@Daktari Siganga,
I was the ICT Director for our university for 5yrs and managed both the University Network & ERP - but I dont say :-)
We switch between the classroom and ICT operations like that. So I kinda have both the academic and practical view of these things
Anyway, you are right in that the IT expert(Superuser) should NOT be a normal 'Finance' /'HR'/Procurement/ or other regualr user of the ERP. However, the IT guys still assign these roles and privileges to the various functional users. i.e. they must grant rights to the Finance/HR/ and other Directors to execute their work within the ERP.
Different implementations (company policy) maybe that this is delegated to the various functional heads who can then subsequently grant privileges/access rights down through their departments.
But this is NOT ideal since you lose the segregation of duties where you want the Functional heads(e.g. Finance Director) to make the access-rights requests IN WRITING, and have SOMEONE ELSE implement that request.
This is the 'control' auditors are looking for when auditing the information system later on - in terms of checks and balances. Such a control is what leads to the questions like:-
a) Who within the ERP system has privileges that were not formally requested for in writing? Or
b) Who within the ERP system has more privileges than what was formally requested for?
c) Who within the ERP exists but has no supporting access request from the Functional head?
d) etc, etc.
Even if the IT expert abused his/her superuser privileges by granting themselves some user rights within the Financial module, they will be outed by the above audit process.
Denying the IT expert the ability to grant access rights within the ERP and passing the same to the functional heads does not solve the problem of abuse. The functional heads can simply become the new kingpins. Only segregation of duty cures the problem of abuse.
But we can meet over coffee and share the pros and cons of the various implementations :-)
walu.
From: waudo siganga <emailsignet@mailcan.com>
To: Walubengo J <jwalu@yahoo.com>; KICTAnet ICT Policy Discussions <kictanet@lists.kictanet.or.ke>
Sent: Thursday, January 19, 2017 10:36 AM
Subject: Re: [kictanet] ICT Authority, not Treasury, should oversee IFMIS
Hi Walu - I can see from your comments that you have never worked in a finance environment. For secure setup there is no way "IT guys must then translate x, y & z function into the appropriate access levels for that accountant within the system". Simply put a person who is a trained IT expert knows too much about how the system works and therefore cannot be assigned access administration. The overall person for access admin is a "super-user" or "Chief Security Officer"or a title in that direction. This super user assigns access rights to users, such as ability to add,delete, update, edit, view, etc records. To assign these rights in practically all IT systems the super user must himself have those same rights, otherwise he/she cannot assign them to other users. A system where a super-user is an IT expert is a very weak system. The IT expert should never have ability to enter a system and change records. If you analyse the IFMIS problem you will realise that it is not a problem of IT experts infiltrating the system. It is just password misuse by ordinary users. At least I agree with you on one thing - IT expertise role and password administration must never be put in the same office. In most banks and finance environments the super-user function is undertaken by the CEO or a very senior executive who is OUTSIDE the IT function.
THERE IS NO PROBLEM WITH IFMIS. The users, as is normal in any IT system, are the weakest link. It is like having pilots who are busy with corruption to fly a plane then when the plane crashes we say there was a problem with the plane.
W.
On Wed, Jan 18, 2017, at 02:54 PM, Walubengo J wrote:
@Dr Siganga, my comments below:
>>1. Hi Walu - I do not agree with you that access administration (passwords) is a technical function. In most cases passwords just mimic authorization structures that pre-exist in a manual system.
>>>
Response:Yes and NO.
Yes passwords and their access levels are controls that mimic the authorization levels of the manual system. However, their implementation in an ideal environment should be segregated. E.g the finance director should say in writing: 'I need my accountant to do x, y & z function' . The IT guys must then translate x, y & z function into the appropriate access levels for that accountant within the system.
Finance retains the administrative oversight in terms of triggering the password request and profiling the access levels desired. IT retains the technical function of implementing the same. Never put these two roles in one office. Shida mingi inajiletea.
>>2. I also differ with your suggestion that it is the work of technical people to enforce, check or review system controls. That should be the function of an independent auditor.
>>
RESPONSE: Yes and NO.
Yes, independent or external auditors (hopefully Information System Auditors) do review the technical controls. But this is often an annual exercise. So serious organisation do not wait for a year to be told their controls were not effective. They have INTERNAL information system auditors (who are technical) to continuously monitor/enforce that these IT controls are in place, working and/or need to be updated. Other organisation may allocate this role to the Information Security Officer, either way these are ICT technical chaps.
walu.
From: waudo siganga <emailsignet@mailcan.com>
To: Walubengo J <jwalu@yahoo.com>; KICTAnet ICT Policy Discussions <kictanet@lists.kictanet.or.ke>
Sent: Wednesday, January 18, 2017 1:55 PM
Subject: Re: [kictanet] ICT Authority, not Treasury, should oversee IFMIS
Hi Walu - I do not agree with you that access administration (passwords) is a technical function. In most cases passwords just mimic authorization structures that pre-exist in a manual system. It is very important that the access of technical people to a system, especially a financial one, be as inhibited as possible. Those who access the system should only be capable of doing the functions they would perform in a manual system. To enhance security of the system, access administration should be overseen by a most senior person who is NOT trained to do technical work on the system.
I also differ with your suggestion that it is the work of technical people to enforce, check or review system controls. That should be the function of an independent auditor.
Overall I think there is much misunderstanding about IFMIS. The problem is not technical; it is administrative. Specifically access administration (passwords).
W.
On Wed, Jan 18, 2017, at 01:06 PM, Walubengo J via kictanet wrote:
Grace B via kictanet <kictanet@lists.kictanet.or.ke> wrote>>>
Second, the problem with IFMIS, it appears is a lack of commitment to simple values such as integrity and prudent stewardship of public funds. What guarantee wold we have that ICTA would be different from Treasury?
>>
Segregation of duties solves this. Treasury continues being the Process owner, but surrenders the Technical leadership of the system/ERP to ICT Authority. So if it is a case of passwords and their use, expiry amongst other technical issues, we know it is ICT Authority to manage (and take blame).
It is often a confusing and thin line. The line between Administrative and Technical authority.
But you can look at it in terms of the President's Security detail. The President maybe the (Administrative) boss of his security detail, but the President can never tell his security detail HOW to guard him or what weapons to use or how many guards he needs, where to position them etc.
These are TECHNICAL issues that the President cannot and should never pretend to be dictating on since they lie squarely within the NIS/Inspector General domain. The moment NIS start taking technical instructions from the President, is the moment our security system will collapse.
If we get this seperation of authority right, we solve the IFMIS puzzle.
walu.
From: Grace B via kictanet <kictanet@lists.kictanet.or.ke>
To: jwalu@yahoo.com
Cc: Grace B <nmutungu@gmail.com>
Sent: Wednesday, January 18, 2017 7:11 AM
Subject: Re: [kictanet] ICT Authority, not Treasury, should oversee IFMIS
Interesting discussion. There are those who would look at IFMIS as a public finance management issue as opposed to an ICT one but this is not really count when giving management mandate to either Treasury or ICTA as long as the objectives of PFM (Article 201 of Katiba) are met.
One of the issues voiced about IFMIS since devolution/new Constitution has been the problems experienced by county governments and other independent organs eg commissions in accessing funds in a timely manner. (We assume that Executive has not had too many problems assessing funds and may have indeed been facilitating leakage)
One issue with transferring the responsibility of maintaining IFMIS to ICTA, it seems would be that there could be few differences between ICTA and Treasury. First, both are Executive institutions that may support devolved and independent structures in line with the soft policy direction of the government of the day. Second, the problem with IFMIS, it appears is a lack of commitment to simple values such as integrity and prudent stewardship of public funds. What guarantee wold we have that ICTA would be different from Treasury?
Regards
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