To:

Security Officers and Chief Fiscal Officers

From:

Martin J. Benison, Comptroller
Paul Dietl, Chief Human Resource Officer
Bill Oates, Commonwealth Chief Information Officer

Date:

June 5, 2014

Re:

Department Head Annual Approval - Statewide Enterprise Systems Security

Comptroller Memo
FY2014-25


Executive Summary

Approval of transactions to "Final" status in the state financial systems serve as an affidavit from the Department Head to the Comptroller that transactions comply with State Finance Law and the documents are accurate and complete, the expenditure or other obligation is supported by sufficient legislatively authorized funds, is made in accordance with the Department's legislative mandates and funding authority, and complies with all applicable laws, regulations, policies and procedures. Annually, Department Heads are asked to review and confirm employees (1) they have authorized them to access, process and approve transactions in enterprise systems on their behalf and (2) any other individual who can approve obligations and expenditures (execute contracts, approve payroll, incur obligations, authorize payments, etc.) on behalf of a Department Head even if said individual does not access enterprise systems themselves.

Department Heads have legal spending authority for their appropriations and are responsible for assuring that employees' access to automated systems reflects their job duties and is not broader than necessary. New Department Heads must approve security within 30 days of their appointment. If you have reviewed and approved security for your Department and submitted a certification on or after April 1, 2014 either as a new Department Head or due to staffing changes you have satisfied the requirement set forth in this Fiscal Year Memo.


This Statewide Enterprise Systems Security Policy doc format of po_sec_enterprise_sys_security.doc  requires Department Heads to certify security access to enterprise systems annually in conjunction with Closing and Opening of the fiscal year. The policy also requires Department Security Officers to certify security access at the end of the calendar year, thus a formal review is performed every six months. This review covers all enterprise systems listed below and should include any individual who can approve obligations and expenditures (execute contracts, signoff on payroll, incur obligations, authorize payments, etc.) on behalf of a Department Head even if that individual does not access these enterprise systems.

  • CIW: The Commonwealth Information Warehouse provides access to financial, labor cost management, time and attendance, human resources and payroll data for MMARS, LCM, UMASS and HR/CMS as well as a variety of historical databases - Classic MMARS, PMIS and CAPS. CIW contains confidential data that is protected by both federal and state privacy laws. In no case should an employee have privileges beyond those necessary to complete their job duties.
  • HR/CMS: The Human Resource/Compensation Management System supports time and attendance, human resources and payroll. HR/CMS contains confidential data that is protected by both federal and state privacy laws. In no case should an employee have privileges beyond those necessary to complete their job duties.
  • InTempo: The on-line security system through which your Department Security Officer and Security Administrators request access to these enterprise systems through the Information Technology Division.
  • MMARS/LCM: The Massachusetts Management Accounting and Reporting System, including the Labor Cost Management sub-system, supports the financial functions performed by Commonwealth Departments. MMARS contains confidential data that is protected by both federal and state privacy laws. In no case should an employee have privileges beyond those necessary to complete their job duties.

Department Heads, CFOs, and DSOs, as part of their Internal Controls, should review MMARS user activity using the following tools:

Doc Direct Reports:NMF580W: MMARS Monthly User Activity Report

NMF581W: MMARS Monthly Verification of Segregation of Duties: Encumbrances and Payments

CIW Views:

User Activity Details: M_USER_ACTIVITY_DETAILS
User Activity Report: M_USER_ACTIVITY_REPORT

Departments should use the annual review period to analyze assignments and reduce the use of the DFISC role. Select the individual roles that make up DFISC (below) when entering a UDOC. When modifying a current MMARS user with the DFISC role, mark the DFISC line as delete and add the appropriate individual roles in its place. All UDOCs requesting DFISC will be rejected.

Roles that comprise DFISC:

ACTPL_EDITAccounting Template Edit
DAPAAccounts Payable Administrator
DARA Accounts Receivable Administrator
DBGABudget Administrator
DFAAFixed Asset Administrator
DPROAProcurement Administrator
DTRSA

Trust Administrator

(NOTE: If you do not have trust accounts, you do not need to assign this role)

DVCA Vendor Customer Administrator
SIGENTRYSIG UI Page Entry - Non DFISC Departmental Users

Certification must come directly from the Department Head, either as an e-mail from his/her account or as a hard copy with the Department Head's signature. The preferred method is on the Department Head Annual Approval of Statewide Enterprise Systems Security Form doc format of dept_head_apprvl_frm.doc  and e-mailed to securityrequest@massmail.state.ma.us no later than June 27, 2014. This date will assure that needed changes are completed prior to the June 30 year-end report used by the auditors. The latest enterprise security reports are available via Doc Direct as of May 1, 2014.

The Comptroller's Office is available to answer any questions and assist you with MMARS and HR/CMS issues [Dan Frisoli at (617) 973-2614 or Lenny Montone at (617) 973-2570]. ITD is available to answer any questions and assist you with security for CIW and Intempo. Contact CommonHelp at (866) 888-2808.

Thank you for your prompt attention to this task.

CC:Department Heads
 MMARS Liaisons
 Payroll Directors
 General Counsels
 Internal Distribution