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QMS INTERNAL AUDIT CHECKLIST-Records Management Checklist

The document is an audit checklist from the National Audit Office of Tanzania assessing records management practices. It contains 20 items evaluating requirements such as whether the filing plan is updated, mail is properly registered and referenced, records are grouped by the filing plan, storage facilities meet standards, access is controlled, confidential records are secure, closed files are sent to the appropriate storage area, file requests and movements are recorded, daily marking of records is conducted, return of files is logged, retention schedules are developed and maintained, semi-active records are sorted by age and importance, essential records are preserved, applicable forms are used correctly, security and effective storage, movement and retrieval of records are achieved.

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Mohamed
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807 views

QMS INTERNAL AUDIT CHECKLIST-Records Management Checklist

The document is an audit checklist from the National Audit Office of Tanzania assessing records management practices. It contains 20 items evaluating requirements such as whether the filing plan is updated, mail is properly registered and referenced, records are grouped by the filing plan, storage facilities meet standards, access is controlled, confidential records are secure, closed files are sent to the appropriate storage area, file requests and movements are recorded, daily marking of records is conducted, return of files is logged, retention schedules are developed and maintained, semi-active records are sorted by age and importance, essential records are preserved, applicable forms are used correctly, security and effective storage, movement and retrieval of records are achieved.

Uploaded by

Mohamed
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
Available Formats
Download as DOCX, PDF, TXT or read online on Scribd
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THE UNITED REPUBLIC OF TANZANIA

NATIONAL AUDIT OFFICE


QUALITY MANAGEMENT SYSTEM

AUDIT CHEKLIST
FUNCTION/PROCESS AUDITED RECORDS MANAGEMENT
DATE

Audit Reference:
Item Requirement Activity Comments/Remarks
No. Compliance
(Clause) (Yes, No, Not
Applicable
Is the NAOT filling plan updated
1.
and in place?
Are all incoming and outgoing
2.
mails registered in respective files?
Are mails referenced in
accordance with the keyword
3. indexing system based on
Division/Department/Unit’s
activities and functions?
Are records grouped according to
4. the organizational filing plan for
easy location and tracking?
Does the storage facility adhere to
5. national standards, procedures,
and guidelines?
Are storage entrances strictly
controlled by establishing specific
6.
protocols for access of the storage
facility?
Are the cabinets containing
7.
confidential records kept secure?
Are closed files and files that are
no longer needed kept in a Semi-
8.
Active Record Centre designated
by the DAHRM?
Are all file requests made to the
9. Registry Staff through E-Office or
manually requested?
Are file movements properly
10. recorded before the file leaves the
registry?
Is each file movement recorded in
11. the file transit ladder on the top of
the file by the Officer responsible?
12. Is Daily Marking of Records
THE UNITED REPUBLIC OF TANZANIA
NATIONAL AUDIT OFFICE
QUALITY MANAGEMENT SYSTEM

Audit Reference:
Item Requirement Activity Comments/Remarks
No. Compliance
(Clause) (Yes, No, Not
Applicable
conducted every morning to trace
various locations of files?
Is an accurate record kept of the
return of files to the registry after
13.
they have been attended by action
officers?
Is the record retention and
14. disposal schedule developed and
maintained by the Registry Staff?
Are Semi-Active records sorted on
15.
the basis of age and importance?
Does DAHRM coordinate
decongestion of records which are
no longer required by NAOT,
16.
subject to approval and
supervision of all relevant
government authorities?
Does DAHRM ensure that records
that contribute to the history of
17.
the nation (essential records) are
preserved?
Are the applicable forms and
records, such as File Movement
Register, keyword indexing
system, confidential personal files,
18.
correspondence files, operational
files, and other NAOT records and
information, being used
appropriately?
Is the security of records being
19.
maintained?
Is effective storage, movement,
20. and retrieval of records being
attained?

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