HomeMy WebLinkAbout; ; Records Management Program AUDIT-Police; 2009-03-17CITY OF CARLSBAD
Records Audit
Department: POLICE
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2008
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1-09
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 Itetrf'
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 03/17/2009 by the following staff members:
Records Staff: TANYA BTORK
Department Staff: DF.T.PHTNF. FTSK
Report Reviewed by: Ronna StickrodK?
Records Management Page 1 of 2
Annual Audit Report - Police Revised 1/09
AUDIT ELEMENT
Records Management Program
(RMP) Training
Records Retention Schedule
(RRS)
Records Destruction
FINDINGS
All staff trained
Retention period change requested for
background check records
None
ACTION
None
See Action Item 1
None
AUDIT SUMMARY
Findings:
»** Records staff verified that the Records Management Program has been implemented and is continuing to be
applied to those records for which this department is designated as the "Office of Record" in the Records
Retention Schedule.
»»* This was the first records audit for the Police Records department Records Management has previously
discussed records issues with the Police Records Supervisor.
**» The Police Records department consists of eight employees operating under a Police Records Supervisor.
They receive approximately five-ten Public Records Act requests a day, and approximately one-two
subpoenas or larger PRA requests a day. The Records office and file room is securely located behind a locked
door and is not physically accessible to the public.
*»* The Police department has a committee with representatives from all divisions that meets annually and
determines what files need to be kept and which files need to be cleaned up from the electronic records
stored on the shared community drive. Due to security requirements, case related documents are not
maintained on the community drive.
»»» Compact discs are occasionally burned with electronic photos and documents, and are incorporated into
evidence files.
<» Property & Evidence maintains records in the form of evidence. Physical items are stored onsite at the Safety
Center, in a storage shed, and in two rooms at the Farmer's building. These items are disposed of once the
associated case has been adjudicated. A State-mandated inventory of items is kept in the Evidence Tracker
program. When items are deleted from the active inventory, a record of the item is stored indefinitely within
the system.
*»* The Police department utilizes County databases to conduct much of its business. These records belong to
the County.
*»» The Police Records department conducts records destruction monthly in-house. Once shredding is complete,
signed Records Destruction Forms are forwarded to Records Management for scanning to the DMS. The
Background Investigations and Special Events divisions submit their records for destruction to the Police
Records department. Records destroyed by the Police Records department are subject to the same approval
and documentation procedures as all City records.
Action Items:
1. Records staff is currently working on establishing a records retention period for Background Checks. Once a
retention period has been identified it will be submitted for addition to the Records Retention Schedule and
the Police Records Supervisor will be notified.
Records Management Page 2 of 2
Annual Audit Report - Police Revised 1/09