May 16, 2012EDMC Workshop in College Park MDDan Kowal Trusted Digital Repositories: A New Audit Standard A Follow-on to the OAIS Dan Kowal, Data Administrator, NGDC Digital Preservation and Nuclear Disaster: An Animation

May 16, 2012EDMC Workshop in College Park MDDan Kowal OAIS Framework

May 16, 2012EDMC Workshop in College Park MDDan Kowal Trustworthiness Why an Audit? OAIS Archive ProvidersUsers Other Stakeholders

May 16, 2012EDMC Workshop in College Park MDDan Kowal Audit and Certification of Trustworthy Digital Repositories ISO Standard XXXXX TDR: ISO

May 16, 2012EDMC Workshop in College Park MDDan Kowal TDR Definition At the very basic level, the definition of a trustworthy digital repository must start witha mission to provide reliable, long-term access to managed digital resources to its Designated Community, now and into the future.

May 16, 2012EDMC Workshop in College Park MDDan Kowal Audit Structure Organizational Infrastructure Digital Object Management Infrastructure and Security Risk Management.

May 16, 2012EDMC Workshop in College Park MDDan Kowal Organizational Infrastructure Governance & Organizational Viability Organizational Structure & Staffing Procedural Accountability & Preservation Policy Framework. Financial Sustainability Contracts, Licenses & Liabilities.

May 16, 2012EDMC Workshop in College Park MDDan Kowal Digital Object Management Ingest: Acquisition of Content Ingest: Creation of the AIP Preservation Planning AIP Preservation Information Management Access Management

May 16, 2012EDMC Workshop in College Park MDDan Kowal Risk Management Technical Infrastructure Risk Management. Security Risk Management.

May 16, 2012EDMC Workshop in College Park MDDan Kowal Discussions with Data Managers Reviewed examples of TDR criteria. Internal vs. External audit. Surface vs. Deep Dive. TDR Checklist Eval. for the DOM.

May 16, 2012EDMC Workshop in College Park MDDan Kowal TDR Checklist Eval. Do the DMs understand the criteria? –45 DOM criteria / 37 for DMs. –Discussed some in depth at DM Mtg. –One confirmed reading support doc. –One 1-on-1 session with DM. –3 weeks given to review criteria – flag those they dont understand. –

May 16, 2012EDMC Workshop in College Park MDDan Kowal Results of TDR Eval 6 DMs responded Most tried to evaluate their data sets. What dont you understand? –No indication by two DMs. They only made it through half the questions. –1 to 11 questions flagged. 1 DM did not submit spreadsheet results: –evaluation criteria not particularly clear –It appears that the DOM portion of TDR Certification is very narrowly directed at the OAIS…and not necessarily applicable to the broad and varied world of data management systems at NGDC.

May 16, 2012EDMC Workshop in College Park MDDan Kowal Next Steps Clarify Criteria Further. Remove some of the Criterion? What dont apply? Expectations for assessment feedback. Implementation plan for the audit. –Pick a few data sets. –Include in the data migration to CLASS. Answer the first question: Is TDR certification in NGDCs best interest?

May 16, 2012EDMC Workshop in College Park MDDan Kowal Org. Infrastructure Example. 1.The repository shall have a mission statement that reflects a commitment to the preservation of, long term retention of, management of, and access to digital information. 2.The repository shall have a Preservation Strategic Plan that defines the approach the repository will take in the long-term support of its mission. 3.The repository shall have a Collection Policy or other document that specifies the type of information it will preserve, retain, manage and provide access to.

May 16, 2012EDMC Workshop in College Park MDDan Kowal Org. Infrastructure Metric Ex.:

May 16, 2012EDMC Workshop in College Park MDDan Kowal Org. Infrastructure Metric Ex. 2:

May 16, 2012EDMC Workshop in College Park MDDan Kowal Digital Object Element Ex.:

May 16, 2012EDMC Workshop in College Park MDDan Kowal TDR characteristics 108 audit metrics. TDR Board Approves, Audit Teams has to have certifiable credentials. Bi-directional connections emphasized. PDI Representation Info Emphasized.

May 16, 2012EDMC Workshop in College Park MDDan Kowal TDR Audit Eval. Form AspectCriterionExplanationOccurs (Y/N)Evidence B.5 Information Management B5.2 Repository captures or creates minimum descriptive metadata and ensures that it is associated with the archived object (i.e., AIP). Does the Archive receive its required metadata from the Data Provider or does it supply some metadata itself during ingest?Y Archive usually creates its own metadata. Some exceptions occur where the originator supplies metadata. B.2 Ingest: creation of the archivable package B2.7. Repository demonstrates that it has access to necessary tools and resources to establish authoritative semantic or technical context of the digital objects it contains (i.e., access to appropriate international Representation Information and format registries). Do your file formats subscribe to well known standards that are referenced in a technical repository that defines the format and the tools to access them?Y/N That depends on the dataset. Data in the Index to Marine and Lacustrine Geological Samples, the "073" grainsize database, and the DSDP/ODP/IODP datasets all conform to well established, well documented standards.

May 16, 2012EDMC Workshop in College Park MDDan Kowal References Center for Research Libraries – TDR –Audit ChecklistAudit Checklist –ISO 16919, entitled, Requirements for Bodies providing Audit and CertificationISO 16919, entitled, Requirements for Bodies providing Audit and Certification Primary Trustworthy Digital Repository Download the ISO Standard

May 16, 2012EDMC Workshop in College Park MDDan Kowal Archive Audit -Summary 21 How well does NGDC comply to the Open Archive Information System Standard? Trusted Digital Repository Audit Certification - ISO 16363:2012 Defines a recommended practice for assessing the trustworthiness of digital repositories Three Stage Process: -Self Audit -External Audit Team Review -Audit Team Final Report Audit Covers: Organizational Structure Digital Object ManagementInfrastructure and Security Risk 25 Measures45 Measures17 Measures e.g. Repository has the appropriate number of staff to support all functions and services. e.g. Repository identifies properties it will preserve for digital objects. e.g. Repository manages the number and location of copies of all digital objects. Status: -STP Deep Dive Review in TDR Education Overview in Documentation Collection in 2012