HomeMy WebLinkAbout; ; Records Management Program AUDIT-Finance; 2009-04-15CITY OF CARLSBAD
Records Audit
Department: FINANCE
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2008
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AUDIT PURPOSE
This audit has been conducted by Records Management staff. The purpose of the audit is to
determine whether the records in your department are created, received, maintained and disposed of
in accordance with the requirements of the Records Management Program. This audit also provides
an opportunity for staff to evaluate the need for additional training and materials, and determine
whether revisions to the current retention schedule are necessary.
The audit elements listed below summarize the audit findings and identify whether each are in
compliance with Program guidelines. Items requiring follow-up are identified in the "Action Item"
section in the Audit Summary. Records Management staff will make every effort to ensure these
action items are completed within the designated time period.
We appreciate the time your staff took to participate in this audit You may contact Ronna Stickrod
at 434-2919, if you have any questions or concerns regarding the results of the audit
Records Audit conducted on 04/15/2009 by the following staff members:
Records Staff: TANYA BTORK — <v-
Department Staff: MARTF. ASHR-NTITTRR
Report Reviewed by: Ronna Stickrod'
Records Management Page 1 of 3
Annual Audit Report - Finance Revised 1/09
AUDIT ELEMENT
Records Management Program
(RMP) Training
Records Retention Schedule
(RRS)
Records Destruction
FINDINGS
All staff trained.
None requested.
Records will be submitted for destruction.
ACTION
None
None
See Action Item 2
AUDIT SUMMARY
Findings:
**» Records staff verified that the Records Management Program has been implemented and is continuing to be
applied to those records for which this department is designated as the "Office of Record" in the Records
Retention Schedule.
*»* At this time the SmeadSoft database is not being utilized by Finance. The Finance department has access and
ownership to two databases; one labeled "Purchasing" and one labeled "Finance". This is a result of Finance
and Purchasing merging after two separate databases were created for each division. No new labels have been
created in the "Purchasing" database by Finance in the past year. The "Purchasing" database has a total of
546 records, including several that may be due for destruction or are non-records. The "Purchasing" database
is being utilized by the Public Works Contract Administrators. See Action Item 1.
*•* The Finance secretary is responsible for maintaining the department's electronic records on the shared
community drive. A snapshot of the Finance root directory is attached for reference. A clean-up of the
community drive was conducted kst calendar year. Obsolete files were removed from the community drive
and burned to compact discs. If these files are not referenced by the end of this calendar year, the Finance
secretary will destroy the discs.
*»» 13 boxes of records were submitted for destruction in the beginning of this calendar year. Records submitted
were for the record types "Purchase Orders" and "Bids". Several other document types are also due for
destruction, including "Time Cards". Approximately 26 boxes of time cards are sent to Iron Mountain each
year, and appear to date as far back as 1995. Several boxes of records listed in the Finance Iron Mountain
inventory have a "Destroy Date" that has passed. It is unknown if the "Destroy Date" is based on the
approved Records Retention Schedule. By regularly destroying records according to the Records Retention
Schedule, the financial and administrative burden of maintaining Finance records will decrease significantly.
See Action Item 2.
»•* Purchase Orders are scanned into the DMS, but are also maintained in paper format As the hardcopy files
are processed for destruction, Finance staff is ensuring that the corresponding DMS versions of those files
are removed from the system. See Action Item 3.
<» New City budgets are being generated in an electronic format Currently this document is being emailed to
Records Management to add to the DMS. See Action Item 4.
*** Finance staff requested that a discussion take place with Records Management regarding adding more
Finance documents to the DMS. Finance has many report/study documents in their general files that may be
better maintained in the DMS. See Action Item 5.
*•* The department continues to periodically review general Finance library and department files for destruction
as time allows. This is a project which has been in progress since it was identified as an action item in the
2007 Records Audit Report.
Records Management Page 2 of 3
Annual Audit Report - Finance Revised 1/09
»** The Finance office currently stores 1,569 boxes of records offsite with Iron Mountain.
*»* Finance will be inheriting the files from the Administrative Director's office. The Finance Administrative
Secretary will be the contact for these records, and will be included in the next Records Audit.
Action Items:
1. Records Management will facilitate changing the "Purchasing" SmeadSoft table to another name under the
direction of the Public Works Contract Administrators. The existing records in the "Purchasing" database
will be reviewed and those that do not belong to Public Works will be removed or transferred to the
"Finance" database. This shall be completed no later than December 31,2009.
2. Finance staff will continue to prepare and submit eligible records for destruction. This includes the regular
calendar year records destruction, the ongoing clean-up of the general and Finance Library files, and the
clean-up of records stored offsite. Records staff will facilitate the destruction of these records. Purchase
Orders submitted for destruction will be processed for deletion from the DMS by Finance staff.
3. Since the Purchase Orders are being imaged and pkced in the DMS, it is recommended that the department
consider destroying the paper format of these records after scanning. Records Management is available to
train Finance staff on the records destruction approval process for documents stored only in the DMS.
4. Because the budget is currently created as an electronic document, it is recommended that Finance staff add
the budget to the DMS directly rather than scanning. Records Management will train on the process, if
needed. Finance staff log-in securities may also need to be adjusted to allow DMS access rights for
appropriate personnel and ensure that general users can view the budget documents in the DMS.
5. It is recommended that a discussion take pkce between Finance and Records Management regarding adding
more Finance documents to the DMS. Some of the documents they want to add might fall into existing
document categories. It is anticipated that this discussion will take pkce prior to the next annual audit.
Records Management Page 3 of 3
Annual Audit Report - Finance Revised 1/09
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User Folders
Q Accounts Payable - Payroll
Q Agenda Bills (Final)
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OAuidite - Financial Statements - Reports
Q Audits - Internal
QAudits - Revenue
O Banking
Q Budgets- OP
Ci Citizens Academy
Q Desk Manuals - Finance Procedures
Q Disasters
O Economy
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i^l Fiscal Reform - Policies
Q Fixed Assets
O General Files
O Goals
O Golf Course
Q Grants
C3 Hyperterm
Q Legislation - SBs
O Long Term Debt
t^OPEB
G3 Performance Measures
t3 Programs
O Public Records Request
d Purchasing
Q Purchasing Shared
iCJ Revenues - Billing
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O Banking
£3Budgets- OP
C3 Citizens Academy
£3 Desk Manuals - Finance Procedures
S3 Disasters
tD Economy
£3 Fees
id Financing Districts
£3 Fiscal Reform - Policies
Q Fixed Assets
QGANN
£3 General Files
d Goals
C3 Golf Course
Cl Grants
iLi Hyperterm
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O Long Term Debt
OOPEB
O Performance Measures
O Programs
O Public Records Request
£) Purchasing
^Purchasing Shared
Revenues - Billing
Stooge & Records Retention
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QTurbodata Reports
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