HomeMy WebLinkAbout; ; Records Management Program AUDIT-Risk Management; 2012-11-28CITY OF CARLSBAD RECORDS MANAGEMENT DEPARTMENT
RECORDS AUDIT REPORT
COVER SHEET
DEPARTMENT
RECORDS MANAGEMENT
NAGEMENT 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) In Compliance. Review RRS for potential
modifications.
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: 4^)^/1/1/0 Date: ^ - ^ ^'
Department Staff:
Annual Records Management Audit Review—Risk Management
SUMMARY OF FINDINGS:
• RM staff met with Terie Rowley 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 Risk Management is identified as the "Office of
Record", and the status of destruction of any record and non-record material.
* Terie is relatively new to the position and has not been formally trained on the RMP. The only
additional staff member is the Department Head, Erin Letsch, who has previously completed
RMP training and will be retiring at the end of December 2012.
• Terie had not reviewed the previous audit; therefore recommended action items were not
discussed. Note: streamlining the Claims process is an outstanding audit action item from 2009.
^ SmeadSoft is no longer being used for file folder labels. This is a required step in the RMP and
was discontinued by previous staff. The database will need to be reviewed and updated
accordingly. Terie will be trained on this process and once trained will put the program in use.
B The RRS had not been reviewed prior to the audit; therefore there were no recommendations
for RRS modifications. A quick review ofthe retention schedule was done with Terie, and she
informed us she would discuss with Erin before she retires.
• Terie was not familiar with the destruction process; therefore records had not been reviewed
for disposition. January 2011 was last time records were processed for destruction.
• Active and inactive records are randomly being removed from cabinets and placed in boxes.
Terie informed RM that this removal is due to lack of space, but she did not know the
disposition for the records being removed.
K All claims are documented in the Claims Liability Database. These records are also maintained
in paper format and electronic format from emails sent by the City Clerk's office.
B Inactive records are stored offsite at Corodata. RM maintains the offsite inventory for Risk
Management. Records stored offsite have not been reviewed for quite some time. Terie was
not aware of any offsite inventory.
Annual Records Management Audit Review—Risk Management
ACTION ITEM CHECKLIST
ACTION ITEM COMPLETED?
Sonya will train Terie Rowley on the requirements ofthe Records Management
Program, including destruction & SmeadSoft usage. This shall be done as soon as
possible.
YES NO
Review RRS for any modifications to records series that Risk Management owns.
The Records Supervisor will contact the person who takes over as department head
and arrange a review ofthe RRS.
YES NO
Risk and RM staff will review the records stored offsite to determine whether the
records are being archived appropriately. Once that is determined, a detailed
inventory will be created and retention applied. This will be completed by
3/31/2013.
YES NO
Terie shall process all paper records that are eligible for destruction. Sonya will
assist with the preparation for destruction. This shall be completed by 2/15/2013,
so that eligible records can be destroyed in the next citywide shredding.
YES NO
There is not any data being purged from the Claims database. When the paper files
are destroyed, the electronic data should be removed. RM will review the options
of removing obsolete data with Risk and the City Attorney's office.
YES NO
In a previous audit, it was recommended that the Claims process be streamlined
due to redundancy. The current claims process results in record duplication in
multiple departments, but those records are individually managed. This process
would include the City Attorney and City Clerk. RM will explore options with the
three identified departments and propose recommendations.
YES NO
For further assistance regarding an action item please contact Sonya at ext. 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—Risk Management
<a CITY OF
^ CARLSBAD
Memorandum
Feb. 13,13
To: Ronna Stickrod, Records Management Supervisor
Sonja Finley, Senor Office Specialist
From: Ed Garbo, Interim Risk Manager
Re: RECORDS AUDIT REPORT
Ms. Stickrod & Ms. Finley,
We are in receipt of the Records Audit Report dated November 28, 2012 which was received by Terie
Rowley on February 11, 2013.
We note that at least one item in the action list requires completion by this Friday the 15*'^. Based on the
very short notice and Terie's busy schedule, she will not be able to complete this function by the
assigned date. Terie believes she can complete this and the other requirements on the Action List on or
before March 31, 2013.
In regards to item five ofthe Action Item, we note that the Records Management Program indicates
claims in the electronic database are to remain permanent. Therefore, we will not be removing these
items from the City's database.
We enclose the signed cover sheet.
Please feel free to contact me should you have any questions or comments.
Thank you,
7c
Ed Garbo
Risk Management
1635 Faraday Ave. I Carlsbad, CA 92008 I 760-602-2430 I 760-602-8555 fax I www.carlsbadca.gov