Training on Records Management Auditing and Performance Metrics

A records management program is only effective if its performance can be measured and verified. Records Management Auditing and Performance Metrics equips professionals with the skills to evaluate records governance programs, identify gaps, and implement improvements that ensure compliance, efficiency, and accountability.

This course focuses on practical methods for auditing records management systems and establishing meaningful performance indicators. Participants will learn how to plan and conduct internal audits, assess compliance with organizational policies and regulatory requirements, and evaluate the effectiveness of records management processes.

The training also explores how to design performance metrics that provide measurable insights into records management activities. Participants will learn how to track key indicators such as retention compliance, access control, storage efficiency, and policy adoption across departments.

Through case studies, practical exercises, and real-world scenarios, participants will gain hands-on experience in conducting audits, developing performance dashboards, and reporting findings to leadership. By the end of the course, participants will be able to move beyond routine compliance checks and build records management programs that deliver measurable organizational value.

Duration

5 Days

Who Should Attend

• Records and information managers responsible for governance programs

• Compliance and risk officers overseeing regulatory adherence

• Internal auditors evaluating organizational processes

• Quality assurance professionals monitoring operational standards

• Legal and governance officers responsible for policy enforcement

Individual Impact

• Gain confidence in conducting professional records management audits

• Learn how to develop and apply meaningful performance metrics

• Strengthen your ability to evaluate compliance and effectiveness

• Build skills to report audit findings clearly and persuasively

• Position yourself as a trusted authority in governance and accountability

Organizational Impact

• Improved compliance with laws, regulations, and standards

• Evidence-based insights for decision-making and resource allocation

• Reduced risk of regulatory penalties and reputational damage

• Stronger culture of accountability and continuous improvement

• Enhanced efficiency in records and information management programs

By the end of this course, participants will be able to:

• Explain the principles of auditing in records management.

• Plan and conduct effective records management audits.

• Identify and apply key performance metrics for recordkeeping systems.

• Evaluate compliance with organizational policies and regulatory frameworks.

• Report audit findings that support continuous improvement.

Module 1: Foundations of Records Management Auditing

• Why audit records programs? Purpose and benefits

• Types of audits: compliance, operational, and performance

• Standards and frameworks (ISO 15489, ISO 30301)

• Case Study: How an internal audit revealed hidden compliance gaps in a multinational firm

Module 2: Planning and Preparing for an Audit

• Defining scope, objectives, and criteria

• Gathering background information and documentation

• Developing audit tools and checklists

• Practical Exercise: Drafting an audit plan for a records management unit

Module 3: Conducting the Audit

• Interviewing staff and reviewing procedures

• Sampling records and testing controls

• Identifying strengths, weaknesses, and risks

• Case Study: A failed audit and what it taught about gaps in staff training

Module 4: Measuring Performance in Records Management

• Establishing KPIs and performance metrics

• Balancing compliance, efficiency, and user satisfaction

• Benchmarking against standards and peers

• Practical Exercise: Designing KPIs for a digital records management system

Module 5: Reporting, Follow-Up, and Continuous Improvement

• Writing clear, actionable audit reports

• Presenting findings to management and stakeholders

• Monitoring corrective actions and improvements

• Case Study: How performance reporting helped secure executive support for RM upgrades