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Home My WebLink About; ; Records Management Program AUDIT-Public Works; 2009-03-30CITY OF CARLSBAD Records Audit Department: PW - WASTEWATER Records Manager Review: C"./) /t'(- Department Review: //^^^•^^L^^' Calendar Year: 2008 "J~Z> ^ J Date: & -/ / - 0 ^ •TT; -7^_ ^^ 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 Iterrf' 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 03/30/2009 by the following staff members: Records Staff: TANYA BTORK Department Staff: MARCTA T.ONO Report Reviewed by: Ronna Stickrod Records Management Page 1 of 2 Annual Audit Report - PW Wastewater ' Revised 1/09 AUDIT ELEMENT Records Management Program (RMP) Training Records Retention Schedule (RRS) Records Destruction FINDINGS All staff trained. Request to add records to the RRS Records will be submitted for destruction ACTION None See Action Item 1 See Action Item 2 AUDIT SUMMARY Findings: *** Records Management 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 Wastewater division of Public Works. A separate audit is conducted for Administration, Water and Wastewater divisions. The three divisions are in the process of implementing a centralized records area to streamline records efficiencies. »»* An initial assessment of records was completed in 2008. Many records were reviewed and purged according to the existing retention schedule. Others were non-records and were destroyed. It was recommended that the remaining records be identified to determine whether they are eligible for destruction, or whether they need further review for retention policy. It is anticipated that the record review will be complete by summer 2009. Records Management will then assist with centralizing the division records and revising the retention schedule, where appropriate. See Action Item 1. *»* The administrative staff shares the responsibility for maintaining the department's electronic records on the community drive. The separate divisions of the water district are currently in the process of reorganizing and combining their electronic records. During this transition both the H and J drives are being utilized. CMWD Administration is coordinating the records reorganization project It is anticipated that this project will extend over multiple years. Snapshots of the root directories for the Wastewater H and J drives are attached for reference. »»* 13 boxes of records were processed for destruction during 2008 as part of a records clean-up effort coordinated between the Wastewater and Maintenance and Operations divisions. Since then, 25-30 boxes of additional records have been inventoried. These records will be reviewed and final disposition determined according to retention policy. See Action Item 2. Action Items: 1. The Records Supervisor will assist Water District staff with centralizing records, as well as coordinating the comprehensive Records Retention Schedule revisions. Once the revisions are adopted by City Council, Water District staff will retain active records according to retention policy and process obsolete records for destruction. This should be completed by January 2010. 2. Wastewater staff will prepare and submit eligible records for destruction. 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