Reference Model for an Open Archival Information System (OAIS) And Submission Agreements NOAA DSA TIM Donald Sawyer/NASA/GSFC 26-October 2005 NOAA DSA TIM Donald Sawyer/NASA/GSFC 26-October 2005

Topics (time permitting) OAIS Reference Model Producer-Archive Interface Methodology Abstract Standard Submission Information Package (SIP) standardization (separate presentation) OAIS Reference Model Producer-Archive Interface Methodology Abstract Standard Submission Information Package (SIP) standardization (separate presentation)

OAIS Reference Model 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 –Ensured broad participation, including traditional archives (Not restricted to space communities; all participation was welcomed!) 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 –Ensured broad participation, including traditional archives (Not restricted to space communities; all participation was welcomed!)

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. 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.

Organizational Approach Organized 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 –Supported comments/critiques Organized 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 –Supported comments/critiques

Technical Approach: 1 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) 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)

Technical Approach: 2 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 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

Results: 1 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 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

Results: 2 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: Published as a final ISO standard: ISO 14721: 2003 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: Published as a final ISO standard: ISO 14721: 2003

Purpose and Scope: 1 Framework for understanding and applying concepts needed for long-term digital information preservation –Long-term is long enough to be concerned about changing technologies Also can be starting point for model addressing non-digital information Framework for understanding and applying concepts needed for long-term digital information preservation –Long-term is long enough to be concerned about changing technologies Also can be starting point for model addressing non-digital information

Purpose and Scope: 2 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 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

Purpose and Scope: 3 Basis for development of additional related standards Addresses a full range of archival functions –Ingest, Archival Storage, Data Management, Access, Preservation Planning, Administration Basis for development of additional related standards Addresses a full range of archival functions –Ingest, Archival Storage, Data Management, Access, Preservation Planning, Administration

Applicability 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 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

Conformance How does an archive conform? –It discharges the set of minimal responsibilities –It supports the basic information concepts that address a definition of information and types of information packages How do other documents conform? –By using OAIS terms and concepts How does an archive conform? –It discharges the set of minimal responsibilities –It supports the basic information concepts that address a definition of information and types of information packages How do other documents conform? –By using OAIS terms and concepts

Who wants to conform to OAIS? All organizations that need to preserve digital information for extended periods –To demonstrate a level of awareness of digital preservation needs Other standards and documents –For effective communication and integration All organizations that need to preserve digital information for extended periods –To demonstrate a level of awareness of digital preservation needs Other standards and documents –For effective communication and integration

Open Archival Information System (OAIS) Information –Any type of knowledge that can be exchanged –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 Information –Any type of knowledge that can be exchanged –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

View of an OAIS Environment OAIS (archive) Management ProducerConsumer Producer provides the information to be preserved Management sets overall OAIS policy Consumer seeks and acquires preserved information of interest

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 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 OAIS Responsibilities: 1

OAIS Responsibilities: 2 Ensures the information to be preserved is independently understandable to the Designated Communities Follows documented policies and procedures that ensure the information is preserved against all reasonable contingencies Makes the preserved information available to the Designated Communities in forms understandable to those communities Ensures the information to be preserved is independently understandable to the Designated Communities Follows documented policies and procedures that 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 Information Definition Information is always expressed (i.e., represented) by some type of data Data interpreted using its Representation Information yields Information Data Object Interpreted Using its Representation Information Yields Information Object

Information Package Definition An Information Package is a conceptual container holding two types of information Content Information Preservation Description Information (PDI) Preservation Description Information Content Information

Content Information The information that is the original target of preservation Deciding what is the Content Information may not be obvious and may need to be negotiated with the Producer The Content Data Object in the Content Information may be either a Digital Object or a Physical Object (e.g., microfilm, a physical sample) The information that is the original target of preservation Deciding what is the Content Information may not be obvious and may need to be negotiated with the Producer The Content Data Object in the Content Information may be either a Digital Object or a Physical Object (e.g., microfilm, a physical sample)

Preservation Description Information (PDI) : 1 Reference Information –Provides one or more identifiers, or systems of identifiers, by which the Content Information may be uniquely identified Provenance Information –Describes the source of Content Information, who has had custody of it, what is its history Reference Information –Provides one or more identifiers, or systems of identifiers, by which the Content Information may be uniquely identified Provenance Information –Describes the source of Content Information, who has had custody of it, what is its history

Preservation Description Information (PDI) : 2 Context Information –Describes how the Content Information relates to other information outside the Information Package Fixity Information –Protects the Content Information from undocumented alteration Context Information –Describes how the Content Information relates to other information outside the Information Package Fixity Information –Protects the Content Information from undocumented alteration

Examples of PDI Reference –Bibliographic description; Persistent Ids Provenance –Metadata on preservation process Context –Pointers to related collections Fixity –Digital signatures, checksums Reference –Bibliographic description; Persistent Ids Provenance –Metadata on preservation process Context –Pointers to related collections Fixity –Digital signatures, checksums

Information Package Variants Submission Information Package (SIP) –Negotiated between Producer and OAIS –Sent to OAIS by a Producer Archival Information Package (AIP) –Information Package used for preservation –Holds complete set of Preservation Description Information for the Content Information Dissemination Information Package (DIP) –Includes part or all of one or more Archival Information Packages –Sent to a Consumer by the OAIS Submission Information Package (SIP) –Negotiated between Producer and OAIS –Sent to OAIS by a Producer Archival Information Package (AIP) –Information Package used for preservation –Holds complete set of Preservation Description Information for the Content Information Dissemination Information Package (DIP) –Includes part or all of one or more Archival Information Packages –Sent to a Consumer by the OAIS

Producer Consumer queries result sets orders OAIS Archival Information Packages External Data Flow View Submission Information Packages Dissemination Information Packages

Archival Information Package (AIP) Content Information Preservation Description Information (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 OAIS Archival Information Package Packaging Information Package Description further described by delimited by derived from e.g., How to find Content information and PDI on some medium e.g., Information supporting customer searches for AIP

Packaging Information Information which, either actually or logically, binds and relates the components of the package into an identifiable entity on specific media Examples of typical Packaging Information include tar files, directory structures, filenames, and tape marks Information which, either actually or logically, binds and relates the components of the package into an identifiable entity on specific media Examples of typical Packaging Information include tar files, directory structures, filenames, and tape marks

Package Description Contains 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. Contains 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.

Functional Entities: 1 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 that identifies and documents archive holdings and internal archive administrative data. 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 that identifies and documents archive holdings and internal archive administrative data.

Functional Entities: 2 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 Community over the long term. Access: This entity supports Consumers in determining the existence, description, location and availability of information stored in the OAIS and allows Consumers to request and receive information products 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 Community over the long term. Access: This entity supports Consumers in determining the existence, description, location and availability of information stored in the OAIS and allows Consumers to request and receive information products

OAIS Functional Entities SIP = Submission Information Package AIP = Archival Information Package DIP = Dissemination Information Package SIP Descriptive Info. AIP DIP Administration PRODUCERPRODUCER CONSUMERCONSUMER queries result sets MANAGEMENT Ingest Access Data Management Archival Storage Descriptive Info. Preservation Planning orders

Submission Agreement Negotiated between Producer and Archive Identifies the SIPs to be submitted by the Producer May include mandatory requirements Not further expanded in the OAIS Reference Model Negotiated between Producer and Archive Identifies the SIPs to be submitted by the Producer May include mandatory requirements Not further expanded in the OAIS Reference Model

Reference Model Summary Reference model is applicable to all digital archives, and their Producers and Consumers Establishes common terms and concepts for comparing implementations, but does not specify an implementation Identifies a minimum set of responsibilities for an archive to claim it is an OAIS Provides detailed models of both archival functions and archival information Also discusses OAIS information migration and interoperability among OAISs Reference model is applicable to all digital archives, and their Producers and Consumers Establishes common terms and concepts for comparing implementations, but does not specify an implementation Identifies a minimum set of responsibilities for an archive to claim it is an OAIS Provides detailed models of both archival functions and archival information Also discusses OAIS information migration and interoperability among OAISs

C. Huc/CNES, D. Boucon/CNES-SILOGIC, D.M. Sawyer/NASA/GSFC, J.G. Garrett/NASA-Raytheon Producer-Archive Interface Methodology Abstract Standard (PAIMAS) NOAA DSA TIM RAYTHEON

Why a new standard? Needs for standardization: problems The relations between archives and data Producers are rarely simple and easy: nonconformity of received data unclear and imprecise definition of the data to be delivered, failure to meet delivery schedule, late detection of errors in archived data, non-management of modifications ==> Can be detrimental to archived information quality and the cost of the operation. Ever increasing diversity of the producers Data complexity Each project develops its own methodology on the basis of a process that is roughly the same from one project to another ==> Work duplicated, no generality, excessively high costs, etc.

SIP = Submission Information Package SIP DIP Administration PRODUCERPRODUCER CONSUMERCONSUMER queries result sets MANAGEMENT Ingest Access Data Management Archival Storage Descriptive Info. Preservation Planning orders AIP AIP = Archival Information Package DIP = Dissemination Information Package PAIMAS Focus Methodology Context

Methodology Description The archive project is broken down into 4 main phases: Preliminary Phase, Formal Definition Phase, Transfer Phase, Validation Phase. Each phase has extensive action tables. Specialization for a community.

Data ready to archive Methodology The phases: relationships Preliminary Agreement Dictionary Formal model Submission Agreement Transferred object files Validation agreement Phase objective Preliminary Phase Formal Definition Phase Transfer Phase Validation Phase Anomalies Validate the transferred objects Identification and preliminary Define the information to be archived resources estimation Negociate the Submission Develop agreement (data to be delivered, complementary elements, schedule) Actual transfer of the data Actual transfer of the objects

Preliminary Phase Preliminary Agreement Methodology Preliminary phase: context Archive Producer

Methodology Preliminary phase: sub-phases Action table Description

Formal Definition Phase Preliminary Agreement Dictionary Data Model Submission Agreement Methodology Formal Definition Phase: context

Methodology Formal Definition Phase: sub-phases and action table Id Formal Definition Phase: Submission Agreement Involves F-36 Draw up the Submission Agreement Producer and/or Archive information to be transferred (e.g., SIP contents, SIP packaging, data models, Designated Community, legal and contractual aspects); transfer definition (e.g. specification of the Data Submission Sessions); validation definition; change management (e.g. conditions for modification of the agreement, for breaking the agreement); schedule (submission timetable).

Transfer Phase Actual transfer of the objects: carry out the transfer test manage the transfer Data Model of object files to deliver Schedule Transferred object files Methodology Transfer Phase

Validation Phase Validate the transferred objects: carry out the validation test manage the validation Transferred object files Data ready to archive Anomalies Methodology Validation Phase Producer Validation acknowledgement

Adapt the generic standard to a particular community (which can range from an international organization to a simple archive service) Steps involved to define a community standard terminology, data dictionary and information model, standards, common tools. Analyze each action of the generic standard (add and delete actions as appropriate) Specialization

Conclusion PAIMAS identifies: the phases in the process of transferring information, the objective of the phases, the actions that must be carried out, the expected results. PAIMAS is a basis: for further specialization by a particular community for the identification of standards and implementation guides, for identification and development of a set of software tools.

 PAIMAS approved as final Consultative Committee for Space Data Systems standard …..  PAIMAS is undergoing ISO review as a final ISO standard Expect approval this Fall, 2005 PAIMAS Status