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