Uncertainty & Organizations: SAA Research Forum Portland, OR 25 July 2017 Uncertainty & Organizations: The Social Construction of Risk in the Audit and Certification of Trustworthy Digital Repositories Rebecca D. Frank Ph.D. Candidate University of Michigan School of Information frankrd [ at] umich [dot] edu @frankrd

Background SAA Research Forum Portland, OR 25 July 2017 Rebecca D. Frank

Digital Preservation & Risk SAA Research Forum Portland, OR 25 July 2017 Digital Preservation & Risk “risk is defined as the combination of the probability of an event and its consequences” Barateiro, J., Antunes, G., Freitas, F., & Borbinha, J. (2010). Designing Digital Preservation Solutions: A Risk Management-Based Approach. International Journal of Digital Curation, 5(1), 4–17. https://doi.org/10.2218/ijdc.v5i1.140 Rebecca D. Frank

Theoretical Framework SAA Research Forum Portland, OR 25 July 2017 Theoretical Framework Rebecca D. Frank

SAA Research Forum Portland, OR 25 July 2017 Research Questions How do standards developers and auditors conceptualize risk in the context of ISO 16363? What are the differences and similarities by which standards developers and auditors understand risk as it has been communicated by ISO 16363? To what degree do the following seven factors come into play in the assessment of risk for digital repositories: communication, complexity, expertise, organizations, trust, uncertainty, and vulnerability? Rebecca D. Frank

Methods SAA Research Forum Portland, OR 25 July 2017 Rebecca D. Frank https://flic.kr/p/ovj778 Rebecca D. Frank

Data Collection Interviews n SAA Research Forum Portland, OR 25 July 2017 Data Collection Interviews n CRL: TRAC Auditors, Audit Advisory Panel Members 10 PTAB: Standards Developers, PTAB Board Members (now accredited to conduct ISO 16363 audits) 10* (*Note: 9/10 participants from the PTAB group were asked this question during the interview.) Rebecca D. Frank

Participants CRL PTAB Total Role Administration 4 Digital Preservation SAA Research Forum Portland, OR 25 July 2017 Participants CRL PTAB Total Role Administration 4 Digital Preservation 6 12 IT 3 10 9 19 Rebecca D. Frank

Findings SAA Research Forum Portland, OR 25 July 2017 Rebecca D. Frank https://flic.kr/p/ovj778 Rebecca D. Frank

Sources of Risk Risk Sources CRL PTAB Number of Interviewees (total) SAA Research Forum Portland, OR 25 July 2017 Sources of Risk Risk Sources CRL PTAB Number of Interviewees (total) Financial 8 5 13 Technology 6 14 Governance 7 2 9 Processes 3 People 1 Legal Rebecca D. Frank

Sources of Risk: Financial SAA Research Forum Portland, OR 25 July 2017 Sources of Risk: Financial “Financial. It seems like storage always seems to be an issue. I think staff expertise has to be hired and as repositories grow more people are required and with greater realms of expertise. So it's all finance.” (CRL_04) Rebecca D. Frank

Sources of Risk: Technology SAA Research Forum Portland, OR 25 July 2017 Sources of Risk: Technology “A change in technology. The idea that you really have to have somebody watching what's going on all the time.” (PTAB_01) Rebecca D. Frank

Factors in the Social Construction of Risk SAA Research Forum Portland, OR 25 July 2017 Factors in the Social Construction of Risk Risk Factors TRAC PTAB Number of interviewees (total) Uncertainty 4 7 11 Organizations Vulnerability 3 2 5 Communication 1 Expertise Trust Complexity Rebecca D. Frank

SAA Research Forum Portland, OR 25 July 2017 Uncertainty “It is almost impossible to prove success … you really cannot prove the long term digital preservation success to the satisfaction of your donors or your financial supporters.” (PTAB_06) Rebecca D. Frank

SAA Research Forum Portland, OR 25 July 2017 Organizations “It would be organizational support. Bottom line is it's a tremendous amount of resources required to do long-term preservation. Organizational commitment to those types of resources often waxes and wanes.” (CRL_06) Rebecca D. Frank

Theoretical Framework SAA Research Forum Portland, OR 25 July 2017 Theoretical Framework Rebecca D. Frank

Next Steps SAA Research Forum Portland, OR 25 July 2017 https://flic.kr/p/ovj778 Rebecca D. Frank

Next Steps Additional risks identified across interviews SAA Research Forum Portland, OR 25 July 2017 Next Steps Additional risks identified across interviews Combine with data from interviews with repository staff (n=21) Explore additional factors e.g. Political Culture Look for co-occurring factors Rebecca D. Frank

Acknowledgments Advisor: SAA Research Forum Portland, OR 25 July 2017 Acknowledgments Advisor: Elizabeth Yakel, Ph.D., University of Michigan School of Information Committee: Paul Conway, Ph.D., University of Michigan School of Information Paul Courant, Ph.D., University of Michigan Ford School of Public Policy & School of Information Shobita Parthasarathy, Ph.D., University of Michigan Ford School of Public Policy Rebecca D. Frank

Rebecca D. Frank @frankrd frankrd [ at] umich [dot] edu SAA Research Forum Portland, OR 25 July 2017 Uncertainty & Organizations: The Social Construction of Risk in the Audit and Certification of Trustworthy Digital Repositories Rebecca D. Frank @frankrd frankrd [ at] umich [dot] edu