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Home My WebLink About; ; Records Management Program AUDIT-Planning; 2009-03-16CITY OF CARLSBAD Records Audit Department: Records Mana Department R PLANNING /ger Review: /-"" / pT^~X^^ ,**!;rftL^(.£x/r)a£&f r ^--t / Calendar Year: —Z^L^ Date: ^-// six>c) Date: y7" /&"<• 2008 ^9 51 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 Itew" 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 03/16/2009 by the following staff members: Records Staff: TANYA BTORK Department Staff: MTr.HF.T.P. MASTRRSON, BRTDQRT DF.SMARATS, SABRTNA/T.KTTr.TA Report Reviewed by: Ronna! Records Management Page 1 of 3 Annual Audit Report - Planning 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 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 staff is responsible for maintaining the department's electronic records stored on the community drive. Individual planners control and manage their own files. A snapshot of the root directory is attached for reference. *«* Four boxes of non-records have been submitted to Records Management for shredding. Planning staff will also review subject files and identify other non-records as part of their ongoing clean-up effort *•* Two boxes of annexation files have been submitted to Records Management for review. See Action Item 2. *»* The Planning department is the Office of Record for Planning Commission agendas. This document type will have a retention period reduction in this year's Records Retention Schedule revision. Records Management coordinates the deletion of the DMS version of all agendas annually, but each department that maintains these records is responsible for the physical destruction of the original paper records. Microfiche for older Planning Commission documents also exists, and will need to be shred in conjunction with the paper originals. See Action Item 1. »*• Planning department staff has previously submitted a request to add Satellite Antennas to the retention schedule. The records defined for the Planning department will be reviewed by Planning staff and any further RRS change requests will be submitted to Records Management *»* The Planning department is actively reviewing project files and ensuring that only relevant record material is scanned into the DMS and sent to off-site storage. Planning department staff has been advised that should they undertake a clean-up of older files already in off-site storage, to also review corresponding Planning project microfiche and destroy as appropriate to ensure that there is no duplication of records or effort *»* The Planning department currently stores 389 boxes at Iron Mountain. This has increased from 286 boxes reported in 2005. Planning staff expressed an interest in evaluating whether hardcopy project files need to be retained once scanned to the DMS. See Action Item 3. Records Management Page 2 of 3 Annual Audit Report - Planning Revised 1/09 Action Items: 1. Departmental staff will prepare and submit all records eligible for destruction to Records Management. 2. Records staff will review the contents of the two annexation boxes and report back to Planning with their findings. It will be determined if these are records for archival, non-record duplicates, or records due for destruction. 3. Records Management will facilitate a discussion between the Planning Department and City Attorney to determine whether the paper records currently retained in the project files after being scanned into the DMS can be shred as non-record and the DMS version retained as the original document If the City Attorney determines the paper records can be destroyed, records staff is available to assist with destroying the duplicate paper records. Records Management Page 3 of 3 Annual Audit Report - Planning Revised 1/09 City of Carlsbad Ml Planning Barcode PL0000044 PL0000060 PL0000159 PL0000285 PL0000295 PL0000456 PL0000511 PL0000512 PL0000595 PL0000645 PL0000650 PL0000687 PL0000691 PL0000800 PL0001247 PL0001826 PL0001884 PL0002058 PL0002335 PL0002905 PL0003369 PL0003700 PL0003990 PL0004517 PL0005057 PL0005390 PL0005S99 PL0005807 PL0005981 PL0006216 PL0007318 PL0007436 PL0007673 PL0007980 PL0007981 Flrst_Name GPA 02-01 PS 89-02 PS 89-101 ZCA 96-10 COP 00-49 PS 92-37 CDP 01-25 PS 92-92 CDP 02-1 9 MCA 02-01 PCD/GPC 02-02 LCPA01-15 ROI 02-01 SUP 02-05 PS 98-54 DUPLICATE LCPA 90-08(C) SOU 97-13 PUD 17 PS 02-103 Dl 89-05 V 93-03 CUP 139(A) CT 02-28 PS 04-87 MP123 PS 04-1 57 CT 00-20x1 (A) CUP SNC 05-01 CT 98-05 PS 07-21 MCUP 07-08 CT06-17 SA 09-01 PCD/GPC 09-01 Second_Name OLIVENHAIN MUNICIPAL WATER DISTRICT ORD & ROGERS CONSTRUCTION VICTORIA STATION INCIDENTAL OUTDOOR DINING AREAS SEAWALL STAIRWAY REPAIR ARCOAM/PM VINE RESIDENCE CAFE LE BON VIVANT BROWN FAMILY RESIDENCE NPDES STORMWATER UPDATES FY 2002-2003 CIP NPDES STORMWATER UPDATE FRONT YARD FENCING ZCA ROBERTSON RANCH DUPLICATE LABEL OF SUSAN BURKELAND CARLSBAD RANCH HOTEL & TIMESHARE FRANKLIN MOTHER-IN-LAW QUARTERS BUDGE COLDWELL BANKER KELLY STOCK PILE SEA GABLES ST ELIZABETH SETON CATHOLIC CHURCH LA COSTA CONDOMINIUMS UNITED STUDIOS OF SELF DEFENSE LARWIN CANDLE COLLECTION FOX MILLER GENERAL INFORMATION CASA LA COSTA DE JONG PROPERTY BEACHGLASS BEADS & SCRAPBOOKS ASTOR COMMUNICATION DISH EL CAMINO TERRACE MEDIA FLO SATELLITE FY 09/10 CAPITAL IMPROVEMENT PROGRAM (CIP) Thtrd_Name DEV02001 F9900031 F0105038 DEV01056 DEV02034 DEV01100 DEV01100 DEV02067 DUPLICATE DEV90100 DEV03093 DEV02112 DEV00109 DEV02122 DEV98011 DEV01046 F1 505004 Fourth_Name FilejCode FILE 2 OF 3 053020 051510 051510 051030 050025 051510 050025 051510 WITHDRAWN 050025 074071 050045 051036 035055 050090 DUPLICATE WITHDRAWN 051036 051070 050075 051510 035060 050095 FILE 1 OF 2 050020 FILE 4 OF 4 050030 051510 WITHDRAWN 050035 051510 050030 050020 05 FILE 3 OF 4 050030 051510 050020 FILE 2 OF 2 050030 050045 Color Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Purple Location CENTRAL FILES CENTRAL FILES CENTRAL FILES CENTRAL FILES IRON MOUNTAIN CENTRAL FILES CENTRAL FILES CENTRAL FILES CENTRAL FILES CENTRAL FILES CENTRAL FILES IRON MOUNTAIN CENTRAL FILES CENTRAL FILES DUPLICATE LABEL IRON MOUNTAIN STORAGE STORAGE IRON MOUNTAIN STORAGE STORAGE IRON MOUNTAIN CENTRAL FILES CENTRAL FILES CENTRAL FILES CENTRAL FILES CENTRAL FILES CENTRAL FILES CENTRAL FILES CENTRAL FILES CENTRAL FILES CENTRAL FILES CENTRAL FILES Tuesday, February 17,2009 4:17:58 PM - SmeadSoft Grid Print ttyor Page: 1 * Planning on TdfpsOJUJeparlments' (H:) File Edit View . 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