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