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HomeMy WebLinkAbout; ; Records Management Program AUDIT-Fire Prevention; 2013-01-07DEPARTMENT RECORDS MANAGEMENT CITY OF CARLSBAD RECORDS MANAGEMENT DEPARTMENT RECORDS AUDIT REPORT COVER SHEET FIRE PREVENTION AUDIT DATE PREPARED BY 1/7/13 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 of this 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 of the audit findings. AUDIT ELEMENT COMPLIANCE STATUS ACTION ITEM Records Management Program Training (RMP) In Compliance Recommend all staff review Records Management Training video on intranet Records Retention Schedule (RRS) In Compliance Review Action Item Checklist Records Maintenance and Disposition Not in compliance Review Action Item Checklist If you have any questions regarding this audit, please contact Ronna Stickrod, Records Management Supervisor, at x2482. We have reviewed the follawing audit report and agree to comply with any required action items. Department Head: Date: Department Staf]^;;^.,;;^^:^ ^J^,,^ Date: 5-^^^^^ Annual Records Management Audit Review—Fire Prevention CITY OF CARLSBAD RECORDS MANAGEMENT DEPARTMENT RECORDS AUDIT REPORT SUMMARYOF FINDINGS: * RM staff met with Christina Wilson, Greg Ryan, and Bill Anderson. They were 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 Fire Prevention is identified as the "Office of Record", and the status of destruction of any record and non-record material. ^ Chris, Greg and Bill were all familiar with the RMP, but Chris was the only one that has received formal training. Greg requested an additional RMP manual forthe department. It was suggested that all staff review the online Records Management training video. E There was one open issue from the previous audit; scanning large format sprinkler plans. This request was postponed and will be re-examined at a later time. ^ The TAB software is being used by staff appropriately. This was verified with a sample review of records (list attached). It was discovered that the Fire Code Notebooks which are listed in the RRS have not been entered into the TAB database. See Action Item Checklist. • The RRS was reviewed. There were several proposed changes, including clarification of record descriptions. Many records types (i.e. violation notices, fire inspections, etc.) are being stored in the ADDRESS FILES, but are listed in the RRS separately with different retentions. It was suggested that these record types be combined into one record series in the RRS. It was also suggested that all Fire Department record series be identified as either Administration or Prevention in the OFFICE OF RECORD section. See Action Item Checklist. R There was a question of whether or not Fire Prevention is the office of record for Fire Investigation reports. The files are stored in the Fire Marshall's office (file cabinet remains unlocked for multiple staff access). Greg stated that for about a year he has been sending duplicate originals of the reports to the Administrative Secretary in Fire Administration. It is unclear if she has been storing them. (*Note, RM spoke with admin secretary and she confirmed that she WAS NOT maintaining these records.) See Action Item Checklist. • Several of Fire Investigations reports have expired retentions and are ready for destruction according to the current RRS. See Action Item Checklist. B Fire Prevention currently stores 72 boxes at Iron Mountain. These records are permanent. There are many inventory lists documenting these record? making it cumbersome to decipher. The separate inventory files should be reformatted into a single database. This has been discussed with the designated Records Liaison, who states that she is working with IT to create a more user friendly document. See Action Item Checklist • The department's community network drives and personal drives are not being managed for record or non-record files. This includes files maintained by Weed Abatement. 2 Annual Records Management Audit Review—Flre Prevention CITY OF CARLSBAD RECORDS MANAGEMENT DEPARTMENT RECORDS AUDIT REPORT ACTION ITEM CHECKLIST ACTION ITEM COMPLETED? TAB label and enter Fire Code notebooks into TAB database. ^ YES NO Review RRS issues with Ronna so that changes and updates can be included in RRS when it goes to council in July 2013. ^ihtJL Maintain the official copy of Fire Investigation Reports in Fire Prevention. Files should be locked at all times due to the sensitivity of information they contain, and a key can be made available in area where staff can use it when needed. Review the Fire Investigation reports. Any reports that have reached their retention, process for destruction in accordance with RMP. YES )N0 Verify Iron Mountain inventory and compile the records into a single electronic file. The existing data within multiple documents can simply be copied into an appropriate database, such as Access or Excel. Once complete, send an updated inventory list to RM. Contact RM if example of suggested database is needed. YES NO Review RMP requirements with Weed Abatement staff member. Audit records and/or non-records being maintained. If needed, process records for destruction/deletion. YES NO Electronic records stored on the shared Network drives and individual F:/drives should be reviewed for obsolete data. If there is official record data stored on the computer drives, the appropriate retention shall be applied and processed for deletion in accordance with RMP guidelines. Any non-records can simply be deleted. A review of the shared drives should be completed at least on an annual basis. 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—Fire Prevention