TITLE 20: CORRECTIONS, CRIMINAL JUSTICE, AND LAW ENFORCEMENT
CHAPTER III: ILLINOIS CRIMINAL JUSTICE INFORMATION AUTHORITY
PART 1500
THE UNIFORM CONSIDERATION OF ANNUAL AND PERIODIC AUDITS
OF THE STATE CENTRAL REPOSITORIES FOR
CRIMINAL HISTORY RECORD INFORMATION
SECTION 1500.100 PURPOSE
Section 1500.100 Purpose
As the official body in the
State of Illinois designated to conduct annual and periodic audits of the
procedures, policies, and practices of the state central repositories for
criminal history record information, the Illinois Criminal Justice Information
Authority (hereinafter called the Authority) shall be responsible for
monitoring and evaluating the performance of the repositories with respect to
the accuracy and completeness of criminal history record information and for
the detection and correction of audit exceptions. The Authority shall conduct
the annual and periodic audits for the purposes of ensuring:
a) continuing public review and discussion of the procedures,
practices, and policies of the repositories' maintenance of criminal history
record information;
b) adherence to federal and state laws governing criminal history
record information (See e.g., 28 CFR 20 et seq., as amended December 6, 1977;
Ill. Rev. Stat. 1982 Supp., ch. 38 pars. 210-1 et seq., as amended; Public Act
83-1013, certified December 27, 1983);
c) retention of documentation tracing the creation, copying, and
dissemination of criminal history record information;
d) compliance by the repositories with their internal procedures,
policies, and practices; and
e) availability of information regarding the accuracy,
completeness and integrity of the criminal history record information
maintained throughout the State.
 | TITLE 20: CORRECTIONS, CRIMINAL JUSTICE, AND LAW ENFORCEMENT
CHAPTER III: ILLINOIS CRIMINAL JUSTICE INFORMATION AUTHORITY
PART 1500
THE UNIFORM CONSIDERATION OF ANNUAL AND PERIODIC AUDITS
OF THE STATE CENTRAL REPOSITORIES FOR
CRIMINAL HISTORY RECORD INFORMATION
SECTION 1500.200 AUDIT CONDUCT
Section 1500.200 Audit
Conduct
a) The Authority shall audit the state central repositories at
least once each year. The Executive Director shall designate those members of
the Authority staff authorized to conduct the audits of the state central
repositories on behalf of the Authority (based upon costs and available
resources). The Executive Director shall also authorize other state employees
or private or government consultants to conduct audits when such assistance is
required to improve the efficiency of the audit.
b) All persons authorized by the Executive Director to conduct
audits on behalf of the Authority shall be subject to personnel clearances as
required by federal regulations (28 CFR 20, as amended December 6, 1977) and
shall have an obligation to be familiar with the substance and intent of all
federal and state laws regarding the privacy and security of criminal history
record information.
c) The audits shall be conducted on the premises of the state
central repositories when necessary for the Authority to review original record
documents or to improve the quality of the audit. In addition, the Authority
shall direct the repositories to provide whatever information is required to
complete the audit.
d) The Authority shall audit a representative sample of records
maintained by the state central repositories for compliance with established
procedures. At a minimum, the Authority shall audit:
1) accuracy and completeness of records;
2) dissemination procedures for consistency with state and
federal laws;
3) correction procedures for records found to contain errors;
4) delinquent disposition monitoring, internal audit, security,
access and review procedures.
e) The audit procedures stated herein shall apply to both manual
and automated criminal history record information.
| TITLE 20: CORRECTIONS, CRIMINAL JUSTICE, AND LAW ENFORCEMENT
CHAPTER III: ILLINOIS CRIMINAL JUSTICE INFORMATION AUTHORITY
PART 1500
THE UNIFORM CONSIDERATION OF ANNUAL AND PERIODIC AUDITS
OF THE STATE CENTRAL REPOSITORIES FOR
CRIMINAL HISTORY RECORD INFORMATION
SECTION 1500.300 RESPONSIBILITIES OF THE STATE CENTRAL REPOSITORIES
Section 1500.300
Responsibilities of the State Central Repositories
a) As required by law, the state central repositories shall
audit, correct and update criminal history record information maintained by
them. This responsibility shall be fulfilled by conducting systematic audits
for accuracy and completeness by automatically logging data entries, primary
and secondary disseminations and by automatically monitoring for delinquent
dispositions.
b) The state central repositories shall audit local criminal
justice agencies reporting to them or obtaining criminal history record information
from them. This responsibility shall be fulfilled by conducting random audits
for compliance with state and federal requirements regarding criminal history
record information, including, but not limited to, auditing for disposition
reporting, dissemination, security, access and review of such information.
c) In conducting the audits of local criminal justice agencies
described above, the state central repositories shall document each individual
record, practice, policy or procedure audited by recording whether or not any
audit exception was found, if so, stating what the exception was, the nature of
the response needed to correct the exception, and the date the correction was
actually made. This documentation shall be retained by the state central
repositories for one year after the Authority issues an audit report.
d) The state central repositories shall notify the local criminal
justice agency, in writing, of all errors and exceptions found and establish a
reasonable time period in which the local criminal justice agency can respond
and correct the errors or exceptions, but not more than thirty days. At the
expiration of the time period established, the state central repositories shall
monitor the local agency to determine whether the errors or exceptions have, in
fact, been corrected.
| TITLE 20: CORRECTIONS, CRIMINAL JUSTICE, AND LAW ENFORCEMENT
CHAPTER III: ILLINOIS CRIMINAL JUSTICE INFORMATION AUTHORITY
PART 1500
THE UNIFORM CONSIDERATION OF ANNUAL AND PERIODIC AUDITS
OF THE STATE CENTRAL REPOSITORIES FOR
CRIMINAL HISTORY RECORD INFORMATION
SECTION 1500.400 SAMPLING PROCEDURES
Section 1500.400 Sampling
Procedures
a) The state central repositories shall audit a statistically
significant random sample of the records they maintain for accuracy and
completeness by comparing them with the source documents. Such audits shall be
conducted at least once a year, documented as described in Section 1500.300(c)
above, and retained for at least one year for audit by the Authority.
b) The state central repositories shall audit a representative
sample of local criminal justice agencies chosen on a random basis for
compliance with state and federal laws. Such audits shall be conducted on a
continuous basis, documented as described in Section 1500.300(c) above, and
retained for at least one year for audit by the Authority. A
"representative sample" as used in this subsection means a
statistically significant number of criminal justice agencies varying by type,
geographic location and size (expressed by population served) so as to fairly
depict a cross-section of the criminal justice agencies found in the state.
| TITLE 20: CORRECTIONS, CRIMINAL JUSTICE, AND LAW ENFORCEMENT
CHAPTER III: ILLINOIS CRIMINAL JUSTICE INFORMATION AUTHORITY
PART 1500
THE UNIFORM CONSIDERATION OF ANNUAL AND PERIODIC AUDITS
OF THE STATE CENTRAL REPOSITORIES FOR
CRIMINAL HISTORY RECORD INFORMATION
SECTION 1500.500 AUDIT FINDINGS AND REPORTS
Section 1500.500 Audit
Findings and Reports
a) The Authority shall issue a report of its audit findings to
the Governor, the General Assembly, the state central repositories, and the
public.
b) The report shall include a precise statement of the scope of
the audit, a statement of the findings resulting from the audit, a statement of
the prospective significance of the findings, recommendations to the state
central repositories with respect to their procedures, practices, and policies,
and a statement of explanation or rebuttal which may have been submitted by the
audited agency.
c) In conducting subsequent audits the Authority shall
specifically monitor the state central repositories for correction of audit
exceptions noted in the previous audit and include its findings in the audit
report.
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