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

Programme Summary

Develop the planning, evidence evaluation and team leadership skills needed for records management audits against ISO 30301:2019. A regulated service provider records case connects record creation, reliable capture and controlled lifecycle decisions with realistic audit trails. Participants lead simulated meetings, evaluate conflicting evidence and defend findings, producing a clear audit conclusion while respecting impartiality, confidentiality and the limits of sampled evidence.

Training Objectives

1 Strengthen records management audit leadership; 2 Plan defensible assignments and team responsibilities; 3 Evaluate conformity and system effectiveness; 4 Manage findings communication and audit conclusions; 5 Maintain ethical conduct and audit independence.

Learning Outcomes

1 Lead a simulated records management audit; 2 Evaluate retention and disposition schedules; 3 Direct risk based sampling and interviews; 4 Defend findings and evidence limitations; 5 Recommend proportionate corrective action follow up.

Target Audience

Audit Team Leaders; Management System Auditors; Records Managers; Information Governance Managers; Assurance Managers.

Target Industries

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

Course Contents

• Module 1 Audit Leadership and Professional Boundaries: Audit principles impartiality and confidential information; First second and third party distinctions; Auditor competence and certification decision boundaries.
• Module 2 Audit Programme and Assignment Risk: Programme objectives and changing operational risks; Scope criteria resources and team competence; Remote methods feasibility and evidence security.
• Module 3 Auditing Records Context and Business Requirements: Business activities and evidence needs; Records obligations and interested parties; System boundaries and climate relevance.
• Module 4 Auditing Records Governance and Planning: Records policy and accountable responsibilities; Objectives risks and implementation priorities; Resources competence and awareness arrangements.
• Module 5 Auditing Creating and Capturing Records: Business process triggers for record creation; Capture requirements and responsible roles; Metadata and links to business context.
• Module 6 Auditing Classification and Access Controls: Classification structures and retrieval requirements; Access permissions and confidentiality safeguards; Integrity authenticity and accountability evidence.
• 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 Storage Preservation and Continuity: Storage conditions and media suitability; Digital preservation and format migration; Availability protection and recovery arrangements.
• Module 9 Auditing Records Systems and Change: System design and records functionality; Outsourced records services and responsibilities; Change control and data migration assurance.
• Module 10 Auditing Records Evaluation and Improvement: Records performance and operational monitoring; Internal audit and management review; Nonconformity corrective action and continual improvement.
• Module 11 Document Review and Readiness Evaluation: Scope documents and process evidence review; Readiness concerns and additional information requests; Audit plan adjustments and communication.
• Module 12 Planning Activities and Directing the Team: Responsibilities schedules and audit trail allocation; Sampling strategy and technical expert interfaces; Team briefings progress checks and coordination.
• Module 13 Opening Meetings and Audit Communication: Confirming scope criteria and practical arrangements; Managing professional disagreement and access issues; Communicating emerging risks and material concerns.
• Module 14 Gathering and Corroborating Audit Evidence: Records classification schemes; Retention and disposition schedules; Access and preservation records.
• Module 15 Evidence Judgement and Escalation: Evidence of unauthorised record destruction; Evidence of unreliable evidence capture; Sampling limitations and additional evidence decisions.
• Module 16 Developing Findings and Audit Conclusions: Linking criteria evidence and supported findings; Evaluating systemic patterns and management effectiveness; Conclusions within scope and evidence limitations.
• Module 17 Reporting and Closing the Audit: Balanced report structure and clear findings; Closing meeting leadership and disagreement records; Confidential distribution and controlled audit records.
• Module 18 Corrective Action Review and Follow Up: Assessing cause analysis and proposed action; Verifying implementation and effectiveness evidence; Follow up escalation and unresolved findings.
• Module 19 Audit Quality and Professional Development: Reviewing audit performance and consistency; Technical competence and experience development; Learning feedback and ongoing ethical conduct.
• Module 20 Lead Audit Team Simulation: Lead assigned meetings and team briefings; Evaluate conflicting evidence and defend findings; Present conclusions and follow up recommendations.

Assessment

• 100 single best answer questions, including applied scenarios; one mark per question.
• 150 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 (150 minutes): Lead a simulated records management audit, assign team activities, conduct an assessed interview, evaluate conflicting records, present supported findings and defend the audit conclusion and follow up decisions.
• Assessment criteria: Defensible audit scope and sampling of retention and disposition schedules; Effective team direction interviewing and closing meeting leadership; Evidence linked findings conclusions and justified follow up decisions.
• Pass each component separately: 75/100 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 lead auditor training in records management; auditor registration, certification body appointment and independent personnel certification require separate evaluation.
• Attendance confirmation may record completed hours for unsuccessful learners; it does not certify successful completion.

Programme Profile

Number of daysNumber of daysNumber of days

555

Total teaching hoursTotal teaching hoursTotal teaching hours

35 hours; breaks, pre course work and formal final assessments excluded.35 hours; breaks, pre course work and formal final assessments excluded.35 hours; breaks, pre course work and formal final assessments excluded.

Delegates allowedDelegates allowedDelegates allowed

Maximum 16 delegates.Maximum 16 delegates.Maximum 16 delegates.

Training prerequisitesTraining prerequisitesTraining prerequisites

Working knowledge of ISO 30301:2019, audit fundamentals and relevant records management experience is required. Prior internal audit practice is strongly recommended.Working knowledge of ISO 30301:2019, audit fundamentals and relevant records management experience is required. Prior internal audit practice is strongly recommended.Working knowledge of ISO 30301:2019, audit fundamentals and relevant records management experience is required. Prior internal audit practice is strongly recommended.

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

Complete a 45-minute requirements and audit diagnostic; review retention and disposition schedules and identify high risk audit trails.Complete a 45-minute requirements and audit diagnostic; review retention and disposition schedules and identify high risk audit trails.Complete a 45-minute requirements and audit diagnostic; review retention and disposition schedules and identify high risk audit trails.

End of course assessmentEnd of course assessmentEnd of course assessment

100 question written exam (150 minutes) and individual applied task (150 minutes).100 question written exam (150 minutes) and individual applied task (150 minutes).100 question written exam (150 minutes) and individual applied task (150 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.