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Audit and Certification of Trustworthy Digital Repositories: Insights from Barbara Sierman

This document presents an in-depth perspective on the audit and certification processes for trustworthy digital repositories by Barbara Sierman from the KB National Library of the Netherlands. It explores standards like ISO 16363 and DIN 31644, the organizational infrastructure, and metrics for evaluating repository performance. The text covers the three levels of certification, audit procedures, and feedback from various repositories across Europe and the United States. It emphasizes the importance of consistent evaluation and continuous improvement in the realm of digital archiving and security risk management.

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Audit and Certification of Trustworthy Digital Repositories: Insights from Barbara Sierman

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  1. Audit & Certification: an auditors perspective Barbara Sierman, KB National Library of the Netherlands

  2. The history : Infrastructure and Security Risk Management : Infrastructure and Security Risk Management

  3. The standard 16363 • ISO 16363- 2012 Audit and Certification of Trustworthy Digital Repositories OrganisationalInfrastructure Digital Objects Management Infrastructureand Security Risk Mgmt. : Infrastructure and Security Risk Management : Infrastructure and Security Risk Management

  4. Comparison • TRAC 2005 • TRAC 2007 • ISO 16363

  5. European Framework European Framework for Audit andCertification of ThrustworthyRepositorieshttp://trusteddigitalrepository.eu/ Three levels of certification: • Basic certification : Data Seal of Approval • Extended certification Self – assesmentagainst DIN 31644 or ISO 16363 • Formalcertification Formal audit against ISO 16363 or DIN 31644

  6. The APARSEN test audits • ISO 16363 and DIN 31644 (developed by German Nestor Group) • (in-) formal audit via ISO 16363 • 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?

  7. Who was involved? Europe • Data ArchivingandNetworkedServices(DANS), • UK Data Archive (UKDA), • Centre Informatique National de l’Enseignement Supérieur: DépartementArchivage et Diffusion (CINES-DAD) • German National Library (DIN 31644 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

  8. 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

  9. Feedback fromorganisations • Preparationtook more time thanexpected • Test audit was veryuseful • Gave insights in strenghtsandweaknesses • Audit procedure neededtobeimproved • How is conformancymeasured • Wouldliketosee a “yard stick” • In general: hughelyrewardingprocessforallparticipants

  10. The standard 16919 • ISO has a range of standards related to good auditing practices • ISO 16919 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!

  11. More information APARSEN website D33.1B Report on peer review of digital repositories, http://www.alliancepermanentaccess.org/wp-content/uploads/downloads/2012/04/APARSEN-REP- D33_1B-01-1_1.pdf http://www.iso16363.org/ • News about the status of the ISO standard • References to ISO16363 • Self-Assessment Template http://www.iso16363.org/preparing-for-an-audit/

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