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  Preservation Procedure Policy: Standard for Audit and certification
Related Guidance Policy
Audit and Certification
Definition/ Description An audit might lead to a certification of a digital repository if the repository meets the qualifications.
Why If an organisation has the explicit wish, or is forced to be by funders, for example, to undergo an audit, it is important to mention which standards for Audit and Certification are applicable. Currently the main standards are
-      Data Seal of Approval
-      DIN 31644
-      ISO 16363
The European Framework for Audit and Certification describes three levels: from basic to full certification.
Risks If the level of Audit and Certification is not mentioned, the funding bodies and the public might be misled
Life cycle stage Curate and Preserve
Stakeholder Management: decides whether an audit and certification will take place
Auditor: responsible for the audit process
Cross Reference Standards
Examples National Library of Australia: “In developing or adopting relevant systems and infrastructure, the Library aims to operate within the principles of reliable digital repositories as defined by international standards and best practices(…)” Source:, http://www.nla.gov.au/policy-and-planning/digital-preservation-policy

John Hopkins University Libraries:  “The Sheridan Libraries Library Digital Program and the Sheridan Libraries Systems Department are responsible for repository audits. The repository audit establishes confidence in the authenticity and completeness of digital content. All managed activities will be documented according to evolving standards so as to provide an audit trail which meets criteria as described in the Implementation Plan required by projects such as The Center for Research Libraries Trustworthy Repositories Audit and Certification (TRAC)” Source: http://old.library.jhu.edu/collections/institutionalrepository/irpreservationpolicy.html
Control Policy To be able to achieve this objective, the control policies will be described in the sections relating to the specific activity, there isn’t anything specific to Audit and Certification per se.
Questions to foster discussions
  • Has your organisation decided whether to be certified or not?
  • Has your organisation decided on a standard to use in the certification process?
  • What is the main reason to get audited/certified?
  • Are all staff members involved in digital preservation aware of the consequences of being audited?
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