Judiciary Administrative Office of the Courts Data Center

Transcription

1 New Jersey State Legislature Office of Legislative Services Office of the State Auditor Judiciary Administrative Office of the Courts Data Center April 30, 2001 to January 15, 2002 Richard L. Fair State Auditor

2 LEGISLATIVE SERVICES COMMISSION ASSEMBLYMAN JACK COLLINS Chairman SENATOR DONALD T. DiFRANCESCO Vice-Chairman SENATE BYRON M. BAER JOHN O. BENNETT GERALD CARDINALE RICHARD J. CODEY BERNARD F. KENNY, JR. ROBERT E. LITTELL JOHN A. LYNCH GENERAL ASSEMBLY PETER J. BIONDI JOSEPH CHARLES, JR. PAUL DIGAETANO JOSEPH V. DORIA, JR. NICHOLAS R. FELICE NIA H. GILL LORETTA WEINBERG N e w J e r s e y S t a t e L e g i s l a t u r e OFFICE OF LEGISLATIVE SERVICES OFFICE OF THE STATE AUDITOR 125 SOUTH WARREN STREET PO BOX 067 TRENTON NJ ALBERT PORRONI Executive Director (609) RICHARD L. FAIR State Auditor (609) FAX (609) The Honorable Deborah T. Poritz Chief Justice of the Supreme Court The Honorable James E. McGreevey Governor of New Jersey The Honorable John O. Bennett President of the Senate The Honorable Richard J. Codey President of the Senate The Honorable Albio Sires Speaker of the General Assembly Mr. Albert Porroni Executive Director Office of Legislative Services Enclosed is our report on the audit of the Judiciary, Administrative Office of the Courts Data Center for the period April 30, 2001 to January 15, If you would like a personal briefing, please call me at (609) May 20, 2002

3 Table of Contents Page Scope... 1 Objectives... 1 Methodology... 1 Conclusions... 2

4 Judiciary Administrative Office of the Courts Data Center Scope We have completed an audit of the Judiciary, Administrative Office of the Courts Data Center for the period April 30, 2001 through January 15, Our audit evaluated general controls over the IBM processing environment. The Judiciary s Data Center was designed and built in 1985 and operates on a seven days a week, 24 hours per day schedule. The data center is the central processing complex for the various application systems maintained in support of the operations of the New Jersey Court System. The network control operation within the data center facilitates access to these systems by administrative, court, and law enforcement personnel at all government levels. Objectives The objectives of our audit were to determine the adequacy of general controls over the IBM processing environment. These controls include data security and access, data center facility and operations management, change controls, and processing continuity. We also tested for resolution of significant conditions related to general controls noted in our prior report on the Central Automated Bail System. This audit was conducted pursuant to the State Auditor's responsibilities as set forth in Article VII, Section 1, Paragraph 6 of the State Constitution and Title 52 of the New Jersey Statutes. Methodology Our audit was conducted in accordance with Government Auditing Standards, issued by the Comptroller General of the United States. Additional guidance for the conduct of the audit was provided by Federal Information System Controls Audit Manual issued by the United States General Page 1

5 Accounting Office and Control Objectives for Information and Related Technology issued by the Information System Audit and Control Foundation. In preparation for our testing, we interviewed management and line personnel, and reviewed product documentation and descriptions relative to the general controls of the data center. We reviewed circular letters promulgated by the State Comptroller, and policies of the agency. Provisions that we considered significant were documented and compliance with those requirements was verified by interview, observation, and through our sample of process activities. A nonstatistical sampling approach was used. Our samples of process activities were designed to provide conclusions about the validity of internal control and compliance attributes. Sample populations were analyzed and activities were judgmentally selected for testing. To ascertain the status of general control weaknesses included in our prior report, we identified corrective action, if any, taken by the agency and walked through the system to determine if the corrective action was effective. Conclusions Our review disclosed that general controls in place over the IBM processing environment relating to data security and access, data center facility and operations management, change controls, and processing continuity are adequate. We also found that the agency has resolved the significant general control issues noted in our prior report. Page 2