HomeMy WebLinkAbout; ; Records Management Program AUDIT-City Attorney; 2012-12-10CITY OF CARLSBAD RECORDS MANAGEMENT DEPARTMENT
RECORDS AUDIT REPORT
DEPARTMENT
RECORDS MANAGEMENT
COVER SHEET
ATTORNEY AUDIT DATE
PREPARED BY
12/10/12
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 No suggested changes.
Records Maintenance and
Disposition Not in compliance See Action Item Checklist
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.
Department Head: /^/^^^C;;f^>^'^5<* ^ ^^^^^ ^/y^ /
Department Staff: Date; ^./^/y
Annual Records Management Audit Review—City Att/5rni
CITY OF CARLSBAD RECORDS MANAGEMENT DEPARTMENT
RECORDS AUDIT REPORT
SUMMARY OF FINDINGS:
• RM staff met with Robyn Nuschy and Rita Kambestad 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 City Attorney is identified as the
"Office of Record", and the status of destruction of any record and non-record material.
K Staff members are familiar with RMP and have received updated manual.
• There were no open issues from previous audit.
* The RRS was reviewed. There were no suggested changes.
K The SmeadSoft software is being used by staff appropriately. This was verified with a sample
review of records (list attached). A thorough review of the database is suggested. There are
some files listed that no longer exist in hardcopy form.
• Records stored offsite with Iron Mountain are reviewed regularly for records needing
destruction. Records are requested and then sent to Records for destruction. Shredding is not
done by Iron Mountain per City Attorney. Records Management has requested a current copy
of inventory.
• It was reported an unknown number of boxes reside at the Farmers building—per City Attorney
for use by outside council in Marbella litigation. It is unknown who has access to these files,
what condition they are in, or if they are secure at this location. These records are considered
confidential.
* Staff is well versed in the destruction process for both paper and electronic records. Review of
records for destruction scheduled for the beginning of next year (2013).
o Includes offsite records as well,
li Stated community drives are managed and mostly contain working copies of documents.
B City Attorney maintains separate DMS library. All documents are currently stored permanently.
Annual Records Management Audit Review—City Attorney
CITY OF CARLSBAD RECORDS MANAGEMENT DEPARTMENT
RECORDS AUDIT REPORT
ACTIOIM ITEM CHECKLIST
ACTION ITEM COMPLETED?
Review SmeadSoft database. Check for missing files that need labels deleted. Send
obsolete labels to Records Management for deletion. YES NO
Check status, condition, and security of boxes used by outside council in the
Marbella litigation. These files are considered confidential and have been stored at
the Farmers building for an unknown amount of time. Update storage and
maintenance to be in compliance with RMP.
YES NO
Process records currently ready for destruction. YES NO
Review inventory of records stored offsite for necessary destruction. Provide
Records Management with complete and current inventory list. YES NO
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—City Attorney