Co-funded by the European Union under FP7-ICT Alliance Permanent Access to the Records of Science in Europe Network Co-ordinated by aparsen.eu #APARSEN DIN / nestor approach for certification Sabine Schrimpf Deutsche Nationalbibliothek Webinar, 10 th December 2013

Sabine Schrimpf, Deutsche Nationalbibliothek Test Audit – DIN APARSEN review meeting, Luxembourg, Co-funded by the European Union under FP7-ICT aparsen.eu #APARSEN Background DIN Development –2006 / 2008: Catalogue of Criteria for Trusted Digital Repositories - Version 1 / Version 2 –2008: Standarisation of Catalogue of Criteria within the German Institute for Standardisation (DIN) –2010: Publication of DIN Criteria for trustworthy digital archives (Draft) –2012: Publication of DIN 31644: Criteria for trustworthy digital archives

Sabine Schrimpf, Deutsche Nationalbibliothek Test Audit – DIN APARSEN review meeting, Luxembourg, Co-funded by the European Union under FP7-ICT aparsen.eu #APARSEN DIN Basic principles for deriving criteria –Abstraction –Conformity with OAIS terminology Basic principles for applying the criteria –Documentation –Transparency –Adequacy –Measurability

Sabine Schrimpf, Deutsche Nationalbibliothek Test Audit – DIN APARSEN review meeting, Luxembourg, Co-funded by the European Union under FP7-ICT aparsen.eu #APARSEN DIN Structure –34 requirements structured in 3 parts  Organization  Management of intellectual entities and their representations  Infrastructure and security.

Sabine Schrimpf, Deutsche Nationalbibliothek Test Audit – DIN APARSEN review meeting, Luxembourg, Co-funded by the European Union under FP7-ICT aparsen.eu #APARSEN nestor Seal for Trustworthy Digital Archives Extended self assessment process based on DIN Digital Archive assesses 34 criteria with help of an audit form –Description of implementation and link to documentation –Degree of fulfillment  0 = still open  3 = designed  6 = specified  10 = fully implemented

Sabine Schrimpf, Deutsche Nationalbibliothek Test Audit – DIN APARSEN review meeting, Luxembourg, Co-funded by the European Union under FP7-ICT aparsen.eu #APARSEN

Sabine Schrimpf, Deutsche Nationalbibliothek Test Audit – DIN APARSEN review meeting, Luxembourg, Co-funded by the European Union under FP7-ICT aparsen.eu #APARSEN nestor Seal for Trustworty Digital Archives Assessment is reviewed by nestor, executed by nestor WG “Certification” If the review yields a positive result, the Digital Archive is entitled to use the nestor Seal for Trustworthy Digital Archives

Sabine Schrimpf, Deutsche Nationalbibliothek Test Audit – DIN APARSEN review meeting, Luxembourg, Co-funded by the European Union under FP7-ICT aparsen.eu #APARSEN nestor Seal – process 1.The institution wishing to obtain the nestor seal notifies nestor and nominates 2 contact persons 2.nestor confirms the start of the review and appoints a reviewer 3.The archives conducts the self assessment and submits it to the nestor reviewer 4.The reviewer checks the plausibility of the self assessment and any accompanying documentation and writes a review report 5.A second reviewer approves the review report 6.Cases of dispute are taken to the nestor Working Group on Certiciation  The entire process should not take longer than 3 months!

Sabine Schrimpf, Deutsche Nationalbibliothek Test Audit – DIN APARSEN review meeting, Luxembourg, Co-funded by the European Union under FP7-ICT aparsen.eu #APARSEN Test audit of the DNB Motivation for seeking external assessment: –Systematic review of status quo –Have our processes and documentation reviewed, scrutinized, and ideally approved by external professionals –Determination of strengths and gaps –Transparency towards the preservation community

Sabine Schrimpf, Deutsche Nationalbibliothek Test Audit – DIN APARSEN review meeting, Luxembourg, Co-funded by the European Union under FP7-ICT aparsen.eu #APARSEN Structure and timeline of test audit May/June – DNB fills in Audit form June-September 2011 – Extended Audit reviewed by auditors October 2011 – Visit of reviewers at the DNB & discussion December 2011 – Documentation of the test audit experience in test audit report June: Initial experiences fed back to nestor WG July: Questions of auditors discussed in nestor WG November:Lessons learned fed back to nestor WG

Sabine Schrimpf, Deutsche Nationalbibliothek Test Audit – DIN APARSEN review meeting, Luxembourg, Co-funded by the European Union under FP7-ICT aparsen.eu #APARSEN Lessons learned DIN & DNB stood the test Effort needed at the DNB: ca. 1.5 PM Certification process needs to be well defined, documented and transparent  see “Explanatory notes on the nestor Seal for Trustworthy Digital Archives” on the nestor website The object of the assessment must be specified precisely –Mutually independent archives of one institutions can be assessed jointly or independently

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