Loading...
HomeMy WebLinkAbout; ; Records Management Program AUDIT-Information Technology; 2009-04-06CITY OF CARLSBAD Records Audit Department: INFORMATION TECHNOLOGY Calendar Year: 2008 0 Records Manager Review: /•""/) <y^^~^ ^yt—-" Date: b ""/ I "" @ \^S / ' ' Department Review: 1X^s-AT' Date: n I °^ AUDIT PURPOSE This audit has been conducted by Records Management staff. The purpose of the audit is to determine whether the records in your department are created, received, maintained and disposed of in accordance with the requirements of the Records Management Program. This audit also provides an opportunity for staff to evaluate the need for additional training and materials, and determine whether revisions to the current retention schedule are necessary. The audit elements listed below summarize the audit findings and identify whether each are in compliance with Program guidelines. Items requiring follow-up are identified in the "Action Itertf' section in the Audit Summary. Records Management staff will make every effort to ensure these action items are completed within the designated time period. We appreciate the time your staff took to participate in this audit. You may contact Ronna Stickrod at 434-2919, if you have any questions or concerns regarding the results of the audit. Records Audit conducted on 04/06/2009 by the following staff members: Records Staff: TANYA BTORK Department Staff: MTr.HRT J .F. BR F.Nr.OT .A fr KP.T J .V 1UT TRPHV Report Reviewed by: Ronna Stickrod Records Management Page 1 of 3 Annual Audit Report - IT Revised 1/09 AUDIT ELEMENT Records Management Program (RMP) Training Records Retention Schedule (RRS) Records Destruction FINDINGS All staff trained IT records and database retentions need to be reviewed None at this time ACTION None See Action Items 1 & 2 See Action Item 2 AUDIT SUMMARY Findings: *«* Records staff audited the Information Technology department (IT) to ensure that the Records Management Program has been implemented and is being applied to those records for which they are designated as the "Office of Record" in the Records Retention Schedule. *«» This was the first Records Audit for IT. The records management liaison for IT is also the liaison for the Risk Management department *«* The responsibility for maintaining the department's electronic records on the community drive is shared department-wide. A screenshot of the IT community drive is attached for reference. •«* The Records Retention Schedule has not been reviewed with IT staff since 2004. It is crucial that the retention schedule accurately reflect the records that IT creates and maintains. This will help ensure that records are archived or destroyed in accordance with the Records Management Program. See Action Item 1. *«* Many records are maintained indefinitely, or deleted based on system limitations rather than adopted retention periods. IT maintains databases for other department's records, such as the CLASS system and IFAS. Retention periods have been previously defined for major systems or databases, however the retention periods are not being adhered to. See Action Item 2. *»* IT staff are regularly scanning and checking in records to the DMS document class Manual/Policy/Procedure, including: o Change Controls o Virtual Private Network Agreements o Software Certificates o Documentation, Policies & Procedures Once scanned the hardcopy of these records are being shred. At this time these documents are being maintained in the DMS indefinitely. See Action Item 3. *»* In March 2009, IT migrated the City's email and calendaring system from Novell GroupWise to Microsoft Outlook. All "Calendar" appointments and "Mail" items retained the same retention period. All records in "Sent Items" and 'Trash" were extended to 90 days. Calendar appointments are the only "record" identified in the retention schedule. The remaining items are purged and deleted automatically in accordance with Administrative Order #53. Emails that are considered official records for the City are printed and filed with the respective record type. See chart below for retention details. Records Management Annual Audit Report - IT Page 2 of 3 Revised 1/09 Email Sent Mail Trash Calendar Appointments GroupWise 90 days 30 days 7 days 2 years Outlook 90 days 90 days 90 days 2 years IT rotates approximately 35 back-up tapes between the Faraday building, the Safety Center, and an offsite storage vendor. These tapes have been in use since 2001. Back-up information is recorded daily, and facility rotations occur weekly. Software maintenance invoices and credit card bills are maintained long-term. These records are used as reference material for critical equipment and software that is maintained over long periods of time. These records date back to approximately 1998. The DMS is the repository for official City records. At this time, there are not any procedures in place for processing records for deletion when the DMS version is the only version. See Action Item 4. Action Items: 1. To ensure that the retention schedule accurately reflects the city records that IT creates and maintains, a review will need to be completed. Recommendations for any changes will be processed for City Council approval. It is anticipated this will take pkce prior to January 2010. 2. A process will be put in pkce to ensure that records maintained electronically by IT are removed or archived appropriately. Systems maintained by IT that contain records and data belonging to other city departments will be purged regularly according to the retention schedule. Records Management would like to meet with IT staff to develop procedures for deletion of records and data that are past their retention. 3. At this time, there are not any IT records defined in the Records Retention Schedule with a permanent retention. The record value of IT documents being entered into the DMS should be evaluated, and a regular destruction procedure established. 4. The retention of documents being entered into the DMS is based on the respective document types imaged. There is not an official process in pkce for removing the electronic records when there is not a respective duplicate paper record. A destruction procedure should be established. Records Management will arrange to meet with appropriate IT staff to develop procedures for removing expired DMS records. These procedures will then be added to the Records Management Program. Records Management Annual Audit Report - IT Page 3 of 3 Revised 1/09 Search Folders Address Jag Z:\ «| My Computer My Documents My Network Places Name _jA IT Strategy _ i Access _j Access _J Accuva -_j Admin Agenda Bilk Agreements ^Agreements ..Agreements _jAknWorx Re _iApps_Projects _jAppSpe _j Articles _j Asset Mgt Docs jAuctor _jBackup BestValue _ Brightmail _, Budgets _jCarePaq _ iChange Control _jdSCO Class DB Move ,_jCorovan _ i Demos _j Dense _jDESIS ._j Disaste .jDMS Project Size Type N ISSUES File Folder sDepreciate File Folder download File Folder File Folder iy File Folder File Folder Conversion File Folder eliverable File Folder File Folder File Folder - Approved File Folder -Info File Folder • InProcess File Folder iport File Folder ±s File Folder jjects File Folder File Folder DCS File Folder File Folder Fife Folder •aloations File Folder File Folder File Folder File Folder itrol File Folder File Folder ve File Folder File Folder File Folder File Folder File Folder File Folder ajvery File Folder File Folder Date Modified 7/25/2008 12:21 PM 6/1 1/2008 5: 22PM 6/1 1/2008 5: 22PM 6/1 1/2008 5:21 PM 6/1 1/2008 5:22 PM 11/20/2008 4:53 PM 6/1 1/2008 5: 22PM 6/11/2008 5:22 PM 3/30/2009 11:10 AM 4/1/2009 10:29 AM 3/31/2009 2:49 PM 3/31/2009 12:41 PM 3/31/2009 2:48 PM 12/1/2008 3: 26PM 3/10/2009 10:14 AM 9/17/2008 10:36 AM 7/29/2008 7:33 AM 6/1 1/2008 5:22 PM 6/1 1/2008 5:21 PM 8/25/2008 10:54 AM 8/26/2008 11:25 AM 9/10/2008 2:57 PM 1/2/2009 6:01 PM 1/6/2009 1:42 PM 4/1/2009 1:05 PM 6/1 1/2008 5:21 PM 7/29/2008 4:57 PM 6/1 1/2008 5:21 PM 6/1 1/2008 5:21 PM 6/1 1/2008 5:21 PM 2/20/2009 6: 14PM 3/13/2009 8:20 AM 8/6/2008 12:31 PM 6/1 1/2008 5:22 PM 'Search Folders Address j*gZ;\ My Computer ' ^ My Documents »> My Network Places Size Type File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder Date Modified 11/25/2008 2:57PM 12/16/2008 6:09 PM 6/11/2008 5:22 PM 6/11/2008 5:22 PM 3/31/2009 2:43PM 6/11/2008 5:22 PM 6/13/2008 6:17PM 3/30/2009 12:00 PM 1/12/2009 9:03 AM 9/19/2008 4:33 PM 3/11/2009 9:14 AM 3/27/2009 11:52 AM 3/6/2009 8:15 AM 1/14/2009 8:43 AM 6/11/2008 5:22 PM 3/30/2009 8:19 AM 3/30/2009 8:19 AM 9/15/2008 10:59 AM 2/19/2009 8:43 AM 3/30/2009 8:19 AM 6/11/2008 5:22 PM 8/8/2008 4:57 PM 6/11/2008 5:22 PM 6/11/2008 5:22 PM 6/11/2008 5:22 PM 3/19/2009 5:41 PM 3/30/2009 8:19 AM 9/9/2008 4:08 PM 1/13/2009 1:22 PM 6/11/2008 5:22 PM 7/3/2008 4:36 PM 1/21/2009 8:29 AM 6/11/2008 5:22PM 4/3/2009 12:47 PM Edit V» Search Folders Address \ My Computer My Documents My Network Places Name _jMaintstar MegansLawSite Microsoft Essentials Support iMcrosoft Migration Microsoft Registry Tools _jMfcrosoft_Mmin_paek _jMSProjectTest _jNetlogbc i Network Scans _jNetworkConflgFiles I New Employee _jNorex _j Novel _jOffice 2007 Passwords iPerFormance Measures I Phones _j Photos _jPhg Sweep _jPOUCV 11; Poworpoint _)Price Lists i Procedures _j Programs _j Projects Public Records Request _j Reflection Resolutions _jRFI _|PJ=P RFQ - Request For Qualifications iRoadmap _jSAN iSANDAGIT Size Type File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder Rle Folder File Folder File Folder File Folder File Folder File Folder Rle Folder File Folder Rle Folder Date Modified 4/3/2009 12:47 PM 6/11/2008 5122PM 3/30/2009 8:19 AM 8/26/2008 9:08 AM 6/11/2008 5:22PM 12/2/2008 8:33 AM 6/11/2008 5:22PM 10/29/2008 8:28 AM 6/11/2008 5:22PM 6/11/20085:22PM 4/2/2009 3:26 PM 8/19/2008 10:13 AM 10/30/2008 9:28 AM 3/30/2009 8:19 AM 2/26/2009 11:48 AM 6/11/2008 5:22 PM 4/3/2009 2:07 PM 10/22/2008 1:48 PM 6/11/2008 5:22PM 6/11/2008 5:22 PM 7/30/2008 12:17PM 6/11/2008 5:23PM 10/17/2008 11:30 AM 6/11/2008 5;22PM 4/3/2009 2:00PM 10/30/2008 7:25 AM 6/11/2008 5:23 PM 6/11/2008 5:23 PM 6/11/2008 5:22 PM 1/14/2009 3:06 PM 6/11/2008 5:23PM 1/20/2009 5:50 PM 8/11/20081:22PM 6/11/2008 5:23PM .' Search Folders Address File and Folder Tasks J? Make a new folder *4 Publish this folder to the Web My Computer My Documents My Network Places Name _|SANOAGIT _jSecu«y ServerRequests _JSRSI SMI Assessment _j Software Software Licensing Staff Applets ..jStaff Meettig _jStandby Support Roles _jSysAdm Projects jTaly Scripts _j Time Cards ^Training .^Travel _jTStafnrig DB Upgrade Pics Vendor Information _j Verizon Card _jWsto _jVMware _jWebHes _jWebIFAS Wireless Information .JWORD ,,j Workstation _jZCM ZCM Documentation _»ZENDB Zenworks Utilities BB6127_enu_win2k_xp iflJCHANGE CONTROL COMMTTT.. © en_win_srv_?003_r2_standar.. Size 24,796 <B 28 KB 586,488 KB Type File Folder File Folder File Folder Fie Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder Fie Folder Fie Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder Fie Folder File Folder File Folder File Folder File Folder File Folder File Folder Application Microsoft Off ice Wo... ISO Image File Date Modified 6/11/2008 5:23 PM 8/14/2008 3:18 PM 3/12/2009 3:01 PM 6/11/2008 5:22 PM 6/11/2008 5:23 PM 9/25/2008 11:42 AM 8/21/2008 8:10 AM 6/11/2008 5:23PM 3/25/2009 10:18AM 2/9/2009 4:27PM 6/11/2008 5:23 PM 1/13/2009 10:52 AM 6/11/2008 5:23 PM 4/6/2009 8:58 AM 2/5/2009 5:27 PM 11/14/2008 4:09 PM 11/18/2008 5:14PM 12/2/2008 1:26 PM 3/12/2009 12:22 PM 6/11/2008 5:23PM 10/21/20081:17PM 1/22/20091:57PM 4/1/2009 5:08 PM 6/11/2008 5:22 PM 6/11/2008 5:23 PM 2/19/200911:21 AM 6/11/2008 5:23PM 10/9/20089:01 AM 10/8/2008 11:52 AM 6/11/2008 5:22 PM 6/11/2008 5:23PM 1/29/2009 4:54 PM 11/20/2008 9:42 AM 2/10/2009 12:08 PM Folders Address Go Name _j WeblFAS Wireless Information _jWORD _j Workstation _jZCM _l ZCM Documentation _JZENDB _jZenworks Ubtties H6127_enu_win2kjcp ^JCHANGE CONTROL COMMrrr... ©enj*_srv_2003_r2_standar.. ©enjwn_srv_20Q3_r2_standar.. ^Exchange Or** SLA vl ©JFACJHAForm ^ Holiday Potfuck and Oft Swap SjlTMbskm Statement OlBExp i»jmstar Size «0plancheckexpfrabonltr_app».. PSPayProc ^R-Dnve.Image.4.3.4316.snd... RealQuest _> schema jdjsetup.iss IdjShortciJt to Phones ajShortcut to Time Cards *SixHats «SJ Strategy Roadmap Resources **Umolu IZAM Best Practices 24,796KB 28KB 586,488KB 123,852KB 60KB 17KB 25KB 2SKB 7KB 1 KB 102KB 44KB 30KB 143KB 10,517KB 2KB 54,894KB 1 KB 4KB 1KB 1KB 1,084KB 16KB 332KB 2KB 121KB Type File Folder File Folder File Folder File Folder File Folder File Folder File Folder File Folder Application MicrosoFt Office Wo... ISO Image File ISO Image File Microsof toff ice Wo... Microsoft Off ice Wo... Microsoft Office Wo... Microsoft Off ice Wo... Text Document Registration Entries Microsof t Off ice Wo. .. Microsoft Office Wo. .. Microsoft Office Wo... Text Document RARFile Bitmap Image Microsof t Off ice Exc... Configuration Settings 155 File Shortcut Shortcut Adobe Acrobat 7.0 ... Microsoft Off ice Exc... Adobe Acrobat 7.0... Registration Entries Adobe Acrobat 7.0 ... Date Modified 6/1 1/2008 5:22 PM 6/1 1/2008 5:23 PM 2/19/2009 11:21 AM 6/11/2008 5:23 PM 10/9/20089:01 AM 1 0/8/2008 1 1 : 52 AM 6/1 1/2008 5: 22PM 6/1 1/2008 5:23 PM 1/29/2009 4:54 PM 11/20/20089:42 AM 2/10/2009 12:08 PM 2/10/2009 12: 14PM 11/3/20089:07 AM 4/3/2009 4:42 PM 12/1/2008 12:14 PM 12/12/20089:15 AM 10/9/2008 1:40 PM 4/25/2008 3:00 PM 2/2/2009 3:44 PM 2/2/2009 4:33 PM 9/3/2008 2: 40PM 10/15/2008 1:47 PM 9/17/2008 1 1 :22 AM 1/8/2009 3:28 PM 12/16/2008 10:53 AM 2/18/2009 2:45 PM 6/1/2006 11:34 AM 2/8/2007 12:53 PM 4/20/2006 5: 19PM 7/16/2008 8:54 AM 8/28/2008 4: 15PM 8/6/2008 12:09 PM 3/12/2008 9:54 AM 11/15/20055:17PM