Information and documentation — Data exchange protocol for interoperability and preservation

DEPIP specifies a standardized framework for the various data (including both data and related
metadata) exchange transactions between an archive and its producers and consumers. Interchanges
between archives (including archives integrated in organizations, public archives, storage service
suppliers) are also considered. This document defines five transactions (Transfer, Deliver, Dispose,
Modify and Restitute), which the partners can use to exchange Data Objects. It also specifies the syntax
and semantics of the messages that are exchanged during these transactions.
Internal organization of the information systems of the partners is excluded. Information received in
conformance with the data exchange model is intended to be handled by various software components.
These applications, however, are not the object of this document. The impacts of major risks (for
instance, disappearance or incapacitation of the producer of the data) are also excluded.

Information et documentation — Protocole d'échange de données pour l'interopérabilité et la préservation

DEPIP d�finit un cadre normalis� pour les diff�rentes transactions d'�changes de donn�es (comprenant � la fois les donn�es et les m�tadonn�es associ�es) entre un service d'archives et ses producteurs et utilisateurs. Les �changes entre plusieurs Services d'archives (services d'archives int�gr�s dans les organisations, services publics d'archives, prestataires d'archivage) sont �galement concern�s. Ce document d�finit cinq transactions (Transf�rer, Communiquer, �liminer, Modifier et Restituer) que les partenaires peuvent utiliser pour �changer des Objets-donn�es. Il d�finit aussi la syntaxe et la s�mantique des messages qui sont �chang�s pendant ces transactions.
L'ISO 20614 :2017 ne concerne pas l'organisation interne des syst�mes d'information des partenaires. Les informations re�ues conform�ment au mod�le d'�change de donn�es sont destin�es � �tre g�r�es par diff�rents composants logiciels. Ces applications ne font toutefois pas l'objet de ce document. Les cons�quences de la survenance de risques majeurs (par exemple la disparition ou l'incapacit� du producteur des donn�es) sont elles aussi exclues du p�rim�tre de ce document.

Informatika in dokumentacija - Protokol izmenjave podatkov za interoperabilnost in hranjenje

Protokol izmenjave podatkov za interoperabilnost in hranjenje (DEPIP) določa standardni okvir za različne transakcije izmenjav podatkov (tako podatkov kot tudi povezanih metapodatkov) med arhivom ter njegovimi proizvajalci in potrošniki. Obravnavane so tudi izmenjave med arhivi (vključno z arhivi, integriranimi v organizacije, javnimi arhivi in ponudniki storitev shranjevanja). Ta dokument opredeljuje pet transakcij (prenos, dostava, odstranitev, spreminjanje in obnovitev), ki jih lahko partnerji uporabijo za izmenjavo podatkovnih objektov. Določa tudi skladnjo in semantiko sporočil, ki se izmenjujejo med takimi transakcijami.
Interna organizacija informacijskih sistemov partnerjev je izključena. Informacije, prejete v skladu z modelom izmenjave podatkov, so namenjene obravnavi s strani različnih komponent programske opreme.
Vendar te aplikacije niso predmet tega dokumenta. Izključeni so tudi vplivi velikih tveganj (na primer izginotje ali onemogočenje proizvajalca podatkov).

General Information

Status
Published
Public Enquiry End Date
30-Dec-2016
Publication Date
23-Aug-2018
Current Stage
6060 - National Implementation/Publication (Adopted Project)
Start Date
26-Jul-2018
Due Date
30-Sep-2018
Completion Date
24-Aug-2018

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INTERNATIONAL ISO
STANDARD 20614
First edition
2017-11
Information and documentation —
Data exchange protocol for
interoperability and preservation
Information et documentation — Protocole d'échange de données
pour l'interopérabilité et la préservation
Reference number
ISO 20614:2017(E)
ISO 2017
---------------------- Page: 1 ----------------------
ISO 20614:2017(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO 2017, Published in Switzerland

All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized otherwise in any form

or by any means, electronic or mechanical, including photocopying, or posting on the internet or an intranet, without prior

written permission. Permission can be requested from either ISO at the address below or ISO’s member body in the country of

the requester.
ISO copyright office
Ch. de Blandonnet 8 • CP 401
CH-1214 Vernier, Geneva, Switzerland
Tel. +41 22 749 01 11
Fax +41 22 749 09 47
copyright@iso.org
www.iso.org
ii © ISO 2017 – All rights reserved
---------------------- Page: 2 ----------------------
ISO 20614:2017(E)
Contents Page

Foreword ........................................................................................................................................................................................................................................iv

Introduction ..................................................................................................................................................................................................................................v

1 Scope ................................................................................................................................................................................................................................. 1

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

3 Terms and definitions ..................................................................................................................................................................................... 1

4 Context ............................................................................................................................................................................................................................ 4

4.1 Roles played by individuals or organizations involved in transactions ................................................. 4

4.2 Types of transactions ........................................................................................................................................................................ 4

4.3 Exchanged objects ................................................................................................................................................................................ 4

4.3.1 General...................................................................................................................................................................................... 4

4.3.2 Exchanged Object packages (DataObjectPackageType) ................................................................ 4

4.3.3 Administrative metadata of exchanged Data

Objects (AdministrativeMetadataType) ...................................................................................................... 5

4.3.4 Descriptive metadata of the exchanged Data Objects (DescriptiveMetadataType) 5

5 Modelling ...................................................................................................................................................................................................................... 5

5.1 General ........................................................................................................................................................................................................... 5

5.2 Use case diagrams ................................................................................................................................................................................ 6

5.2.1 General...................................................................................................................................................................................... 6

5.2.2 Transfer .................................................................................................................................................................................... 6

5.2.3 Deliver ....................................................................................................................................................................................... 7

5.2.4 Modify ....................................................................................................................................................................................... 8

5.2.5 Dispose ..................................................................................................................................................................................... 8

5.2.6 Restitute .................................................................................................................................................................................. 9

5.3 Sequence diagrams ...........................................................................................................................................................................10

5.3.1 General...................................................................................................................................................................................10

5.3.2 Transfer .................................................................................................................................................................................10

5.3.3 Deliver ....................................................................................................................................................................................11

5.3.4 Modify ....................................................................................................................................................................................12

5.3.5 Dispose ..................................................................................................................................................................................13

5.3.6 Restitute ...............................................................................................................................................................................13

5.3.7 Authorization requests ............................................................................................................................................14

5.3.8 List of messages .............................................................................................................................................................16

5.4 Class diagrams ......................................................................................................................................................................................17

5.4.1 General...................................................................................................................................................................................17

5.4.2 Organizations ...................................................................................................................................................................17

5.4.3 Data Object packages ................................................................................................................................................18

5.4.4 Specification of the version of the lists of codes used ..................................................................20

5.4.5 Signature ..............................................................................................................................................................................22

5.4.6 Objects of non-specified types ..........................................................................................................................22

5.4.7 Description of messages .........................................................................................................................................22

6 Implementation model ...............................................................................................................................................................................29

6.1 General ........................................................................................................................................................................................................29

6.2 Definition of types .............................................................................................................................................................................29

6.3 Elements metadata ...........................................................................................................................................................................29

Annex A (informative) Information website ..............................................................................................................................................36

Annex B (informative) Rules for the use of code lists ......................................................................................................................37

Annex C (informative) XML schemas for DEPIP .....................................................................................................................................39

Annex D (informative) Guidelines — Use cases — REST architecture ............................................................................40

Bibliography .............................................................................................................................................................................................................................41

© ISO 2017 – All rights reserved iii
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ISO 20614:2017(E)
Foreword

ISO (the International Organization for Standardization) is a worldwide federation of national standards

bodies (ISO member bodies). The work of preparing International Standards is normally carried out

through ISO technical committees. Each member body interested in a subject for which a technical

committee has been established has the right to be represented on that committee. International

organizations, governmental and non-governmental, in liaison with ISO, also take part in the work.

ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of

electrotechnical standardization.

The procedures used to develop this document and those intended for its further maintenance are

described in the ISO/IEC Directives, Part 1. In particular the different approval criteria needed for the

different types of ISO documents should be noted. This document was drafted in accordance with the

editorial rules of the ISO/IEC Directives, Part 2 (see www.iso.org/directives).

Attention is drawn to the possibility that some of the elements of this document may be the subject of

patent rights. ISO shall not be held responsible for identifying any or all such patent rights. Details of

any patent rights identified during the development of the document will be in the Introduction and/or

on the ISO list of patent declarations received (see www.iso.org/patents).

Any trade name used in this document is information given for the convenience of users and does not

constitute an endorsement.

For an explanation on the voluntary nature of standards, the meaning of ISO specific terms and

expressions related to conformity assessment, as well as information about ISO's adherence to the

World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see the following

URL: www.iso.org/iso/foreword.html.

This document was prepared by Technical Committee ISO/TC 46, Information and documentation,

Subcommittee SC 4, Technical interoperability.
iv © ISO 2017 – All rights reserved
---------------------- Page: 4 ----------------------
ISO 20614:2017(E)
Introduction

The Data Exchange Protocol for Interoperability and Preservation (DEPIP) aims at facilitating inter-

operability between a digital archive and information systems of its partners: producers who have

created the documents themselves (Originating Agency), intermediaries who are acting on behalf of

producers and are not responsible for the intellectual content per se (Transferring Agency), consumers

(Consumer) and control authorities (Control Authority). This document provides a framework for data

exchange between systems. It is based on the OAIS Reference model. It is generic and may be adapted to

all types of information, whether printed or in a born-digital format.
DEPIP is intended for:

— commercial software vendors, in order to complete and/or improve their applications;

— archives, in order to standardize ingest of data destined for preservation; to provide access to

archived data; and to facilitate the exchange of data between archives;

— application programmers, in order to enable interoperable data transactions between Archives and

the information systems they are developing;
— third parties responsible for transferring documents to Archives;
— data storage service suppliers.
The parties to data exchange may rely on this document to:

— define their archiving/preservation processes or harmonize their existing processes with the best

practices;
— organize the management of the archiving/preservation processes; and

— control the creation and management of metadata, whatever descriptive models are used.

Note that DEPIP may be implemented either in its entirety or only partially. However, it is impossible

to foresee what the implementations will be like in different domains such as libraries, archives or

museums. Domain-specific or generic International Standardized Profiles specifying different levels of

interoperability may be developed in the future to support the implementers of this document. The

minimum implementation, or level 0, is: Transfer and Delivery, including at least mandatory metadata.

Note that in level 0, existing metadata is not redefined and that the initial request and the final reply

are required.

Note that DEPIP is a conceptual standard to be considered as a data dictionary. The model defined

in DEPIP is independent of implementation issues. In different implementations, DEPIP can be

supplemented by relevant technical protocols (like HTTP) allowing implementers to handle technical

exchanges between systems.
© ISO 2017 – All rights reserved v
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INTERNATIONAL STANDARD ISO 20614:2017(E)
Information and documentation — Data exchange protocol
for interoperability and preservation
1 Scope

DEPIP specifies a standardized framework for the various data (including both data and related

metadata) exchange transactions between an archive and its producers and consumers. Interchanges

between archives (including archives integrated in organizations, public archives, storage service

suppliers) are also considered. This document defines five transactions (Transfer, Deliver, Dispose,

Modify and Restitute), which the partners can use to exchange Data Objects. It also specifies the syntax

and semantics of the messages that are exchanged during these transactions.

Internal organization of the information systems of the partners is excluded. Information received in

conformance with the data exchange model is intended to be handled by various software components.

These applications, however, are not the object of this document. The impacts of major risks (for

instance, disappearance or incapacitation of the producer of the data) are also excluded.

2 Normative references
There are no normative references in this document.
3 Terms and definitions
For the purposes of this document, the following terms and definitions apply.

ISO and IEC maintain terminological databases for use in standardization at the following addresses:

— ISO Online browsing platform: available at http://www.iso.org/obp
— IEC Electropedia: available at http://www.electropedia.org/
3.1
Access

transmission of information by an Archive (3.2) to a Consumer (3.5), with the authorization, if required,

of the Originating Agency (3.11) and of the relevant Control Authority (3.6)
3.2
Archive

organization that intends to preserve information for Access (3.1) and use by a designated community

in accordance with the current legal, regulatory or contractual conditions

Note 1 to entry: The DEPIP Archive is not fully equivalent to the OAIS Archive as the latter does not check the

compliance with the contractual conditions.

Note 2 to entry: The DEPIP Archive is not necessarily the same as an archive in a traditional sense in which legal

custody is permanently transferred. It may temporarily offer preservation services for content, in accordance

with a legal agreement that has a set time frame. At the end of that time frame, or in accordance with some other

stipulation of the legal agreement that would permit it, the Data Objects (3.7) that had been transferred to the

archive could be returned to the Originating Agency (3.11) or a third party appointed by it.

3.3
Binary Data Object

digital item which contains information, for instance, an electronic file, i.e. a named and ordered

sequence of bytes that the file system of an operating system may handle as a unit

© ISO 2017 – All rights reserved 1
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ISO 20614:2017(E)
3.4
Business Identifier

identifier used to identify the Archive (3.2) and its partners, messages, Submission Agreements (3.18), etc.

3.5
Consumer

individual or organization wishing to consult information kept by the Archive (3.2) in accordance with

the current legal, regulatory or contractual conditions
3.6
Control Authority

internal or external individual or organization that, if applicable, may authorize the delivery or the

disposal of information held by an Archive (3.2)

Note 1 to entry: Control Authority is partially equivalent to the OAIS management (like management, it may be

external to the archive), but it has narrower role than management in that Control Authority is only interested in

legal or regulatory compliance.
3.7
Data Object

either a digital (sequence of bits) or a physical object which is to be preserved, and technical metadata

(representation information, integrity information and identification information)

3.8
Disposal notification

notification by an Archive (3.2) to an Originating Agency (3.11) of information disposal

3.9
Disposition rule

information required to manage the data lifecycle to indicate a retention period, beyond which Data

Objects (3.7) shall be disposed or preserved
3.10
Modification notification

notification by an Archive (3.2) to an Originating Agency (3.11) of the modifications made to the

submitted and/or archived Data Objects (3.7)

Note 1 to entry: These modifications may be necessary during the ingest or later to ensure proper storage of

information (e.g. changing the file format, or adding, correcting or updating representation information or

preservation description information).
3.11
Originating Agency

individual or organization that made or received the information within the context of its activities

Note 1 to entry: It is often the producer in the OAIS model.

Note 2 to entry: The Originating Agency may act as a Transferring Agency (3.20) or may use a Transferring Agency

as an intermediary for sending data to the Archive (3.2).
3.12
Physical Data Object

physical item which contains information, for instance, a file, a box, a CD-ROM, etc.

3.13
Preservation

combination of policies, strategies and actions developed by the Archive (3.2) to ensure that digital

information of continuing value remains accessible and usable
3.14
Preservation profile

adjustment of the descriptive model based on the types of exchanged Data Objects (3.7)

2 © ISO 2017 – All rights reserved
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ISO 20614:2017(E)
3.15
Restitution

transfer of information by an Archive (3.2) to an Originating Agency (3.11) in order to shift back to the

Originating Agency the responsibility for data retention

Note 1 to entry: This transaction is partially equivalent to the OAIS functional entities archival storage and access.

3.16
Rights metadata

metadata concerned with the limitations and restrictions regarding the access to and use of data

commonly including elements such as copyright status, use restrictions and information about licensing

agreements
3.17
Service Level

quality of the services provided by the Archive (3.2) to its partners and planned by the Submission

Agreement (3.17), including secure preservation, guarantee of the integrity of the stored data,

availability rate, etc.
3.18
Submission Agreement

agreement or regulation used as a framework for the relationships between the Archive (3.2) and its

partners

Note 1 to entry: In order to facilitate DEPIP implementation, an agreement should describe at least the following:

— international standardized profile(s) supported (if any);

— the types of transactions (transfer, deliver, modify, dispose and restitute) supported, specifying, when

necessary, whether a preliminary authorization of the Control Authority is required;

— the list of individuals or organizations involved, their roles and responsibilities in these transactions;

— the selected code lists and models to be used during these transactions;

— Preservation profiles (i.e. rules for creating descriptive metadata according to the type of documents

or applications being preserved) including: Service Levels, access and Disposition rules and information

about how the terms in the original agreement may have evolved.

Note 2 to entry: Details concerning data transactions may be incorporated in the Submission Agreement. It is

also possible to create a separate agreement (complementing the Submission Agreement), which provides the

required technical information. In DEPIP, it is assumed that everything is included in a Submission Agreement.

3.19
Transfer

submission of submission information packages or SIPs by a Transferring Agency (3.20) to an Archive

(3.2) in order to hand over the responsibility for preservation

Note 1 to entry: This transaction is equivalent to the OAIS ingest functional entity.

3.20
Transferring Agency

individual or organization that submits submission information packages (SIPs) to an Archive (3.2) but

does not own the Data Objects submitted

Note 1 to entry: In the OAIS model, the term “producers” has a narrower meaning (people, or more likely, the

organizations, which provide the objects to be archived). From an OAIS point of view, a Transferring Agency is

a kind of producer, who is acting on behalf of third parties and is not responsible for the content per se, but may

have responsibility for creating the Submission Information Packages (SIPs).

Note 2 to entry: A Transferring Agency could sometimes also be the Originating Agency (3.11). In that scenario, it

is the owner of the Data Objects it is transferring, and it also has the responsibility for creating the submission

information packages (SIPs).
© ISO 2017 – All rights reserved 3
---------------------- Page: 8 ----------------------
ISO 20614:2017(E)
4 Context
4.1 Roles played by individuals or organizations involved in transactions

The following are the principal roles in the DEPIP context (defined in Clause 3): Archive, Transferring

Agency, Originating Agency, Control Authority and Consumer.

NOTE Three roles identified in DEPIP are not directly part of the basic OAIS model (Control Authority,

Transferring Agency and Originating Agency) but may be seen as aspects of OAIS Producer and Management.

4.2 Types of transactions
The transactions described in detail in Clause 5 are:

— Transfer: Transfer of information by a Transferring Agency to an Archive in order to hand over the

responsibility for preservation. The Transfer may be preceded by a Transfer Request for agreement;

— Deliver: Delivery of information by an Archive to a Consumer, with the authorization, if required, of

the Originating Agency and/or of a Control Authority;

— Modify: Notification by an Archive to an Originating Agency to inform it that the transferred

information has been modified. These modifications may be necessary in order to ensure proper

storage of information (e.g. changing the file format). Note that the entire activity of modification

as would be undertaken by an Archive would comprise many more steps than merely a notification

being sent, but the scope of “Modify” as focused here is merely the notification;

— Dispose: Notification by an Archive to an Originating Agency to inform it that the requested

information has been disposed of. The disposal may be preceded, if applicable, by a Disposal request

to the Control Authority and by an Authorization request to the Originating Agency. Note that the

entire activity of disposition as would be undertaken by an Archive would comprise many more

steps than merely a notification being sent, but the scope of “Dispose” as focused here is merely the

notification;

— Restitute: Transfer of information from an Archive to the Originating Agency for the purpose of

returning the responsibility for preservation to the Originating Agency. Restitution should not

be confused with data recovery, that is to say, the full Restitution of the relevant information in a

reusable way and as contracted.
4.3 Exchanged objects
4.3.1 General

The objects exchanged during DEPIP transactions are Data Objects (including technical metadata)

accompanied by descriptive and administrative metadata. Since DEPIP is based on OAIS, technical

metadata relates to structural metadata (representation information) and is considered as part of

the Data Object, while descriptive and administrative metadata is left open and is only accompanying

information. The types of these objects (indicated in brackets) and the cardinality of their components

are presented in class diagrams.
4.3.2 Exchanged Object packages (DataObjectPackageType)
4.3.2.1 General

A package of Data Objects (DataObjectPackageType) is composed of a set of Data Objects accompanied

by descriptive and administrative metadata.
4 © ISO 2017 – All rights reserved
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ISO 20614:2017(E)
4.3.2.2 Data Objects (BinaryDataObjectType and PhysicalDataObjectType)

A Data Object is either a digital (sequence of bits) or a physical object which is to be preserved, containing

technical metadata, i.e. representation information (for instance, format), integrity information (for

instance, hash code) and identification information (for instance, identifier).
This document makes a distinction between:

— Binary Data Objects (BinaryDataObjectType): for instance, an electronic file, i.e. a named and

ordered sequence of bytes that the file system of an operating system may handle as a unit;

— Physical Data Objects (PhysicalDataObjectType): for instance, a file, a box, a CD-ROM, etc.

A Binary Data Object may be characterized by its format (e.g. "PDF 1.4"), its encoding (e.g. "UTF-8" for a

text file) and its size (in bytes). The digital content may be physically included (encapsulated) within a

message, or it may be bound by a reference (e.g. a file name).

The decision to either encapsulate digital content in the information package or to leave it outside of

the package is implementation-specific. The decision may be based on criteria such as the size of the

Data Object.

A Data Object on a physical medium (e.g. paper document or analogue recording) is characterized by

specific technical metadata. The main related metadata elements are its size (number of folders, boxes,

linear meters, etc.) and its medium or container using its technical identifier and/or its storage location.

4.3.3 Administrative metadata of exchanged Data Objects (AdministrativeMetadataType)

Administrative metadata applies to all the Data Objects in a SIP package and includes the following

information:
— Submission Agreement;
— Preservation profile;
— Service Level;
— Rights metadata;
— Disposition rule.

NOTE Rights metadata is bound to the Data Object. It is controlled by the Control Authority, but it is not

held by it.

4.3.4 Descriptive metadata of the exchanged Data Objects (DescriptiveMetadataType)

Descriptive metadata includes information related to the Data Objects (data origin, description, date,

keywords, etc.). Descriptive metadata should apply to all Data Objects in a SIP. Descriptive metadata

may be based on different metadata formats, depending on the domain (e.g. MARC 21 in libraries, EAD

in archives, ONIX for book trade, and so on).
5 Modelling
5.1 General

The model used for description of transactions is Unified Modeling Language (UML). Three types of

diagrams are used.

— The use case diagrams provide an overview of the system by representing the individuals or

organizations involved and their actions on the system.
© ISO 2017 – All rights reserved 5
---------------------- Page: 10 ----------------------
ISO 20614:2017(E)

— The sequence diagrams include each use case and provide a temporal representation of the progress

of each transaction. These diagrams represent the scenarios
...

SLOVENSKI STANDARD
SIST ISO 20614:2018
01-september-2018
Informatika in dokumentacija - Protokol izmenjave podatkov za interoperabilnost
in hranjenje
Information and documentation — Data exchange protocol for interoperability and
preservation

Information et documentation — Protocole d'échange de données pour l'interopérabilité

et la préservation
Ta slovenski standard je istoveten z: ISO 20614:2017
ICS:
35.240.30 Uporabniške rešitve IT v IT applications in information,
informatiki, dokumentiranju in documentation and
založništvu publishing
SIST ISO 20614:2018 en,fr,de

2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

---------------------- Page: 1 ----------------------
SIST ISO 20614:2018
---------------------- Page: 2 ----------------------
SIST ISO 20614:2018
INTERNATIONAL ISO
STANDARD 20614
First edition
2017-11
Information and documentation —
Data exchange protocol for
interoperability and preservation
Information et documentation — Protocole d'échange de données
pour l'interopérabilité et la préservation
Reference number
ISO 20614:2017(E)
ISO 2017
---------------------- Page: 3 ----------------------
SIST ISO 20614:2018
ISO 20614:2017(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO 2017, Published in Switzerland

All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized otherwise in any form

or by any means, electronic or mechanical, including photocopying, or posting on the internet or an intranet, without prior

written permission. Permission can be requested from either ISO at the address below or ISO’s member body in the country of

the requester.
ISO copyright office
Ch. de Blandonnet 8 • CP 401
CH-1214 Vernier, Geneva, Switzerland
Tel. +41 22 749 01 11
Fax +41 22 749 09 47
copyright@iso.org
www.iso.org
ii © ISO 2017 – All rights reserved
---------------------- Page: 4 ----------------------
SIST ISO 20614:2018
ISO 20614:2017(E)
Contents Page

Foreword ........................................................................................................................................................................................................................................iv

Introduction ..................................................................................................................................................................................................................................v

1 Scope ................................................................................................................................................................................................................................. 1

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

3 Terms and definitions ..................................................................................................................................................................................... 1

4 Context ............................................................................................................................................................................................................................ 4

4.1 Roles played by individuals or organizations involved in transactions ................................................. 4

4.2 Types of transactions ........................................................................................................................................................................ 4

4.3 Exchanged objects ................................................................................................................................................................................ 4

4.3.1 General...................................................................................................................................................................................... 4

4.3.2 Exchanged Object packages (DataObjectPackageType) ................................................................ 4

4.3.3 Administrative metadata of exchanged Data

Objects (AdministrativeMetadataType) ...................................................................................................... 5

4.3.4 Descriptive metadata of the exchanged Data Objects (DescriptiveMetadataType) 5

5 Modelling ...................................................................................................................................................................................................................... 5

5.1 General ........................................................................................................................................................................................................... 5

5.2 Use case diagrams ................................................................................................................................................................................ 6

5.2.1 General...................................................................................................................................................................................... 6

5.2.2 Transfer .................................................................................................................................................................................... 6

5.2.3 Deliver ....................................................................................................................................................................................... 7

5.2.4 Modify ....................................................................................................................................................................................... 8

5.2.5 Dispose ..................................................................................................................................................................................... 8

5.2.6 Restitute .................................................................................................................................................................................. 9

5.3 Sequence diagrams ...........................................................................................................................................................................10

5.3.1 General...................................................................................................................................................................................10

5.3.2 Transfer .................................................................................................................................................................................10

5.3.3 Deliver ....................................................................................................................................................................................11

5.3.4 Modify ....................................................................................................................................................................................12

5.3.5 Dispose ..................................................................................................................................................................................13

5.3.6 Restitute ...............................................................................................................................................................................13

5.3.7 Authorization requests ............................................................................................................................................14

5.3.8 List of messages .............................................................................................................................................................16

5.4 Class diagrams ......................................................................................................................................................................................17

5.4.1 General...................................................................................................................................................................................17

5.4.2 Organizations ...................................................................................................................................................................17

5.4.3 Data Object packages ................................................................................................................................................18

5.4.4 Specification of the version of the lists of codes used ..................................................................20

5.4.5 Signature ..............................................................................................................................................................................22

5.4.6 Objects of non-specified types ..........................................................................................................................22

5.4.7 Description of messages .........................................................................................................................................22

6 Implementation model ...............................................................................................................................................................................29

6.1 General ........................................................................................................................................................................................................29

6.2 Definition of types .............................................................................................................................................................................29

6.3 Elements metadata ...........................................................................................................................................................................29

Annex A (informative) Information website ..............................................................................................................................................36

Annex B (informative) Rules for the use of code lists ......................................................................................................................37

Annex C (informative) XML schemas for DEPIP .....................................................................................................................................39

Annex D (informative) Guidelines — Use cases — REST architecture ............................................................................40

Bibliography .............................................................................................................................................................................................................................41

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ISO 20614:2017(E)
Foreword

ISO (the International Organization for Standardization) is a worldwide federation of national standards

bodies (ISO member bodies). The work of preparing International Standards is normally carried out

through ISO technical committees. Each member body interested in a subject for which a technical

committee has been established has the right to be represented on that committee. International

organizations, governmental and non-governmental, in liaison with ISO, also take part in the work.

ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of

electrotechnical standardization.

The procedures used to develop this document and those intended for its further maintenance are

described in the ISO/IEC Directives, Part 1. In particular the different approval criteria needed for the

different types of ISO documents should be noted. This document was drafted in accordance with the

editorial rules of the ISO/IEC Directives, Part 2 (see www.iso.org/directives).

Attention is drawn to the possibility that some of the elements of this document may be the subject of

patent rights. ISO shall not be held responsible for identifying any or all such patent rights. Details of

any patent rights identified during the development of the document will be in the Introduction and/or

on the ISO list of patent declarations received (see www.iso.org/patents).

Any trade name used in this document is information given for the convenience of users and does not

constitute an endorsement.

For an explanation on the voluntary nature of standards, the meaning of ISO specific terms and

expressions related to conformity assessment, as well as information about ISO's adherence to the

World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see the following

URL: www.iso.org/iso/foreword.html.

This document was prepared by Technical Committee ISO/TC 46, Information and documentation,

Subcommittee SC 4, Technical interoperability.
iv © ISO 2017 – All rights reserved
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SIST ISO 20614:2018
ISO 20614:2017(E)
Introduction

The Data Exchange Protocol for Interoperability and Preservation (DEPIP) aims at facilitating inter-

operability between a digital archive and information systems of its partners: producers who have

created the documents themselves (Originating Agency), intermediaries who are acting on behalf of

producers and are not responsible for the intellectual content per se (Transferring Agency), consumers

(Consumer) and control authorities (Control Authority). This document provides a framework for data

exchange between systems. It is based on the OAIS Reference model. It is generic and may be adapted to

all types of information, whether printed or in a born-digital format.
DEPIP is intended for:

— commercial software vendors, in order to complete and/or improve their applications;

— archives, in order to standardize ingest of data destined for preservation; to provide access to

archived data; and to facilitate the exchange of data between archives;

— application programmers, in order to enable interoperable data transactions between Archives and

the information systems they are developing;
— third parties responsible for transferring documents to Archives;
— data storage service suppliers.
The parties to data exchange may rely on this document to:

— define their archiving/preservation processes or harmonize their existing processes with the best

practices;
— organize the management of the archiving/preservation processes; and

— control the creation and management of metadata, whatever descriptive models are used.

Note that DEPIP may be implemented either in its entirety or only partially. However, it is impossible

to foresee what the implementations will be like in different domains such as libraries, archives or

museums. Domain-specific or generic International Standardized Profiles specifying different levels of

interoperability may be developed in the future to support the implementers of this document. The

minimum implementation, or level 0, is: Transfer and Delivery, including at least mandatory metadata.

Note that in level 0, existing metadata is not redefined and that the initial request and the final reply

are required.

Note that DEPIP is a conceptual standard to be considered as a data dictionary. The model defined

in DEPIP is independent of implementation issues. In different implementations, DEPIP can be

supplemented by relevant technical protocols (like HTTP) allowing implementers to handle technical

exchanges between systems.
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SIST ISO 20614:2018
INTERNATIONAL STANDARD ISO 20614:2017(E)
Information and documentation — Data exchange protocol
for interoperability and preservation
1 Scope

DEPIP specifies a standardized framework for the various data (including both data and related

metadata) exchange transactions between an archive and its producers and consumers. Interchanges

between archives (including archives integrated in organizations, public archives, storage service

suppliers) are also considered. This document defines five transactions (Transfer, Deliver, Dispose,

Modify and Restitute), which the partners can use to exchange Data Objects. It also specifies the syntax

and semantics of the messages that are exchanged during these transactions.

Internal organization of the information systems of the partners is excluded. Information received in

conformance with the data exchange model is intended to be handled by various software components.

These applications, however, are not the object of this document. The impacts of major risks (for

instance, disappearance or incapacitation of the producer of the data) are also excluded.

2 Normative references
There are no normative references in this document.
3 Terms and definitions
For the purposes of this document, the following terms and definitions apply.

ISO and IEC maintain terminological databases for use in standardization at the following addresses:

— ISO Online browsing platform: available at http://www.iso.org/obp
— IEC Electropedia: available at http://www.electropedia.org/
3.1
Access

transmission of information by an Archive (3.2) to a Consumer (3.5), with the authorization, if required,

of the Originating Agency (3.11) and of the relevant Control Authority (3.6)
3.2
Archive

organization that intends to preserve information for Access (3.1) and use by a designated community

in accordance with the current legal, regulatory or contractual conditions

Note 1 to entry: The DEPIP Archive is not fully equivalent to the OAIS Archive as the latter does not check the

compliance with the contractual conditions.

Note 2 to entry: The DEPIP Archive is not necessarily the same as an archive in a traditional sense in which legal

custody is permanently transferred. It may temporarily offer preservation services for content, in accordance

with a legal agreement that has a set time frame. At the end of that time frame, or in accordance with some other

stipulation of the legal agreement that would permit it, the Data Objects (3.7) that had been transferred to the

archive could be returned to the Originating Agency (3.11) or a third party appointed by it.

3.3
Binary Data Object

digital item which contains information, for instance, an electronic file, i.e. a named and ordered

sequence of bytes that the file system of an operating system may handle as a unit

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3.4
Business Identifier

identifier used to identify the Archive (3.2) and its partners, messages, Submission Agreements (3.18), etc.

3.5
Consumer

individual or organization wishing to consult information kept by the Archive (3.2) in accordance with

the current legal, regulatory or contractual conditions
3.6
Control Authority

internal or external individual or organization that, if applicable, may authorize the delivery or the

disposal of information held by an Archive (3.2)

Note 1 to entry: Control Authority is partially equivalent to the OAIS management (like management, it may be

external to the archive), but it has narrower role than management in that Control Authority is only interested in

legal or regulatory compliance.
3.7
Data Object

either a digital (sequence of bits) or a physical object which is to be preserved, and technical metadata

(representation information, integrity information and identification information)

3.8
Disposal notification

notification by an Archive (3.2) to an Originating Agency (3.11) of information disposal

3.9
Disposition rule

information required to manage the data lifecycle to indicate a retention period, beyond which Data

Objects (3.7) shall be disposed or preserved
3.10
Modification notification

notification by an Archive (3.2) to an Originating Agency (3.11) of the modifications made to the

submitted and/or archived Data Objects (3.7)

Note 1 to entry: These modifications may be necessary during the ingest or later to ensure proper storage of

information (e.g. changing the file format, or adding, correcting or updating representation information or

preservation description information).
3.11
Originating Agency

individual or organization that made or received the information within the context of its activities

Note 1 to entry: It is often the producer in the OAIS model.

Note 2 to entry: The Originating Agency may act as a Transferring Agency (3.20) or may use a Transferring Agency

as an intermediary for sending data to the Archive (3.2).
3.12
Physical Data Object

physical item which contains information, for instance, a file, a box, a CD-ROM, etc.

3.13
Preservation

combination of policies, strategies and actions developed by the Archive (3.2) to ensure that digital

information of continuing value remains accessible and usable
3.14
Preservation profile

adjustment of the descriptive model based on the types of exchanged Data Objects (3.7)

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3.15
Restitution

transfer of information by an Archive (3.2) to an Originating Agency (3.11) in order to shift back to the

Originating Agency the responsibility for data retention

Note 1 to entry: This transaction is partially equivalent to the OAIS functional entities archival storage and access.

3.16
Rights metadata

metadata concerned with the limitations and restrictions regarding the access to and use of data

commonly including elements such as copyright status, use restrictions and information about licensing

agreements
3.17
Service Level

quality of the services provided by the Archive (3.2) to its partners and planned by the Submission

Agreement (3.17), including secure preservation, guarantee of the integrity of the stored data,

availability rate, etc.
3.18
Submission Agreement

agreement or regulation used as a framework for the relationships between the Archive (3.2) and its

partners

Note 1 to entry: In order to facilitate DEPIP implementation, an agreement should describe at least the following:

— international standardized profile(s) supported (if any);

— the types of transactions (transfer, deliver, modify, dispose and restitute) supported, specifying, when

necessary, whether a preliminary authorization of the Control Authority is required;

— the list of individuals or organizations involved, their roles and responsibilities in these transactions;

— the selected code lists and models to be used during these transactions;

— Preservation profiles (i.e. rules for creating descriptive metadata according to the type of documents

or applications being preserved) including: Service Levels, access and Disposition rules and information

about how the terms in the original agreement may have evolved.

Note 2 to entry: Details concerning data transactions may be incorporated in the Submission Agreement. It is

also possible to create a separate agreement (complementing the Submission Agreement), which provides the

required technical information. In DEPIP, it is assumed that everything is included in a Submission Agreement.

3.19
Transfer

submission of submission information packages or SIPs by a Transferring Agency (3.20) to an Archive

(3.2) in order to hand over the responsibility for preservation

Note 1 to entry: This transaction is equivalent to the OAIS ingest functional entity.

3.20
Transferring Agency

individual or organization that submits submission information packages (SIPs) to an Archive (3.2) but

does not own the Data Objects submitted

Note 1 to entry: In the OAIS model, the term “producers” has a narrower meaning (people, or more likely, the

organizations, which provide the objects to be archived). From an OAIS point of view, a Transferring Agency is

a kind of producer, who is acting on behalf of third parties and is not responsible for the content per se, but may

have responsibility for creating the Submission Information Packages (SIPs).

Note 2 to entry: A Transferring Agency could sometimes also be the Originating Agency (3.11). In that scenario, it

is the owner of the Data Objects it is transferring, and it also has the responsibility for creating the submission

information packages (SIPs).
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4 Context
4.1 Roles played by individuals or organizations involved in transactions

The following are the principal roles in the DEPIP context (defined in Clause 3): Archive, Transferring

Agency, Originating Agency, Control Authority and Consumer.

NOTE Three roles identified in DEPIP are not directly part of the basic OAIS model (Control Authority,

Transferring Agency and Originating Agency) but may be seen as aspects of OAIS Producer and Management.

4.2 Types of transactions
The transactions described in detail in Clause 5 are:

— Transfer: Transfer of information by a Transferring Agency to an Archive in order to hand over the

responsibility for preservation. The Transfer may be preceded by a Transfer Request for agreement;

— Deliver: Delivery of information by an Archive to a Consumer, with the authorization, if required, of

the Originating Agency and/or of a Control Authority;

— Modify: Notification by an Archive to an Originating Agency to inform it that the transferred

information has been modified. These modifications may be necessary in order to ensure proper

storage of information (e.g. changing the file format). Note that the entire activity of modification

as would be undertaken by an Archive would comprise many more steps than merely a notification

being sent, but the scope of “Modify” as focused here is merely the notification;

— Dispose: Notification by an Archive to an Originating Agency to inform it that the requested

information has been disposed of. The disposal may be preceded, if applicable, by a Disposal request

to the Control Authority and by an Authorization request to the Originating Agency. Note that the

entire activity of disposition as would be undertaken by an Archive would comprise many more

steps than merely a notification being sent, but the scope of “Dispose” as focused here is merely the

notification;

— Restitute: Transfer of information from an Archive to the Originating Agency for the purpose of

returning the responsibility for preservation to the Originating Agency. Restitution should not

be confused with data recovery, that is to say, the full Restitution of the relevant information in a

reusable way and as contracted.
4.3 Exchanged objects
4.3.1 General

The objects exchanged during DEPIP transactions are Data Objects (including technical metadata)

accompanied by descriptive and administrative metadata. Since DEPIP is based on OAIS, technical

metadata relates to structural metadata (representation information) and is considered as part of

the Data Object, while descriptive and administrative metadata is left open and is only accompanying

information. The types of these objects (indicated in brackets) and the cardinality of their components

are presented in class diagrams.
4.3.2 Exchanged Object packages (DataObjectPackageType)
4.3.2.1 General

A package of Data Objects (DataObjectPackageType) is composed of a set of Data Objects accompanied

by descriptive and administrative metadata.
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4.3.2.2 Data Objects (BinaryDataObjectType and PhysicalDataObjectType)

A Data Object is either a digital (sequence of bits) or a physical object which is to be preserved, containing

technical metadata, i.e. representation information (for instance, format), integrity information (for

instance, hash code) and identification information (for instance, identifier).
This document makes a distinction between:

— Binary Data Objects (BinaryDataObjectType): for instance, an electronic file, i.e. a named and

ordered sequence of bytes that the file system of an operating system may handle as a unit;

— Physical Data Objects (PhysicalDataObjectType): for instance, a file, a box, a CD-ROM, etc.

A Binary Data Object may be characterized by its format (e.g. "PDF 1.4"), its encoding (e.g. "UTF-8" for a

text file) and its size (in bytes). The digital content may be physically included (encapsulated) within a

message, or it may be bound by a reference (e.g. a file name).

The decision to either encapsulate digital content in the information package or to leave it outside of

the package is implementation-specific. The decision may be based on criteria such as the size of the

Data Object.

A Data Object on a physical medium (e.g. paper document or analogue recording) is characterized by

specific technical metadata. The main related metadata elements are its size (number of folders, boxes,

linear meters, etc.) and its medium or container using its technical identifier and/or its storage location.

4.3.3 Administrative metadata of exchanged Data Objects (AdministrativeMetadataType)

Administrative metadata applies to all the Data Objects in a SIP package and includes the following

information:
— Submission Agreement;
— Preservation profile;
— Service Level;
— Rights metadata;
— Disposition rul
...

NORME ISO
INTERNATIONALE 20614
Première édition
2017-11
Information et documentation —
Protocole d'échange de données pour
l'interopérabilité et la préservation
Information and documentation — Data exchange protocol for
interoperability and preservation
Numéro de référence
ISO 20614:2017(F)
ISO 2017
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ISO 20614:2017(F)
DOCUMENT PROTÉGÉ PAR COPYRIGHT
© ISO 2017, Publié en Suisse

Droits de reproduction réservés. Sauf indication contraire, aucune partie de cette publication ne peut être reproduite ni utilisée

sous quelque forme que ce soit et par aucun procédé, électronique ou mécanique, y compris la photocopie, l’affichage sur

l’internet ou sur un Intranet, sans autorisation écrite préalable. Les demandes d’autorisation peuvent être adressées à l’ISO à

l’adresse ci-après ou au comité membre de l’ISO dans le pays du demandeur.
ISO copyright office
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Tel. +41 22 749 01 11
Fax +41 22 749 09 47
copyright@iso.org
www.iso.org
ii © ISO 2017 – Tous droits réservés
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ISO 20614:2017(F)
Sommaire Page

Avant-propos ..............................................................................................................................................................................................................................iv

Introduction ..................................................................................................................................................................................................................................v

1 Domaine d’application ................................................................................................................................................................................... 1

2 Références normatives ................................................................................................................................................................................... 1

3 Termes et définitions ....................................................................................................................................................................................... 1

4 Contexte ......................................................................................................................................................................................................................... 4

4.1 Les rôles des personnes physiques et morales impliquées dans les transactions ....................... 4

4.2 Les types de transactions ............................................................................................................................................................... 4

4.3 Les objets échangés ............................................................................................................................................................................ 5

4.3.1 Généralités ............................................................................................................................................................................ 5

4.3.2 Les paquets d’objets échangés (DataObjectPackageType).......................................................... 5

4.3.3 Les métadonnées de gestion des Objets-données

échangés (AdministrativeMetadataType) .................................................................................................. 5

4.3.4 Les métadonnées descriptives des Objets-données

échangés (DescriptiveMetadataType) ........................................................................................................... 6

5 Modélisation ............................................................................................................................................................................................................. 6

5.1 Généralités .................................................................................................................................................................................................. 6

5.2 Diagrammes de cas d’utilisation .............................................................................................................................................. 6

5.2.1 Généralités ............................................................................................................................................................................ 6

5.2.2 Transférer .............................................................................................................................................................................. 7

5.2.3 Communiquer .................. .................................................... ............................................................................................... 8

5.2.4 Modifier ................................................................................................................................................................................... 9

5.2.5 Éliminer ................................................................................................................................................................................10

5.2.6 Restituer ...............................................................................................................................................................................10

5.3 Diagrammes de séquence ...........................................................................................................................................................11

5.3.1 Généralités .........................................................................................................................................................................11

5.3.2 Transférer ...........................................................................................................................................................................11

5.3.3 Communiquer .................. .................................................... ............................................................................................13

5.3.4 Modifier ................................................................................................................................................................................13

5.3.5 Éliminer ................................................................................................................................................................................14

5.3.6 Restituer ...............................................................................................................................................................................15

5.3.7 Les Demandes d’autorisation ............................................................................................................................17

5.3.8 Liste des messages ......................................................................................................................................................18

5.4 Diagrammes de classes .................................................................................................................................................................19

5.4.1 Généralités .........................................................................................................................................................................19

5.4.2 Les organisations (Organization) ...................................................................................................................19

5.4.3 Les paquets d’Objets-données (DataObjectPackage) ....................................................................20

5.4.4 Déclaration des versions des référentiels utilisés .................. ..........................................................22

5.4.5 La signature .......................................................................................................................................................................24

5.4.6 Les objets de types non spécifiés par la norme ..................................................................................24

5.4.7 Description des messages .....................................................................................................................................25

6 Modèle d’implémentation .......................................................................................................................................................................31

6.1 Généralités ...............................................................................................................................................................................................31

6.2 Définition des types .........................................................................................................................................................................32

6.3 Éléments de métadonnées .........................................................................................................................................................32

Annexe A (informative) Site web d’information ....................................................................................................................................40

Annexe B (informative) Conventions d’utilisation des référentiels ..................................................................................41

Annexe C (informative) Schémas XML pour DEPIP .............................................................................................................................43

Annexe D (informative) Recommandations — Cas d’utilisation — Architecture REST ................................44

Bibliographie ...........................................................................................................................................................................................................................45

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ISO 20614:2017(F)
Avant-propos

L'ISO (Organisation internationale de normalisation) est une fédération mondiale d'organismes

nationaux de normalisation (comités membres de l'ISO). L'élaboration des Normes internationales est

en général confiée aux comités techniques de l'ISO. Chaque comité membre intéressé par une étude

a le droit de faire partie du comité technique créé à cet effet. Les organisations internationales,

gouvernementales et non gouvernementales, en liaison avec l'ISO participent également aux travaux.

L'ISO collabore étroitement avec la Commission électrotechnique internationale (IEC) en ce qui

concerne la normalisation électrotechnique.

Les procédures utilisées pour élaborer le présent document et celles destinées à sa mise à jour sont

décrites dans les Directives ISO/IEC, Partie 1. Il convient, en particulier de prendre note des différents

critères d'approbation requis pour les différents types de documents ISO. Le présent document a été

rédigé conformément aux règles de rédaction données dans les Directives ISO/IEC, Partie 2 (voir www.

iso.org/directives).

L'attention est appelée sur le fait que certains des éléments du présent document peuvent faire l'objet de

droits de propriété intellectuelle ou de droits analogues. L'ISO ne saurait être tenue pour responsable

de ne pas avoir identifié de tels droits de propriété et averti de leur existence. Les détails concernant

les références aux droits de propriété intellectuelle ou autres droits analogues identifiés lors de

l'élaboration du document sont indiqués dans l'Introduction et/ou dans la liste des déclarations de

brevets reçues par l'ISO (voir www.iso.org/brevets).

Les appellations commerciales éventuellement mentionnées dans le présent document sont données

pour information, par souci de commodité, à l’intention des utilisateurs et ne sauraient constituer un

engagement.

Pour une explication de la nature volontaire des normes, la signification des termes et expressions

spécifiques de l'ISO liés à l'évaluation de la conformité, ou pour toute information au sujet de l'adhésion

de l'ISO aux principes de l’Organisation mondiale du commerce (OMC) concernant les obstacles

techniques au commerce (OTC), voir le lien suivant: www.iso.org/iso/fr/avant-propos.html.

Le présent document a été élaboré par le comité technique ISO/TC 46, Information et documentation,

sous-comité SC 4, Interopérabilité technique.
iv © ISO 2017 – Tous droits réservés
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ISO 20614:2017(F)
Introduction

Le Protocole d’Échange de Données pour l’Interopérabilité et la Préservation (DEPIP) vise à faciliter

l’interopérabilité entre un service d’archives numérique et les systèmes d’information de ses

partenaires: les producteurs qui ont produit les documents eux-mêmes (Service producteur), les

intermédiaires qui agissent pour le compte des producteurs et ne sont pas eux-mêmes responsables du

contenu intellectuel (Service versant), les utilisateurs (Consumer) et les services de contrôle (Service de

contrôle). Ce document donne un cadre pour l’échange de données entre les systèmes. Il est fondé sur le

modèle de référence OAIS. Il est générique et peut être adapté à tous les types d’informations, qu’elles

soient imprimées ou nativement numériques.
DEPIP s’adresse:

— aux éditeurs de logiciels du marché, pour compléter et/ou améliorer leurs applications;

— aux Services d’archives, pour normaliser la réception des données à préserver et l’accès des données

archivées, et pour faciliter l’échange de données entre Services d’archives;

— aux programmeurs, pour permettre des transactions de données interopérables entre les Services

d’archives et les systèmes d’information qu’ils développent;
— aux tiers amenés à transférer des documents aux Services d’archives;
— aux prestataires proposant des services de tiers-archivage.

Les parties impliquées dans l’échange de données peuvent s’appuyer sur ce document pour

— définir leurs processus d’archivage/de préservation ou les aligner sur des bonnes pratiques,

— organiser les processus d’archivage/de préservation, et

— contrôler la création et la gestion des métadonnées, quels que soient les modèles de description

utilisés.

Il convient de noter que DEPIP peut être implémenté soit dans sa totalité soit partiellement. Toutefois,

il est impossible de prévoir comment la norme sera implémentée dans différents domaines comme les

bibliothèques, les archives ou les musées. Des profils normalisés internationaux propres à un domaine

ou génériques spécifiant différents niveaux d’interopérabilité pourront être développés à l’avenir en

soutien aux responsables de la mise en œuvre de ce document. La mise en œuvre minimale, ou niveau

0, correspond aux transactions Transférer et Communiquer, comprenant au moins les métadonnées

minimales. Il convient de noter que dans le niveau 0, les métadonnées existantes ne sont pas redéfinies

et que la demande initiale et la réponse finale sont nécessaires.

Il convient de noter que DEPIP est une norme conceptuelle à considérer comme un dictionnaire

de données. Le modèle défini dans DEPIP est indépendant des questions de sa mise en œuvre. Dans

différentes implémentations, DEPIP peut être complété par des protocoles techniques pertinents

(comme HTTP) permettant aux responsables de sa mise en œuvre de gérer les échanges techniques

entre les systèmes.
© ISO 2017 – Tous droits réservés v
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NORME INTERNATIONALE ISO 20614:2017(F)
Information et documentation — Protocole d'échange de
données pour l'interopérabilité et la préservation
1 Domaine d’application

DEPIP définit un cadre normalisé pour les différentes transactions d’échanges de données (comprenant

à la fois les données et les métadonnées associées) entre un service d’archives et ses producteurs et

utilisateurs. Les échanges entre plusieurs Services d’archives (services d’archives intégrés dans les

organisations, services publics d’archives, prestataires d’archivage) sont également concernés. Ce

document définit cinq transactions (Transférer, Communiquer, Éliminer, Modifier et Restituer) que

les partenaires peuvent utiliser pour échanger des Objets-données. Il définit aussi la syntaxe et la

sémantique des messages qui sont échangés pendant ces transactions.

Le présent document ne concerne pas l’organisation interne des systèmes d’information des partenaires.

Les informations reçues conformément au modèle d’échange de données sont destinées à être gérées

par différents composants logiciels. Ces applications ne font toutefois pas l’objet de ce document.

Les conséquences de la survenance de risques majeurs (par exemple la disparition ou l’incapacité du

producteur des données) sont elles aussi exclues du périmètre de ce document.
2 Références normatives
Le présent document ne contient aucune référence normative.
3 Termes et définitions

Pour les besoins du présent document, les termes et définitions suivants s’appliquent.

L’ISO et l’IEC tiennent à jour des bases de données terminologiques destinées à être utilisées en

normalisation, consultables aux adresses suivantes:
— IEC Electropedia: disponible à l’adresse http://www.electropedia.org/
— ISO Online browsing platform: disponible à l’adresse https://www.iso.org/obp
3.1
communication

transmission d’informations par un Service d’archives (3.2) à un Utilisateur (3.5), avec l’autorisation, le

cas échéant, du Service producteur (3.11) et du Service de contrôle (3.6) compétent

3.2
Service d’archives

organisation chargée de conserver les informations pour en permettre la Communication (3.1) à une

communauté cible et pour permettre à cette communauté de les utiliser dans le respect des conditions

légales, réglementaires ou contractuelles en vigueur

Note 1 à l'article: Le Service d’archives dans DEPIP n’équivaut pas complètement à l’Archive de l’OAIS dans la

mesure où cette dernière ne vérifie pas la conformité avec les conditions contractuelles.

Note 2 à l'article: Le Service d’archives de DEPIP n'est pas nécessairement un Service d’archives auquel la

détention légale est transférée en permanence, dans une acception traditionnelle. Il peut offrir temporairement

des services de préservation des contenus, conformément à un accord juridique pendant une durée déterminée. À

la fin de cette durée, ou conformément à une autre stipulation de l'accord juridique qui le permettrait, les Objets-

données (3.7) qui avaient été transférés au Service d’archives pourraient être retournés au Service producteur

(3.11) ou à un tiers désigné par lui.
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3.3
Objet-données binaire

objet numérique contenant des informations, par exemple un fichier électronique, c'est-à-dire une

séquence d'octets nommée et ordonnée que le système de fichiers d'un système d'exploitation peut

traiter unitairement
3.4
identifiant métier

identifiant utilisé pour identifier le Service d’archives (3.2) et ses partenaires, les messages, les Accords

de service (3.18), etc.
3.5
Utilisateur

toute personne physique ou morale qui souhaite consulter les informations conservées par le Service

d’archives (3.2) dans le respect des conditions légales, réglementaires ou contractuelles en vigueur

3.6
Service de contrôle

personne physique ou morale, interne ou externe, qui, le cas échéant, peut autoriser ou non la

communication ou l’élimination d’informations conservées par un Service d’archives (3.2)

Note 1 à l'article: Le Service de contrôle équivaut partiellement à l’entité fonctionnelle «Management» du modèle

OAIS (comme le management, il est externe au Service d’archives), mais il a un rôle plus restreint en ce qu’il

s’intéresse seulement à la conformité légale ou réglementaire.
3.7
Objet-données

objet numérique (séquence d’octets) ou physique à préserver, et ses métadonnées techniques

(information de représentation, information d’intégrité et information d’identification)

3.8
notification de l’élimination

notification par un Service d’archives (3.2) à un Service producteur (3.11) de la suppression d’informations

3.9
règle de sort final

informations nécessaires à la gestion du cycle de vie des données permettant d’indiquer une durée

d’utilité au-delà de laquelle un Objet-données (3.7) sera éliminé ou conservé
3.10
notification de la modification

notification par un Service d’archives (3.2) à un Service producteur (3.11) des modifications apportées

sur les objets-données transférés et/ou archivés

Note 1 à l'article: Ces modifications peuvent être nécessaires durant l’entrée ou plus tard afin d’assurer une

bonne conservation des informations (par exemple conversion de format, ou ajout, correction, mise à jour des

informations de représentation ou des informations de pérennisation).
3.11
Service producteur

toute personne physique ou morale qui a créé ou reçu les informations dans le contexte de ses activités

Note 1 à l'article: Souvent le producteur dans le modèle OAIS.

Note 2 à l'article: Le Service producteur peut agir comme un Service versant (3.20) ou utiliser un service versant

comme intermédiaire pour envoyer des données au Service d’archives (3.2).
3.12
objet-données physique

objet physique contenant des informations, par exemple un dossier, une boîte, un CD-ROM, etc.

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3.13
pérennisation

combinaison de politiques, de stratégies et d’actions développées par le Service d’archives (3.2) pour

garantir que les informations numériques à valeur pérenne restent accessibles et utilisables

3.14
Profil d’archivage

déclinaison du modèle de description en fonction des types d’objets-données (3.7) échangés

3.15
Restitution

transmission d’informations par un Service d’archives (3.2) à un Service producteur (3.11) en vue de lui

restituer la responsabilité de la conservation des données

Note 1 à l'article: à l’article Cette transaction équivaut partiellement aux entités fonctionnelles du modèle OAIS

stockage et accès.
3.16
règle d’accessibilité

métadonnées relatives aux limitations et restrictions d’accès et d’utilisation des données. Les éléments

communs incluent le statut des droits d’auteur, les restrictions d’utilisation et les informations sur les

contrats de licence
3.17
niveau de service

qualité des services fournis par le Service d’archives (3.2) à ses partenaires et prévus par l’Accord de

service (3.18), dont: la pérennisation sécurisée, la garantie de l’intégrité des données conservées, le

taux de disponibilité, etc.
3.18
Accord de service

accord ou texte réglementaire servant de cadre aux relations entre le Service d’archives (3.2) et ses

partenaires

Note 1 à l'article: Afin de faciliter l’implémentation de la norme DEPIP, un Accord de service doit a minima décrire:

— le(s) profil(s) international(internationaux) normalisé(s) supporté(s) (éventuellement);

— les types de transactions supportées (transférer, communiquer, modifier, éliminer et restituer), en précisant

si nécessaire si elles requièrent une autorisation préalable du Service de contrôle;

— la liste des personnes physiques ou morales impliquées, leurs rôles et responsabilités dans ces transactions;

— les référentiels et les modèles à utiliser pendant ces transactions;

— les profils d’archivage (c’est-à-dire les règles de constitution des métadonnées descriptives en fonction des

types de documents ou d’application concernés) dont: les niveaux de service, les règles d’accessibilité, les

règles de sort final et les informations sur les modalités d’une évolution des termes de l’accord initial.

Note 2 à l'article: Les détails concernant les transactions de données peuvent être intégrés dans l’Accord

de service. Il est aussi possible de créer un accord distinct (complétant l’Accord de service) qui fournit les

informations techniques nécessaires. Dans DEPIP, il est supposé que tout est inclus dans l’Accord de service.

3.19
Transfert

transmission de paquets d’information à verser ou SIP par un service versant (3.20) à un Service

d’archives (3.2) en vue de lui confier la responsabilité de la conservation

Note 1 à l'article: Cette transaction équivaut à l’entité fonctionnelle OAIS entrées.

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3.20
Service versant

personne physique ou morale qui transmet des paquets d’information à verser (SIP) à un Service

d’archives (3.2) mais n’est pas propriétaire des objets-données transmis

Note 1 à l'article: Dans le modèle OAIS, le terme «producteurs» a un sens plus restrictif (individus ou plus

vraisemblablement organisations qui fournissent les objets à archiver). Du point de vue du modèle OAIS, un

Service versant est une sorte de producteur, qui agit pour le compte de tiers et n’est pas responsable lui-même du

contenu mais peut avoir la responsabilité de constituer les paquets d’information à verser (SIP).

Note 2 à l'article: Un service versant peut parfois être le Service producteur (3.11). Dans ce scénario, il est le

propriétaire des objets-données qu’il transfère et il a donc la responsabilité de créer les paquets d’information à

verser (SIP).
4 Contexte

4.1 Les rôles des personnes physiques et morales impliquées dans les transactions

Voici les principaux rôles dans le contexte de DEPIP (définis dans l’Article 3): le Service d’archives, le

Service versant, le Service producteur, le Service de contrôle et l’Utilisateur.

NOTE Trois rôles identifiés dans DEPIP ne font pas directement partie du modèle de base OAIS (Service de

contrôle, Service versant et Service producteur) mais peuvent être considérés comme des aspects du Producteur

et du Management de l’OAIS.
4.2 Les types de transactions
Les échanges décrits de façon détaillée dans l’Article 5 de ce document sont:

— Transférer: Transmission d’informations par un Service versant à un Service d’archives en vue de

lui confier la responsabilité de la conservation. Le Transfert peut être précédé d’une Demande de

transfert pour accord;

— Communiquer: Transmission d’informations par un Service d’archives à un Utilisateur, avec

l’autorisation, le cas échéant, du Service producteur et/ou d’un Service de contrôle;

— Modifier: Notification par un Service d’archives à un Service producteur pour l’informer que les

informations transférées ont été modifiées. Ces modifications peuvent être nécessaires afin

d’assurer une bonne conservation des informations (par exemple conversion de format). Il convient

de noter que l’ensemble de l’activité de modification qui serait entreprise par un Service d’archives

comprendrait beaucoup plus d'étapes qu’une simple notification, mais le domaine d’application de

«Modifier» ciblé ici est seulement la notification;

— Éliminer: Notification par un Service d’archives à un Service producteur pour l’informer que les

informations demandées ont été supprimées. L’élimination peut être précédée, le cas échéant,

d’une Demande d’élimination au Service de contrôle et d’une Demande d’autorisation au Service

producteur. Il convient de noter que l’ensemble de l’activité d’élimination qui serait entreprise par

un Service d’archives comprendrait beaucoup plus d'étapes qu’une simple notification, mais le

domaine d’application de «Éliminer» ciblé ici est seulement la notification;

— Restituer: Transmission d’informations d’un Service d’archives à un Service producteur en vue de

lui restituer la responsabilité de la conservation. La Restitution ne doit pas être confondue avec la

réversibilité, c’est-à-dire la Restitution intégrale des informations pertinentes comme prévu.

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4.3 Les objets échangés
4.3.1 Généralités

Les objets échangés lors des transactions de DEPIP sont les Objets-données (intégrant leurs

métadonnées techniques) accompagnés des métadonnées descriptives et des métadonnées de gestion.

DEPIP s’appuyant sur l’OAIS, les métadonnées techniques se rapportent aux métadonnées de structure

(informations de représentation) et sont considérées comme faisant partie de l’Objet-données, alors

que les métadonnées descriptives et les métadonnées de gestion restent ouvertes et sont seulement des

informations qui l’accompagnent. Les types correspondant à ces objets (indiqués entre parenthèses)

ainsi que les cardinalités de leurs composants, sont présentés dans les diagrammes de classes.

4.3.2 Les paquets d’objets échangés (DataObjectPackageType)
4.3.2.1 Généralités

Un Paquet d’Objets-données (DataObjectPackageType) est composé d’un ensemble d’Objets-données

accompagné de métadonnées descriptives et de métadonnées de gestion.
4.3.2.2 Les Objets-données (BinaryDataObjectType et PhysicalDataObjectType)

Un Objet-données est un objet numérique (une séquence de bits) ou physique à conserver, contenant

des métadonnées techniques, c’est-à-dire des informations de représentation (par exemple: format), des

informations d’intégrité (par exemple: empreinte) et des informations d’identification (par exemple:

identifiant).
Ce document distingue:

— les Objets-données numériques (BinaryDataObjectType): par exemple un fichier informatique, c’est-

à-dire une séquence de bits nommée et ordonnée manipulable comme une unité par le système de

fichiers d’un système d’exploitation;

— les Objets-données sur supports physiques (PhysicalDataObjectType): par exemple un dossier, un

CD-ROM, etc.

Un Objet-données numérique peut être caractérisé par son format (par exemple: «PDF 1.4»), par son

encodage (par exemple: «UTF-8» pour un fichier texte) e
...

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