502 KAR 30:030 - Audit of Criminal History Record Information System

RELATES TO: KRS 17.140, 17.150, 28 C.F.R. 20.21(e)

NECESSITY, FUNCTION, AND CONFORMITY: KRS 17.140(1) requires a centralized criminal history record information system to be established in the Justice and Public Safety Cabinet under the direction, control, and supervision of the commissioner of the Department of Kentucky State Police. KRS 15A.160 authorizes the secretary of the Justice and Public Safety Cabinet to adopt administrative regulations to administer the cabinet. KRS 17.150(6) requires the secretary of the Justice and Public Safety Cabinet to adopt administrative regulations necessary to carry out the provisions of the centralized criminal history record information system and insure the accuracy of criminal history record information being reported to the system. This administrative regulation establishes the requirements for audits of the centralized criminal history record information system and law enforcement and criminal justice agencies that submit or receive criminal history record information to or from the centralized criminal history record information system.

Section 1. The Criminal Identification and Records Branch shall annually conduct an in-house audit of a random representative sample of hard copy data contained in the centralized Criminal History Record Information System. The scope of the audit shall include:

(1) Adherence to federal and state administrative regulations;

(2) Completeness and accuracy of CHRI;

(3) CHRI dissemination procedures;

(4) Security; and

(5) Compliance with mandated access and review procedures. The audit shall be conducted in accordance with guidelines set out in 28 C.F.R. 20.21(e). A report of the audit findings shall be submitted by the administrative head of the Criminal Identification and Records Branch to the commissioner, Department of Kentucky State Police and the secretary of the Justice and Public Safety Cabinet on or before January 10 of each year.

Section 2. The Criminal Identification and Records Branch shall conduct, on an annual basis, audits of at least four (4) criminal justice agencies, submitting or receiving data from or to the centralized Criminal History Record Information System. The criminal justice agencies shall be picked at random. The audits shall be conducted in accordance with guidelines set out in 28 C.F.R. 20.21(e), utilizing the standard audit instrument. A report of the audit findings shall be submitted to the administrative head of the respective criminal justice agency within thirty (30) working days after the audit has been completed. The scope of the audit shall include:

(1) Adherence to federal and state administrative regulations;

(2) Completeness and accuracy of CHRI;

(3) CHRI dissemination procedures;

(4) Security; and

(5) Compliance with mandated access and review procedures.

Notes

502 KAR 30:030

11 Ky.R. 1716; eff. 6-4-85; 48 Ky.R. 1309, 2253; 49 Ky.R. 38; eff. 10/4/2022.

STATUTORY AUTHORITY: KRS 15A.160, 17.150(6)