An Audit Program can assess the soundness of your company's Records Information Management Program and is a critical component for assuring the credibility of the Program. An effective Audit Program demonstrates to your customers, your clients and the outside world that your organization takes its Records Information Management obligations seriously. Through an audit, your company can ensure: internal policies and procedures are being followed, compliance with legal record keeping requirements, and the legal defensibility of the Records Information Management Program. Kahn Consulting takes a risk-adjusted approach to development of the Audit Program to most efficiently allocate resources to those areas which require the most focus (i.e. have the highest degree of risk) while enabling cost savings in areas where the organization has little exposure.

An Audit Program is also highly recommended for ensuring the organization's implementation of their Legal Holds. Courts are clear that both organizations (and their legal counsel) must take affirmative actions to monitor compliance with Legal Holds so that all sources of discoverable information are identified and searched. Failure to do so can result in a variety of sanctions from monetary penalties to adjudication of the action adverse to the party failing to meet its obligations.

To assist organizations in designing an effective Audit Program, Kahn Consulting can work with you to develop:

  • Audit Planning Templates to determine the objective of the audit, the scope, the method/process to be used in Records Information Management Program Audits.
  • Audit Assessment Tools, such as the Audit Checklist, for paper records, e-mail records, and records in unstructured electronic format.
  • Report Templates for audit outcome reporting.

In addition, if your organization determines that an outside audit of its Records Information Management Program is appropriate, Kahn Consulting can perform an independent external audit through its Records Information Program Assessment.

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