Knowledge & Skill Expectations For Records Management Auditors

According to ISO 19011 2011 Annex A.5, auditors that
intend to examine records management systems:

  • Need to have records management knowledge and skills, and

  • Be able to apply records management methods, techniques, processes, and practices.

They must have the knowledge and skills needed to examine records
management systems and to generate appropriate audit findings and
reach valid conclusions.

The following examples illustrate the kind of knowledge and skills
that records management auditors need to have. They should:

1. Understand records management terminology.

2. Understand performance measurement and metrics.

3. Understand how practices are investigated and evaluated.

3.1. Understand interview methods and techniques.

3.2. Understand observational methods and techniques.

3.3. Understand validation methods and techniques.

4. Understand record sampling and analysis methods.

4.1. Understand key characteristics of records.

4.2. Understand key characteristics of records systems.

4.3. Understand key characteristics of records processes.

4.3.1. Understand characteristics of process controls.

5. Understand risk assessment methods and practices.

5.1. Understand records management risk assessment.

6. Understand processes used to manage records.

6.1. Understand processes used to create records.

6.2. Understand processes used to capture records.

6.3. Understand processes used to control records.

7. Understand system performance assessment methods.

7.1. Understand how to assess records systems.

7.1.1. Understand how to assess the tools used.

7.1.2. Understand how to assess the facilities used.

7.1.3. Understand how to assess the equipment used.

8. Understand records management competence requirements.

8.1. Understand how to identify competence requirements.

8.2. Understand how to assess personal competence.

9. Understand records and records systems requirements.

9.1. Understand metadata concepts and requirements.

9.2. Understand content and contextual requirements.

9.3. Understand representational requirements.

9.4. Understand structural requirements.

10. Understand the development of records-specific instruments.

11. Understand the technologies used to manage digital records.

11.1. Understand the technologies used to create records.

11.2. Understand the technologies used to capture records.

11.3. Understand the technologies used to convert records.

11.4. Understand the technologies used to migrate records.

11.5. Understand the technologies used to preserve records.

12. Understand documents used to authorize records processes.

Please note that these are only examples. No attempt has been
made to provide a complete list of records management knowledge
and skill expectations. You're free to add your own knowledge and
skill expectations to this list.

Praxiom Research

OTHER KNOWLEDGE AND SKILL EXPECTATIONS

Quality Management Auditing Knowledge and Skills

Continuity Management Auditing Knowledge and Skills

Environmental Management Auditing Knowledge and Skill

Occupational Health and Safety Auditing Knowledge and Skill

Information Security Management Auditing Knowledge and Skill

Transportation Safety Management Auditing Knowledge and Skill

OTHER ISO 19011 PAGES

Introduction to Auditing Standard

Plain English Auditing Definitions

Brief Overview of Auditing Standard

ISO 19011 Translated into Plain English

How to Plan and Perform Management Audits

How to Audit Records Management Audit Programs


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 Updated on December 19, 2015. First published on May 24, 2012.

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