AUDIT COMMITTEE SUMMARY
June 16, 2020
Follow-Up Audit of City Clerk Records Retention and Archives
Report Issued March 13, 2020
Audit Objective
Determine if recommendations made in the prior audit of City Clerk Records Retention and Archives have been effectively implemented.
Background
On April 23, 2018, the Office of the City Auditor (OCA) completed an audit on the City Clerk Records Retention and Archives. The objective of the audit was to determine if the City's record retention and archives processes are adequate and in accordance with regulations and internal policies (to include physical security).
The OCA concluded that the Office of the City Clerk (OCC) implemented manual processes to process incoming storage and record destruction requests. Manual controls are working as expected to ensure compliance with record retention guidelines set forth by the Texas State Library and Archives Commission (TSLAC). Additionally, controls are effective to ensure records are appropriately reviewed and authorized prior to destruction.
However, OCA identified the following record retention and archive processes that needed improvement. Documentation was inaccurate and/or lacking regarding department Record Liaison Officers (RLO), daily warehouse inspections, and training. Additionally, records located in the Municipal Archives and Records (MARs) facility could not be found and were subject to unauthorized access. Further, automated systems and equipment used in the MARs facility for incoming storage and destruction processes were out of date and inoperable. Finally, the MARs facility Disaster Preparedness Plan was outdated and not finalized.
Scope and Methodology
The audit scope was limited to the recommendations and corrective action plans made in the original report for the time frame from October 2018 to November 2019.
Conclusions
We determined that the City Clerk has successfully implemented adequate controls to address prior audit recommendations. Specifi...
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