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SUMMARY
The
Office of the Auditor General has conducted a
performance audit of the Criminal Information Services
Bureau, Access Integrity Unit, and Fingerprint
Identification Bureau within the Arizona Department of
Public Safety (DPS). This audit was part of a Sunset
review of DPS and was conducted pursuant to a June 16,
1999, resolution of the Joint Legislative Audit
Committee. It was conducted under the authority vested
in the Auditor General by Arizona Revised Statutes (A.R.S.)
§41-2951 et seq and is the eighth in a series of nine
audits of DPS.
The
three Department entities reviewed for this audit are
responsible for providing criminal justice information
services to police departments, sheriff’s offices,
courts, and other criminal justice agencies in
Arizona. The three entities have responsibilities for
two DPS systems:
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The Arizona Criminal Justice Information System (ACJIS),
a system of databases with information such as
criminal history records, sex offender registration,
and stolen property information.
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The Arizona Fingerprint Identification System (AZAFIS),
an automated system linking fingerprints to criminal
history records.
DPS
Could Better Ensure
the Integrity of the State’s
Criminal History Records System
(See pages 9 through 18)
DPS
is statutorily mandated to serve as the central
repository of criminal history records and related
criminal justice information in Arizona. Recent
efforts by DPS and other criminal justice agencies
have improved the integrity of information in the
State’s criminal history records system, but many
records remain incomplete.
A 1990 Auditor General’s review found extensive
problems with the system’s management. However,
since that time, DPS has taken action on a number of
fronts. For example, DPS has added procedures and
quality controls to help ensure timely and accurate
data entry by its staff. It has also established an
evaluation program to identify and address problems
and has worked with criminal justice agencies to
revise a key form for submitting information.
Other
agencies have also taken action. The Arizona Criminal
Justice Commission and the Arizona Administrative
Office of the Courts are working with criminal justice
agencies to help fund and develop technology allowing
criminal justice agencies to submit information
electronically to DPS.
However,
these efforts have not fully addressed the problem.
The Bureau of Justice Statistics reports that
Arizona’s system is 1 of 12 nationwide containing
final disposition information for less than half of
the arrests in its records. Criminal justice agencies
are statutorily required to report criminal history
information, such as details of arrest charges and how
the charges were resolved, to DPS in a timely manner,
but these agencies’ compliance with reporting
requirements vary widely. This is often because
agencies are not fully aware of all requirements. As
the State’s central repository, DPS is statutorily
responsible for the completeness and accuracy of all
criminal justice information; therefore, DPS needs to
pursue additional efforts to ensure the integrity of
this information. These efforts should include
significantly expanding its reviews of criminal
justice agencies’ reporting practices and specifying
data submission requirements through administrative
rules as required by statute.
DPS
Should Expedite and
Improve Background Checks
(See pages 19 through 27)
DPS
needs to expedite and improve background checks. These
checks, which are used to determine if an individual
should work in sensitive areas, such as with children
or handling money, involve searches of state and
Federal Bureau of Investigation (FBI) criminal history
records. Because some employers allow individuals to
work in these areas while their background checks are
being conducted, completing the checks as quickly as
possible is important. However, under DPS’ current
technology and practices, these checks can take
several weeks to complete. A large portion of the time
is spent on the FBI’s part of the check.
DPS
is seeking ways to expedite and improve the background
check process. Its plan centers on submitting
fingerprints electronically to the FBI and conducting
fingerprinting-based searches, rather than less
reliable demographic-based searches, for the state
record searches. While these efforts would result in
quicker and more reliable searches, DPS estimates that
the costs associated with computer system expansion
and additional personnel would cost several million
dollars. However, many factors have changed since DPS
originally estimated these costs in 1999. Therefore,
DPS needs to re-evaluate the costs associated with
these changes and seek dedicated funding sources, such
as grants, to fund the necessary start-up costs.
Additionally, DPS should raise background check
application fees as necessary to cover ongoing system
maintenance and personnel costs if the program is to
remain self-supporting.
Whether
or not DPS obtains electronic submission technology,
it should take the steps necessary to become a full
participant in the National Crime Prevention and
Privacy Compact. Full participation in this Compact,
an information-sharing project involving the FBI and
states that ratify the Compact, would allow DPS to
perform some of its own national-level background
searches and reduce the number of fingerprints DPS
would need to send to the FBI. Although the Governor
ratified the Compact by executive order, DPS should
obtain legislative approval of the Compact.
Additionally, DPS needs to work with the FBI to make
necessary changes to its data systems and processes to
fully participate.
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