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Natascha Schumann, GESIS-Leibniz Institute for the Social Sciences Dr. Astrid Recker, GESIS-Leibniz Institute for the Social Sciences Since its initial publication in 2002, the OAIS Reference Model, its concepts and terminology, have become essential to the digital preservation discourse. In this discourse, the topos – or myth – of “OAIS compliance” continues to play a central part as archives and repositories seek to demonstrate their fitness for the challenge of digital preservation. This presentation considers briefly what OAIS is (and can be used for) and what it is not – namely, an abstract reference model, but not an architecture that can be implemented directly –, and which challenges and benefits this entails. We then use the GESIS Data Archive for the Social Sciences as an example of mapping OAIS onto an existing archival system, looking at the organizational and “technical” dimensions and exploring positive effects and benefits, as well as difficulties of completing this process. Thus, such a mapping can be taxing for an established archive: As most of the workflows have grown and proven their adequacy over a considerable period of time, taking a step back and viewing these processes from a new perspective is a challenge in itself.
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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
[email protected] | [email protected]
www.gesis.org
Slides: http://www.slideshare.net/GESIS_Leibniz_Institut
