OAIS RIDS Submitted By The US National Archives And Records Administration

OAIS RIDS Submitted by the US National ArchivesSee above and for Records individual points Administration 1999-10-26 2) PAGE NUMBER: 1-7 PARAGRAPH NUMBER: 1.7.2 VIL/99/P2/N13 RID SHORT TITLE: Terminology REVEW ITEM DISPOSITION (RID ) DESCRIPTION OF REQUESTED CHANGE: (Use From: "..." To ". ." AGENCY RID NUMBER NARA format SUBMITTING ORGANIZATlON (Agency, Center):Move NARA the entire Terminology Section to the Annex and review REVIEWER'S NAME: Mary Ann Hadyka all definition against existing Standards definitions CODE E-MAIL ADDRESS: [email protected] ANALYSIS TELEPHONE: (301) 713-7360 X222 The terminology section in the front of the document confuses the reader, since some of the definitions are not DOCUMENT NUMBER: CCSDS 650.0-R-1 Red Book,consistent issue with or what are used in the actual body of the DOCUMENT NAME: OAIS Reference Model document, Therefore, it is more appropriate to have this DATE ISSUED: May 1999 section as a reference. But the definitions should be consistent throughout the document 1) PAGE NUMBER:2-1 PARAGRAPH NUMBER: 2, 3,** 4dms- The location of the terminology section can not be RID SHORT TITLE: "OAIS CONCEPTS changed as it is an ISO style. Any inconsistent use of terms needs correction ** DESCRIPTION OF REQUESTED CHANGE: (Use From: "" To " format Paragraph 2, Sentence 2, change: "Traditionally,Many of thean archive"existing definitions are in conflict with to " Traditional archives" current ISO definitions, as well as other standards ** dms- Seems acceptable ** documents such as the Society of American Archivists (SAA) AGREED Glossary. In addition, some of The definitions are in conflict with definitions within the document. These have Paragraph 3 -, Delete the sentence: "Althoughbeen identifiedsome archives specifically in other comment sheets may be temporary, some or all of their information** dms- ISO my definitions need are not consistent across all ISO to be preserved indefinitely." Combine thedocuments. next two We need specifics on which definitions are in sentences to read: "Because much of the supportingconflict before any changes can be made.** information necessary to preserve this information is more easily available or only available at theDISPOSITION: time when the original information is produced, these organizationsREJECT this but need we will ask for specific examples and also to be active participants in the long-termreview preservation Glossary effort ** dms- This change removes the use of the3) termPAGE 'temporaryNUMBER: 1-7 PARAGRAPH NUMBER: 1.7.2 archive' from the document. Seems acceptableRID SHORT dms –TITLE: should Terminology - Definition of Archive be further reworded later ** AGREED DESCRIPTION OF REQUESTED CHANGE: (Use From: ..." To ...." Paragraph 4 -delete the last sentence whichformat) begins with: "The designers and architects should documentChange where definition of Archive from "An organization that compromises have been made. ..." intends to preserve information..." to "An organization that ** dms- This change has the effect of notintends encouraging to preserve archival information packages..." compromises, in active archvies, of preservation** dms- Thefor originalthe sense is what we meant, while the sake of access,etc. -- Seems acceptable onproposed this basis change ** gets into the 'how it is done'. Recommend REJECT BUT AGREE to change “compromises” weto reject“solutions” this **and reword the sentence to keep spirit of the suggestion. Add definition for "Archives" - The DOCUMENTS created or SUPPORTING ANALYSIS received and accumulated by a person or organization in the The use of archive, archives, and temporarycourse archives of the is conduct of affairs, and preserved because of confusing. These changes clarify the terms.their Also continuing designers value. Historically, the term referred more and architects play no role in the body ofnarrowly the reference to the NONCURRENT RECORDS of an organization or model, so the sentence is irrelevant to theinstitution document. preserved because of their continuing value. ** dms- Designers and architects are mentioned2) The severalbuilding or part of a building where archival places in the document as primary beneficiariesmaterials of arethe located; also referred to as an archival reference model, so this rationale is notrepository. correct, but I find the changes acceptable ** 3) The AGENCY or program responsible for selecting, acquiring, preserving, and making available archival DISPOSITION materials; also referred to as an archivalDISPOSITION: agency, archival institution, or archival program. TBD after review of the ISO definition identified. **dms- We define 'archive' as an organization that intends to preserve information. We intend 'archives'6) PAGE to NUMBER: be the 1-10 PARAGRAPH NUMBER: 1.7.2 plural form. We do not use it to refer toRID the SHORT documents TITLE: Terminology - Definition of Format being preserved nor to just the building in which they are housed. Therefore our usage, in singularDESCRIPTION form, is more OF REQUESTEDin CHANGE: (Use From: ~..." To -..." line with definition 3 above. Do we needformal) to define 'archives' as the plural form of 'archive' to help avoid confusion with 'documents'? ** NATIONAL ARCH 1

SUPPORTING ANALYSIS: Delete the definition of format. The change to archive adds clarification to the document. The new definition of archives adds consistencySupporting with ANALYSIS: other archival Standard definitions within the TheInternational concept of "format", by itself is not addressed in the Council on Archives (ICA) Glossary. body of the document. e.g., there are "file formats" and ** dms- We should check this glossary. Perhaps"data formats" we need butto not format alone. As a result, the term note these other uses of the term 'archives'only andadds make confusion, clear particularly using words like this is not our intended usage.** "sequential organization" and "components" in the definition which are not further defined elsewhere. DISPOSITION: ** dms- While format is sometimes used alone, it is then a REJECT – we use OAIS specifically to avoidshort the handoverloaded for 'data format' or 'format of a piece of definition of “Archive(s)”. However we willdata'. add aI “(S)”have no problem with deleting the definition of after Archive and organisation in the glossary'format' definition because asof a general concept it is a bit abstract. Archive to make ourselves clear. I think format is generally understood sufficiently to not 4) PAGE NUMBER: 1-8,4-25, PARAGRAPH NUMBER:need 1.7.2, a special 4.2.1.4.2 definition ** RID SHORT TITLE: Terminology - Definition of Context Information DISPOSITI0N: ------AGREED DESCRIPTION OF REQUESTED CHANGE: (Use From: " ... To ".. " format) 7) PAGE NUMBER: 3 .2 PARAGRAPH NUMBER 3.2.2 As part of the definition of "Context Information",RID SHORT TITLE delete: Paragraph titled" Copyright implications" the last 2 words, "existing elsewhere". DESCRIPTION OF REQUESTED CHANGE: (Use From: -...~ To "..." SUPPORTING ANALYSTS: format) This change to the "Context Information" Changewill add title Clarify of paragraph to "Copyright implications" (occurs the definition. The words "existing elsewhere"in 2 places, confuse paragraph the 2 and 3) to "Copyright implications, reader and create the unanswered questionintellectual of Where might property and other legal restrictions on use". these other objects exist?" For the standardAdd newit isfirst not sentence to paragraph 3: "An archive will important where they might exist. honor all applicable legal restrictions." ** dms- Seems acceptable. ** Supporting ANALYSIS: DISPOSITION: Addressing only copyright is misleading. This section needs AGREED to be broadened and should be more general in dealing with 5) PAGE NUMBER 1-8 PARAGRAPH NUMBER:legal 1.7.2 issues related to intellectual property and other RID SHORT TITLE: Terminology - Definitionlegal of Data restrictions, eg., National security classifications and Privacy Act. DESCRIPTlON OF REQUESTED CHANGE: (Use From:** dms-"...~ I Tothink ~ this is an improvement and should be Delete the current definition of data, andincorporated. use the ISO See following RID for rest of the definition. recommended change **

SUPPORTING ANALYSIS: DISPOSITION This change will add consistency across standards.AGREED ** dms- I requested identification of the8) ISO PAGE document, NUMBER as PARAGRAPH NUMBER: 3.2.1, 3.2.2 our original definition was taken from anRID ISO SHORT document. TITLE: I've received a response saying it could be found in ANSI X3.172-1990, Dictionary for Information Systems.DESCRIPTION It OFcites REQUESTED CHANGE: (Use From: u t. To "... ISO 2382, Vocabulary - Information Systems,format) as the source of the definition of data. We should checkChange this all definition but the first sentence of the first paragraph of to see if it is acceptable. ** 3.2 2 from "When acting as a custodian, the OAIS may need to involve the actual owner (s)) in some migrationspelled andout accessin the text of this section. Better name for decisions depending on the authority it hasthis been set grantedof functions? to ** act independently. When it is the legal owner, it already has the independence to do what is requiredDISPOSITION to preserve the information and make it available." to "WhenREJECT acquiring change simplyleg&1 to “Migrate” as this is too broad a ownership from the producer or any other term.entity, However the OAIS it is recognized that “Migrate Media” could be should ensure that the transfer of ownershipmisleading. clearly Therefore change this to “Replace Media” specifies any limitations imposed by the former owner and that its subsequent actions to preserve the10) informationPAGE NUMBER:4-23 and PARAGRAPH NUMBER: 4 make it available conform with these limitations.RID SHORT WhenTITLE the: Paragraph beginning in summary OAIS accepts information solely as a custodian, the OAIS should establish an agreement with the ownerDESCRIPTION which specifics OF REQUESTED CHANGE: (Use From: "...- To "..." what involvement the owner will have in preservation,formal) management or release of the information.Incorrect In most cases,reference: it Last sentence refers readers to will be preferable for the OAIS to negotiateSubsection an agreement 6.2, reference is incorrect, and it is unclear which specifies the (prior) owners requirementswhat the and reference should be. authorizes the OAIS to act in accordance with those requirements without active involvement ofSUPPORTING the (prior) ANALYSIS: owner in individual cases This is a factual error needing correction. ** dms- This should have been 5.2, Access Preservation. SUPPORTING ANALYSIS: Accept change ** The current draft assumes that in situations where an OAIS owns the information it preserves, it hasDISPOSITION unrestricted discretion over the actions it takes. In ACCEPTfact, in many cases where an OAIS acquires ownership from another11) PAGE entity, NUMBER: the 4~2 PARAGRAPH NUMBER: 4.1 transfer is effected by a deed of gift orRID other SHORT legal TITLE : Functional Model, Administration instrument which includes limitations on the OAIS's discretion. The recommended revision addressesDESCRIPTION this factOF REQUESTED It CHANGE: (Use From: "...~ To '. " also suggests that in either a custodial format)or owner role, it is advantageous for the OAIS to have any Inlimitations the paragraph on its titled "Administration" add the following discretion expressed in categorical termsphrase which tominimize end of the first sentence: "which could include occasions when another owner or party is theactively hardware, involved software and telecommunications." in specific decisions. ** dms- I think this improves the paragraphSUPPORTING and recommend ANALYSIS: it be accepted. ** Within Section 4 of the reference model, there is no stated function for the entity which is responsible for the actual DISPOSITION: operation of the system infrastructure (operations and AGREED maintenance of the hardware, software and telecommunications). This may be implicit' in the 9)PAGE NUMBER: 4-6, 4-7, 5-1 thru 5- 4 PARAGRAPHAdministrative NUMBER: function, however, the function as currently 4,1,1,3, 5.1, 5,1,3, 5.2 described focuses on oversight not actual operations. The RID SHORT TITLE: Paragraph titled "Migratechange Media" as described above will make the function explicit. ** dms- I think the issue here is whether there is an DESCRIPTION OF REQUESTED CHANGE: (Use From:entity "..." that To ish...'l 'responsible for the actual operation of the format) system infrastructure'. Is the operation and maintenance Change title of paragraph which begins withof the"The hardware Migrate and software for each function handled by Media function" to "The Migration function"that Change functions, the or is there a general support sub-function "Migrate Media" block in figure 4-3 to "Migration"for this? Administration has a 'Manage System Make Section 5.1, 5.2 consistent with thisConfiguration', title change. but does not talk about actually operating any systems. Needs discussion. ** SUPPORTING ANALYSIS: This name change is more general and betterDISPOSITION encompasses the four migration types identified in SectionREJECT 5.1.3., this adding section already states that “This entity clarification to the document. manages the overall operation of the archive system.” We ** dms- The 'migrate media' function is archivalspecifically storage did not wish to imply any hiererarchy of covers the migration types of refreshment,management replication, or implementation. and repackaging, but NOT transformation. Calling this function 'migration' is too general, while 'migrate media' is perhaps too narrow. Basically, what this function does is migration as long as there is no change in the content information (i.e., there is no transformation). This is Discussion of additional comments in the meeting:

Section Last sentence Current versions reads as an apology i.e. “Finally it attempts to 1.1 define a maximal….., but it defines a minimal…” Suggest swapping the phrases to: “It defines a minimal set of responsibilities for an archive to be called an OAIS , and it also defines a maximal archive to provide a broad set of useful terms and concepts” AGREED Section 1st sentence Read literally we are led to understand that organisations are 1.3 exploding! Suggest changing “an explosion of organization” to “an explosion in the number of organization” AGREED Section 2nd bullet, last Change “…, but Replication can occur without all the 5.1.3 sentence constraints of Refreshment.” To “…, but may require changes to the Archival Storage mapping infrastructure.” For clarity. AGREED Section 3rd scenario, Change 5.1.3.4 penultimate “This approach is an advantage…” sentence to “This approach would be advantageous..” AGREED Section Bullets The use of the phrase “A Local Community...” to begin the 6.1 bullets is confusing. Suggest changing to: “- Independent – Archives motivated by local concerns, with no management or technical interaction among them - Cooperating – Archives with potential common producers, common submission standards, and common dissemination standards, but no common finding aids. - Federated – Archives with both Local and Global Communities, and having both local and global finding aids. The Local Community usually has priority over the Global Community. Global dissemination and Ingest are optional features. - Shared resources – Archives that have entered into agreements with other archives to share resources, perhaps 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.” AGREED Add definitions of Local Community and Global Community to Glossary AGREED