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Auditing

The purpose of this section is to insure that the Imaging System performs properly, the operational personnel perform correctly, and the established system procedures are strictly adhered to. This is essential to enable the Clerk of Court to testify as to the trustworthiness of the system. The Clerk needs to monitor the imaging system so that it meets the Supreme Court of Indiana’s Trial Rule 77 and Administrative Rule 6 requirements. In essence, it is important for the Clerk to take the necessary steps to ensure that personnel are consistently performing the procedures set forth in this manual to ensure that all documents are handled the same and that the quality of work performed is in compliance with Administrative Rule.

Keep in mind that the Clerk will be the individual who will be called upon, in the event that the trustworthiness of the system comes into question in a court related situation. It is extremely important to educate yourself on the basics of the system being acquired. Therefore it is imperative that training and educational processes be in place to not only insure that the system operates properly but that the in-house personnel correctly follow established written procedures. The Clerk should take appropriate initiative to resolve any issues which may arise.

Periodically, and five or six times during the first year of operation, it is important for the Clerk to conduct a system inspection by selecting a representative case file and follow it through the entire process from start to finish. This will include inspecting the electronic images created and comparing these images to the originals. By so doing, the Clerk will be able to verify that the system accurately and reliably produces images that meet trustworthiness and evidentiary standards. The frequency of these inspections can diminish in the following years provided that these inspections do not reveal any problems. The results of such inspections should be captured in writing and kept in a documentation file.

When retaining information on a Storage Area Network or SAN, the system administrator should restore the system from backup media to insure that accurate system backup is being obtained. This will ensure that the system can accurately and reliably produce and re-produce images that meet trustworthiness and evidentiary standards.

It is extremely important that the Clerk will maintain a written general documentation file, consisting of contracts, specifications and approvals, reports of inspections, audits, and related general documentation. The Clerk, when utilizing an outsourced vendor, should contractually obligate the vendor to meet these same standards. The Clerk should validate the quality of the product being produced for accuracy and quality through internal audit processes.

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