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HomeMy WebLinkAbout; ; Records Management Program AUDIT-Learning Center; 2012-12-05CITY OF CARLSBAD RECORDS MANAGEMENT DEPARTMENT RECORDS AUDIT REPORT COVER SHEET DEPARTMENT RECORDS MANAGEMENT LEARNING CENTER^ AUDIT DATE 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 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 ofthe audit findings. AUDIT ELEMENT COMPLIANCE STATUS ACTION ITEM Records Management Program Training (RMP) Not in compliance. See Action Item Checklist Records Retention Schedule (RRS) Not in compliance. Will be reviewed concurrently with Library. 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 (760)602-2482. We have reviewed the following audit report and agree to comply with any required action items. Date: 3/3^/13 Department Head: ?'j^VOZ) Department Staff: Annual Records Management Audit Review—Library: Learning Center CITY OF CARLSBAD RECORDS MANAGEMENT DEPARTMENT RECORDS AUDIT REPORT 1^ m SUMMARY OF FINDINGS: RM staff met with Glynn Birdwell, Carrie Scott, Lizeth Simonson, and Suzanne Smithson to ask 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 the Learning Center division ofthe Library is identified as the "Office of Record", and the status of destruction of any record and non-record material. Carrie and Suzanne had participated in previous audits and are familiar with the RMP. Glynn and Lizeth were not familiar with the requirements of the RMP, however all were familiar with the retention schedule. The SmeadSoft software is not being used by this division ofthe Library. * The retention schedule had been reviewed prior to the audit. Based on the previous audit, there are two specific retention codes that need to be defined; "1120-25: California State Library" and "1120-53: Adult Learning Service". The Learning Center is a division ofthe Library and a review of their records will be included in the review of all the Library records series (see Library Dove and Cole audits). Staff indicated that there are not any Essential/Vital records retained at the Learning Center. W Carrie indicated she believes there are some records eligible for destruction, but the retention schedule record descriptions are too vague to appropriately classify the records. This will be addressed with the RRS review with the Library. * There are no records stored offsite and there is no non-record material stored onsite. K The electronic systems used by this office are SIRSI and LACES. These systems retain appropriate information for Libraries and will be identified in the RRS review with the Library, w Staff routinely monitors shared community drives and deletes data in accordance with the RMP. * There are some forms that are used that may or may not need retention applied. These forms will be reviewed when the RRS is reviewed by RM and Library staff. B Data is supposed to be deleted for inactive patrons once a year. A destruction form is not being completed prior to the deletion taking place. This process needs to be reviewed as the RRS is being reviewed and updated. • Everyone discussed the option of imaging patron applications and purging the paper. The retention needs to tie in with the State retention guidelines. Library staff indicated they would get further clarification before addressing this option. Annual Records Management Audit Review—Library: Learning Center CITY OF CARLSBAD RECORDS MANAGEMENT DEPARTMENT RECORDS AUDIT REPORT ACTION ITEM CHECKLIST ACTION ITEM COMPLETED? All staff is encouraged to review the Records Management Training Video on the RM Intranet page. RM will provide one-on-one training, if needed. YES NO The RRS will be reviewed to insure all records retained at the Learning Center are correctly identified. This will be done by RM and Library staff. Any recommended changes should be complete by May 1, 2013, so they can be incorporated into the next RRS update scheduled for June 2013. YES NO All eligible records shall be processed for destruction once the correct record descriptions and retention periods are determined. This shall be completed as soon as the revised RRS is adopted by City Council. (June 2013) 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 Managennent Date Annual Records Management Audit Review—Library: Learning Center