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Home My WebLink About; ; Records Management Program AUDIT-Fleet & Facilities; 2009-03-11CITY OF CARLSBAD Records Audit Department: PW - FLEET Calendar Year: 2008 Records Manager Review: ^'^X>. ^V^^x^^ Date: fr ~" 11" ® Department Review. _*^C*z£ (£3 ^^*^4=— Date: Qo" C^y 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 requiting follow-up are identified in the "Action Itet»" 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 03/11/2009 by the following staff members: Records Staff: TANYA BTORK ^~> ^ _. Department Staff: KTMRF.RT.Y MAYWF.T.T., KD BARR Report Reviewed by: Ronna Stickrod vO Records Management Page 1 of 2 Annual Audit Report - PW Fleet Revised 1/09 AUDIT ELEMENT Records Management Program (RMP) Training Records Retention Schedule (RRS) Records Destruction FINDINGS All staff trained. None requested. Changes may be needed upon implementation of new software. Records will be submitted for destruction. ACTION None See Action Items 2 and 3 See Action Item 1 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 community drive. A snapshot of the root directory is attached for reference. *»* The position that serves as Records Management liaison for Fleet has had four staff changes since 2007. *»* Records have not been submitted for destruction by Fleet since 2005. Many Fleet records are defined with a retention period that is less than permanent Several boxes of records and non-records were identified as eligible for destruction. See Action Item 1. *»* Fleet has several files of permits and documents relating to safety and environmental regulations. These record types are not currently identified for Fleet in the Records Retention Schedule. See Action Item 2. *»* Fleet anticipates the implementation of Maximus software in the near future. This may change the way Fleet creates, accesses, and manages several of their records. The fleet management software will include: inventories, repair orders, and maintenances schedules. See Action Item 3. Action Items: 1. Fleet staff will prepare and submit records that are eligible for destruction to the Records Management Department This includes approximately 30 boxes of non-records dating from 1989-2000, in addition to records defined in the retention schedule for Fleet Records staff will facilitate the destruction of these records. Electronic non-records retained in the shared community drive (ex: previous employee files and floppies, bids/quotes) will also be reviewed and deleted if no longer needed for reference purposes. 2. Records staff will work with Fleet to identify safety and environmental records, and determine whether changes to the Records Retention Schedule will be necessary. 3. Records staff will also work with Fleet once the Maximus software is implemented to ensure that the Records Retention Schedule continues to accurately reflect current record-keeping practices, and make revisions to the retention schedule as necessary. Until the system is installed, Fleet will manage and destroy their records as currently defined in the retention schedule. Records Management Page 2 of 2 Annual Audit Report - PW Reet Revised 1/09 kmaxw 1:5106 PM 3/11/2009 •a FLEET INVENTO.. POSTED -SPQSTED FY2010F!eet JVOlCESxtef INWOCESjdsx iSFCharge... Copy of FY Rre Calendar Copy of Fire Report for Copy of Rep 2010 Fleet 1... 2008 Mileag... Calendar 20... John 02... for John C2S Copy of Ff 2303 fleet I... List Missing GasboyCFNil feintaneee RECALLS Visa Ifwot... quick ref.pdf Request Fb... 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