RDA Workshops – Group outputs / certificationChristopher Brown

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RDA Workshop Groups

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» Group 1 –  Trust and Certification› RDA/WDS Certification of Digital Repositories Interest Group › Repository Audit and Certification DSA–WDS Partnership WG

» Group 2 – Data Citation› Data Citation Working Group

» Group 3 – Metadata Standards› Metadata Standards Catalog Working Group › Metadata Standards Directory WG

» Group 4 – Publishing Data› RDA/WDS Publishing Data Interest Group› RDA/WDS Publishing Data Workflows WG› RDA/WDS Publishing Data Services WG

Trust and Certification

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» Group 1 –  Trust and Certification› RDA/WDS Certification of Digital Repositories Interest Group › Repository Audit and Certification DSA–WDS Partnership WG

Lesley Rickards (British Oceanographic Data Centre)Ingrid Dillo (DANS)

Trustworthy digital repositories

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» Lesley Rickards (British Oceanographic Data Centre)» Trustworthy digital repositories – Why?

› Data created and used by scientists should be managed, curated, archived, and made accessible

› Researchers (and others) must be certain that data held in repositories remain useful and meaningful into the future

› Funders increasingly likely to mandate open data and data management policies

› Science publishers may stipulate data must be deposited in a trustworthy repository

DSA and WDS

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» Data Seal of Approval (DSA) and World Data System (WDS) came together in a WG under the auspices of the RDA Interest Group on Repository Audit and Certification

» Goal was to harmonise core certification requirements and procedures, ultimately setting the stage for a global shared framework including other standards

» Broader goal: to inspire trust, which is at the heart of sharing and archiving data. Trust among: Users, Depositors, Funders

» Understand threats to and risks within its systems» Encourage regular cycle of audit and/or certification

16 Core Requirements

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» Organisational infrastructure

» Digital object management

» Technology

http://tinyurl.com/pm9sflp

Impact

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» Will provide a step towards having more coherent, increasingly stringent and compatible standards for repository certification

» DSA–WDS certification standard adoption will create a critical mass of certified repositories across a range of domains and disciplines

» Data Collectors, Funders, Publishers and Users – deliverable inspires trust, which is at the heart of sharing and archiving data

Towards a global certification framework

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Certification of the DANS repository

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» Ingrid Dillo (DANS)» DANS = founding father of DSA, handed over to an

international board» Involved in the development of other standards

(DIN/Nestor, WDS)» Involved in certification activities within RDA » Certification of the DANS repository - Electronic Archiving

System (EASY)› 2011: certification of the DANS repository becomes an

important target in long term policy strategy› 2011: DSA seal - 2 year lifecycle (not for life)› 2011: ISO test audit› 2013: renewal DSA seal› 2014-2015: nestorSeal, WDS accreditation› 2017: WDSA core requirements

DSA certification in practice

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» Broad in scope› Broad range of topics: organisational, staffing, financial and legal

aspects, archival workflows, IT-infrastructure, risk management, etc.› Properly describing policies, processes, etc.› Development of missing policies, processes, IT- and infrastructural

elements, etc» Organisational aspects

› Management level responsibility for achieving the target› Core cert team: planning, discussing, monitoring and partly

executing the work› Many DANS colleagues with specific expertise temporarily involved

in the work» Effort involved (highly dependent on level of entry)

› For all 16 guidelines – 2 weeks for self-assessment › Still need to do real work in order to comply with the guidelines› Effort rises as climb to an extended and formal cert level

DSA Renewal

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» Total effort: around 250 hours of work› Policies 26

hours› Technical development 106 hours › Writing the self-assessment 98 hours› Project management 16 hours

» NCDD (National Coalition Digital Sustainability) survey 2016› Orientation phase:

– 80% of respondents estimated an investment of up to 20 hours.› Preparation (self-assessment) phase:

– 50% up to 100 hrs.; 30% up to 200 hrs.› Peer review process:

– 50% up to 50 hrs.; 30% up to 100; 12% up to 200 hrs

nestor Seal

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» Extended certification (2015)› Extended self assessment based on the 34 criteria of DIN

31644 › Procedures defined by the German NESTOR group› Review of self assessment by two NESTOR reviewers› End result = nestor Seal (http://d-nb.info/1047613859/34) › The criteria build on the DSA guidelines› Required a large effort - around 1500 hours of work› Around half of all DANS colleagues involved in some way at

some point

nestor Seal criteria

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C1 Selection of information objects and their representations C2 Responsibility for preservation C3 Designated communities C4 Access C5 Interpretability C6 Legal and contractual basis C7 Legal conformity C8 Funding C9 Personnel C10 Organisation and processes C11 Preservation measures C12 Crisis / successorship management C13 Significant properties

C14 Integrity: Ingest interface C15 Integrity: Functions of the archival storage C16 Integrity: user interface C17 Authenticity: Ingest C18 Authenticity: Preservation measures C19 Authenticity: Use C20 Technical authority C21 Submission information packages C22 Transformation of the submission information packages into archival information packages C23 Archival information packages C24 Interpretability of the archival information packages

C25 Transformation of archival information packages into dissemination information packages C26 Dissemination information packages C27 Identification C28 Descriptive metadata C29 Structural metadata C30 Technical metadata C31 Logging the preservation measures C32 Administrative metadata C33 IT infrastructure C34 Security

nestor Seal

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» Why do repositories invest in certification efforts?› Builds stakeholder confidence in the repository (funders, publishers,

etc.)› Raises awareness about digital preservation› Improves communication within the repository› Improves repository processes› Ensures transparency › Differentiates the repository from others

» NCDD survey 2016: perceived benefits› “awareness raising about digital preservation”, “stakeholder

confidence” › “improved internal processes, documentation and opportunities

to attract data producers as well as data consumers.”» Lessons learned

› Commitment from the top is crucial› Broad support within the organisation is needed› Use the framework: do not aim too high at once

Questions

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» Were you already familiar with the existence of certification standards for digital repositories before this workshop?

» And if so, has your view on certification changed after this talk and in what way?

» As a repository manager: would you consider a certification and why (not)?

» As another stakeholder (funder, publisher, researcher): would a certification add to the trustworthiness of a repository?

jisc.ac.uk

Further information

Christopher Brown

Senior Co-design Managerchristopher.brown@jisc.ac.uk@chriscb

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