QMF IODE course 14 th septembre 2017 How Ifremer went through the IODE QMF certification process ? Motivation, process and benefits Loïc Petit de la Villéon Head of Sismer French NODC Service Systèmes d’Informations Scientifiques pour la MER (SISMER) Unité Informatique et Données Marines (IDM) Département Infrastructures Marines et Numériques (IMN)
Outlines • Motivations • Context at french level • How did we go through the certification process ? • Preparatory phase • • • ISO 9001 use Documents identification Identify actors • Going through the certification document in details • With highlights on the benefits • And finally some conclusions 2
Motivations – The french context was: Ifremer had a long term experience in data management but with no formal designation as a NODC u Some other institutes would have liked to take over Ifremer’s role “Let me know who make you king” u The Ifremer’s role has NODC has been disputed by the past u So, it was a good opportunity for us to be stamped as a. NODC by IODE u Our institute Ifremer is ISO 9001 acredidated and it had helped us in describing our activity u – 3
Motivations Our institute Ifremer is ISO 9001 accredidated and it had greatly helped us in describing our activity and in identifying lack in documentation u Further more, within the ISO 9001 description of our processus and sub-processus if you go deeper you can identify the necessary human ressources needed for your activity and consequently the lack of human resources u u For all these reasons, we have thought (and still think) that it was beneficial to go through the IODE accreditation process in complement of our ISO 9001 accreditation 4
Key messages – From my point of view, it is necessary to involve the hierarchy of your institute – The IODE accreditation process must be led as a collective work (see one of the following slides) 5
Who was involved? – It is important to note that the work concerning certification process has been led as a Collective work – Must identify key persons that are very aware of the overall « data management activity » of the concerned NODC – In our case: u u Florence Conquet (former Head of Sismer) Michèle Fichaut (Sea. Data. Net / Seadata Cloud coordinator) Gilbert Maudire (head of IT department and data management specialist) Loïc Petit de la Villéon (past head of Sismer and recently new appointed as Head of Sismer 6
How did we proceed? • Preparation phase - Take the best from what we did for the ISO 9001 certification - In the ISO 9001, you have to describe your processus and sub-processus in details – -Describe the activity (ISO 9001) 1 st level Processus “P 8 Collect data …” nd u 2 level processus “SP 0” which describes the cross-cutting activity “Help. Desk” nd u 2 level processus SP 1 SP 9 which details the marine data management process u 7
OCEAN OBSERVATIONS Observations means Cruises Observatories In situ or SP 1 Cruise catalogue Satellites ? SP 2 Research vessels data SP 5 Operational oceanography data SP 7 satellite data Yes Submersibles involved? SP 3 Submersible data No Data types concerned SP 4 Marine physical & chemical data Data coming from outside laboratories SP 6 Biological data Elaboration of products) Data distribution SP 8 reference data & products Catalogue of reference data & products Reference data 8
Preparatory phase How did we proceed? – – – From the exhaustive list of all French NODC activities through the SP 0 to SP 9 description Make the list of all documentation Make the list of all ressources u IT infractructure u Human resources Make the list of all datasets and products u In fact this is a description of all databases and links between them u With for each a list of corresponding documents Make the list of all partnerships and projects in which Ifremer is involved – 9
Benefits - For each activity, identify the missing documents, the missing resources (ISO 9001) Identify the weaknesses in our activity Clearly promote our activity to outside and especially to the financial resources providers (funding agencies, EU or French ministries 10
About the ISO 9001 certification - Ifremer is ISO 9001 certified - Definition of different processus - P 8 is dedicated to the data management from end to end - « Recueillir & mettre à disposition des données sur le milieu marin » « Collect & distribute data from the ocean » 11
And then an accurate description of each sub-processus has been performed: example below 12
Beginning of the process: Cruise schedule 1 st version of the RV cruise schedule Check consistency between prevision and realisation Cruise summary report query Upload Cruise summary report in the server / catalogue Identify missing CSR 1 st draft of the scientific cruises annual report English translation Final archival of the CSR Distribution to BSH for SDN Outcome: Annual report & distribution to SDN 13
And then step by step you identify Person in charge (who? ) Activity step by step (what? ) Documented information (inputs/outputs)
Going into details through the certification document 15
1. Identification of the data centre requesting accreditation IFREMER - INSTITUT FRANÇAIS DE RECHERCHE POUR L'EXPLOITATION DE LA MER Siège social - 155, rue J. J. Rousseau - 92138 Issy Les Moulineaux Cedex Centre Bretagne - ZI de la Pointe du Diable - CS 10070 - 29280 Plouzané Département « Infrastructures Marines et Numériques » Unité « Informatique et Données Marines » « SISMER – Système d’Information Scientifique pour la Mer » The French National Oceanographic Data Centre (FNODC) is operated by IFREMER- SISMER. Message: details the different levels from the top head of your organization 16
Organisation of our document For each IODE QMF requirement - Remind the requirement - Answer how our institute fits to this specific requirement - Add a paragraph “linked documentation” - internal documents - external documents 17
For each IODE QMF requirement : example The NODC shall establish and maintain a quality manual that includes the scope of the quality management system documented procedures established for the quality management system a description of the interaction between the processes of the quality management system. In addition, details of any QMS accreditation attained should be stated Since 2011, IFREMER has implemented a Quality Management System which resulted in a certification ISO 9001: 2008 in November 2012. In December 2014, the certificate was confirmed. Qualification inspections are carried out by professional agency (AFNOR-AFAQ) each year. Translation to the ISO 9001: 2015 is under preparation and new inspections will be carried out within this new QMS version in 2017. All IFREMER activities, from general management of the institute to the coordination of scientific projects are conducted at present in the ISO 9001 QMS. That includes for example: - IFREMER management plan: fundings, staffs … - instrument management plan for high accuracy measurements : calibration, maintenance… - document management plan : availability and long term preservation, - IT management plan: security, recovery after disaster, long term preservation, availability… Within this IFREMER general ISO 9001 QMS, and according of the SISMER role as the French National Oceanographic Data Centre (FNODC), a specific Quality Management Processes is dedicated to marine data management, both for the quality assessment of data and for the quality of related services. 18
For each IODE QMF requirement : example The NODC shall establish and maintain a quality manual that includes the scope of the quality management system documented procedures established for the quality management system a description of the interaction between the processes of the quality management system. In addition, details of any QMS accreditation attained should be stated LINKED DOCUMENTATION IFREMER ISO 9001 Certificat (scanned version of the certificate in Annex I, could be downloaded online at http: //wwz. IFREMER. fr/L-institut/Certification-ISO-9001) ISO 9001 - IFREMER Quality Plan V 2 and all related documentation (only in French, can be requested on demand at qualite@ifremer. fr) ISO 9001 - Manuel d'organisation IFREMER Organisation Manual V 5 (only in French, can be requested on demand at qualite@ifremer. fr) ISO 9001 - Description of Data Management Processus (Processus P 8) (only in French, can be requested on demand at qualite@ifremer. fr) ISO 9001 – Description of IT procedures (Processus P 14) (only in French, can be requested on demand at qualite@ifremer. fr) IOC Manuals and Guides No 67 “IODE Quality Management Framework for National Oceanographic Data Centres” (Reed G. , 2014) IODE Handbook (revised edition 1994) WMO No. 1060 - Manual on the WMO Information System WMO No. 1061 - Guide to the WMO Information System 19
1 Organisational framework 1. 1 Quality Management system The NODC shall establish and maintain a quality manual that includes the scope of the quality management system documented procedures established for the quality management system a description of the interaction between the processes of the quality management system. In addition, details of any QMS accreditation attained should be stated Remind that Ifremer has implemented a general QMS (Quality management System) from general management activities to scientific projects management Remind that Ifremer has a document management plan Remind that Ifremer has a IT management plan …. /…. That are the base of our certification process document 20
1. 2 Proof of expertise and reputation in the area of oceanographic data management The NODC shall describe the range and length of expertise of both the organisation and their staff. Details of datasets and products available from the NODC should also be provided. Any appropriate affiliations (e. g. national or international bodies, etc. ) should be noted. - Here we have situated our “data management activity” within Ifremer activity - We highlighted the history of our data centre (when CNEXO –former name of Ifremer- was created in 1970 it was a political willingness - Organisation of the data management activity - ET infrastructure Information Systems developments data daily management - Staff involved in details 21
1. 2 Proof of expertise and reputation in the area of oceanographic data management The NODC shall describe the range and length of expertise of both the organisation and their staff. Details of datasets and products available from the NODC should also be provided. Any appropriate affiliations (e. g. national or international bodies, etc. ) should be noted. - Staff involved in details We have been using these spreadsheets to verify that the human ressources are in adequation with our policy 22
1. 2 Proof of expertise and reputation in the area of oceanographic data management The NODC shall describe the range and length of expertise of both the organisation and their staff. Details of datasets and products available from the NODC should also be provided. Any appropriate affiliations (e. g. national or international bodies, etc. ) should be noted. -Datasets and products For each of the main databases or information systems, we described: - Short description - Links - Linked documentation Again the benefit was to identify the missing documentation and to centralised it 23
1. 2 Proof of expertise and reputation in the area of oceanographic data management The NODC shall describe the range and length of expertise of both the organisation and their staff. Details of datasets and products available from the NODC should also be provided. Any appropriate affiliations (e. g. national or international bodies, etc. ) should be noted. - Participation to international projects and programs We listed here a quite exhaustive list of the projects where we are involved with a focus on 2 emblematic projects , Just to demonstrate that the data management activity we lead is not a stand alone activity but an activity very linked to ouside projects 24
1. 2 Proof of expertise and reputation in the area of oceanographic data management The NODC shall describe the range and length of expertise of both the organisation and their staff. Details of datasets and products available from the NODC should also be provided. Any appropriate affiliations (e. g. national or international bodies, etc. ) should be noted. - Relationships with non academic bodies We listed here some other partnerships mainly national partnerships , This allows us to see that we are more focussed on providing a data service mostly dedicated to the research community rather that other communities (industry, water agencies, …) 25
1. 3 Commitment to provide sufficient resources for NODC operations The NODC shall provide evidence that it is hosted by a recognized institution to ensure long-term stability and sustainability. Sufficient funding, including staff resources, IT resources and a budget for attending meetings, should be provided, ideally for a 3 to 5 year period We detailled here everything that can prove that our data management activity is a long term activity relying on the strength of an important research institute (Ifremer) -Budget is detailled with a highlight on the recurent budget (salaries not included) -Staff is detailled again showing that the activity , relies on permanent staff with limited amount of short term employees Organisation is detailled again 26
1. 4 Commitment to return data holdings to originators, or lodging with an alternative repository, if the NODC becomes unsustainable A long-term stewardship plan should be available including: A statement on how the NODC is funded and for how long. Action to be taken in the event that the NODC becomes unsustainable In addition to our own data system replication we have detailled here that most of the datasets we manage are duplicated and hosted in other data centres. This is also detailled in the last section (ET infrastructure) - Seadata cloud - Argo - Emodnet - partners … , 27
1. 6 Provide national reports to the IODE Committee The NODC shall provide a national report to each session of the IODE Committee in accordance with the standard format provided. Done for many years ! Even if some of them have been delivered with delays. IFREMER (CNEXO) is participating to the IODE activities since 1971 , 28
2. Quality control and maintenance 2. 1 Adherence to IODE Standards and Best Practice The NODC must provide evidence of adherence to IODE recommended standards and best practice to ensure the quality of exchanged data. For more information see IODE/JCOMM Ocean Data Standards (http: //www. oceandatastandards. org) and the JCOMM Catalogue of Practices and Standards (http: //bestpractice. iode. org) This issue was shortly adressed just to say that we keep in mind the IODE recommandations and that the QC procedures are managed within the projects but using IODE recommandations when available , 29
2. Quality control and maintenance 2. 2 Maintain a discovery metadata catalogue The NODC shall maintain a discovery metadata catalogue that will store metadata about their datasets. ISO 19115 (Geographic Information - Metadata) is the international standard that sets out a number of metadata fields for describing spatial information datasets. ISO 19139 (Geographic Information Metadata - XML schema implementation) is the standard that aims to define an XML encoding for the metadata elements defined in ISO 19115. The ISO 19115 metadata standard (or a profile) is to be used to generate metadata records. Indeed this is a very important activity which needs to put effort on «Users can access the data when they know where to reach them Users that don’t where the data are lying have difficulty to access the data » Necessity to have a discovery catalogue , Described also in section 3. 2 « describe facilities available at the NODC for data discovery-Access-Retrieval 30
2. Quality control and maintenance 2. 2 Maintain a discovery metadata catalogue The NODC shall maintain a discovery metadata catalogue that will store metadata about their datasets. ISO 19115 (Geographic Information - Metadata) is the international standard that sets out a number of metadata fields for describing spatial information datasets. ISO 19139 (Geographic Information Metadata - XML schema implementation) is the standard that aims to define an XML encoding for the metadata elements defined in ISO 19115. The ISO 19115 metadata standard (or a profile) is to be used to generate metadata records. We presented our Ifremer catalogues: - http: //data. ifremer. fr and http: //en. data. ifremer. fr objective: to assist users to answer « where are the data » - http: //www. sextant. fr/ and http: //sextant. ifremer. fr/en Inspire compatible Interoperable Showcase site for initialy GIS products and now description of all products and networks data manage in our data centre , 31
2. Quality control and maintenance 2. 2 Maintain a discovery metadata catalogue The NODC shall maintain a discovery metadata catalogue that will store metadata about their datasets. ISO 19115 (Geographic Information - Metadata) is the international standard that sets out a number of metadata fields for describing spatial information datasets. ISO 19139 (Geographic Information Metadata - XML schema implementation) is the standard that aims to define an XML encoding for the metadata elements defined in ISO 19115. The ISO 19115 metadata standard (or a profile) is to be used to generate metadata records. But don’t forget that you can rely on outside catalogues: - Seadata. Net - EDMO - EDMED - CSR …… , 32
2. Quality control and maintenance 2. 3 Ensure data are collected according to defined quality principles and accepted procedures The NODC should be able to advise on data collection procedures and should be able to direct data collecting organisations to appropriate standards, where these exist. Provide details of data guidelines used for the collection of data. This is quite easy to do once you performed the preparation work of identifying all your documents, format description, procedures Note that some of our documents are restricted for internal use only. We made a list of those documents and mentionned that they are available « on request » , 33
Just an additional comment on our documents management policy We decided to attach a DOI –Digital Object Identifier- on each document whenewer it is possible A DOI is unique and allows: - to cite correctly a document - to make the documents available on the web through a landing page - to simply include them in a web site by just adding a link - to keep the historical or previous versions , of a document with the possibility to hide the obsolete versions 34
Just an additional comment on our documents management policy Example: http: //doi. org/10. 13155/33951 redirect you on a landing (web page) , 35
Just an additional comment on our documents management policy , 36
Another example : http: //doi. org/10. 13155/50015 You will find some documents that may be of some interest , 37
Another example : http: //doi. org/10. 13155/50015 You will find some documents that may be of some interest How to cite Fichaut Michele, Maudire Gilbert, Conquet Florence, Petit De La Villéon Loic (2016). IODE accreditation file submitted by the French National Oceanographic Data Centre. R. INT. IMN/IDM/SISMER 16 -046. http: //doi. org/10. 13155/50015 , 38
– 2. Quality control and maintenance 2. 4 Description of quality control procedures applied to data The NODC should provide descriptions of quality control procedures and algorithms that are used to process data. This should include references to the quality flag system used. In this section, we just described shortly all the tools (software ) that we use to apply quality control procedure depending on which type of data they are applied to. (physical, chemical, biology, geophisical data) The most important is the link to the manuals, , specifications documents and …. 39
– 3. User access and communication 3. 1 Commited to, and focus on, customer service The NODC should be commited to customer service and should provide information on: - Response time to inquiries for data and information -Description of aimed service level for responding to user requests (if these not available online). - Whether an Enquiries or Help Desk is available - Details of surveys of customer satisfaction undertaken Once again, we have considered that this is very important to consider « data management » as a service to data providers and to data users We have worked using the ITIL recommendations (Ifremer is not ITIL certified) , ITIL Information Technology Infrastructure Library, is a set of detailed practices for IT service management (ITSM) 40
– 3. User access and communication 3. 1 Commited to, and focus on, customer service The NODC should be commited to customer service and should provide information on: - Response time to inquiries for data and information -Description of aimed service level for responding to user requests (if these not available online). - Whether an Enquiries or Help Desk is available - Details of surveys of customer satisfaction undertaken Service desk is organised with 3 levels of support: - level 1: basic support and wiki documented queries - level 2: broader understanding of the query (specialist) - level 3: higher level of expertise on a specific problem 41
– 3. User access and communication 3. 1 Commited to, and focus on, customer service The NODC should be commited to customer service and should provide information on: - Response time to inquiries for data and information -Description of aimed service level for responding to user requests (if these not available online). - Whether an Enquiries or Help Desk is available - Details of surveys of customer satisfaction undertaken Benefits: - once again setting up a service desk forced us to clearly document (wiki) the queries that come the most often - involves all the member of the team. It has obliged each member of the team to go out off its own garden - helps to measure the satisfaction of the users 42
– 3. User access and communication 3. 2 Commited to, raising awareness of the holdings and promoting the use of the data Describe facilities available at the NODC for the data Discovery-Access-Retrieval including details of how the data can be searched (e. g. online metadata catalogue or data portal) 3. 1 Commitment is linked to 2. 2 Maintain a discovery metadata catalogue and we also adressed this issue in 1. 2 Proof of expertise We set up a portal to help in discovering the data : 43
– 3. User access and communication 3. 2 Commited to, raising awareness of the holdings and promoting the use of the data Describe facilities available at the NODC for the data Discovery-Access-Retrieval including details of how the data can be searched (e. g. online metadata catalogue or data portal) Benefits: - we noted that it was not so easy to find the data when you are not a specialist - This forced us to put ourselves in the role of the users - This section was also an opportunity to list and to show our different portals 44
– 3. User access and communication 3. 2 Commited to, raising awareness of the holdings and promoting the use of the data Describe facilities available at the NODC for the data Discovery-Access-Retrieval including details of how the data can be searched (e. g. online metadata catalogue or data portal) We took also the opportunity of this section to promote a tool that : - can ingest new datasets - attach a DOI - propose a citation - propose that data ingested could be further included in existing database 45
– 3. User access and communication 3. 3 Published Data Policy and adherence to the IOC Oceanographic Data Exchange Policy The NODC should have a policy on data access. In general the NODC should aim to make data and metadata freely available, although it is recognised there may be restrictions on access to data for a number of reasons including national security, commercial confidentiality, and for scientific research to allow the principle investigators to exploit the data. Here we just reminded that Ifremer data policy is mostly an open data policy which is consistant with the data policy of the major projects we are involved in (Seadata. Net, Copernicus The most important is to publish the data policy and to clearly say when the data are available « on request » or « on restricted access » . This the case for some bathymetric and seismic data or fisheries data 46
– 3. User access and communication 3. 3 Published Data Policy and adherence to the IOC Oceanographic Data Exchange Policy The NODC should have a policy on data access. In general the NODC should aim to make data and metadata freely available, although it is recognised there may be restrictions on access to data for a number of reasons including national security, commercial confidentiality, and for scientific research to allow the principle investigators to exploit the data. 47
4 Technical infrastructure 4. 1 Description of hardware and software systems used to manage and archive data The NODC shall provide documentation on the data centre’s operating environment (hardware, software). This should be appropriate to the services provided to its customers We have not been going through this section in details as the IT infrastructure is continuoulsy evolving We just described in 2 sections: - the technical infrastructure for data archiving and long term preservation - the technical infrastructure for data access We highlighted the fact that these technical functions are assured by a technical team in charge of all ET infrastructure and which is responsible of maintaining a technical field wider that only the data management field 48
– 4 Technical infrastructure 4. 2 Security Policy outlining the infrastructure for protection of the facility and its data, products and services The NODC should have a security policy describing how the data holdings are protected from both malicious and accidental loss. 3 items were described in this section: - Physical protection of data holdings - Access to network - Security of personal We listed all documents appliable even if they are not public Note: this security policy is the same for all the activities of Ifremer. Data management security policy is not a sub part of the overall policy 49
Overall benefits - Going through the full certification process was a win-win process - Helped us in clearly list our activities - Helped us in identifying our weaknesses - Especially our weaknesses in term of missing documentation - Helped us in identifying where we have to put our efforts on 50
Overall benefits - And in addition: - Made the team proud of the work done - Gives us a communication tool for outside partners - Gives a communication tool for the management of our institute …. . and convince them to support and to fund the data management activity on a long term - Encourage the team involved to continue in this way 51
My last conclusion I strongly encourage you all to go through the certification process. This will be a bit time-consuming, but the results can be of the greatest value for your NODC 52
Contacts Helpdesk: sismer@ifremer. fr Or Loic. Petit. De. La. Villeon@ifremer. fr Thank you for listening …… 53
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