DIN 31644 / nestor approach for certification

Report
Co-funded by the European Union under FP7-ICT-2009-6
Alliance Permanent Access to the
Records of Science in Europe Network
DIN 31644 / nestor approach for certification
Sabine Schrimpf
Deutsche Nationalbibliothek
Webinar, 10th December 2013
Co-ordinated by
aparsen.eu
#APARSEN
Co-funded by the European Union under FP7-ICT-2009-6
Background DIN 31644
• 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 31644 - Criteria for trustworthy digital
archives (Draft)
– 2012: Publication of DIN 31644:2012 - Criteria for trustworthy digital
archives
Sabine Schrimpf, Deutsche Nationalbibliothek
Test Audit – DIN 31644
APARSEN review meeting, Luxembourg, 2-3.2.2012
aparsen.eu
#APARSEN
Co-funded by the European Union under FP7-ICT-2009-6
DIN 31644
• 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 31644
APARSEN review meeting, Luxembourg, 2-3.2.2012
aparsen.eu
#APARSEN
Co-funded by the European Union under FP7-ICT-2009-6
DIN 31644
• 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 31644
APARSEN review meeting, Luxembourg, 2-3.2.2012
aparsen.eu
#APARSEN
Co-funded by the European Union under FP7-ICT-2009-6
nestor Seal for Trustworthy Digital Archives
• Extended self assessment process based on DIN 31644
• 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 31644
APARSEN review meeting, Luxembourg, 2-3.2.2012
aparsen.eu
#APARSEN
Co-funded by the European Union under FP7-ICT-2009-6
Sabine Schrimpf, Deutsche Nationalbibliothek
Test Audit – DIN 31644
APARSEN review meeting, Luxembourg, 2-3.2.2012
aparsen.eu
#APARSEN
Co-funded by the European Union under FP7-ICT-2009-6
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 31644
APARSEN review meeting, Luxembourg, 2-3.2.2012
aparsen.eu
#APARSEN
Co-funded by the European Union under FP7-ICT-2009-6
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 31644
APARSEN review meeting, Luxembourg, 2-3.2.2012
aparsen.eu
#APARSEN
Co-funded by the European Union under FP7-ICT-2009-6
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 31644
APARSEN review meeting, Luxembourg, 2-3.2.2012
aparsen.eu
#APARSEN
Co-funded by the European Union under FP7-ICT-2009-6
Structure and timeline of test audit
• May/June – DNB fills in Audit form
June: Initial experiences fed
back to nestor WG
• June-September 2011 – Extended Audit
July: Questions of auditors
reviewed by auditors
discussed in nestor WG
• October 2011 – Visit of reviewers at the DNB
November:Lessons learned
& discussion
fed back to nestor WG
• December 2011 – Documentation of the test
audit experience in test audit report
Sabine Schrimpf, Deutsche Nationalbibliothek
Test Audit – DIN 31644
APARSEN review meeting, Luxembourg, 2-3.2.2012
aparsen.eu
#APARSEN
Co-funded by the European Union under FP7-ICT-2009-6
Lessons learned
• DIN 31644 & 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
Sabine Schrimpf, Deutsche Nationalbibliothek
Test Audit – DIN 31644
APARSEN review meeting, Luxembourg, 2-3.2.2012
aparsen.eu
#APARSEN
aparsen.eu
Network of Excellence
#APARSEN

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