Co-funded by the European Union under FP7-ICT aparsen.eu #APARSEN Audit & Certification: an auditors perspective Barbara Sierman, KB National Library of the Netherlands

Barbara Sierman, KB-NL Co-funded by the European Union under FP7-ICT aparsen.eu #APARSEN The history : Infrastructure and Security Risk Management 2002 OAIS ISO published (updated 2012) Par. 1.5: standard(s) for accreditation of archives Checklist for Certification of Trusted Digital Repositories (RLG/NARA) Testaudits performed by RLG 2007 DRAMBORA (2007), NESTOR (2006) Trusted Repositories Audit and Certification final report.(OCLC,CRL) (Input for Repositories Audit and Certification Working Group (RAC-WG) ISO Audit and Certification of Trustworthy Digital Repositories (RAC-WG) Draft ISO Requirements for bodies providing Audit and Certification for candidate trustworthy repositories (RAC-WG)

Barbara Sierman, KB-NL Co-funded by the European Union under FP7-ICT aparsen.eu #APARSEN The standard ISO Audit and Certification of Trustworthy Digital Repositories : Infrastructure and Security Risk Management Organisational Infrastructure Digital Objects Management Infrastructure and Security Risk Mgmt. Metrics Statement of requirement Supporting text Examples: repository demonstrates it is meeting this requirement Discussion

Barbara Sierman, KB-NL Co-funded by the European Union under FP7-ICT aparsen.eu #APARSEN TRAC 2005 TRAC 2007 ISO Comparison

Barbara Sierman, KB-NL Co-funded by the European Union under FP7-ICT aparsen.eu #APARSEN European Framework for Audit and Certification of Thrustworthy Repositories Three levels of certification:  Basic certification : Data Seal of Approval  Extended certification Self – assesment against DIN or ISO  Formal certification Formal audit against ISO or DIN European Framework

Barbara Sierman, KB-NL Co-funded by the European Union under FP7-ICT aparsen.eu #APARSEN The APARSEN test audits ISO and DIN (developed by German Nestor Group) (in-) formal audit via ISO Testing of practical use of (draft) standards Metrics understandable and usable Consistency in evaluation of the evidence How much effort and time is needed for a repository Is the standards applicable on different kind of repositories?

Barbara Sierman, KB-NL Co-funded by the European Union under FP7-ICT aparsen.eu #APARSEN Europe Data Archiving and Networked Services(DANS), UK Data Archive (UKDA), Centre Informatique National de l’Enseignement Supérieur: Département Archivage et Diffusion (CINES-DAD) German National Library (DIN standard) United States Socioeconomic Data and Applications Center (SEDAC), National Space Science Data Center (NSSDC) Kentucky Department for Libraries and Archives (KDLA). International Group of Auditors Members of the RAC-WG Who was involved?

Barbara Sierman, KB-NL Co-funded by the European Union under FP7-ICT aparsen.eu #APARSEN Audit procedure Two Stages: –1. Repositories completed a Self-Audit template (Checklist based on 16363)  Checklist plus documentation returned to audit team to prepare audit –2. Site visit (2 days)  Verbal feedback with first impressions  Detailed report: areas for improvement

Barbara Sierman, KB-NL Co-funded by the European Union under FP7-ICT aparsen.eu #APARSEN Preparation took more time than expected Test audit was very useful Gave insights in strenghts and weaknesses Audit procedure needed to be improved How is conformancy measured –Would like to see a “yard stick” In general: hughely rewarding process for all participants Feedback from organisations

Barbara Sierman, KB-NL Co-funded by the European Union under FP7-ICT aparsen.eu #APARSEN ISO has a range of standards related to good auditing practices ISO Requirements for bodies providing Audit and Certification for candidate trustworthy repositories Defines a process for accreditation of auditors. Will be an official standard very soon! The standard 16919

Barbara Sierman, KB-NL Co-funded by the European Union under FP7-ICT aparsen.eu #APARSEN More information APARSEN website D33.1B Report on peer review of digital repositories, content/uploads/downloads/2012/04/APARSEN-REP-D33_1B-01-1_1.pdf content/uploads/downloads/2012/04/APARSEN-REP-D33_1B-01-1_1.pdf  News about the status of the ISO standard  References to ISO16363  Self-Assessment Template