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Home My WebLink About; ; Records Management Program AUDIT-Land Development Engineering; 2013-01-30CITY OF CARLSBAD RECORDS MANAGEMENT DEPARTMENT RECORDS AUDIT REPORT COVER SHEET DEPARTMENT RECORDS MANAGErviENi CED/LDE AUDIT DATE PREPARED BY 1/30/2013 SONYA FIN LEY 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 of the audit findings. AUDIT ELEMENT COMPLIANCE STATUS ACTION ITEM Records Management Program Training (RMP) In compliance Recommend all staff review RMP Training Video online. Records Retention Schedule (RRS) In compliance None 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: ^3^^. ^/ifjij Department Staff: Date: ^ >/^//i Annual Records Management Audit Review—CED/LDE CITY OF CARLSBAD RECORDS MANAGEMENT DEPARTMENT RECORDS AUDIT REPORT SUIVIMARY OF FINDINGS: RM staff met with Cecelia Fernandez and Glen Van Peski 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 CED/LDE is identified as the "Office of Record", and the status of destruction of any record and non-record material. Cecelia is familiar with the requirements ofthe RMP and has viewed the RMP training video. There are aspects she is not clear on and further training is suggested. She also indicated that she does not have an updated RMP manual. Records will provide one to her. Glen stated he had not yet viewed the video, but that he and all his staff will review the video. See Action Item Checklist. There were open issues from the previous records audit that was conducted in 2009. One issue is the engineering records stored on microfiche have not been reviewed or evaluated for possible digitizing. See Action Item Checklist. The issue from the previous audit regarding LDE staff performing quality control checks on DMS documents scanned by the City Clerk's office has been resolved. LDE staff is no longer reviewing and editing DMS data that belongs to other departments. They do, however, still have access to modify these records in the DMS. See Action Item Checklist. The SmeadSoft (TAB) software is being used by staff appropriately. This was verified with a sample review of records (list attached). While there were several folders that were not presented at the time ofthe audit, LDE staff assured us the physical location ofthe folders was known. Cecelia indicated that there are many labels in the database that need to be deleted because the files have been destroyed. See Action Item Checklist. The RRS has been reviewed. There were no suggested changes at this time. LDE participated in a thorough review of the RRS along with Building and Planning in 2011. There was an in depth discussion ofthe accuracy ofthe file code numbers and document descriptions identified on transmittal forms used by Engineering. Since these forms are frequently used, they will need to be corrected as soon as possible. See Action Item Checklist. The question was asked why some records owned by LDE were identified as vital/essential. It was determined that many of the records may not need to be classified as vital/essential, but will be addressed in the RRS at a later time. LDE stores records offsite with Iron Mountain. LDE staff is familiar with the destruction process for paper records; however the last destruction that took place was not known. A comprehensive inventory is maintained and was presented to RM staff prior to the audit. LDE does not have Iron Mountain process boxes for destruction; they are retrieved when retention Annual Records IVIanagement Audit Review—CED/LDE has expired. Cecelia stated there are many boxes stored onsite that are eligible for destruction. See Action Item Checklist. LDE utilizes Permits Plus and the DMS for data and document storage. The Permits Plus data and the imaged records LDE retains in the DMS have a long term retentions, so no deletion required. Electronic records may be maintained by LDE staff. Network drives are not being monitored and purged in accordance with the RMP. See Action Item Checklist. There were several suggestions provided to staff regarding use of better records management practices. Some examples are: utilize the part-time person to assist in clean-up of electronic drives; review and identify additional documents that could be digitized and placed in the DMS (i.e. flood control, etc.); and streamline process for deleted SmeadSoft (TAB) labels. Annual Records Management Audit Review—CED/LDE CITY OF CARLSBAD RECORDS MANAGEMENT DEPARTMENT RECORDS AUDIT REPORT ACTION ITEM CHECKLIST ACTION ITEM COMPLETED? Provide comprehensive RMP training to Cecelia. YES NO Review microfiche for possible digitization and destruction. Records staff can assist with this review. YES NO Adjust security access for LDE staff that has access to modify DMS data. This can be done by IT-DMS staff liaison. Contact Ronna for assistance. YES NO Review SmeadSoft (TAB) database. Update location of files not in central files. Identify any labels that no longer exist and submit to Records Management for deletion. YES NO Review transmittal forms and confirm the validity ofthe retention file codes that are listed on the form. YES NO Review Iron Mountain inventory for records that are ready for destruction and process in accordance with the RMP procedures. Identify any other record and non-record material that need to be destroyed and include them in the process. YES NO Evaluate network drives and if needed purge data/files/records in accordance with RMP. Annual review of network drives is suggested. 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—CED/LDE City of Carlsbad All Engineering Barcode First_Name Second_Name Third_Name Fourth_Name File_Code Color Location EN0003000 MS 96-11 PALMER WAY INDUSTRIAL 9. ENGINEERING FILE 1 OF 2 050040 Purple Central Files EN0003043 MS 97-04 CARLSBAD SPECTRUM EAGLE 9. ENGINEERING FILE 1 OF 2 050040 Purple Central Files EN0003052 MS 97-06 AVIARA UNIT 3 \ 9. ENGINEERING FILE 1 OF 1 050040 Purple Central Files EN0003089 MS 97-12 OCEAN STREET 9. ENGINEERING FILE 1 OF 2 050040 Purple Central Files EN0003091 MS 97-12 OCEAN STREET PROJECT DRAWINGS FILE 1 OF 1 050040 Purple Central Files EN0003164 MS 98-07 DABBS PROPERTY 9. ENGINEERING FILE 1 OF 1 050040 Purple Central Files EN0003173 MS 98-09 YOUNG PROPERTY PROJECT DRAWINGS FILE 1 OF 1 050040 Purple Central Files EN0003238 MS 99-05 DOAN PROPERTY 3. FILE 1 OF 1 050040 Purple Iron Mountain EN0003249 MS 99-06 POORE MINOR SUBDIVISION 5. RECORDED FILE 1 OF 1 050040 Purple Iron Mountain EN0003276 MS 99-10 REKAB MINOR SUBDIVISION 7. EASEMENTS FILE 1 OF 1 050040 Purple Central Files EN0003286 MS 99-11 DAKMIN CONDOMINIUMS 8. SUBDIVISION FILE 1 OF 1 050040 Purple Central Files EN0003322 MS 99-15 MSK PARCEL MAP PROJECT DRAWINGS FILE 2 OF 2 050040 Purple Central Files EN0003316 MS 99-15 MSK PARCEL MAP 2. COMMISSION & FILE 1 OF 1 050040 Purple Central Files EN0003303 MS 99-13 CREST LOTS SUBDIVISION 8. SUBDIVISION FILE 1 OF 1 050040 Purple Central Files EN0003360 MS 00-06 CHESTNUT HOMES 7. EASEMENTS FILE 1 OF 1 050040 Purple Iron Mountain EN0003403 MS 00-10 ATRIUM PROJECT DRAWINGS FILE 1 OF 2 050040 Purple Iron Mountain EN0009891 SDP 05-18A ECO CORP CENTER PROJECT DRAWINGS FILE 1 OF 1 050080 Purple Central Files EN0009883 SDP 06-03 FENTON CARLSBAD 6. PERMITS -FILE 1 OF 1 050080 Purple Central Files EN0009741 SDP 06-13 ASPIRATIONS DAY CARE 1. FILE 1 OF 1 050080 Purple Central Files ENO011238 ADJ 12-06 SCOTT/HAIG ADJ PLAT GENERAL FILE FILE 1 OF 1 050004 Purple Central Files EN0011220 MS 12-04 ARMY NAVY ATHLETIC FACILITY 2. COMMISSION & FILE 1 OF 1 050040 Purple Central Files EN0011210 MS 12-03 CARLSBAD FLORAL TRADE 9. ENGINEERING FILE 2 OF 2 050040 Purple Central Files EN0011227 CT 11-01 ROBERTSON RANCH WEST 9. ENGINEERING FILE 1 OF 2 050030 Purple Central Files ENOO11233 MS 12-05 F5AILYARD LOFTS 3. FILE 1 OF 1 050040 Purple Central Files EN0011176 CUP 11-06 FAIRFIELD INN CARLSBAD 3. FILE 1 OF 1 050020 Purple Central Files EN0011182 CUP 98-01(8) LA COSTA GLEN SKILLED 1. FILE 1 OF 1 050020 Purple Central Files EN0011195 SDP 12-03 LA COSTA OAKS NORTH 3.2 9. ENGINEERING FILE 2 OF 2 050080 Purple Central Files EN0011201 RP 12-13 ARMY NAVY ATHLETIC FACILITY 8. SUBDIVISION FILE 1 OF 1 056030 Purple Central Files EN0011138 CT 08-03 LA COSTA TOWN SQUARE Purple EN0011148 SDP 00-06B DAYBREAK COMMUNITY 3. FILE 1 OF 1 050080 Purple Central Files EN0011158 MS 12-02 ALPS INNOVATION HOTELS 1. FILE 1 OF 1 050040 Purple Central Files EN0000830 CT 90-09 AVIARA PA 5 5. RECORDED FILE 1 OF 1 050030 Purple Central Files EN0000831 CT 90-09 AVIARA PA 5 6. PERMITS -FILE 1 OF 1 050030 Purple Central Files EN0000832 CT 90-09 AVIARA PA 5 8. SUBDIVISION FILE 1 OF 1 050030 Purple Central Files EN0000833 CT 90-09 AVIARA PA 5 9. ENGINEERING FILE 1 OF 3 050030 Purple Central Files EN0000834 CT 90-09 AVIARA PA 5 9. ENGINEERING FILE 2 OF 3 050030 Purple Central Files EN0004646 SDP 97-25 KELLY CORPORATE CENTER 8. SUBDIVISION FILE 1 OF 1 050080 Purple Central Files EN0004650 SDP 97-25 KELLY CORPORATE CENTER 9. ENGINEERING FILE 4 OF 4 050080 Purple Central Files EN0004661 SDP 98-06 HOEHN MERCEDES BENZ 1. FILE 1 OF 1 050080 Purple Central Files EN0004665 SDP 98-06 HOEHN MERCEDES BENZ 5. RECORDED FILE 1 OF 1 050080 Purple Central Files Tuesday, January 15,2013 4:06:49 PM • SmeadSoft Grid Print Page: 1