repository audit and certification dsa–wds partnership wg rda working groups meeting at nist...
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Repository Audit and Certification DSA–WDS Partnership WG
RDA Working Groups Meeting at NISTNovember 13-14, 2014
Working Group Members– Lesley Rickards (UK, PSMSL, WDS-SC) [Co-chair]– Mary Vardigan (USA, ICPSR, DSA Board) [Co-chair]– Kevin Ashley (UK, Digital Curation Centre)– Michael Diepenbroek (Germany, Pangaea, WDS-SC)– Ingrid Dillo (The Netherlands, DANS, DSA Board)– Françoise Genova (France, CDS, WDS-SC)– Hervé L’Hours (UK, UK Data Archive, DSA Board)– Guoqing Li (China, CEODE, WDS-SC)– Jean-Bernard Minster (USA, UCSD, Chair of WDS Scientific
Committee)– Paul Trilsbeek (The Netherlands, MPI for Psycholinguistics, DSA
Board)– Eleni Panagou, Ph.D. Candidate in Web Engineering, Democritus
University of Thrace, Greece [RDA Early Career Researcher]
Context and Background
• Data Seal of Approval and World Data System both lightweight mechanisms for repository assessment
• DSA began in social science and humanities, WDS in natural and physical sciences but both expanding in scope
• Over past two years, both groups began to see commonalities and synergies
• When RDA Audit and Certification Interest Group established, exploring a partnership seemed natural
Working Group Goals
• Develop common catalog of criteria for basic repository assessment and certification
• Develop common procedures for assessment• Implement a shared testbed for assessment• Ultimately, create a shared framework for
certification that includes other standards as well
Our Work So Far
• Began virtual meetings early in 2014 to map DSA and WDS criteria to each other
• Officially recognized as an RDA working group in May 2014
• Considered an “example for a non-technical group” -- RDA is about building bridges
• In August created a summary mapping with draft common requirements
Procedures for Mapping
• Created comprehensive Google spreadsheet to have all information in one place
• Mapped the DSA criteria to the WDS criteria, and the WDS to the DSA
• Held lengthy discussions on each guideline• Group members noted areas of agreement and
gaps and documented them
General Findings
• The two catalogs have similarities and differences• DSA guidelines more concise; WDS has multi-part
criteria• DSA focus on data management, not
organizational stability• WDS certification includes membership in the
WDS and certification of services, not in scope for the DSA
• Overall, working together has been great
Mapping Summary
• Shows mappings along with notes on level of the match (good match, partial, gap, etc.)
• Reconciles the two standards with suggested common language for requirements
• Assigns a concept to each common requirement, e.g., Discovery, Appraisal, Continuity of Access
• Assigns ISO/TRAC label(s): Organizational Infrastructure, Digital Object Management, Technology
Mapping Summary Walk-through
Summary Document
Context
Common Requirement DSA Guideline WDS Criterion
Please provide context for your repository. (1) Repository type (select from a typology -- e.g., domain repository). (2) Brief description of the repository's Designated Community, "an identified group of potential Consumers who should be able to understand a particular set of information" (from OAIS). (3) Level of curation performed (select from a list).
0. Repository context and outsourcing
3. Which roles(s) do you apply for within WDS? Role(s) and scope within WDS; 10. What is the scientific background of your facility? Please name your specific field(s).
Please provide context for your repository. (1) Repository type (select from a typology -- e.g., domain repository). (2) Brief description of the repository’s Designated Community, “an identified group of potential Consumers who should be able to understand a particular set of information” (from OAIS). (3) Level of curation performed (select from a list).
Partial Match
Appraisal
The repository accepts data based on defined criteria to ensure relevance and understandability for data users. [The criteria should explain clearly the philosophy and the technical approach to implement it.]
2. The data producer provides the data in formats recommended by the data repository. 3. The data producer provides the data together with the metadata requested by the data repository.
22. The facility accepts data sets from its producers based on defined criteria for collection, selection, and evaluation. V. Management of data, products, and services
Common Requirement DSA Guideline WDS Criterion
The repository accepts data based on defined criteria to ensure relevance and understandability for data users.
Partial Match
Mission/Scope
Common Requirement DSA Guideline WDS Criterion
The repository has an explicit mission to provide access to and preserve data in its domain.
4. The data repository has an explicit mission in the area of digital archiving and promulgates it.
16.1. The facility has defined: the scope of the data and/or product (services) it offers. IV. Organisational framework. 14. Promote active communication with research community and other users III. General requirements
The repository has an explicit mission to provide access to and preserve data in its domain.
Partial Match
Documented storage procedures
Common Requirement DSA Guideline WDS Criterion
The repository applies documented processes and procedures in managing archival storage of the data.
6. The data repository applies documented processes and procedures for managing data storage.
23. Archival storage of the data sets is undertaken to defined specifications. V. Management of data, products, and services
The repository applies documented processes and procedures in managing archival storage of the data.
Good Match
Preservation plan
Common Requirement DSA Guideline WDS Criterion
The repository assumes responsibility for longterm preservation and manages this function in a planned and documented way.
7. The data repository has a plan for long-term preservation of its digital assets.
16.2. The facility has defined: its responsibility for the longterm preservation of its data, products and services. IV. Organisational framework
The repository assumes responsibility for long-term preservation and manages this function in a planned and documented way.
Partial Match
Workflows
Common Requirement DSA Guideline WDS Criterion
Archiving takes place according to defined workflows from ingest to dissemination.
8. Archiving takes place according to explicit work flows across the data life cycle.
23. Archival storage of the data sets is undertaken to defined specifications. V. Management of data, products, and services
Archiving takes place according to defined workflows from ingest to dissemination.
Partial Match
Data discovery and identification
Common Requirement DSA Guideline WDS Criterion
The repository enables users to discover the data and to refer to them in a persistent way through proper citation.
10. The data repository enables the users to discover and use the data and refer to them in a persistent way.
24. The facility permits efficient usage of archived data sets, products and services based on defined criteria and preferably open standards (searchable, accessible, and usable objects and services). V. Management of data, products, and services
The repository enables users to discover the data and to refer to them in a persistent way through proper citation.
Partial Match
Data integrity and authenticity
Common Requirement DSA Guideline WDS Criterion
The repository guarantees the integrity and authenticity of the data.
11. The data repository ensures the integrity of the digital objects and the metadata. 12. The data repository ensures the authenticity of the digital objects and the metadata.
21. The facility ensures integrity and authenticity of data sets during ingest, archival storage, data quality assessment and analysis, product generation, access, and delivery. V. Management of data, products, and services
The repository guarantees the integrity and authenticity of the data.
Good Match
Technical infrastructure
Common Requirement DSA Guideline WDS Criterion
The technical infrastructure of the repository supports the tasks and functions necessary to effectively perform the mission.
13. The technical infrastructure explicitly supports the tasks and functions described in internationally accepted archival standards like OAIS.
25. Facility functions on well supported operating systems and other core infrastructural software. VI. Technical infrastructure. 26. Facility is using hardware and software technologies appropriate to the services it provides to its designated community(ies) VI. Technical infrastructure. 27. Security: Technical infrastructure for protection of the facility and its data, products, services, and users. VI. Technical infrastructure
The technical infrastructure of the repository supports the tasks and functions necessary to effectively perform the mission.
Partial Match
Security
Common Requirement DSA Guideline WDS Criterion
The repository maintains a careful plan to protect the safety of its holdings, the security of its facility, and the privacy of its users. OR The repository addresses security needs across its data, systems, personnel, and physical plant. See line above See line above
The repository maintains a careful plan to protect the safety of its holdings, the security of its facility, and the privacy of its users. OR The repository addresses security needs across its data, systems, personnel, and physical plant.
Licenses
Common Requirement DSA Guideline WDS Criterion
The repository maintains all applicable licenses covering data access and use and monitors compliance.
14. The data consumer complies with access regulations set by the data repository. 16. The data consumer respects the applicable licences of the data repository regarding the use of the data.
[16.4] The facility has defined: the rights of its users to access and use data. IV. Organisational framework
The repository maintains all applicable licenses covering data access and use and monitors compliance.
Partial Match
Continuity of access
Common Requirement DSA Guideline WDS Criterion
The repository has a continuity plan to ensure ongoing access to and preservation of its holdings.
9. The data repository assumes responsibility from the data producers for access and availability of the digital objects.
19. Maintenance of a continuity plan in the event of a host institution shift of interests or reaction to substantial changes. IV. Organisational framework
The repository has a continuity plan to ensure ongoing access to and preservation of its holdings.
Poor Match
Data quality
Common Requirement DSA Guideline WDS Criterion
Please provide a description of the mechanism used to ensure (to the largest extent possible) data quality, recognizing that there is a difference between scientific and technical quality. Alternative "wordy" version: The repository has appropriate internal expertise to address data and metadata quality through assessment of acquisitions, setting quality-related deposit criteria, and enriching data and metadata quality when appropriate to the mission and ensures sufficient information is available for end users to make quality-related evaluations.
1. The data producer deposits the data in a data repository with sufficient information for others to assess the quality of the data, and compliance with disciplinary and ethical norms.
12. Have relevant external experts to provide advice and guidance to WDS node.III. General requirements
Please provide a description of the mechanism used to ensure (to the largest extent possible) data quality, recognizing that there is a difference between scientific and technical quality. Alternative “wordy” version: The repository has appropriate internal expertise to address data and metadata quality through assessment of acquisitions, setting quality-related deposit criteria, and enriching data and metadata quality when appropriate to the mission and ensures sufficient information is available for end users to make quality-related evaluations.
Poor Match
Confidentiality/Ethics
Common Requirement DSA Guideline WDS Criterion
When appropriate, the repository protects the subjects of research to the extent possible, taking into account disciplinary norms.
1. The data producer deposits the data in a data repository with sufficient information for others to assess the quality of the data, and compliance with disciplinary and ethical norms. 15. The data consumer conforms to and agrees with any codes of conduct that are generally accepted in the relevant sector for the exchange and proper use of knowledge and information.
When appropriate, the repository protects the subjects of research to the extent possible, taking into account disciplinary norms.
Gap
Open access
Common Requirement DSA Guideline WDS Criterion
See statements approved by 2014 ICSU General Assrmbly
15. Provide full, open, timely, non-discriminatory and unrestricted access to metadata, data, products, and services, no cost or at the Cost of Fulfilling User Request (COFUR). III. General requirements
See statements approved by 2014 ICSU General Assembly.
Gap
Organizational infrastructure
Common Requirement DSA Guideline WDS Criterion
The organization has adequate funding and sufficient numbers of qualified staff to effectively carry out the mission.
17.1 through 17.4. The organizational form is adequate for the facility in terms of: funding; sufficient numbers of qualified staff; organizational structure; long-term planning.
The organization has adequate funding and sufficient numbers of qualified staff to effectively carry out the mission.
Gap
Scientific guidance
Common Requirement DSA Guideline WDS Criterion
The repository adopts mechanism(s) to secure ongoing scientific guidance and feedback from recognized experts, and maintains publicly accessible documentation of such guidance.
12. Have relevant external experts to provide advice and guidance to WDS node. III. General requirements.
The repository adopts mechanism(s) to secure ongoing scientific guidance and feedback from recognized experts, and maintains publicly accessible documentation of such guidance.
Gap
Next Steps
• Map to Nestor and ISO • Finalize the harmonized requirements and put
them out to the community as Version 1• Begin to work on aligning procedures• Determine relationship of DSA and WDS to
each other • Create testbed for certification• Investigate shared pool of reviewers
Links to Other RDA Groups
• Practical Policy – There may be a way to share policies across repositories and to integrate them into the assessment process (e.g., checks for integrity).
• Domain Repositories IG – This is a natural fit. We can work with the IG to get basic certification on the agenda of repositories and to test our new criteria.
