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Home My WebLink About; ; Records Management Program AUDIT-City Manager; 2009-03-04CITY OF CARLSBAD Records Audit Department: CITY MANAGER , Records Manager Review: , , X( J/^/T/^C. s^^t ' C/Z^V-^^LA^Department Review: ( -yr^- t-*-r-? Calendar Year: ^ Date: b ~ _. <r//Date: &f l 2008 If-tf */*1 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 die results of the audit Records Audit conducted on 03/04/2009 by the following staff members: Records Staff: TANYA BTORK -*~\ "3 Department Staff: KTRA TJNDRF.Rt; Report Reviewed by: Ronna Stickrod ys Records Management Page 1 of 3 Annual Audit Report - City Manager 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 0100- 34/0100-05 Department Files Records will be submitted for destruction. ACTION None See Action Item 1 See Action Item 2 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 (RRS). »»» 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. 50 database entries with an obsolete RRS code were identified. These are general files, a record type with a retention period of two years. Many of these files may be removed from the SmeadSoft database as part of the department's regular records destruction and clean-up review. See Action Item 3. *»* The City Manager's department is a low-use department for SmeadSoft, with a total of 153 labels in their database. Due to the rising costs associated with SmeadSoft, and the small volume and short retention period of records filed in the City Manager's department, the use of SmeadSoft may need to be re-evaluated. *»* The administrative secretary is responsible for maintaining the department's electronic records on the shared community drive. RFA email requests are saved as Word files on the community drive for attachment in the RFA system. Two of the community drive folders are named for previous employees. A snapshot of die root directory is attached for reference. See Action Item 4. *»* 3 boxes of records were processed for destruction in 2008. This department currendy has records eligible for destruction, including Correspondence, General Files, Department Files, and non-record reference files. Volunteer records on file with the Volunteer Coordinator may also be due for destruction. See Action Item 2. *«* The department continues to periodically review dieir central files for records eligible for destruction. They have cleaned up former employee files and photos. 10 boxes of records are being stored in the supply room. These boxes contain Citizen's Academy documents from the City Council office, City Council correspondence files, and intern files. See Action Item 2. *»* The City Manager's office was previously a liaison and office of record for the Cable Television Foundation. This function was taken over by the state in 2008. See Action Item 5. Records Management Annual Audit Report - City Manager Page 2 of 3 Revised 1/09 Action Items: 1. A retention period change for 0100-05 Department Files from CU+5 to CU+2 will be submitted in the next Records Retention Schedule revision by Records Management Upon approval by the City Council, City Manager staff will review their files and submit records eligible for destruction according to the new records retention schedule period. 2. Records eligible for destruction should be prepared and submitted on a regular basis each calendar year. It is recommended that this take place in January. By regularly shredding documents according to the retention schedule, the department will ensure records compliance, efficiency in locating requested records, and reducing space management issues. Boxes of records currently stored in the supply room will be reviewed by City Manager staff and processed for destruction or organized in appropriate active files. 3. Several files with the obsolete file code 0100-34 are currently maintained in the department Any files not processed for destruction as general files this calendar year will be relabeled with the appropriate file code. City Manager staff will no longer create SmeadSoft kbels with a 0100-34 file code. 4. The administrative secretary will ensure that RFA emails are not maintained on the community drive past the RFA database retention period. Community drive folders for previous employees are to be reviewed for deletion or reorganization. 5. Currently the City Manager's office maintains Agendas, Minutes, and Grant documents for the Carlsbad Community Cable Television Foundation. Since this function has been transitioned over to the state, no new CCTV records will be generated. Once all remaining general information, agendas, and grant documents have reached the end of their retention period, these records series will be removed from the retention schedule. Minutes are a permanent record and will not be changed. Records Management Page 3 of 3 Annual Audit Report - City Manager Revised 1/09 City of Carlsbad All City Manager Barcode First Name Second Name Third Name Fourth Name Fife Code Color -Momoon M0200046 M0200106 M0200273 -M0200300' M0200321 M0200340 M0200402 M0200416 M0200422 M0200435 M0200441 PRESS RELEASES City Manager HMP HABITAT MANAGEMENT cS^-=S CW.=.~/c^x. CITY CLERK <5«=o^ - a^oT- city Manager's Office NCTD ^^^- a^»-»V- City Manager's Office CHRON FILES - DECEMBER 2004Ti^W.i«- CITY MANAGER ADELPHIA &=*J-^ '.»<=o V City Manager's Office INFORMATION TECHNOLOGY «3^oH.-3^>V City Manager's Office CITY MANAGER OUTGOING &^>=K -d-^V CHRON FILES-JULY 2007^ CITY MANAGER TIME WARNER CABLE Sf^''' City Manager's office LIBRARY ^v0! City Manager's Office NRG General Files / City Manager Departmental Files / CM Departmental Files / CM Correspondence General Files / City Manager Departmental Files / CM Departmental Files / CM Correspondence General Files / City Manager Departmental Files / CM General Files/City Manager 010035 010034 010005 010005 010004 010034 010005 010005 010004 010034 010005 010034 Green - Green Blue Blue Green Green Blue Blue Green Green Blue Green O Thursday, February 12, 2009 1:31:56 PM - SmeadSoft Grid Print tbjor Page: 1 • Help Q Back - ^J - ^ , ! 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