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HomeMy WebLinkAbout; ; Records Management Program AUDIT-City Manager; 2012-12-12CITY OF CARLSBAD RECORDS MANAGEMENT DEPARTMENT RECORDS AUDIT REPORT COVER SHEET DEPARTMENT CITY MeR/C;TY COUNCIL AUDIT DATE RECORDS MANAGEMENT 12/12/12 PREPARED BY 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 on Records page on Intranet Records Retention Schedule (RRS) In Compliance See Action Item Checklist 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: (TIAAACMI^ Department Staff: Date Annual Records Management Audit Review—City Manager/City Council CITY OF CARLSBAD RECORDS MANAGEMENT DEPARTMENT RECORDS AUDIT REPORT SUMMARY OF FINDINGS: * RM staff met with Kira Linberg 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 Manager/City Council is identified as the "Office of Record", and the status of destruction of any record and non-record material. • There were no open issues from previous audit. • The SmeadSoft software is being used by staff appropriately. This was verified with a sample review of records (list attached). There were labels that needed to be deleted as the files have been destroyed. • The RRS was reviewed. No suggestions for modifications were made. However, it was noted that CM does not maintain Volunteer program records (0860-80). B There is a planned records destruction at beginning of year. Last destruction was in February 2012. Upon completion of destruction, all files with the defunct file code 0100-34 will be purged. (This file code does not exist on current RRS—was allowed to retain the code due its short retention.) K Kira was familiar with what Vital/Essential records are maintained by City Council/City Manager's office. The paper copies of Admin Orders are currently stored in an open bookshelf in admin secretary's office; however, they are backed up in DMS. This type of storage is appropriate for these records. R Suggestions were made and discussed on how to encourage and incorporate staff compliance to RMP (i.e. staff watch RMP video, institute department wide records purge—both paper and electronic, etc.). Kira was open and enthusiastic about implementing these ideas. B Records maintained by Communications falls under the purview of the City Manager's office. Currently the only known records they are maintaining are electronic copies of press releases. Kira was not aware ofthe destruction process for these records or if they were following a procedure. Annual Records Management Audit Review—City Manager/City Council CITY OF CARLSBAD RECORDS MANAGEMENT DEPARTMENT RECORDS AUDIT REPORT ACTION ITEM CHECKLIST ACTION ITEM COMPLETED? Process records currently ready for destruction. To be completed by February 15, 2013. YES NO Review SMEAD database for labels that need to be deleted because files have been destroyed. List of labels are to be given to Records to be removed from database. YES NO Follow up with Tina in Communications regarding the deletion process for electronic press releases that are past their retention. YES NO Remove City Manager's office as "office of record" for 0860-80 (Volunteer Program) from current RRS. YES NO 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 Manager/City Council