ISO Audit and Cer/fica/on of Trustworthy Digital Repositories, the Primary TDR Authorisa/on Body (PTAB) David GiareFa, Director APA

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1 ISO Audit and Cer/fica/on of Trustworthy Digital Repositories, the Primary TDR Authorisa/on Body (PTAB) David GiareFa, Director APA

2 Outline Role of Alliance for Permanent Access (APA) Overview of challenges Key ideas - OAIS Development of the ISO standards Organisa/on and process for audit and cer/fica/on

3 Role of APA APA is a membership organisa/on for those interested in digital preserva/on - for any organisa/on with a significant interest in digital preserva/on: research organisa/ons, funding organisa/ons, major libraries and repositories, museums and archives, publishers in all fields of research, scholarship and technology, or their umbrella organiza/on, na/onal coali/ons of organisa/ons engaged in the cura/on and preserva/on of digital records, Universi/es and academic ins/tu/ons, commercial organisa/ons and vendors, governmental organisa/ons. In addi/on, individuals may become personal members Many ac/vi/es including promo/on and sepng up e- infrastructure components to assist digital preserva/on (e.g. APARSEN and SCIDIP- ES) ISO Audit and Cer/fica/on is one part of the strategic plan

4 Digital Preserva/on Easy to do as long as you can provide money forever Easy to test claims about repositories as long as you live a long /me

5 What is wanted By Funders How to tell independently that money is been spent well Otherwise risk money being wasted and data lost Might not know un/l too late Interna/onal standard preferably ISO By Repositories: Comfortable Low cost Low trouble Something to confirm they are going a good job

6 Challenges There is not enough experience (by anyone) of long term preserva/on of massive amounts of data How can audit/cer/fica/on provide any kind of judgement?

7 Digital Preserva/on Ensure that digitally encoded informa/on are understandable and usable over the long term Things become unfamiliar hardware/so_ware/tacit knowledge Could be important a_er just a few years Ability to re- use unfamiliar digitally encoded informa/on is key requirement Automa/on desired (formal detailed structural and seman/c descrip/ons) but The perfect should not be the enemy of the good enough Reference Model for Open Archival Informa/on System (ISO 14721) The basic standard for work in digital preserva/on

8 OAIS Func/onal Model P R O D U C E R SIP PROVIDES Preserva'on Planning Descrip've USEFUL Descrip've Informa'on Data Informa'on Management Ingest TERMINOLOGY Access Archival AIP Storage AIP queries query responses orders DIP C O N S U M ER Administra'on MANAGEMENT

9 The Informa/on Model is key Recursion ends at KNOWLEDGEBASE of the DESIGNATED COMMUNITY (this knowledge will change over /me and region) Informa/on model: Representa/on Informa/on Does not demand that ALL Representa/on Informa/on be collected at once. A process which can be tested

10 Repository Audit and Cer/fica/on Working group Closely related to OAIS Reference Model Cer/fica/on was iden/fied as a follow- on standard Following route of OAIS CCSDS is the working arm of an ISO SC Ini/al (closed) work lead by NARA & RLG led to TRAC, based on OAIS Trusted Digital Repositories: AFributes and Responsibili/es (RLG- OCLC) Approx 5 itera/ons Always intended to move to CCSDS Working Group for finalisa/on/improvement/standardisa/on Mostly virtual mee/ngs, notes and documents openly available

11 Metrics (published as ISO 16363) Available from hep:// hep:// Overall Structure: Sec/on A: Organisa/onal Infrastructure Sec/on B: Digital Object Management Sec/on C: Infrastructure and Security Risk Management Metrics and their structure: Statement of requirement Suppor/ng text Aims to make self- audit prac/cal Examples of Ways the Repository can Demonstrate it is Mee/ng this Requirement Discussion 11

12 Metrics: too many or too few? Impossible to an/cipate all possibili/es Other standards (e.g. ISO 2700x security standards) are quite brief Should be regarded as a guide for auditors the areas to focus on sub- metrics pick out more specific areas Fundamentally depends on auditors experience/ judgement Need to try to guarantee consistency of judgements

13 Who does the cer/fica/on? There is a hierarchy of ISO standards concerned with good audi/ng prac/ces ensure that these good prac/ces can be applied to the evalua/on of the trustworthiness of digital repositories using ISO to inspire confidence in impar/ality, competence, responsibility, openness, confiden/ality, and responsiveness to complaints Requirements for Bodies providing Audit and Cer/fica/on defines how the audit/cer/fica/on organisa/on operates published as ISO Defines the Primary TDR Authorisa/on Body (PTAB) and process for cer/fying auditors and crea/ng (na/onal) accredi/ng bodies

$tal Repositories: AFributes and Responsibili/es TRAC Metrics concerning: Organiza'onal Infrastructure e.g. The repository shall have a documented history of the changes to its opera'ons, procedures, so\ware, and hardware.$ $Infrastructure and Security Risk Management eg. The repository shall have procedures in place to evaluate when changes are needed to current so\ware.$ Requirements For Bodies Providing Audit And Cer'fica'on (ISO 16919 ) Audit and Cer'fica'on of Trustworthy Digital Repositories (ISO 16363 ) Data Seal of Approval Audit by external auditors Monitored

Requirements For Bodies Providing Audit And Cer'fica'on (ISO 16919 ) Audit and Cer'fica'on of Trustworthy Digital Repositories (ISO 16363 ) Data Seal of Approval Audit by external auditors Monitored

14 Standards based Repository Audit and Cer'fica'on (ISO 16363) OAIS (ISO 14721) Trusted Digital Repositories: AFributes and Responsibili/es TRAC Metrics concerning: Organiza'onal Infrastructure e.g. The repository shall have a documented history of the changes to its opera'ons, procedures, so\ware, and hardware. Digital Object Management e.g. The repository shall have access to necessary tools and resources to provide authorita've Representa'on Informa'on for all of the digital objects it contains. Infrastructure and Security Risk Management eg. The repository shall have procedures in place to evaluate when changes are needed to current so\ware. Requirements For Bodies Providing Audit And Cer'fica'on (ISO ) Audit and Cer'fica'on of Trustworthy Digital Repositories (ISO ) Data Seal of Approval Audit by external auditors Monitored self- audit using ISO (or DIN31644 in Germany) Monitored self- audit using DSA metrics There is a hierarchy of ISO standards concerned with good audi'ng. ISO is posi'oned within this hierarchy in order to ensure that these good prac'ces can be applied to the evalua'on of the trustworthiness of digital repositories using ISO It covers principles needed to inspire confidence that third party cer'fica'on of the management of the digital repository has been performed with impar'ality, competence, responsibility, openness, confiden'ality, and responsiveness to complaints Formal Cer/fica/on Extended Cer/fica/on Basic Cer/fica/on EUROPEAN FRAMEWORK FOR AUDIT AND CERTIFICATION OF DIGITAL REPOSITORIES to be promoted by the EU See hfp://wiki.digitalrepositoryauditandcer/fica/on.org and hfp:// resources/audit- and- cer/fica/on Standards will be available free from hfp://

15 Tes/ng the standards Test audits were carried out to test the PTAB s common understanding of the metrics the usability of the metrics document by repositories 3 in Europe (UKDA, CINES, DANS) 3 in USA (NSSDC, SEDAC, KA State Archive) Final versions of the standards are now published by ISO (free from CCSDS) PTAB formal body created

16 The audits Self- audit process covering all metrics, providing informa/on to audit team: Considered all metrics including the basics: Are the bits safe? Are the data understandable/usable by the Designated Community? Is authen'city safeguarded (evidence based) E.g. Is the informa/on really what it is claimed to be? Can the digital holdings be handed over to another repository if/when necessary? The repository must try to provide evidence Why do they think people (including their funders) should trust them? Learning process over several audit cycles

17 What would Cer/fica/on look like? Not a simple statement that Yes this repository is perfect! Should be regarded as part of a process of improvement Audit/cer/fica/on provides informa/on on which an organiza/on can act to improve its performance Improvement plan repository OK as long as. Cycle of cer/fica/on/ surveillance audit/ re- cer/fica/on Maturity levels

18 Next Steps in process Accredit new auditors accredited training courses conduct audits with exis/ng auditors boot- strapped by PTAB Set up na'onal accredita/on boards We are working on the assump'on that there will be a significant demand from public and private/ commercial organisa'ons/service providers. Process is designed to scale up to meet the need.

19 A vision Con/nued improvements in digital preserva/on capabili/es Public funded, Private/commercial Cer/fica/on required by people with the money Trained, consistent set of auditors, consultants across the globe Na/onal accredita/on bodies Help to build market for vendors, systems builders and service providers Society benefits from its digitally encoded capital

20 Links ISO Audit hep:// h"p://wiki.digitalrepositoryauditandcer7fica7on.org OAIS Reference Model Original version available from h"p://public.ccsds.org/publica7ons/archive/650x0b1.pdf Updated version will be available from CCSDS Alliance for Permanent Access h"p:// Informa7on about SCIDIP- ES and APARSEN at h"p:// projects/ Addi7onal OAIS and ISO Audit informa7on will be at h"p:// membership/member- resources/ 20

21 hfp://cordis.europa.eu/fp7/ict/e- infrastructure/docs/hlg- sdi- report.pdf

Trustworthiness of Preservation Systems. David Minor UC San Diego Library

Trustworthiness of Preservation Systems David Minor UC San Diego Library Why does anyone care? We all want to trust systems Preservation systems more than most Long-term-ness Often not-us-ness How do we