ISO 30301 Records Management System: Lead Auditor

Course Overview

This five-day intensive course enables participants to develop the necessary expertise to audit a Management System for Records (MSR) based on ISO 30301 and to manage a team of auditors by applying widely recognized audit principles, procedures and techniques. During this training, the participant will acquire the necessary knowledge and skills to proficiently plan and perform internal and external audits in compliance with ISO 19011; the certification process according to ISO 17021-1. Based on practical exercises, the participant will develop the skills (mastering audit techniques) and competencies (managing audit teams and audit program, communicating with customers and conflict resolution) necessary to efficiently conduct an audit.

Who should attend?

• Internal auditors
• Auditors wanting to perform and lead Management System for Records (MSR) certification audits
• Managers or consultants wanting to master the Management System for Records audit process
• Persons responsible for the Records Management conformity in an organization
• Members of a quality, information security, environmental, or energy management team
• Expert advisors in Management System for Records
• Technical experts wanting to prepare for a Records Management audit function

Learning objectives

• To acquire the expertise to perform an ISO 30301 internal audit following ISO 19011 guidelines
• To acquire the expertise to perform an ISO 30301 certification audit following ISO 19011 guidelines and ISO 17021-1 specifications
• To acquire the necessary expertise to manage an MSR audit team
• To understand the operation of an ISO 30301 conformant to Management System for Records
• To understand the relationship between a Management System for Records and compliance with the requirements of different stakeholders of the organization
• To improve the ability to analyze the internal and external environment of an organization, and audit decision-making in the context of an MSR

Course Agenda

Day 1: Introduction to Management System for Records (MSR) concepts as required by ISO 30301

• Course objectives and structure
• Standard and regulatory framework
• Certification process
• Fundamental principles of records management
• Management System for Records (MSR)

Day 2: Audit principles, preparation and launching of an audit

• Fundamental audit concepts and principles
• Audit approach based on evidence and risk
• Initiating the audit
• Stage 1 audit
• Preparing the stage 2 audit (on-site audit)
• Stage 2 audit (Part 1)

Day 3: On-site audit activities

• Stage 2 audit (Part 2)
• Communication during the audit
• Audit procedures
• Creating audit test plans
• Drafting audit findings and non-conformity reports

Day 4: Closing the audit

• Documentation of the audit and quality review
• Closing the audit
• Evaluating action plans by the auditor
• Beyond the initial audit
• Managing an internal audit programme
• Competence and evaluation of auditors
• Closing the training

Day 5: Certification Exam

Prerequisites

ISO 30301 Foundation Certification or basic knowledge of ISO 30301 is recommended

Educational approach

• This training is based on both theory and practice:
  • Sessions of lectures illustrated with examples based on real cases
  • Practical exercises based on a full case study including role playings and oral presentations
  • Review exercises to assist the exam preparation
  • Practice test similar to the certification exam