HomeMy WebLinkAbout; ; Records Management Program AUDIT-Cole Library; 2012-12-06CITY OF CARLSBAD RECORDS MANAGEMENT DEPARTMENT
RECORDS AUDIT REPORT
COVER SHEET
DEPARTMENT LIBRARY-COLE AUDIT DATE 12/6/2012
RECORDS MANAGEMENT ^^^jnuo. f^dAj^^ 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) In compliance. Recommend all staff review Records
Management Training video on Intranet
Records Retention Schedule
(RRS) Not 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 (760)602-2482.
We have reviewed the following audit report and agree to comply with any required action items.
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Department Staff:
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Annual Records Management Audit Review—Library: Cole
CITY OF CARLSBAD RECORDS MANAGEMENT DEPARTMENT
RECORDS AUDIT REPORT
SUMMARY OF FINDINGS:
• RM staff met with Dianna Galindo, Mary Van Orsdol, Dave Curtis 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
Cole Library is identified as the "Office of Record", and the status of destruction of any record
and non-record material.
All staff is familiar with the RMP and the RRS.
* The SmeadSoft software that was previously being used to label Volunteer records is no longer
being used by staff. The folders that previously contained volunteer records were given to
Records for removal from the SmeadSoft database. There are still records in the SmeadSoft
inventory, but staff did not know where the folders are.
i! The RRS has been reviewed, but needs modifications. A consultant provided the Library with
recommended retention periods several years ago, but those recommendations have not been
reviewed to determine what can be incorporated into the current RRS.
IB Staff indicated there are not any Essential/Vital records retained in the Library.
K Mary indicated that the History Room retains historical documents that may actually be official
City records retained in the DMS. She has been reviewing the historical records since taking
over the duties of the History Room in July 2012, and will destroy non-records as needed.
R Staff routinely monitors shared community drives and deletes data in accordance with the
RMP.
IB The Ubrary does not store any record material offsite, and there is minimal record storage
onsite. Most of the business for the Library is conducted through the SIRSI system or the
Cashier system.
Annual Records Management Audit Review—Library: Cole
CITY OF CARLSBAD RECORDS MANAGEMENT DEPARTMENT
RECORDS AUDIT REPORT
ACTION ITEM CHECKLIST
ACTION ITEM COMPLETED?
Library records series in the RRS need to be reviewed along with the consultant
recommendations. RM was advised that this will be done in two phases. The
preliminary review should be completed no later than May 1, 2013, so that some
modifications can be incorporated into the next RRS revision being presented to
City Council in June 2013. The remaining changes should be completed by the end
of fiscal year 2014. Any retention schedule changes that are adopted by City
Council will be identified in the next annual audit.
YES NO
Identify any records that are eligible for destruction. Process these for destruction
as soon as possible so that they can be included in the next citywide record
shredding.
YES NO
The History Room has retained records that may be duplicates in the Document
Management System. These duplicate records shall be destroyed as they are
identified in the DMS. Mary will contact RM for assistance, if needed.
YES NO
Staff provided Sonya with all the file folders that had Smead labels. There are still
many records remaining in the database. Sonya will work with Dianna to identify
the remaining records listed, and appropriately remove them from SmeadSoft.
YES NO
For further assistance regarding an action item please contact Sonya at (760)602-2438.
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—Library: Cole