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HomeMy WebLinkAbout; ; Records Management Program AUDIT-Housing; 2013-03-13CITY OF CARLSBAD RECORDS MANAGEMENT DEPARTMENT RECORDS AUDIT REPORT COVER SHEET DEPARTMENT RECORDS MANAGEMENT AUDIT DATE PREPARED BY 3/13/2( 2013 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 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 x2482. We have reviewed the following audit report and agree to comply with any required action items. Department Head: Date: ^^^//3 Department Staff:*^ ..^^ Date Annual Records Management Audit Review'^Trbusing & Neignborhood Services CITY OF CARLSBAD RECORDS MANAGEMENT DEPARTMENT RECORDS AUDIT REPORT SUMMARY OF FINDINGS: • RM staff met with Patti Crescenti, Bobbi Nunn, and Kira Linberg. 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 Housing and Neighborhood Services is identified as the "Office of Record", and the status of destruction of any record and non-record material. • All staff was familiar with the RMP program. Bobbi requested more in depth personalized training. RM suggested that the online RMP training video be viewed by entire staff. See Action Item Checklist. • There were no open issues from previous audit. However, the "free the files" event was suggested again for a later date. • The TAB software is being used by staff appropriately. This was verified with a sample review of records (list attached). Only one file was not located prior to the audit—it was located later at Farmers during the cleanup. Bobbi requested access to TAB. Records staff will provide training. See Action Item Checklist. • There are labels in the HNS TAB database that need to be deleted. When files are sent for destruction, the note "destroyed" is placed next to the file's label in the TAB database instead of being deleted. Patti has been instructed to send the list of labels to be deleted to RM as soon as the destruction process begins. • There are several inconsistencies in the data entry process for TAB. Staff is to determine how they want their labels to read. See Action Items Checklist. • The RRS was reviewed. Detailed changes were discussed for Housing, Redevelopment, CDBG and Code Enforcement records. In addition, HNS no longer maintains records for Sign Permits, File Code 0515-10, and shall be removed as an "Office of Record". See Action Item Checklist. • Housing currently stores active and inactive Participant files in three locations. 1) Current and active Participant files are retained onsite in various offices; 2) The older active Participant files, commonly known as split files, are being stored at Farmers; and 3) Inactive Participant files are being held at Corodata. • Upon HNS's office relocation, active participant "split files" were sent to Farmers for storage. The organization of these files was never completed. It was suggested that volunteers be called in to take care of this task. RM staff volunteered and assisted Bobbi in cleaning up the storage room at Farmers. This included reorganizing files already in file cabinets and putting away all files stored in boxes. • Destruction procedures for official records and non-records are understood and being followed by HNS staff. Official records are put on a Records Destruction log and sent to RM for 2 Annual Records Management Audit Review— Housing & Neighborhood Services processing. Records stored offsite are either retrieved and processed for destruction through RM or left in storage and processed for destruction through the offsite vendor Corodata. Non- records are collected in one community box in the mailroom. Once full it is taped closed, identified as "non-records", and sent to RM for destruction. CBDG files were discussed. It is possible these files are being retained by staff past their retention and there may be many that need to be destroyed. See Action Item Checklist. The Code Enforcement case files are records that are on hold for destruction pending a review and update ofthe RRS. See Action Item Checklist. Per staff, no records are being stored on the community drives. Individual drives are maintained by the owner, however, Patti does send out a clean-up reminder to staff once a year. HNS currently utilizes two electronic programs that collect data: Visual Homes (Yardi) and Permits Plus. It is currently unknown if these programs have the ability to purge data when it has reached the end of its retention. See Action Item Checklist. The Redevelopment permit was the only document HNS owned in the DMS; however the "Office of Record" for these permits is now the Planning Department. The possibility of scanning other document types, such as Code Enforcement case files, was discussed. RM discovered that HNS staff is keeping copies of agenda bills processed by HNS for easy reference. This is not in compliance with RMP policy. All agenda bills are stored and accessible in the DMS. An alternative to keeping copies was suggested. See Action Item Checklist. It was noted there is not a department procedure manual in place. Developing a manual would reduce inconsistent records practices in HNS. See Action Item Checklist. Annual Records Management Audit Review— Housing & Neighborhood Services CITY OF CARLSBAD RECORDS MANAGEMENT DEPARTMENT RECORDS AUDIT REPORT ACTION ITEM CHECKLIST ACTION ITEM COMPLETED? Recommend that all staff view RMP online training video and schedule personalized in- depth RMP training as needed. YES NO The TAB program is to be installed on Bobbi's computer. Schedule training when installation is complete. YES NO Provide RM with the list of labels in TAB that need to be deleted from the database due to the past authorized destruction ofthe physical records. In the future, forward the list of labels to be deleted from TAB along with the destruction form to Records Management. YES NO Staff is to create standard data entry information for labels that are entered in TAB. YES NO RM will modify the RRS and review recommended changes with HNS staff. This will include Housing, Redevelopment, CDBG and Code Enforcement records. In addition, HNS will be removed as Office of Record for Sign Permits. YES NO Process any pending records ready for destruction. This includes CDBG files past their retention (these must be processed as official records). YES NO Upon approval ofthe revised retention for Code Enforcement case files, HNS can process the records that are eligible for destruction. RM will notify HNS when the new retention is approved. YES NO Research the Visual Homes program to find out if data can be purged when it reaches the end of its retention. If the paper record is being destroyed at the end of its lifecycle, all electronic records/data must be purged as well per RMP. Investigate whether Permits Plus has a purge utility to remove Code Enforcement case information once the paper records are destroyed. YES NO Paper copies of agenda bills being retained for reference should be destroyed as non- records. An alternative to storing full copies of Agenda Bills is to create a tracking log of Agenda Bill Numbers and topics. This would allow for easy access to the official document in the DMS. If additional training would be helpful, please contact RM. YES NO Due to the staff changes and subsequent inconsistencies in procedures (including TAB database data entry), RM suggest the creation of a policy and procedure manual. Instructions should include TAB labeling, record maintenance and destruction of both records and non-records. YES NO For further assistance regarding an action item please contact Sonya at ext. 2738. 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— Housing & Neighborhood Services City of Carlsbad All HousingRedev Barcode FirstName SecondName ThirdName FourthName FlleCode Color Location Remarks Pnnted H0001247 BENTON, HOUSING FILE #1 055020 Blue FILE ROOM a H0004010 BEZRUKOV, HOUSING FILE 4 055020 Blue FILE ROOM H0000391 BONGIORNI, HOUSING FILE #1 055020 Blue FILE ROOM a H0004672 BOONE, AMY HOUSING FILE #2 055020 Blue HS OFFICE m H0002541 BRADWELL, HOUSING FILE #2 055020 Blue FILE ROOM a H0004182 BRAY, HOUSING FILE #6 055020 Blue FILE ROOM H0001214 GREEN, IVAN 6535 EASY STREET AFFORDABLE SOLAMAR 056050 Purple H&R#9 a H0004401 GRODOWSKY. HOUSING FILE #2 055020 Blue FILE ROOM B H0001387 MEALS ON CDBG 2004 056530 Blue FB OFFICE B H0002781 MEDVINSKY. HOUSING FILE #2 055020 Blue FILE ROOM B H0004106 MELING, MARIA HOUSING FILE #1 055020 Blue FILE ROOM B H0002744 RADISIC, LILLIE 7002 FORSTERS AFFORDABLE ROSEBAY 056050 Purple H&R#7 B H0002322 RANCHO AGENDA BILLS AFFORDABLE 055015 Blue EXTRA ROOM B H0003174 SUNNY CREEK GENERAL FILE AFFORDABLE 055015 Blue EXTRA ROOM B H0001078 TOURS, HOUSING FILE #4 055020 Blue FILE ROOM B H0001218 THOMPSON, 6536 EASY STREET AFFORDABLE SOLAMAR 056050 Purple H&R#9 B H0002757 TURNER, DANA HOUSING FILE #3 055020 Blue FILE ROOM B H0002405 WALKER, HOUSING FILE #1 055020 Blue FILE ROOM B H0001088 VINCELLI, HOUSING FILE #1 055020 Blue FILE ROOM B H0003096 VISTA LAS AGENDA BILL & AFFORDABLE 055015 Blue EXTRA ROOM Review for DX, B H0001938 VOLZ, KAREN 5202 DON VALDEZ AFFORDABLE RANCHO 056050 Purple H&R#9 B H0002963 ZOBITZ, 2682 LEIGHTON AFFORDABLE BRESSI RANCH/ 056050 Purple H&R #11 B H0004522 ZAMAN, HOUSING FILE #5 055020 Blue FILE ROOM B H0004432 YMCA OZ YOUTH SHELTER CDBG 2011-2012 056530 Blue FB OFFICE B H0002630 YEE, JOHNNY 6214 LIBERTY PLACE AFFORDABLE BRESSI RANCH/ 056050 Purple H&R #9 B boxesid Tuesday, March 05, 2013 4:06:48 PM-TAB FusionRMS Grid Print Page: 1