AG 2009 11 16 - Laserfiche WebLink

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Board of County Commissioners Cabarrus County Page 4 Recommendation: A formal review process for approving timesheets at the department level should be put into place to reduce the risk of overpayment of salaries. A formal policy for timesheet review by supervisors and department heads should be put into place. Bi-weekly e- mail verifications of approval of time by supervisors and or department heads would be sufficient. Management's Response/Corrective Action: ITS will attempt to add a formal review process to the new Timesheet application. Requiring an email from a supervisor does not guarantee review. An equal or better course of action would be to add a section to the Cabarrus County Personnel Ordinance requiring supervisors to review their subordinate's timesheets before the due date. The approval of timesheets will be reviewed and a new process will be put in place during the FY 2010. Finding 2009-7 Criteria: The Cabarrus County Department of Social Services should maintain control of client records at all times. The policy for custody of client records should be followed at all times so that these records are easily accessible. Condition: While testing Medicaid files we encountered difficulty in locating the records for a client selected for testing. The file was subsequently found and the proper information was obtained. Recommendation: Encourage the Department of Social Services staff to understand the importance of the custody of client records and the need for them to be easily accessible. Management's Response/Corrective Action: Cabarrus County DSS is aware of the responsibility to maintain client records for documentation of delivery of services and to ensure the confidentiality of these. DSS staff is also aware of the need to locate records when needed for the purpose of completion of audits/reviews. Cabarrus County DSS Confidentiality Policy Section II.E. Security of Records describes the current process for managing paper records. The agency is in the process of migrating to electronic records which will eliminate the issues related to location of paper records such as misfiling, incorrect labeling, and other human errors such as overlooking the record in the files. Cabarrus County DSS Confidentiality Policy II. E. Security of Records: 1. Cabarrus County Department of Social Services shall store client records, to the extent possible, centrally in the file rooms. Only employees or other designated individuals shall have authorized access to these storage areas. 2. Only authorized individuals may remove a record from the file room and that individual shall sign the record out using the "sign out" system. The security of the record is the responsibility of the employee until its checked back into the file room. Therefore, where possible, records are not to be left out on desks over night or over the weekend nor left open on employees' desk at anytime that the employee is not at their desk. 3. Employees are not to remove a record from the Agency, unless approved by the supervisor. Records taken from the office by an employee becomes the responsibility of that worker. Out-stationed staff and telecommuters will normally maintain client records at their duty stations. Staff with these assignments must deliver records to their supervisors within 24 hours of any request from the supervisor. G-8 Attachment number 1 Page 258