HomeMy WebLinkAbout; ; Records Management Program AUDIT-City Clerk; 2012-12-12CITY OF CARLSBAD RECORDS MANAGEMENT DEPARTMENT
RECORDS AUDIT REPORT
DEPARTMENT
RECORDS MANAGEMENT
COVER SHEET
CITY CLERK AUDIT DATE
PREPARED BY
12/12/2012
This records audit has been conducted by Records Management (RM) staff. Its purpose is to determine
whether the records in your department are being managed in accordance with the City Council
adopted Records Management Program (RMP). This evaluation includes a review of staff RMP training,
whether there is a need for potential Records Retention Schedule (RRS) modifications, and whether
department records are being processed for archiving or destruction appropriately.
INSTRUCTIONS:
• Department manager and records liaison review the findings of this report.
• After review, please sign and return this single page cover sheet to Records Management. This
will acknowledge that the audit findings and any action items have been reviewed.
Additional steps to take if there are items listed on the Action Items page:
• Complete the listed Action Items within the recommended timeline.
• Return Action Item Checklist to Records Management when corrections are completed.
Listed below is a summary ofthe audit findings.
AUDIT ELEMENT COMPLIANCE STATUS ACTION ITEM
Records Management Program
Training (RMP) 50% Compliant See Action Item Checklist
Records Retention Schedule (RRS) In compliance No suggested modifications
Records Maintenance and
Disposition In compliance See Action Item Checklist
If you have any questions regarding this audit, please contact Ronna Stickrod, Records Management Supervisor,
at x2482.
We have reviewed the following audit report and agree to comply with any required action items.
Department Head: Date:
Department Staff: Date:
Annual Records Management Audit Review— City Clerk
CITY OF CARLSBAD RECORDS MANAGEMENT DEPARTMENT
RECORDS AUDIT REPORT
SUMMARY OF FINDINGS:
RM staff met with Donna Heraty and asked a series of questions regarding records
management training, the management of department paper and electronic records, whether
the retention schedule is accurate for all records that City Clerk is identified as the "Office of
Record", and the status of destruction of any record and non-record material.
Donna was familiar with the RMP and has completed the online training video and familiarized
herself with the RRS. However more training is suggested so that she fully understands the RMP
and all components.
RRS was reviewed—no modifications were suggested.
The SmeadSoft software is being used by RM staff appropriately. This was verified with a
sample review of records (list attached). A review ofthe database is suggested. There are some
files listed that no longer exist in hardcopy form.
Priorto audit. Donna carefully reviewed each aspect ofthe audit (i.e. RRS, Corovan inventory,
previous audit, etc..) and was prepared with questions and or comments.
Prior to audit. Donna reviewed the Clerk's vault records and several were identified as ready for
destruction based on current RRS.
Donna is agreeable with the suggestion of further RMP training (i.e. records destruction process
and SmeadSoft).
Several questions were raised in the discussion:
o Should Affidavits of Publication be scanned into DMS
o Essential/Vital records: Aside from legislative documents (i.e. Resolutions, Ordinances,
etc.), should the paper be kept?
Donna has not received copy of revised RMP manual. Will review it when received.
Destruction of non-records was discussed. Clerk does not maintain copies of IFAS batches,
however does retain copies of credit card statements for two years.
Annual Records Management Audit Review— City Clerk
CITY OF CARLSBAD RECORDS MANAGEMENT DEPARTMENT
RECORDS AUDIT REPORT
ACTION ITEM CHECKLIST
ACTION ITEM COMPLETED?
Process records identified in vault that are ready for destruction. Sonya will walk
Donna through the complete destruction process for these records for training
purposes.
YES NO
Review Corovan inventory to identify records ready for destruction. YES NO
Review SmeadSoft database for labels that need to be deleted. RM staff will make
necessary deletions and update the database. Donna will be trained on the
SmeadSoft process (including making labels, etc.).
YES NO
Donna will be sent updated RMP manual for reference and review. YES NO
YES NO
YES NO
YES NO
For further assistance regarding an action item please contact Sonya at ext. 2738.
I hereby certify that the above listed Action Items have been completed and are now in compliance
with Records Management Policy and Procedures.
Department Manager Date
Records Management Date
Annual Records Management Audit Review— City Clerk