Clerk & Comptroller
Audit findings · evidence
21 findings match the current filter. Sorted by severity, then dollar amount.
- highevidenceCCC · FY 2023
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.
in: CCC: Evidence Final Report - Dated December 8, 2023 - highevidenceCCC · FY 2023
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.
in: CCC: Evidence Final Report - Dated December 8, 2023 - highevidenceCCC · FY 2023
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.
in: CCC: Evidence Final Report - Dated December 8, 2023 - highevidenceCCC · FY 2020
No documentation maintained for pre-destruction deposit will verification
Management indicated that a random 10% sample of deposited wills meeting their retention date was verified prior to destruction; however, no documentation was maintained to support that this verification requirement was actually completed. The IG team was therefore unable to confirm the verification occurred. Furthermore, the Probate division had no documented procedures providing detailed guidance on how to conduct the pre-destruction verification or how to maintain supporting documentation of the sample reviewed.
in: CCC: 2020-05 Deposit Will Audit – Dated September 17, 2020 - mediumevidenceCCC · FY 2023
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.
in: CCC: Evidence Final Report - Dated December 8, 2023 - mediumevidenceCCC · FY 2023
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.
in: CCC: Evidence Final Report - Dated December 8, 2023 - mediumevidenceCCC · FY 2023
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.
in: CCC: Evidence Final Report - Dated December 8, 2023 - mediumevidenceCCC · FY 2023
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.
in: CCC: Evidence Final Report - Dated December 8, 2023 - mediumevidenceCCC · FY 2023
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).
in: CCC: Evidence Final Report - Dated December 8, 2023 - mediumevidenceCCC · FY 2023
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.
in: CCC: Evidence Final Report - Dated December 8, 2023 - mediumevidenceCCC · FY 2023
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.
in: CCC: Evidence Final Report - Dated December 8, 2023 - mediumevidenceCCC · FY 2023
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.
in: CCC: Evidence Final Report - Dated December 8, 2023 - mediumevidenceCCC · FY 2023
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.
in: CCC: Evidence Final Report - Dated December 8, 2023 - mediumevidenceCCC · FY 2023
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.
in: CCC: Evidence Final Report - Dated December 8, 2023 - mediumevidenceBCC · FY 2022
IG identified two of three Embassy Warehouse year-end count discrepancies
For two items in the IG's test sample at Embassy Warehouse (item #19038 clear plastic safety glasses and item #400057 valve tapping cast iron 6"), the IG's physical count did not agree with the warehouse team's count or the system count. Upon recount with the lead inventory specialist, the IG's counts were confirmed correct, requiring adjustments. This issue was also raised in the prior FYE 2018 audit, though discrepancies had significantly decreased.
in: BCC: Utilities Warehouse Inventories Follow-up – Dated December 13, 2022 - lowevidenceCCC · FY 2024
Incorrect images docketed to cases due to auto-docketing error
Two cases had the incorrect image docketed; the CCIS transaction report was docketed as the DL Check. Management attributed this to an auto-docketing error. The incorrect docketing reduces the reliability and accuracy of case records.
in: CCC Driver License Reinstatements - Dated December 27, 2024 - lowevidenceCCC · FY 2023
One Criminal image of 361 tested was docketed incorrectly
One Criminal image was a Return of Service but was docketed with code NOFI (Notice of Filing) because the portal filer selected an incorrect docket code and the teammate did not correct it. The image description on the document and the docket description did not agree.
in: CCC Docket Image Privacy Follow-Up - Final Report dated February 14 2023 - lowevidenceCCC · FY 2023
Safe contained spare keys and evidence vault combinations unknown to management
During an unannounced cash count on 6/9/2022, the IG observed the contents of the safe at Dade City Official Records and found several spare/copy keys for other departments and a folder containing combinations for both evidence vaults. A Records Division Operations Supervisor stated on 6/28/2022 that they were unaware these items were stored in the safe. The HR Director also confirmed HR was unaware, and while HR tracked to whom combinations were distributed, it could not track where they were stored thereafter. The Records Assistant Director later advised on 12/5/2022 that the vault codes found were obsolete.
in: CCC: Unannounced Cash Counts - Dated February 28, 2023 - lowevidenceBCC · FY 2023
DAVID search queries not documented in associated case files
For 3 of 11 DAVID queries reviewed, the associated case file did not reflect the specific DAVID information that was queried, making it difficult to trace all queries to a legitimate business purpose.
in: BCC: Stormwater DAVID Contract Attestation - Dated November 13, 2023 - lowevidenceCCC · FY 2021
One Criminal image of 361 tested was docketed with incorrect code
One Criminal image tested — a Return of Service — was docketed using code NOFI (Notice of Filing), which did not match the actual document. The filing was received via the online portal with the incorrect docket code selected by the filer, and the code was not corrected by staff before docketing.
in: CCC: 2020-09 Docket & Image Privacy – Dated August 4, 2021 - lowevidenceCCC · FY 2021
Documentation of verified wills prior to destruction not fully remediated
The original audit found that documentation of deposited wills verified prior to destruction was not being maintained. The corrective action plan for this item was only partially completed as of the follow-up date, because no deposit wills had been destroyed since the original 2020-05 audit engagement. As a result, Civil management had not yet been able to finalize updates to the destruction procedures to ensure complete and accurate guidance.
in: CCC: 2020-05 Deposit Will Follow-up Memo – Dated August 5, 2021