CLERK OF THE CIRCUIT COURT OKALOOSA COUNTY BCC FINANCE SECTION: Administration POLICY NO.: AD 003 SUBJECT: User Rights EFFECTIVE DATE: 10-01-2004 Background: Data and information are important assets of the Clerk and must be protected from loss of integrity and confidentiality. Access controls are the rules that an organization applies in order to control access to its information assets of data. Purpose/Intent: Per Florida Statute Chapter 119, the policy is to ensure access to records electronically maintained and while ensuring that exempt or confidential records are not disclosed. This policy defines access control standards for system use and definition and documentation of trust relationships for the Clerk of Circuit Court and Comptroller systems. Internal Controls Used: Definitions: Access Codes – Data system codes specific to each Clerk data system. (See Exhibit A) Clerk Data – Any data related to Clerk functions that are: A. Stored on Clerk information technology systems. B. Maintained by Clerk staff. Confidential Data – Highly sensitive data due to legal, contractual, privacy, or federal or state laws. Examples provided below. 1. Social Security Number 2. Credit card number 3. Bank account number 4. Personal identity information 5. Certain personnel records. 6. Medical records. Data Viewer – Anyone with the capacity to access Clerk data but is not authorized to alter data within the software. Trust Relationships – A specification of the level of access granted to computer systems and/or applications that are trusted to access resources on a server and its associated data and applications. User Rights – Specific access and ability permissions that can be assigned to software users. User Rights Application (application) – A Clerk form which allows Clerk and County management a tool to authorize and document users’ rights. Roles and Responsibilities: Accounting Director – Responsible for developing guidance on documentation, approval of trust relationships, and coordinating security updates as needed. Date April 21, 2016 Page 1 of 2
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CLERK OF THE CIRCUIT COURT - Okaloosa County, Florida · CLERK OF THE CIRCUIT COURT OKALOOSA COUNTY BCC FINANCE SECTION: Administration POLICY NO.: AD 003 SUBJECT: User Rights EFFECTIVE
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CLERK OF THE CIRCUIT COURT OKALOOSA COUNTY
BCC FINANCE
SECTION: Administration POLICY NO.: AD 003
SUBJECT: User Rights EFFECTIVE DATE: 10-01-2004
Background: Data and information are important assets of the Clerk and must be protected from loss of integrity and confidentiality. Access controls are the rules that an organization applies in order to control access to its information assets of data.
Purpose/Intent: Per Florida Statute Chapter 119, the policy is to ensure access to records electronically maintained and while ensuring that exempt or confidential records are not disclosed. This policy defines access control standards for system use and definition and documentation of trust relationships for the Clerk of Circuit Court and Comptroller systems.
Internal Controls Used:
Definitions: Access Codes – Data system codes specific to each Clerk data system. (See Exhibit A)
Clerk Data – Any data related to Clerk functions that are: A. Stored on Clerk information technology systems. B. Maintained by Clerk staff.
Confidential Data – Highly sensitive data due to legal, contractual, privacy, or federal or state laws. Examples provided below.
1. Social Security Number 2. Credit card number 3. Bank account number 4. Personal identity information 5. Certain personnel records. 6. Medical records.
Data Viewer – Anyone with the capacity to access Clerk data but is not authorized to alter data within the software.
Trust Relationships – A specification of the level of access granted to computer systems and/or applications that are trusted to access resources on a server and its associated data and applications.
User Rights – Specific access and ability permissions that can be assigned to software users.
User Rights Application (application) – A Clerk form which allows Clerk and County management a tool to authorize and document users’ rights.
Roles and Responsibilities: Accounting Director – Responsible for developing guidance on documentation, approval of trust relationships, and coordinating security updates as needed.
Date April 21, 2016 Page 1 of 2
Deputy County Administrator – Responsible for authorizing County department users’ access to Clerk software.
Designee – Sole individual who has been delegated the responsibility of authorizing County department users’ access to Clerk software by the Deputy County Administrator in writing.
Systems Engineer (Engineer) – Responsible for making security changes in Clerk software when properly notified by Accounting Director.
Procedure: The policy applies to all Clerk, County departments, administrative units, and affiliated organizations that use Clerk information technology resources to create access, store or manage Clerk data to perform their business functions.
Access control standards for Clerk information systems are to be established in a manner that carefully balances restrictions that prevent unauthorized access to information and services against the need for unhindered access for authorized users.
Trust relationships for centrally-managed Clerk information systems or any system with confidential data must be defined and documented, approved by an appropriate authority, reviewed annually, and revised as needed.
County access to the Clerk data will be granted by the Deputy County Administrator, or sole designee, via the User Rights Application (See Exhibit B). A completed application shall contain the following items.
User’s name and title User’s department Access codes to be given to user Brief description of user’s need for access User’s signature certifying user’s understanding of confidentiality requirements Deputy County Administrator or designee’s signature authorizing user rights to access
codes and certifying understanding of confidentiality requirements.
Any access to Clerk data either by Clerk or County staff will be supported by an application. All applications are audited by the Accounting Director to ensure control standards. All access rights will be reviewed by each fiscal year end by the Deputy County Administrator or designee and the Accounting Director.
All access right changes to the data will be performed by the Clerk Information Systems Engineer upon notification of modification from the Accounting Director via an approved application.
Date April 21, 2016 Page 2 of 2
EXHIBIT A
Date: 4/21/2016
SUNGARD PLUS SERIES ACCESS CODES
Privledge Code Package Subpakckage Access Code Description 1 AR * 650 PEI USER FOR A/R
2 AR * 651 SYSTEM ADMINISTRATOR FOR A/R
3 AR * 652 PACKAGE SUPERVISOR FOR A/R
5 AR * 653 MAY RUN CUSTOMER MAINTENANCE
5 AR * 654 MAY RUN ITEM MAINTENANCE
5 AR * 655 MAY RUN TAX CODE MAINTENANCE
5 AR * 656 MAY RUN PENALTY CODE MAINTENANCE
5 AR * 657 MAY RUN CLIENT TYPE MAINTENANCE
5 AR * 658 MAY RUN INTEREST CODE MAINTENANCE
5 AR * 659 MAY RUN SERVICE CODE MAINTENANCE
5 AR * 660 MAY RUN CATEGORY CODE MAINTENANCE
5 AR * 661 MAY RUN ITEM CODE MAINTENANCE
5 AR * 662 MAY RUN DUNNING MSG MAINTENANCE
5 AR * 663 MAY RUN DISTRIBUTION DEFN MAINT
5 AR * 664 MAY ACCESS CUSTOMER DEFT RECORD
5 AR * 665 MAY ACCESS FORMS DEFT RECORD
5 AR * 666 MAY MAINTAIN RECURRENT INVOICES
5 AR * 667 MAY SELECT REC INVOICE FOR REVIEW
5 AR * 668 MAY GENERATE RECURRENT INVOICES
5 AR * 669 MAY PRINT STATEMENTS
5 AR * 670 MAY PRINT INVOICES
5 AR * 671 MAY ACCESS ONLINE INVOICES
5 AR * 672 MAY ACCESS FAST INVOICES
5 AR * 673 MAY PROCESS BATCH RECEIPTS
5 AR * 674 MAY MAKE BILLING ADJUSTMENTS
5 AR * 675 MAY MAKE PAYMENT ADJUSTMENTS
5 AR * 676 MAY QUERY POSTED RECEIPTS
5 AR * 677 MAY RUN PENALTY/INTEREST
5 AR * 880 MAY RUN CASH RECEIPTS INTERFACE
5 AR * 879 MAY RUN MASS INVOICE PROCESSING
5 AR * 678 MAY RUN ACCOUNT AGING
5 AR * 679 MAY APPLY CREDITS
5 AR * 680 MAY QUERY APPLIED CREDITS
5 AR * 681 MAY QUERY REFUNDS
5 AR * 682 MAY ACCESS ONLINE CASH RECPT
5 AR * 683 MAY PERFORM WRITE-OFFS
5 AR * 684 MAY PROCESS BATCH INVOICES
5 AR * 685 MAY QUERY ADJ JOURNAL
5 AR * 686 MAY QUERY POSTED INVOICES
5 AR * 687 MAY PRINT POSTED INVOICE JOURNAL
5 AR * 688 MAY QUERY CUSTOMER INFORMATION
5 AR * 689 MAY RUN POSTED CASH RECEIPTS REPORT
5 AR * 690 MAY QUERY POSTED ADJUSTMENTS
5 AR * 691 MAY RUN POSTED ADJUSTMENTS REPORT
5 AR * 692 MAY RUN BATCH REFUND ENTRY
5 AR * 693 MAY QUERY POSTED REFUNDS
Page 1
EXHIBIT A
Date: 4/21/2016
SUNGARD PLUS SERIES ACCESS CODES
Privledge Code Package Subpakckage Access Code Description 5 AR * 694 MAY PURGE DATA
5 AR * 695 MAY RUN ACCOUNTING SYSTEM INTERFACE
5 AR * 696 MAY RUN POSTED REFUND REPORT
5 AR * 697 MAY RUN A/R SUMMARY REPORT
5 AR * 698 MAY RUN A/R SUMMARY OF SERVICES RPT
5 AR * 850 MAY QUERY INVOICES
5 AR * 851 MAY QUERY CASH RECEIPTS
5 AR * 852 MAY QUERY ADJUSTMENTS
5 AR * 853 MAY QUERY BILLING JOURNAL
5 AR * 854 MAY QUERY CASH RECPT JOURNAL
5 AR * 855 MAY QUERY REFUND JOURNAL
5 AR * 856 MAY QUERY APPLIED CREDIT JOURNAL
5 AR * 857 MAY QUERY TRANSACTION DETAIL
5 AR * 858 MAY QUERY ACCOUNT AUDIT TRAIL
5 AR * 859 MAY RUN CASH RECPT REPORT
5 AR * 860 MAY RUN CASH RECEIPTS JOURNAL
5 AR * 861 MAY RUN ADJUSTMENTS REPORT
5 AR * 862 MAY RUN ADJUSTMENT JOURNAL REPORT
5 AR * 863 MAY RUN UNAPPLIED CREDIT REPORT
5 AR * 864 MAY RUN APPLIED CREDIT REPORT
5 AR * 865 MAY RUN REFUND APPLIED REPORT
5 AR * 866 MAY RUN REFUND JOURNAL REPORT
5 AR * 867 MAY RUN SALES TAX REPORT
5 AR * 868 MAY RUN BILLING JOURNAL REPORT
5 AR * 869 MAY RUN ACCOUNT AUDIT TRAIL RPT
5 AR * 870 MAY RUN CUSTOMER MASTER REPORT
5 AR * 871 MAY RUN CUSTOMER PHONE LIST
5 AR * 872 MAY RUN CUSTOMER NOTES REPORT
5 AR * 873 MAY RUN CUSTOMER AGING REPORT
5 AR * 874 MAY RUN CUSTOMER TRANSACT HIST RPT
5 AR * 875 MAY RUN CUSTOMER SERVICE RPT
5 AR * 876 MAY RUN INVOICE REPORT
5 AR * 877 MAY RUN INVOICE SHORT LISTING
5 AR * 878 MAY RUN INVOICE HISTORY REPORT
1 BEN * 250 SUNGARD USER FOR BENEFITS
2 BEN * 251 SYSTEM ADMINISTRATOR FOR BENEFITS
3 BEN * 252 SUPERVISOR FOR BENEFITS
3 BEN * 258 MAY BACKUP BENEFITS TO DISK
5 BEN * 253 MAY UPDATE BENEFIT TABLES
5 BEN * 254 MAY UPDATE EMPLOYEE INFORMATION
5 BEN * 255 MAY PRINT/QUERY EMPLOYEE INFORMATION
5 BEN * 256 MAY UPDATE/PROCESS COBRA INFO/BILLS/P
5 BEN * 257 MAY PRINT COBRA REPORTS
5 BNK FAM 86 MAY VIEW/UPDATE VENDOR BANK ACCOUNT
5 BNK FAM 103 MAY VIEW VENDOR BANK ACCOUNT ON REPO
5 BNK FAM 104 MAY SEARCH ON VENDOR BANK ACCOUNT
Page 2
EXHIBIT A
Date: 4/21/2016
SUNGARD PLUS SERIES ACCESS CODES
Privledge Code Package Subpakckage Access Code Description 1 BUD * 139 SUNGARD USER FOR BUDGET ANALYST
2 BUD * 140 SYSTEM ADMINISTRATOR FOR BUDGET ANAL
3 BUD * 141 SUPERVISOR FOR BUDGET ANALYST
3 BUD * 1200 MAY UPDATE PHASE TABLE
3 BUD * 1201 MAY UPDATE ITERATION TABLE
3 BUD * 1204 MAY PURGE OLD ITERATIONS
3 BUD * 1205 MAY SAVE EXPENDITURE ITERATION
3 BUD * 1206 MAY LOAD EXPENDITURE ITERATION
3 BUD * 1216 MAY CLOSE PROJECT PHASE
3 BUD * 1208 MAY CLOSE EXPENDITURE PHASE
3 BUD * 1209 MAY SAVE REVENUE ITERATION
3 BUD * 1210 MAY LOAD REVENUE ITERATION
3 BUD * 1212 MAY CLOSE REVENUE PHASE
3 BUD * 1213 MAY SAVE PROJECT ITERATION
3 BUD * 1214 MAY LOAD PROJECT ITERATION
5 BUD * 1215 MAY EDIT PROJECT ITERATION
5 BUD * 1211 MAY EDIT REVENUE ITERATION
5 BUD * 154 MAY UPDATE BUDGET PROFILE
5 BUD * 167 MAY RUN 5 YEAR PROJECT REPORTS
5 BUD * 168 MAY APPLY RECOMMENDED PROJECTIONS(R
5 BUD * 169 MAY PRINT RECOMMENDED PROJECT. WORK
5 BUD * 170 MAY APPLY FUTURE YEAR PROJECTIONS
5 BUD * 171 MAY PRINT FUTURE YEAR PROJECT. WORKSH
5 BUD * 172 MAY APPLY APPROVED PROJECTIONS
5 BUD * 173 MAY PRINT APPROVED BUDGET WORKSHEET
5 BUD * 174 MAY PRINT FINAL EXPENDITURE BUDGET
5 BUD * 175 MAY RUN EXPENDITURE BUDGET PROCESS
5 BUD * 176 MAY RUN REVENUE BUDGET PROCESS
5 BUD * 177 MAY RUN PROJECT BUDGET PROCESS
5 BUD * 178 MAY PRINT RECOMMENDED PROJECT. WORK
5 BUD * 179 MAY APPLY FUTURE YEAR PROJECTIONS(REV
5 BUD * 180 MAY PRINT FUTURE YEAR PROJECT. WORKSH
5 BUD * 181 MAY APPLY APPROVED PROJECTIONS(REV.)
5 BUD * 182 MAY PRINT APPROVED BUDGET WORKSHEET
5 BUD * 183 MAY PRINT FINAL REVENUE BUDGET
5 BUD * 184 MAY POST BUDGET TO ACCTNG. SYSTEM(RE
5 BUD * 185 MAY DISPLAY REVENUE BUDGETS
5 BUD * 186 MAY APPLY DEPART. PROJECTIONS(REV.)
5 BUD * 187 MAY PRINT DEPART. PROJECT. WORKSH.(REV
5 BUD * 188 MAY DISPLAY PROJECT BUDGETS
5 BUD * 189 MAY APPLY DEPART. PROJECTIONS(PROJ.)
5 BUD * 191 MAY PRINT DEPART. PROJECT. WORKSH.(PRO