CCC: Evidence Final Report - Dated December 8, 2023

Summary

19 findings

1. Finding 1highevidence

   Unauthorized and Undocumented Evidence Deletions in TrakMan

   A total of 36 items were deleted from TrakMan by Civil and Criminal teammates during the audit period. Of six Civil deletions tested, three lacked documentation supporting proper approval and two were performed by unauthorized teammates. Of three Criminal deletions tested, none had proper approval documentation and two were performed by unauthorized teammates. The Evidence Procedure Manual required director-approved deletions performed only by authorized personnel.

   Recommendation: No formal recommendation was issued since compliance was required; however, management was directed to immediately review and update TrakMan permissions and reiterate strict compliance with approval requirements.
   Management response: Civil and Criminal acknowledged and immediately reviewed TrakMan permissions; submitted requests to IT to remove delete ability from clerk user groups and committed to director-approval compliance. Records committed to updating the Evidence Manual to define 'authorized personnel.' IT committed to creating a risk mitigation process with monthly access reports for directors. Permission updates completed March 2022.
2. Finding 2mediumevidence

   Biohazard Evidence Not Properly Labeled or Segregated

   On March 3, 2022, the IG observed two biohazard evidence items in the RSJC Courthouse Evidence Vault without biohazard stickers affixed to the evidence envelopes or the evidence box. The Courtroom Clerk was unaware the items were biohazard. The Evidence Procedure Manual required biohazard materials to be labeled with biohazard stickers and segregated from other evidence. The stickers were affixed in the presence of the IG.

   Recommendation: No formal recommendation was issued since compliance was required; compliance with existing policy was expected.
   Management response: Criminal acknowledged and provided teammates a reminder on proper marking and handling of biohazard evidence. Completed August 26, 2022.
3. Finding 3mediumevidence

   Teammates Not Wearing Gloves When Handling Biohazard Evidence

   On March 7, 2022, during evidence testing at the East Pasco Records Center, the IG observed that teammates did not always wear gloves when handling biohazard evidence. The Evidence Procedure Manual required gloves to be worn at all times when handling biohazard materials.

   Recommendation: No formal recommendation was issued since compliance was required; compliance with existing policy was expected.
   Management response: Records acknowledged and sent the team a reminder of proper biohazard handling. Completed August 8, 2022.
4. Finding 4mediumevidence

   Dual Control Not Followed When Transferring Evidence at Records Center

   On March 9, 2022, the IG observed an evidence transfer at the West Pasco Records Center where evidence was placed on a teammate's desk for processing rather than immediately secured, and a second teammate did not participate in moving the home location, completing the evidence log, or physically moving evidence to its storage location. The Evidence Procedure Manual required evidence to be immediately placed in the Evidence Room or Vault and entered on the Monthly Evidence Log under dual control.

   Recommendation: No formal recommendation was issued since compliance was required; compliance with existing policy was expected.
   Management response: Records acknowledged and planned to request a laptop for use in the evidence room to process inventory (completed December 2022) and to update the Evidence Manual to clarify the dual-control requirement (target September 2023).
5. Finding 5mediumevidence

   Weekly Evidence Audits Not Properly Documented and Evidence Not Checked Out in TrakMan

   On March 4, 2022, the IG observed the weekly audit of the RSJC Courthouse Evidence Vault and found teammates initialed but did not date the audit report, contrary to procedure. On March 11, 2022, the IG observed that evidence removed from the WPJC vault for trial by a Courtroom Clerk was not checked out in TrakMan, though it was noted in the paper evidence log. Both conditions represent noncompliance with the Evidence Audit Procedure and Evidence Procedure Manual.

   Recommendation: No formal recommendation was issued since compliance was required; compliance with existing policy was expected.
   Management response: Criminal acknowledged and committed to writing audit procedures for Courtroom Clerk evidence room audits and issuing a reminder bulletin requiring proper TrakMan check-out tracking. Both targeted September 2023.
6. Finding 6mediumevidence

   Monthly Evidence Inventory Audits Not Performed for Three Months

   The Evidence Procedure Manual required Records to perform monthly inventory audits comparing new evidence items to evidence logbooks and transfer sheets. On April 7, 2022, the IG observed the monthly audit at the West Pasco Records Center and found that monthly audits were not documented for a three-month period (November 2021 through January 2022).

   Recommendation: No formal recommendation was issued since compliance was required; compliance with existing policy was expected.
   Management response: Records acknowledged, located documentation, completed the pending audits, and committed to completing future monthly audits within the required timeframe. Completed August 3, 2022.
7. Finding 7mediumpolicy

   Certificates of Receipt for Evidence Procedure Manual Not Maintained

   The Evidence Procedure Manual required teammates to sign and date a Certificate of Receipt confirming they received and read the manual. Signed Certificates of Receipt were not maintained for Civil and Criminal teammates who handled evidence and had access to Courthouse Evidence Vaults.

   Recommendation: No formal recommendation was issued since compliance was required; compliance with existing policy was expected.
   Management response: Civil and Criminal both acknowledged and committed to having all evidence-handling teammates review the manual with acknowledgement through NEOGOV, targeted September 2023.
8. Finding 8highevidence

   No Procedures for Checked-Out Evidence That Cannot Be Located

   Fifteen evidence items reflected as checked-out to Court Administration in TrakMan could not be located; Court Administration confirmed it did not have custody. Seven items were checked out from Criminal between July 2010 and November 2018, and eight items were checked out from Civil on February 16, 2021. As of July 2023, the seven Criminal items remained unlocated, while the eight Civil items were found and verified in the west side Evidence Room. Formal written procedures did not address steps to take when checked-out evidence cannot be located.

   Recommendation: Consult with legal counsel to determine appropriate steps when checked-out evidence cannot be located, and create a policy and procedure providing guidance for addressing, reporting, and documenting such items, including adding notes in TrakMan.
   Management response: Civil, Criminal, and Records all acknowledged and committed to Records adding a procedure to the Evidence Manual providing guidance for addressing, reporting, and documenting evidence items that cannot be located, following legal counsel guidance, as part of Action Plan #359. Target September 2023.
9. Finding 9mediumevidence

   No Formal Policy for Monitoring Status of Checked-Out Evidence

   Written policies and procedures did not include requirements for monitoring evidence checked out to other agencies. While Records did use TrakMan's Active Items Report and send follow-up emails, the IG identified three items checked out between 2008 and 2009 from Records without documented follow-up. The absence of a documented monitoring process increases the risk that checked-out evidence is not returned in a timely manner.

   Recommendation: Create a documented policy and procedure for monitoring and following up on checked-out evidence, requiring documented reviews on a regular basis.
   Management response: Civil, Criminal, and Records acknowledged. An automated report was created to identify evidence checked out to the court for over two weeks. Records committed to adding a monitoring procedure to the Evidence Manual as part of Action Plan #359. Target September 2023.
10. Finding 10highevidence

    Chain of Custody Documentation Missing for 36 of 79 Items Tested

    The IG tested 79 evidence items for proper chain of custody documentation and found 36 lacked proper documentation. All nine disposed and refused items tested lacked complete or accurate chain of custody records. Of 20 returned sensitive evidence items tested, five lacked proper documentation including missing signed receipts, purged case files, and unsigned receipts. Of 50 checked-out items tested, 22 lacked proper documentation — 21 missing signed Evidence Transfer Receipts and one with a receipt where the name did not match TrakMan records.

    Recommendation: Review documentation for all evidence checked-out, disposed, returned, or refused to ensure proper signed receipts are on file. Consult legal counsel for items where documentation cannot be located. Create a policy providing guidance for addressing and documenting evidence with missing documentation, and add notes to TrakMan where applicable.
    Management response: Records acknowledged and committed to completing a 100% audit through Action Plan #212 and consulting legal for unresolvable items. A procedure will be added to the Evidence Manual as part of Action Plan #359. Target January 2024.
11. Finding 11mediumevidence

    Inconsistent Practices and No Policy for Storing Perishable Evidence

    The Evidence Procedure Manual did not provide guidance for storing perishable evidence, and only the WPJC Courthouse Evidence Vault had a refrigerator and freezer. Inconsistent practices were observed: at RSJC, evidence with a 'refrigerate' sticker was not refrigerated because court did not instruct refrigeration; at WPJC, any evidence with a 'refrigerate' sticker was placed in the refrigerator; and at EPRC, biohazard evidence with a 'refrigerate' sticker was stored on a shelf unrefrigerated. IAPE best practices require dedicated refrigeration equipment with alarm systems.

    Recommendation: Purchase a dedicated lockable refrigerator and freezer for the east side, create documented policies for storing perishable evidence including evaluation criteria, and consult the lab regarding temperature requirements.
    Management response: Criminal and Records acknowledged and committed to purchasing a refrigerator/freezer for the east side and adding perishable evidence storage procedures to the Evidence Manual as part of Action Plan #359. Target September 2023.
12. Finding 12mediumevidence

    TrakMan Data Inaccuracies in Location, Description, and Marked Dates

    Testing of 'available' evidence items revealed that 10 items had marked dates or descriptions that did not agree with TrakMan data, one item (a photo associated with a felony case) could not be located at all, and one package of sensitive evidence containing cash had a loose seal. The IG and an Operations Supervisor counted the cash, verified the full amount was present, and resealed the evidence on March 24, 2022. No formal procedures existed for addressing evidence that cannot be located or for inspecting sensitive evidence packaging during inventories.

    Recommendation: Create documented procedures for conducting the ongoing 100% evidence inventory including discrepancy resolution, create a policy for addressing items that cannot be located with TrakMan notes, and update policies to require inspection of sensitive evidence seals during semi-annual inventories.
    Management response: Records acknowledged and committed to adding inventory audit guidelines to the Evidence Manual as part of Action Plan #359. Target September 2023.
13. Finding 13mediumdata access

    Key and Combination Access to Evidence Vaults Not Properly Documented

    The Key/Combination Request & Issuance Form used to document issuance of vault keys and combinations was not always maintained, complete, or updated. For 6 of 13 Records teammates with vault access, forms were missing required signatures, did not clearly identify the specific access location, were not on file, or were not updated. Form language was also too vague to clearly identify which specific location access was authorized for.

    Recommendation: Update Key/Combination Request & Issuance Forms to reflect current key/combination status, develop a key management policy defining roles and responsibilities for monitoring access, and revise the form to consistently and clearly identify the authorized location.
    Management response: Records acknowledged and committed to working with HR to correct and update Key/Combination Forms with Director and CAO approval. HR acknowledged and committed to creating a Key Management Guideline (Action Plan #357) and reviewing vault access security. Target September 2023.
14. Finding 14highdata access

    20 of 88 Teammates Have Inappropriate Physical Access to Evidence Areas

    The Reader Assignments to Cardholders Report showed 88 teammates had badge access to evidence rooms and vaults. Of these, 20 had access that was not applicable to their position, was not appropriate, or was no longer needed. Formal documented policies and procedures for periodically reviewing and updating physical access did not exist, increasing the risk of unauthorized access that could compromise evidence integrity.

    Recommendation: Develop and implement a policy requiring regular documented review and monitoring of access to evidence rooms and vaults, update all teammate access to correct permissions, and develop a standardized form for requesting and removing access.
    Management response: Civil, Criminal, and Records all acknowledged and committed to monthly review of access reports provided by HR. Civil confirmed access was removed for 13 teammates with inappropriate access. Criminal confirmed corrections were completed March 2022. HR committed to providing monthly access reports and creating guidelines for accurate, timely updates. Target September 2023.
15. Finding 15highdata access

    33 of 61 TrakMan Users Have Inappropriate Evidence Deletion Permissions

    There were 61 active TrakMan users with permission to delete evidence. After management review, 33 of 61 had deletion permissions that were not applicable to their position, not appropriate, or no longer needed. No formal documented policies existed for reviewing and updating TrakMan delete permissions. A system limitation in TrakMan required the delete permission profile for users who need to purge files, complicating remediation. This increased the risk of unauthorized and undetected evidence deletions.

    Recommendation: Create a documented policy requiring regular documented review of TrakMan user permissions, update all user access to correct permission roles, and develop a compensating control for Records users who need purge access but should not have delete-evidence capability.
    Management response: Civil, Criminal, and Records all acknowledged and committed to reviewing and updating delete permissions, implementing monthly reviews of IT-provided permission reports, and adding delete permission protocols to the Evidence Manual as part of Action Plan #359. Target September 2023.
16. Finding 16mediumevidence

    Gaps and Deficiencies in Weekly and Monthly Evidence Audit Procedures

    The IG identified several deficiencies in evidence audit procedures: two RSJC vault locations were excluded from the weekly audit evidence report selection criteria; the freezer and refrigerator were not inspected during weekly audits to verify proper operation; monthly audit procedures lacked detailed guidance for sample selection; Evidence Inventory Reports were not required to be initialed and dated by performing teammates; and audit documentation was not required to be retained, resulting in EPRC audit records being unavailable for inspection.

    Recommendation: Update, revise, and add to the Evidence Audit Procedures to address all noted gaps, promote consistency, and ensure adequate safeguarding of evidence. Communicate all changes to teammates.
    Management response: Civil, Criminal, and Records all acknowledged and committed to Records updating the Evidence Audit Procedures in the Evidence Manual as part of Action Plan #359 and communicating changes to teammates. Department leadership will review key controls and determine training needs. Target September 2023.
17. Finding 17mediumevidence

    No Deletion Approval Procedures in TrakMan for Records Teammates

    The Evidence Procedure Manual addressed deletion approval requirements for Civil and Criminal teammates but contained no such directives for Records teammates. During the audit period, Records teammates performed 169 evidence deletions in TrakMan without a formal documented approval process. The absence of approval requirements for Records reduces management oversight and increases the risk of unauthorized deletions.

    Recommendation: Establish a documented policy and procedure providing guidance for requesting, reviewing, approving, and monitoring evidence deletions, requiring all steps to be documented in writing.
    Management response: Records acknowledged and committed to implementing an evidence deletion process in the Evidence Manual as part of Action Plan #359. Target September 2023.
18. Finding 18mediumpolicy

    Inconsistent Requirements for Evidence Procedure Manual Acknowledgment Receipts

    The Evidence Procedure Manual required teammates to sign a Certificate of Receipt confirming they received and read the manual. Management responses revealed confusion across departments about which teammates were required to complete and submit the certificate. This inconsistency undermines the purpose of the acknowledgment as a compliance tool and creates gaps in documented evidence-procedure awareness.

    Recommendation: Revise the Evidence Procedure Manual to require Certificates of Receipt be completed by teammates in all departments that handle and process evidence.
    Management response: Records acknowledged and committed to having Records teammates read and sign a certificate of acknowledgment once the Evidence Procedure Manual rewrite (Action Plan #359) is completed. Target September 2023.
19. Observation 19lowdata access

    Unattended Workstations Allowed Incorrect Evidence Deletion Attribution

    One evidence deletion in TrakMan was attributed to the wrong teammate because a shared computer was not locked before being left unattended. A second teammate performed the deletion while the computer remained logged in under the prior user's credentials. This resulted in inaccurate audit trail records in TrakMan.

    Recommendation: Update formal written policies and procedures to require teammates to properly lock computers when leaving them unattended.
    Management response: Records submitted a request to IT to update the Clerk & Comptroller Internet and Email Usage Guideline to require locking workstations when unattended. IT acknowledged ownership of the guideline and committed to updating the language. Target September 2023.