[Moims-dai] RE: ILCP sections action item

esther.conway at stfc.ac.uk esther.conway at stfc.ac.uk
Fri Feb 20 14:54:20 UTC 2015

HI All,

Some thoughts on operations stage:

Operation Stage Overview:

Stage Objectives:

The core objective of this stage is to capture data and RepInfo , carry out initial preservation action to initiate active preservation management within an OAIS archive.

Scenarios covered:

Acquisition of data directly from Projects/Producers where “traditional Data Management Plan route is used”  Where advice can be provided from archive service or  centre of expertise prior to data generation

Post Project Data Deposit Request: Where data has already been generated and a deposit request is then sent to an archive

Rescue/Recovery from External Archives: Where an external archive losing funding or becomes unstable and custody of holdings are transferred

Bring Historical Archives into Active Preservation Management which involves the conversion of non compliant holdings to OAIS compliance

I would like to introduce the concept/term of bringing existing Archive holdings into Active Preservation Management, where the act of treating existing data within an archive for example by conducting format audit risk assessment. adding RepInfo, adding parameter terms to for example CF standard names list etc. There is not necessarily a physical transfer or ingest of data, but a conversion to OAIS compliance through creation of a logical AIP

Actors Responsibility:  Data producers, External Archive, Funders, Responsible officers for Historic Data, Designated Community  and OAIS Archive

Stage Inputs:
Strategic Value of Data Set
Preservation Objectives
Data Production Plan
Acquisition Plan (includes description of data for active preservation management)

Stage activities:

Generation/Collection (Acquisition)/Activate Preservation Management (assessment of initial holdings volume, number of files, location etc)
Validation: Activity to validate digital objects and RepInfo for for format, standards compliance, quality , completeness and sufficiency etc
Initial Risk Assessment: Acquired data holdings are risk assessed with respect to preservation objectives and designated community
Treatment (I would consider these to be initial preservation actions done in conjunction with project): Reprocessing, Transformation, Emulation/Virtualisation, citation, Semantics (inclusion in data dictionary); RepInfo (including software preservation) etc.
Post Treatment Risk Assesment
Storage: New storage for new acquisition
Access: Generation of access and descriptive metadata

Stage Output :
Strategic Value of Data Set
Preservation Objectives
Acquisitions (PDSC)
Preservation Solutions (newly generated or associated with
Optimizations (value add)

Risk Assessment (including Risk acceptance):  This includes risk level for archive holdings and risk acceptance justifications for Data Gaps, Poor Quality data (important for archive accountability) quality, lack of RepInfo (e.g data was  produced in proprietary format which could not released)

Monitoring Plan: action for preservation watch, monitoring of designated community, external resources to be associated with holdings etc.(the monitoring plan drives the maintenance activities in next OAIS stage)

Preservation plans:  Planned preservation activities not completed by project end (for example where software is evolving in the community and should be captured at later date) or proprietory format description to be captured at later date.

Best Regards


From: John Garrett [garrett at his.com]
Sent: 20 February 2015 06:51
To: 'Mike Martin'; 'Boucon Daniele'; Conway, Esther (STFC,RAL,RALSP); 'Don Sawyer'; 'Bob Downs'; Giaretta, David (STFC,RAL,RALSP); 'MOIMS DAI List'
Subject: RE: ILCP sections action item


I've taken an initial crack at the paragraph for Archival stage of the
lifecycle. Significant parts of this have been lifted from OAIS Section 2
and I have tried to make only minimal changes to the descriptions there.


The actors in the proposal stage are the (Data and Information) Providers
(Projects, individual providers, other Archives), Archives Management, the
Archives itself, and the (Data and Information) Consumers.

An OAIS Archives is defined in detail in the OAIS Reference Model. The
Archives identified in the Archival Stage encompasses not only the
responsibilities and functions defined for an OAIS Archives, but in addition
also may fulfill a number of other information stewardship and curation
responsibilities often associated with Data Distribution Centers,
development of value-added information, .

Outside the OAIS are Producers, Consumers, and Management.
- Producer is the role played by those persons, or client systems,
which provide the information to be preserved. Ideally all pertinent data
and information will have been available in the Operations Stage and the
Operations Center will act as the Producer to hand over the information to
the long-term OAIS Archives at the appropriate, agreed upon points in the
information lifecycle.
- Management is the role played by those who set overall OAIS policy
as one component in a broader policy domain, for example as part of a larger
organization. In other words, Management control of the OAIS is only one of
Management's responsibilities. Management is not involved in day-to-day
Archive operations. The responsibility of managing the OAIS on a day-to-day
basis is included within the OAIS in an administrative functional entity
that will be described in 4.1Archives. Management will also interact with
wider concerns such as interactions with Sponsors.
- Consumer is the role played by those persons, or client systems,
that interact with OAIS services to find and acquire preserved information
of interest. A special class of Consumers is the Designated Community. The
Designated Community is the set of Consumers who should be able to
understand the preserved information. A given individual or system may act
in the role of both a Consumer and a Producer.

Other OAIS Archives may also interact with the identified OAIS Archives.
Such Archives may establish particular agreements among themselves
consistent with Management and OAIS needs. Other Archives may interact with
a particular Archive for a variety of reasons and with varying degrees of
formalism for any pre-arranged agreements. One OAIS may take the role of
Producer to another OAIS; an example is when the responsibility for
preserving a type of information is to be moved to this other Archive. One
OAIS may take the role of Consumer to another OAIS; an example is when the
first OAIS decides to rely on the other OAIS for a type of information it
seldom needs and chooses not to preserve locally. Such reliance should have
some formal basis that includes the requirement for communication between
the Archives of any policy changes that might affect this reliance.

Key Points: Long-term preservation.
Deliverables: Archive Plans, Goals and Objectives, Data Management Plans.
Archive Support Plan.
Standards: OAIS Reference Model; PAIS, PAIMAS; RAC TDR Metrics; RAC TDR
Auditing Guidelines; TBD
(No Use Cases in CCSDS Standards)

-----Original Message-----
From: Mike Martin [mailto:tahoe_mike at sbcglobal.net]
Sent: Thursday, February 19, 2015 3:47 PM
To: Boucon Daniele; esther.conway at stfc.ac.uk; garrett at his.com; Don Sawyer;
Bob Downs; david.giaretta at stfc.ac.uk
Subject: ILCP sections action item

Hi everyone

Per our action item from the Feb 6th telecon, here is my attempt at a brief
overview for the Proposal stage of the life cycle.

Thanks, Mike

Proposal Stage

The actors in the proposal stage are Sponsors, Projects and Archives.
Sponsors should have a well-defined charter that identifies their domain of
interest. Within the domain, programs are identified for specific research
topics. Sponsors bring in domain experts from existing projects and
interest groups to develop strategic plans and objectives for the programs
as well as long term schedules to fulfill the plans and objectives.
Sponsors issue calls for proposals that will fit into the programs they have
defined. These calls should include directives for publication of results
and the disposition of resulting information objects, including requirements
to deliver them to an archive.

Projects respond to these program calls by developing proposals. The
proposals describe research projects that corresponds to the program
objectives. The proposer will prepare a data management plan that
identifies the information gathering system, data processing system and the
information objects that will be produced. The proposal should identify the
cost of delivering useful archive products and a preliminary risk
assessment. The proposer will often have to work with an archive to
understand the standards in place and the mechanisms for delivering
information objects. The archive will need to provide documentation on it
standards and archive cost estimation tools.

The Archive will be a co-signatory to at least the Data Management Plan.
The archive needs to develop a support plan that identifies the cost and
resources that will be required to support the Project. These resource
requirements need to be integrated into the Archive's long term budget and

Key Points: Costs and other considerations for delivering useful archive
products need to be identified in proposal phase. The target archive system
should also be identified and involved in the proposal process.
Deliverables: Strategic Plans, Program Goals and Objectives, Calls for
Proposals, Proposals, Data Management Plans. Archive Support Plan.
Standards: Each sponsor will have their own internal standards for Best
Practices: TBD.
Use Case: A NASA Discover Announcement of Opportunity?

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