Department of Justice Audit

By Rebecca Waddell

The word “audit” can provoke trepidation in anyone, which can make a Department of Justice (DOJ) audit a nerve-wracking experience. Fortunately, the DOJ Audit team not only conducts the audits, they also host training to help agencies be ready when it is their turn for an audit. CLEARS Central Coast Chapter recently had the privilege of hosting one of these excellent training courses on preparing for an audit. Deedee Eller and Maribol Lopez from the DOJ Audit Team shared tips and strategies to help everyone be ready and smoothly navigate through an audit.

First, no agency is being singled out, we’re all in this together. Federal mandates require federal and state Criminal Justice Information System (CJIS) Officers to audit all entering agencies at least once during each three-year audit cycle.

Second, resources are at our fingertips. The California Law Enforcement Web (CLEW) provides one-stop shopping for information about all programs within DOJ. Training is announced on the homepage and information bulletins are available for download. Database manuals for NCIC and CJIS databases are also available.

The whole point of the audit is to ensure data quality and NCIC/CJIS compliance. For data quality, the auditors will be looking to see that all available information has been added to the record from the master case record and that it accurately matches that master record as well. The term “packing the record” is often used to describe the process of ensuring that all information that can be located has been entered into the database. For compliance, the audit will focus on verifying the timeliness of the entry, that second-party checks have been done, validation and recent consultations are completed, and follow through with hit confirmations.

Audits focus on seven databases:

1. California Restraining Order System (CARPOS)
2. Missing Persons System (MPS)
3. Wanted Persons System (WPS)
4. Automated Boat System (ABS)
5. Stolen Vehicle System (SVS)
6. Automated Firearms System (AFS)
7. California Sex Offender Registry (CSOR)

When an agency is due for its audit, the DOJ Audit Team will select records, reach out to the agency’s Records Supervisor or Manager, and proceed with either an audit by mail or an in-person audit. The agency will receive directions, usually via email, explaining the purpose of the audit and instructions on how to prepare, the list of record samples from each database, and if needed, a database audit informational packet. Also included will be the dates and deadlines for responding to the audit. The agency will also receive a pre-audit questionnaire which will be returned to the auditor prior to the audit.

Mail-In Audit

For an audit via mail, the records requested for the audit will also be returned to the auditor with the questionnaire. The findings will be received via mail after the audit has been completed.

In-Person Audit

Like the mail-in audit, the records being audited will be listed on the pre-audit questionnaire. Rather than mailing the records being audited in, for an in-person audit, the records will need to be available for the auditor. This means an agency that is “paperless” will need to print out the requested records prior to the audit. During that time, the auditor only needs a staff member available to get the records. The auditor will also need a place to work. The audit will take approximately 4-6 hours with the findings delivered once the audit is completed.

At the end of the day, a DOJ audit is nothing to fear. The helpful staff on the DOJ Audit Team are only there to see that your agency keeps records well and makes sure they are entered completely in a timely manner and validated as required.