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.