HomeMy WebLinkAbout; ; Records Management Program AUDIT-Public Works; 2009-03-25CITY OF CARLSBAD
Records Audit
Department: PW-QAK Calendar Year: 2008
Records Manager Review: ^7\ t^~} ^~^\^ Date:
Department Review: ^x^^ ' (^cZ+~~* Date:
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 03/25/2009 by the following staff members:
Records Staff: TANYA BTQRK ^-
Department Staff: SHRA SAIN7
Report Reviewed by: Ronna Stickrod J^
Records Management Page 1 of 3
Annual Audit Report - PW Oak Revised 1/09
AUDIT ELEMENT
Records Management Program
(RMP) Training
Records Retention Schedule
(RRS)
Records Destruction
FINDINGS
All staff trained.
Letters of Agreement, Hazardous Material
Manifests, Safety Committee records
Records will be submitted for destruction.
ACTION
None
See Action Item 1
See Action Item 2
AUDIT SUMMARY
Findings:
*** Records Management 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.
*** The administrative secretary is responsible for maintaining the department's electronic records on the shared
community drive. A snapshot of the root directory is attached for reference. The community drive is
reviewed bi-annually and obsolete files are deleted or burned to disc and filed with the corresponding original
hardcopy document. Facilities Division staff were issued laptops in 2008 to access MainStar in the field. It is
department policy that official records will not be stored on these laptops.
*** Department staff questioned the need to permanently retain Letters of Agreement. Contracts and
Agreements under 5K are not processed through the City Clerk's office and as a result are not scanned to the
DMS. For these types of agreements, the originating department holds the original hardcopy with the
supporting documentation. Records Management is currently in discussions with the City Attorney's office
regarding the retention period of the various agreements generated by City staff. Currently all contracts and
agreements are defined as permanent records in the retention schedule.
*»* Oak staff identified records they currently retain that are not in the Records Retention Schedule. In a
previous audit, it was noted that this division currendy retains Hazardous Material Manifests back to 1988.
Hazardous Material Program records are inspected annually by the County. This record has not been
reviewed by Records Management yet. The Oak office also maintains Safety Committee Records that may be
duplicates of records on file with Risk Management. See Action Item 1.
*«* Records due for destruction were identified during the audit, including Carlsbad Community Television
Foundation records, hardcopy RFA's, and work orders. See Action Item 2.
*»* Due to a departmental reorganization, the Oak office no longer maintains Storm Drain records. These have
moved to the Maintenance and Operations department. Records and staff from the Parks division have also
moved due to reorganization. They are now merged with the Recreation department. See Action Item 3.
*** Project files are being maintained as in other Public Works departments. In the future these may be scanned
into the DMS. It is believed that these files are not duplicated in other departments. Final confirmation of
whether these are duplicates will be completed prior to the next audit.
Records Management
Annual Audit Report - PW Oak
Page 2 of 3
Revised 1/09
Action Items:
1. Records staff will research and recommend a retention period for Hazardous Material Manifests and Safety
Committee records. If approved by the City Attorney's office, these record types will be added to the
Records Retention Schedule and Records Management will advise Oak staff regarding the maintenance,
archival, or destruction of these records as appropriate. Oak staff will also be advised of any changes to the
retention period for Letters of Agreement.
2. Oak staff will prepare and submit eligible records for destruction by December 2009. Records staff will
facilitate the destruction of these records, and is available for assistance if needed.
3. Oak staff will confirm that all Storm Drain and Parks records have been successfully transferred to their new
locations, and appropriate changes are made to the "Office of Record" in the Records Retention Schedule.
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Annual Audit Report - PW Oak Revised 1/09