OIG Audit Report 04-29

Review of the United States Marshals Service's Prisoner Tracking System

Report No. 04-29
August 2004
Office of the Inspector General

Table of Contents

EXECUTIVE SUMMARY

I. BACKGROUND
	PTS Application System Environment

II. FINDINGS AND RECOMMENDATIONS
	1.	Select General Controls
		Entity-wide Security Program Planning and Management
		Access Controls
		Application Software Development and Change Control
		System Software
		Segregation of Duties
		Service Continuity

	2.	Application Controls
		Authorization Controls
		Completeness Controls
		Accuracy Controls
		Controls Over Integrity of Processing and Data Files

	3.	Data Integrity Testing
		Completeness of Information
		Accuracy of Information

III. CONCLUSION

APPENDIX 1	OBJECTIVES, SCOPE, AND METHODOLOGY
APPENDIX 2	FIELDWORK SITE VISIT MAP
APPENDIX 3	FEDERAL INFORMATION SYSTEM CONTROLS AUDIT MANUAL, SELECT GENERAL CONTROLS AND APPLICATION CONTROLS
APPENDIX 4	GENERAL ACCOUNTING OFFICE, ASSESSING THE RELIABILITY OF COMPUTER-PROCESSED DATA, DATA INTEGRITY ASSESSMENT FACTORS
APPENDIX 5	GENERAL ACCOUNTING OFFICE, FEDERAL INFORMATION SYSTEM CONTROLS AUDIT MANUAL, GENERAL CONTROLS REVIEW GUIDELINES
APPENDIX 6	GENERAL ACCOUNTING OFFICE, FEDERAL INFORMATION SYSTEM CONTROLS AUDIT MANUAL, APPLICATION CONTROLS REVIEW GUIDELINES
APPENDIX 7	GENERAL ACCOUNTING OFFICE, ASSESSING THE RELIABILITY OF COMPUTER-PROCESSED DATA, DATA INTEGRITY ASSESSMENT GUIDELINES
APPENDIX 8	ACRONYMS AND ABBREVIATIONS
APPENDIX 9	GENERAL CONTROLS CRITERIA
APPENDIX 10	APPLICATION CONTROLS CRITERIA
APPENDIX 11	DATA INTEGRITY ASSESSMENT CRITERIA
APPENDIX 12	AUDITEE RESPONSE
APPENDIX 13	ANALYSIS AND SUMMARY OF ACTIONS NECECESSARY TO CLOSE REPORT