Section 1240.120  Audits of Participating Agencies

The Department of Law Enforcement reserves the right to conduct routine audits of any agency participating in LEADS at any time.  The purpose of an audit will be to determine that all of these LEADS regulations in general or certain of these regulations in particular are being complied with.

a)         Audit Procedures

1)         The Department of Law Enforcement will:

A)        Routinely give two (2) weeks notice prior to the commencement of an audit;

B)        Provide personnel to conduct the audit;

C)        Furnish a written report of its findings to the audited agency at the conclusion of the audit.

2)         The agency being audited will:

A)        Make its LEADS Supervisor available to provide assistance during the audit;

B)        Make available to the auditors the Active Message File, the Cancelled Records File (see Section 1240.70(a) (7) and (8)), logs, all copies of the LEADS Reference Manual, and non-confidential case file material supporting LEADS and NCIC Hot Files entries;

C)        Permit the auditors access to all LEADS terminal operators, clerks handling I-UCR entry, and other agency personnel involved with LEADS-related activities.

b)         CCH Audits – Federal requirements demand that the Department of Law Enforcement select a random sample of agencies for periodic auditing in order to ensure compliance with security and privacy provisions.  As these relate to CCH considerations, such audits shall be limited to:

1)         Evaluation of agency compliance with secondary dissemination logging provisions outlined in Section 1240.90(b)(8)(D) of this Part.

2)         Terminal security.

3)         Distribution of CCH Output Reports and any other CHRI supplied by the Department.