Understanding Risk in Audit and Certification of Digital Repositories

This research explores the social construction of risk in the audit and certification of trustworthy digital repositories, focusing on the context of ISO 16363. It examines how standards developers and auditors conceptualize risk, differences and similarities in understanding risk based on ISO 16363, and the factors influencing risk assessment in digital repositories.

• Risk assessment
• Digital repositories
• ISO 16363
• Audit
• Certification

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1. SAA Research Forum Portland, OR 25 July 2017 Uncertainty & Organizations: The Social Construction of Risk in the Audit and Certification of Trustworthy Digital Repositories Rebecca D. Frank Ph.D. Candidate University of Michigan School of Information frankrd [ at] umich [dot] edu @frankrd

2. SAA Research Forum Portland, OR 25 July 2017 Background Rebecca D. Frank 2

3. SAA Research Forum Portland, OR 25 July 2017 Digital Preservation & Risk risk is defined as the combination of the probability of an event and its consequences Barateiro, J., Antunes, G., Freitas, F., & Borbinha, J. (2010). Designing Digital Preservation Solutions: A Risk Management-Based Approach. International Journal of Digital Curation, 5(1), 4 17. https://doi.org/10.2218/ijdc.v5i1.140 Rebecca D. Frank 3

4. SAA Research Forum Portland, OR 25 July 2017 Theoretical Framework 4 Rebecca D. Frank

5. SAA Research Forum Portland, OR 25 July 2017 Research Questions How do standards developers and auditors conceptualize risk in the context of ISO 16363? What are the differences and similarities by which standards developers and auditors understand risk as it has been communicated by ISO 16363? To what degree do the following seven factors come into play in the assessment of risk for digital repositories: communication, complexity, expertise, organizations, trust, uncertainty, and vulnerability? 5 Rebecca D. Frank

6. SAA Research Forum Portland, OR 25 July 2017 Methods https://flic.kr/p/ovj778 6 Rebecca D. Frank

7. SAA Research Forum Portland, OR 25 July 2017 Data Collection Interviews n CRL: TRAC Auditors, Audit Advisory Panel Members 10 PTAB: Standards Developers, PTAB Board Members (now accredited to conduct ISO 16363 audits) 10* (*Note: 9/10 participants from the PTAB group were asked this question during the interview.) 7 Rebecca D. Frank

8. SAA Research Forum Portland, OR 25 July 2017 Participants CRL PTAB Total 4 0 4 Administration 6 6 12 Role Digital Preservation 0 3 3 IT 10 9 19 Total 8 Rebecca D. Frank

9. SAA Research Forum Portland, OR 25 July 2017 Findings https://flic.kr/p/ovj778 9 Rebecca D. Frank

10. SAA Research Forum Portland, OR 25 July 2017 Sources of Risk Risk Sources CRL PTAB Number of Interviewees (total) 8 5 13 Financial 6 8 14 Technology 7 2 9 Governance 3 5 8 Processes 2 1 3 People 1 1 2 Legal 10 Rebecca D. Frank

11. SAA Research Forum Portland, OR 25 July 2017 Sources of Risk: Financial Financial. It seems like storage always seems to be an issue. I think staff expertise has to be hired and as repositories grow more people are required and with greater realms of expertise. So it's all finance. (CRL_04) 11 Rebecca D. Frank

12. SAA Research Forum Portland, OR 25 July 2017 Sources of Risk: Technology A change in technology. The idea that you really have to have somebody watching what's going on all the time. (PTAB_01) 12 Rebecca D. Frank

13. SAA Research Forum Portland, OR 25 July 2017 Factors in the Social Construction of Risk Risk Factors TRAC PTAB Number of interviewees (total) Uncertainty 4 7 11 Organizations 7 0 7 Vulnerability 3 2 5 Communication 1 3 4 Expertise 1 2 3 Trust 2 1 3 Complexity 0 0 0 13 Rebecca D. Frank

14. SAA Research Forum Portland, OR 25 July 2017 Uncertainty It is almost impossible to prove success you really cannot prove the long term digital preservation success to the satisfaction of your donors or your financial supporters. (PTAB_06) Rebecca D. Frank 14

15. SAA Research Forum Portland, OR 25 July 2017 Organizations It would be organizational support. Bottom line is it's a tremendous amount of resources required to do long-term preservation. Organizational commitment to those types of resources often waxes and wanes. (CRL_06) 15 Rebecca D. Frank

16. SAA Research Forum Portland, OR 25 July 2017 Theoretical Framework 16 Rebecca D. Frank

17. SAA Research Forum Portland, OR 25 July 2017 Next Steps https://flic.kr/p/ovj778 17 Rebecca D. Frank

18. SAA Research Forum Portland, OR 25 July 2017 Next Steps Additional risks identified across interviews Combine with data from interviews with repository staff (n=21) Explore additional factors e.g. Political Culture Look for co-occurring factors 18 Rebecca D. Frank

19. SAA Research Forum Portland, OR 25 July 2017 Acknowledgments Advisor: Elizabeth Yakel, Ph.D., University of Michigan School of Information Committee: Paul Conway, Ph.D., University of Michigan School of Information Paul Courant, Ph.D., University of Michigan Ford School of Public Policy & School of Information Shobita Parthasarathy, Ph.D., University of Michigan Ford School of Public Policy 19 Rebecca D. Frank

20. SAA Research Forum Portland, OR 25 July 2017 Uncertainty & Organizations: The Social Construction of Risk in the Audit and Certification of Trustworthy Digital Repositories Rebecca D. Frank @frankrd frankrd [ at] umich [dot] edu