1. Certification of digital repositories in the Netherlands >Profitable and elementary >Instrumentation >Costs and benefits Kees Waterman (DANS) PTAB Training The Hague, May 21, 2015

2. Today’s topics NCDD Project & NDE Work Package why certify? certify what? what is not covered by these kinds of certification? what are options available? what types of support are being developed? (roadmap & NDE) what types of support / documentation are available? activities NDE-project team 2015-2016 & stay tuned!

3. Why certify? (a shortlist) What is the added value? It enhances the professional competencies of your employees It reinforces your organization’s quality assurance capacities It stands as a benchmark activity (how does our performance compare to that of our collegues?); it may contribute to marketing your organization / mission It is essential in devising and deploying a Trustworthy Digital Repository It contributes to costing management of digital ingest, storage and accessibility It reinforces your organization’s trustworthiness vis-à-vis funding organizations, depositors and consumers It contributes to the further development of knowledge and skills within digital infrastructures, it strengthens the support base for sustainable accessibility and for the need for continuing investments It is distinctive – currently, you’re in the vanguard.

4. Why certify? (a short shortlist) It amounts to a stress test for the organisation It yields explicit information on the quality and future viability of your governance, strategy and mission It helps determine and safeguard essential work processes and internal responsibilities Taken together, it informs and feeds the basis and feasibility of your mission and business models. It constitutes a significant and recognized component in creating a national network of trustworthy, sustainable building blocks for the objectives of the NDE: we deploy objective, reasonably unambiguous elements of a label / seal.

5. Why does this apply also to smaller organizatons? it is a strong component in knowledge acquisition it allows you to agree on standards with depositors (metadata, data formats) it informs agreements with vendors and contractors (service levels) it enhances consumers’ trust (dependability, trustworthiness) it clarifies cooperation / alliances with major organizations in the sector competency in certified provisions of services it boosts your ranking with potential funders.

6. What is it you have certified? your demonstrated policies for sustainable custody of assets your documentation that defines trustworthy ingest, management and dissemination of assets conditions and characteristics of services to end users (trustworthiness) your policies for accommodating depositors, vendors and consumers in their roles in assuring sustainable trustworthiness Your technical infrastructure, the basis for a trusted digital repository, explicitly supports the tasks and functions as described in internationally accepted archival standards such as OAIS.

7. What is not part of these these types of certification? compliance with specific technical models or systems certification models are generic issuing guarantees of 100% certification helps to cover risks work with prescribed specifications (data formats / metadata schemas) specs and quality criteria that are specific for a given sector are appropriate do everything yourself: if conditions are met, outsourcing is legitimate have everything audited: collections / services can be selected publication of sensitive business data going up for certification as a single, isolated excercise

8. Instrumentation: the three stages

9. 3. Formal certification: DSA + full external audit and certification based on ISO 16363* or DIN 31644** 2. Extended certification: DSA + structured, externally reviewed and publicly available self-audit based on ISO 16363* or DIN 31644** 1. Basic certification: Data Seal of Approval (DSA) http://www.trusteddigitalrepository.eu *ISO 16363 - Audit and Certification of Trustworthy Digital Repositories **DIN 31644 - Information and Documentation - Criteria for Trustworthy Digital Archives European Framework for Audit and Certification

10. DSA-foundation, 5 principles 5 principles are the foundation of the DSA Guidelines. Taken together, they underpin the quality of sustainable asset management: 1.The data can be found on the Internet. 2.The data are accessible, while taking into account relevant legislation with regard to personal information and intellectual property. 3.The data are available in a usable format. 4.The data are reliable. 5.The data can be referred to (persistent identifiers).

11. DSA: principles, audiences and Guidelines The 16 DSA Guidelines give shape to how the 5 principles are implemented. The Guidelines are aimed at three audiences: 1.the data producer – responsible for the quality of the digital data; DSA Guidelines 1 through 3 2.the data repository – responsible for the quality of the storage and availability of the data: the data management; DSA Guidelines 4 through 13 3.the data consumer – responsible for the quality of use of digital data; DSA Guidelines 14 through 16 Basic assumption: the data repository is responsible for enabling and supporting data producers’ and data consumers’ compliance with the guidelines.

12. Repositories: fundamental DSA Guidelines #4: repository can demonstrate an explicit mission in the area of digital archiving # 5: it is able to ensure compliance with legal regulations and contracts including (when applicable, privacy regulations) # 6: applies documented processes and procedures for managing data storage # 7: maintains a plan (policy) for long-term preservation of its digital assets # 8: archives according to explicit work flows across the data life cycle # 9: assumes responsibility from the data producers for permanent access to and availability of the digital objects # 11: ensures the integrity of the digital objects and the metadata All guidelines are audited at a specific level of compliance (not set, but evolve).

13. Support: pre-scan (approach, in Dutch) Inhoud van deze slide

14. Support: pre-scan (complete, in Dutch)

15. Support: declaration of intent, national hubs We develop a declaration of intent for the national hubs that have not yet been certified shared mission of quality improvement This declaration describes the level of certification (within the European Framework), the compliance level for each guidline / metric, the throughput time and the planned certification date. specifies collections and/or services to be certified (in most cases, applying the DSA-level) Declarations will be submitted to the national hubs in 2015.

16. Support: hubs sharing knowledge Experiences and ‘lessons learned’ during the pre-scan the certification procedures are continuously shared by the national hubs, especially within their specific domain. As part of that, they will develop ‘deliverables’ for dissemination through NCDD and NDE channels.

17. Support: survey, all DSA-certified repositories We expect that in all domains the main question will be: “What does this require in resources?”. The pre-scan will allow institutions te develop a better understanding of their take-of position. In addition, the project will conduct a survey among all repositories that have already been DSA-certified. inventory of practical experiences overviews of investments / gains & costs / benefits develop recommendations the DSA Board has granted permission for this survey (March 2015)

18. Support: workshops, help desk National hubs that participate in the NCDD are committed to organize workshops at various levels high-level workshops (management) several workshops ‘scoremodel digitale duurzaamheid’ [scoring model digital sustainability] pre-scan workshops certification workshops – probably by domain. NDE-strategy ’Schudden voor gebruik’ [transl.?] envisions support desks for essential components of digital heritage infrastructures. The project team advocates creating a certification help desk.

19. Support: and before all of that? consult the presentation of benefits at DSA website: http://datasealofapproval.org/en/assessment/benefits/ http://datasealofapproval.org/en/assessment/benefits/ virtually all documentation of all successfull DSA-applications is publicly available. Consult all applications and reviews at: http://datasealofapproval.org/en/assessment/ Click at the applicable year in the column beneath ‘DSA’ !! http://datasealofapproval.org/en/assessment/ consult the glossy flyer ‘Doe ik het goed?’ [How is my performance?] >>>>>>>>>>>>>>>>>> for an overview of the subject, experiences. follow NCDD/NDE communication: progress on process support in the currently developed roadmap, ‘Hoe ver ben ik?’ [How is my progress, so far?]

20. Activities of the NDE project team, 2015-2016 (1) Main objective: Develop and maintain a national ‘certification roadmap’ Activities (to be plotted through time): Propagating policy development: certification is incorporated into the policies of n digital heritage institutes in the Netherlands (as a minimum, this includes all hubs within the NDE Network). Secure declarations of intent from (as a minimum) all hubs. Publish a position paper, presenting certified repositories as profitable and elementary, directed at domain organizations, i.e. Archief2020 (throughput time, efforts/costings and benefits/gains) Advocate the installation of an NDE certification help desk

21. Activities of the NDE project team, 2015-2016 (2) Activities (to be plotted through time): Two high-level workshops on certification for large-scale institutions Three to four workshops on certification for digital heritage institutions Develop, deploy and maintain the pre-scan instrument Execute and report on survey (costs & benefits), all DSA-certified parties Further development of the ‘scoremodel digitale duurzaamheid’ [scoring model digital sustainability]** as an instrument for self-evaluation and as a benchmark tool Three to four workshops on the use of the ‘scoremodel’ Develop and maintain a listing of all certified repositories in the Nederland (NDE/NCDD websites). Blog and tweet on activities and milestones ** See http://scoremodel.orghttp://scoremodel.org

22. Project team (NCDD-stage) Stay tuned for more information from us: Margriet van Gorsel (NA-National Archives) Annemieke de Jong (NIBG-National Institute of Sound & Vision) Barbara Sierman (KB-National Library) Madeleine de Smaele (3TU.Datacentre) Kees Waterman (DANS) kees.waterman@dans.knaw.nlkees.waterman@dans.knaw.nl [Leon Bok (RCE-Cultural Heritage Agency of the Netherlands), provisionally]

23. More information, and in 2016 ?? - Data Seal of Approval: http://www.datasealofapproval.org - nestor Seal: http://www.langzeitarchivierung.de/Subsites/nestor/EN/nestor- Siegel/siegel_node.html http://www.langzeitarchivierung.de/Subsites/nestor/EN/nestor- Siegel/siegel_node.html - ISO certification: http://www.iso16363.orghttp://www.iso16363.org  In 2014, ISO 16919 has been published, establishing the professional qualifications that official auditors must meet: http://www.iso16363.org/standards/iso-16919 http://www.iso16363.org/standards/iso-16919 May 2015: 11 of the 41 DSA-certified repositories / services are Dutch. In 2016: min. 1 DIN-certified (DANS) and ?? DSA !!