Auditing and Monitoring Records Management Programs

Working within the frameworks of AS 3806 Compliance Programmes and ISO 15489 Records Management, this course explores how organisations can establish effective, efficient and accountable recordkeeping programs. It explores the purpose and value of recordkeeping within private and public sector organisations and works through the steps involved in establishing a recordkeeping compliance programme and assessing recordkeeping against ISO 15489 Records Management. The course includes a practical hands-on overview of current tools available for evaluating records management programs. At the completion of this course participants will have commenced an assessment of their records management program using RIMDoctor.com.au and prepared a draft action plan for improving recordkeeping within their organisations.

This course costs $880, including GST, per participant (GST does not apply to NZ courses).

The course fee includes arrival tea and coffee, lunch, morning/afternoon teas and a comprehensive course workbook, two assessments using the RIM Doctor ISO 15489 Records Management Comprehensive Check-up and use of computers to undertake practical activities.

Note: this course was previously called 'Assessing Your Organisation Against ISO 15489 Records Management'.

Course aims

The aim of this course is to provide participants with an opportunity to develop an understanding of recordkeeping conformance and performance and how to evaluate their records management programs and plan improvements to support compliance and business objectives.

Course objectives

By the end of the course participants will understand the purpose, content and relationships between the elements that together form a comprehensive records management program, understand their organisation’s current recordkeeping capability and how to design and prepare a records management audit program to strengthen their organisation’s recordkeeping capability.

Course learning objectives

By the end of this course participants should be able to:

  • Understand the purpose, content and application of ISO 15489 Records Management and its relationship to other standards
  • Understand the purpose and application of various types of records management audits
  • Understand the principles of auditing
  • Understand the elements of compliance programs
  • Plan and scope an evidence-based approach to records management audits
  • Understand the purpose and steps involved in a records management audit
  • Understand the role of the auditor
  • Identify stakeholders and consultation techniques for records management audits
  • Understand the purpose of audit reports
  • Identify the key elements of an audit reports
  • Identify effective techniques for reporting audit findings to different audiences
  • Assess the current capability of a records management program against ISO 15489-1
  • Identify and prioritise improvements to a records management program
  • Evaluate the suitability of audit tools for records management

Course content

Day 1:  Planning and developing an audit program for records management

  • The standards framework for records management
  • The purpose, content and use of ISO 15489
  • Auditing and monitoring records management programs
  • Overview of records management audit tools
  • Preparing for your audit/assessment
  • Getting started on your assessment

Day 2: Assessing your organisation and identifying improvements

  • Assessing records management governance
  • Assessing records management programs
  • Assessing records management systems and practices
  • Interpreting and analysing the results
  • Developing your report and action plan

Learner profile

This course is designed for participants with responsibility for managing recordkeeping programs in their organisation or responsible for auditing records management programs to support compliance or business requirements.
The target audience includes:

  • Recordkeeping and information management professionals, including archivists
  • Information managers and knowledge managers
  • Risk and compliance managers
  • Internal auditors
  • Information technology professionals
  • Business analysts charged with developing functional requirements
  • eDRMS project managers and officers

Course fees

This course costs $880, including GST, per participant. (GST does not apply to NZ courses).


The course fee includes arrival tea and coffee, lunch, morning/afternoon teas and a comprehensive course workbook, two assessments using the RIM Doctor ISO 15489 Records Management Comprehensive Check-up and use of computers to undertake practical activities.

Note: this course was previously called 'Assessing Your Organisation Against ISO 15489 Records Management'.

To register your interest in this course please email the following details to jackie@cims.com.au.

  • Name
  • Position/role
  • Organisation
  • Phone number
  • Email address
  • Title of course and your location
  • Dietary requirements