Document & Records Control System Auditing

Service summary

A review of how essential documents and records are approved, maintained, accessed and protected. The audit examines whether personnel use current information and retain reliable evidence of completed activities.

Findings help management understand control consistency across paper and electronic systems. The service does not develop procedures, configure document platforms or certify the security of the underlying information technology.

Key objectives

• Assess approval and version controls
• Examine access and retention practices
• Evaluate record completeness and traceability
• Identify obsolete or uncontrolled information

Methodology

Selected documents and records are followed across creation, approval, use, retention and disposal against agreed organisational requirements.

• Define information types, systems, locations and audit criteria.
• Review approval rules, retention schedules and access responsibilities.
• Select controlled documents, completed records and recent revisions.
• Check availability and version status at points of use.
• Trace approvals, modifications, access and retention evidence.
• Evaluate missing records, obsolete information and exception handling.
• Report control findings and the information pathways assessed.

Key outcomes

References: [G04]

• Information control assessment
• Version and approval findings
• Record completeness evidence
• Access and retention control gaps