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Certifying Digital Repositories: Development of the Audit Checklist

Certifying Digital Repositories: Development of the Audit Checklist . Robin L. Dale 1 September 2006 Long-Term Repositories: Taking the Shock out of the Future. Overview. Background & checklist development Uses of checklist “Testdriving” via the CRL–Mellon Project

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Certifying Digital Repositories: Development of the Audit Checklist

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  1. Certifying Digital Repositories: Development of the Audit Checklist Robin L. Dale 1 September 2006 Long-Term Repositories: Taking the Shock out of the Future

  2. Overview • Background & checklist development • Uses of checklist • “Testdriving” via the CRL–Mellon Project • Process outputs: Compliance issues, reporting out • Future of evaluation, audit, & certification Long-term Repositories: Taking the Shock out of the Future

  3. TDRs: Background • Background • Preserving Digital Information (1996) • “…a network of certified digital archives.” • Open Archival Information System (OAIS) • Trusted Digital Repositories: Attributes & Responsibilities • Assumptions • Research depends upon access digital content held by “third parties” • E-journals, data archives, e-science grid, etc. • “Wild West” of repositories and repository semantics Long-term Repositories: Taking the Shock out of the Future

  4. A semantically confusing scene • Digital repositories • Digital archives • Data archives • Institutional repositories • Digital object management systems • Digital asset management systems • de facto network of varying development, capabilities, content, intent/services, data longevity, vulnerabilities, horizons/sunsets Long-term Repositories: Taking the Shock out of the Future

  5. Checklist Development • TDR as a system, not just technical bits • Organizational infrastructure • Digital object management • Technical infrastructure • Repositories will differ, but good practice and reliable technical infrastructure are universal • Audit as objective evaluation; basis for trust • Focus on transparency • i.e., policies, procedures, content, vulnerabilities Long-term Repositories: Taking the Shock out of the Future

  6. Uses of the Checklist • Repository/Archives Planning • Set of minimal characteristics for a digital preservation repository • Self Assessment • Gap analysis • Audit • Organizations/Institutions • Services • Basis for certification Long-term Repositories: Taking the Shock out of the Future

  7. Too OAIS-centric Organizational, financial too prescriptive Technical too … Prescriptive Library-centric Steeped in OAIS Designated Community issues “It doesn’t seem to apply to my archives/ repository/data center/ situation…” Too strict/too expensive – why should I do it? I don’t think my repository will get certified, but we certainly think others should have to… Draft Checklist Feedback Long-term Repositories: Taking the Shock out of the Future

  8. “Testdriving” via the CRL Project • Center for Research Libraries (CRL) Auditing & Certification of Digital Archives project • Andrew W. Mellon Foundation funding • Leveraged RLG-NARA checklist • Scoped to known content • Test audits of three archives/repositories & LOCKSS distributed archiving system • Multiple approaches, software, hardware, content types, state of development/production Long-term Repositories: Taking the Shock out of the Future

  9. CRL Auditing and Certification Project (2) • Audits to determine… • Technologies & technical infrastructure • Archive processes and procedures • Characteristics that affect performance, accountability & business continuity • Audit Process Development • Additional questions (beyond checklist)? • Personnel required • Business model for certification Long-term Repositories: Taking the Shock out of the Future

  10. Lessons Learned Thus Far • Metrics target varying granularity levels • Audit involves far more than a checklist • More data needed in financial and technical areas • Interviews, documentation, time • Providing evidence is critical • Interpretations very different • Existing standards only provide partial evidence • Economics drive incentive & transparency • Desired audit output(s) often different from completed checklist Long-term Repositories: Taking the Shock out of the Future

  11. Process Outputs: Compliance Issues & Reporting Out • Compliance Issues • Is it a true checklist? • Levels of compliance? • Audit compliance versus certification grading • Reporting Out • What constitutes a report? • Audience? • Who has access to outputs? • Information confidentiality issues • Community’s/depositor’s/funder’s “need to know” • Trusted network partners Long-term Repositories: Taking the Shock out of the Future

  12. Provost/CIO statement Executive Summary Full Report Introduction Institutional overview Scoping the audit Findings Organizational Analysis Governance, Staff, Policies & Procedures, Financial, Succession planning Technical Analysis Architecture, Data Security, Data Ingest, Archival Storage, Preservation Planning, Data Management, Access Management, Business Continuity, Environmental Management, Disaster Planning Content Analysis Vulnerabilities Observations & Recommendations Reporting Out: CRL Reports Long-term Repositories: Taking the Shock out of the Future

  13. Checklist Rethinking & Redevelopment • Revision based on valuable public comment, CRL test audit experience, changing landscape • Addition of evidence, references to broader process are key • More applicability, fewer sacrifices • OAIS as communication vehicle; not constraint • Mission/context/responsibilities, roles, content, vulnerabilities • Common set of policies, practices, and expectations • User-desired outputs driving new inputs Long-term Repositories: Taking the Shock out of the Future

  14. Future of Evaluation, Audit, & Certification • Checklist - August • New document release – September 2006 • CRL project end – Oct-Nov 2006 • Products • Checklist • Supporting documentation • Business model to support evaluation (audit → certification; timeframe) • “Standards” & training • Economic & incentive model • Audit output(s) • Audit/evaluation registry? Long-term Repositories: Taking the Shock out of the Future

  15. Goals of Checklist, Audit & Certification • A trustworthy system of repositories, archives, services • Data archives, academic content, e-journal archives, government archives, etc • Common, objective metrics of policies, practices, and technical capabilities • Provisions for evidence, competency, reliability, sustainability • Cannot rely solely on a de facto network! Long-term Repositories: Taking the Shock out of the Future

  16. Questions? Thank you. Robin.Dale@rlg.org Long-term Repositories: Taking the Shock out of the Future

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