Audit & Certification in APARSEN Barbara Sierman KB National Library of the Netherlands iPRES 2013, Lisboa, 3-9-2013
Audit & Certification services Assistence with preparing organizations for an audit Saves time and contributes to confidence Support based on experience Early notice of pitfalls and holes Training auditors We need experienced auditors Recruiting locally (language, legal aspects, „landscape“)
European Framework for Audit & Certification Basic Certification (based on Data Seal of Approval) Extended Certification (self-assessment based on DSA plus self- audit based on ISO 16363 or DIN 31644) Formal Certification (self-assessment based on DSA plus full external audit of ISO 16363 or DIN 31644)
Who was audited? Europe United States Deutsche National Bibliothek DANS Data Archiving & Networked Services UKDA UK Data Archive CINES Centre Informatique National de l'enseignement supérieur United States NASA’s National Space Science Data Center (NSSDC) The Socioeconomic Data and Applications Center (SEDAC) Center for Earth Science Information (CIESIN) Kentucky Department for Libraries and Archives (KDLA)
The auditors Test audit and test auditors (“self-appointed”) Formal auditors will comply to ISO 16919 All participated in creating ISO 16363 or DIN 31644 Experienced in digital preservation Expertise in various domains
The way we worked Audit team developed Self audit Checklist Self audit Summary Expectations document Repository phrased evidence for each metric Added relevant documents to underpin this Audit team Extra evidence needed? Designed audit approach Identified topics for further investigation
The way we worked Audit team Audit team & Repository 2 days site visit (Huge audit team!) Discussion between auditors about findings Brief summary of the findings Audit team Wrote Audit Report Highlighted main improvement areas identified (metrics) “Consistency” between reports Repository Gave feedback
Lessons learnt Audit team Repositories Achieving consistency is time consuming Preparation for structured aproach Important: Manage expectations of repositories Repositories Rewarding process: external feedback & confidence Helped to identify areas for improvement Time consuming, but needed the documentation anyway
Opportunities Test and other sources show: Clear need for audit & certification framework Development of various services training of auditors (ISO 16919) training for repositories to prepare audit specialized training modules
Statement TDR Every professional digital repository should be ISO/ DIN certified within 3 years after starting its activities
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