According to ISO
19011 2011 Annex A.5, auditors that
They must have the knowledge and
skills needed to examine records
The following examples illustrate the
kind of knowledge and skills
1. Understand records management terminology.
2. Understand performance measurement and metrics.
3. Understand how practices are investigated and evaluated.
3.1. Understand interview methods and techniques.
3.2. Understand observational methods and techniques.
3.3. Understand validation methods and techniques.
4. Understand record sampling and analysis methods.
4.1. Understand key characteristics of records.
4.2. Understand key characteristics of records systems.
4.3. Understand key characteristics of records processes.
4.3.1. Understand characteristics of process controls.
5. Understand risk assessment methods and practices.
5.1. Understand records management risk assessment.
6. Understand processes used to manage records.
6.1. Understand processes used to create records.
6.2. Understand processes used to capture records.
6.3. Understand processes used to control records.
7. Understand system performance assessment methods.
7.1. Understand how to assess records systems.
7.1.1. Understand how to assess the tools used.
7.1.2. Understand how to assess the facilities used.
7.1.3. Understand how to assess the equipment used.
8. Understand records management competence requirements.
8.1. Understand how to identify competence requirements.
8.2. Understand how to assess personal competence.
9. Understand records and records systems requirements.
9.1. Understand metadata concepts and requirements.
9.2. Understand content and contextual requirements.
9.3. Understand representational requirements.
9.4. Understand structural requirements.
10. Understand the development of records-specific instruments.
11. Understand the technologies used to manage digital records.
11.1. Understand the technologies used to create records.
11.2. Understand the technologies used to capture records.
11.3. Understand the technologies used to convert records.
11.4. Understand the technologies used to migrate records.
11.5. Understand the technologies used to preserve records.
12. Understand documents used to authorize records processes.
Please note that these are only
examples. No attempt has been
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Updated on December 19, 2015. First published on May 24, 2012.
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