Recker, Schumann: De-mystifying OAIS compliance


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Natascha Schumann, Astrid Recker: De-mystifying OAIS compliance. Benefits and challenges of mapping the OAIS reference model to the GESIS Data Archive - Presentation at IASSIST 2013

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Recker, Schumann: De-mystifying OAIS compliance

  1. 1. De-mystifying OAIScomplianceBenefits and challenges ofmapping the OAIS referencemodel to the GESIS Data ArchiveNatascha Schumann, Astrid Recker
  2. 2. OAIS* in a (very small) nutshell• *Reference Model for an Open ArchivalInformation System• Most recent version: CCSDS 2012 (ISO14721:2012)• Highly influential and ground-breaking, butalso frequently misunderstoodCCSDS (2012). Reference Model for an Open Archival Information System (OAIS).Recommended Practice.
  3. 3. What people say• „We are currently implementing OAIS“Image: Zonk! by Gwendal Uguen on flickr
  4. 4. OAIS is a reference model!Abstract frameworkdescribe and comparePreservation strategies andtechniquesDoes not specify adesign or animplementationentities
  5. 5. • Information packages• Content Information• Preservation DescriptionInformation• Packaging Information• Descriptive Information• Representation Information• Negotiate for/accept information• Ensure information isIndependently Understandable• Determine Designated Communities• Make information available• Follow documented policies andprocedures• Sufficient control of informationWhat does it mean to beOAIS-compliant?Support OAISinformationmodelFulfill OAISresponsibilitiesSupport offunctionalmodel notrequired
  6. 6. What does it mean to beOAIS-compliant?• (Necessarily) vague concept– does not lend itself to self-auditing or certification– label „OAIS-compliant“ meaningless withoutfurther context and specification• Route commonly taken: compliance testingby mapping of OAIS functions andinformation model to Archive
  7. 7. Steps to check compliancewith the functionalities• Prepare an overview about functionalmodel (excel sheet)• Create a (simplified) workflow diagram• Mapping example Pre-ingest/Ingest incl.quality control
  8. 8. Overview - snippet
  9. 9. Archiving WorkflowAcquisition and deposit Ingest and processing Archival storage Dissemination and accessTemporarystorageArchivalstorageDisseminationserverQualitycontrolBuild data anddocument setCreatemetadataMetadatadatabaseDeposit studyand contextmaterialAccess tostudy andmetadataPreservationactionData curationNegotiateSubmissionAgreement
  10. 10. GESIS Pre-Ingest/IngestNegotiatesubmissionagreementDeposit studyand contextmaterialQualitycontrolDefinition SIPArchivalcontractValidationtransferVerificationQuality controlTransformationinto AIP,file formatconversion• Disclosure control, control ofanonymity• Control of completeness• Technical control: formats, readability,malware/virus check• Control of plausibility• Control of consistency• Control of weightingsA B BAcquisition and deposit Ingest and processingGESIS
  11. 11. GESIS ↔ OAISNegotiatesubmissionagreementDeposit studyand contextmaterialQuality controlA B BNegotiatesubmissionagreementReceivesubmissionAuditsubmissionQualityassuranceGenerate AIPAdministration AdministrationIngest IngestAcquisition and deposit Ingest and processingGESISOAIS… ……
  12. 12. Some findings• At GESIS Data Archive pre-ingest and ingestincluding quality control are central aspects important for all following steps• No reference in OAIS to extensive quality control• OAIS does not accommodate this in a singlefunction parts of it are located in different functions• One colleague is responsible for most steps of thispart and acts like playing Twister :-)
  13. 13. Image “Four Storms and a Twister” by JD Hancock on flickr
  14. 14. Lessons learned: Benefits• TerminologySupports internal and external communication• Self-reflectionHelps getting a clearer sense of what, as anestablished Archive, one has already been doing• Process evaluationHelps spotting gaps and setting an agenda forfurther development
  15. 15. Lessons learned: Challenges• Simplicity vs. Complexity– Certain OAIS (sub-)functions look neatand tidy, but can turn into a “kraken”when trying to map them– Some functions not complex enough(e.g. Ingest), depending on the digital objectsarchived
  16. 16. Lessons learned: Challenges• Formalism vs. Pragmatism– In some places, OAIS describes highlyformalized processes which in reality arecarried out much more pragmatically– Archives have to decide where moreformalism is needed and where pragmatism istenable or even beneficial( risk assessment)
  17. 17. So what does it really mean to beOAIS-compliant?• Notion of OAIS-compliance is onlysignificant if extended to functional model• Compliance comes in degrees: consciousdecisions for and against compliance• Context counts!
  18. 18. Thank you for your attention!Natascha Schumann | Dr. Astrid ReckerGESIS – Leibniz Institute for the Social Sciences, Data | astrid.recker@gesis.orgwww.gesis.orgSlides: