**OAIS RIDS Submitted by the US National Archives and Records
Administration**

**1999-10-26**

**VIL/99/P2/N13**

**REVEW ITEM DISPOSITION (RID )**

**AGENCY RID NUMBER NARA**

**SUBMITTING ORGANIZATlON (Agency, Center): NARA**

**REVIEWER\'S NAME: Mary Ann Hadyka**

**CODE**

**E-MAIL ADDRESS: MaryAnn.Hadyka@arch2.nara.go**

**TELEPHONE: (301) 713-7360 X222**

**DOCUMENT NUMBER: CCSDS 650.0-R-1 Red Book, issue**

**DOCUMENT NAME: OAIS Reference Model**

**DATE ISSUED: May 1999**

1\) **PAGE NUMBER:2-1 PARAGRAPH NUMBER: 2, 3, 4**

**RID SHORT TITLE:** \"OAIS CONCEPTS

**DESCRIPTION OF REQUESTED CHANGE:** (Use From: \"\" To \" format

Paragraph 2, Sentence 2, change: \"Traditionally, an archive\" to \"
Traditional archives\"

*\*\* dms- Seems acceptable \*\**

**AGREED**

Paragraph 3 -, Delete the sentence: \"Although some archives may be
temporary, some or all of their information my need to be preserved
indefinitely.\" Combine the next two sentences to read: \"Because much
of the supporting information necessary to preserve this information is
more easily available or only available at the time when the original
information is produced, these organizations need to be active
participants in the long-term preservation effort

*\*\* dms- This change removes the use of the term \'temporary archive\'
from the document. Seems acceptable dms -- should be further reworded
later \*\** **AGREED**

Paragraph 4 -delete the last sentence which begins with: \"The designers
and architects should document where compromises have been made. \...\"

*\*\* dms- This change has the effect of not encouraging compromises, in
active archvies, of preservation for the sake of access,etc. \-- Seems
acceptable on this basis \*\**

**REJECT BUT AGREE** to change "compromises" to "solutions" and reword
the sentence to keep spirit of the suggestion.

**SUPPORTING ANALYSIS**

The use of archive, archives, and temporary archives is confusing. These
changes clarify the terms. Also designers and architects play no role in
the body of the reference model, so the sentence is irrelevant to the
document.

*\*\* dms- Designers and architects are mentioned several places in the
document as primary beneficiaries of the reference model, so this
rationale is not correct, but I find the changes acceptable \*\**

**DISPOSITION**

See above for individual points

2\) **PAGE NUMBER: 1-7 PARAGRAPH NUMBER: 1.7.2**

**RID SHORT TITLE:** Terminology

**DESCRIPTION OF REQUESTED CHANGE:** (Use From: \"\...\" To \". .\"
format

Move the entire Terminology Section to the Annex and review all
definition against existing Standards definitions

**SUPPORTING ANALYSIS**

The terminology section in the front of the document confuses the
reader, since some of the definitions are not consistent with or what
are used in the actual body of the document, Therefore, it is more
appropriate to have this section as a reference. But the definitions
should be consistent throughout the document

*\*\* dms- The location of the terminology section can not be changed as
it is an ISO style. Any inconsistent use of terms needs correction \*\**

Many of the existing definitions are in conflict with current ISO
definitions, as well as other standards documents such as the Society of
American Archivists (SAA) Glossary. In addition, some of The definitions
are in conflict with definitions within the document. These have been
identified specifically in other comment sheets

*\*\* dms- ISO definitions are not consistent across all ISO documents.
We need specifics on which definitions are in conflict before any
changes can be made.\*\**

**DISPOSITION:**

**REJECT** this but we will ask for specific examples and also review
Glossary

3\) **PAGE NUMBER: 1-7 PARAGRAPH NUMBER: 1.7.2**

**RID SHORT TITLE:** Terminology - Definition of Archive

**DESCRIPTION OF REQUESTED CHANGE:** (Use From: \...\" To \....\"
format)

Change definition of Archive from \"An organization that intends to
preserve information\...\" to \"An organization that intends to preserve
archival information packages\...\"

*\*\* dms- The original sense is what we meant, while the proposed
change gets into the \'how it is done\'. Recommend we reject this \*\**

Add definition for \"Archives\" - The DOCUMENTS created or received and
accumulated by a person or organization in the course of the conduct of
affairs, and preserved because of their continuing value. Historically,
the term referred more narrowly to the NONCURRENT RECORDS of an
organization or institution preserved because of their continuing value.

2\) The building or part of a building where archival materials are
located; also referred to as an archival repository.

3\) The AGENCY or program responsible for selecting, acquiring,
preserving, and making available archival materials; also referred to as
an archival agency, archival institution, or archival program.

*\*\*dms- We define \'archive\' as an organization that intends to
preserve information. We intend \'archives\' to be the plural form. We
do not use it to refer to the documents being preserved nor to just the
building in which they are housed. Therefore our usage, in singular
form, is more in line with definition 3 above. Do we need to define
\'archives\' as the plural form of \'archive\' to help avoid confusion
with \'documents\'? \*\**

**SUPPORTING ANALYSIS:**

The change to archive adds clarification to the document. The new
definition of archives adds consistency with other archival Standard
definitions within the International Council on Archives (ICA) Glossary.

*\*\* dms- We should check this glossary. Perhaps we need to note these
other uses of the term \'archives\' and make clear this is not our
intended usage.\*\**

**DISPOSITION:**

**REJECT** -- we use OAIS specifically to avoid the overloaded
definition of "Archive(s)". However we will add a "(S)" after Archive
and organisation in the glossary definition of Archive to make ourselves
clear.

4\) **PAGE NUMBER: 1-8,4-25, PARAGRAPH NUMBER: 1.7.2, 4.2.1.4.2**

**RID SHORT TITLE:** Terminology - Definition of Context Information

\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\--

**DESCRIPTION OF REQUESTED CHANGE**: (Use From: \" \... To \".. \"
format)

As part of the definition of \"Context Information\", delete the last 2
words, \"existing elsewhere\".

**SUPPORTING ANALYSTS:**

This change to the \"Context Information\" will add Clarify to the
definition. The words \"existing elsewhere\" confuse the reader and
create the unanswered question of Where might these other objects
exist?\" For the standard it is not important where they might exist.

*\*\* dms- Seems acceptable. \*\**

**DISPOSITION:**

**AGREED**

5\) **PAGE NUMBER 1-8 PARAGRAPH NUMBER: 1.7.2**

**RID SHORT TITLE:** Terminology - Definition of Data

**DESCRIPTlON OF REQUESTED CHANGE:** (Use From: \"\...\~ To \~

Delete the current definition of data, and use the ISO definition.

**SUPPORTING ANALYSIS:**

This change will add consistency across standards.

*\*\* dms- I requested identification of the ISO document, as our
original definition was taken from an ISO document. I\'ve received a
response saying it could be found in ANSI X3.172-1990, Dictionary for
Information Systems. It cites ISO 2382, Vocabulary - Information
Systems, as the source of the definition of data. We should check this
definition to see if it is acceptable. \*\**

**DISPOSITION:**

**TBD** after review of the ISO definition identified.

6\) **PAGE NUMBER: 1-10 PARAGRAPH NUMBER: 1.7.2**

**RID SHORT TITLE**: Terminology - Definition of Format

**DESCRIPTION OF REQUESTED CHANGE:** (Use From: \~\...\" To -\...\"
formal)

NATIONAL ARCH 1

Delete the definition of format.

**Supporting ANALYSIS:**

The concept of \"format\", by itself is not addressed in the body of the
document. e.g., there are \"file formats\" and \"data formats\" but not
format alone. As a result, the term only adds confusion, particularly
using words like \"sequential organization\" and \"components\" in the
definition which are not further defined elsewhere.

*\*\* dms- While format is sometimes used alone, it is then a short hand
for \'data format\' or \'format of a piece of data\'. I have no problem
with deleting the definition of \'format\' because as a general concept
it is a bit abstract. I think format is generally understood
sufficiently to not need a special definition \*\**

**DISPOSITI0N:**

**AGREED**

7\) **PAGE NUMBER: 3 .2 PARAGRAPH NUMBER 3.2.2**

**RID SHORT TITLE**: Paragraph titled\" Copyright implications\"

**DESCRIPTION OF REQUESTED CHANGE:** (Use From: -\...\~ To \"\...\"
format)

Change title of paragraph \"Copyright implications\" (occurs in 2
places, paragraph 2 and 3) to \"Copyright implications, intellectual
property and other legal restrictions on use\". Add new first sentence
to paragraph 3: \"An archive will honor all applicable legal
restrictions.\"

**Supporting ANALYSIS:**

Addressing only copyright is misleading. This section needs to be
broadened and should be more general in dealing with legal issues
related to intellectual property and other legal restrictions, eg.,
National security classifications and Privacy Act.

*\*\* dms- I think this is an improvement and should be incorporated.
See following RID for rest of the recommended change \*\**

**DISPOSITION**

**AGREED**

8\) **PAGE NUMBER PARAGRAPH NUMBER: 3.2.1, 3.2.2**

**RID SHORT TITLE:**

**DESCRIPTION OF REQUESTED CHANGE:** (Use From: u t. To \"\... format)

Change all but the first sentence of the first paragraph of 3.2 2 from
\"When acting as a custodian, the OAIS may need to involve the actual
owner (s)) in some migration and access decisions depending on the
authority it has been granted to act independently. When it is the legal
owner, it already has the independence to do what is required to
preserve the information and make it available.\" to \"When acquiring
leg&1 ownership from the producer or any other entity, the OAIS should
ensure that the transfer of ownership clearly specifies any limitations
imposed by the former owner and that its subsequent actions to preserve
the information and make it available conform with these limitations.
When the OAIS accepts information solely as a custodian, the OAIS should
establish an agreement with the owner which specifics what involvement
the owner will have in preservation, management or release of the
information. In most cases, it will be preferable for the OAIS to
negotiate an agreement which specifies the (prior) owners requirements
and authorizes the OAIS to act in accordance with those requirements
without active involvement of the (prior) owner in individual cases

SUPPORTING ANALYSIS:

The current draft assumes that in situations where an OAIS owns the
information it preserves, it has unrestricted discretion over the
actions it takes. In fact, in many cases where an OAIS acquires
ownership from another entity, the transfer is effected by a deed of
gift or other legal instrument which includes limitations on the OAIS\'s
discretion. The recommended revision addresses this fact It also
suggests that in either a custodial or owner role, it is advantageous
for the OAIS to have any limitations on its discretion expressed in
categorical terms which minimize occasions when another owner or party
is actively involved in specific decisions.

*\*\* dms- I think this improves the paragraph and recommend it be
accepted. \*\**

**DISPOSITION:**

**AGREED**

9)**PAGE NUMBER: 4-6, 4-7, 5-1 thru 5- 4 PARAGRAPH NUMBER: 4,1,1,3, 5.1,
5,1,3, 5.2**

**RID SHORT TITLE**: Paragraph titled \"Migrate Media\"

**DESCRIPTION OF REQUESTED CHANGE:** (Use From: \"\...\" To h\...\'l
format)

Change title of paragraph which begins with \"The Migrate Media
function\" to \"The Migration function\" Change the \"Migrate Media\"
block in figure 4-3 to \"Migration\"

Make Section 5.1, 5.2 consistent with this title change.

**SUPPORTING ANALYSIS:**

This name change is more general and better encompasses the four
migration types identified in Section 5.1.3. adding clarification to the
document.

*\*\* dms- The \'migrate media\' function is archival storage covers the
migration types of refreshment, replication, 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 spelled out in
the text of this section. Better name for this set of functions? \*\**

**DISPOSITION**

**REJECT** change simply to "Migrate" as this is too broad a term.
However it is recognized that "Migrate Media" could be misleading.
Therefore change this to "Replace Media"

10\) **PAGE NUMBER:4-23 PARAGRAPH NUMBER: 4**

**RID SHORT TITLE**: Paragraph beginning in summary

**DESCRIPTION OF REQUESTED CHANGE:** (Use From: \"\...- To \"\...\"
formal)

Incorrect reference: Last sentence refers readers to Subsection 6.2,
reference is incorrect, and it is unclear what the reference should be.

**SUPPORTING ANALYSIS:**

This is a factual error needing correction.

*\*\* dms- This should have been 5.2, Access Preservation. Accept change
\*\**

**DISPOSITION**

**ACCEPT**

11\) **PAGE NUMBER: 4\~2 PARAGRAPH NUMBER: 4.1**

**RID SHORT TITLE**: Functional Model, Administration

**DESCRIPTION OF REQUESTED CHANGE:** (Use From: \"\...\~ To \'. \"
format)

In the paragraph titled \"Administration\" add the following phrase to
end of the first sentence: \"which could include the hardware, software
and telecommunications.\"

**SUPPORTING ANALYSIS:**

Within Section 4 of the reference model, there is no stated function for
the entity which is responsible for the actual operation of the system
infrastructure (operations and maintenance of the hardware, software and
telecommunications). This may be implicit\' in the Administrative
function, however, the function as currently described focuses on
oversight not actual operations. The change as described above will make
the function explicit.

*\*\* dms- I think the issue here is whether there is an entity that is
\'responsible for the actual operation of the system infrastructure\'.
Is the operation and maintenance of the hardware and software for each
function handled by that functions, or is there a general support
sub-function for this? Administration has a \'Manage System
Configuration\', but does not talk about actually operating any systems.
Needs discussion. \*\**

**DISPOSITION**

**REJECT**, this section already states that "This entity manages the
overall operation of the archive system." We specifically did not wish
to imply any hiererarchy of management or implementation.

Discussion of additional comments in the meeting:

+-------+-----------+-------------------------------------------------+
| Se    | Last      | Current versions reads as an apology i.e.       |
| ction | sentence  | "Finally it attempts to define a maximal.....,  |
| 1.1   |           | 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**                                      |
+-------+-----------+-------------------------------------------------+
| Se    | 1^st^     | Read literally we are led to understand that    |
| ction | sentence  | organisations are exploding!                    |
| 1.3   |           |                                                 |
|       |           | Suggest changing "an explosion of organization" |
|       |           | to "an explosion in the number of organization" |
|       |           |                                                 |
|       |           | **AGREED**                                      |
+-------+-----------+-------------------------------------------------+
| Se    | 2^nd^     | Change "..., but Replication can occur without  |
| ction | bullet,   | all the constraints of Refreshment."            |
| 5.1.3 | last      |                                                 |
|       | sentence  | To                                              |
|       |           |                                                 |
|       |           | "..., but may require changes to the Archival   |
|       |           | Storage mapping infrastructure."                |
|       |           |                                                 |
|       |           | For clarity.                                    |
|       |           |                                                 |
|       |           | **AGREED**                                      |
+-------+-----------+-------------------------------------------------+
| Se    | 3^rd^     | Change                                          |
| ction | scenario, |                                                 |
| 5.    | pe        | "This approach is an advantage..."              |
| 1.3.4 | nultimate |                                                 |
|       | sentence  | to                                              |
|       |           |                                                 |
|       |           | "This approach would be advantageous.."         |
|       |           |                                                 |
|       |           | **AGREED**                                      |
+-------+-----------+-------------------------------------------------+
| Se    | Bullets   | The use of the phrase "A Local Community\..."   |
| ction |           | to begin the bullets is confusing.              |
| 6.1   |           |                                                 |
|       |           | 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**                                      |
+-------+-----------+-------------------------------------------------+