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

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

Appendix 10
Application Controls Criteria

  1. The GAO's Federal Information System Controls Audit Manual, Chapter 4, "Evaluating and Testing Application Controls"
  1. Department of Justice Order 2640.2E, Information Technology Security, Chapter 2, "Security Requirements," Section 16, "Access Control;" 18.h., "Accountability and Audit Trails;" 23, "Assignment and Segregation of Duties"
  1. OMB Circular A-130, "Management of Federal Information Resources," Section 6, "Definitions" and Section 8, "Policy"
  1. OMB Circular A-130, Appendix III, "Security of Federal Automated Information Resources," Section A.3.b.2., "Application Security Plan" and B.b.2.g., "Public Access Controls"
  1. OMB Circular A-130, Appendix IV, "Analysis of Key Sections," Analysis, Section 8a(4), "Records Management" and "Training"
  1. National Institute of Standards and Technology, Special Publication 800-12, "An Introduction to Computer Security: The NIST Handbook," Chapter 4, "Common Threats," 1. "Errors and Omissions"
  1. National Institute of Standards and Technology, Special Publication 800-18, "Guide for Developing Security Plans for Information Technology Systems"
  1. National Institute of Standards and Technology, Special Publication 800-53, "Recommended Security Controls," SI-2.b "Personnel Supervision;" SI-5.e.MP-1e, "Media Access;" and SI-5.e, "Validation of Mission Processing, Output"
  1. National Institute of Standards and Technology, Special Publication 800-64, "Security Considerations in the Information System Development Life Cycle," B.10.3, "Auditing"
  1. National Institute of Standards and Technology, Federal Information Processing Standards Publication 73, Section 3.1, "Data Validation"
  1. 11. The USMS's Prisoner Tracking System Contingency Plan, Version 1.08, dated June 2003
  1. The USMS's "Cellblock Operations" Directive 99-47, "Prisoner Tracking System (PTS) and Appendix B - "Records to be Maintained in the USM-123 File"
  1. The USMS's "Prisoner Tracking System User Manual," dated June 2003
  1. The USMS's "PTS System Security Guide," dated June 2003
  1. The "USMS System Security Plan for the Prisoner Tracking System (PTS)/USMS Automated Booking Station (USMS-ABS)," Version 1.05, dated June 2003
  1. The USMS's Security Evaluation Report dated June 2003