The URL can be used to link to this page

Home My WebLink About; ; Records Management Program AUDIT-Construction Management & Inspection; 2009-04-02CITY OF CARLSBAD Records Audit Department: PW Eng: Construction C- -.-::/Records Manager Review: ^ //} _^ V^/ (^ Department Review: \^J^~^/ Mgmt & Inspections r^^^-7 Calendar Year: Date: & — // Date: &~^~ 2008 -^ - 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 Itent* 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 4/2/09 by the following staff members: Records Staff: DEBRA DOERFLER Department Staff: Jennifer Gowerij Kitn Stankavich Report Reviewed by: Ronna Stickrod V<x Records Management Page 1 of 3 Annual Audit Report - PW - CM&I Revised 1/09 AUDIT ELEMENT Records Management Program (RMP) Training Records Retention Schedule (RRS) Records Destruction FINDINGS All staff trained. No changes are being requested Staff has submitted records for destruction ACTION None None None 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. *»* The SmeadSoft database has been reviewed for accuracy. A copy of the records that were randomly selected for review is attached for reference. *»* The Associate Contract Administrator is responsible for maintaining the department's electronic records on the shared community drive. Administrative staff and project engineers manage their own electronic files. Periodic random deletions are completed; however no process for electronic records management is in place. Electronic records of capital projects are moved from an Active folder to a Closed folder. A snapshot of the root directory is attached for reference. See Action Item 1. *•* It was recommended at kst years audit that the department participate in a "Free the Files" event. Due to staffing issues this was not scheduled. At the time of this audit dozens of boxes were in cubicles, on top of the "central files" racks and under desks; while some were identified as "office equipment/accessories" many contained records. See Action Item 2. *J* Project files continue to accumulate paper, photographic and video records. Files are not properly coded with year designators and duplicate records can be found in files. Staff indicated that files are being purged by construction managers prior to being sent to Engineering Administration for offsite storage, Approximately 150 boxes of CM&I material were processed for storage last year. Engineering Admin reports a concern about the volume of records being forwarded to them for offsite storage, and the vagueness of the records inventory being provided. CM&I will frequently provide a description of only a few words for an entire box (ex: "Rancho Carrillo"). See Action Item 3. Action Items: 1. Records, whether in paper or electronic form, need to be managed according to the Records Management Program. Records Management recommends establishing an on-going electronic records review process. Staff will ensure that electronic files on the community network are reviewed and deleted when the corresponding hardcopy project file is closed and sent to off-site storage. This is an item from the 2007 audit. 2. CM&I recently overhauled the office which has exacerbated a previously identified problem with records management. By participating in a "Free the Files" event, CM&I staff can utilize resources available to them to mitigate the conditions and reduce liability. Liability exists, from a records perspective, when staff is unable to identify requested records, or when excessive time is spent producing "all records" pertaining to projects in litigation. (EX: Buena Vista Lagoon Sewage Spill.) Records Management Page 2 of 3 Annual Audit Report - PW - CM&I Revised 1/09 3. Records Management recommends that CM&I develop an internal process for reviewing, purging and reducing project file records prior to sending to offsite storage. The 2006 audit, "recommended that upon completion of a project, a thorough review of the project files from the three engineering divisions be completed prior to archiving for long term storage." This procedure has not yet been developed nor implemented. Development and implementation of a standardized process would ensure that only relevant record material is maintained in the project files, and will reduce the costs associated with offsite records storage. Until such a time as a unified process can be devised and implemented, CM&I staff should provide Engineering Admin with complete project and file information for records sent to off-site storage. Records Management Page 3 of 3 Annual Audit Report - PW - CM&I Revised 1/09 •J Make a new fdoer ! A Publish this folder lo theW Web QA MASTER • FOR REVIEW gJAOLD MAIL MERGE DOCS i £)A PRIVATE DEVELOPMENT j £21 Agreement Tracking System Form Letters i±| CAPITAL-ACTIVE § MyCompulir Q MyDocumenti <y My Network Pbcei SlCAPrrAL-FUTLlFIE SJCAPITAL-REIMBURSEMENT £3 CASH ACCOUNT CLOSE OUT FILE QOMS OENG STAFF MTS t3 Erosion Corftol IQ FIE MASTER 69 INSPECTORS Q NCCM, Inc. Oocurranti |OI»JK117.JfG |O»JH19JPG |2(B« ASPHALT CONCRETE SPEC RSF WiaK.*>c §2005 ATSSA TCT-TCS TRAINING ROSTEFbfc 9 DCP UsorGud5.doc EXgM Fte Turafgr 08-2006 Joe IDWS |hpothb07.dal |hpollM71f ection RoqueatFomijxff Nonce To Proceed 2007.doot | PK Ball GOP Mug 7-1-2001 thru 6-30-2007 jds |paBo Homes letter 10-1J-2006jpg IRFA 3ft Stoteut lo Engon TamdayDataU»i»y' S) §CShoita«tijh!pectic™onTdfp!02D«pataiontj'00 QSte Maps £3 Special event! tDSnimDatiaga Ejvlola'Jonlto £jWe!] Ste PUI) City of Carlsbad All Engineeringlnsp Barcode First_Name EI0002906 EI0003001 EI0000051 RW040142 EI0000244 RW040364Eioooo299^ 3445-1 EI0000368-- 3889-1 EI0000415X- CT890019 EI0000549*' CT970020 EI0000604"- CT020029 EI0000729* RP020002 EI000078CK CUP258(B) EI0000848- SDP97025 EI0000900V RW040389 -EI0001033 RW050124 *EI0001222 RW050242 £10001266^ Cf 030002-' • EI0001441 RW060008 -EI0001622 RW060129 EI0001769x RW060239 £10001979^ RW060443 ^£10002164 SDP970007B £10002362^ MS050031 -EI0002532 SDP0518A EI0002718-' 6013 EI0002901" CT 07-05 EI0002985-- PD 08-06 Second Name Third Name Fourth Name CARLSBAD VILLAGE DRIVE & GLASGOW 3522 CORTE MORA EL CAMINO REAL WATERLINE (PAR SOUTH) ENCINAS BASINS WATER RECLAMATION PH II TWIN D RECYCLED FILE TWO BROCCATOPE 2.91.05 FILE ONE CRISTALLA CASA LA COSTA KENT JESSE OFFICE BUILDING LA COSTA VALET LOOP KELLY CORPORATE CENTER ELFUERTE CARLSBAD OAKS 3525 CORTE DELFINIO 6809 JADE LANE CARLSBAD RANCH PAS 7301 CALLECONIFERA 7603 CIRCULO SEQUOIA 6335 PASEO CORONO 550 BURTON COURT LA COSTA PLAZA BLDG 5 7662 EL CAMINO DONALD CONDOS ECR CORP CENTER EL CAMINO FY 07/08 CONCRETE REPLACEMENT PROJECT LA COSTA GREENS NEI 1.3 CHS PHASES 1-3 File Code 100047 100047 106010106010 050030 050030 050030 056030 050020 050080 100047 100047 100047 050030 100047 100047 100047 100047 050080 050040 050080 106010 050030 050050 Color Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Printed Remarks aass El 0ESffi* ij/r-sf-/Vi<» opes~>*0 J '000amm000 0 0m000.0000 -fo Monday, April 20, 2009 1:51:26 PM . SmeadSoft Grid Print ddoer Page:1