STATE OF CONNECTICUT
	OFFICE OF THE STATE COMPTROLLER
Kevin Lembo State Comptroller	55 ELM STREET HARTFORD, CONNECTICUT 06106-1775	Martha Carlson Deputy Comptroller

MEMORANDUM 2011-23

November 7, 2011

TO THE HEADS OF ALL STATE AGENCIES

I. PURPOSE

The purpose of this memo is to advise all state agencies of the importance of having appropriate internal controls over and within the Core-CT Financial and Human Resource Management System (HRMS) to ensure that all transactions are properly authenticated and authorized. Guarding against unauthorized and inappropriate access to the Core-CT system is critical because of the integration of the Financial and HRMS Systems. Unrestricted access to the Core-CT system compromises the controls provided by segregation of duties and other safeguards that are part of manually operated systems.

II. CONTROL ACTIVITIES

Security in the Core-CT system is imperative and must be restricted to only those individuals authorized to have access. The initial request for user access to Core-CT is done via the Financial and HRMS Forms CO-1092, Agency Application Security Request Form.

Each agency has the responsibility to assign a Core-CT Security Liaison to be the primary contact with the Statewide Core-CT Applications Security Administer. The Security Liaison is responsible for monitoring all authorized access to the Core-CT Financials/HRMS application to their agency personnel, and acting as point of contact for the Core-CT Applications Security Administrator. Each agency should develop internal security procedures for Financial, HRMS and EPM users.

The liaison's tasks include:

• Requesting new access for system users and changes to existing access.
• Requesting deletion of access immediately upon the notice of an employee's termination, retirement or transfer to another department/agency. When an employee transfers from one agency to another, the employee's ID is reusable but Core-CT access has to be re-defined by the new agency.
• Maintaining confidentiality of User-ID's and passwords.
• Resetting User passwords when necessary and ensuring system profiles are set up and include valid email accounts.
• Submitting all new, change, or delete requests on the CO-1092, Agency Application Security Request Forms.
• Liaison may share these responsibilities and tasks only with other authorized liaisons within the agency. Core-CT Security Administration will not communicate security information to unauthorized agency personnel.
• Contacting Core-CT Application Security Administrator with any questions regarding User-ID's, passwords or access.

It is each agency's responsibility to monitor the following:

• Review each user's access and restrict that access where the access is incompatible with the user's job description and/or does not provide proper segregation of duties. Approve only the employees required to perform the business functions.
• Enforce that User-ID's and passwords are not shared for convenience between personnel.
• Enforce that User System Profiles are set up to leverage the automated password reset process and include valid email accounts.
• Enforce that User-ID's and passwords are not attached to terminals, desktops, or located where accessible to unauthorized personnel.
• Enforce that passwords are changed immediately if the employee suspects that the security of his/her password has been breached.
• Correct user access when an employee has a change in responsibility within the agency.

III. GUIDELINES AND PROCEDURES

The following are the guidelines and procedures for submitting security application requests. The Core-CT Application Security Request Forms (CO-1092) are available at: http://www.core-ct.state.ct.us/security/xls/hrform.xls  and http://www.core-ct.state.ct.us/security/xls/finform.xls

1. The supervisor of the unit initiates and authorizes the request, completes the CO-1092 and forwards it to the agency security liaison.
2. The liaison reviews the form for completeness, verifies the authorized signature, and signs off on the form.
3. The liaison must fax the request to the Core-CT Security Administrator at (860) 622-2611 and retain the original at the agency for auditing purposes.
4. Core-CT will obtain the appropriate Central Authorization before the request is processed. In addition, an on-going review of agency HRMS and financial roles is conducted by the State Comptroller's Fiscal Policy Division, Accounts Payable Division, Budget & Financial Analysis Division, Payroll Services Division and Core-CT staff of both the State Comptroller and Department of Administrative Services for compliance with segregation of duties and standards of access.
5. Core-CT Security Administration will process the request and communicate the completion to the Agency Security Liaison with the User-ID and password, if applicable.
6. Retention period for the CO-1092's is two years from the date that an employee separates from the agency. Original copy is retained by the submitting agency. Destruction can occur after minimum retention period and submission to the State Library for approval of form RC-108: http://www.cslib.org/publicrecords/Forms/RC108rev201107.doc. 

NOTE: Policy for Financial Roles - If an agency submits a security request for a new employee or changes to an existing employee's role for "Approver" in encumbrance or expenditure, they must submit an updated Claims Authorization Form (CO-512) to the Office of the State Comptroller, Accounts Payable Division before the security request can be approved.

IV. PASSWORD SECURITY POLICIES

The following password security policies are in effect:

• All passwords expire in sixty (60) days.
• Users will be warned for fifteen (15) days prior to the password expiration.
• Five (5) logon attempts are allowed before the account is locked out.
• The password can not match the User ID.
• The password must be at least eight (8) characters in length, three (3) of which must be digits. Six (6) passwords are retained in the system.
• Both alphabetic and numerical characters are allowed.
• Passwords should be obscure rather than obvious.
• All users with valid email addresses must set up their user profile in Core-CT to be able to use the password reset feature in Core-CT. Please use the following link for instructions on setting up user profile: http://www.core-ct.state.ct.us/security/pps/pwreset.pps 
• Only authorized agency security liaisons can request password resets from a Core-CT Application Security Administrator, when necessary.
• Effective November, 2011, primary Agency Security Liaisons will have the ability to reset passwords in their agencies.

Distribution of the User-IDs and passwords should be hand delivered or emailed by the agency security liaison. Agency personnel should be informed of the password guidelines and policies, procedures for password and access problems, and who to contact. Any problems associated with User ID's or passwords must be communicated through the Agency Security Liaison. Agency personnel are not to contact the Core-CT Security Administration directly.

V. QUESTIONS

Questions may be directed to the State Comptroller's Office as follows:

Memorandum Interpretation and Policy Procedures
Budget and Financial Analysis Division, (860) 702-3440
Central Review (Segregation of Duties)
Accounts Payable Division, (860) 702-3391 or 702-3393
Security Guidelines and Procedures
Agency's Security Liaison: http://www.core-ct.state.ct.us/security/xls/scrty_liaisons.xls 

KEVIN LEMBO
STATE COMPTROLLER

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