Clerk & Comptroller
Audit findings · personnel
8 findings match the current filter. Sorted by severity, then dollar amount.
- mediumpersonnelCCC · FY 2023
Civil lacked formal documented training program for confidentiality
At the time of the audit, Civil did not have a finalized formal training program outlining objectives, needs, strategy, and curriculum for maintaining confidentiality of cases, records, and dockets. Without a formalized program, there was increased risk that policies and procedures were not consistently followed and that teammates were assigned tasks for which they were insufficiently trained.
in: CCC Docket Image Privacy Follow-Up - Final Report dated February 14 2023 - mediumpersonnelCCC · FY 2023
Criminal lacked formal documented training program for confidentiality
At the time of the audit, Criminal did not have a formal, documented training program in place for new teammates learning how to maintain the confidentiality of cases, records, and dockets. Without such a program, there was increased risk of inconsistent application of confidentiality requirements and assignment of teammates to tasks for which they were insufficiently trained.
in: CCC Docket Image Privacy Follow-Up - Final Report dated February 14 2023 - mediumpersonnelCCC · FY 2023
Records lacked formal documented training program for confidentiality
At the time of the audit, a formal, documented training program did not exist in the Records department for teammates learning to maintain the confidentiality of court records. The absence of a formalized program increased the risk that policies and procedures were not consistently followed and that teammates were assigned to tasks for which they were not sufficiently trained.
in: CCC Docket Image Privacy Follow-Up - Final Report dated February 14 2023 - mediumpersonnelCCC · FY 2021
Civil lacked formal documented training program for confidentiality
At the time of the audit, Civil did not have a finalized formal training program for teammates learning how to maintain the confidentiality of cases, records, and dockets. A formalized program is essential to ensure consistent policy compliance and to measure teammate comprehension through goals and benchmarks.
in: CCC: 2020-09 Docket & Image Privacy – Dated August 4, 2021 - mediumpersonnelCCC · FY 2021
Criminal lacked formal documented confidentiality training program
At the time of the audit, Criminal did not have a formal, documented training program for new teammates learning how to maintain the confidentiality of cases, records, and dockets. Without a formalized program, there was no structured mechanism to measure goals and benchmarks for teammate comprehension.
in: CCC: 2020-09 Docket & Image Privacy – Dated August 4, 2021 - mediumpersonnelCCC · FY 2021
Records lacked formal documented training program for court record confidentiality
At the time of the audit, Records did not have a formal, documented training program in place for teammates learning how to maintain the confidentiality of court records. Without a formalized program, there was no structured approach to ensure consistent policy compliance or to measure teammate progress.
in: CCC: 2020-09 Docket & Image Privacy – Dated August 4, 2021 - lowpersonnelCCC · FY 2021
Teammate file missing required acknowledgement forms and CPE documentation
One teammate's personnel file did not contain the required signed acknowledgement forms or proper documentation of professional continuing development. Specifically, the Mission Statement Acknowledgement Form and the Procedure Manual Acknowledgement Change Form (effective 10/01/2020) were signed by the teammate but never submitted to the Inspector General for counter-signature as required. Additionally, continuing professional education (CPE) hours were not tracked and certificates earned were not maintained in AutoAudit as required by internal policies and procedures.
in: Department of Inspector General 2021 Internal Quality Self-Assessment Final Report - lowpersonnelCCC · FY 2021
Records scenario questions provided limited guidance to Civil and Criminal teammates
The redaction and confidentiality scenario questions were designed primarily for the Records Department, yet the materials were intended to be distributed to Civil and Criminal teammates as well. Only two of the scenario questions (numbers 13 and 41) were related to Criminal and Civil Courts.
in: CCC: 2020-09 Docket & Image Privacy – Dated August 4, 2021