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Home My WebLink About; ; Records Management Program AUDIT-Public Works; 2009-03-23CITY OF CARLSBAD Records Audit Department: PW - ENGINEERING DEV SVCS Calendar Year: 2008 Records Manager Review: (f/ / //?"7~^Lx Date: b ~~ / } ~~ C Department Review. ( 'O W~^~ T^U^KJ^u^ 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 Itetr/' 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 03/23/2009 by the following staff members: Records Staff: TANYA BTORK Department Staff: r.Fr.F.T.TA FF.RNANnF.7. Report Reviewed by: Ronna Stickrod' Records Management Page 1 of 3 Annual Audit Report - PW Eng Development Services Revised 1/09 AUDIT ELEMENT Records Management Program (RMP) Training Records Retention Schedule (RRS) Records Destruction FINDINGS All staff trained. None requested. None submitted. 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. *»* SmeadSoft is utilized in this division. The database has been reviewed for accuracy. A copy of the records that were randomly selected for review is attached for reference. *»* SmeadSoft data entry errors identified in the 2007 Records Audit have been corrected. The empty database subfolder has also been deleted. *«* Last year Records staff expressed concern regarding the storage of electronic non-records on the shared community drive. Records Management was assured that documents purged from the hardcopy project files would also be removed from the electronic file on the community drive. *»* The Development Services division of Engineering is continuing to purge project files upon completion of the respective project These files are then prepped for scanning to the Document Management System (DMS). Records staff trained Engineering Development Services staff how to scan Soils Reports in March 2008. See Action Item 1. *«* The Engineering counter staff uses the microfiche that is stored in the public area of the Faraday building as reference material See Action Item 2. *** The offsite records inventory for this division of engineering is included in the Engineering Administration inventory. Counter staff have viewing access to this inventory on the shared community drive. Engineering Development Services has a goal to minimize the number of boxes of records their department sends to Iron Mountain. This will be achieved through a combination of scanning records into the DMS and file clean-up. *»* When Mylar drawing sheets are replaced in the DMS with new versions, the superseded hardcopies are retained in addition to the new versions. Project engineers retain these superseded sheets indefinitely. »•» Certificate of Correction routing forms generated by this department instruct departmental staff to perform the following: 1) quality control (QC) on the document once it is scanned in the DMS, 2) edit information to the document's indexing properties, and 3) print a hardcopy of the scanned document The Senior Office Specialist (SOS) is also conducting QC on other documents. The SOS was granted DMS security rights to change the indexing on these documents in the DMS. See Action Item 3. ~continued on Page 3~ Records Management Page 2 of 3 Annual Audit Report - PW Eng Development Services Revised 1/09 Action Items: 1. A DMS scan station is currently being configured for this department. This scanner will primarily be used to scan project files to the DMS before they are sent to offsite storage. It is anticipated that this will greatly reduce time and money spent in retrieving the hardcopy files from offsite storage. Once the scanner is set up, Records staff will conduct additional training on scanning to the DMS. The scanner should be set up and ready to use in May or June 2009. 2. The Engineering Department will evaluate the need to retain or digitize records stored on microfiche. The microfiche located in the Faraday public cabinet may be a duplicate of paper records located in offsite storage. It is recommended these records be reviewed as respective project files are scanned into the DMS to eliminate any duplication of records. 3. The Certificate of Correction routing form generated by Engineering Development Services includes these instructions: "After DMS scanning, verify accurate entry of all document properties, enter initials in DMS QC field, print document from DMS, and give printout to Office Specialist to hang with map. " The quality control, indexing, and printing of Certificate of Correction documents already scanned to the DMS may be an unnecessary duplication of effort by staff. Records Management is responsible for scanning the Certificates of Correction into the DMS and performing a quality control review with the original scanned document The need to permanently record the QC process as part of the document's permanent indexing and metadata is not a recommended recordkeeping practice. There is also concern that multiple hardcopy duplicates of the certificate are being retained. Currently the original Certificate of Correction is retained by the City Clerk's department If the Certificate of Correction document type should be filed with the corresponding map, which is physically located in the Engineering division, it may be necessary to evaluate the appropriate "Office of Record" for the original recorded document Records Management Page 3 of 3 Annual Audit Report - PW Eng Development Services Revised 1/09 City of Carlsbad Ml Engineering Barcode First_Name Second Name Third Name EN0000037 EN0000330 EN0000536 EN0000843 EN0001910 EN0002151 EN0002312 EN0002590 EN0003S15 EN0004152 EN0004300 EN0004439 EN0004490 EN0004936 EN0005584 ENOOOS637 EN0005722 EN0007269 EN0007415 EN0008207 EN0009472 EN0009519 EN0009624 EN0009942 EN0010100 EN0010501 ADJ 486 FERNANDEZ CT89-19BROCCATO CT90-13RANCHOREAL CT 90-09-1 AV1ARA PA 5 UNIT 1 CT 97-15 LOHF PROPERTY CT 98-14-01 THOMPSON/TABATA UNIT 1 PIP 04-03 VENTANA REAL LOT 2 CUP 98-03 CHEVRON STATION PD411 RANCHO CARRILLO PIP 97-07 NEWTON DRIVE BUSINESS PR 3.4.159 RANCHO SANTA FE AND RP 97-03 JOIN HANDS - SAVE A LIFE SDP 80-03B DANIEL'S CABLEVISION MS 01-12 BUENA VISTA MINOR CT 02-04 VILLAGES OF LA COSTA CUP 02-03 NATIONAL UNIVERSITY PR 02-72 PHAM CHONG RESIDENCE SDP 01-10 CANTARINI/HOLLY SPRINGS PD 04-20 WOLFF RESIDENCE REMODEL PIP 05-17 OPUS POINT LOT 5 & 6 PD 07-01 CALLAWAY GOLF PARKING ADJ 06-16 KATO LOT LINE ADJ SDP 06-01 WETTSTEAD RESIDENCE SWPP 06-01 CAVALLO MOTOR SPORTS STV 06-07 MADISON ST & OAK AVE ROW PD 08-06 MODERNIZATION OF CARLSBAD CALLE ACERVO NEIGHBORHOOD 3.14 AFFORDABLE HOUSING GENERAL FILE 5. RECORDED AGREEMENTS 5. RECORDED AGREEMENTS 2. COMMISSION & COUNCIL PROJECT DRAWINGS 1. ACCOUNTING/APPLICATION 2. COMMISSION & COUNCIL 1. ACCOUNTING/APPLICATION CONDEMNATION REPORT 7. EASEMENTS GENERAL FILE 8. SUBDIVISION GUARANTEE & 12. ENCROACHMENT 6. PERMITS - LICENSES PROJECT DRAWINGS 3. CORRESPONDENCE GENERAL FILE 3. CORRESPONDENCE 4. SECURED AGREEMENTS 8. SUBDIVISION GUARANTEE & 1. ACCOUNTING/APPLICATION 8. SUBDIVISION GUARANTEE & 2. COMMISSION & COUNCIL GENERAL FILE 2. COMMISSION & COUNCIL 4. SECURED AGREEMENTS Fourth_Name FILE 1 OF 1 FILE 1 OF 1 FILE 1 OF 1 FILE 1 OF 1 FILE 3 OF 3 FILE 1 OF 1 FILE 1 OF 1 FILE 1 OF 1 FILE 1 OF 1 FILE 1 OF 1 FILE 1 OF 1 FILE 1 OF 1 FILE 1 OF 1 FILE 1 OF 1 FILE 1 OF 1 FILE 1 OF 1 FILE 1 OF 1 FILE 1 OF 2 FILE 1 OF 1 FILE 1 OF 1 FILE 1 OF 1 FILE 1 OF 1 FILE 1 OF 1 FILE 1 OF 1 FILE 1 OF 1 FILE 1 OF 1 File Code 050004 050030 050030 050030 050030 050030 050065 050020 050050 050065 050032 056030 050080 050040 050030 050020 050032 050080 050050 050065 050050 050004 050080 050032 050030 050050 Color Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Blue Purple Purple Purple Purple Purple Blue Purple Purple Purple Purple Purple Purple Purple Purple Purple Location Central Files Central Files Central Files Central Files Central Files Central Files Central Files Central Files Central Files Central Files Central Files Central Files Central Files Central Files Central Files Central Files Central Files Central Files Central Files Central Files Central IFiles Central Files Central Files Central Files Central Files Central Files Wednesday, February 18,2009 9:25:53 Ml - SmeadSoft Grid Print tbjor Page: 1 Snapshot of Development Services H Drive __j Development Services ninistrationi , Correspondence •DSISP j MASTERS | Plan Check Accounting j Project Engineers Work Schedule j PROJECTS j STORM WATER QUALITY j Technical References Jplancheck j Shortcut to Data j Shortcut to PROJECTS