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Home My WebLink About; ; Records Management Program AUDIT-Housing; 2009-04-07CITY OF CARLSBAD Records Audit Department: HOUSING & REDEVELOPMENT Records Manager Review: x '/ ") y~y^^~^^ Department Review: \ ^xtA/bt* *icXwi [4*^2) Calendar Year: 2008 Date: /^-//-0*1 n-t* 7//3/W 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 Itenf 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 4/7/09 by the following staff members: Records Staff: DEBRA DOERFLER Department Staff: PATTT CRRSCRNTT & BECKY MAYRATDC Report Reviewed by: Ronna Stickrod Records Management . Page 1 of 3 Annual Audit Report - Housing & Redevelopment Revised 1/09 AUDIT ELEMENT Records Management Program (RMP) Training Records Retention Schedule (RRS) Records Destruction FINDINGS All staff trained. None requested. Records Destruction Request form submitted. ACTION None None See Action Item 1 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. »*» SmeadSoft is utilized in this department and the database has been reviewed for accuracy. A copy of the records that were randomly selected for review is attached for reference. Files suggested for review have been identified. See Action Item 1. *«* The responsibility for maintaining the department's electronic records stored on the shared community drives (H:\ and R:\) is the Administrative Secretary. Individuals maintain items on their F drives. F:\ drives are the responsibility of each individual and there is no departmental oversight. See Action Item 2. »»» 30 boxes of records were submitted for destruction in April. At this time Housing and Redevelopment is submitting records for destruction when there are space issues, not necessarily when the retention triggers destruction. By ensuring that records are submitted promptly for destruction, Housing and Redevelopment staff will be in compliance, will have less difficulty preparing records, and will reduce filing space issues. Staff has requested a "Free the Files" day for Bobbi Nunn's office. See Action Item 3. *«» Tape recordings of hearings for Section 8 are kept locked for 90 days after the hearing. Once the hearing results are posted and the appeal deadline passes the tapes are "used again". While re-using tapes is acceptable, it should be clarified that the ideal business process is to erase tapes before reusing them. See Action Item 4. Records Management is currently holding approximately 163 boxes of Housing and Redevelopment records at Corovan. Some of these boxes contain active participant files. Due to high storage costs and the continued need for these files to be accessed, Records Management will no longer store active files. See Action Item 5. Action Items: 1. Departmental staff has prepared and submitted records eligible for destruction according the Records Management Program and Record Retention Schedule. Records staff will facilitate the destruction of these records. Additionally, 131 individual files have been identified in SmeadSoft for review and possible destruction. Housing and Redevelopment staff to review as soon as practical. 2. Records Management recommends utilizing community drives over individual (F:\) drives. Passively allowing the use of individual drives leaves the City open to non-record materials being stored on City equipment. Record material used exclusively by individuals can be placed in an "Employee" folder on a community drive. If concerns exist regarding security of particular records, creators can apply password protection or Records Management Page 2 of 3 Annual Audit Report - Housing & Redevelopment Revised 1/09 "read only" access. Electronic records storage and management can be cumbersome and time-consuming if not actively managed. Housing and Redevelopment staff should evaluate and determine what can be eliminated from electronic files. Records Management is available to assist in setting up community drives to facilitate good business practice. 3. Records Management will work with Housing & Redevelopment staff in a "Free the Files" type event tailored specifically to Bobbi Nunn's office. Date and time are to be arranged as soon as possible. Staff has also requested an assessment of their filing methods to determine if alternative methods can help free up file space. Records staff will assist with this request. 4. Records Management recommends that Housing and Redevelopment establish a written procedure for management of audio tapes. The procedure should establish when and how the records are "destroyed". Simply "making them available" for use is not equal to the old record being erased. 5. Housing and Redevelopment shall obtain and review those boxes which contain active files. Records Management will assist in ordering boxes for review and assessment of available file storage at the Housing and Redevelopment office. In order to free up available space it is recommended that no paper files be maintained for records scanned into DMS. This is an on-going issue and was reported in previous audits. Records Management Page 3 of 3 Annual Audit Report - Housing & Redevelopment Revised 1/09 City of Carlsbad All HousingRedev- Filter Applied Barcode H0001998 H0002004 H0002034 H0002287 H0002360 H0002673 H0002867 H0002919 H0003189 H0003597 Barcode H0000043 H0000223 H0000888 H0002229 H0003767 H0000773 H0002721 H0001809 Barcode H0000363 H0000420 H0000505 H0000563 H0000723 H0000794 H0000956 H0001021 Barcode H0000686 H0001080 H0001245 H0001328 H0001701 H0002213 H0003067 H0003093 H0003174 H0003353 Barcode H0001740 H0001741 H0001742 H0002818 H0002400 FirstName SecondName PACIFIC VIEW AGREEMENT LAUREL TREE APARTMENTS PUBLIC AUCTIONS RANCHO CARLSBAD MOBILE HOME PARK MORTGAGE BONDS -MULTIFAMILY LOAN DOCUMENTS WILSON, TASHEBIA TYLER COURT . 2005 MONTHLY FINANCIAL CASSIA HEIGHTS CcP\E=> — *> AGENDA BILLS 4;- MCC MCC RELATED MEETING AGENDAS QUICHOCHO.CARESSE DESIGN REVIEW BOARD MINUTES 2008 FirstName \ SecondName RP 02-06 WITCH CREEK WINERY RP87-8 NEW BUILDING #97-43 AANTEEK AVENUE MALL PRE 00-31 KFOTACO BELL REBUILD RP 08-51 MIND, BODY AND SOUL GOMEZ, DARIIO& IRIS 7301 ESFERA STREET CANNAN, KELLY 2778 CARLSBAD BLVD, #302 YMCA OZ FirstName SecondName ThirdName AFFORDABLE HOUSING AFFORDABLE HOUSING AFFORDABLE HOUSING AFFORDABLE HOUSING HOUSING DIVISION -Section AFFORDABLE HOUSING AFFORDABLE HOUSING AFFORDABLE HOUSING HOUSING DIVISION -Section REDEVELOPMENT Trim/Name REDEVELOPMENT REDEVELOPMENT REDEVELOPMENT REDEVELOPMENT REDEVELOPMENT AFFORDABLE HOUSING AFFORDABLE HOUSING CDBG ThirdName ARNETT, ROBERT HOUSING DIVISION - Section CARRILLOSR.JOSEI -, FILE Mi£3/N6 HOUSING DIVISION -Section GARCIA, MARINA B ' HOUSING DIVISION - Section IBANEZ, SERGIO _ „ .« , , .- HOUSING DIVISION - Section FLORES.DENISEJ — A/*T r CVHQ - P eS^ t V^ Wrt(tATfc HOUSING DIVISION - Section BURKE-RAGAN, JOAN M HOUSING DIVISION - Section NORMAN, ALEXANDRA HOUSING DIVISION • Section SEITZ, MARI HOUSING DIVISION -Section FirstName SecondName ThirdHame RP0949 ASAP URGENT CARE TROPE, WALENTYNA T£H\ t> BROWN, FALA MAZURWEWICZ, CHRISTINE MARQUIS, FRANCES - f/ L B M 1 *>$ / A/& HOLMES, JENNIFER THE TRADITIONS/ MANZANITA GENERAL FILE SUMMIT APARTMENT PROJECT AFFORDABLE HOUSING SUNNY CREEK GENERAL FILE COOK,KATHY'1-nEM^ S-i,. fcftC|f;" R,cy; t4 ai> FirstName SecondName MUNGER, GWENDOLYN^ . MUNGER, GWENDOLYN ) J . n M fi MUNGER, GWENDOLYN X OtL ^*^lt'lc MUNGER, GWENDOLYNS PRE 05-01 CARLSBAD VILLAGE MIXED USE REDEVELOPMENT HOUSING DIVISION -Section HOUSING DIVISION -Section HOUSING DIVISION -Section HOUSING DIVISION -Section HOUSING AFFORDABLE HOUSING AFFORDABLE HOUSING AFFORDABLE HOUSING HOUSING HOUSING DIVISION -Section. HOUSING DIVISION -Section HOUSING DIVISION -Section HOUSING DIVISION -Section REDEVELOPMENT FourthName AKA: KELLY RANCH FILE#1 FILE1 FILE#1 3363 TYLER COURT CASSIA HEIGHTS FILE#1 FourthName 2906 CARLSBAD BLVD. 2685 STATE ST. 2832 STATE ST 745 CARLSBAD VILLAGE 539 CARLSBAD VILLAGE DR REHAB LOAN VILLAGE BY THE SEA 2002 FourthName FILE#1 FILE#1 FILE#1 FILE#1 FILE#1 FILE#1 FILE#1 FILE#1 fiourtfiName 785 GRAND AVE FILEt3 FILE#1 FILE#1 FILE #3 FILE#1 FILE* FourthName FILE#1 FILE #2 FILE #3 FILE #4 Fi/eCode 055015 055015 055015 044016 050220 055015 055015 055015 055020 032045 fifeCode 056030 056030 056030 056030 056030 056050 056050 056530 FffeCode 055020 055020 055020 055020 055020 055020 055020 055020 HfeCode 056030 055020 055020 055020 055020 055020 055015 055030 055015 055020 fifeCode 055020 055020 055020 055020 506030 Color Blue Blue Blue Purple Blue Blue Blue Blue Blue Purple Cofor Purple Purple Purple Purple Purple Purple Purple Blue Cofor Blue Blue Blue Blue Blue Blue Blue Blue Cofor Purple Blue Blue Blue Blue Blue Blue Purple Blue Blue Cofor Blue Blue Blue Blue Purple Location EXTRA ROOM EXTRA ROOM EXTRA ROOM H&R #5 FILE ROOM EXTRA ROOM EXTRA ROOM EXTRA ROOM FILE ROOM H&R #3 Location H&R #3 H&R#1 H&R #2 H&R H&R #4 H&R #10 H&R #7 FB OFFICE fir\9 Location FILE ROOM FILE ROOM FILE ROOM FILE ROOM FILE ROOM FILE ROOM FILE ROOM FILE ROOM Location H&R #4 FILE ROOM FILE ROOM FILE ROOM FILE ROOM FILE ROOM EXTRA ROOM EXTRA ROOM EXTRA ROOM FILE ROOM Location FILE ROOM -\ FILE ROOM JfSCrtf FILE ROOM ZV.-*^ FILE ROOM J H&R Remarks Review for Remarks Remarks Remarks Review for DX Review for DX Remarks ^ JUJS Look |n:"3 : )uJ Trusted Templates lm 1*My SharePoInt Sites lAUh«9 My Recent Documents fT3lys3 Desktop '"'•') -rr 4i3r* My Computer frig1 My Network Places .*!, a£ My Site Name - I C3 Access Qbobbi QEXCEL Qfss £3 HUD Forms £3 Nan McKay MasterBooks QPortaWfty i£)RIMRX 04-22-2005 EJSPANISH TRANSLATIONS OF SECTION 8 EJTEMPLATES QTIme Sheets 2008 ICjTime Sheets 2009 FUTILITY ALLOWANCE 3.2006 l£)VH PRINT SCRNS O Visual Homes Software £jWord QXEROX FAX MACHINE Eiyardi errors Q VMS 2-12 upgrade 8~WRD0002,tmp ^2006 Rent Handbook. pdf ^; 2006AMI.pdf ^4506-T.pdf @| ABSENT PARTENT ^ addresscensuswithzipcodes.pdf T:Afford_apt 2009 color.pdf ^bm.csv ^Buena Vista. 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