AUDIT QUESTIONNAIRE. Completion of this questionnaire and all related items prior to the audit will reduce the time needed to complete your audit.

Transcription

1 AUDIT QUESTIONNAIRE Completion of this questionnaire and all related items prior to the audit will reduce the time needed to complete your audit. ORI Person Completing Date Phone Number AGENCY AGREEMENT Review and complete the enclosed TIME System Agency Agreement between CIB and your agency. Provide the completed agreement to the auditor on the audit date. This agreement acknowledges your agency s acceptance of and adherence to TIME System / CJIS policy, procedures and rules. TAC Each agency having TIME System access must designate an individual employed by the criminal justice agency as TIME Agency Coordinator (TAC). Any exceptions must be coordinated with and approved by CIB. The agency TAC is: TAC First Name MI Last Name TAC First Name MI Last Name WORKSTATIONS/PSN LIST Review, complete, and sign the enclosed list of TIME System terminals/etime users for your agency. Are all TIME System terminals and stored &/or printed data secure within the department to protect against any unauthorized viewing or access? Yes No Does your agency have Mobile Data Computers (MDCs) that access the TIME System? Yes No If yes, how does your agency provide MDC certification training, via on-line modules or does an Agency Assigned Instructor (AAI) provide the training? Using online modules Provided by Agency Assigned Instructor 1

2 AAI First Name MI Last Name AAI First Name MI Last Name OTHER AGENCY AGREEMENTS Does your agency provide TIME System services or information (DOT printouts, criminal history printouts, etc.) to any other agency (prosecutor, DNR etc.)? Yes No If yes, please list the names of those agencies and provide a copy of signed agreements between your department and these agencies. Attach a separate sheet if necessary. Does your agency obtain hardware, software and/or help desk support from a Noncriminal Justice Agency (NCJA) such as a private company, software vendor or city / county information technology department (IT)? Yes No If yes, does your agency have a Management Control Agreement between your agency and the agency that is supporting your systems? Yes No If yes, does you agency require all personnel from the NCJA agency with physical and/or logical access to secure locations and potentially criminal justice information read/sign the CJIS Security Addendum? Yes No 2

3 Does your agency outsource dispatching functions, contracting with a Noncriminal Justice Agency (NCJA) to perform criminal justice functions on your agency behalf (i.e. Governmental agencies (911 centers) that handle dispatching functions for a LE agency)? Yes No 2017 If yes, does your agency have a Management Control Agreement between your agency and the NCJA that performs criminal justice functions on your behalf? Yes No CRIMINAL HISTORIES Enclosed are two lists of criminal histories and a list of Return of Firearms queries performed by your agency. Complete the lists by answering the three questions listed on the form for each inquiry. Do you provide criminal history information/printouts to any other authorized agency (prosecutor, city attorney, etc.)? Yes No If yes, is the person you provided the criminal history information uniquely identified in the attention line of the query? Yes No ORI UPDATES o If not identified in the attention line, does your agency log this dissemination as secondary dissemination? Yes No Does your agency maintain this secondary dissemination log for at least 1 year? Yes No Enclosed are printouts of your agency information as currently listed in Nlets ORION and NCIC ORI files. Review for accuracy, and make any necessary changes. Does your agency operate 24 hours per day? Yes No If no, is hit confirmation available 24 hours per day for your records? Yes No TIME SYSTEM NEWSLETTERS The CIB website, contains the TIME System Newsletter updating users on new functions and policy. Does your agency distribute the newsletters to personnel that access the TIME System? Yes No VALIDATION Does your agency validate CIB/NCIC person and/or property records entered into with your ORI? Yes No If yes, who is responsible for validating these records? 3

4 If no or NA (not applicable), please provide further explanation. If yes, does your agency contact the court clerk during the validation of warrants and protection orders to ensure the warrant and/or protection order is still active? Yes No o How does your agency contact- the clerk of court and document the results? If yes, does your agency contact complainants for missing person, identity theft victim and stolen property records during validation to ensure the person and/or property is still missing? Yes No o How does your agency contact complainants and document the results? Does your agency perform the required second person review of all record entries, modifications and supplements? Yes No How does your agency perform and document the second person review? 4

5 Does your agency have written policies/procedures regarding validation? Yes No PERSONNEL SECURITY POLICY and PROCEDURES (CJIS Policy Section 5.12) Does your agency perform thorough background screening of all personnel who have access to the TIME System, CJIS systems, and/or criminal justice information, including submission of fingerprints to the FBI and CIB? Yes No Does your agency perform thorough background screening of all IT/vendor personnel that maintain network hardware, terminals, servers, etc. that access the TIME System and CJIS systems including submission of fingerprints to the FBI and CIB? Yes No Does your agency have personnel that reside in another state? Yes No 2017 If yes, for all personnel of your agency that reside in another state, is a check of the Nlets criminal history file done from that state of residency? Yes No Does your agency comply with the CJIS Personnel Security Policy and Procedures requirements (5.12.1) including the request of a variance from the CSO for convicted felons? Yes No How does your agency document the results of the background screening? Does your agency have written policies regarding discipline of personnel that violate TIME System policies and/or rules? Yes No TIME System Rosters Enclosed you will find rosters of TIME System personnel within your agency. Please review the rosters, indicate a status, and complete as instructed. 5