HomeMy WebLinkAbout; ; Records Management Program AUDIT-Dove Library; 2012-12-04CITY OF CARLSBAD RECORDS MANAGEMENT DEPARTMENT
RECORDS AUDIT REPORT
DEPARTMENT
RECORDS MANAGEMENT
COVER SHEET
LIBRARY-DOVE AUDIT DATE
PREPARED BY
12/4/2012
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 101.
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.
Date: ^/(z/l3 Department Head: (]^I^\^XW ^'^^^
Department Staff: Date:
Annual Records Management Audit Review—Library: Dove
CITY OF CARLSBAD RECORDS MANAGEMENT DEPARTMENT
RECORDS AUDIT REPORT
SUMMARYOF FINDINGS:
B RM staff met with Cissie Sexton, Dave Curtis and Suzanne Smithson 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 the Ubrary is
identified as the "Office of Record", and the status of destruction of any record and non-record
material.
ii Cissie and Suzanne are familiar with the RMP. Dave was not familiar. He indicated that he will
review the Records Management Training Video on the Intranet. It was recommended that all
Library staff review the training material to become familiar with the basic requirements of the
RMP.
* 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).
• Dove Library utilizes SmeadSoft for Ubrary Board and Historic Preservation records. There are
Agenda's listed in SmeadSoft that should be destroyed.
IB 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.
ii The Library 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.
IB Cissie routinely processes physical records for destruction when appropriate. She also indicated
that the various common network drives at the Library are being consistently reviewed. We
discussed retention options regarding draft and/or resource information being stored on the
drives. They will apply retention based on the outcome of the RRS review.
• The Library does not store any records in the DMS.
B RM staff found that there are several types of non-record files being maintained by the library
for historical reference. These should be reviewed for deletion/destruction.
Annual Records Management Audit Review—Library: Dove
CITY OF CARLSBAD RECORDS MANAGEMENT DEPARTMENT
RECORDS AUDIT REPORT
ACTION ITEM CHECKLIST ™ DOVE LIBRARY
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 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
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:
3 I
Annual Records Management Audit Review—Library: Dove