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IR-AUDIT

Contents
Articles
SUNScholar/Audit 1
SUNScholar/Audit/Section 1 3
References
Article Sources and Contributors 9
Article Licenses
License 10

SUNScholar/Audit 1
SUNScholar/Audit
Back to Guidelines - Step 1
Formulation
This is usually a memorandum of understanding between the repository management team and the institutions
research office which is used by library top management to assess the quality of the repository and whether the
repository is meeting the institutions business or academic objectives.
See: http://www.rsp.ac.uk/embeddingguide
Essential Reading (Only available online)
•• 2012 - CCSDS - REFERENCE MODEL FOR AN OPEN ARCHIVAL INFORMATION SYSTEM (OAIS) -
PDF DOWNLOAD
•• 2011 - CCSDS - AUDIT AND CERTIFICATION OF TRUSTWORTHY DIGITAL REPOSITORIES
•• 2010 - GEORGIA STATE USA - PREFERRED PRACTICES FOR HISTORICAL REPOSITORIES
•• 2007 - NISO - A FRAMEWORK OF GUIDANCE FOR BUILDING GOOD DIGITAL COLLECTIONS - PDF
DOWNLOAD
• 2007 - NISO - A FRAMEWORK OF GUIDANCE FOR BUILDING GOOD DIGITAL COLLECTIONS - VIEW
ONLINE
[1]
•• 2003 - ARL - CLIFFORD LYNCH - INSTITUTIONAL REPOSITORIES: ESSENTIAL INFRASTRUCTURE
FOR SCHOLARSHIP IN THE DIGITAL AGE
•• 2002 - RLG OCLC - TRUSTED DIGITAL REPOSITORIES
Introduction
An audit tries to answer several of the following questions from users.
• How can I trust that the information in this repository is accurate and authoritative?
• How can I trust that the embargoes I request, will be properly enforced?
• How can I trust that the information I digitally store, will be available now and in the future, on the internet?
• How can I trust that my bibliography of electronic citations using the repository, will work today and in the
future, on the internet?
Accounting Analogy
We are very aware of the accounting audit function. In the course of an enterprise conducting business, records of
account are kept by clerics and bookkeepers which are then managed by accountants. Auditors inspect the work of
the accountants to determine if the accounts satisfy generally accepted accounting principles (GAAP
[2]
). If they do,
then they sign the financial statements.
A similar process could be involved in the audit of open access publishing systems. A possible definition of the
process could be as follows:
"In the course of a University conducting research, publications are produced by researchers which are then
deposited into a research repository by research librarians. The research collections in the repository are managed by
research repository managers. Auditors inspect the work of the research repository managers to determine if the
repository satisfies generally accepted repository practice (GARP). If it does, then they certify the repository for an
agreed period of time."
GARP or Generally Accepted Repository Practice
Below are listed some sections that could form part of the audit and a draft GARP document, that would allow the
audit to proceed in a generally accepted manner,
•• Section 1: Policy

SUNScholar/Audit 2
•• Section 2: Preservation
•• Section 3: Sustainability
•• Section 4: Visibility
•• Section 5: Security
•• Section 6: Ingest
•• Section 7: Customisation
•• Section 8: Digitisation
•• Section 9: Promotion
•• Section 10: Legal
•• Section 11: Community
Example reports
Below are links to what an audit report may look like. These are very brief and are NOT authoritative at ALL.
• SUNScholar - 2012
[3]
: http://scholar.sun.ac.za
• UNAM Scholar - 2012
[4]
: http://repository.unam.na
If audits are conducted, using GARP as described above, as the accepted benchmark amongst library professionals,
then the report would be a valuable tool for library top management, to assess the quality of the repository and to
suggest where corrective strategic and tactical measures should be taken, to meet the academic or business objectives
of the institution.
Shortened Web Link
http://bit.ly/garpir'''
References
[1] http://wiki.lib.sun.ac.za/digital-collection
[2] http://en.wikipedia.org/wiki/Generally_accepted_accounting_principles
[3] http://wiki.lib.sun.ac.za/images/4/40/Audit-sunscholar.pdf
[4] http://wiki.lib.sun.ac.za/images/3/35/Audit-unam.pdf

SUNScholar/Audit/Section 1
Section 2
SECTION 1 - POLICY
1.1. Policy is required to ensure that no predatory tactics are employed to rob the University and the public of
important public digital research assets.
2. Research that is publicly funded should be made publicly available using open and interoperable digital
systems and standards.
3. The policy must ensure that all research digital assets are deposited into a repository so that the University has
effective physical ownership of the research digital asset which uses an open digital format.
http://wiki.lib.sun.ac.za/index.php/SUNScholar/Guidelines/Step_1
•• Budapest Open Access Initiative - On policy
•• Policy Development
•• Closed Access
Back to Audit
Section 3
SECTION 2 - PRESERVATION
1.1. Preserving digital assets is necessary to ensure that the digital assets are available to future researchers using
future technology.
2.2. Preservation also ensures that electronic citations using internet technology are always resolvable.
3. Preservation must record the provenance
[1]
of each digital object and repository collection using open metadata
standards.
•• Repository Preservation
• Digital Collection Management
[2]
•• Metadata
Back to Audit
References
[1] http://en.wikipedia.org/wiki/Provenance
[2] http://wiki.lib.sun.ac.za/images/5/51/Managing_Digital_Collections.pdf

Section 4
SECTION 3 - SUSTAINABILITY
1.1. Sustaining the repository over time will require significantly more technology resources than sustaining a
traditional print collection of materials.
2.2. A directed and sustained effort should be made to build capacity by sourcing the technology skills and expertise
locally, in order to be independent, in support of the repository.
Definitions
http://opensource.com/life/14/1/evaluate-sustainability-open-source-project
Wikipedia
http://en.wikipedia.org/wiki/Sustainability
•• Budapest Open Access Initiative - On infrastructure and sustainability
•• Building Capacity
•• Change Management
Back to Audit

Section 5
SECTION 4 - VISIBILITY
Since the internet contains thousands of websites, a directed effort should be made to ensure that the digital assets of
the repository remain highly visible on the internet by employing tools and tactics that are best suited to the task.
Definition
Definition of visibility according to the Oxford English dictionary: "The condition, state, or fact of being visible;
visible character or quality; capacity of being seen (in general, or under special conditions)." "The degree to which
something impinges upon public awareness; prominence."
•• Budapest Open Access Initiative - On advocacy and coordination
•• Web Metrics
•• Google
•• Rankings
•• Harvesters
Back to Audit
Section 6
SECTION 5 - SECURITY
Security of the repository must be ensured for the following reasons:
1.1. The vital digital research outputs must be secured from a system disaster.
2.2. The repository must be secured from intrusion via the internet by unauthorised persons.
3.3. The connection to the repository via the internet must be secured to protect the usernames and passwords of
repository users.
•• Disaster Recovery
•• Firewall
•• Secure Internet Connections
Back to Audit

Section 7
SECTION 6 - INGEST
Ingest of research digital assets and metadata must be actively pursued and monitored using automatic and manual
methods.
•• Automatic
•• Manual
•• Metadata
Back to Audit
Section 8
SECTION 7 - CUSTOMISATION
1.1. Customisation of the repository is usually required to make it fit for the purpose it was created.
2. However customisation is usually a once-off task and can be accomplished by highly skilled third parties such as
Java programmers and Web 2.0 designers, therefore evaluation of customisation will be subjective but the
appropriate fitness for purpose
[1]
can be evaluated by surveying a sample group of users.
3.3. If the customisation is to be preserved on the repository system for the long term, then adequate resources
must be provided to ensure continuity of the customisation during system upgrades.
http://wiki.lib.sun.ac.za/index.php/SUNScholar/Customisation
•• Theme
•• Collections
•• Submissions
•• Search
Back to Audit
References
[1] http://en.wikipedia.org/wiki/Lean_Startup

Section 9
SECTION 8 - DIGITSATION
Once the repository has been established then an intensive program of retroactive digitisation can begin.
•• Objectives
•• Library Digitisation Policy
•• Digital Formats
•• Digitisation Equipment and Services
•• Guidelines for scanners
Back to Audit
Section 10
SECTION 9 - PROMOTION
Does the institution actively promote the repository and provide detailed user help guides, news and
information in support of the repository?
•• Budapest Open Access Initiative - On advocacy and coordination
• http://wiki.lib.sun.ac.za/index.php/SUNScholar/Release_Schedule
• http://wiki.lib.sun.ac.za/index.php/SUNScholar
• http://lists.lib.sun.ac.za/mailman/listinfo/scholar
• http://blogs.sun.ac.za/sunscholar
• http://oa.sun.ac.za
• http://twitter.com/usscholar
• http://www.facebook.com/pages/Stellenbosch-South-Africa/University-of-Stellenbosch-Scholar/
181640938009
Back to Audit

Section 11
SECTION 10 - LEGAL
1.1. Does the repository comply with all the appropriate intellectual property laws?
2.2. Are there procedures and practices in place to ensure intellectual property law compliance?
•• Embargo
•• Copyright
•• Budapest Open Access Initiative - On licensing and reuse
•• What is a pre-print/post-print?
Back to Audit
Back to Audit
SECTION 11 - COMMUNITY
1.1. Since the repository system benefits greatly, from free community contributions of software and documentation,
it is fair to ask how the institution using these contributions gives back to the communities involved.
2.2. The more support there is for the communities, the more sustainable they become.
3.3. The institution using community software and documentation can be evaluated for their contributions, by
checking to see if they contribute to the following organisations:
1. http://www.dspace.org
2. http://www.duraspace.org
3. http://www.ubuntu.com
4. http://pkp.sfu.ca
Does the institution make individual contributions?
Examples are listed below.
• http://wiki.lib.sun.ac.za/index.php/SUNScholar/IR
• http://www.ir-africa.info

Article Sources and Contributors 9
Article Sources and Contributors
SUNScholar/Audit ��Source: http://wiki.lib.sun.ac.za/index.php?oldid=26804 ��Contributors: Hgibson
SUNScholar/Audit/Section 1 ��Source: http://wiki.lib.sun.ac.za/index.php?oldid=26224 ��Contributors: Hgibson

Image Sources, Licenses and Contributors 10
License
Attribution 3.0 Unported
http://creativecommons.org/licenses/by/3.0/

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