De-mystifying OAIS

compliance Benefits and challenges of

mapping the OAIS reference

model to the GESIS Data Archive Natascha Schumann, Astrid Recker

OAIS* in a (very small) nutshell

• *Reference Model for an Open Archival

Information System

• Most recent version: CCSDS 2012 (ISO

14721:2012)

• Highly influential and ground-breaking, but

also frequently misunderstood

CCSDS (2012). Reference Model for an Open Archival Information System (OAIS).

Recommended Practice. http://public.ccsds.org/publications/archive/650x0m2.pdf

What people say

• „We are currently implementing OAIS“

Image: Zonk! by Gwendal Uguen on flickr

OAIS is a reference model! Abstract framework

describe and compare Preservation strategies and techniques

Does not specify a design or an implementation

entities

• Information packages

• Content Information

• Preservation Description

Information

• Packaging Information

• Descriptive Information

• Representation Information

• Negotiate for/accept information

• Ensure information is

Independently Understandable

• Determine Designated Communities

• Make information available

• Follow documented policies and

procedures

• Sufficient control of information

What does it mean to be

OAIS-compliant?

Support OAIS

information

model

Fulfill OAIS

responsibilities

Support of

functional

model not

required

What does it mean to be

OAIS-compliant?

• (Necessarily) vague concept

– does not lend itself to self-auditing or certification

– label „OAIS-compliant“ meaningless without

further context and specification

• Route commonly taken: compliance testing

by mapping of OAIS functions and

information model to Archive

Steps to check compliance

with the functionalities

• Prepare an overview about functional

model (excel sheet)

• Create a (simplified) workflow diagram

• Mapping example Pre-ingest/Ingest incl.

quality control

Overview - snippet

Archiving Workflow Acquisition and deposit Ingest and processing Archival storage Dissemination and access

Temporary storage

Archival storage

Dissemination server

Quality control

Build data and document set

Create metadata

Metadata database

Deposit study and context

material

Access to study and metadata

Preservation action

Data curation

Negotiate Submission Agreement

GESIS Pre-Ingest/Ingest

Negotiate

submission

agreement

Deposit study

and context

material

Quality

control

Definition SIP

Archival

contract

Validation

transfer

Verification

Quality control

Transformation

into AIP,

file format

conversion

• Disclosure control, control of

anonymity

• Control of completeness

• Technical control: formats, readability,

malware/virus check

• Control of plausibility

• Control of consistency

• Control of weightings

A B B

Acquisition and deposit Ingest and processing

GESIS

GESIS ↔ OAIS

Negotiate

submission

agreement

Deposit study

and context

material

Quality control

A B B

Negotiate

submission

agreement

Receive

submission

Audit

submission

Quality

assurance

Generate AIP

Administration Administration Ingest Ingest

Acquisition and deposit Ingest and processing

GESIS

OAIS

… … …

Some findings

• At GESIS Data Archive pre-ingest and ingest including 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 single function

parts of it are located in different functions

• One colleague is responsible for most steps of this part and acts like playing Twister :-)

Image “Four Storms and a Twister” by JD Hancock on flickr

Lessons learned: Benefits

• Terminology Supports internal and external communication

• Self-reflection Helps getting a clearer sense of what, as an established Archive, one has already been doing

• Process evaluation Helps spotting gaps and setting an agenda for further development

Lessons learned: Challenges

• Simplicity vs. Complexity

– Certain OAIS (sub-)functions look neat

and tidy, but can turn into a “kraken”

when trying to map them

– Some functions not complex enough

(e.g. Ingest), depending on the digital objects

archived

Lessons learned: Challenges

• Formalism vs. Pragmatism

– In some places, OAIS describes highly formalized processes which in reality are carried out much more pragmatically

– Archives have to decide where more formalism is needed and where pragmatism is tenable or even beneficial ( risk assessment)

So what does it really mean to be

OAIS-compliant?

• Notion of OAIS-compliance is only

significant if extended to functional model

• Compliance comes in degrees: conscious

decisions for and against compliance

• Context counts!

Thank you for your attention!

Natascha Schumann | Dr. Astrid Recker

GESIS – Leibniz Institute for the Social Sciences, Data Archive

natascha.schumann@gesis.org | astrid.recker@gesis.org

www.gesis.org

Slides: http://www.slideshare.net/GESIS_Leibniz_Institut