ISO 30301:2019 Management Systems for Records Internal Auditor Training and Certification Program

Programme Summary

Develop the skills to conduct focused internal audits of records management against ISO 30301:2019. Participants practise planning, interviewing, sampling and reporting using a regulated service provider records case. Exercises examine record creation, reliable capture and controlled lifecycle decisions, test the strength of evidence and distinguish supported findings from assumptions. The course supports effective corrective action and clearer assurance about system performance.

Training Objectives

1 Build disciplined records management audit practice; 2 Prioritise audit scope using operational risks; 3 Strengthen interviewing and evidence evaluation; 4 Develop substantiated findings and concise reports; 5 Evaluate corrective action effectiveness.

Learning Outcomes

1 Plan a records management audit; 2 Sample records classification schemes; 3 Conduct a focused evidence gathering interview; 4 Write findings linked to specified criteria; 5 Evaluate action on unauthorised record destruction.

Target Audience

Internal Auditors; Records Managers; Information Governance Managers; Document Control Managers; Management System Coordinators.

Target Industries

Government Administration; Financial Services; Healthcare Administration; Engineering Project Services; Legal and Professional Services.

Course Contents

• Module 1 Internal Audit Purpose and Conduct: Audit objectives criteria and independence; Integrity confidentiality and evidence based decisions; Audit guidance and organisational responsibilities.
• Module 2 Defining the Internal Audit Scope: System boundaries and process interactions; Applicable requirements and previous audit results; Operational risks and sampling limitations.
• Module 3 Planning the Audit Assignment: Audit programme priorities and resources; Assignment schedule and interview responsibilities; Risk based sampling and evidence requests.
• Module 4 Preparing Relevant Audit Evidence: Records classification schemes; Retention and disposition schedules; Access and preservation records.
• Module 5 Auditing Records Context and Business Requirements: Business activities and evidence needs; Records obligations and interested parties; System boundaries and climate relevance.
• Module 6 Auditing Creating and Capturing Records: Business process triggers for record creation; Capture requirements and responsible roles; Metadata and links to business context.
• Module 7 Auditing Retention and Authorised Disposition: Retention rules and applicable obligations; Legal holds and disposition suspension; Approval transfer and destruction records.
• Module 8 Auditing Records Systems and Change: System design and records functionality; Outsourced records services and responsibilities; Change control and data migration assurance.
• Module 9 Interviewing Observation and Evidence Evaluation: Open questions and focused follow up; Corroborating records interviews and observations; Conflicting evidence and additional sampling decisions.
• Module 10 Findings Reporting and Closing Discussions: Requirement evidence and nonconformity statements; Clear conclusions and balanced reporting; Communicating findings without prescribing consultancy solutions.
• Module 11 Corrective Action and Audit Follow Up: Correction root cause and corrective action; Evidence of implementation and effectiveness; Closure decisions and recurring weakness escalation.
• Module 12 Internal Audit Simulation: Plan and conduct an individual interview; Evaluate records and defend two findings; Review corrective action and present conclusions.

Assessment

• 60 single best answer questions, including applied scenarios; one mark per question.
• 90 minute invigilated digital examination with identity verification. Approved accessibility adjustments preserve the assessed competence.
• Clean standard text and supplied case documents permitted; internet, messaging and external AI tools prohibited.
• Individual applied assessment (90 minutes): Conduct an individual simulated records management audit: prepare a sampling plan, interview a role player, evaluate supplied records, report two supported findings and review one proposed corrective action.
• Assessment criteria: Risk relevant sampling of records classification schemes; Interview and findings supported by traceable requirements and evidence; Sound corrective action judgement on unauthorised record destruction.
• Pass each component separately: 45/60 written marks (75%) and at least 70% on the applied task.
• All mandatory criteria must pass: Do not fabricate evidence or knowingly present unsupported conformity conclusions; Protect confidential or personal information within supplied case material.
• Individual results and feedback are provided. One reassessment may follow coaching under the published enrolment terms.

Certification

• Successful learners receive a TQCSI Arabia digital Certificate of Successful Completion.
• The certificate records the learner name, exact programme title, teaching hours, completion date and unique verification reference.
• Verified identity, full attendance and separate written and applied passes are required; all mandatory critical criteria must be met.
• Proposed issue target: within 30 calendar days of approved results and settlement of applicable fees.
• Records successful internal auditor course completion in records management; workplace auditor appointment still depends on demonstrated competence and organisational authorisation.
• Attendance confirmation may record completed hours for unsuccessful learners; it does not certify successful completion.

Programme Profile

Number of daysNumber of daysNumber of days

333

Total teaching hoursTotal teaching hoursTotal teaching hours

18 hours; breaks, pre course work and formal final assessments excluded.18 hours; breaks, pre course work and formal final assessments excluded.18 hours; breaks, pre course work and formal final assessments excluded.

Delegates allowedDelegates allowedDelegates allowed

Maximum 20 delegates.Maximum 20 delegates.Maximum 20 delegates.

Training prerequisitesTraining prerequisitesTraining prerequisites

Working knowledge of ISO 30301:2019 and relevant records management processes is required. Prior audit experience is helpful; requirements training should precede this course.Working knowledge of ISO 30301:2019 and relevant records management processes is required. Prior audit experience is helpful; requirements training should precede this course.Working knowledge of ISO 30301:2019 and relevant records management processes is required. Prior audit experience is helpful; requirements training should precede this course.

Pre course assignment and assessmentPre course assignment and assessmentPre course assignment and assessment

Complete a 30-minute requirements diagnostic; review supplied records classification schemes and prepare three evidence seeking audit questions.Complete a 30-minute requirements diagnostic; review supplied records classification schemes and prepare three evidence seeking audit questions.Complete a 30-minute requirements diagnostic; review supplied records classification schemes and prepare three evidence seeking audit questions.

End of course assessmentEnd of course assessmentEnd of course assessment

60 question written exam (90 minutes) and individual applied task (90 minutes).60 question written exam (90 minutes) and individual applied task (90 minutes).60 question written exam (90 minutes) and individual applied task (90 minutes).

Passing criteriaPassing criteriaPassing criteria

75% written and 70% applied, passed separately; full attendance. All mandatory criteria must pass.75% written and 70% applied, passed separately; full attendance. All mandatory criteria must pass.75% written and 70% applied, passed separately; full attendance. All mandatory criteria must pass.