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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