LOC 13 June 20031

ISO “Reference Model For anISO “Reference Model For anOpen Archival InformationOpen Archival Information

System (OAIS)”System (OAIS)”

Tutorial Presentation

Don Sawyer NASA/National Space Science Data Center (NSSDC)

Lou ReichComputer Sciences Corporation (CSC)

Library of CongressJune 13, 2003

LOC 13 June 20032

OutlineOutline

History Reference Model overview Some Applications Follow-on Activities

— Producer-Archive Ingest Methodology Abstract Standard

— Standard Submission Information Package— Archive Certification

LOC 13 June 20033

NASA RoleNASA Role

National Space Science Data Center— NASA’s first digital archive— Experienced many technology changes since 1966

Consultative Committee for Space Data Systems— International group of space agencies— Developed variety of science discipline- independent

standards— Became working body for an ISO TC 20/ SC 13 about

1990

TC20: Aircraft and Space Vehicles

SC13: Space Data and Information Transfer Systems

LOC 13 June 20034

Initial Archive Standards ProposalInitial Archive Standards Proposal

ISO suggested that SC 13 should develop archive standards

– Address data used in conjunction with space missions

– Address intermediate and indefinite long term storage of digital data

LOC 13 June 20035

ResponseResponse

Response to Consultative Committee for Space Data Systems (CCSDS) and ISO TC 20/SC 13

– No framework widely recognized for developing specific digital archive standards

– Begin by developing a ‘Reference Model’ to establish common terms and concepts

– Ensure broad participation, including traditional archives

(Not restricted to space communities; all participation is welcome!)

– Focus on data in electronic forms, but recognize that other forms exist in most archives

– Follow up with additional archive standards efforts as appropriate

LOC 13 June 20036

What is a Reference Model?What is a Reference Model?

A framework — for understanding significant relationships among the

entities of some environment, and — for the development of consistent standards or

specifications supporting that environment.

A reference model— is based on a small number of unifying concepts — is an abstraction of the key concepts, their

relationships, and their interfaces both to each other and to the external environment

— may be used as a basis for education and explaining standards to a non-specialist.

LOC 13 June 20037

Organizational ApproachOrganizational Approach

Organize US contribution under a framework with NASA lead— Established liaison with Federal Geographic Data Committee

(FGDC) and National Archives and Records Administration (NARA)— Agency archives and users must be represented in this process

An “Open” process— Important to stimulate dialogue with broad archive/user

communities— Results of US and International workshops put on WEB— Support e-mail comments/critiques

Broad international workshops also held— UK and France— Issue resolution at ISO/Consultative Committee for Space Data

Systems international workshops

LOC 13 June 20038

Technical ApproachTechnical Approach Investigate other Reference Models.

— ISO “Seven Layer”Communications Reference Model— ISO Reference Model for Open Distributed Processing— ISO TC211 Reference Model for Geomantics

Define what is meant by ‘archiving of data’ Break ‘archiving’ into a few functional areas (e.g., ingest,

storage, access, and preservation planning) Define a set of interfaces between the functional areas Define a set of data classes for use in Archiving Choose formal specification techniques

— Data flow diagrams for functional models and interfaces— Unified Modeling Language (UML) for data classes

LOC 13 June 20039

ResultsResults

Reference Model targeted to several categories of reader

— Archive designers— Archive users— Archive managers, to clarify digital preservation issues

and assist in securing appropriate resources— Standards developers

Adopted terminology that crosses various disciplines

— Traditional archivists— Scientific data centers— Digital libraries

LOC 13 June 200310

Reference Model StatusReference Model Status

Already widely adopted as starting point in digital preservation efforts

— Digital libraries (e.g., Netherlands National Library)— Traditional archives (e.g., US National Archives)— Scientific data centers (e.g., National Space Science Data

Center)— Commercial Organizations (e.g., Aerospace Industries

Association preservation working team)

Published as final CCSDS standard (Blue Book) available from:http://www.ccsds.org/documents/650x0b1.pdf

Recently published as a final ISO standard: ISO 14721: 2003

LOC 13 June 200311

Reference Model for anReference Model for anOpen Archival Information SystemOpen Archival Information System

Technical Overview Technical Overview

LOC 13 June 200312

Open Archival Information System (OAIS)Open Archival Information System (OAIS)

Open

– Reference Model standard(s) are developed using a public process and are freely available

Information

– Any type of knowledge that can be exchanged

– Independent of the forms (i.e., physical or digital) used to represent the information

– Data are the representation forms of information Archival Information System

– Hardware, software, and people who are responsible for the acquisition, preservation and dissemination of the information

LOC 13 June 200313

Document OrganizationDocument Organization

Introduction

– Purpose and Scope, Applicability, Rationale, Road Map for Future Work, Document Structure, and Definitions of Terms

OAIS Concepts and Responsibilities

– High level view of OAIS functionality and information models

– OAIS external environment

– Minimum responsibilities to become an “OAIS” Detailed Models

– Functional model descriptions and information model perspectives Preservation perspectives

– Media migration, compression, format conversions, and access service preservation

Archive Interoperability

– Criteria to distinguish types of cooperation among archives Annexes

– Scenarios of existing archives, compatibility with other standards

LOC 13 June 200314

Purpose, Scope, and ApplicabilityPurpose, Scope, and Applicability

Framework for understanding and applying concepts needed for long-term digital information preservation

– Long-term is long enough to be concerned about changing technologies

– Starting point for model addressing non-digital information Provides set of minimal responsibilities to distinguish an OAIS

from other uses of ‘archive’ Framework for comparing architectures and operations of

existing and future archives Basis for development of additional related standards Addresses a full range of archival functions Applicable to all long-term archives and those organizations

and individuals dealing with information that may need long-term preservation

Does NOT specify an implementation

LOC 13 June 200315

Model View of an OAIS EnvironmentModel View of an OAIS Environment

Producer is the role played by those persons, or client systems, who provide the information to be preserved

Management is the role played by those who set overall OAIS policy as one component in a broader policy domain

Consumer is the role played by those persons, or client systems, who interact with OAIS services to find and acquire preserved information of interest

OAIS(archive)

Management

Producer Consumer

LOC 13 June 200316

Negotiates and accepts Information from information producers

Obtains sufficient control to ensure long-term preservation Determines which communities (designated) need to be able

to understand the preserved information Ensures the information to be preserved is independently

understandable to the Designated Communities Follows documented policies and procedures which ensure

the information is preserved against all reasonable contingencies

Makes the preserved information available to the Designated Communities in forms understandable to those communities

OAIS ResponsibilitiesOAIS Responsibilities

LOC 13 June 200317

OAIS Information DefinitionOAIS Information Definition

Information is always expressed (i.e., represented) by some type of data

Data interpreted using its Representation Information yields Information

Information Object preservation requires clear identification and understanding of the Data Object and its associated Representation Information

DataObject

InterpretedUsing its

RepresentationInformation

Yields

InformationObject

LOC 13 June 200318

Information Package DefinitionInformation Package Definition

An Information Package is a conceptual container holding two types of information

– Content Information– Preservation Description Information (PDI)

PreservationDescriptionInformation

ContentInformation

LOC 13 June 200319

Information Package VariantsInformation Package Variants

Submission Information Package– Negotiated between Producer and OAIS– Sent to OAIS by a Producer

Archival Information Package– Information Package used for preservation– Includes complete set of Preservation Description

Information (PDI) for the Content InformationDissemination Information Package

– Includes part or all of one or more Archival Information Packages

– Sent to a Consumer by the OAIS

LOC 13 June 200320

External Data Flow ViewExternal Data Flow View

Producer

Consumer

queries

resultsets

orders

OAIS

ArchivalInformationPackages

SubmissionInformationPackages

DisseminationInformationPackages

LOC 13 June 200321

Detailed ModelsDetailed Models

Overview

LOC 13 June 200322

Overview of Detailed ModelsOverview of Detailed Models

It was decided to do both a functional and an information model of the OAIS

Both models were tasked to:— Use the models to better communicate OAIS

Concepts— Use a well established, formal modeling

technique— Stay as implementation independent as

possible— Avoid detailed designs

LOC 13 June 200323

Detailed ModelsDetailed Models

Information Model

LOC 13 June 200324

General PrinciplesGeneral Principles

Define classes of “information objects’ that illustrate information necessary to enable Long-term storage and access to Archives

The class definition should be implementation Independent

Use a subset of Unified Modeling Language (UML)

LOC 13 June 200325

UML NotationUML Notation

Class:

Class Name

Aggregation:

Assembly Class

Part -1 Class Part-2 Class

Multiplicity of Associations:

Class

Class

Class

Class

Exactly one

Many (zero or more)

Optional (zero or one)

One or more

Class-1 Class-2

Association Name

Parent Class

Child -1 Class Child-2 Class

Specialization:

Association:

*

1. .*

0 . .1

1

*

Class-1 Class-2

Association Name

Association Name

Association as a class:

LOC 13 June 200326

Information ObjectInformation Object

InformationObject

RepresentationInformation

1+Interpretedusing1+Data

Object

PhysicalObject

DigitalObject

BitSequence

1+

Interpretedusing

LOC 13 June 200327

Representation InformationRepresentation Information

The Representation Information accompanying a physical object, like a moon rock, may give additional meaning

– It typically is a result of some analysis of the physically observable attributes of the rock

The Representation Information accompanying a digital object, or sequence of bits, is used to provide additional meaning.

– It typically maps the bits into commonly recognized data types such as character, integer, and real and into groups of these data types.

– It associates these with higher level meanings which can have complex inter-relationships that are also described

LOC 13 June 200328

Recursive Nature ofRecursive Nature ofRepresentation InformationRepresentation Information

Structure Information Semantic Information Other Representation

Information

Interpreted using

SemanticInformation

StructureInformation

Other

RepresentationInformation

adds meaning to

RepresentationInformation

*

1

*

1

LOC 13 June 200329

Types of Information Used in OAISTypes of Information Used in OAIS

InformationObject

ContentInformation

PackagingInformation

PreservationDescriptionInformation

DescriptiveInformation

. . .

LOC 13 June 200330

Content InformationContent Information

The information which is the primary object of preservation An instance of Content Information is the information that

an archive is tasked to preserve. Deciding what is the Content Information may not be

obvious and may need to be negotiated with the Producer The Data Object in the Content Information may be either a

Digital Object or a Physical Object (e.g., a physical sample, microfilm)

LOC 13 June 200331

Preservation Description InformationPreservation Description Information

Provenance Information– Describes the source of Content Information, who has had

custody of it, what is its history

Context Information– Describes how the Content Information relates to other

information outside the Information Package

Reference Information– Provides one or more identifiers, or systems of identifiers,

by which the Content Information may be uniquely identified

Fixity Information– Protects the Content Information from undocumented

alteration

LOC 13 June 200332

PDI ExamplesPDI Examples

Content Information

Type

Reference Provenance Context Fixity

SpaceScience Data

• Objec t identifier• J ournal reference Mission,instrument, title,attribute set

Instrumen tdescription Processin g history Sensor description Instrument Instrumen tmode Decommutatio nmap Softwar e interfacespecification

Calibratio n history Relat eddata sets Mission Fundin g history

CRC Checksum Reed-Solomoncoding

DigitalLibrary

Collections

Bibliograp hicdescription

Persis tentidentifie r

For scann edcollections : metadata a bout the

digitis ation p rocess pointe r to master

vers ion For born-digita l

publications: pointe r to the d igita l

origina l Metadata a bout the

prese rva tion proces s: pointe rs to e arlie r

vers ions o f thecollection item

change his tory

Pointe rs to re la teddocume nts inorigina lenvironme nt at thetime o f publica tion

Digita ls ignature

Checksum Authenticity

indica tor

Software Packag e

Name Author/Origina tor Version num ber Serial num ber

Revis ion h istory License holder Regis tra tion Copyright

Help file Use r gu ide Related softwa re Language

Certifica te Checksum Encryption CRC

LOC 13 June 200333

Descriptive InformationDescriptive Information

Contain the data that serves as the input to documents or applications called Access Aids.

Access Aids can be used by a consumer to locate, analyze, retrieve, or order information from the OAIS.

LOC 13 June 200334

Packaging InformationPackaging Information

Information which, either actually or logically, binds and relates the components of the package into an identifiable entity on specific media

Examples of Packaging Information include tape marks, directory structures and filenames

LOC 13 June 200335

OAIS Archival Information PackageOAIS Archival Information Package

ArchivalInformation

Package (AIP)

ContentInformation

PreservationDescriptionInformation

(PDI)e.g., • Hardcopy document

• Document as an electronic file together with its format description • Scientific data set consisting of image file, text file, and format descriptions file describing the other files

e.g., • How the Content Information came into being, who has held it, how it relates to other information, and how its integrity is assured

PackagingInformation

PackageDescription

further described by

delimited byderived from

e.g., How to find Content information and PDI onsome medium

e.g., Informationsupporting customersearches for AIP

LOC 13 June 200336

AIP TypesAIP Types

Archival Information Unit (AIU) contains a single Data Object as the Content Object

Archival Information Collection (AIC) contains multiple AIPs in its Content Object

— Each member of an AIC is an AIP containing Content Information and PDI

— The AIC contains unique PDI on the collection process

ArchivalInformation

Package

ArchivalInformation

Unit

ArchivalInformationCollection

LOC 13 June 200337

Package Descriptions and Access AidsPackage Descriptions and Access Aids

Package Descriptions are needed by an OAIS to provide visibility and access to the OAIS holdings

Package Descriptions contain 1 or more Associated Descriptions which describe the AIP Content Information from the point of view of a single Access Aid

Some example of Access Aids Include:— Finding Aids - assist the consumer in locating information of

interest— Ordering Aids - allow the consumer to discover the cost of

and order AIUs of interest— Retrieval Aids - enable authorized users to retrieve the AIU

described by the Unit Descriptor from Archival Storage

LOC 13 June 200338

Information Model SummaryInformation Model Summary

Presented a model of information objects as containing data objects and representation objects

Classified information required for Long-term archiving into 4 classes: Content Information, PDI, Packaging Information and Descriptive Information

Described how these classes would be aggregated and related in an AIP to fully describe an instance of Content Information

Presented information needed for Access, in addition to that needed for Long-term Preservation

Put the Access oriented structures in the context of the other data needed to operate an OAIS

LOC 13 June 200339

Detailed ModelsDetailed Models

Functional View

LOC 13 June 200340

General PrinciplesGeneral Principles

Highlight the major functional areas important to digital archiving

Use functional decomposition to clarify the range of functionality that might be encountered

– Don't decompose beyond two levels to avoid becoming too implementation dependent

– Provide a useful set of terms and concepts– Do not imply that all archives need to implement all the

sub-functions Identify some common services which are likely to be

needed, and are assumed to be available, as underlying support

LOC 13 June 200341

Common ServicesCommon Services

Modern, distributed computing applications assume a number of supporting services

Examples of Common Services include:— inter-process communication—name services—temporary storage allocation—exception handling—security—file and directory services

LOC 13 June 200342

Open Archival Information System:Open Archival Information System:Six Functional EntitiesSix Functional Entities

SIP = Submission Information Package

SIP

DIP

Administration

PRODUCER

CONSUMER

queriesresult sets

MANAGEMENT

Ingest Access

DataManagement

ArchivalStorage

DescriptiveInfo.

Preservation Planning

orders

AIP

AIP = Archival Information Package

DIP = Dissemination Information Package

LOC 13 June 200343

Functional Entities In An OAISFunctional Entities In An OAIS

Ingest: This entity provides the services and functions to accept Submission Information Packages (SIPs) from Producers and prepare the contents for storage and management within the archive

Archival Storage: This entity provides the services and functions for the storage, maintenance and retrieval of Archival Information Packages

Data Management: This entity provides the services and functions for populating, maintaining, and accessing both descriptive information which identifies and documents archive holdings and internal archive administrative data.

Administration: This entity manages the overall operation of the archive system

Preservation Planning: This entity monitors the environment of the OAIS and provides recommendations to ensure that the information stored in the OAIS remain accessible to the Designated User Community over the long term even if the original computing environment becomes obsolete.

Access: This entity supports consumers in determining the existence, description, location and availability of information stored in the OAIS and allowing consumers to request and receive information products

LOC 13 June 200344

Ingest Data Flow DiagramIngest Data Flow Diagram

NESTOR/ Grunberger

R ev f, 2-25-99

AIPSIPSIP

AIP

AIP

Descriptive

info.

Co-ordinate Updates

Generate

Descriptive

Info

Archival

Storage

Data

Management

Quality

Assurance

Report

request

ReportAdministrationFormat & doc. stds.

Receive

Submission

Descriptive

info.

Generate

AIP

S torage

confirmation

[Updated] SIP

SIP, AIP Report

SIP

QA results

P

R

O

D

U

C

E

R

LOC 13 June 200345

Preservation PlanningPreservation Planning

LOC 13 June 200346

Preservation PerspectivesPreservation Perspectives

LOC 13 June 200347

Migration ContextMigration Context

Content Information Identifier

Descriptive Information Mapping

AIP Identifier

Archival Storage Mapping

Packaging Information

Content Information Preservation DescriptionInformation

Archival StorageView

Data ManagementAnd Access View

LOC 13 June 200348

Digital MigrationDigital Migration

Digital Migration is defined to be the transfer of digital information, while intending to preserve it, within the OAIS.

Focus on preservation of the full information content

New information implementation replaces the old

OAIS has full control and responsibility over all aspects of the transfer

LOC 13 June 200349

Migration MotivatorsMigration MotivatorsMotivators driving digital migrations

— Media Decay• Often this is superceded by escalating media drive maintenance

costs

— Increased Cost Effectiveness• More cost-effective media types with higher volumes and lower

drive maintenance costs

— New User/Consumer Service Requirements• New formats more compatible with user’s technology and

applications

— Proprietary software evolution• New software versions used to ‘upgrade’ formats of the

information objects being preserved

LOC 13 June 200350

Digital Migration Approaches Digital Migration Approaches

Four primary types of digital migration in response to motivators, ordered by increasing risk of information loss:— Refreshment

• Media replacement with no bit changes— Replication

• No change to Packaging Information or Content Information bits

— Repackaging• Some bit changes in Packaging Information

— Transformation• Reversible: Bit changes in Content Information are

reversible by an algorithm• Non-reversible: Bit changes in Content Information

are not reversible by an algorithm

LOC 13 June 200351

Access PreservationAccess Preservation

Effective access to digital information requires the use of software

Application Programming Interfaces (APIs) may be cost-effectively maintained across time by an OAIS when:

— API is not too complex— API is applicable to a wide variety of AIUs

API source code may be ported to new environments— Extensive testing is needed to ensure against information

loss Preservation of executables by full emulation of underlying

hardware is problematic— Hard to know what is the information being preserved— May not be possible to fully emulate associated devices

LOC 13 June 200352

Archive InteroperabilityArchive Interoperability

LOC 13 June 200353

Archive Interoperability MotivatorsArchive Interoperability Motivators

Users of multiple OAIS archives have reasons to wish for some interoperability or cooperation among the OAISs.

Consumers— Common finding aids to aid in locating information over

several OAIS archives— Common Package Descriptor schema for access— Common DIP schema for dissemination, or a single

global access site. Producers

— common SIP schema for submission to different archives— a single depository for all their products.

Managers— Cost reduction through sharing of expensive hardware

increasing the uniformity and quality of user interactions with the OAIS

LOC 13 June 200354

Categories of Archive InteractionsCategories of Archive Interactions

Independent: no knowledge by one OAIS of Standards implemented at another

Cooperating: Potentially common submission standards, and common dissemination standards, but no common access. One archive may make subscription requests for key data at the cooperating archive

Federated: Access to all federated OAIS is provided through a common set of access aids that provide visibility into all participating OAISs. Global dissemination and Ingest are options

Shared resources: An OAIS in which Management has entered into agreements with other OAISs is to share resources to reduce cost. This requires various standards internal to the archive (such as ingest-storage and access-storage interface standards), but does not alter the community’s view of the archive

LOC 13 June 200355

Federated ArchivesFederated Archives

Local

Consumer

Local

Consumer

GlobalConsumer

Dissemination Information Package (Optional)

Dissemination Information Package (Optional)

Adm

inistra

tion

Co

mm

on

Ca

talo

gA

ccess

Acce

ssA

ccess

Ingest Access

OAIS 1Administration

Ingest Access

OAIS 2

Administration

LOC 13 June 200356

3 Levels of Autonomy in Associated Archives3 Levels of Autonomy in Associated Archives

No interactions and therefore no association Associations that maintain your autonomy. You have to

do certain things to participate, but you can leave the association without notice or impact to you.

Associations that bind you by contract. To change the nature of this association you will have to re-negotiate the contract. The amount of autonomy retained depends on how difficult it is to negotiate the changes.

LOC 13 June 200357

Reference Model SummaryReference Model Summary

Reference model is to be applicable to all digital archives, and their Producers and Consumers

Identifies a minimum set of responsibilities for an archive to claim it is an OAIS

Establishes common terms and concepts for comparing implementations, but does not specify an implementation

Provides detailed models of both archival functions and archival information

Discusses OAIS information migration and interoperability among OAISs

LOC 13 June 200358

Some ApplicationsSome Applications

LOC 13 June 200359

Selected OAIS Usage ExamplesSelected OAIS Usage Examples Networked European Deposit Library (NEDLIB) Royal Library of the Netherlands

— IBM is developing an ‘OAIS like’ mplementation British National Library

— Asking IBM to extend its ‘OAIS like’ implementation Research Library Group and OnLine Computer Library Center

— Developed an OAIS based approach to ‘trusted repositories’— Web page to track OAIS implementation efforts/issues— http://www.rlg.org/longterm/oais.html

Library of Congress— Hosting METS XML data packaging approach— National Digital Information Infrastructure Preservation Program

(NDIIPP)

LOC 13 June 200360

Selected OAIS Usage Examples-2Selected OAIS Usage Examples-2

InterPARES— Body of National Archives from many countries,

adopted OAIS as a starting point for their modeling work France set up a working group within ARISTOTE

— interested in archive of digital information, including libraries and Dept of Justice.

• http://www.aristote.asso.fr/ (in french)• “astonishing unifying role” from OAIS reference model

System for Preservation and Access to Data and Information (SIPAD)

— French space agency plasma physics archive used the OAIS as a basis for design

National Space Science Data Center (NSSDC) — Evolving our archive using OAIS as a basis for a new

architecture

LOC 13 June 200361

Selected OAIS Usage Examples-3Selected OAIS Usage Examples-3

National Archives and Records Administration contracted preservation work with San Diego Super Computer Center

— Both parties claimed use of the OAIS RM saved several weeks of effort in the specification of the task

Similar experiences between:— National Library of France and French space agency

(CNES) representatives— National Center for Supercomputer Applications HDF

format developers and DNA researchers— Life Sciences Archive developer and micro-gravity

researchers— United States Department of Agriculture and digital

preservation experts

LOC 13 June 200362

Follow-on ActivitiesFollow-on Activities

Research Libraries Group has established a web page to track OAIS implementation efforts and issues

— http://www.rlg.org/longterm/oais.html

CCSDS Certification Coordination Function— Will track and summarize various archive certification

efforts— Will attempt to extract high-level model/checklist— RLG is organizing a group to establish certification

approaches

LOC 13 June 200363

Follow-on Activities - 2Follow-on Activities - 2

Standard Submission Information Package— Just getting started under CCSDS Archive

Ingest Working Group CCSDS/ISO Producer-Archive Interface

Methodology Standard— Provides framework for Producer/Archive

interactions— Identifies steps and types of information

exchanged during the ‘negotiation’— May be used as a checklist by archives

LOC 13 June 200364

CCSDS/ISO

Producer-Archive Interface Methodology Abstract Standard

Overview

LOC 13 June 200365

Model View of an OAIS EnvironmentModel View of an OAIS Environment

Producer is the role played by those persons, or client systems, who provide the information to be preserved

Management is the role played by those who set overall OAIS policy as one component in a broader policy domain

Consumer is the role played by those persons, or client systems, who interact with OAIS services to find and acquire preserved information of interest

OAIS(archive)

Management

Producer Consumer

LOC 13 June 200366

PurposePurpose

Standardize the relationships and interactions between an information Producer and an Archive

— Abstract Model

— Terms and Concepts Define a methodology

— Allows all actions to be structured within this context— Covers times from first contact by Producer until all

information objects are received by the Archive

Provide guidance on the specialization of the methodology to meet the needs of classes of archives, or of specific archives

LOC 13 June 200367

ScopeScope Identifies different phases in process of transferring

information between Producer and Archive Defines objectives of each phase

— Actions to be carried out during each phase— Expected results from end of each phase

General framework able to be re-used for all processes related to Producer-Archive interactions

Basis for development of additional related standards Basis for development of software tools to assist in

different stages of the interactions between Producer and Archive

LOC 13 June 200368

ApplicabilityApplicability

All archives conformant to OAIS Reference Model

May be of interest to archives not conformant to OAIS Reference Model

Relevant to archives holding physical as well as digital materials

LOC 13 June 200369

Methodology ConformanceMethodology Conformance

When methodology is used by an archive for a particular ‘archive project’ (acquiring a set of information)

– Usage conforms when all actions in this standard have been considered and implemented as appropriate

When methodology has been specialized or extended to be a Community Standard, it conforms when:

– All actions have been considered and incorporated appropriately, AND

– Methodology for creating the Community Standard has addressed the various work phases defined in section 4

LOC 13 June 200370

Document OrganizationDocument Organization Section1

— Purpose, Scope, Applicability, Conformance Section 2

— Overview of methodology, players, their relationships, activity phases Section 3

— Detailed analysis of the four phased defined• Preliminary definition phase• Formal phase• Transfer Phase• Validation Phase

Section 4— Work stages leading to a Community Standard

Annex: Overview of OAIS Reference Model applicable to this standard

LOC 13 June 200371

Overview SchematicOverview Schematic

LOC 13 June 200372

Preliminary Phase OutlinePreliminary Phase Outline

First contact

Preliminary definition,Feasibility and assessment

Preliminary agreement

Information to be archivedDigital objects and standards appliedQuantificationObject referencesSecurity conditionsLegal and contractual aspectsTransfer operationsValidationSchedulePermanent impact on archiveSummary of cost, risksCritical points

LOC 13 June 200373

Id Preliminary phase: information to be archived InvolvesP-3 Identify the Content Information to be preserved and clearly define the

limits of the Archive ProjectProducer and Archive

P-4 Identify the complementary information to be p reserved:Representation Information, PDI. Check that they exist or i t isplanned to create them

Producer and Archive

P-5 Identify the Designated Community Producer and ArchiveP-6 Define user access to this information Producer and/or Archive

P-7 Assess the planned duration of the preservation of this information bythis Archive.

Producer and/or Archive

P-8 Assess the feasibility and cost induced by the previous points Producer and/or Archive

Example Actions

LOC 13 June 200374

Formal Phase OutlineFormal Phase Outline

Summary of the formal definition phaseSetting up of the organization.

General project contextand definition ofInformation ObjectsCreation of a dictionary

Information to bepreserved and Mode l ofData Objects to bedelivered.

Construction of a formalmodel

Formalization of contractual and legal aspectsDefinition of transfer conditions.Validation definition.Delivery schedule.Change management.

Formal definition

Feasibility and assessment.Submission Agreement.

LOC 13 June 200375

Transfer Phase ActionsTransfer Phase Actions

Id Transfer phase: carry out the transfer test InvolvesT-1 Initial transfer test. Producer and Archive

Id Transfer phase: manage the transfer InvolvesT-2 Ensure the proper execution of t he data transfer operation from

both the Producer and Archive sides.Producer and Archive

LOC 13 June 200376

Validation Phase ActionsValidation Phase Actions

Id Validation phase: carry out the validation test InvolvesV-1 Initial validation test. Producer and Archive

Id Validation phase: manage the validation InvolvesV-2 Apply the validations. Archive

V-3 Manage the results of the validation. Producer and Archive

LOC 13 June 200377

Creating a Community “Producer-Creating a Community “Producer-Archive” StandardArchive” Standard

Examples of communities creating such a standard— National or international standards bodies— National or international organizations— An individual archive to guide interactions with its Producers

Work stages to be considered:— Definition of terminology— Information model for community— Standards and tools available or required— Address actions defined in the Abstract Standard

Best practices— Broad definition of the community— Include diverse representation on the writing committee— Publicize and seek comments from the community— Submit to standards body as appropriate

LOC 13 June 200378

StatusStatus

Track versions of the document from— http://ssdoo.gsfc.nasa.gov/nost/isoas/us/overview.html— Register to participate

Version “R-1, April 2003” just released for formal review — Review Site

• http://www.ccsds.org/review/RPA305/uRPA305.html— Document

• http://www.ccsds.org/review/RPA305/651x0r1.pdf