Information Audit
Presented by:
Virginia Hendricks
Definition of an Information Audit
 An Information Audit is a fact-finding, analysis,
interpretation and reporting activity about the
 use
 user needs
 characteristics
 management
of information as a resource in an organisation.
It should also cover
 All information lifecycle activities like;
 Creation
 Receipt
 Collection
 Organising
 Storage
 Maintenance
 Access
 Dissemination
 Disposal
creation
receipt
disposal
dissemination
Lifecycle
activities
access
collection
organising
maintenance
storage
Range and level of the Audit
 The range and level of the Information Audit is influenced
 by the purpose of the audit.
 The purpose is to obtain an objective assessment of an
organisations record keeping practices.
 It is the first and most important step towards getting
control of records and the information which they contain.
 It is a time-consuming and labour-intensive process,
but is likely to produce insights into many aspects of the
business (including those that some might prefer to keep
hidden).
Range and level of the Audit
 Everyone within an organisation has a role in creating and using
information – even if they do not realise it!
 One of the positive side effects of a well-run information audit
is that it raises the awareness across the organisation of the
value of information and the value of sharing knowledge.
 It is a clear example of rational and good management practice and
an important element of good corporate governance.
Information Audit…in a NUT- SHELL
“Information Audit is the
gathering of the
necessary information to
understand what the organization
does and how it does it”
Benefits of an Information Audit
 highlight where there is unnecessary duplication of records
 indicate where business processes might be streamlined for





more efficient administration
show up where records are kept too long
where information is treated as a personal asset to be shared
grudgingly rather than as a resource to be shared by all as
needed
what genuinely needs to be confidential and what does not
where there might be cost savings
Identify the information needs of the organisation itself, the
various business units and divisions, and the specific needs of
individuals
Benefits of an Information Audit
 Identify the information created and assess its value to the
organisation
 Identify the information gaps
 Identify quick win/win solutions that could be
implemented to produce immediate benefits
 Review the use of internal information resources, how valuable
they are, and how they may be improved
 Map the information flows and current bottlenecks
 Develop a set of Information management principles that will
underpin the information management within the organisation.
Information Audit will also help us to
• Compile a functional subject file plan;
• Compile a disposal authority list;
• Compile a Registry procedure manual;
• To plan the Registry layout;
• To plan the Registry structure (Job descriptions)
• Business Processes and Workflow Diagrams
• Produce a complete inventory of all
information resources.
Where to Start
The approach required for
success in the audit will
depend upon the commitment
of the team and management
as well as the size and
structure of the institution.
Whatever the starting point, the audit needs to be
pre-planned carefully. This should include: Project leader
 Steering committee
 A clear commitment and support from senior management
 A clear list of objectives
 A communication strategy
 Collection and processing of the data gathered
 Design and completion of forms
Methodology - definition
A methodology can be regarded as a collection
of activities, procedures, techniques,
tools applied or used to reach a specified goal,
within specific circumstances,
in an orderly manner
Step A:
Conduct
Information
Audit
Step B:
Analyze
business
Activities
Step C:
Step E:
Step F:
Identify
requirements
for records
Identify
strategies to
satisfy
requirements
Design
records
system
Design
Policy
Step D:
Implementation
Standards
Assess
existing
systems
Primary Process
Feedback
Step H:
Step G:
Conduct post-
Implement
records
system
implementation
review
Methodology- Planning Stage 1
 What is the structure of the division?
 Obtain an organogram of the division
 What are the division’s responsibilities?
 What mandatory standards/legal framework?
 What does the division do?
 Who are the division’s clients/ customers or target
audience?
 Who do they correspond with?
Methodology- Planning Stage 2
 Arrange Interviews
 Send out Questionnaires
 Make an Inventory of information/ files in
offices and storerooms (by using the “S” Method
to guide you)
 Investigate existing file systems electronic and
hard copy
The Document Warehouse Information Audit consists of the
following steps.
S = Systems (types)
S = Services (offered)
S = Sources (where does it come from & Kept)
S = Subjects (what subjects)
S = Storage (what type is being used)
S = Stage
(at what stage are the records)
S = Security (what security is in place)
S = Size
(of file)
S = Style
(Type of files used)
S = Stack
(volume)
A few Tips to bear in mind
 Above all it is a people issue.
 It is vital that whoever is tasked with carrying out the audit
communicates with colleagues, and brings them along with
the objectives.
 The approach should emphasise the 'carrot' rather than
the 'stick'.
 If at all possible identify ‘ a quick win solution' which makes a
demonstrable impact and difference to working situations
and will produce co-operation which no amount of theory or
explanation can match.
Finally
 Once the information audit is complete and
recommendations have been implemented the information
audit should not be forgotten.
 Organisations change and information needs and work-flows
change – the information audit should be a regular feature of
an organisation helping to maintain and capitalise on this vital
asset “Information and Records Management” .
Questions?
Thank You
Ref: University of West England -Records Management Project
Ref: Rob Birkett -The Information Audit
Ref: The Document Warehouse- Information Audit – “S” formula