Appendix E: Audit Requirements and Tests

Note: The main Code of Practice document takes precedence in the case of any conflicts between it and this appendix.

• E.1 Audit Requirements
  • E.1.1 Auditor Setup
  • E.1.2 Audits Where ‘Accounts’ Do Not Apply
• E.2 General Audit Tests
  • E.2.1 Validation Tool
  • E.2.2 SUSHI Endpoints
  • E.2.3 Audit Tests for Double-Click Filtering
• E.3 Audit Tests for Denials
  • E.3.1 Limit_Exceeded
  • E.3.2 No_Licence
• E.4 Audit Tests for Search Metrics
  • E.4.1 Searches_Platform
  • E.4.2 Searches_Regular and Searches_Automated
• E.5 Audit Tests for Investigations and Requests for Books and Reference_Works
  • E.5.1 Books Available as Book_Segments
  • E.5.2 Books Available as Whole Books Where Book_Segments Can Be Identified
  • E.5.3 Books Available as Whole Books Where Book_Segments Cannot Be Identified
  • E.5.4 Investigations Independent of Requests
• E.6 Audit Tests for Investigations and Requests for Other Data_Types
  • E.6.1 Access Types
  • E.6.2 Investigations Independent of Requests
  • E.6.3 Year of Publication