WS-I BP 1.1]) specification defines a set of best practices for implementing interoperable web services.  Compliance with the requirements of the [WS-I BP 1.1], with the exceptions noted in Section 1.2.7, is REQUIRED for compliance with this service interaction profile.

1.2.7 W3C SOAP 1.1 Binding for MTOM 1.0

The SOAP 1.1 Binding for MTOM 1.0 ([ SOAP MTOM 1.0]) defines a set of best practices for implementing interoperable serialization of the SOAP envelope and its representation in the message.  This binding MUST be used as a replacement for the WS-I Attachments Profile 1.0 and the W3C Simple SOAP Binding Profile in the WS-I Basic Profile [WS-I BP 1.1].  Compliance with the requirements of the [ SOAP MTOM 1.0] and the specifications that this binding references, the SOAP Message Transmission Optimization Mechanism (MTOM) ([MTOM)] and the W3C XML-binary Optimized Packging (XOP) specifications ([XOP]), is REQUIRED for compliance with the web services service interaction profile.

1.2.8 WS-I Basic Security Profile 1.0

The WS-Interoperability Basic Security Profile Version 1.0 ([WS-I BSP 1.0]) complements [WS-I BP 1.0] and defines a set of best practices for implementing interoperable and secure web services.  With the exception of the requirements for use of the WS-I Attachments Profile 1.0 and the W3C Simple SOAP Binding Profile 1.0, compliance with the requirements of [WS-I BSP 1.0] is REQUIRED for compliance with this service interaction profile.  However, in many cases, [WS-I BSP 1.0] is underspecified.  The following options in [WS-I BSP 1.0] are REQUIRED for compliance with this web services service interaction profile:

·         E0002 - Security Tokens - Security tokens MUST be specified in additional security token profiles.  (NOTE:  This will be determined in Court Policy)

·         R3103 - A SIGNATURE MUST be a Detached Signature as defined by the XML Signature specification.

1.2.9 WS-ReliableMessaging Version 1.1

The WS-Reliability 1.1 ([WS-RM 1.1]) specification complements [WS-I BP 1.1] and defines a set of extensions for exchanging SOAP messages with guaranteed delivery, no duplicates, and guaranteed message ordering.

1.3 Terms and Definitions

The key words “MUST”, “MUST NOT”, “REQUIRED”, “SHALL”, “SHALL NOT”, “SHOULD”, “SHOULD NOT”, “RECOMMENDED”, “MAY”, and “OPTIONAL” in this document are to be interpreted as described in [RFC2119].

 

The key terms used in this specification include:

Attachment

Information transmitted between MDEs that is of an arbitrary format, and is related to the ECF 4.1 message(s) in the transmission in a manner defined in the ECF 4.1 specification.  An attachment may be in XML format, non-XML text format, encoded binary format, or un-encoded binary format.

Callback message

A message transmission returned by some operations some time after the operation was invoked (asynchronously).

Document

Represents an electronic version of the paper that would have been sent as paper.

Docketing

The process invoked when a court receives a pleading, order, or notice, when no errors in transmission or in presence of required content have occurred, and when the pleading, order, or notice is recorded as a part of the official record.

Filer

Attorneys or pro se litigants are individuals who assemble and submit Filings (data and documents).

Filing

Electronic document collection that has been assembled for filing on a designated court case.

Major Design Element (MDE)

A logical grouping of operations representing a significant business process supported by ECF 4.1.  Each MDE operation receives one or more ECF 4.1 messages, returns a ECF 4.1 synchronous response message, and optionally sends an ECF 4.1 asynchronous response message back to the original sender.

Message

Information transmitted between MDEs that consists of a well-formed XML document that is valid against one of the defined message structure schemas in the ECF 4.1 specification.  A message may be related to one or more attachments in a manner defined in the ECF 4.1 specification.

Message Transmission

The sending of one or more ECF 4.1 messages and associated attachments to an MDE.  Each transmission must invoke or respond to an operation on the receiving MDE, as defined in the ECF 4.1 specification.

Operation (or MDE Operation)

A function provided by an MDE upon receipt of one or more ECF 4.1 messages.  The function provided by the operation represents a significant step in the court filing business process.  A sender invokes an operation on an MDE by transmitting a set of ECF 4.1 messages to that MDE, addressed to that operation.

Operation signature

A definition of the ECF 4.1 input message(s) and ECF 4.1 synchronous response message associated with an operation.  Each SOAP message is given a name and a type by the operation.  The type is defined by a single one of the structures defined in the ECF 4.1 specification.

Receiving MDE

In an Electronic Court Filing operation, the MDE that receives the request with the operation invocation performs the operation and sends the response.

Sending MDE

In an Electronic Court Filing operation, the MDE that sends the request including the operation invocation and receives the response with the results of the operation.

Synchronous response

A message transmission returned immediately (synchronously) as the result of an operation.  Every operation has a synchronous response.

1.4 Symbols and Abbreviations

The key symbols and abbreviations used in this specification include:

ECF 4.1

OASIS LegalXML Electronic Court Filing 4.1

MDE

Major Design Element

OASIS

Organization for the Advancement of Structured Information Standards

SOAP

Simple Object Access Protocol

XML

eXtensible Markup Language

W3C

World Wide Web Consortium

WSDL

Web Services Description Language

WS-I

Web Services Interoperability Organization

1.5 Normative References

[ECF-v4.1]

Electronic Court Filing Version 4.1. Edited by James Cabral, Gary Graham, and Philip Baughman. Latest stage: https://docs.oasis-open.org/legalxml-courtfiling/ecf/v4.1/ecf-v4.1.html.

[MTOM]

M. Gudgin, N Mendelsohn, M Nottingham, H Ruellan, SOAP Message Transmission Optimization Mechanism, http://www.w3.org/TR/soap12-mtom/,  W3C Recommendation, January 2005.

[Namespaces]

T. Bray, Namespaces in XML, http://www.w3.org/TR/xml-names/, W3C Recommendation, December 2009.

[RFC2045]

N. Freed, Multipurpose Internet Mail Extensions (MIME) Part One: Format of Internet Message Bodies, http://www.ietf.org/rfc/rfc2045.txt, IETF RFC 2045, November 1996.

[RFC2046]

N. Freed, Multipurpose Internet Mail Extensions (MIME) Part Two: Media Types, http://www.ietf.org/rfc/rfc2046, IETF RFC 2046, November 1996.

[RFC2119]

S. Bradner, Key words for use in RFCs to Indicate Requirement Levels, http://www.ietf.org/rfc/rfc2119, IETF RFC 2119, March 1997.

[RFC2616]

R. Fielding, et al., Hypertext Transfer Protocol -- HTTP/1.1, http://www.ietf.org/rfc/rfc2616, IETF RFC 2616, June 1999.

[RFC2617]

J. Franks, P. Hallam-Baker, J. Hostetler, S. Lawrence,  P. Leach, A. Luotonen, E. Sink, and L. Stewart, HTTP Authentication: Basic and Digest Access Authentication, http://www.ietf.org/rfc/rfc2617, RFC 2617, June 1999.

[RFC4122]

Leach, et al., A Universally Unique IDentifier (UUID) URN Namespace, http://www.ietf.org/rfc/rfc4122.txt, IETF RFC 4112, July 2005.

[Schema Part 1]

H. S. Thompson, D. Beech. M. Maloney, N. Mendelsohn, XML Schema Part 1: Structures Second Edition, http://www.w3.org/TR/xmlschema-1/, W3C Recommendation, October 28, 2004.

[Schema Part 2]

P. Biron, A. Malhotra, XML Schema Part 2: Datatypes Second Edition, http://www.w3.org/TR/xmlschema-2/, W3C Recommendation, October 28, 2004.

[SOAP 1.1]

D. Box, et. al., Simple Object Access Protocol (SOAP) 1.1, http://www.w3.org/TR/2000/NOTE-SOAP-20000508, W3C Note, May 8, 2000.

[SOAP MTOM 1.0]

D. Angelov, C. Ferris, A Karmarkar, C Liu, J Marsh, J Mischkinsky, A Nadalin, U Yalçınalp, SOAP 1.1 Binding for MTOM 1.0, http://www.w3.org/Submission/soap11mtom10/, W3C Member Submission, April 05, 2006.

[WSDL 1.1]

E. Christensen, F Curbera, G Meredith, S. Weerawarana, Web Services Description Language 1.1, http://www.w3.org/TR/wsdl, W3C Note, March 15, 2001.

[WS-I BP1.1]

K. Ballinger, D. Ehnebuske, C. Ferris, M. Gudgin, M. Nottingham, C. K. Liu, P. Yendluri, Basic Profile Version 1.1 (Final Material), http://www.ws-i.org/Profiles/BasicProfile-1.1-2006-04-10.html, WS-I Organization, April 10 2006.

[WS-I BSP 1.1]

M. McIntosh, M. Gudgin, K. Scott Morrison, A. Barbir, Basic Security Profile Version 1.1 (Final Material), http://www.ws-i.org/Profiles/BasicSecurityProfile-1.1.html, WS-I Organization, January 2010.

[WS-RM 1.1]

WS-ReliableMessaging 1.1, 15 November 2004, OASIS Standard, http://docs.oasis-open.org/wsrm/ws-reliability/v1.1/wsrm-ws_reliability-1.1-spec-os.pdf

[XML 1.0]

T. Bray, et al., Extensible Markup Language (XML) 1.0 (Fifth Edition), http://www.w3.org/TR/xml/, W3C Recommendation, November 2008.

[XMLENC]

D. Eastlake, J. Reagle, XML Encryption Syntax and Processing, http://www.w3.org/TR/xmlenc-core/, W3C Recommendation, December 2002.

[XMLSIG]

D. Eastlake., J. Reagle, D. Solo, XML-Signature Syntax and Processing, http://www.w3.org/TR/xmldsig-core/, W3C Recommendation, June 2008.

[XOP]

M. Gudgin, N Mendelsohn, M Nottingham, H Ruellan, XML-binary Optimized Packaging, http://www.w3.org/TR/2005/REC-xop10-20050125/.), W3C Recommendation, January 2005.

1.6 Non-Normative References

[JRA WS-SIP]

Global Justice Reference Architecture Web Services Service Interaction Profile 1.1, https://bja.ojp.gov/sites/g/files/xyckuh186/files/media/document/ws-sip_aug_31_version_1_1_final3.pdf, Global Infrastructure/Standards Working Group, August 1, 2007

 

2    Profile Design

This section describes the design of the Web Services Service Interaction Profile and identifies how it satisfies the requirements of a document signature profile listed in Section 5 of the [ECF-v4.1] specification.  In addition, this profile is intended for compatibility with the Global Justice Reference Architecture Web Services Service Interaction Profile [JRA WS-SIP].

2.1 Service Interaction Profile Identifier

Each ECF 4.1 service interaction profile MUST be identified with a unique URI which is used in the ECF 4.1 court policy to identify the service interaction profile(s) that a given MDE supports.  The ECF 4.1 Web Services Service Interaction Profile will be identified by the following URI:

urn:oasis:names:tc:legalxml-courtfiling:schema:xsd:WebServices-4.1

With the exception of PaymentMessage and PaymentReceiptMessage, all ECF 4.1 messages sent via this service interaction profile MUST include this URI in the <SendingMDEProfileCode> element.  In addition, any court supporting this service interaction profile MUST include this URI in the <SupportedMessageProfile> element in the CourtPolicyResponseMessage.

2.2 Transport Protocol

Each ECF 4.1 message transmission sent using this service interaction profile MUST be encapsulated in a SOAP message over the HTTP 1.1 protocol as defined in the [WSI-I BP 1.1]  and [SOAP MTOM] specifications.  Figure 1 illustrates the containment of ECF 4.1 messages and attachments within a SOAP Message Package.  For compliance with this specification, a SOAP envelope MUST contain one or more ECF 4.1 messages and MAY contain one or more attachments.

 

Figure 1. SOAP Envelope with ECF 4.1 Messages and Attachments

Diagram, text

Description automatically generated

2.3 MDE Addressing

Each ECF message transmission sent using this service interaction profile MUST identify the sending and receiving MDEs with universally unique address identifiers.  The identifier for each MDE will be assigned by the organization that manages the MDE and MUST be the HyperText Transfer Protocol (HTTP) or HTTP over Secure Socket Layer (SSL) permanent URL for the MDE web service.

This URL MUST be the value of the location attribute of the <soap:address> element contained within the <wsdl:service> element that binds the MDE’s portType to a service, and that is defined in the implementation-specific WSDL document discussed in section 1.2.4 above.

For instance, a conformant MDE ID of a web service at courts.wa.gov using HTTP over SSL on port 8000 would be as follows:

https://courts.wa.gov:8000

2.4 Operation Addressing

Each message transmission MUST either identify the operation being invoked or be a synchronous response to a previous request.  Each operation MUST be either a REQUIRED operation as defined in the ECF 4.1 specification or an OPTIONAL operation identified as supported by the court through the current machine-readable court policy.  The response to a request for an operation not supported by the court MUST be reported using the ECF 4.1 <ErrorCode> element in the core message and MAY also include a SOAPFault in the SOAP envelope.

2.5 Request and Operation Invocation

Each message transmission MUST identify the operation being invoked within the SOAP Body only; the (qualified) operation name MUST be the qualified name of the first child element of the SOAP body element, as called for in section 7.1 of the [SOAP 1.1] specification.

An MDE implementation MAY allow message transmissions that include a SOAPAction HTTP header.

In compliance with the [WSI-I BP 1.1] specification, a receiving MDE MAY NOT rely on the value of the SOAPAction HTTP header in processing the message.

2.6 Synchronous Mode Response

Synchronous responses to requests MUST be encoded using the MIME binding defined in Section 3 of the [SOAP MTOM 1.0] specification.

2.7 Asynchronous Mode Response

The receiving MDE MUST deliver the asynchronous response to a request sent using the web services service interaction profile by sending the asynchronous response to the sending MDE via the web services service interaction profile.  The response message transmission MUST conform to the rules for message transmissions established in section 2.5 of this specification above.

2.8 Message/Attachment Delimiters

The ECF 4.1 messages MUST be encapsulated in the SOAP Body.  All other attachments MUST be included in separate MIME parts as shown in Figure 1.  The delimiters between the message and the first attachment, and between attachments, MUST comply with the rules for delimiting MIME parts as defined in [RFC2045].

2.9 Message Identifiers

Each MIME part that includes an attachment MUST have a unique “Content-ID” as defined in [RFC2045] that uniquely identifies the content within that part.

2.10 Message Non-repudiation

The SOAP message MAY include a digital signature applied to the SOA Body and all MIME parts that contain messages or attachments.  The digital signature MUST be conformant with Section 8 of the [WS-I BSP 1.0] specification which references the [XMLSIG] specification.  The algorithms defined by [XMLSIG] support non-repudiation of the signer and signing date through a digital signature created using the signer’s private key.  Because the sender is the only one with access to the private key and the date is included in the signature, receivers can be reasonably assured of the signer and signing date.

2.11 Message Integrity

The algorithms defined by [XMLSIG] support message integrity through inclusion of a public-key-based digital signature.  Because the signing date and message hash are included in the signature and the entire signature is computed using the sender’s private key, the receiver can compare the hashes to verify that the message has not been altered since it left the control of the sender on the specified date.

2.12 Message Confidentiality

If the Filing Review MDE supports the filing of confidential filings and publishes the court’s public key in court policy, messages and attachments MAY be encrypted for filing into the court according to Section 9 of the [WS-I BSP 1.0] specification which references the [XMLENC] specification.  Because the Filing Review MDE is the only one with access to the court’s private key, filers can be reasonably assured that only the Filing Review MDE will be able to read the message or attachment. 

This mechanism MAY be used to protect sensitive or confidential information in a filing such as the PaymentMessage  However, this specification does NOT support the transmission of messages and attachments encrypted with the court’s public key to other parties in the case.  Any messages and attachments transmitted to other parties MUST be either encrypted with the party’s public key or not encrypted.  This specification and the ECF 4.1 specification do NOT define the exchange or publication of public keys by persons or organizations other than the court.

2.13 Message Authentication

Each MDE MAY define HTTP credentials for authentication to access the operations supported by that MDE.  If authentication is required, the sending MDE MUST include the credentials in the request as defined in [RFC2617].

For instance, the Filing Review MDE MAY assign user ID and password pairs to each supported Filing Assembly MDE, and require authentication for ReviewFiling operations but not query operations. In that case, each Filing Assembly MDE would include the user ID and password assigned to them in each filing.

2.14 Message Reliability

If a court expresses support for message reliability in human-readable court policy, a sending MDE MAY include reliability extensions to the SOAP envelope as defined in the [WS-RM 1.1] specification.  An MDE that receives a request with a SOAP envelope that includes reliability extensions MUST include reliability extensions as defined by [WS-RM 1.1] in the response.

2.15 Message Splitting and Assembly

WS-Reliable Messaging defines mechanisms by which messages MAY be split into multiple pieces that are assigned sequence numbers and transmitted separately by the RM Source (sending MDE) and reassembled into the complete message by the RM Destination (receiving MDE).

 

2.16 Transmission Auditing

An implementation of the web services message profile MUST ensure that the complete SOAP message, including the SOAP envelope, any attachments, and signatures, is available to the receiving MDE for persisting and auditing purposes.

 

3    Service Definitions

Implementation by each MDE of this service interaction profile MUST be described in WSDL file that imports the service definitions from the corresponding MDE WSDL file included with this specification.

 

These WSDL files import the xsd/wrappers.xsd schema file provided in [ECF-v4.1].

 

4    Conformance

An implementation conforms with the ECF 4.1 Web Services SIP if the implementation meets the requirements identified by capitalized key words [RFC2119] in Sections 1 and 2 and publishes a WSDL as required in Section 3.

Appendix A. (Informative) Acknowledgments

The following individuals have participated in the creation of this specification and are gratefully acknowledged:

Participants:

Philip Baughman, Tyler Technologies, Inc.

James Cabral, InfoTrack US

Eric Eastman, InfoTrack US

Ryan Foley, i3-ImageSoft, LLC

Gary Graham, Arizona Supreme Court

Barbara Holmes, National Center for State Courts

George  Knecht, InfoTrack US

James McMillan, National Center for State Courts

Enrique Othon, Tyler Technologies, Inc.

Jim Price, Arizona Supreme Court

Brock Rogers, File & ServeXpress

Appendix B. (Informative) Revision History

Revision

Date

Editor

Changes Made

Wd01

2022-06-18

James Cabral

Changes to ECF 4.01 Web Services SIP 2.01:

Split the previous WSDL into separate files for each MDE; changed the WSDLs to use document literals, (aligning operation names and root elements) and include a SOAP action in the binding; fixed reference to MTOM specification.

Wd02

2022-08-23

James Cabral

Gary Graham

Replace references to ECF 4.0 with 4.1.

Wd03

2022-09-12

James Cabral

Gary Graham

Minor changes to front matter, section 2,5 and D-1.

WD04

2022-11-17

James Cabral

Gary Graham

Minor typo change to 2.5.

CSD01

2022-12-07

James Cabral

Gary Graham

Committee Specification Draft approved for public review

WD05

2023-05-10

James Cabral

Gary Graham

Added a README.txt file in /wsdl. Fixed broken link in Section 1.6, defined namespaces and references to Related Work in the front matter, citations to ECF 4.1 throughout, and names of specific messages.  Clarified references to ECF 4.1 vs SOAP messages throughout. Added guidance in Appendix C for linking the WSDL files and wrappers.xsd. Updated Figure 1. Clarified the user of xsd/wrappers.xsd in Section 3.

WD06

2023-06-23

James Cabral

Gary Graham

Removed reference to support for bulk filing in Section 1.

 

Appendix C. (Informative) Example Implementation

This non-normative section provides an example WSDL implementation of this service interaction profile.  This is also included in the CourtRecordMDE-ImplementationExample.wsdl file included with this specificationNote that the following is for illustrative purposes only.

 

 

<definitions

    targetNamespace="urn:oasis:names:tc:legalxml-courtfiling:schema:wsdl:CourtRecordMDE-ImplementationExample-4.1"

    xmlns:wsmp="urn:oasis:names:tc:legalxml-courtfiling:schema:wsdl:CourtRecorMDE-4.1"

    xmlns:xsd="http://www.w3.org/2001/XMLSchema"

    xmlns:soap="http://schemas.xmlsoap.org/wsdl/soap/"

    xmlns:wsdl="http://schemas.xmlsoap.org/wsdl/"

    xmlns="http://schemas.xmlsoap.org/wsdl/">

   

    <import namespace="urn:oasis:names:tc:legalxml-courtfiling:schema:wsdl:CourtRecordMDE-4.1" location="CourtRecordMDE.wsdl"/>

   

    <service name="CourtRecordMDEService">

        <port name="CourtRecordMDE" binding="wsmp:CourtRecordMDESoap">

            <soap:address location="https://localhost/..."/>

        </port>

    </service>

   

</definitions>

 

 

The WSDL files provided in the /wsdl folder on this specification import the wrappers.xsd file provided in the /xsd folder of the Core specification.   The <import> statements in the WSDL files assume that the /xsd folder and /wsdl folder share a common parent folder.  If not, it will be necessary to update the <import> statements in the provided WSDL files.

Appendix D. (Informative) Example Transmissions

This non-normative section provides an example transmission that demonstrates an operation invocation, a synchronous response, and an asynchronous response using this service interaction profile.  Note that these examples are for illustrative purposes only.

D.1 Operation Invocation

This is an example of a request including a ReviewFiling operation invocation.

 

MIME-Version: 1.0

Content-Type: Multipart/Related; boundary=boundary;

type=”application/xop+xml”;

   start="Envelope"

start-info=”text/xml”

 

--boundary

Content-Type:application/xop+xml;

 text/xml; charset="UTF-8"

Content-Transfer-Encoding: 8bit

Content-ID: Envelope

 

<?xml version='1.0' ?>

<env:Envelope xmlns:env="http://schemas.xmlsoap.org/soap/envelope/">

    <env:Body xmlns:types="http://example.com/some-namespace">

        <wrappers:ReviewFiling>

          <wrappers:ReviewFilingRequest>

            <core:CoreFilingMessage>

                …

         </core:CoreFilingMessage>

 

         <payment:PaymentMessage>

              …

         </payment:PaymentMessage>

          </wrappers:ReviewFilingRequest>

        </wrappers:ReviewFiling>

    </env:Body>

</env:Envelope>

 

--boundary

Content-Type: application/pdf

Content-Transfer-Encoding: binary

Content-ID: Attachment1

 

...Lead Document...

--boundary—

Content-Type: application/pdf

Content-Transfer-Encoding: binary

Content-ID: Attachment2

 

...Connected Document...

--boundary--

 

 


D.2 Synchronous Response

This is an example of a MessageReceiptMessage synchronous response.

MIME-Version: 1.0

Content-Type: Multipart/Related; boundary=boundary;

type=”application/xop+xml”;

   start="Envelope"

start-info=”text/xml”

 

--boundary

Content-Type:application/xop+xml;

 text/xml; charset="UTF-8"

Content-Transfer-Encoding: 8bit

Content-ID: Envelope

 

<?xml version='1.0' ?>

<env:Envelope xmlns:env="http://schemas.xmlsoap.org/soap/envelope/">

    <env:Body xmlns:types="http://example.com/some-namespace">

        <wrappers:ReviewFilingResponse>

 

          <message:MessageReceiptMessage>

               

          </message:MessageReceiptMessage>

 

        </wrappers:ReviewFilingResponse>

    </env:Body>

</env:Envelope>

 

 


D.3 Asynchronous Response

This is an example of a NotifyFilingReviewComplete asynchronous response.

 

MIME-Version: 1.0

Content-Type: Multipart/Related; boundary=boundary;

type=”application/xop+xml”;

   start="Envelope"

start-info=”text/xml”

 

--boundary

Content-Type:application/xop+xml;

 text/xml; charset="UTF-8"

Content-Transfer-Encoding: 8bit

Content-ID: Envelope

 

<?xml version='1.0' ?>

<env:Envelope xmlns:env="http://schemas.xmlsoap.org/soap/envelope/">

    <env:Body xmlns:types="http://example.com/some-namespace">

        <wrappers:NotifyFilingReviewComplete>

           <wrappers:NotifyFilingReviewCompleteRequest>

            <reviewcb:ReviewFilingCallbackMessage>

               

         </reviewcb:ReviewFilingCallbackMessage>

 

         <receipt:PaymentReceiptMessage>

             

         </receipt:PaymentReceiptMessage>

       </wrappers:NotifyFilingReviewCompleteRequest>

        </wrappers:NotifyFilingReviewComplete>

    </env:Body>

</env:Envelope>

 

--boundary

Content-Type: application/pdf

Content-Transfer-Encoding: binary

Content-ID: Attachment1

 

...Lead Document...

--boundary—

Content-Type: application/pdf

Content-Transfer-Encoding: binary

Content-ID: Attachment2

 

...Connected Document...

--boundary--

 

 

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