HomeMy WebLinkAbout; ; Records Management Program AUDIT-Human Resources; 2012-11-13CITY OF CARLSBAD RECORDS MANAGEMENT DEPARTMENT
RECORDS AUDIT REPORT
DEPARTMENT
RECORDS MANAGEMENT
COVER SHEET
lUiyiAN RESOURCES AUDIT DATE
PREPARED BY
11/13/2012
This records audit has been conotTcted 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 view Records
Management Training Video.
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:
Department Staff: ^^^a^,^^,,^,^ o
It Review—Hwnan Resources ^
Date: 3
Annual Records Management Aud'
CITY OF CARLSBAD RECORDS MANAGEMENT DEPARTMENT
RECORDS AUDIT REPORT
SUMMARY OF FINDINGS:
^ RM staff met with Penny McKay 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 records that Human Resources is identified as the "Office of Record",
and the status of destruction of any record and non-record material.
Penny indicated that she is knowledgeable about all the requirements of the RMP, and was able
to describe them to RM. She said other staff may not be as familiar with the RMP. It was
recommended that she encourage staff at all levels review the Records Management Training
Video on the Intranet.
K 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).
IK The RRS was reviewed. There were no suggested changes. Note: HR staff has not reviewed the
retention schedule for several years. Penny is not familiar with what would be considered
vital/essential.
K With the implementation of HCMS, business processes have changed (personnel forms,
training, payroll, etc.). Since the rollout ofthis new business application, there are likely some
RRS changes needed. Penny said IFAS is also used differently since HCMS was implemented,
and that recruitments are now being done "online only". These all need to be reviewed to
ensure appropriate retention is being applied to records. She referred RM to Michele Tackett
for Lawson and Cybershift retention and Sandra Abbott for NeoGov retention. Michele will also
be able to assist with IFAS questions.
* Penny indicated that the shared community network drives are not being managed. She was
not aware of individual F/drive management, but presumed those are not being managed
either.
IB At the time ofthis audit records destruction was not current. Several boxes were prepared, but
were not yet been processed. These boxes have since been processed and sent to RM for
destruction.
• The boxes of records that are stored offsite with RM are identified as Negotiation Records. HR
does not have a detailed inventory of the contents. It was recommended that the boxes be
retrieved and reviewed to insure appropriate documentation is being retained and a detailed
inventory can be created.
Annual Records Management Audit Review—Human Resources
CITY OF CARLSBAD RECORDS MANAGEMENT DEPARTMENT
RECORDS AUDIT REPORT
ACTION ITEM CHECKLIST
ACTION ITEM COMPLETED?
Review and recommend revisions to the current retention schedule. This will
include paper records, as well as records related to all electronic data systems used
by HR. Contact Ronna at x2782 for assistance. Recommend completion ofany
modifications by 4/30/13, so that they can be incorporated into the next retention
schedule revision scheduled for June 2013.
YES NO
Encourage all staff to review all available computer network drives and delete or
retain records appropriately. It is recommended that this review be completed and
verified as soon as possible.
YES NO
Process eligible records for destruction. This shall be completed by 2/15/2013, so
that eligible records can be destroyed in the next citywide shredding. YES NO
Records Management will retrieve the Negotiations boxes from Corodata for HR to
review. If the records will be retained, a detailed inventory will be completed by
HR, and the records could possibly be scanned rather than stored in paper. Contact
Ronna at x2782 if HR would consider imaging these records. If any records are
eligible for destruction, the appropriate steps will be followed. This shall be
completed by 6/30/2013.
YES NO
Develop a process to store paper employee records long term at Corodata through
Records Management. Sonya will assist Penny with this process. This shall be
completed as soon as possible.
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
Annual Records Management Audit Review—Human Resources