Difference between revisions of "SUNScholar/Audit"

From Libopedia
Jump to navigation Jump to search
m
 
(41 intermediate revisions by the same user not shown)
Line 3: Line 3:
 
</center>
 
</center>
  
;Formulation
+
===Standards===
This is usually a memorandum of understanding between the [[SUNScholar/Capacity_Building|repository management team]] and the [[Stellenbosch_University/Research_Office|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.iso16363.org
 +
The following [http://opensource.com/business/15/5/write-better-docs documentation] was downloaded from the above site on 2015/05/11:
 +
*[[Media:PREPARING-FOR-AN-ISO-16363-AUDIT1.pdf|Preparing for an ISO 16363 audit]]
 +
*[[Media:Self-assessment-template-iso16363.xls|ISO 16363 audit self assessment spreadsheet]]
 +
Also see: http://www.datasealofapproval.org
  
See: http://www.rsp.ac.uk/embeddingguide
+
===Formulation===
 +
The audit is usually an activity undertaken between the [[SUNScholar/Capacity_Building|repository management team]] and the [[Stellenbosch_University/Research_Office|institutions research office]].
  
;[[SUNScholar/Essential Reading|Essential Reading (Only available online)]]
+
It is used by library top management to assess the quality of the repository and whether the repository is meeting the institution's business or academic objectives.
*[[Media:2014-niso-oa-metadata-standards-draft.pdf|2014 - NISO DRAFT - OPEN ACCESS METADATA STANDARDS]]
 
*[[Media:Oa-proposal-sustainable.pdf|2014 - KN - A SCALABLE AND SUSTAINABLE APPROACH TO OPEN ACCESS PUBLISHING]]
 
*[[Media:A-vision-for-osc-infrastructure.pdf|2013 - DLIB - A VISION TOWARDS SCIENTIFIC COMMUNICATION INFRASTRUCTURES]]
 
*[[Media:Reference-model-for-an-open-archival-information-system.pdf|2012 - CCSDS - REFERENCE MODEL FOR AN OPEN ARCHIVAL INFORMATION SYSTEM (OAIS) - PDF DOWNLOAD]]
 
*[[Media:652x0m1.pdf|2011 - CCSDS - AUDIT AND CERTIFICATION OF TRUSTWORTHY DIGITAL REPOSITORIES]]
 
*[[Media:Ppfhr.pdf|2010 - GEORGIA STATE USA - PREFERRED PRACTICES FOR HISTORICAL REPOSITORIES]]
 
*[[Media:Framework3.pdf|2007 - NISO - A FRAMEWORK OF GUIDANCE FOR BUILDING GOOD DIGITAL COLLECTIONS - PDF DOWNLOAD]]
 
*'''[http://wiki.lib.sun.ac.za/digital-collection 2007 - NISO - A FRAMEWORK OF GUIDANCE FOR BUILDING GOOD DIGITAL COLLECTIONS - VIEW ONLINE]'''
 
*[[Media:Arl-br-226.pdf|2003 - ARL - CLIFFORD LYNCH - INSTITUTIONAL REPOSITORIES: ESSENTIAL INFRASTRUCTURE FOR SCHOLARSHIP IN THE DIGITAL AGE]]
 
*[[Media:Tdr-oclc.pdf|2002 - RLG OCLC - TRUSTED DIGITAL REPOSITORIES]]
 
  
;Introduction
+
See: http://www.rsp.ac.uk/embeddingguide
An audit tries to answer several of the following questions from users.
+
 
 +
===Purpose===
 +
An audit tries to answer several of the following questions from a users perspective.
  
 
*How can I trust that the information in this repository is [[SUNScholar/Metadata|accurate and authoritative]]?
 
*How can I trust that the information in this repository is [[SUNScholar/Metadata|accurate and authoritative]]?
 
*How can I trust that the [[SUNScholar/Embargo|embargoes I request]], will be properly enforced?
 
*How can I trust that the [[SUNScholar/Embargo|embargoes I request]], will be properly enforced?
*How can I trust that the [[SUNScholar/Repository_Preservation|information I digitally store]], will be available now and in the future, on the internet?
+
*How can I trust that the [[SUNScholar/Repository_Preservation|information I digitally store]], will be available openly now and in the future, on the internet?
*How can I trust that my [[SUNScholar/Digital Preservation/Policy/Electronic Citation Management|bibliography of electronic citations]] using the repository, will work today and in the future, on the internet?
+
*How can I trust that my [[SUNScholar/Electronic_Citation_Persistence|bibliography of electronic citations]] using the repository, will work today and in the future, on the internet?
  
;Accounting Analogy
+
===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 ([http://en.wikipedia.org/wiki/Generally_accepted_accounting_principles GAAP]). If they do, then they sign the financial statements.
 
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 ([http://en.wikipedia.org/wiki/Generally_accepted_accounting_principles GAAP]). If they do, then they sign the financial statements.
  
Line 35: Line 32:
 
"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."
 
"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
+
==='''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,  
 
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,  
  
Line 43: Line 40:
 
*[[SUNScholar/Audit/Section 4|Section 4: Visibility]]
 
*[[SUNScholar/Audit/Section 4|Section 4: Visibility]]
 
*[[SUNScholar/Audit/Section 5|Section 5: Security]]
 
*[[SUNScholar/Audit/Section 5|Section 5: Security]]
*[[SUNScholar/Audit/Section 6|Section 6: Ingest]]
+
*[[SUNScholar/Audit/Section 6|Section 6: Submissions]]
 
*[[SUNScholar/Audit/Section 7|Section 7: Customisation]]
 
*[[SUNScholar/Audit/Section 7|Section 7: Customisation]]
 
*[[SUNScholar/Audit/Section 8|Section 8: Digitisation]]
 
*[[SUNScholar/Audit/Section 8|Section 8: Digitisation]]
Line 49: Line 46:
 
*[[SUNScholar/Audit/Section 10|Section 10: Legal]]
 
*[[SUNScholar/Audit/Section 10|Section 10: Legal]]
 
*[[SUNScholar/Audit/Section 11|Section 11: Community]]
 
*[[SUNScholar/Audit/Section 11|Section 11: Community]]
 +
*[[SUNScholar/Audit/Section 12|Section 12: Governance]]
  
;Example reports
+
===Example reports===
 
Below are links to what an audit report may look like. '''These are very brief and are NOT authoritative at ALL.'''
 
Below are links to what an audit report may look like. '''These are very brief and are NOT authoritative at ALL.'''
 
*[http://wiki.lib.sun.ac.za/images/4/40/Audit-sunscholar.pdf SUNScholar - 2012]: http://scholar.sun.ac.za
 
*[http://wiki.lib.sun.ac.za/images/4/40/Audit-sunscholar.pdf SUNScholar - 2012]: http://scholar.sun.ac.za
Line 57: Line 55:
 
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.
 
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
+
===[[SUNScholar/References|References]]===
Please use the following shortened link when referencing this guide in academic literature or on other web sites.<br>''PS: It is also easy to remember should you want to do an online presentation using this guide.''
+
*http://viennaprinciples.org
<big>'''http://bit.ly/garpir'''</big>
+
[[Category:Help]]

Latest revision as of 17:35, 24 July 2016

Back to Guidelines - Step 1

Standards

See: http://www.iso16363.org

The following documentation was downloaded from the above site on 2015/05/11:

Also see: http://www.datasealofapproval.org

Formulation

The audit is usually an activity undertaken between the repository management team and the institutions research office.

It is used by library top management to assess the quality of the repository and whether the repository is meeting the institution's business or academic objectives.

See: http://www.rsp.ac.uk/embeddingguide

Purpose

An audit tries to answer several of the following questions from a users perspective.

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). 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,

Example reports

Below are links to what an audit report may look like. These are very brief and are NOT authoritative at ALL.

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.

References