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Home My WebLink About; ; Records Management Program AUDIT-City Attorney; 2009-03-02CITY OF CARLSBAD Records Audit Department CITY ATTORNEY -—~>^^—-^-^9—f—3^Records Manager Review:/-- ' ^^^TTaff^ Department Review: (\^*+ Calendar Year. Date: ^ -//" < Date: *7-'*»- ° i 2008 01 m 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 Itent* 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 03/02/2009 by the following staff members: Records Staff: TANYA BTORK Department Staff: TCF.T.T.VKOOF.RS Report Reviewed by: Ronna Stickrod' Records Management Page 1 of 3 Annual Audit Report - City Attorney Revised 1/09 AUDIT ELEMENT Records Management Program (RMP) Training Records Retention Schedule (RRS) Records Destruction FINDINGS All staff trained. None requested. Records will be submitted for destruction. ACTION None None See Action Item 1 AUDIT SUMMARY Findings: *»* Records Management 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 division and the database has been reviewed for accuracy. A copy of the records that were randomly selected for review is attached for reference. *»* The administrative secretary is responsible for maintaining the department's electronic records on the shared community drive. »»* 36 boxes of records were processed for destruction in 2008. *»* The department continues to periodically review Resource & Research files for destruction. This project has been in progress since 2003. *»* "Memos & Opinions" are scanned and stored in the City Attorney's library of the Document Management System. Previously, hardcopy "Memos & Opinions" were shred and only the DMS documents were maintained. Currently, department policy is to retain the hardcopy in addition to the scanned DMS record. This policy change was directed by the City Attorney and applies to all records scanned by the department to the DMS. See Action Item 2. *»* As hardcopy files are processed for destruction, City Attorney personnel are ensuring that any corresponding DMS versions of those files are removed from the system. *»• The City Attorney's office currently stores 53 boxes of records offsite with Iron Mountain. This is down from 57 boxes last year. »»* The City Attorney's office has requested a "Case File" document class be added to the DMS. They anticipate they will process approximately five of these documents a month. *•» Currently the claims process involves providing the City Attorney's office with a photocopy of the original claim filed with the City Clerk's office. This photocopy is filed as part of a case file if the claim goes to litigation. Otherwise the photocopy is for City Attorney review only. Under the current process three separate departments manage three versions of the same document It may be prudent for the three respective departments to review the existing claims process for efficiencies. Records Management Page 2 of 3 Annual Audit Report - City Attorney Revised 1/09 .—I — Action Items: 1. Departmental staff will prepare and submit eligible records for destruction. This includes the regular calendar year records destruction and the ongoing clean-up of the Resource & Research files. Records staff will facilitate the destruction of these records. 2. The documents being scanned to die DMS in the City Attorney's office have a long-term or permanent retention. The maintenance and storage of the hardcopy documents can become burdensome and costly over time. Records Management requests the department re-evaluate the administrative and legal needs to maintain the hardcopy versions of non-vital records in addition to the DMS version. Records Management Page 3 of 3 Annual Audit Report - City Attorney Revised 1/09 City of Carlsbad All City Attorney Barcode A0100011 A0100044 A0100054 A0100125 A0100149 A0100153 A0100186 A0100212 A0100247 A0150010 A0150047 A0150269 A01S0342 A0150446 A0150672 A01508B6 A0151050 A0151148 A0151270 A0151490 A0151523 A0151555 A0151685 Rrst_Name Folder Second Name SUBPOENAS - DEPARTMENT/EMPLOYEES CMWD V. U.S. WEST REGIONAL WATER QUALITY CONTROL BOARD SQUIRES DAM CELL SITE CANYON NETWORK V. DEPT OF INTERIOR CITY COUNCIL SPECIAL MEETINGS NPDES - NEWSPAPER ARTICLES PATRICK PRESTON FORESTRY MANAGEMENT PLAN ORDINANCE - PURCHASING ASH, MICHAEL CITY COUNCIL SPECIAL MEETINGS ASH, MICHAEL V. BEJAC CORP ET AL ORDINANCE - GAS PRICE GAUGING LEADERSHIP TEAM PEOPLE V. RITTER, DONOVAN DRAFT EIR / DESALINATION PLANT CITY V CROWN CASTLE H.JARVISTAYPAYERSV. CITY SOLANA BCH KEITH BLACKBURN - CONFLICT OF INTEREST GOLDSTEIN v. CITY OF CARLSBAD POLICE 1987 LEGAL OPINIONS - PERMANENT AB811 FILE 2 FILE1 FILE1 FILE1 FILE 4 FILE 2 FILE1 FILE1 FILE1 FILE1 FILE1 FILE1 FILE 2 FILE 3 FILE1 FILE1 FILE 16 FILES FILE1 FILE1 FILE1 FILE1 FILE1 Thlrd_Name Fourth_Nam FllejCode 2000-2001 N68643 NOTICE OF VIOLATION San 01 CV0963 City Attorney City Attorney CLAIM City Attorney City Attorney CLAIM CHy Attorney GIN024960 City Attorney City Attorney PITCHESS MOTION SCN180882 PLEADINGS 3 PLEADINGS 1 37-2008-00056127-CU-CR-NC 2001 074530 KEEP 1996 074550 KELLY CORE AREA 2003 074005 2005 074005 VOLUME IV 2001 074552 2001 075010 2003 074005 2001 074520 2001 074005 2002 074070 2002 074520 2003 075010 2003 074550 2003 074070 2004 010013 2004 074560 2005 074005 2005 074550 GIN051294 2006 74550 2007-2008 074005 2008 074550 2008 074005 2009 074005 Color Blue Blue Blue Blue Blue Purple Blue Blue Blue Purple Blue Purple Blue Purple Yellow Blue Blue Blue Blue Blue Blue Blue Blue Location Vault Vault-CL Vault Vault Vault-CL Vault Vault Vault Vault SR Vault Vault Vault SR Vault Vault Vault Vault Vault Vault Vault Vault Vault Thursday, February 12, 200911:39:15 AH - SmeadSott Grid Print tttfor Page:1