1. Audit & Certification in APARSEN
Barbara Sierman
KB National Library of the Netherlands
iPRES 2013, Lisboa,

2. 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“)

3. 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 or DIN 31644)
Formal Certification (self-assessment based on DSA plus full external audit of ISO or DIN 31644)

4. 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)

5. The auditors Test audit and test auditors (“self-appointed”)
Formal auditors will comply to ISO 16919
All participated in creating ISO or DIN 31644
Experienced in digital preservation
Expertise in various domains

6. 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

7. 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

8. 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

9. 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

10. Statement TDR Every professional digital repository should be
ISO/ DIN certified
within 3 years after starting its activities

11. Network of Excellence