HomeMy WebLinkAbout; ; Records Management Program AUDIT-Cultural Arts; 2013-01-07CITY OF CARLSBAD RECORDS MANAGEMENT DEPARTMENT
RECORDS AUDIT REPORT
COVER SHEET
DEPARTMENT
RECORDS MANAGEMENT
AUDIT DATE
PREPARED BY
1/7/2013
This records audit has been conducted by Records Management (RM) staff. Its purpose is to determine whether
the records in your department are being managed in accordance with the City Council adopted Records
Management Program (RMP). This evaluation includes a review of staff RMP training, whether there is a need
for potential Records Retention Schedule (RRS) modifications, and whether department records are being
processed for archiving or destruction appropriately.
INSTRUCTIONS:
• Department manager and records liaison review the findings ofthis report.
• After review, please sign and return this single page cover sheet to Records Management. This
will acknowledge that the audit findings and any action items have been reviewed.
Additional steps to take if there are items listed on the Action Items page:
• Complete the listed Action Items within the recommended timeline.
• Return Action Item Checklist to Records Management when corrections are completed.
Listed below is a summary ofthe audit findings.
AUDIT ELEMENT COMPLIANCE STATUS ACTION ITEM
Records Management Program
Training (RMP) In Compliance Recommend all staff review RMP
Training Video online
Records Retention Schedule (RRS) In Compliance See Action Item List
Records Maintenance and
Disposition Not in Compliance See Action Item List
If you have any questions regarding this audit, please contact Ronna Stickrod, Records Management Supervisor,
at x2482.
We have reviewed the following audit report and agree to comply with any required action items.
Date: ; J Department Head: /^^M^
' Aw() Department Staff: Q/^j^, Date: i^.<S^]2,
Annual Records Management Audit Review—Arts
CITY OF CARLSBAD RECORDS MANAGEMENT DEPARTMENT
RECORDS AUDIT REPORT
SUMMARYOF FIIMDfMGS:
• RM staff met with Cheryl Blaine and Isabelle Paulsen and asked a series of questions regarding
records management training, the management of department paper and electronic records,
whether the retention schedule is accurate for all records that Arts is identified as the "Office of
Record", and the status of destruction of any record and non-record material.
• Staff members are familiar with the RMP and have received the updated manual.
There were no open issues from previous audit.
* The SmeadSoft software is not being used by staff.
E The RRS was reviewed. Clarification of definitions and descriptions were suggested.
•8 There is currently 1 box being stored with the offsite vendor Corovan. Box will be retrieved for
review—files are many years old and contain no legislative documents. Destruction is
suggested.
• The Arts office is currently maintaining the following records: Summer camp files (teacher and
volunteer applications and State Mandated Form 5164(b)(1)), Public Art files. Grants, contract
files, and Jazz Crew personnel files. There is some confusion on how the teacher and volunteer
applications and State Mandated Form 5164(b)(1)), are to be maintained.
* The Arts office is currently maintaining the following non-record items: credit card statements
(both hard copy and electronic) and contracts (copies). Records staff discovered Isabelle was
maintaining 2 years of credit card statements on her personal thumb drive and taking it home
while Cheryl was keeping 18 months of paper copies of credit card statements in file cabinet.
Arts staff was instructed to maintain only the paper version of the credit card statements for
only 18 months. Isabelle was instructed to delete the electronic versions from her personal
thumb drive.
* GFA (Carlsbad Friends of the Arts) files/supplies are being stored onsite.
* Arts staff stated network drives and personal drives are generally not managed. However,
Isabelle did say she purges her own personal drive regularly.
Annual Records Management Audit Review—Arts
CITY OF CARLSBAD RECORDS MANAGEMENT DEPARTMENT
RECORDS AUDIT REPORT
ACTION ITEM CHECKLIST
ACTION ITEM COMPLETED?
Pull box currently stored offsite at Corovan for one last review then processed for
destruction. YES NO
Work with Records Management to modify RRS to include more defined
descriptions, to clearly identify who holds the records, and locate possible
categories that can be combined. This should be done before June when RRS goes
before council.
YES NO
Isabelle is to delete electronic versions of credit card statements maintained for 2
years at a time. Staff is to keep only the paper version of credit card statement
copies and then for only 18 months.
YES NO
Network and personal drives should be reviewed and data purged in accordance
with the RMP. YES NO
YES NO
For further assistance regarding an action item please contact Sonya at ext. 2738.
I hereby certify that the above listed Action Items have been completed and are now in compliance
with Records Management Policy and Procedures.
Department Manager Date
Records Management Date
Annual Records Management Audit Review—Arts