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Home My WebLink About; ; Records Management Program AUDIT-Public Works; 2009-03-19CITY OF CARLSBAD Records Audit Department: PW - ENGINERING ADMINISTRATION Calendar Year: 2008 Records Manager Review: Cx^S //^"^"l^Lx Date: (£> - }) ~ 0 Department Review: ^JixjtN^T • bdb*.i*A A* - 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 Itettf' 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 03/19/2009 by the following staff members: Records Staff: TANYA Department Staff: JAYMR FOSTF.R Report Reviewed by: Ronna Stickrod' Records Management Page 1 of 4 Annual Audit Report - PW Engineering Administration Revised 1/09 AUDIT ELEMENT Records Management Program (RMP) Training Records Retention Schedule (RRS) Records Destruction FINDINGS All staff trained. Addition requested for Engineering Master Plans None ACTION None Action Item 1 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, and the database has been reviewed for accuracy. A copy of the records that were randomly selected for review is attached for reference. V There is no designated staff member who is responsible for maintaining the department's electronic records stored on the shared community drive. Administrative staff and project engineers manage their own files. A snapshot of the root directory is attached for reference. *«* In May 2007, the department participated in a "Free the Files" event, with the goal of cleaning up central files, teaching department personnel about the value of records versus non-records, and encouraging an environment where obsolete and duplicate documents are not maintained and stored. A checklist of which documents to retain and which documents to purge when project files are finaled and being prepared for storage was provided to staff as part of Engineering's 2007 Records Management Goal. As of the date of this audit, a large volume of obsolete and duplicate documents continue to be added to project files and are submitted for long-term offsite storage. File folders created in SmeadSoft at the beginning of a project frequently remain empty at the close of the project, but are not being pulled from boxes submitted for storage. The clean-up of project file records for offsite storage is being done at each individual project engineer's discretion. The purging matrix that was created in 2007 by Engineering staff is not being utilized. Project files are stored both in central files and in individual offices. Corresponding project files from the three engineering divisions are not being merged into a single project file prior to being sent offsite, as was recommended in 2007. See Action Item 2. *»* The number of records being sent offsite to storage by Engineering has increased dramatically over the past five years. 757 boxes of records have been added to the inventory since March of 2004, and the number of boxes sent annually increases every year. A breakdown of the number of boxes reported at Iron Mountain in previous Records Audit Reports follows: o March 2004 - 909 boxes o January 2005 - 1,019 boxes o February 2006 -1,158 boxes o March 2008 - 1,440 boxes o March 2009 -1,666 boxes Records Management Page 2 of 4 Annual Audit Report - PW Engineering Administration Revised 1/09 If this trend continues, the volume of records being stored offsite will soon become a significant financial and administrative burden on the city as it rektes to storage costs, retrieval, and staff time spent searching for requested records. See Action Item 2. *** Engineering Administration is responsible for storing records offsite at Iron Mountain for Administration/Capital Projects, Development Services, Traffic, and Construction Management & Inspections (CM&I). Last year they received approximately 120 record boxes from CM&I for offsite storage. Another 32 boxes are due to be transferred, all for a single project CM&I is responsible for providing an inventory describing the records being transferred for offsite storage. There is a department concern about the volume of records being sent for offsite storage, and the vagueness of the records inventory being provided. See Action Item 3. *»* Boxes of records that have been removed from Iron Mountain and destroyed have not been removed from the Master Iron Mountain inventory. The current retention for records inventories is superceeded plus two years, therefore they should be updated at least on an annual basis. Also, many boxes are checked out from Iron Mountain and are being stored onsite indefinitely. Currently 86 boxes show as being checked out or permanently removed from the Iron Mountain inventory. See Action Item 4. *»* Soils Reports continue to be scanned when submitted; older reports are scanned as staff time allows. Engineering Administration staff has expressed an interest in disposing of the hardcopy of Soils and Hydrology Reports and maintaining only the document in the DMS. See Action Item 5. *»* Issues regarding boxes of records identified in last year's audit have been resolved. Six Iron Mountain boxes stored in the Engineering Administration office cabinets were returned to storage. Two boxes of CMWD records were forwarded to Records Management for review and scanning of relevant documents. Five boxes of a previous employee's files stored in the supply room were reviewed and purged. Right boxes of Beach Erosion/Preservation Committee records were reviewed and scanned by Records Management, and consolidated down to three boxes of permanent records which were returned to storage at Iron Mountain. *•* Engineering microfiche is currently being stored in offsite storage with Records Management. A working copy of this microfiche is kept for viewing at Faraday. As staff time and resources allow, Engineering Administration should review the microfiche and determine the disposition of the records contained in them. The records may be a duplicate of existing project file records stored offsite. Action Items: 1. Currently the Master Plan document type designated in the Records Retention Schedule for Engineering has a significantly shorter retention period than Master Plans identified for other departments. The Engineering Administration department maintains a number of Master Plans (ex: Pedestrian Master Plan). This retention period should be evaluated to determine if 0640-30 CU+2 is the correct code for this document type, and if the retention should be changed to be consistent with other Master Plan retention periods (SU+2 and PE). 2. Records Management recommends that Engineering implement an internal process for reviewing, scanning, purging and merging project file records prior to sending to offsite storage. This process should include input from the project engineers and the staff who merge and send the records offsite. Having a standardized process in pkce would ensure that only relevant record material is maintained in the project files in compliance with the Records Management Program. This clean-up should also include all corresponding electronic records stored on community drives, discs, and other media. This is an action item continued from the 2005 Records Audit Report. Records Management Page 3 of 4 Annual Audit Report - PW Engineering Administration Revised 1/09 3. Records Management will work with CM&I to ensure only permanent record material with an accurate, descriptive inventory is being sent to offsite storage. 4. Engineering Administration staff will ensure that boxes of records that have been destroyed are removed from the Iron Mountain inventory; both with Iron Mountain and in the departmental Excel inventory spreadsheet An internal check-out log shall also be utilized to follow up on boxes that have been retrieved from offsite storage. If they will be retained onsite long-term, the department may consider removing them permanently from the offsite vendor storage inventory. This will ensure that the city is only billed for records that are archived for long-term offsite storage, and will keep the records inventory current 5. Before paper Soils Reports can be purged as non-records, an effective and consistent quality control process must be implemented to ensure that the document retained in the DMS is a high quality reproduction of the original. Records Management will train Engineering staff on the scanning and quality control process for putting documents in the DMS. When a consistently high level of quality is observed for records being scanned to the DMS by Engineering, it is recommended that Records Management discuss the options regarding maintaining the documents in the DMS only. Records Management Page 4 of 4 Annual Audit Report - PW Engineering Administration Revised 1/09 City of Carlsbad All Engineering Admin Barcode First Name Second Name Third Name EA000010 EA000063 EA000199 EA000253 EA000291 EA000337 EA000398 EA000521 EA000535 EA000578 EA000654 EA000798 EA000942 EA0011C8 EA001176 EA001230 EA001360 EA001621 EA001674 EA001728 EA001905 EA002182 EA002248 EA002421 EA002S44 EA002S88 EA002654 EA002861 3851 CHESTNUT AV 3182 VISTA/CARLSBAD INTERCEPTOR SEWER 3190 RANCHO SANTA FE RD BRIDGE 3190 RANCHO SANTA FE RD BRIDGE 3190 RANCHO SANTA FE RD BRIDGE 3190 RANCHO SANTA FE RD BRIDGE 3455 COASTAL RAIL TRAIL 3480 FACILITY MASTER PLAN - RECLAIMED 3528 S CARLSBAD VILLAGE STORM DRAIN 3549-C MISSION BASIN GROUNDWATER 3583 SAHI PHASE II CANNON LIFT STATION 3667-5 PAVEMENT OVERLAY 3821 LAKE CALAVERA IMPROVEMENTS 3184 CANNON ROAD WEST 3903 WELL ABANDONMENTS/SAN LUIS REY 3675 ENCINA BASIN WATER RECLAMATION II 3889 CALAVERA/D-TANK/BRESSI BOOSTER 3607 ECR & FARADAY IMPROVEMENTS 3814 CANNON RD REACH 4B 3901 FIRE STATION NO. 6 3887G - Rancho Santa Fe Rd North - Phase II 5501 BUENA INTERCEPTOR IMPROVEMENTS 66051 CALLE GAVANZO FRENCH DRAINS 4002 CARLSBAD PEDESTRIAN MASTER PLAN 3858 RANCHO CARRILLO OVERSIZING/EXTENT 5508 BUENA VISTA LIFT STATION FORCE MAIN 5009 MAERKLE FACILITY IMPROVEMENTS 5509 HOME PLANT LIFT STATION REPLACEMENT Bids Water Files Administrative Documents - Design Environmental Reports & Studies #2 Mitigated Negative Declaration Carollo Eng Agendas Administrative Documents Correspondence - State Water Well Permits Correspondence Old City Files Photos Correspondence Planning & Financing Conference Reports Utility Companies News Articles/Photos Right of Way-1984 Grant Construction Capacities/Alternatives Study Administrative Documents Environmental Design Proposals Bids Construction Agenda Bills - Malcolm Pimie Fourth Name Filel of 2 File 3 of 7 Leucadia Wtr - Environmental File Code 106010 106010 106010 106010 106010 106010 106010 106010 106010 106010 106010 106010 106010 106010 106010 106010 106010 106010 106010 106010 106010 106010 106010 106010 106010 106010 106010 106010 Color Location Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Iron Mountain Wednesday, February 18,200911:53:16 AH - SmeadSoH Grid Print tbjor Page:1 Q SoW Wart Pmgnm TER PROOUH 21KB 123KB 66KB 32KB 21KB 49KB 1KB 1KB Ffc Folder He Folder FfcFolder rternhfer FfcFokter Ffc Folder He Folder Ffc Fokfcr ffc Folder Ffc Folder Ffc Fatter FfeFotdrr FteFOUv FteFotter Ffc Fatter Ffc Fatter Fie Folder Ffc Folder Ffe Fatter FfcFolder FfcFolder Ffc Fatter FfcFolder FfcFdder Ffc Fatter Wcroaoft Office Ext... 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