Records management audits provide organisations with an objective assessment of how well records are being created, managed, protected, retained, and disposed of. Without regular audits, gaps in compliance, governance, and operational practice often go unnoticed until an audit finding, investigation, or legal matter exposes significant risk.
Our Records Management Audit service delivers a structured, independent evaluation of your records management environment against recognised standards, legal obligations, and best practices—with clear, practical recommendations for improvement.
Certified Expertise You Can Trust
COR Concepts provides records management audits led by certified ISO 15489 and ISO 30301 Lead Auditors and Implementers. This means your audit is conducted by professionals who not only understand the standards in theory, but who are qualified to audit against them and support their practical implementation.
Our audits are aligned to:
- ISO 15489 – Information and documentation: Records management
- ISO 30301 – Management systems for records
- Relevant legal, regulatory, and policy requirements
- Industry best practices and governance principles
What Is a Records Management Audit?
A records management audit is a systematic review of how records are managed across the organisation. It assesses whether policies, procedures, systems, and practices are:
- Defined and approved
- Consistently applied across departments
- Aligned to legal and regulatory requirements
- Supported by appropriate systems and controls
- Understood and followed by staff
The audit provides management with an evidence-based view of current maturity, risk exposure, and areas requiring improvement.
Why Records Management Audits Are Essential
Organisations that do not regularly audit their records management practices often face:
- Unidentified compliance gaps and audit findings
- Inconsistent recordkeeping practices across business units
- Over-retention or premature disposal of records
- Difficulty responding to audits, investigations, or litigation
- Weak accountability and unclear ownership of records
- Increased legal, privacy, and reputational risk
A structured audit provides early visibility of these issues and supports proactive risk management.
Our Audit Approach
We conduct records management audits using a standards-based, risk-focused methodology. Our approach is practical and evidence-driven, ensuring findings are defensible and recommendations are achievable.
Our audit process typically includes:
- Review of records management policies, procedures, and governance frameworks
- Assessment of alignment to ISO 15489 and ISO 30301 requirements
- Interviews with key stakeholders and records custodians
- Evaluation of records classification, retention, and disposal practices
- Assessment of system controls in EDRMS, ECM, or other repositories
- Sampling of records to verify compliance in practice
What the Audit Covers
Governance and Management System
- Records management policy and framework
- Roles, responsibilities, and accountability
- Alignment with organisational objectives and risk management
Records Lifecycle Controls
- Creation and capture of records
- Classification and file plan usage
- Retention and disposal practices
- Legal holds and audit readiness
Systems and Technology
- EDRMS / ECM configuration and use
- Controls across shared drives and collaboration platforms
- Metadata, access control, and security settings
People and Practice
- User awareness and training
- Consistency of practice across departments
- Support, guidance, and escalation mechanisms
Audit Deliverables
Following the audit, we provide a clear, structured audit report that includes:
- An assessment of current records management maturity
- Findings mapped to ISO 15489 and ISO 30301 requirements
- Identification of high, medium, and low-risk gaps
- Practical, prioritised recommendations
- An improvement roadmap to support remediation and compliance
The report is suitable for executive review, audit committees, and compliance reporting.
Who This Service Is Designed For
Our records management audit service is ideal for organisations that:
- Need an independent assessment of records management compliance
- Are preparing for internal or external audits
- Want to benchmark current practices against ISO standards
- Have implemented records policies or systems but lack assurance
- Need to identify and prioritise improvement actions
Related services: Policy and Procedure Development File Plan Development
From Audit to Improvement
An audit is most valuable when it leads to action. In addition to conducting audits, we can support remediation through strategy workshops, policy development, retention schedule development, system configuration, and ongoing mentorship.
This ensures audit findings translate into measurable improvement and reduced risk.
Talk to Us About Records Management Audits
If your organisation needs an independent, standards-based assessment of records management practices, our certified ISO 15489 and ISO 30301 Lead Auditors can help.
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