1. Digital Repository Certification Schema A Pathway for Implementing the GEO Data Sharing and Data Management Principles Robert R. Downs, PhD Sr. Digital Archivist, CIESIN, Columbia University 7 November 2016, GEO XIII Plenary Data Providers Side Event

2. Applicability of Repository Certification to Data Sharing Principles and Data Management Principles
Data sharing depends upon reliable repositories
Repository certification verifies potential for reliability
Renewal of certification affirms continuing reliability
Data management depends on capabilities
Validated by repository certification
Repository certification in DMP IG
DMP1: Metadata for Discovery;
DMP7: Data Preservation;
DMP8: Data and Metadata Verification;

3. Why Certify Data Repositories?
Data producers need to know where to deposit their data
Trust that their data will be preserved, curated, and disseminated
Data users need to know where they can find data
Data that are vetted, described for use, and available in the future
Funders need to know who to support for data management
Where services are reviewed routinely for continuous improvement
Publishers need to know who to recommend for archiving data
Where referenced data will be persistently accessible and usable
Data professionals need to know where they can practice
Apply their data management skills
Obtain professional development in data stewardship
Data centers need to know how they are performing
Policies, procedures, and practices that need improvement
Derived From: Downs Audit of a Scientific Data Center: Opportunities & Approaches.
RDA SciDataCon Denver, CO

4. Data Repository Certification: Costs vs Benefits
Potential costs
Time for repository management and staff training
Training registration fees and travel costs, if applicable
Time for repository management and staff to prepare and be audited
Pre-audit improvements (staff, software, hardware), if applicable
Audit instrument and certification fees, if applicable
Audit service fee, including auditor travel costs, if applicable
Potential benefits
Improve transparency and quality assurance
Compare capabilities and services with standard practices
Review and identify gaps in current and planned services
Plan for needed enhancements to improve capabilities and services
Obtain certification that recognizes attainment of standard, if applicable
Derived From: Downs Audit of a Scientific Data Center: Opportunities & Approaches.
RDA SciDataCon Denver, CO

5. Selected Research Data Repository Audit Instruments
Audit and Certification of Trustworthy Digital Repositories (ISO 16363:2012)
Trustworthy Repositories: Audit & Certification (TRAC)
NESTOR (DIN )
Data Management Maturity (DMM) Framework (AGU & CMMI)
DSA–WDS Catalogue of Common Requirements
International Council of Science (ICSU) - World Data System (WDS)
Data Seal of Approval (DSA)

6. Initiating Repository Certification
Planning
Initiated by repository management
Identify candidate audit instruments
Preparation
Conduct a self-assessment
Complete improvements to address weaknesses
Scheduling
Identify availability of auditors
Identify availability of repository management and key staff
Derived From: Downs Audit of a Scientific Data Center: Opportunities & Approaches.
RDA SciDataCon Denver, CO

7. Evaluating Candidate Certification Schema
What does the candidate instrument measure?
Is it applicable to the data center, its services, and capabilities?
Can the metrics measure whether each requirement has been satisfied?
Can the instrument be used internally?
By data center staff for pre-assessment or post-assessment reviews
Validity
Has the instrument been developed by a reputable organization?
Has the instrument been reviewed and reviewed recently?
Is the instrument a recognized standard for assessing data centers?
Has it been endorsed by the community and by independent bodies?
Derived From: Downs Audit of a Scientific Data Center: Opportunities & Approaches.
RDA SciDataCon Denver, CO

8. Data Repository Assessment Considerations
Authority
Internal
External
Frequency
Internal one-time
self-assessment
External one-time
assessment
Once
Internal periodic
self-assessments
Periodic
External periodic assessments
Scope of audit:
Holistic vs targeted to specific capabilities, functions, or collections
Approach should be based on objectives
Why is the repository seeking an assessment?
Which stakeholders are encouraging the assessment?
Is improvement the primary objective or a credential?
Derived From: Downs Audit of a Scientific Data Center: Opportunities & Approaches.
RDA SciDataCon Denver, CO

9. Data Repository Certification: Improving Data Provision
Opportunity to identify, document, justify, and plan for needed enhancements, such as policy improvements, resource acquisitions, professional development, staff recruitment, procedure revisions, system upgrades, and new services
Derived From: Downs Audit of a Scientific Data Center: Opportunities & Approaches.
RDA SciDataCon Denver, CO

10. Continuously Improving the Scientific Data Archive
Review
Audit
Requirements
Request
Audit
Decide to
Be Audited
Decide to
Improve
Audit
Preparation
Decide to
Improve
Plan
Needed
Changes
Decide on
Each Change
Implement
Changes
Complete
Audit
Source: Downs & Chen Improving the Trustworthiness of an Interdisciplinary Scientific Data Archive.

11. Benefits of Data Repository Certification
• Improves transparency of archival processes
• Improves quality assurance for stakeholders
• Provides independent evaluation
• Improves efficiency and effectiveness of operations
• Recommendations guide planning for enhancements
• Improves management and stewardship of data
• Increases data preservation capabilities of archive
• Measures compliance with recognized requirements
• Recognition of data center responsibilities & achievements
• Necessary step for certification as a trustworthy repository
Derived from: Downs & Chen Improving the Trustworthiness of an Interdisciplinary Scientific Data Archive.

12. Questions for Discussion
Provide a quality label at the level of data providers?
Define criteria and processes for data providers to receive certification for e.g by leveraging/endorsing DSA-WDS core certification of data repositories?
Define an authority to decide that data providers receive certification?
Add GEO requirements like brokering or others to core certification?
Continue certification of data providers' quality over time?
Provide a quality label at the level of the datasets?
Establish the DMP GEO Labels?
Define criteria and process for datasets to receive DMP GEO Labels?
Define an authority to decide that datasets receive DMP GEO Labels?
Align DMP GEO Labels with other international efforts?
Provide other mechanisms or a combination of the above?

13. Thank you !