Get documents about "ATSC-Deliverables
Document Sample
ATSC
Functional Area Published in Unique ID BB Parent
Release # Requirement No.
Audit Trails and System Controls 7 ATSC-0001 14.01.001
Audit Trails and System Controls 8 ATSC-0002 14.02.085
Audit Trails and System Controls 7 ATSC-0003 14.02.083
Audit Trails and System Controls 7 ATSC- ATSC-0003
0003.01
Audit Trails and System Controls 7 ATSC- ATSC-0003
0003.02
Audit Trails and System Controls 7 ATSC-0004 14.01.005
Audit Trails and System Controls 7 ATSC-0005 14.02.084
Audit Trails and System Controls 7 ATSC-0006 14.01.009
Audit Trails and System Controls 7 ATSC-0007 14.01.014
Audit Trails and System Controls 7 ATSC- ATSC-0007
0007.01
Audit Trails and System Controls 7 ATSC- ATSC-0007
0007.02
Audit Trails and System Controls 7 ATSC- ATSC-0007
0007.03
Audit Trails and System Controls 7 ATSC-0008 14.01.020
Audit Trails and System Controls 7 ATSC- ATSC-0008
0008.01
Audit Trails and System Controls 7 ATSC-0009 14.01.021
Audit Trails and System Controls 7 ATSC-0011 14.01.025
Audit Trails and System Controls 7 ATSC-0012 14.02.071
Audit Trails and System Controls 7 ATSC-0013 14.01.027
Page 1
ATSC
Audit Trails and System Controls 7 ATSC-0014 14.01.028
Audit Trails and System Controls 7 ATSC-0015 14.01.030
Audit Trails and System Controls 7 ATSC-0016 14.01.031
Audit Trails and System Controls 7 ATSC- ATSC-0016
0016.01
Audit Trails and System Controls 7 ATSC- ATSC-0016
0016.02
Audit Trails and System Controls 7 ATSC- ATSC-0016
0016.03
Audit Trails and System Controls 7 ATSC- ATSC-0016
0016.04
Audit Trails and System Controls 7 ATSC-0017 14.01.032
Audit Trails and System Controls 7 ATSC-0019 14.01.034
Audit Trails and System Controls 7 ATSC-0020 14.01.035
Audit Trails and System Controls 7 ATSC-0021 14.01.036
Audit Trails and System Controls 7 ATSC-0022 14.01.037
Audit Trails and System Controls 7 ATSC-0023 14.02.073
Audit Trails and System Controls 7 ATSC-0024 14.01.039
Audit Trails and System Controls 7 ATSC-0025 14.01.040
Page 2
ATSC
Audit Trails and System Controls 7 ATSC-0026 14.01.041
Audit Trails and System Controls 7 ATSC-0027 14.01.042
Audit Trails and System Controls 7 ATSC-0028 14.01.043
Audit Trails and System Controls 7 ATSC-0029 14.02.072
Audit Trails and System Controls 7 ATSC-0030 14.02.074
Audit Trails and System Controls 7 ATSC-0031 14.01.046
Audit Trails and System Controls 7 ATSC-0032 14.01.047
Audit Trails and System Controls 7 ATSC-0033 14.01.048
Audit Trails and System Controls 7 ATSC-0034 14.01.049
Audit Trails and System Controls 7 ATSC-0035 14.01.050
Audit Trails and System Controls 7 ATSC-0036 14.01.051
Audit Trails and System Controls 7 ATSC-0037 14.01.052
Audit Trails and System Controls 7 ATSC-0038 14.01.053
Page 3
ATSC
Audit Trails and System Controls 7 ATSC-0039 14.01.054
Audit Trails and System Controls 7 ATSC-0040 14.01.055
Audit Trails and System Controls 7 ATSC- ATSC-0040
0040.01
Audit Trails and System Controls 7 ATSC- ATSC-0040
0040.02
Audit Trails and System Controls 7 ATSC-0041 14.01.056
Audit Trails and System Controls 7 ATSC-0042 14.01.057
Audit Trails and System Controls 7 ATSC-0043 14.01.058
Audit Trails and System Controls 7 ATSC-0044 14.01.059
Audit Trails and System Controls 7 ATSC-0045 14.01.060
Audit Trails and System Controls 7 ATSC-0046 14.01.061
Audit Trails and System Controls 7 ATSC-0047 14.01.062
Audit Trails and System Controls 7 ATSC-0048 14.01.063
Audit Trails and System Controls 7 ATSC-0049 14.02.001
Audit Trails and System Controls 7 ATSC- ATSC-0049
0049.01
Audit Trails and System Controls 7 ATSC- ATSC-0049
0049.02
Audit Trails and System Controls 7 ATSC- ATSC-0049
0049.03
Audit Trails and System Controls 7 ATSC- ATSC-0049
0049.04
Page 4
ATSC
Audit Trails and System Controls 7 ATSC-0050 14.02.002
Audit Trails and System Controls 7 ATSC- ATSC-0050
0050.01
Audit Trails and System Controls 7 ATSC- ATSC-0050
0050.02
Audit Trails and System Controls 7 ATSC-0051 14.02.003
Audit Trails and System Controls 7 ATSC-0052 14.02.009
Audit Trails and System Controls 7 ATSC-0054 14.02.012
Audit Trails and System Controls 7 ATSC-0055 14.02.013
Audit Trails and System Controls 7 ATSC-0056 14.02.014
Audit Trails and System Controls 7 ATSC-0059 14.02.044
Audit Trails and System Controls 7 ATSC-0060 14.07.001
Audit Trails and System Controls 7 ATSC-0061 14.07.004
Audit Trails and System Controls 7 ATSC-0062 14.07.003
Audit Trails and System Controls 7 ATSC-0063 14.03.058
Audit Trails and System Controls 7 ATSC-0064 14.02.051
Audit Trails and System Controls 7 ATSC-0065 14.02.052
Page 5
ATSC
Audit Trails and System Controls 7 ATSC- ATSC-0065
0065.01
Audit Trails and System Controls 7 ATSC-0069 14.03.066
Audit Trails and System Controls 7 ATSC- ATSC-0069
0069.01
Audit Trails and System Controls 7 ATSC- ATSC-0069
0069.02
Audit Trails and System Controls 7 ATSC-0070 14.03.067
Audit Trails and System Controls 7 ATSC-0071 14.03.068
Audit Trails and System Controls 7 ATSC- ATSC-0071
0071.01
Audit Trails and System Controls 7 ATSC- ATSC-0071
0071.02
Audit Trails and System Controls 7 ATSC-0072 14.02.059
Audit Trails and System Controls 7 ATSC- ATSC-0072
0072.01
Audit Trails and System Controls 7 ATSC- ATSC-0072
0072.02
Audit Trails and System Controls 7 ATSC- ATSC-0072
0072.03
Audit Trails and System Controls 7 ATSC-0073 14.02.060
Audit Trails and System Controls 7 ATSC-0074 14.02.061
Page 6
ATSC
Audit Trails and System Controls 7 ATSC-0075 14.02.062
Audit Trails and System Controls 7 ATSC-0076 14.02.063
Audit Trails and System Controls 7 ATSC-0078 14.07.012
Audit Trails and System Controls 7 ATSC-0080 14.07.008
Audit Trails and System Controls 7 ATSC-0081 14.07.011
Audit Trails and System Controls 7 ATSC-0082 14.03.015
Audit Trails and System Controls 7 ATSC-0083 14.03.016
Audit Trails and System Controls 7 ATSC-0084 14.03.017
Audit Trails and System Controls 7 ATSC-0085 14.03.018
Audit Trails and System Controls 7 ATSC-0086 14.03.019
Audit Trails and System Controls 7 ATSC-0087 14.03.020
Page 7
ATSC
Audit Trails and System Controls 7 ATSC-0089 14.03.022
Audit Trails and System Controls 7 ATSC-0091 14.07.015
Audit Trails and System Controls 7 ATSC-0095 14.07.019
Audit Trails and System Controls 7 ATSC-0096 14.07.020
Audit Trails and System Controls 7 ATSC-0101 14.07.025
Audit Trails and System Controls 7 ATSC-0102 14.01.077
Audit Trails and System Controls 7 ATSC- ATSC-0102
0102.01
Audit Trails and System Controls 7 ATSC- ATSC-0102
0102.02
Audit Trails and System Controls 7 ATSC- ATSC-0102
0102.03
Audit Trails and System Controls 7 ATSC-0104 14.01.068
Audit Trails and System Controls 7 ATSC- ATSC-0104
0104.01
Audit Trails and System Controls 7 ATSC- ATSC-0104
0104.02
Audit Trails and System Controls 7 ATSC-0105 14.01.069
Audit Trails and System Controls 7 ATSC- ATSC-0105
0105.01
Page 8
ATSC
Audit Trails and System Controls 7 ATSC- ATSC-0105
0105.02
Audit Trails and System Controls 7 ATSC- ATSC-0105
0105.03
Audit Trails and System Controls 7 ATSC-0107 14.01.071
Audit Trails and System Controls 7 ATSC- ATSC-0107
0107.01
Audit Trails and System Controls 7 ATSC- ATSC-0107
0107.02
Audit Trails and System Controls 7 ATSC-0108 14.01.073
Audit Trails and System Controls 7 ATSC-0109 14.01.074
Audit Trails and System Controls 7 ATSC-0110 14.01.075
Audit Trails and System Controls 7 ATSC-0111 14.02.066
Audit Trails and System Controls 7 ATSC- ATSC-0111
0111.01
Audit Trails and System Controls 7 ATSC-0112 01.02.006
Audit Trails and System Controls 7 ATSC-0113 09.01.026
Audit Trails and System Controls 7 ATSC-0114 14.03.040
Audit Trails and System Controls 7 ATSC- ATSC-0114
0114.01
Audit Trails and System Controls 7 ATSC- ATSC-0114
0114.02
Audit Trails and System Controls 7 ATSC-0115 14.03.041
Audit Trails and System Controls 7 ATSC-0116 14.03.042
Audit Trails and System Controls 7 ATSC- ATSC-0116
0116.01
Page 9
ATSC
Audit Trails and System Controls 7 ATSC- ATSC-0116
0116.02
Audit Trails and System Controls 7 ATSC-0117 14.03.043
Audit Trails and System Controls 7 ATSC-0119 02.01.169
Audit Trails and System Controls 7 ATSC- ATSC-0119
0119.01
Audit Trails and System Controls 7 ATSC- ATSC-0119
0119.02
Audit Trails and System Controls 7 ATSC- ATSC-0119
0119.03
Audit Trails and System Controls 7 ATSC-0120 14.03.045
Audit Trails and System Controls 7 ATSC- ATSC-0120
0120.01
Audit Trails and System Controls 7 ATSC- ATSC-0120
0120.02
Audit Trails and System Controls 7 ATSC-0121 01.05.016
Audit Trails and System Controls 7 ATSC- ATSC-0121
0121.01
Audit Trails and System Controls 7 ATSC- ATSC-0121
0121.02
Audit Trails and System Controls 7 ATSC- ATSC-0121
0121.03
Audit Trails and System Controls 7 ATSC-0122 14.03.046
Audit Trails and System Controls 7 ATSC- ATSC-0122
0122.01
Audit Trails and System Controls 7 ATSC- ATSC-0122
0122.02
Audit Trails and System Controls 7 ATSC-0123 14.03.027
Audit Trails and System Controls 7 ATSC-0124 08.03.054
Page 10
ATSC
Audit Trails and System Controls 7 ATSC-0125 14.03.054
Audit Trails and System Controls 7 ATSC- ATSC-0125
0125.01
Audit Trails and System Controls 7 ATSC- ATSC-0125
0125.02
Audit Trails and System Controls 7 ATSC- ATSC-0125
0125.03
Audit Trails and System Controls 7 ATSC- ATSC-0125
0125.04
Audit Trails and System Controls 7 ATSC-0126 14.03.055
Audit Trails and System Controls 7 ATSC- ATSC-0126
0126.01
Audit Trails and System Controls 7 ATSC- ATSC-0126
0126.02
Audit Trails and System Controls 7 ATSC- ATSC-0126
0126.03
Audit Trails and System Controls 7 ATSC- ATSC-0126
0126.04
Audit Trails and System Controls 7 ATSC- ATSC-0126
0126.05
Audit Trails and System Controls 7 ATSC-0127 14.03.056
Audit Trails and System Controls 7 ATSC-0128 14.03.057
Audit Trails and System Controls 7 ATSC- ATSC-0128
0128.01
Audit Trails and System Controls 7 ATSC- ATSC-0128
0128.02
Audit Trails and System Controls 7 ATSC-0129 14.03.059
Audit Trails and System Controls 7 ATSC-0130 14.03.060
Audit Trails and System Controls 7 ATSC- ATSC-0130
0130.01
Audit Trails and System Controls 7 ATSC- ATSC-0130
0130.02
Audit Trails and System Controls 7 ATSC- ATSC-0130
0130.03
Audit Trails and System Controls 8 ATSC- ATSC-0130
0130.04
Audit Trails and System Controls 7 ATSC-0131 14.03.061
Audit Trails and System Controls 7 ATSC-0132 14.03.062
Audit Trails and System Controls 7 ATSC-0133 14.03.063
Page 11
ATSC
Audit Trails and System Controls 7 ATSC-0134 14.03.064
Audit Trails and System Controls 7 ATSC-0147 14.04.028
Audit Trails and System Controls 7 ATSC-0148 14.04.029
Audit Trails and System Controls 7 ATSC-0153 08.03.029
Audit Trails and System Controls 7 ATSC-0154 01.03.007
Audit Trails and System Controls 7 ATSC-0155 01.02.011
Audit Trails and System Controls 7 ATSC- ATSC-0155
0155.01
Audit Trails and System Controls 7 ATSC- ATSC-0155
0155.02
Audit Trails and System Controls 7 ATSC-0156 01.05.024
Audit Trails and System Controls 7 ATSC-0157 01.05.026
Audit Trails and System Controls 7 ATSC-0158 01.05.027
Audit Trails and System Controls 7 ATSC-0159 01.05.053
Page 12
ATSC
Audit Trails and System Controls 7 ATSC- ATSC-0159
0159.01
Audit Trails and System Controls 7 ATSC- ATSC-0159
0159.02
Audit Trails and System Controls 7 ATSC- ATSC-0159
0159.03
Audit Trails and System Controls 7 ATSC- ATSC-0159
0159.04
Audit Trails and System Controls 7 ATSC- ATSC-0159
0159.05
Audit Trails and System Controls 7 ATSC- ATSC-0159
0159.06
Audit Trails and System Controls 7 ATSC- ATSC-0159
0159.07
Audit Trails and System Controls 7 ATSC- ATSC-0159
0159.08
Audit Trails and System Controls 7 ATSC-0160 01.05.054
Audit Trails and System Controls 7 ATSC- ATSC-0160
0160.01
Audit Trails and System Controls 7 ATSC- ATSC-0160
0160.02
Audit Trails and System Controls 7 ATSC- ATSC-0160
0160.03
Audit Trails and System Controls 7 ATSC-0164 14.05.004
Audit Trails and System Controls 7 ATSC- ATSC-0164
0164.01
Audit Trails and System Controls 7 ATSC- ATSC-0164
0164.02
Audit Trails and System Controls 7 ATSC- ATSC-0164
0164.03
Audit Trails and System Controls 7 ATSC- ATSC-0164
0164.04
Audit Trails and System Controls 7 ATSC-0167 14.05.007
Audit Trails and System Controls 7 ATSC- ATSC-0167
0167.01
Audit Trails and System Controls 7 ATSC- ATSC-0167
0167.02
Audit Trails and System Controls 7 ATSC- ATSC-0167
0167.03
Audit Trails and System Controls 7 ATSC- ATSC-0167
0167.04
Audit Trails and System Controls 7 ATSC-0171 14.02.070
Audit Trails and System Controls 7 ATSC-0172 14.03.048
Audit Trails and System Controls 7 ATSC-0173 14.03.049
Audit Trails and System Controls 7 ATSC-0174 14.03.050
Audit Trails and System Controls 7 ATSC-0175 14.03.051
Page 13
ATSC
Audit Trails and System Controls 7 ATSC-0176 14.03.052
Audit Trails and System Controls 7 ATSC-0177 14.03.053
Audit Trails and System Controls 7 ATSC-0178 14.02.075
Audit Trails and System Controls 7 ATSC-0179 14.02.076
Audit Trails and System Controls 7 ATSC-0180 14.02.077
Audit Trails and System Controls 7 ATSC-0181 14.02.078
Audit Trails and System Controls 7 ATSC-0182 14.04.011
Audit Trails and System Controls 7 ATSC-0183 14.04.012
Audit Trails and System Controls 7 ATSC-0184 14.04.013
Audit Trails and System Controls 7 ATSC-0185 14.04.014
Audit Trails and System Controls 7 ATSC-0186 14.04.015
Audit Trails and System Controls 7 ATSC-0187 14.04.016
Audit Trails and System Controls 7 ATSC-0190 14.02.079
Audit Trails and System Controls 7 ATSC-0191 14.02.080
Audit Trails and System Controls 7 ATSC-0192 14.02.081
Audit Trails and System Controls 7 ATSC-0193 14.02.082
Page 14
ATSC
Audit Trails and System Controls 7 ATSC-0194 14.02.086
Audit Trails and System Controls 7 ATSC-0195 14.02.087
Audit Trails and System Controls 7 ATSC-0196 14.02.088
Audit Trails and System Controls 7 ATSC-0197 14.06.001
Audit Trails and System Controls 7 ATSC-0198 14.06.002
Audit Trails and System Controls 7 ATSC-0199 14.06.003
Audit Trails and System Controls 7 ATSC-0200 14.06.004
Audit Trails and System Controls 7 ATSC-0201 14.06.005
Audit Trails and System Controls 7 ATSC-0202
Audit Trails and System Controls 9 ATSC-0208
Audit Trails and System Controls 7 ATSC-0226 05.06.011
Audit Trails and System Controls 7 ATSC-0228 05.06.013
Audit Trails and System Controls 7 ATSC-0230 05.06.014
Audit Trails and System Controls 7 ATSC-0232 05.06.017
Audit Trails and System Controls 7 ATSC-0234 05.06.018
Audit Trails and System Controls 7 ATSC-0237 05.06.019
Page 15
ATSC
Audit Trails and System Controls 7 ATSC-0239 05.06.020
Audit Trails and System Controls 7 ATSC-0241 05.06.022
Audit Trails and System Controls 7 ATSC-0243 05.06.023
Audit Trails and System Controls 7 ATSC-0245 05.06.024
Audit Trails and System Controls 7 ATSC-0247 05.06.025
Audit Trails and System Controls 7 ATSC-0249 05.06.026
Audit Trails and System Controls 7 ATSC-0251 05.06.027
Audit Trails and System Controls 7 ATSC-0253 05.10.012
Audit Trails and System Controls 7 ATSC-0255 05.11.005
Audit Trails and System Controls 7 ATSC-0257 05.12.002
Audit Trails and System Controls 7 ATSC-0258 05.12.003
Audit Trails and System Controls 7 ATSC-0260 05.12.005
Audit Trails and System Controls 7 ATSC-0263 05.12.007
Audit Trails and System Controls 7 ATSC-0266 05.12.008
Page 16
ATSC
Audit Trails and System Controls 7 ATSC-0267 05.12.009
Audit Trails and System Controls 7 ATSC-0269 05.12.011
Audit Trails and System Controls 7 ATSC-0271 05.12.012
Audit Trails and System Controls 7 ATSC-0273 05.12.013
Audit Trails and System Controls 7 ATSC-0275 05.12.014
Audit Trails and System Controls 7 ATSC-0277 05.12.015
Audit Trails and System Controls 7 ATSC-0280 05.12.016
Audit Trails and System Controls 7 ATSC-0282 05.12.017
Audit Trails and System Controls 7 ATSC-0284 05.12.018
Audit Trails and System Controls 7 ATSC-0285
Audit Trails and System Controls 7 ATSC-0286 05.12.019
Audit Trails and System Controls 7 ATSC-0288 05.12.021
Audit Trails and System Controls 7 ATSC-0290 05.12.022
Audit Trails and System Controls 7 ATSC-0292 05.12.024
Audit Trails and System Controls 7 ATSC-0293
Audit Trails and System Controls 7 ATSC-0294 05.12.025
Audit Trails and System Controls 7 ATSC-0296 05.12.027
Audit Trails and System Controls 7 ATSC-0297 05.15.001
Page 17
ATSC
Audit Trails and System Controls 7 ATSC-0300 05.17.001
Audit Trails and System Controls 7 ATSC-0301 05.18.001
Audit Trails and System Controls 7 ATSC-0303 05.18.004
Audit Trails and System Controls 7 ATSC-0304 05.18.011
Audit Trails and System Controls 7 ATSC-0305 05.18.012
Audit Trails and System Controls 7 ATSC-0306 05.19.001
Audit Trails and System Controls 7 ATSC-0307 05.19.002
Audit Trails and System Controls 7 ATSC-0308 05.19.003
Audit Trails and System Controls 7 ATSC-0309 05.19.004
Audit Trails and System Controls 7 ATSC-0310 05.19.005
Audit Trails and System Controls 7 ATSC-0311 05.19.006
Audit Trails and System Controls 7 ATSC-0312 05.19.007
Audit Trails and System Controls 7 ATSC-0313 05.19.008
Audit Trails and System Controls 7 ATSC-0314 05.19.009
Audit Trails and System Controls 7 ATSC-0315
Audit Trails and System Controls 7 ATSC-0319 05.21.004
Audit Trails and System Controls 7 ATSC-0323 05.20.002
Audit Trails and System Controls 7 ATSC-0328 05.21.003
Page 18
ATSC
Audit Trails and System Controls 7 ATSC-0330 05.21.005
Audit Trails and System Controls 7 ATSC-0332 05.21.006
Audit Trails and System Controls 7 ATSC-0334 05.21.007
Audit Trails and System Controls 7 ATSC-0336 05.21.008
Audit Trails and System Controls 7 ATSC-0337 05.22.006
Audit Trails and System Controls 7 ATSC-0338
Audit Trails and System Controls 7 ATSC-0379
Audit Trails and System Controls 7 ATSC-0587
Audit Trails and System Controls 7 ATSC-0753
Audit Trails and System Controls 7 ATSC-0872 01.05.043
Audit Trails and System Controls 7 ATSC-0897 05.04.023
Audit Trails and System Controls 7 ATSC-0997 01.05.009
Audit Trails and System Controls 7 ATSC-1000 14.01.076
Audit Trails and System Controls 8 ATSC-1229
Page 19
ATSC
Audit Trails and System Controls 7 ATSC-1419 14.03.039
Audit Trails and System Controls 7 ATSC-1420 14.03.028
Audit Trails and System Controls 8 ATSC-1485
Audit Trails and System Controls 7 ATSC-1519
Audit Trails and System Controls 9 ATSC-1527
Audit Trails and System Controls 7 ATSC-1620 14.01.064
Audit Trails and System Controls 7 ATSC-1621 14.01.065
Audit Trails and System Controls 7 ATSC-1622 14.01.066
Audit Trails and System Controls 7 ATSC-1623 14.07.026
Audit Trails and System Controls 7 ATSC-1624 14.07.027
Audit Trails and System Controls 7 ATSC-1625 14.03.026
Audit Trails and System Controls 7 ATSC-1627 14.03.029
Audit Trails and System Controls 7 ATSC-1628 14.03.030
Page 20
ATSC
Audit Trails and System Controls 7 ATSC-1629 14.03.031
Audit Trails and System Controls 7 ATSC-1630 14.03.032
Audit Trails and System Controls 7 ATSC-1631 14.03.033
Audit Trails and System Controls 7 ATSC-1632 14.03.034
Audit Trails and System Controls 7 ATSC-1633 14.03.035
Audit Trails and System Controls 7 ATSC-1634 14.03.036
Audit Trails and System Controls 7 ATSC-1635 14.03.037
Audit Trails and System Controls 7 ATSC-1636 14.03.038
Audit Trails and System Controls 7 ATSC-1637 14.07.002
Audit Trails and System Controls 7 ATSC-1638 14.07.005
Audit Trails and System Controls 7 ATSC-1639 14.07.028
Page 21
ATSC
Audit Trails and System Controls 7 ATSC-1640 14.07.029
Audit Trails and System Controls 7 ATSC-1641 14.07.030
Audit Trails and System Controls 7 ATSC-1655
Audit Trails and System Controls 7 ATSC-1656
Audit Trails and System Controls 7 ATSC-1657
Audit Trails and System Controls 7 ATSC-1658
Audit Trails and System Controls 7 ATSC-1659
Audit Trails and System Controls 7 ATSC-1660
Audit Trails and System Controls 7 ATSC-1661
Audit Trails and System Controls 7 ATSC-1662
Audit Trails and System Controls 7 ATSC-1663
Audit Trails and System Controls 7 ATSC-1664
Audit Trails and System Controls 7 ATSC-1665
Audit Trails and System Controls 7 ATSC-1666
Audit Trails and System Controls 7 ATSC-1668
Page 22
ATSC
Audit Trails and System Controls 7 ATSC-1669
Audit Trails and System Controls 7 ATSC-1670
Audit Trails and System Controls 7 ATSC-1671
Audit Trails and System Controls 7 ATSC-1673 05.22.001
Audit Trails and System Controls 7 ATSC-1674 05.22.002
Audit Trails and System Controls 7 ATSC-1675 05.22.003
Audit Trails and System Controls 7 ATSC-1676 05.22.004
Audit Trails and System Controls 7 ATSC-1677 05.22.008
Audit Trails and System Controls 7 ATSC-1678 05.22.010
Audit Trails and System Controls 7 ATSC-1679 05.22.011
Audit Trails and System Controls 7 ATSC-1680 05.22.012
Audit Trails and System Controls 7 ATSC-1681 05.22.013
Audit Trails and System Controls 7 ATSC-1682 05.22.014
Audit Trails and System Controls 7 ATSC-1683 05.22.015
Audit Trails and System Controls 7 ATSC-1684 05.22.016
Page 23
ATSC
Audit Trails and System Controls 7 ATSC-1685 14.01.072
Audit Trails and System Controls 7 ATSC-1686 14.02.064
Audit Trails and System Controls 7 ATSC-1687 14.02.065
Audit Trails and System Controls 7 ATSC-1688 14.02.067
Audit Trails and System Controls 7 ATSC-1689 14.02.068
Audit Trails and System Controls 7 ATSC-1690 14.02.069
Audit Trails and System Controls 7 ATSC-1691 14.03.044
Audit Trails and System Controls 7 ATSC-1692 14.03.047
Audit Trails and System Controls 7 ATSC-1695 14.03.065
Audit Trails and System Controls 7 ATSC-1696 14.04.017
Audit Trails and System Controls 7 ATSC-1697 14.04.018
Audit Trails and System Controls 7 ATSC-1698 14.04.019
Audit Trails and System Controls 7 ATSC-1699 14.04.020
Audit Trails and System Controls 7 ATSC-1700 14.04.021
Page 24
ATSC
Audit Trails and System Controls 7 ATSC-1701 14.04.022
Audit Trails and System Controls 7 ATSC-1702 14.04.023
Audit Trails and System Controls 7 ATSC-1703 14.04.024
Audit Trails and System Controls 7 ATSC-1704 14.04.025
Audit Trails and System Controls 7 ATSC-1705 14.04.026
Audit Trails and System Controls 7 ATSC-1706 14.04.027
Audit Trails and System Controls 7 ATSC-1707 14.05.001
Audit Trails and System Controls 7 ATSC-1708 14.05.002
Audit Trails and System Controls 7 ATSC-1709 14.05.003
Audit Trails and System Controls 7 ATSC-1711 14.05.005
Audit Trails and System Controls 7 ATSC-1712 14.05.006
Audit Trails and System Controls 7 ATSC-1719 05.06.009
Audit Trails and System Controls 7 ATSC- ATSC-1719
1719.01
Audit Trails and System Controls 7 ATSC-1720 05.17.002
Audit Trails and System Controls 7 ATSC- ATSC-1720
1720.01
Audit Trails and System Controls 7 ATSC-1721 05.17.003
Audit Trails and System Controls 7 ATSC- ATSC-1721
1721.01
Audit Trails and System Controls 7 ATSC-1722 05.20.001
Page 25
ATSC
Audit Trails and System Controls 7 ATSC- ATSC-1722
1722.01
Audit Trails and System Controls 7 ATSC- ATSC-1722
1722.02
Audit Trails and System Controls 7 ATSC- ATSC-1722
1722.03
Audit Trails and System Controls 7 ATSC-1723 05.21.002
Audit Trails and System Controls 7 ATSC- ATSC-1723
1723.01
Audit Trails and System Controls 7 ATSC-1724 05.22.005
Audit Trails and System Controls 7 ATSC- ATSC-1724
1724.01
Audit Trails and System Controls 7 ATSC-1725 05.22.007
Audit Trails and System Controls 7 ATSC- ATSC-1725
1725.01
Audit Trails and System Controls 7 ATSC-1726 05.22.009
Audit Trails and System Controls 7 ATSC- ATSC-1726
1726.01
Audit Trails and System Controls 7 ATSC-1727 05.22.017
Audit Trails and System Controls 7 ATSC- ATSC-1727
1727.01
Page 26
ATSC
Functional Requirement DFAS Process Name Accounting
Transaction
To support the Audit Trails process, the Core financial system must provide automated Audit Trails
functionality to generate an audit trail of transactions recorded as a document moves from
its source through all document statuses. The initial source may be documents that were
entered online, system-generated, interfaced from other systems or modules, or
converted during implementations or software upgrades.
To meet operations requirements, the core financial system must deliver the capability to Operations (TLI)
restore archived data based on agency-defined criteria such as date, accounting period,
or vendor/customer.
To meet operations requirements, the core financial system must deliver a document Operations (TLI)
archiving capability. Include the ability to define, establish, and maintain archival criteria,
such as date, accounting period, closed items, and vendors/customers inactive for a
specific time period. Archiving of closed or completed detail transactions must not affect
related general ledger account balances.
The system shall deliver a document archiving capability. Include the ability to define, Operations (TLI)
establish, and maintain archival criteria, such as date, accounting period, closed items,
and vendors/customers inactive for a specific time period.
The system shall assure archiving of closed or completed detail transactions must not Operations (TLI)
affect related general ledger account balances.
To support the Document Referencing and Modification process, the core financial Document Referencing and
system must provide automated functionality to re-open a closed document to allow Modification (SMC)
further processing against it, without requiring a new or amended document number.
To meet operations requirements, the core financial system must support data archiving Operations (TLI)
and record retention in accordance with rules published by the National Archives and
Records Administration (NARA), GAO, and National Institute of Standards and
Technology (NIST).
To support the Audit Trails process, the Core financial system must provide automated Audit Trails (SME)
functionality to capture all document change events (additions, modifications and
cancellations), including the date/time and User ID.
To support the Document and Transaction Control process, the Core financial system Document and Transaction Control
must provide automated functionality to suspend documents that fail transaction (SMB)
processing edits, funds control edits, or tolerance checks.
The system shall suspend documents that fail transaction processing edits. Document and Transaction Control
(SMB)
The system shall suspend documents that fail funds control edits. Document and Transaction Control
(SMB)
The system shall suspend documents that fail tolerance checks. Document and Transaction Control
(SMB)
An automated Defense Finance and Accounting Service (DFAS) system shall maintain or Internal Controls
create controls to ensure that all transactions are processed correctly. These controls
should include tools to identify and track numbers, types, and dollar amounts of the
transactions received and generated by DFAS.
The system shall process the numbers, types, and dollar amounts of transactions timely Internal Controls
and accurately.
An automated Defense Finance and Accounting Service (DFAS) system shall maintain or Internal Controls
create controls to ensure that specific edits are applied by type of transaction in each
finance or accounting system. Those transactions that fail to pass edits shall be assigned
for research and correction by DFAS and/or the DoD Component.
To support the General Ledger Analysis and Reconciliation process, the Core financial Classification Framework
system must generate the Daily General Ledger (GL) and Subsidiary Ledger Exception
Report. Result is a list of GL control accounts by internal fund code whose balances differ
from the subsidiary ledgers. Report lines include the GL control account balance, the
balance of the open documents in the subsidiary ledger, and the difference.
To meet Interoperability requirements, the Core financial system must deliver a capability Interoperability (TLD)
to import and process standard transactions generated by other systems.
An automated Defense Finance and Accounting Service (DFAS) system shall maintain or Internal Controls
create controls to ensure that all transactions generated are edited to assure accuracy,
e.g., that the transaction is identified correctly in terms of the type of transaction, reported
quantity(ies), and dollar amount(s).
Page 27
ATSC
An automated Defense Finance and Accounting Service (DFAS) system shall ensure that Internal Controls
all transactions that occur during a reporting period are uniquely identified with the
reporting period and processed in order to meet the reporting schedule due dates.
To support the Document and Transaction Control process, the Core financial system Document and Transaction Control
must validate that duplicate documents are not recorded, e.g., by editing document (SMB)
numbers or storing additional information that make the document number unique (as in
date stamp on a utility bill).
To support the Document and Transaction Control process, the Core financial system Document and Transaction Control
must notify the user when online documents fail funds control edits, transaction (SMB)
processing edits, or tolerance checks. Provide the notification on the document entry
screen, and include the nature of each error and the validation level (rejection, warning or
information only). Retain errors with the document until they have been resolved.
The system shall notify the user when online documents fail funds control edits providing Document and Transaction Control
notification on the document entry screen to include the nature of each error and the (SMB)
validation level (rejection, warning or information only).
The system shall notify the user when online documents fail transaction processing edits Document and Transaction Control
providing notification on the document entry screen to include the nature of each error and (SMB)
the validation level (rejection, warning or information only).
The system shall notify the user when online documents tolerance checks providing Document and Transaction Control
notification on the document entry screen to include the nature of each error and the (SMB)
validation level (rejection, warning or information only).
The system shall retain errors with the document until they have been resolved when Document and Transaction Control
online documents fail funds control edits, transaction processing edits, or tolerance (SMB)
checks. .
To support the Document and Transaction Control process, the Core financial system Document and Transaction Control
must validate transaction accounting classification elements. Prevent the recording of (SMB)
transactions with missing, invalid or inactive classification elements or values.
To support the General Ledger Analysis and Reconciliation process, the Core financial Classification Framework
system must generate the GL Supporting Documents Report as of the current system
date. Parameters include a GL control account and Treasury Account Symbol (TAS) or
internal fund code. Result is the GL account balance, and a list of the open documents
and balances supporting the GL account balance.
To support the Financial Reporting process, the Core financial system must provide Classification Framework
automated functionality to validate Federal Agencies’ Centralized Trial-Balance System
(FACTS) I and FACTS II data prior to submission of the FACTS I and FACTS II Adjusted
Trial Balances (ATBs) and the Government wide Financial Report System (GFRS) report
to Treasury's Financial Management Service (FMS) and provide the option to run
validation edits on demand.
To support the Document and Transaction Control process, the Core financial system Document and Transaction Control
must validate transaction-associated FACTS attributes. Prevent the recording of (SMB)
transactions with missing, invalid or inactive FACTS attributes.
To support the Audit Trails process, the Core financial system must provide automated Audit Trails (SME)
functionality to capture the following additional information on converted documents:
• Legacy system identifier
• Legacy system document number.
To meet Interoperability requirements, the Core financial system must deliver the Interoperability (TLD)
capability to suspend erroneous Application program interface (API) transactions.
Suspense processing must include the ability to perform the following functions:
• Report suspended transactions
• Retrieve, view, correct and process, or cancel suspended transactions
• Automatically re-process transactions
• Report re-processed transactions.
To support the Document and Transaction Control process, the Core financial system Document and Transaction Control
must provide automated functionality to define over tolerances for all obligations or by (SMB)
obligation type.
To support the Document and Transaction Control process, the Core financial system Document and Transaction Control
must provide automated functionality to define the valid values for the following (SMB)
acquisition information:
• North American Industry Classification System (NAICS) business codes
• Standard Industrial Classification (SIC) codes
• Product and service codes
• Free On Board (FOB) shipping points
• Ship to locations (destination codes).
Page 28
ATSC
To support the Document and Transaction Control process, the Core financial system Document and Transaction Control
must provide automated functionality to capture the following document line item (SMB)
information on spending documents:
• Quantity
• Unit of measure
• Unit Price
• Extended Price
• Description
• Product service codes
• FOB shipping points
• Ship to locations (destination codes).
To add value to the Document and Transaction Control process, the Core financial Document and Transaction Control
system should provide automated functionality to define tolerances by percentage, dollar (SMB)
amount or quantity for final payments that are less than the referenced obligation
document line amounts, and use them to control erroneous de-obligations of the funds.
To support the Audit Trails process, the Core financial system must provide automated Audit Trails (SME)
functionality to query document additions, modifications and cancellations. Parameters
include: • User ID • Document number • Document type • Change type (add, modify,
cancel) • Transaction date range • Accounting period. Results include all parameter
values, document numbers, date and time stamps.
To meet Interoperability requirements, the Core financial system must deliver data record Interoperability (TLD)
layouts for all standard transactions that can be accepted by the application's API facility.
Transactions must include sufficient data to enable complete validation and processing by
the receiving system.
To meet Interoperability requirements, the Core financial system must generate API Interoperability (TLD)
transaction edit error records using a data layout defined by the vendor (i.e., provide two-
way interface support).
To support the Document and Transaction Control process, the Core financial system Document and Transaction Control
must provide automated functionality to capture a unique system-generated or agency- (SMB)
assigned document number for each document and document modification.
To support the Document and Transaction Control process, the Core financial system Document and Transaction Control
must provide automated functionality to capture a unique system-generated number to (SMB)
identify each general ledger transaction. Associate one or more general ledger
transactions with a document and document modifications.
To support the Document and Transaction Control process, the Core financial system Document and Transaction Control
must provide automated functionality to associate referenced documents in the (SMB)
processing chain, such as when an obligation document references one or more prior
commitment documents.
To support the Document and Transaction Control process, the Core financial system Document and Transaction Control
must provide automated functionality to capture a reimbursable agreement number and (SMB)
one other agency-assigned source document number in separate fields on all spending
documents. The agency-assigned source document number may be a purchase
requisition number, contract number and associated delivery /task order number,
purchase order number, blanket purchase agreement number and associated call
number, grant number, travel order number, etc.
To support the Document and Transaction Control process, the Core financial system Document and Transaction Control
must provide automated functionality to define document numbering as system-generated (SMB)
or agency-assigned by document type.
To support the Document and Transaction Control process, the Core financial system Document and Transaction Control
must provide automated functionality to capture the source system and the source system (SMB)
document number of each interfaced document.
To support the Document and Transaction Control process, the Core financial system Document and Transaction Control
must provide automated functionality to capture goods delivery and service performance (SMB)
period start and end dates on documents where the period of performance is a validation
for future processing, e.g.,
• Contracts
• Blanket purchase agreements
• Reimbursable agreements
• Travel orders
• Grants.
To support the Document and Transaction Control process, the Core financial system Document and Transaction Control
must provide automated functionality to capture the following data elements when (SMB)
establishing reimbursable agreements:
• Reimbursable agreement number
• Reimbursable agreement amount
• Billing limit
• Billing terms
• Accounting classification information
• Source (federal, other non-federal entities, or public).
Page 29
ATSC
To support the Document and Transaction Control process, the Core financial system Document and Transaction Control
must provide automated functionality to prevent the recording of erroneous transactions (SMB)
by rejecting documents that fail transaction processing edits.
To support the Document and Transaction Control process, the Core financial system Document and Transaction Control
must provide automated functionality to allow users to hold documents for completion or (SMB)
processing at a later date. Segregate held from suspended documents
The core financial system shall provide automated functionality to allow users to hold Document and Transaction Control
documents for completion or processing at a later date. (SMB)
The core financial system shall provide automated functionality to segregate held from Document and Transaction Control
suspended documents. (SMB)
To support the Document and Transaction Control process, the Core financial system Document and Transaction Control
must provide automated functionality to process suspended documents when external (SMB)
referenced data that caused the system to suspend processing of a document is
corrected, such as when funds become available or the Central Contractor Registration
(CCR) vendor status changes from expired to active.
To support the Document and Transaction Control process, the Core financial system Document and Transaction Control
must provide automated functionality to allow users to cancel (permanently close) posted (SMB)
documents.
To support the Document and Transaction Control process, the Core financial system Document and Transaction Control
must provide automated functionality to allow users to delete held or suspended (SMB)
documents.
To support the Document and Transaction Control process, the Core financial system Document and Transaction Control
must provide automated functionality to validate that valid values for the following (SMB)
acquisition information are captured on spending documents:
• NAICS business codes
• SIC codes
• Product service codes
• FOB shipping points
• Ship to locations (destination codes).
To support the Document and Transaction Control process, the Core financial system Document and Transaction Control
must provide automated functionality to validate that the sum of all document line items is (SMB)
equal to the document total.
To support the Document and Transaction Control process, the Core financial system Document and Transaction Control
must provide automated functionality to derive the default accounting period from the (SMB)
transaction date. Prevent user override.
To support the Document and Transaction Control process, the Core financial system Document and Transaction Control
must provide automated functionality to record subsequent activity against a document (SMB)
with the transaction date of that activity (e.g., the payment voucher), not the transaction
date of the original document (e.g., the referenced obligation).
To add value to the Document and Transaction Control process, the Core financial Document and Transaction Control
system should provide automated functionality to define under tolerances for all (SMB)
obligations or by obligation type.
To meet Operations requirements, the Core financial system must deliver an event Operations (TLI)
logging capability for systems, transactions, tables, and system parameters. The logs
must include the following:
• User ID
• System date
• Time
• Type of activity (i.e., add, modify, delete)
• Old value
• New value. (For example, provide a log of all attempts to log onto the system or track
changes to the prompt pay interest rate value.)
To meet Interoperability requirements, the core financial system must deliver an event Operations (TLI)
logging capability for systems. The logs must include the following: User ID; System date;
Time; Type of activity (i.e., add, modify, delete); Old value; New value. (For example,
provide a log of all attempts to log onto the system or track changes to the prompt pay
interest rate value.)
The system must deliver an event logging capability for transactions. The logs must Operations (TLI)
include the following: User ID; System date; Time; Type of activity (i.e., add, modify,
delete); Old value; New value. (For example, provide a log of all attempts to log onto the
system or track changes to the prompt pay interest rate value.)
The system must deliver an event logging capability for tables. The logs must include the Operations (TLI)
following: User ID; System date; Time; Type of activity (i.e., add, modify, delete); Old
value; New value. (For example, provide a log of all attempts to log onto the system or
track changes to the prompt pay interest rate value.)
The system must deliver an event logging capability for system parameters. The logs Operations (TLI)
must include the following: User ID; System date; Time; Type of activity (i.e., add, modify,
delete); Old value; New value. (For example, provide a log of all attempts to log onto the
system or track changes to the prompt pay interest rate value.)
Page 30
ATSC
To meet Interoperability requirements, the Core financial system must deliver API Interoperability (TLD)
processing controls to ensure real time transactions or batch transactions files are
received from authorized sources, complete and not duplicates. In addition, the API must
ensure that where batch files are used:
• The number of transactions in a received file matches a control record count
• The dollar total of transactions in a file matches a control amount
• The sender is notified of erroneous transactions
• The erroneous transactions are automatically returned to the sender.
To meet Operations requirements, the core financial system must deliver API processing Interoperability (TLD)
controls to ensure real time transactions or batch transactions files are received from
authorized sources, complete and not duplicates.
To meeting Operations requirements, the core financial system must ensure where batch Interoperability (TLD)
files are used: The number of transactions in a received file matches a control record
count; The dollar total of transactions in a file matches a control amount; The sender is
notified of erroneous transactions; The erroneous transactions are automatically returned
to the sender.
To meet Operations requirements, the Core financial system must deliver a process Operations (TLI)
scheduling capability. Allow the agency to define, initiate, monitor and stop system
processes (e.g., online availability, batch jobs, and system maintenance).
To meet Interoperability requirements, the Core financial system must process API Interoperability (TLD)
transactions using the same business rules, program logic, and edits used by the system
in processing transactions submitted through the application client.
To meet the system's documentation requirements, the Core financial system must keep Documentation (TLK)
all documentation (software, system, operations, user manuals, operating procedures,
etc.) up-to-date and readily available for examination.
To meet the system's documentation requirements, the Core financial system must keep Documentation (TLK)
user documentation in sufficient detail to permit a person, knowledgeable of the agency's
programs and of systems generally, to obtain a comprehensive understanding of the
entire operation of each system.
To meet the system's documentation requirements, the Core financial system must keep Documentation (TLK)
technical system documentation such as requirements documents, systems specifications
and operating instructions shall be adequate to enable technical personnel to operate the
system in an effective and efficient manner.
To facilitate the system's training requirements, the Core financial system must provide Documentation (TLK)
adequate training and appropriate user support to the users of the core financial systems,
based on the level, responsibility and roles of individual users. Training shall enable the
users of the systems at all levels to understand, operate and maintain the system.
To meet security requirements, the Core system must deliver integrated security Security (TLH)
functionality compliant with the National Institute of Standards and Technology (NIST)
Security Standards. Note: The DoD the security controls published in DoDI 8500.2,
“Information Assurance (IA) Implementation,” for all DoD information systems based on
information sensitivity/classification and the impact or effect on mission success, which is
consistent with NIST security standards as confirmed by letter dated June 6, 2007 from
NIST to DoD CIO. Accordingly, a DoD information system may be considered to satisfy
14.07.01 if the system complies with 14.07.26.
To meet security requirements, the Core system must ensure that the appropriate security Security (TLH)
controls are consistently enforced in all modules, including software used for ad-hoc data
query/report generators.
To meet security requirements, the Core system must deliver the capability to control Security (TLH)
function access (e.g., system modules, transactions, approval authorities) and data
access (i.e., create, read, update, delete) by assigned:
• User ID
• Functional role (e.g., payable technician) or
• Organization.
Enable the agency to define access rules based on any combination of these attributes.
To meet Workflow/Messaging requirements, the Core financial system must deliver a Workflow/Messaging (TLE)
workflow calendaring capability to generate date-based process exception reports and
alerts. For example, notify an accounts payable office when invoices are held over 30
days with no matching receiving report.
To add value to the Operations functionality, the Core financial system should deliver the Operations (TLI)
capability to process queued jobs (i.e. reports, transaction files from interfacing systems,
bulk record updates) with no online performance degradation.
To meet the system's documentation requirements, the agency's financial management Documentation (TLK)
systems and processing instructions shall be clearly documented in hard copy or
electronically in accordance with (a) the requirements contained in the core financial
system requirements document issued by FSIO or
(b) other applicable requirements.
Page 31
ATSC
To meet the system's documentation requirements, the agency's financial management Documentation (TLK)
systems and processing instructions shall be clearly documented in hard copy or
electronically in accordance with (a) the core financial system requirements document
issued by FSIO or (b) other applicable requirements.
To meet Document Management requirements, the Core financial system must deliver Document Management (TLF)
the capability to index and store file reference materials received or generated by the
agency in electronic format.
The system shall deliver the capability to index and store file reference materials received Document Management (TLF)
by the agency in electronic format.
The system shall deliver the capability to index and store file reference materials Document Management (TLF)
generated by the agency in electronic format.
To add value to the Document Management functionality, the Core financial system Document Management (TLF)
should deliver the capability to electronically image, index and store file reference
materials delivered in a hard copy format (e.g., a signed contract, bill of lading, vendor
invoices).
To add value to the Document Management functionality, the Core financial system Document Management (TLF)
should deliver the capability to notify the user of the presence of associated document
images. Deliver on-screen display of imaged material.
The system shall deliver the capability to notify the user of the presence of associated Document Management (TLF)
document images.
The system shall deliver on-screen display of imaged material. Document Management (TLF)
To meet Documentation requirements, the Core financial system must deliver Documentation (TLK)
documentation that identifies all software and hardware products needed by an agency to
install, operate, access, and maintain the application. Delivered hardware and software
documentation must specifically identify those products that are intended to be purchased
or licensed as part of the product licensing agreement, and those products needed to
meet any technical and functional requirement that must be acquired separately by the
agency.
The core financial system must deliver documentation that identifies all software and Documentation (TLK)
hardware products needed by an agency to install, operate, access, and maintain the
application.
The core financial system must deliver documentation that identifies those products that Documentation (TLK)
are intended to be purchased or licensed as part of the product licensing agreement.
The core financial system must deliver documentation that identifies those products Documentation (TLK)
needed to meet any technical and functional requirement that must be acquired
separately by the agency.
To meet Documentation requirements, the Core financial system must deliver application Documentation (TLK)
design documentation. This documentation must include the following:
• Description of the application's design/architecture and integrated technologies
• Database specifications
• Data dictionary
• Entity relationship diagrams
• Internal file record layouts
• Cross references between internal files, database tables and data-entry screens
• Program module specifications including firmware and program source code
• System flowcharts. Application documentation must identify known problems (software
bugs) and recommended work around.
To meet Documentation requirements, the Core financial system must deliver product Documentation (TLK)
installation and maintenance documentation. Installation documentation must describe
the following items:
• Product release content
• Third party software configuration requirements
• Database installation steps
• The directory structure for locating application data, programs, files, tables including
drive mappings
• Hardware driver installation and configuration
• Application security set-up and maintenance
• Software configuration instructions
• Operating parameter definitions and any other required set-up data
• Software build instructions
• Vendor supplied configuration tools
• Interface processes to be installed
• Startup scripts needed to initiate the software
• Test steps needed to verify correct installation.
Page 32
ATSC
To meet Documentation requirements, the Core financial system must deliver system Documentation (TLK)
operations and user manuals. Documentation must explain the following system
operations:
• System start-up
• Shutdown
• Monitoring
• Recovery/re-start
• Internal processing controls
• Archiving and application security.
User documentation must explain in detail how to execute available functionality in each
application component and must cover instructions for the following:
• Access procedures
• User screen layout
• Standard report layout and content
• Transaction entry
• Workflow
• Batch job initiation
• GL and transaction maintenance
• Year-end processing
• Error codes with descriptions
• Recovery steps
• TroubleDocumentation requirements, the Core financial system must deliver
To meet shooting procedures. Documentation (TLK)
documentation updates concurrent with the distribution of new software releases. Release
notes must clearly identify all changes made to the system's functionality, operation or
required computing hardware and software.
To meet system security requirements, all agencies shall implement and maintain a Security (TLH)
program to assure that adequate security is provided for all agency information collected,
processed, transmitted, stored or disseminated in general support systems and major
applications. Note: The DoD implements this OMB requirement through the DoD IA
Program. Accordingly, a DoD information system may be considered to satisfy 14.07.12 if
the system complies with 14.07.26 and 14.07.27.
To meet security requirements, an automated system shall incorporate technical, Security (TLH)
operational, and management controls into the application and application rules (as
appropriate) to prevent harm from authorized individuals engaged in improper activities,
whether intentional or accidental. Examples of such controls are:
• separation of duties,
• least privilege and
• individual accountability.
Note: A DoD information system may be considered to satisfy 14.07.08 if the system
complies with 14.07.26.
To meet security requirements, an automated system shall provide adequate security to Security (TLH)
protect government information, commensurate with the risk and magnitude of harm,
which could result from the loss, misuse, unauthorized access to, or modification of such
information. Note: A DoD information system may be considered to satisfy 14.07.11 if
the system complies with 14.07.26 and 14.07.27.
An automated accounting system shall record, preserve, and make accessible sufficient Control Framework
information to: (1) ensure the adequate management and accountability of an agency
program, and (2) protect the legal and financial rights of the Federal Government.
An automated accounting system shall incorporate records management and archival Control Framework
functions into the design, development, and implementation of the information systems.
An automated accounting system shall collect or create only the information necessary for Control Framework
the proper performance of agency functions and which has practical utility.
An automated accounting system must follow the guidelines for Electronic Information Control Framework
Collection.
Executive agencies under Sections 1703 and 1705 of the Government Paperwork
Elimination Act (GPEA), P. L. 105-277, Title XVII are required to provide the:
(1) option of the electronic maintenance, submission, or disclosure of information, when
practicable as a substitute for paper; and
(2) use and acceptance of electronic signatures, when practicable.
Agencies will follow the provisions in OMB Memorandum M-00-10, "Procedures and
Guidance on Implementing of the Government Paperwork Elimination Act."
An automated accounting system must ensure that records management programs Control Framework
provide adequate and proper documentation of agency activities.
An automated accounting system shall limit the sharing of information that identifies Control Framework
individuals or contains proprietary information to that which is legally authorized, and
impose appropriate conditions on use where a continuing obligation to ensure the
confidentiality of the information exists.
Page 33
ATSC
An automated accounting system shall limit the collection of information, which identifies Control Framework
individuals to that which is legally authorized and necessary for the proper performance of
agency functions.
To meet system security requirements, application security plans shall ensure that Control Framework
information shared from the application is protected appropriately, comparable to the
protection provided when information is within the application.
To meet system security requirements, the use of Public Key Infrastructure (PKI) Control Framework
certificates and biometrics for positive authentication shall be in accordance with
published DoD policy and procedures. These technologies shall be incorporated in all
new acquisitions and upgrades whenever possible.
To meet system security requirements, foreign exchange personnel and representatives Security (TLH)
of foreign nations, coalitions or international organizations may be authorized access to
DoD information systems containing classified or sensitive information only if all of the
following conditions are met:
• Access is authorized only by the DoD Component Head in accordance with the
Department of Defense, the Department of State (DoS), and Director of Central
Intelligence (DCI) disclosure and interconnection policies, as applicable.
• Mechanisms are in place to strictly limit access to information that has been cleared for
release to the represented foreign nation, coalition or international organization, (e.g.,
North Atlantic Treaty Organization) in accordance with DoD Directive 5230.11, for
classified information, and other policy guidance for unclassified information such as
reference DoD Directive 5230.20E and DoD Instruction 5230.27.
To meet system security requirements, all Information Assurance (IA) or IA-enabled IT Security (TLH)
hardware, firmware, and software components or products incorporated into DoD
information systems must comply with the evaluation and validation requirements of
National Security Telecommunications and Information Systems Security Policy
(NSTISSP) Number 11. Such products must be satisfactorily
evaluated and validated either prior to purchase or as a condition of purchase (i.e.,
vendors will warrant, in their responses to a solicitation and as a condition of the contract,
that the vendor’s products will be satisfactorily validated within a period of time specified
in the solicitation and the
contract). Purchase contracts shall specify that product validation will be maintained for
updated versions or modifications by subsequent evaluation or through participation in the
National IA Partnership (NIAP) Assurance Maintenance Program. IA shall be considered
as a requirement for all systems which are used to enter, process, store, display, or
transmit national security information. IA shall be achieved through the acquisition and
appropriate implementation of evaluated or validated Government-Off-the Shelf (GOTS)
or Commercial Off-the-Shelf (COTS) IA and IA-enabled IT products. These products
should provide for the availability of the systems, ensure the integrity and confidentiality of
information,the Audit Trails process, the Core financial system must provide automated
To support and ensure the authentication and non-repudiation of parties in Audit Trails (SME)
functionality to generate an audit trail of all accounting classification structure additions,
changes and deactivations, including the effective dates of the changes.
The system shall provide automated functionality to generate an audit trail of all Audit Trails (SME)
accounting classification structure additions, including the effective dates of the changes.
The system shall provide automated functionality to generate an audit trail of all Audit Trails (SME)
accounting classification structure changes, including the effective dates of the changes.
The system shall provide automated functionality to generate an audit trail of all Audit Trails (SME)
accounting classification structure deactivations, including the effective dates of the
changes.
To support the Document and Transaction Control process, the Core financial system Document and Transaction Control
must provide automated functionality to allow users to select suspended and held (SMB)
documents for continued processing.
The system shall provide automated functionality to allow users to select suspended Document and Transaction Control
documents for continued processing. (SMB)
The system shall provide automated functionality to allow users to select held documents Document and Transaction Control
for continued processing. (SMB)
To support the Document and Transaction Control process, the Core financial system Document and Transaction Control
must provide automated functionality to define tolerances by percentage, “not-to-exceed” (SMB)
dollar amounts, or “not-to-exceed” quantities at the document line level, and use them to
control overages by document line for the following relationships: • Obligations to
commitments • Receipts to obligations • Invoices to obligations
The system shall provide automated functionality to define tolerances by percentage at Document and Transaction Control
the document line level to control overages by document line for the following (SMB)
relationships: Obligations to Commitments; Receipts to Obligations; Invoices to
Obligations.
Page 34
ATSC
The system shall provide automated functionality to define tolerances by "not-to-exceed" Document and Transaction Control
dollar amounts at the document line level to control overages by document line for the (SMB)
following relationships: Obligations to Commitments; Receipts to Obligations; Invoices to
Obligations.
The system shall provide automated functionality to define tolerances by "not-to-exceed" Document and Transaction Control
quantities at the document line level to control overages by document line for the following (SMB)
relationships: Obligations to Commitments; Receipts to Obligations; Invoices to
Obligations.
To support the Document and Transaction Control process, the Core financial system Document and Transaction Control
must provide automated functionality to derive the default transaction date from the (SMB)
current system date.
The system shall provide automated functionality to derive the default transaction date Document and Transaction Control
from the current system date. (SMB)
The system shall provide the automated functionality to capture an agency-specified Document and Transaction Control
transaction date (i.e., allow the agency to override the default transaction date with a date (SMB)
in any open accounting period).
To support the Document and Transaction Control process, the Core financial system Document and Transaction Control
must provide automated functionality to validate transactions that would post to United (SMB)
States Standard General Ledger (USSGL) accounts (e.g., borrowing authority, contract
authority, or investments) to ensure that the associated fund code is designated as having
the appropriate RT7 code.
To support the Document and Transaction Control process, the Core financial system Document and Transaction Control
must provide automated functionality to capture the following dates on all transactions: (SMB)
• Transaction date - The date a transaction is effective in the general ledger (i.e., the date
a financial event is recognized).
• System date - The actual date a transaction is processed by the system. This date is
assigned by the computer and may not be modified.
To add value to the Document and Transaction Control process, the Core financial Document and Transaction Control
system should record transactions in both foreign currency and U.S. dollars in all Core (SMB)
system modules
To support the Document Referencing and Modification process, the Core financial Document Referencing and
system must provide automated functionality to associate documents in the processing Modification (SMC)
chain, and bring forward accounting and non-financial information from one document to
another, when the previously recorded document is referenced, (e.g., commitment to
obligation, receivable to collection). This is to include accounting classification, vendor
and customer information.
The system shall provide automated functionality to bring forward accounting and non- Document Referencing and
financial information from one document to another, when the previously recorded Modification (SMC)
document is referenced (e.g., commitment to obligation, receivable to collection) by
associating documents in the processing chain.
To support the Document Referencing and Modification process, the Core financial Document Referencing and
system must provide automated functionality to update the balance of open documents by Modification (SMC)
accounting line item as they are referenced by subsequent documents in the processing
chain. For example, reduce commitments when referenced by obligations, reduce
obligations when referenced by expenditures, reclassify obligations when referenced by
advances, and reduce accounts receivable when referenced by collections.
To support the Document Referencing and Modification process, the Core financial Document Referencing and
system must provide automated functionality to associate documents with related source Modification (SMC)
documents (e.g., reimbursable agreements, purchase orders, contracts and delivery
orders, Blanket Purchase Agreement (BPAs) and call numbers, and grants) so that
queries show all related activity.
To support the Document Referencing and Modification process, the Core financial Document Referencing and
system must provide automated functionality to capture document modifications at the Modification (SMC)
accounting line item level that affect the general ledger, including changes to dollar
amounts and accounting classifications. Validate that funds are available prior to
recording the modifications.
The system shall proved automated functionality to capture document modifications at the Document Referencing and
accounting line item level that affect the general ledger, including changes to dollar Modification (SMC)
amounts and accounting classifications.
The system shall validate that funds are available prior to recording the modifications. Document Referencing and
Modification (SMC)
To support the Document Referencing and Modification process, the Core financial Document Referencing and
system must provide automated functionality to capture document modifications that do Modification (SMC)
not affect the general ledger, such as changes to vendor names, descriptions, etc.
To support the Document Referencing and Modification process, the Core financial Document Referencing and
system must provide automated functionality to associate document modifications and Modification (SMC)
cancellations with the original documents so that queries show all related activity.
The system shall provide automated functionality to associate document modifications Document Referencing and
with the original documents so that queries show all related activity. Modification (SMC)
Page 35
ATSC
The system shall provide the automated functionality to associate document cancellations Document Referencing and
with the original documents so that queries show all related activity. Modification (SMC)
To support the Document Referencing and Modification process, the Core financial Document Referencing and
system must provide automated functionality to reference multiple documents and Modification (SMC)
document lines in the processing chain. For example, reference multiple commitments or
commitment lines on an obligating document, or reference multiple receivable documents
or document lines on a collection.
To support the Document Referencing and Modification process, the Core financial Document Referencing and
system must provide automated functionality to query documents. Parameter includes any Modification (SMC)
document number. Result is a list of all document numbers in the document's processing
chain with document statuses and balances at the document level. Drill-down from each
document number to its document details (e.g., vendor/customer name, description and
amount).
The system shall be able to query documents by any document number. Document Referencing and
Modification (SMC)
The system query shall provide a list of all document numbers in the document's Document Referencing and
processing chain with document statuses and balances at the document level. Modification (SMC)
The system query shall allow drill-down from each document number to its document Document Referencing and
details (e.g., vendor/customer name, description, and amount). Modification (SMC)
To support the Document Referencing and Modification process, the Core financial Document Referencing and
system must provide automated functionality to query transactions. Parameter is any Modification (SMC)
document number. Result is a list of all general ledger transactions in the document's
processing chain, including:
• Transaction numbers
• Amounts
• GL debits and credits
• Accounting classification elements.
The system shall be able to query transactions by document number. Document Referencing and
Modification (SMC)
The system query shall provide a list of all general ledger transactions in the document's Document Referencing and
processing chain, including: Transaction numbers; Amounts; GL debits and credits; Modification (SMC)
Accounting classification elements.
To support the Document Referencing and Modification process, the Core financial Document Referencing and
system must provide automated functionality to query documents. Parameter(s) include Modification (SMC)
any one or a combination of the following:
• Document type
• Document status (e.g., open, closed)
• Vendor number
• Vendor Data Universal Numbering System (DUNS)+4 numbers
• Customer number
• Accounting classification elements.
Result is a list of selected document numbers with document statuses and balances at
the document level. Drill-down from each document number to its document lines and
detailed GL transactions.
The system shall be able to query documents by any one or a combination of the Document Referencing and
following: Document type; Document status (e.g., open, closed); Vendor number; Vendor Modification (SMC)
DUNS+4 number; Customer number; Accounting classification elements.
The system query shall provide a list of selected document numbers with document Document Referencing and
statuses and balances at the document level. Modification (SMC)
The system query shall allow drill-down from each document number to its document Document Referencing and
lines and detailed GL transactions. Modification (SMC)
To add value to the Document Referencing and Modification process, the Core financial Document Referencing and
system should provide automated functionality to update accounting data at the Modification (SMC)
accounting line level when accounting classification elements are restructured, i.e., by
reversing GL and subsidiary ledger transactions and reposting them with the new values.
Generate an audit trail from the original postings to the final postings.
The core financial system should provide automated functionality to update accounting Document Referencing and
data at the accounting line level when accounting classification elements are restructured, Modification (SMC)
i.e., by reversing GL and subsidiary ledger transactions and reposting them with the new
values.
The core financial system should generate an audit trail from the original postings to the Document Referencing and
final postings for the automated functionality to update accounting data at the accounting Modification (SMC)
line level when accounting classification elements are restructured.
All components of an agency’s integrated financial management system must provide Document Referencing and
timely and efficient access to complete and accurate information, without extraneous Modification (SMC)
material, to those who are internal and external to the agency and require the information.
To add value to the Document Referencing and Modification process, the Core financial Document Referencing and
system should provide automated functionality to update related open documents when Modification (SMC)
users modify classification information on a document in a processing chain.
Page 36
ATSC
To meet Workflow/Messaging requirements, the Core financial system must deliver an Workflow/Messaging (TLE)
integrated workflow management capability to automate internal routing of documents,
transactions, forms or reports for online approval processing.
The Core financial system shall provide the capability to deliver an integrated workflow Workflow/Messaging (TLE)
management capability to automate internal routing of documents for online approval
processing.
The Core financial system shall provide the capability to deliver an integrated workflow Workflow/Messaging (TLE)
management capability to automate internal routing of transactions for online approval
processing.
The Core financial system shall provide the capability to deliver an integrated workflow Workflow/Messaging (TLE)
management capability to automate internal routing of forms for online approval
processing.
The Core financial system shall provide the capability to deliver an integrated workflow Workflow/Messaging (TLE)
management capability to automate internal routing of reports for online approval
processing.
To meet Workflow/Messaging requirements, the Core financial system must deliver the Workflow/Messaging (TLE)
capability to customize workflow processes to automate agency-defined business rules,
required approvers, pooled or proxy approving authorities and workload balancing.
Agency customization must include the capability to apply start and end dates to
approvers and their proxies.
The Core financial system shall provide the capability to customize workflow processes to Workflow/Messaging (TLE)
automate agency-defined business rules.
The Core financial system shall provide the capability to customize workflow processes to Workflow/Messaging (TLE)
automate required approvers.
The Core financial system shall provide the capability to customize workflow processes to Workflow/Messaging (TLE)
automate pooled or proxy approving authorities.
The Core financial system shall provide the capability to customize workflow processes to Workflow/Messaging (TLE)
automate workload balancing.
The Core financial system shall provide the capability to apply start and end dates to Workflow/Messaging (TLE)
approvers and their proxies.
To meet Workflow/Messaging requirements, the Core financial system must deliver the Workflow/Messaging (TLE)
capability to define multiple levels of document approvals based on agency-defined
criteria, including dollar amounts, types of items purchased, and document types.
To meet Workflow/Messaging requirements, the Core financial system must deliver the Workflow/Messaging (TLE)
capability to define multiple approval levels to a single user. Prevent a user from applying
more than one level of approval to the same document in order to conform to the principle
of separation of duties. For example, a disbursing officer must not be allowed to certify
payment of an invoice he/she entered, and a certifying officer must not be allowed to
schedule a payment he/she certified.
The Core financial system shall provide the capability to define multiple approval levels to Workflow/Messaging (TLE)
a single user.
The Core financial system shall provide the capability to prevent a user from applying Workflow/Messaging (TLE)
more than one level of approval to the same document in order to conform to the principle
of separation of duties. For example, a disbursing officer must not be allowed to certify
payment of an invoice he/she entered, and a certifying officer must not be allowed to
schedule a payment he/she certified.
To meet Workflow/Messaging requirements, the Core financial system must deliver the Workflow/Messaging (TLE)
capability to capture approval actions by transaction, including the time/date and
approving party.
To meet Workflow/Messaging requirements, the Core financial system must deliver the Workflow/Messaging (TLE)
capability to route action requests/status messages internally to individuals, groups or
external trading partners. Supported communications channels must include agency e-
mail, Blackberry, internal application messaging.
The Core financial system shall provide capability to route action requests/status Workflow/Messaging (TLE)
messages internally to individuals.
The Core financial system shall provide the capability to route action requests/status Workflow/Messaging (TLE)
messages internally to groups.
The Core financial system shall provide the capability to route action requests/status Workflow/Messaging (TLE)
messages externally to trading partners.
The Core financial system shall provide the capability to route action requests/status Workflow/Messaging (TLE)
messages via supported communications channels including; agency e-mail, Blackberry,
or internal application messaging.
To meet Workflow/Messaging requirements, the Core financial system must deliver the Workflow/Messaging (TLE)
capability to generate workflow event-based user alerts. For example, at the point an
emergency travel voucher is approved, electronically notify the affected traveler.
To meet Workflow/Messaging requirements, the Core financial system must deliver the Workflow/Messaging (TLE)
capability to generate user alerts based on agency defined thresholds (i.e., trigger
events). For example, electronically warn a budget officer when available funds reach
50% of the allotment.
To add value to the Workflow/Messaging functionality, the Core financial system should Workflow/Messaging (TLE)
deliver a business process modeling capability.
Page 37
ATSC
To add value to the Workflow/Messaging functionality, the Core financial system should Workflow/Messaging (TLE)
generate auditable records of changes made to the workflow approval routing design.
To add value to the Ad Hoc Query functionality, the Core financial system should deliver Ad Hoc Query (TLJ)
the capability to optimize queries.
To add value to the Ad Hoc Query functionality, the Core financial system should deliver a Ad Hoc Query (TLJ)
"dashboard" reporting capability that can be used to continuously display agency-defined
performance metrics on a manager's desktop (e.g., a graphical view of the agency's
budget status).
To support the System-Generated Transactions process, the Core financial system must System-Generated Transaction
provide automated functionality to capture start and end dates and posting frequency (SMD)
(monthly, quarterly, or specified number of days) of recurring entries and reversals such
as accruals and obligations.
To support the System-Generated Transactions process, the Core financial system must System-Generated Transaction
provide automated functionality to generate recurring entries and reversals in future (SMD)
accounting periods (e.g., payroll and travel accruals), when the specified transaction
dates are reached. This is to include entries that cross fiscal years.
To support the System-Generated Transactions process, the Core financial system must System-Generated Transaction
provide automated functionality to process future date transactions in subsequent (SMD)
accounting periods (i.e., when the specified transaction dates are reached). The system
must also provide automated functionality to validate the transaction upon initial entry and
re-validate the transaction at the point it is recorded.
The core financial system must provide automated functionality to process future date System-Generated Transaction
transactions in subsequent accounting periods (i.e., when the specified transaction dates (SMD)
are reached).
The core financial system must provide automated functionality to validate the transaction System-Generated Transaction
upon initial entry and re-validate the transaction at the point it is recorded. (SMD)
To support the System-Generated Transactions process, the Core financial system must System-Generated Transaction
provide automated functionality to generate batched reversal transactions by any one or a (SMD)
combination of the following parameters:
• Accounting period
• Transaction or document type
• Accounting classification elements
• System date
• Transaction date
• Source system ID.
For example, reverse payroll transactions posted on January 1, 2006.
To support the System-Generated Transactions process, the Core financial system must System-Generated Transaction
provide automated functionality to validate that transaction reversals do not violate the (SMD)
integrity of the document chain. For example, do not reverse obligations that have been
liquidated by payments.
To support the System-Generated Transactions process, the Core financial system must System-Generated Transaction
provide automated functionality to generate a report of posted and un-posted reversal (SMD)
transactions. Parameters are:
• Accounting period
• Transaction or document type
• Accounting classification elements
• System date
• Transaction date
• Source system ID.
Result is a list of transactions including:
• System date
• Transaction date
• Original document and accounting line numbers
• Status (posted or un-posted)
• Accounting classification elements
• GL transaction ID number
• GL debits and credits.
To support the include document Transactions process, the Core financial system must
Sorting options System-Generatednumber and reversal status. System-Generated Transaction
provide automated functionality to deliver the capability to send/receive financial (SMD)
transactions from Government wide mandated applications:
• Central Contractor Registration (CCR)
• Electronic Certification System (ECS)
• Federal Agencies Centralized Trial Balance System I (FACTS I)
• Federal Agencies Centralized Trial Balance System II (FACTS II)
• Government Online Accounting Link System (GOALS II)
• Intra-governmental Payment and Collection System (IPAC)
• Treasury Offset Program (TOP)
• Secure Payment System (SPS).
Page 38
ATSC
The core financial system must send/receive financial transactions from the Central System-Generated Transaction
Contractor Registration (CCR). (SMD)
The core financial system must send/receive financial transactions from the Electronic System-Generated Transaction
Certification System (ECS). (SMD)
The core financial system must send/receive financial transactions from the Federal System-Generated Transaction
Agencies Centralized Trial Balance System I (FACTS I). (SMD)
The core financial system must send/receive financial transactions from the Federal System-Generated Transaction
Agencies Centralized Trial Balance System II (FACTS II). (SMD)
The core financial system must send/receive financial transactions from the Government System-Generated Transaction
Online Accounting Link System (GOALS II). (SMD)
The core financial system must send/receive financial transactions from the Intra- System-Generated Transaction
governmental Payment and Collection System (IPAC). (SMD)
The core financial system must send/receive financial transactions from the Treasury System-Generated Transaction
Offset Program (TOP). (SMD)
The core financial system must send/receive financial transactions from the Secure System-Generated Transaction
Payment System (SPS). (SMD)
To add value to the System-Generated Transactions process, the Core financial system System-Generated Transaction
should provide automated functionality to deliver the capability to send/receive financial (SMD)
transactions from Government wide mandated applications:
• eTravel
• CA$HLINK II
• Government wide Accounting (GWA) system
The core financial system should provide automated functionality to deliver the capability System-Generated Transaction
to send/receive financial transactions from eTravel. (SMD)
The core financial system should provide automated functionality to deliver the capability System-Generated Transaction
to send/receive financial transactions from CA$HLINK II. (SMD)
The core financial system should provide automated functionality to deliver the capability System-Generated Transaction
to send/receive financial transactions from GWA. (SMD)
To meet General Design/Architecture requirements, the Core system must ensure the General Design/Architecture (TLA)
delivered system generates output reports, query results and data files using multiple
formats as specified by functional requirements. Specified formats can include online
display, printed report, Portable Document Format (PDF), MS Word, Excel, ASCII or
delimited text file. In cases where an output format is not specified within a requirement,
the requested information must be viewable to the agency online, using the application
user interface.
The core financial system must ensure the delivered system generates output reports General Design/Architecture (TLA)
using multiple formats as specified by functional requirements. Specified formats can
include online display, printed report, Portable Document Format (PDF), MS Word, Excel,
ASCII or delimited text file.
The core financial system must ensure the delivered system generates query results General Design/Architecture (TLA)
using multiple formats as specified by functional requirements. Specified formats can
include online display, printed report, Portable Document Format (PDF), MS Word, Excel,
ASCII or delimited text file.
The core financial system must ensure the delivered system generates data files using General Design/Architecture (TLA)
multiple formats as specified by functional requirements. Specified formats can include
online display, printed report, Portable Document Format (PDF), MS Word, Excel, ASCII
or delimited text file.
The core financial system must ensure that in cases where an output format is not General Design/Architecture (TLA)
specified within a requirement, the requested information is viewable to the agency online,
using the application user interface.
To add value to the General Design/Architecture functionality, the Core financial system General Design/Architecture (TLA)
should deliver a reports management capability to enable online retrieval, viewing, re-
printing, and permanent archiving of system-generated reports.
The core financial system should deliver a reports management capability to enable General Design/Architecture (TLA)
online retrieval of system-generated reports.
The core financial system should deliver a reports management capability to enable General Design/Architecture (TLA)
viewing of system-generated reports.
The Core financial system should deliver a reports management capability to enable re- General Design/Architecture (TLA)
printing of system-generated reports.
The Core financial system should deliver a reports management capability to enable General Design/Architecture (TLA)
permanent archiving of system-generated reports.
To add value to the Infrastructure functionality, the Core financial system should operate Infrastructure (TLB)
in an Apple Macintosh system environment.
To meet User Interfaces requirements, the Core financial system must deliver an online User Interfaces (TLC)
graphical user interface (GUI). The GUI must provide consistent data entry, navigation
and information presentation across all modules and sub-systems.
To meet User Interfaces requirements, the Core financial system must comply with User Interfaces (TLC)
Section 508 of the Rehabilitation Act, as detailed in 36 CFR 1194, Subpart B.
To meet User Interfaces requirements, the Core financial system must deliver a context- User Interfaces (TLC)
sensitive, online help facility. This facility must be customizable by the agency.
To meet User Interfaces requirements, the Core financial system must deliver the User Interfaces (TLC)
capability to customize error message text.
Page 39
ATSC
To meet User Interfaces requirements, the Core financial system must incorporate user User Interfaces (TLC)
interface features designed to reduce the amount of direct keying required for transaction
processing, such as:
• Default values based on system maintained transaction and user profiles
• Value look-up tables
• Highlighting or accentuating required fields
• Grayed data fields that are unavailable for user entry
• Auto tabs
• Automatic data recall
• Auto fill text
• Cut, copy and paste functionality
• Keyboard shortcuts (e.g., function keys to invoke help facility, clear screen, etc.)
• Menu mode of screen navigation
• Undo/redo
• Disabling of non-supported function keys
• Ability to select records from a list by scrolling or typing only part of an entry.
• Ability to pass common data from field to field, screen to screen and transaction to
transaction. to the User Interfaces functionality, the Core financial system should support User Interfaces (TLC)
To add value
integration with other common desktop applications (e.g., word processing, spreadsheets,
data management)
To meet Interoperability requirements, the Core financial system must deliver the Interoperability (TLD)
capability to connect to an agency operated e-mail system. This capability must include
the ability to distribute application generated text messages with attached files.
To add value to the Interoperability functionality, the Core financial system should support Interoperability (TLD)
direct EDI translation compliant with American National Standards Institute (ANSI) X-12
standards to enable electronic data exchanges with designated trading partners
To add value to the Interoperability requirements, the Core financial system should deliver Interoperability (TLD)
an integrated Extensible Markup Language (XML) parsing capability.
To add value to the Interoperability requirements, the Core financial system should deliver Interoperability (TLD)
a capability to exchange data using the Extensible Business Reporting Language.
To meet Internet Access requirements, the Core financial system must ensure the Internet Access (TLG)
delivered system supports Transmission Control Protocol/Internet Protocol (TCP/IP) for
application component connectivity.
To meet Internet Access requirements, the Core financial system must deliver browser Internet Access (TLG)
access to all system modules/functionality.
To add value to the Internet Access functionality, the Core financial system should deliver Internet Access (TLG)
the capability to receive vendor invoices and payments from the public via the Internet.
To add value to the Internet Access functionality, the Core financial system should Internet Access (TLG)
support secure Internet access to the integrated ad hoc data query facility.
To add value to the Internet Access functionality, the Core financial system should Internet Access (TLG)
support operations via a Virtual Private Network (VPN) system capability for secure
remote access.
To add value to the Internet Access functionality, the Core financial system should deliver Internet Access (TLG)
the capability to use Public Key Infrastructure technology to control system access.
To meet Operations requirements, the Core financial system must Maintain internal Operations (TLI)
database consistency at all times. In the event of a system failure the system must have
the capability to:
• Back out incompletely processed transactions
• Restore the system to its last consistent state before the failure occurred
• Re-apply all incomplete transactions previously submitted by the user
• Validate internal database consistency to ensure duplicate postings are avoided
• Report any data or transactions that failed to process completely.
To meet Operations requirements, the Core financial system must Generate online status Operations (TLI)
messages to the operator. Include job or transaction type, name, when processing
initiates, when it completes, and any processing errors encountered.
To meet Operations requirements, the Core financial system must Deliver a restart Operations (TLI)
capability for all application’s online and batch processing components. Batch jobs must
be segmented to facilitate restart in the event of a system failure.
To meet Operations requirements, the Core financial system must Deliver common error- Operations (TLI)
handling routines across functional modules. Generate meaningful and traceable error
messages that allow the user or \system operator to identify and respond to reported
problems.
Page 40
ATSC
To meet Operations requirements, the Core financial system must maintain and report Operations (TLI)
application usage statistics. Productivity statistics should include concurrent users, job
submissions, transactions throughput, and system availability.
To meet Operations requirements, the Core financial system must deliver a capability to Operations (TLI)
override the system date value used to automatically default document effective date and
related transaction posting date/period. This capability is intended for system testing.
To add value to the Operations functionality, the Core financial system should deliver the Operations (TLI)
capability to customize system logging features. Allow the agency to specify which
parameters (or tables) to log. Allow the agency to turn logging feature on or off as
needed).
To meet the System Performance requirements, the Core financial system must process System Performance (TLL)
the agency’s specified accounting workload without adversely impacting projected online
response time.
To meet the System Performance requirements, the Core financial system must process System Performance (TLL)
all scheduled work (e.g., batch jobs) within an agency specified processing window.
Scheduled work can include:
• Daily systems assurance reports
• Daily backups
• Daily interface processing
• Core GL posting
• Table updates
• Standard reporting.
To meet the System Performance requirements, the Core financial system must maintain System Performance (TLL)
the agency’s specified current and historical financial data (e.g. general ledger records,
documents, transactions, lines, and vendor records) storage needs with no degradation to
online or batch processing performance.
To meet the System Performance requirements, the Core financial system must support System Performance (TLL)
concurrent access to functional modules for the agency’s specified user community.
To add value to the System Performance functionality, the Core financial system should System Performance (TLL)
deliver computing performance metrics for platforms and systems environments that the
application is certified to run on. Performance metrics provided by the vendor should
describe:
• Transaction processing throughput capacity,
• Expected workstation client response time by transaction type,
• Data storage capacity, and
• Limitations on concurrent user connectivity.
The system shall have the capability to identify and handle error conditions in an
expeditious manner through the use of error messages and error logs without providing
information that could be exploited by adversaries.
The system shall provide the capability for retention of Foreign Military Sales documents
and financial records for a period of 10 years from date of case closure.
To support the Internal and External Reporting function, the Revenue System must be Reporting Framework
able to create, compute, and post all necessary financial transactions.
To support the Internal and External Reporting function, the Revenue System must be Reporting Framework
able to support provision of data for the preparation of consolidated financial statements
as required by the Federal Accounting Standards Advisory Board (FASAB) and the
current Office of Management and Budget (OMB) Bulletin on Form and Content of
Agency Financial Statements requirements
To support the Internal and External Reporting function, the Revenue System must be Reporting Framework
able to report financial activity transactions by any element within the accounting
classification structure (e.g., individual or hierarchical organization code, project code).
To support the Internal and External Reporting function, the Revenue System must be Reporting Framework
able to support production of daily on-line Available Funds report(s) for each TAS/TAFS
that is subject to Federal Agencies’ Centralized Trial-Balance System (FACTS) II
reporting requirements. Support must be provided for the parameters established by FMS.
To support the Internal and External Reporting function, the Revenue System must be Reporting Framework
able to Provide on-line subsidiary revenue activity summary at the internal fund,
organization, and TAS/TAFS levels. The subsidiary summary must provide the following
minimum data elements for each applicable general ledger account: • The balance at the
beginning of the accounting period, • The total amount of debits by transaction type for the
accounting period, • The total amount of credits by transaction type for the accounting
period, and • The cumulative ending balance for the accounting period.
To support the Internal and External Reporting function, the Revenue System must be Reporting Framework
able to support reporting of FACTS I and FACTS II data as required by the core financial
management system.
Page 41
ATSC
To support the Internal and External Reporting function, the Revenue System must be Reporting Framework
able to produce an on-line transaction register at the internal fund, organization, and
TAS/TAFS level for each accounting period, that provides the following data elements:
• Fiscal year;
• TAS/TAFS;
• Internal fund;
• Document number;
• Document entry date;
• Document entry time;
• Document entry User ID;
• Document transaction date;
• Transaction type;
• Debit account number;
• Debit account object class;
• Debit amount;
• Credit account number;
• Credit account object class;
• Credit amount;
• United States Standard General Ledger (USSGL) attribute domain headings; and
• USSGL attribute values associated with the transaction.
The register must include all transactions that occurred within the accounting period
specified.
To support the Internal and External Reporting function, the Revenue System must be Reporting Framework
able to report the financial information required for program management performance
reporting.
To support the Internal and External Reporting function, the Revenue System should Reporting Framework
provide the capability to “Drill down” to detail transactions for any summary level within a
report for transactions originally input and maintained within the accounting and/or
financial management system.
To support the Internal and External Reporting function, the Revenue System should Reporting Framework
provide the capability to save customized report/query routines and/or results with the
capability to transmit either electronically.
To support the Internal and External Reporting function, the Revenue System should Reporting Framework
provide the capability to report process compatibility with both database and application
security protocols.
To support the Internal and External Reporting function, the Revenue System should Reporting Framework
provide the capability to perform exception and data ranking reporting based on user-
defined parameters.
To support the Internal and External Reporting function, the Revenue System should Reporting Framework
provide the capability to define and modify customized reports.
To support Proprietary and Budgetary Accounting functions of the USSGL, the Revenue Control Framework
System must provide control features that ensure that the amounts reflected in the funds
control structure agree with the related general ledger account balances at the end of
each update cycle.
To support the Deposit Account Function, the Revenue System must provide the Reporting Framework
capability to provide monthly statements of transaction activity in paper and/or electronic
form.
To support the Transaction Validation activity, the Revenue System must provide the User Interfaces (TLC)
capability to interface with the core financial system to record transactions consistent with
USSGL posting rules.
To support the Transaction Validation activity, the Revenue System must provide the User Interfaces (TLC)
capability to allow users to define and maintain standard rules that control subsidiary
ledger account postings for all accounting events when accounting transactions are
recorded in a subsidiary ledger within the Revenue System. The process of defining
posting rules can be accomplished in a variety of ways, including (but not limited to)
using: transaction codes, screen “templates,” derivation rules, and others.
To support the Transaction Validation activity, the Revenue System must provide the User Interfaces (TLC)
capability to allow users to define and process system-generated transactions, such as
automated accruals (e.g., interest accrual entries), pre-closing and closing entries, and
transactions that generate other transactions in those cases where a single transaction is
not sufficient.
To support the Transaction Validation activity, the Revenue System must provide the User Interfaces (TLC)
capability to control the correction and reprocessing of all erroneous transactions
gathered through interfaces through the use of error/suspense files. Erroneous
transactions must be maintained until corrected and posted at the specific request of a
user.
To support the Transaction Validation activity, the Revenue System must provide the Monitoring and Compliance
capability to provide immediate, on-line notification to the user of erroneous transactions
obtained through direct data entry. Advise reason for error and provide the ability to enter
corrections on-line.
Page 42
ATSC
To support the Transaction Validation activity, the Revenue System must provide the Control Framework
capability to provide controls to prevent the creation of initial duplicate transactions. For
example, prevent the use of the same unique transaction identification number (e.g.,
document number).
To support the Transaction Validation activity, the Revenue System must provide the Reporting Framework
capability to validate the fields for all accounting classification elements required to
process the transaction prior to posting [e.g., fields pertaining to Treasury Account
Symbol/Treasury Appropriation Fund Symbol (TAS/TAFS), revenue source, invoice
number, debtor or customer code and organization].
To support the Transaction Validation activity, the Revenue System must provide the Control Framework
capability to enter, edit, and store transactions in the current accounting period for
automatic processing in a future accounting period for one-time events and/or monthly
recurring entries.
To support the Transaction Validation activity, the Revenue System must provide the Classification Framework
capability to capture the six-digit trading partner code (as specified by Treasury) when
processing all transactions that directly involve another Federal entity (i.e., both parties to
a transaction are Federal entities).
To support the Transaction Validation activity, the Revenue System must provide the Classification Framework
capability to capture transaction dates (effective date of the transaction) and posting dates
(date transaction forwarded to core financial system or posted to the general ledger).
To support the Transaction Validation activity, the Revenue System must provide the Classification Framework
capability to determine (automatically) the posting date from the system date for all
transactions. Automatically associate a default accounting period for each transaction, but
allow authorized user to override.
To support the Transaction Validation activity, the Revenue System must provide the Classification Framework
capability to reverse (automatically with prior discretion of user) entries by the following
parameters: transaction or document type, date range, schedule numbers, transaction
identification number (i.e., document number) range, and trading partner.
To support the Transaction Validation activity, the Revenue System must provide the Classification Framework
capability to permit posting to the current and prior months concurrently until the prior
month closing is complete while interacting with the core financial system within that fiscal
year.
To support the Transaction Validation activity, the Revenue System must provide the Classification Framework
capability to post to the current fiscal year and prior fiscal year concurrently until prior year-
end closing is complete while interacting with the core financial system within that fiscal
year.
The revenue system shall provide the capability to post to the current fiscal year and prior Classification Framework
fiscal year concurrently until prior year-end closing is complete.
To support the Transaction Validation activity, the Revenue System must provide the Classification Framework
capability to record different transaction types at the detailed transaction level.
To support the Transaction Validation activity, the Revenue System must provide the Classification Framework
capability to employ appropriate edits at the point of entry to ensure that all required data
have been entered and to validate the accuracy of the data prior to acceptance.
To support the Transaction Validation activity, the Revenue System must provide the Classification Framework
capability to record the user’s identification as part of the transaction record.
To support the Transaction Validation activity, the Revenue System must provide the Classification Framework
capability to reject a transaction or provide a warning message when attempting to post a
transaction that would cause general ledger debits and credits to be out-of-balance at a
level below the TAS/TAFS (e.g., organization level).
The revenue system shall provide the capability to reject a transaction or provide a Classification Framework
warning message when attempting to post a transaction that would cause general ledger
debits and credits to be out-of-balance at a level below the TAS/TAFS (e.g., organization
level).
To support the Transaction Validation activity, the Revenue System must provide the Classification Framework
capability to process and track transactions in both foreign currency and U.S. dollars.
To support the Transaction Validation activity, the Revenue System should provide the Classification Framework
capability to perform validation checks for use of certain general ledger accounts
associated with specific authority (e.g., Cashiers fund, borrowing authority) prior to posting
a transaction.
To support the Automated Reconciliation function, the Revenue System must provide Classification Framework
detailed subsidiary record amounts used to compare with amounts in the general ledger
resulting in the creation of reports for those accounts that are out of balance. This
capability must be available for all open accounting periods and at frequencies defined by
the user, such as daily, weekly and monthly.
Page 43
ATSC
To support the Audit Trail function, the Revenue System must provide the capability to Audit Trails (SME)
provide audit trails to trace transactions from their initial source through all stages of
related system processing within the installation accounting/financial management
system. The initial source may be source documents, transactions originating from other
systems (e.g., feeder systems), or internal system-generated transactions.
To support On-Line Query Capability, the Revenue System must provide the capability to Access and Retrieval
record all transactions for a specific accounting record.
To support On-Line Query Capability, the Revenue System must provide the capability to Access and Retrieval
assign user level capability for ad hoc query access.
To support On-Line Query Capability, the Revenue System must provide the capability to Access and Retrieval
provide and maintain on-line queries and reports on balances separately for the
current/prior months and current/prior fiscal years. At a minimum, queries must be
maintained on-line for current/prior months and current/prior fiscal years until the prior
month/year closing is complete.
To support the On-Line Query function, the Revenue System should provide the capability Access and Retrieval
to generate reports by geographic location.
To effectively support Ad-Hoc Query Capability, the Revenue System must allow users to Access and Retrieval
create and submit parameter-based query scripts or to store them in a common library for
future use.
To effectively support Ad-Hoc Query Capability, the Revenue System must allow users to Access and Retrieval
run queries on-line or in batch mode and to stage output for later access by authorized
users.
To effectively support Ad-Hoc Query Capability, the Revenue System must provide run- Access and Retrieval
time controls to limit "run-away" queries and large data download requests.
To effectively support Ad-Hoc Query Capability, the Revenue System must support Access and Retrieval
graphical output display on the desktop. Output display should also support dynamic
report reformatting, regrouping and drill-down to detail records from summary report lines.
To effectively support Ad-Hoc Query Capability, the Revenue System must allow Access and Retrieval
authorized users to download selected financial data. This download capability must be
able to automatically reformat downloaded information for direct access by common
desktop applications (e.g., American Standard Code for Information Interchange (ASCII)
formatted).
To effectively support Ad-Hoc Query Capability, the Revenue System must provide the Access and Retrieval
ability to preview a report, form, or other query result before printing.
To effectively support Ad-Hoc Query Capability, the Revenue System must support Access and Retrieval
access to current year and historical financial data.
To provide additional Ad-Hoc Query Capability, the Revenue System should provide the Access and Retrieval
capability to allow users to automatically distribute copies of report/query results via e-
mail to multiple pre-identified individuals or groups.
To provide additional Ad-Hoc Query Capability, the Revenue System should provide the Access and Retrieval
capability to provide the following ad hoc query interface features:
• The ability to “point and click” on selectable table, data, and link objects for inclusion in a
custom query;
• An active data dictionary to provide users with object definitions;
• The ability to share user developed query scripts with other authorized agency users and
query optimization; and
• On-line help.
The revenue system shall provide the ability to “point and click” on selectable tables, data, Access and Retrieval
and link objects for inclusion in a custom query.
To support Interface requirements, the Revenue System must provide the capability to User Interfaces (TLC)
interface with Cost and Acquisition Systems to update cost data needed for services
performed under a Reimbursable Agreement (RA).
To support the Records Retention function, the Revenue System must provide retention Retention Schedule
of system records in accordance with Federal regulations established by National
Archives and Records Administration (NARA), Government Accountability Office (GAO)
and others. Prevent the purging of transactions prior to the proper period in accordance
with regulations governing the retention of documents and transactions.
To support Interface requirements, the Revenue System must provide the capability to User Interfaces (TLC)
provide for uploading and downloading data to other systems and databases in a personal
computer environment.
Page 44
ATSC
To support Interface requirements, the Revenue System must provide the capability to User Interfaces (TLC)
provide controls over interfaced data to ensure that files are transmitted by an authorized
source to an authorized destination and they are complete and not duplicates. In addition,
controls over each file should ensure (1) the number of transactions in the file matches
control records; (2) the dollar total of transactions in the file matches control records; (3)
the sender is notified of any erroneous transactions; and (4) erroneous transactions are
automatically returned to the sender.
To support Interface requirements, the Revenue System must provide the capability to User Interfaces (TLC)
provide an application user face that complies with the software application standards
required by section 508 of the Rehabilitation Act, as detailed in 36 CFR 1194, subpart 9.
To support Interface requirements, the Revenue System must provide the capability to User Interfaces (TLC)
interface with the Central Contractor Registration (CCR), an existing on-line database that
is the single validated source of data on vendors doing business for the government, for
the exchange of identification data and EFT routing information in business transactions
and other data elements required by OMB’s “Business Rules for Intragovernmental
Transactions.”
To support Interface requirements, the Revenue System must provide the capability to User Interfaces (TLC)
link to other applications and data sources (e.g., strategic plans, performance measures
and data warehouse).
To support the Security function, the Revenue System must provide the capability to limit Security (TLH)
the capability of users to selected functions (i.e., create, read, update, and delete) as well
as have the capability to define functional access rights (e.g., to modules, transactions
and approval authorities) and data access rights (e.g., record, create, read, update and
delete) by assigned user ID, functional role (e.g., payable technician) and owner
organization. User profiles can be added, deleted, modified or changed by the system
administrator.
The system shall generate records of: Individual disbursements and collections made by
DoD disbursing offices and DoD bill settlement offices. Amounts entered on individual
lines on daily accountability statements of DoD disbursing officers. Individual
disbursements and collections made by other Federal departments for DoD. Adjustments
made by DoD accounting offices to reclassify individual disbursements and collections.
Foreign currency purchased, used in accommodation exchange and held by DoD
Disbursing Officers. Records of individual transactions made by DoD Disbursing Officers
for checks, deposits, EFT, and IPAC.
The system shall provide the capability for an authorized user to query a system
generated listing using specified selection criteria.
The system shall provide the capability for an authorized user to view daily transactions
“For Others” cross disbursing details.
To support the Accounting Classification Management process, the Core financial system Classification Framework
must provide automated functionality to maintain a TAS structure that includes the
following components defined by Treasury and OMB: Subclass; Agency code; Hyphen
(when co-owner is not null); Transfer agency; Fiscal year (period of availability); Main
account number; Sub-account symbol.
To support the Treasury Information Maintenance process, the Core financial system Classification Framework
must provide automated functionality to maintain ALC Business Activities.
To support the Treasury Information Maintenance process, the Core financial system Classification Framework
must provide automated functionality to define transactions that impact the FBWT and are
reported on the Financial Management Service (FMS) 224, Partial 224, or through the
Government wide Accounting (GWA) system as "IPAC", "CA$HLINK II", "Treasury
Disbursing Office (TDO) Payments", or "Reclassifications".
The system (Core Financial System) must electronically establish and update a Master Control Framework
Appropriation File (MAF) on the U.S. Treasury's Federal Agencies' Centralized Trial
Balance System (FACTS).
To support the General Ledger Analysis and Reconciliation process, the Core financial Access and Retrieval
system must provide automated functionality to query general ledger account balances.
Parameters include beginning and ending accounting period, and TAS or internal fund
code. Result is beginning account balances, period activity, and ending account balances
for the period and TAS, or internal fund code, specified. Drill-down from period activity to
supporting general ledger transactions; from general ledger transactions to supporting
documents; and from supporting documents to other documents in the document chain.
The system shall provide a capability to replicate all operational data to the COOP site.
Page 45
ATSC
With regard to security and internal controls, the acquisition/financial must provide a Monitoring and Compliance
mechanism to monitor changes to software coding and the responsible individual
(authorized user).
All components of an agency’s integrated financial management system must provide Interfacing Framework
timely and proper sharing of common information between the acquisition and core
financial systems, and other mixed systems, e.g., property management systems.
The system shall establish a Continuity Of Operations Plan (COOP) site as a fully
functional operational backup site.
Agency systems must maintain, store, and permit ready retrieval of financial information.
The time frames for various parts of this requirement differ depending on the subject
matter. The single integrated financial management system must be sufficiently flexible to
retain and purge information consistent with varying record keeping requirements.
The system must produce audit trail reports to support data transferred from external
systems to the financial system, including an error listing.
An automated Defense Finance and Accounting Service (DFAS) system shall ensure that Internal Controls
the preparation of all financial reports is consistent from one reporting period to another
reporting period and the same financial information is used as the source for different
reports whenever the same information is reported.
An automated Defense Finance and Accounting Service (DFAS) system shall ensure that Internal Controls
the ending balances for one reporting period will be perpetuated as the beginning
balances for the subsequent reporting period and shall be carried forward without change.
An automated Defense Finance and Accounting Service (DFAS) system shall ensure that Internal Controls
all transactions applicable to the effective period of the report have been edited and
posted to the official accounting records.
All DoD ISs shall be implemented using the baseline DoD IA controls in accordance with Control Framework
DoDI 8500.2. Note: The effectiveness of the implementation of these same controls for a
DoD IS is validated and assessed during the certification and accreditation of the system
in accordance with the DIACAP, as required by 14.07.27.
All DoD information systems shall be certified and accredited in accordance with DoDI Monitoring and Compliance
8510.01, DoD Information Assurance Certification and Accreditation Process (DIACAP).
All components of an agency’s integrated financial management system must provide Interfacing Framework
complete, accurate, and prompt generation and maintenance of acquisition/financial
records and transactions.
All components of an agency’s integrated financial management system must provide Control Framework
Adequate management controls, including internal and security controls, policies, and
procedures intended to protect the agency’s key systems, data, and interfaces from
disruption and unauthorized access or alteration, as prescribed in a variety of statutes and
regulations, including, but not limited to, OMB Circulars A-123 and A-130.
To facilitate the reconciliation of information that is common to the core financial Interfacing Framework
management system and to one or more of the financial mixed systems (e.g., acquisition
systems and property management systems) described in the JFMIP Framework
document and other JFMIP requirements documents, the single integrated financial
management system must provide for:
• multiple levels of system access, transaction authorization, and approval authority;
• single source data entry;
• validation of funds availability prior to scheduling payment;
• communication of the need for additional funds;
• simultaneous posting of budgetary and proprietary accounts;
• prepayment examinations from diverse locations;
• controls to ensure transaction processing in proper chronological/numeric sequence; and
• standard edits for shared data.
Page 46
ATSC
To facilitate the reconciliation of information that is common to the core financial Interfacing Framework
management system and to one or more of the financial mixed systems (e.g., acquisition
systems and property management systems) described in the JFMIP Framework
document and other JFMIP requirements documents, the single integrated financial
management system must provide audit trails to trace transactions from source
documents, original input, other systems, and system-generated transactions.
To facilitate the reconciliation of information that is common to the core financial Control Framework
management system and to one or more of the financial mixed systems (e.g., acquisition
systems and property management systems) described in the JFMIP Framework
document and other JFMIP requirements documents, the single integrated financial
management system must provide transaction details to support account balances.
To facilitate the reconciliation of information that is common to the core financial Interfacing Framework
management system and to one or more of the financial mixed systems (e.g., acquisition
systems and property management systems) described in the JFMIP Framework
document and other JFMIP requirements documents, the single integrated financial
management system must provide the capability to relate data elements to each other as
discussed, through an integrated data query facility that supports ad hoc query access to
financial information described in the document and also provides data analysis reporting
tools.
With regard to security and internal controls, the acquisition/financial system must provide Control Framework
flexible security facilities to control user access at varying degrees including: overall
system access, capability to perform specific functions (inquiry, update), and access to
certain functionality.
With regard to security and internal controls, the acquisition/financial system must provide Security (TLH)
capability to define access to specific functions by user name, class of user, and position.
With regard to security and internal controls, the acquisition/financial system must provide Security (TLH)
for multiple levels of approvals based on user-defined criteria, including dollar limits, type
of document processed, etc.
With regard to security and internal controls, the acquisition/financial system must provide Security (TLH)
the capability to perform: reconciliation routines for internal participant accounts, ledgers,
and funds; and to identify unsuccessful reconciliations via error log or error report
With regard to security and internal controls, the acquisition/financial system must Security (TLH)
establish appropriate administrative, technical and physical safeguards to ensure the
security and confidentiality of records and to protect against anticipated threats or hazards
to record security or integrity which could result in substantial harm, embarrassment,
inconvenience, or unfairness to any individual on whom information is maintained.
To meet Security requirements, the Core system must ensure that the management, Security (TLH)
operations and technical baseline security controls are implemented in accordance with
Federal Information Processing Standards (FIPS) 199 Standards for Security
Categorization of Federal Information and Information Systems and other current NIST
guidance on selecting the appropriate security controls. Note: The DoD categorizes risk
impact levels and applies the appropriate set of security controls published in DoDI
8500.2 based on information sensitivity/classification and the impact or effect on mission
success, which is consistent with NIST security standards as confirmed by letter dated
June 6, 2007 from NIST to DoD CIO. Accordingly, a DoD information system may be
considered to satisfy 14.07.02 if the system complies with 14.07.26.
To meet Security requirements, the Core system must deliver the capability to restrict Security (TLH)
access to sensitive data elements, such as social security numbers, banking information
by user ID, assigned role or organization.
All DoD ISs with an authorization to operate (ATO) shall be reviewed annually to confirm Monitoring and Compliance
that the IA posture of the IS remains acceptable. Reviews will include validation of IA
controls and be documented in writing.
Page 47
ATSC
The head of each [Federal] agency shall develop and maintain an inventory of major Monitoring and Compliance
information systems. Note: for major DoD IS, the system is considered to be compliant
with 14.07.29 if it is registered in the DoD Information Technology Portfolio Registry
(DITPR).
The system must be FISMA-compliant. Note: Although the FISMA of 2002 does not Monitoring and Compliance
specify system-level requirements, all federal IS are subject to standards and guidelines
as promulgated under the authority of FISMA by the Director, OMB (through NIST), the
Secretary of the DoD, or the Director of Central Intelligence, as appropriate. Additionally,
the FISMA requires Federal agencies to maintain an inventory of major information
systems. Accordingly, a DoD IS may be considered to be FISMA-compliant if the IS
complies with 14.07.26, 14.07.27, and 14.07.28, as confirmed by letter dated June 6,
2007 from NIST to DoD CIO. In addition, if the DoD IS is a major IS, it must also comply
with 14.07.29.
The system must provide the capability for a user with special authorization to establish Accounting Classification (SMA)
and maintain an accounting classification structure that includes the elements described
in the Common Government-wide Accounting Classification (CGAC) structure document.
The system must maintain each classification element independently.
The system must provide the capability to establish and maintain at least five (5) agency Accounting Classification (SMA)
mission-specific accounting classification data elements in conformity with Common
Government-wide Accounting Classification (CGAC) guidance.
SMA-03 The system must classify accounting transactions by any element of the Accounting Classification (SMA)
accounting classification structure, including any or all of the five agency mission-specific
classification elements.
Derive full accounting classifications on transactions from abbreviated user input. Accounting Classification (SMA)
Examples of methods include entering shorthand codes, deriving elements from an
entered field, or providing users with a list of values from which to choose.
The system must allow a qualified end user to maintain accounting classification elements Accounting Classification (SMA)
without the need to request technical support.
The system must provide automated functionality that controls the use of accounting Accounting Classification (SMA)
classification elements based on validity periods (start and end dates) as defined by a
user with special authorization.
The system must provide the automated capability to query document accounting data Accounting Classification (SMA)
using query parameters that must include all standard and agency-defined accounting
classification elements. Result is a list of selected document accounting lines that display
the document number, accounting classification elements, and accounting line amounts.
The system also must enable drill-down from accounting lines to general ledger
transaction details, including transaction numbers, transaction and system dates, and
debits and credits. – transfer to reporting 'RPC-05???
Maintain a revenue source code structure to classify types of revenue and receipts as Accounting Classification (SMA)
defined by the agency, such as rental income, sales by product type, and income by type
of service performed.
The system must provide the capability for a user with special authorization to establish Accounting Classification (SMA)
and maintain a TAS structure that includes the individual components described in the
Common Government-wide Accounting Classification (CGAC) structure document. List
of specific data elements will be included in the functional specification document.
The system must provide the capability for a user with special authorization to establish Accounting Classification (SMA)
and maintain additional (lower) levels of hierarchical Common Government-wide
Accounting Classification (CGAC) data elements (that is, establish parent-child
relationships with the ability to summarize, distribute funds, and report data at all defined
levels).
The system must provide the capability to maintain the common government-wide and Accounting Classification (SMA)
agency-specific data relationships prescribed in the Common Government-wide
Accounting Classification (CGAC) document guidance, including the following::
-Treasury Account Symbol (TAS) to multiple internal funds
- Internal fund to multiple USSGL attributes and fund attributes
-Program to multiple USSGL attributes, internal funds, projects, organizations, or
activities
-Strategic goal to multiple programs and projects.
(Removed data elements from requirement. List of specific data elements will be included
in the functional specification document.)
The system must provide the capability for a user with special authorization to establish Accounting Classification (SMA)
and maintain standard (OMB Circular No. A-11) object class codes and (agency-specific)
object class extension codes consistent with the Common Government-wide Accounting
Classification (CGAC) structure document.
The system must provide the automated capability to load government-wide (e.g., Accounting Classification (SMA)
Treasury, OMB) and agency-specific classification elements.
Page 48
ATSC
The system must provide the automated capability to derive accounting classification Accounting Classification (SMA)
element values based on agency-defined data relationships or business rules, e.g., derive
the TAS from the internal fund code.
The system must provide the automated capability to derive USSGL account attributes Accounting Classification (SMA)
from the internal fund code and use them to classify accounting transactions for reporting
to Treasury government-wide financial systems (e.g., FACTS I, FACTS II, GFRS, and
GTAS).
The system must provide the capability to link a fund origination year to an internal fund Accounting Classification (SMA)
code.zzzzzzz
To support the Security function, the Revenue System must provide the capability to allow Security (TLH)
entry into system only to those individuals who are authorized and only during times
authorized.
To support the Security function, the Revenue System must provide the capability to Security (TLH)
perform annual revalidation of the user.
To support the Security function, the Revenue System must provide the capability to Security (TLH)
maintain a history of password changes over a specified amount of time and preclude the
consecutive use of the same password, including changes and lost passwords.
To support the Security function, the Revenue System must provide the capability to Security (TLH)
require the use of unique user identifications and passwords for authentication purposes.
Passwords must be non-printing and non-displaying. The application must allow for the
enforcement of password standards (e.g., minimum length and use of alpha, numeric and
special characters). The application must also allow for the establishment of a specified
period for password expiration to provide changes on a regular basis, accommodate
prohibiting the user from reusing recent passwords and be capable of periodic change, at
option of user, and of mandatory change, at the option of the system administrator after a
specified period of time.
To support the Security function, the Revenue System must provide the capability to allow Security (TLH)
the user to void a transaction within the same day the original posting is made prior to
batch processing. Controls should be in effect to prevent transactions from being voided
on a date other than the date the transaction was originally posted.
To support the Security function, the Revenue System must provide the capability to alert Security (TLH)
and record when invalid access is attempted or when user ID limit is exceeded.
To support the Security function, the Revenue System must provide the capability to Security (TLH)
prevent the alteration of financial data (i.e., voids) except through the posting of
transactions that are entered through the normal edit and update process under proper
security.
To support the Security function, the Revenue System must provide the capability to Security (TLH)
comply with the National Institute of Standards and Technology (NIST) Security
Standards relating to the applications integrated security features. See http://csrc.nist.gov/
for more information.
To support the Security function, the Revenue System must provide the capability to Security (TLH)
control access to the application, functional modules, transactions, and data by having
integrated security features that are configurable by the system administrator.
To support the Security function, the Revenue System must provide the capability to Security (TLH)
query the audit log by type of access, date and time stamp range, user identification, or
terminal ID.
To support the Security function, the Revenue System must provide the capability to Security (TLH)
comply with Federal Information System Controls Audit Manual (FISCAM) standards.
To support Security function, the Revenue System should provide the capability to provide Security (TLH)
confidential Internet based communication from customer to system.
Page 49
ATSC
To support the Document and Transaction Control process, the Core financial system Document and Transaction Control
must provide automated functionality to capture an agency-specified transaction date (i.e., (SMB)
allow the agency to override the default transaction date with a date in any open
accounting period).
To support the Document and Transaction Control process, the Core financial system Document and Transaction Control
must provide automated functionality to define the level of fund control edits and tolerance (SMB)
checks as one of the following:
• Rejection
• Warning (override authority needed to post transaction)
• Information only (no override needed).
To support the Document and Transaction Control process, the Core financial system Document and Transaction Control
must provide automated functionality to capture the following accounting line item detail (SMB)
on all documents:
• Line item number
• Line item amount
• Line item accounting classification information.
To meet Infrastructure requirements, the Core financial system must ensure the delivered Infrastructure (TLB)
system includes a Structured Query Language (SQL) compliant relational database.
To add value to the Infrastructure functionality, the Core financial system should operate Infrastructure (TLB)
in a mainframe environment Operating System (OS).
To add value to the Infrastructure functionality, the Core financial system should operate Infrastructure (TLB)
in a server computing environment running under UNIX, LINUX, and Windows Server
2000 or above.
To support the Document Referencing and Modification process, the Core financial Document Referencing and
system must provide automated functionality to capture the latest system processing Modification (SMC)
status on all documents:
• Held: The user has decided to save (hold) the document and not allow the system to
process it. (Note: This status is distinguished from invoices that are processed and
warehoused, then “held” from inclusion in the payment schedule.)
• Suspended: The document has failed one or more system validations (edits) and is
prevented by the system from processing. The document is automatically stored for later
processing. Suspended documents may be automatically processed by the system upon
changes to underlying data, such as available funds.
• Pending Approval: The document has passed all system validations. The system will not
process the document until all approvals required by the agency's workflow configuration
have been applied. Not all documents require approvals.
• Approved: The document has passed all system validations (edits) and all required
approvals have been applied. The document is available for processing.
• Processed: All related accounting events have been recorded and system tables have
been updated.
• Open: The document has been processed but not liquidated or only partially liquidated.
The document is available for further processing.
• Closed: The document has been processed and completely liquidated. The system will
not add value to the Document Referencing and Modification process, the Coreuser.
To allow further processing against the document unless it is reopened by the financial Document Referencing and
system should provide automated functionality to reclassify accounting data from the Modification (SMC)
beginning of the current fiscal year or fiscal month.
To add value to the Workflow/Messaging functionality, the Core financial system should Workflow/Messaging (TLE)
ensure the delivered system complies with the current Workflow Management Coalition
(WFMC) Workflow Standard - Interoperability.
To meet Ad Hoc Query requirements, the Core financial system must deliver an Access and Retrieval
integrated ad hoc query capability to support agency access to and analysis of system
maintained financial data.
To meet Ad Hoc Query requirements, the Core financial system must deliver the Access and Retrieval
capability to define parameter-based query scripts that can be queued for execution,
stored for re-use and shared with other authorized agency users.
To meet Ad Hoc Query requirements, the Core financial system must process submitted Access and Retrieval
queries and queue output on-line for access by authorized users.
To meet Ad Hoc Query requirements, the Core financial system must distribute query Access and Retrieval
results or notifications of online query result availability to pre-defined individuals or
groups.
To meet Ad Hoc Query requirements, the Core financial system must deliver run-time Access and Retrieval
controls to prevent "run-away" queries and to restrict very large data download requests.
Page 50
ATSC
To meet Ad Hoc Query requirements, the Core financial system must deliver the Access and Retrieval
capability to display graphical output on the desktop with dynamic report reformatting.
To meet Ad Hoc Query requirements, the Core financial system must deliver an on-line Access and Retrieval
"drill-down" capability from summary amounts in queries to supporting detail records.
To meet Ad Hoc Query requirements, the Core financial system must deliver the Access and Retrieval
capability to download selected query data. Reformat downloaded query information for
direct access by common desktop applications (e.g., spreadsheet, ASCII text, ","
delimited).
To meet Ad Hoc Query requirements, the Core financial system must deliver the Access and Retrieval
capability to preview a query, form, report, or other result before printing.
To meet Ad Hoc Query requirements, the Core financial system must deliver capability to Access and Retrieval
access current year and historical financial data.
To meet Ad Hoc Query requirements, the Core financial system must deliver the following Access and Retrieval
ad hoc query interface features:
• Graphical display of data sources
• The ability to "point and click" on selectable table, data, and link objects for inclusion in a
custom query, and
• An active data dictionary to provide users with object definitions.
To meet General Design/Architecture requirements, the Core system must ensure the General Design/Architecture (TLA)
delivered system is modular, highly scalable and incorporates an open-systems
architecture.
To meet General Design/Architecture requirements, the Core system must ensure the General Design/Architecture (TLA)
delivered system is customizable to meet agency-defined business practices. Agency
customizable features must be table/parameter driven.
To meet General Design/Architecture requirements, the Core system must ensure the General Design/Architecture (TLA)
delivered system is upgradeable to accommodate changes in laws, regulations, best
practices or new technology.
To meet General Design/Architecture requirements, the Core system must deliver fault- General Design/Architecture (TLA)
free performance in the processing of date and date related data (including, calculating,
comparing, and sequencing) by all hardware and software products included as part of
the application both individually and in combination (i.e., be Y2K compliant).
To add value to the General Design/Architecture functionality, the Core system should General Design/Architecture (TLA)
ensure the delivered system is capable of processing online transactions, batch jobs and
transactions submitted via system interface simultaneously.
To support the Internal and External Reporting function, the Revenue System must be Reporting Framework
able to export data from the Revenue System to the Core financial system.
The revenue system shall provide the capability to export data from the Revenue System Reporting Framework
to the Core Financial System.
To support the Audit Trail function, the Revenue System must provide the capability to Control Framework
identify document input, change and approval by user.
The revenue system shall provide an audit trail capability by associating transaction input, Control Framework
modification, deletions, and approvals by user ID.
To support the Audit Trail function, the Revenue System must provide the capability to Monitoring and Compliance
select items for review based on user-defined criteria by type of transaction (e.g., by
receivable transactions, debtor, date range). For example, to select items for financial
statement audits.
The revenue system shall provide the capability to select items for review based on user- Control Framework
defined criteria.
To support the Records Retention function, the Revenue System must provide temporary Retention
restoration to the on-line system for browsing and reporting.
Page 51
ATSC
The system shall provide an authorized user the capability to retrieve archived data on- Control Framework
line.
The system shall provide an authorized user the capability to browse archived data on- Control Framework
line.
The system shall provide an authorized user the capability to report on archived data Reporting Framework
retrieved on-line.
To support Interface requirements, the Revenue System must provide the capability to Interfacing Framework
provide integration or appropriate interfaces between system modules and have the ability
to simultaneously update or interface with the various systems or modules without the
need for duplication
The revenue system shall provide the capability to integrate or appropriate interfaces Interfacing Framework
between system modules and have the ability to simultaneously update or interface with
the various systems or modules.
To support the Security function, the Revenue System must provide the capability to Control Framework
maintain an audit logging capability to record access activity of every user and every
terminal including:
• Time and date of use;
• Type of transaction;
• All log- in/log-out attempts by user and workstation;
• User submitted transactions;
• Initiated processes;
• System override events; and
• Direct additions, changes or deletions to application maintained data.
The revenue system shall provide an audit logging capability to record access activity of Control Framework
every authorized user and terminal to include the following information: • time and date of
use • type of transaction • all log-in/log-out attempts by authorized user and workstation •
authorized user submitted transactions • initiated processes • system override events •
direct additions, changes or deletions to application maintained data
To support the Security function, the Revenue System must provide the capability to allow Control Framework
the system administrator to restrict access to sensitive data elements such as social
security numbers and banking information by named user, groups of users, or functional
role.
The revenue system shall allow the system administrator to restrict access to sensitive Control Framework
data elements by user, groups of users, or functional role.
To support the Security function, the Revenue System must provide the capability to limit Control Framework
access to data files and programs by individuals attempting to access them both through
the system and through access methods external to the system for other than the data
base administrator.
The revenue system shall limit access to data files and programs by individuals Control Framework
attempting to access them both through the system and through access methods external
to the system for other than the data base administrator.
To support Security function, the Revenue System should provide the capability to Control Framework
maintain general profile identity attributes that could consist of a customer’s:
• Username;
• Name;
• Address;
• Home telephone number;
• Social Security Number;
• Date of birth;
• Personal e-mail address;
• Employer name;
• Employer address;
• Employee telephone number;
• Employer e-mail address; and
• Confidential questions and answers.
The revenue system shall provide the capability to maintain general profile identity Control Framework
attributes that consist of a customer’s: • username • name • address • home telephone
number • social security number • date of birth • personal e-mail address • employer name
• employer address • employee telephone number • employer e-mail address •
confidential questions and answers
Page 52
ATSC
BEA Mappings Internal Control Activities
Authorization
Certifying Officer Legislation (COL)
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Authorization
Certifying Officer Legislation (COL)
Authorization
Certifying Officer Legislation (COL)
Authorization
Certifying Officer Legislation (COL)
Authorization
Certifying Officer Legislation (COL)
Authorization
Certifying Officer Legislation (COL)
Authorization
Certifying Officer Legislation (COL)
Authorization
Certifying Officer Legislation (COL)
Authorization
Certifying Officer Legislation (COL)
Certifying Officer Legislation (COL)
Certifying Officer Legislation (COL)
Authorization
Certifying Officer Legislation (COL)
Authorization
Certifying Officer Legislation (COL)
Page 53
ATSC
Certifying Officer Legislation (COL)
Authorization
Certifying Officer Legislation (COL)
Authorization
Certifying Officer Legislation (COL)
Authorization
Certifying Officer Legislation (COL)
Authorization
Certifying Officer Legislation (COL)
Authorization
Certifying Officer Legislation (COL)
Authorization
Certifying Officer Legislation (COL)
Authorization
Certifying Officer Legislation (COL)
Certifying Officer Legislation (COL)
Certifying Officer Legislation (COL)
Design and use of Documents and
Records
Valuation of Recorded Amounts
Authorization
Certifying Officer Legislation (COL)
Authorization
Certifying Officer Legislation (COL)
Design and use of Documents and
Records
Authorization
Design and use of Documents and
Records
Summarization of Accounting Data
Valuation of Recorded Amounts
Authorization
Design and use of Documents and
Records
Segregation of Duties
Valuation of Recorded Amounts
Page 54
ATSC
Authorization
Certifying Officer Legislation (COL)
Authorization
Design and use of Documents and
Records
Summarization of Accounting Data
Valuation of Recorded Amounts
Authorization
Design and use of Documents and
Records
Design and use of Documents and
Records
Authorization
Design and use of Documents and
Records
Authorization
Certifying Officer Legislation (COL)
Authorization
Authorization
Authorization
Certifying Officer Legislation (COL)
Authorization
Authorization
Page 55
ATSC
Authorization
Certifying Officer Legislation (COL)
Authorization
Authorization
Authorization
Authorization
Authorization
Authorization
Authorization
Authorization
Authorization
Authorization
Authorization
Certifying Officer Legislation (COL)
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Page 56
ATSC
Certifying Officer Legislation (COL)
Design and use of Documents and
Records
Certifying Officer Legislation (COL)
Design and use of Documents and
Records
Certifying Officer Legislation (COL)
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Adequate Safeguards Over Access
To and Use of Assets and Records
Certifying Officer Legislation (COL)
Rights and Obligations
Segregation of Duties
Independent Checks
Certifying Officer Legislation (COL)
Segregation of Duties
Authorization
Design and use of Documents and
Records
Design and use of Documents and
Records
Page 57
ATSC
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Page 58
ATSC
Design and use of Documents and
Records
Design and use of Documents and
Records
Authorization
Independent Checks
Adequate Safeguards Over Access
To and Use of Assets and Records
Adequate Safeguards Over Access
To and Use of Assets and Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Approval
Presentation and Disclosure
Design and use of Documents and
Records
Adequate Safeguards Over Access
To and Use of Assets and Records
Authorization
Page 59
ATSC
Authorization
Adequate Safeguards Over Access
To and Use of Assets and Records
Adequate Safeguards Over Access
To and Use of Assets and Records
Authorization
Rights and Obligations
Authorization
Adequate Safeguards Over Access
To and Use of Assets and Records
Adequate Safeguards Over Access
To and Use of Assets and Records
Authorization
Adequate Safeguards Over Access
To and Use of Assets and Records
Authorization
Authorization
Authorization
Authorization
Authorization
Authorization
Authorization
Certifying Officer Legislation (COL)
Authorization
Certifying Officer Legislation (COL)
Page 60
ATSC
Authorization
Certifying Officer Legislation (COL)
Authorization
Certifying Officer Legislation (COL)
Authorization
Authorization
Authorization
Authorization
Authorization
Authorization
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Page 61
ATSC
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Page 62
ATSC
Authorization
Authorization
Authorization
Authorization
Authorization
Authorization
Authorization
Authorization
Authorization
Authorization
Authorization
Authorization
Authorization
Authorization
Authorization
Authorization
Authorization
Authorization
Authorization
Authorization
Authorization
Authorization
Authorization
Design and use of Documents and
Records
No Significant Control
Page 63
ATSC
Design and use of Documents and
Records
Design and use of Documents and
Records
Summarization of Accounting Data
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Page 64
ATSC
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
No Significant Control
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Page 65
ATSC
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Adequate Safeguards Over Access
To and Use of Assets and Records
Design and use of Documents and
Records
Adequate Safeguards Over Access
To and Use of Assets and Records
Design and use of Documents and
Records
Presentation and Disclosure
Design and use of Documents and
Records
No Significant Control
Design and use of Documents and
Records
No Significant Control
Design and use of Documents and
Records
No Significant Control
Authorization
Authorization
Authorization
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Page 66
ATSC
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Adequate Safeguards Over Access
To and Use of Assets and Records
Design and use of Documents and
Records
Presentation and Disclosure
Design and use of Documents and
Records
Presentation and Disclosure
Design and use of Documents and
Records
Presentation and Disclosure
Design and use of Documents and
Records
Presentation and Disclosure
Design and use of Documents and
Records
Presentation and Disclosure
Design and use of Documents and
Records
Presentation and Disclosure
Page 67
ATSC
Design and use of Documents and
Records
Presentation and Disclosure
Design and use of Documents and
Records
Presentation and Disclosure
Design and use of Documents and
Records
Presentation and Disclosure
Design and use of Documents and
Records
Presentation and Disclosure
Design and use of Documents and
Records
Presentation and Disclosure
Design and use of Documents and
Records
Presentation and Disclosure
Design and use of Documents and
Records
Presentation and Disclosure
Design and use of Documents and
Records
Presentation and Disclosure
Design and use of Documents and
Records
Presentation and Disclosure
Design and use of Documents and
Records
Adequate Safeguards Over Access
To and Use of Assets and Records
Design and use of Documents and
Records
Presentation and Disclosure
Design and use of Documents and
Records
Design and use of Documents and
Records
Authorization
Design and use of Documents and
Records
Rights and Obligations
Page 68
ATSC
Design and use of Documents and
Records
Design and use of Documents and
Records
Presentation and Disclosure
Design and use of Documents and
Records
Presentation and Disclosure
Summarization of Accounting Data
Design and use of Documents and
Records
Design and use of Documents and
Records
Authorization
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Presentation and Disclosure
Design and use of Documents and
Records
Valuation of Recorded Amounts
Authorization
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Valuation of Recorded Amounts
Design and use of Documents and
Records
Design and use of Documents and
Records
Valuation of Recorded Amounts
Design and use of Documents and
Records
Valuation of Recorded Amounts
Page 69
ATSC
Adequate Safeguards Over Access
To and Use of Assets and Records
Design and use of Documents and
Records
Authorization
Design and use of Documents and
Records
Authorization
Design and use of Documents and
Records
Authorization
Design and use of Documents and
Records
Authorization
Design and use of Documents and
Records
Adequate Safeguards Over Access
To and Use of Assets and Records
Authorization
Authorization
Design and use of Documents and
Records
Authorization
Design and use of Documents and
Records
Authorization
Design and use of Documents and
Records
Authorization
Design and use of Documents and
Records
Authorization
Design and use of Documents and
Records
Authorization
Presentation and Disclosure
Authorization
Design and use of Documents and
Records
Authorization
Design and use of Documents and
Records
Authorization
Design and use of Documents and
Records
Design and use of Documents and
Records
Presentation and Disclosure
Design and use of Documents and
Records
Valuation of Recorded Amounts
Adequate Safeguards Over Access
To and Use of Assets and Records
Design and use of Documents and
Records
Page 70
ATSC
Adequate Safeguards Over Access
To and Use of Assets and Records
Design and use of Documents and
Records
Adequate Safeguards Over Access
To and Use of Assets and Records
Design and use of Documents and
Records
Adequate Safeguards Over Access
To and Use of Assets and Records
Design and use of Documents and
Records
Adequate Safeguards Over Access
To and Use of Assets and Records
Design and use of Documents and
Records
Adequate Safeguards Over Access
To and Use of Assets and Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Adequate Safeguards Over Access
To and Use of Assets and Records
Design and use of Documents and
Records
Adequate Safeguards Over Access
To and Use of Assets and Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Adequate Safeguards Over Access
To and Use of Assets and Records
Authorization
Design and use of Documents and
Records
May Be a Control Risk
Page 71
ATSC
Adequate Safeguards Over Access
To and Use of Assets and Records
Authorization
Design and use of Documents and
Records
Authorization
Design and use of Documents and
Records
May Be a Control Risk
Adequate Safeguards Over Access
To and Use of Assets and Records
Adequate Safeguards Over Access
To and Use of Assets and Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Adequate Safeguards Over Access
To and Use of Assets and Records
Presentation and Disclosure
Valuation of Recorded Amounts
Adequate Safeguards Over Access
To and Use of Assets and Records
Certifying Officer Legislation (COL)
Design and use of Documents and
Records
Design and use of Documents and
Records
Adequate Safeguards Over Access
To and Use of Assets and Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Valuation of Recorded Amounts
Page 72
ATSC
Adequate Safeguards Over Access
To and Use of Assets and Records
Design and use of Documents and
Records
Adequate Safeguards Over Access
To and Use of Assets and Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Adequate Safeguards Over Access
To and Use of Assets and Records
Design and use of Documents and
Records
Adequate Safeguards Over Access
To and Use of Assets and Records
Design and use of Documents and
Records
Adequate Safeguards Over Access
To and Use of Assets and Records
Design and use of Documents and
Records
Adequate Safeguards Over Access
To and Use of Assets and Records
Design and use of Documents and
Records
Adequate Safeguards Over Access
To and Use of Assets and Records
Design and use of Documents and
Records
Adequate Safeguards Over Access
To and Use of Assets and Records
Rights and Obligations
Adequate Safeguards Over Access
To and Use of Assets and Records
Approval
Authorization
Rights and Obligations
Adequate Safeguards Over Access
To and Use of Assets and Records
Certifying Officer Legislation (COL)
Valuation of Recorded Amounts
Page 73
ATSC
Adequate Safeguards Over Access
To and Use of Assets and Records
Certifying Officer Legislation (COL)
Valuation of Recorded Amounts
Adequate Safeguards Over Access
To and Use of Assets and Records
Certifying Officer Legislation (COL)
Valuation of Recorded Amounts
Summarization of Accounting Data
Summarization of Accounting Data
Summarization of Accounting Data
Summarization of Accounting Data
Summarization of Accounting Data
Summarization of Accounting Data
Summarization of Accounting Data
Summarization of Accounting Data
Summarization of Accounting Data
Summarization of Accounting Data
Summarization of Accounting Data
Summarization of Accounting Data
Summarization of Accounting Data
Page 74
ATSC
Summarization of Accounting Data
Summarization of Accounting Data
Summarization of Accounting Data
Approval
Authorization
Rights and Obligations
Approval
Authorization
Independent Checks
Rights and Obligations
Adequate Safeguards Over Access
To and Use of Assets and Records
Authorization
Design and use of Documents and
Records
Presentation and Disclosure
Adequate Safeguards Over Access
To and Use of Assets and Records
Approval
Authorization
Presentation and Disclosure
Rights and Obligations
Adequate Safeguards Over Access
To and Use of Assets and Records
Design and use of Documents and
Records
Adequate Safeguards Over Access
To and Use of Assets and Records
Design and use of Documents and
Records
Presentation and Disclosure
Adequate Safeguards Over Access
To and Use of Assets and Records
Authorization
Design and use of Documents and
Records
Adequate Safeguards Over Access
To and Use of Assets and Records
Adequate Safeguards Over Access
To and Use of Assets and Records
Authorization
Authorization
Design and use of Documents and
Records
Presentation and Disclosure
Rights and Obligations
Adequate Safeguards Over Access
To and Use of Assets and Records
Adequate Safeguards Over Access
To and Use of Assets and Records
Design and use of Documents and
Records
Page 75
ATSC
Adequate Safeguards Over Access
To and Use of Assets and Records
Design and use of Documents and
Records
Adequate Safeguards Over Access
To and Use of Assets and Records
Design and use of Documents and
Records
Adequate Safeguards Over Access
To and Use of Assets and Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Design and use of Documents and
Records
Rights and Obligations
Design and use of Documents and
Records
Design and use of Documents and
Records
Presentation and Disclosure
Design and use of Documents and
Records
Presentation and Disclosure
Adequate Safeguards Over Access
To and Use of Assets and Records
Design and use of Documents and
Records
Presentation and Disclosure
Adequate Safeguards Over Access
To and Use of Assets and Records
Design and use of Documents and
Records
Presentation and Disclosure
Design and use of Documents and
Records
Page 76
ATSC
Design and use of Documents and
Records
Presentation and Disclosure
Design and use of Documents and
Records
Presentation and Disclosure
Design and use of Documents and
Records
Presentation and Disclosure
Design and use of Documents and
Records
Presentation and Disclosure
Design and use of Documents and
Records
Presentation and Disclosure
Design and use of Documents and
Records
Presentation and Disclosure
Adequate Safeguards Over Access
To and Use of Assets and Records
Design and use of Documents and
Records
Adequate Safeguards Over Access
To and Use of Assets and Records
Design and use of Documents and
Records
Adequate Safeguards Over Access
To and Use of Assets and Records
Design and use of Documents and
Records
Adequate Safeguards Over Access
To and Use of Assets and Records
Design and use of Documents and
Records
Adequate Safeguards Over Access
To and Use of Assets and Records
Presentation and Disclosure
Process: Generate Receivable Pro Forma Entries; OV6CDiagram: FV - Record and Design and use of Documents and
Manage Receivable; Activity: Establish Accounts Receivable; ActivityID: A8121; Records
OV5Diagram: Manage Receivables Presentation and Disclosure
Process: Generate Receivable Pro Forma Entries; OV6CDiagram: FV - Record and Design and use of Documents and
Manage Receivable; Activity: Establish Accounts Receivable; ActivityID: A8121; Records
OV5Diagram: Manage Receivables Presentation and Disclosure
Process: Establish Receivable; OV6CDiagram: FV - Record and Manage Receivable; Authorization
Activity: Establish Accounts Receivable; ActivityID: A8121; OV5Diagram: Manage Design and use of Documents and
Receivables Records
Valuation of Recorded Amounts
Process: Establish Receivable; OV6CDiagram: FV - Record and Manage Receivable; Certifying Officer Legislation (COL)
Activity: Establish Accounts Receivable; ActivityID: A8121; OV5Diagram: Manage Design and use of Documents and
Receivables Records
Valuation of Recorded Amounts
Process: Establish Receivable; OV6CDiagram: FV - Record and Manage Receivable; Certifying Officer Legislation (COL)
Activity: Establish Accounts Receivable; ActivityID: A8121; OV5Diagram: Manage Valuation of Recorded Amounts
Receivables
Process: Establish Receivable; OV6CDiagram: FV - Record and Manage Receivable; Authorization
Activity: Establish Accounts Receivable; ActivityID: A8121; OV5Diagram: Manage Design and use of Documents and
Receivables Records
Presentation and Disclosure
Process: Maintain Accounts Receivable Balances; OV6CDiagram: FV - Record and Design and use of Documents and
Manage Receivable; Activity: Manage Accounts Receivable Balance; ActivityID: A8122; Records
OV5Diagram: Manage Receivables
Page 77
ATSC
Process: Maintain Accounts Receivable Balances; OV6CDiagram: FV - Record and Adequate Safeguards Over Access
Manage Receivable; Activity: Manage Accounts Receivable Balance; ActivityID: A8122; To and Use of Assets and Records
OV5Diagram: Manage Receivables Approval
Design and use of Documents and
Records
Process: Maintain Accounts Receivable Balances; OV6CDiagram: FV - Record and Authorization
Manage Receivable; Activity: Manage Accounts Receivable Balance; ActivityID: A8122; Design and use of Documents and
OV5Diagram: Manage Receivables Records
Process: Maintain Accounts Receivable Balances; OV6CDiagram: FV - Record and Adequate Safeguards Over Access
Manage Receivable; Activity: Manage Accounts Receivable Balance; ActivityID: A8122; To and Use of Assets and Records
OV5Diagram: Manage Receivables Authorization
Summarization of Accounting Data
Design and use of Documents and
Records
Design and use of Documents and
Records
Adequate Safeguards Over Access
To and Use of Assets and Records
Authorization
Adequate Safeguards Over Access
To and Use of Assets and Records
Authorization
Process: Establish Customer Information; OV6CDiagram: FV - Record and Manage Adequate Safeguards Over Access
Receivable; Activity: Establish Accounts Receivable; ActivityID: A8121; OV5Diagram: To and Use of Assets and Records
Manage Receivables Authorization
Adequate Safeguards Over Access
To and Use of Assets and Records
Rights and Obligations
Adequate Safeguards Over Access
To and Use of Assets and Records
Rights and Obligations
Adequate Safeguards Over Access
To and Use of Assets and Records
Rights and Obligations
Process: Establish Customer Information; OV6CDiagram: FV - Record and Manage Adequate Safeguards Over Access
Receivable; Activity: Establish Accounts Receivable; ActivityID: A8121; OV5Diagram: To and Use of Assets and Records
Manage Receivables Authorization
Design and use of Documents and
Records
Process: Establish Customer Information; OV6CDiagram: FV - Record and Manage Adequate Safeguards Over Access
Receivable; Activity: Establish Accounts Receivable; ActivityID: A8121; OV5Diagram: To and Use of Assets and Records
Manage Receivables Authorization
Design and use of Documents and
Records
Page 78
ATSC
Sources
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SME-01
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLI-08
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLI-06
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLI-06
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLI-06
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMC-07
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLI-07
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SME-02
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-13
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-13
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-13
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-13
Source: DoDFMR Vol 06A, Ch 02; Source Date: 11/1/2008; Source Number: 020202.B.1
Source: DoDFMR, Volume 6A, Chapter 2; Source Date: 3/1/2008; Source Number:
020202.B.1
Source: DoDFMR Vol 06A, Ch 02; Source Date: 11/1/2008; Source Number: 020202.B.3
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: GLE-02
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLD-01
Source: DoDFMR Vol 06A, Ch 02; Source Date: 11/1/2008; Source Number: 020202.B.2
Page 79
ATSC
Source: DoDFMR Vol 06A, Ch 02; Source Date: 11/1/2008; Source Number: 020202.B.4
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-06
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-12
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-12
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-12
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-12
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-12
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-30
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: GLE-03
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: GLG-08
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-31
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SME-05
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLD-04
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-20
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-22
Page 80
ATSC
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-24
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-35
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SME-03
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLD-02
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLD-06
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-01
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-02
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-03
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-04
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-05
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-07
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-08
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-09
Page 81
ATSC
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-11
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-14
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-14
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-14
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-15
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-17
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-18
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-23
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-25
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-27
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-29
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-36
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLI-09
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLI-09
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLI-09
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLI-09
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLI-09
Page 82
ATSC
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLD-05
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLD-05
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLD-05
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLI-01
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLD-03
Source: OMB Circular A-127; Source Date: 1/1/2009; Source Number: Sec. 6.K
Source: OMB Circular A-127; Source Date: 1/1/2009; Source Number: Sec. 6.K
Source: OMB Circular A-127; Source Date: 1/1/2009; Source Number: Sec. 6.K
Source: OMB Circular A-127; Source Date: 1/1/2009; Source Number: Sec. 6.L
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLH-01
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLH-04
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLH-03
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLE-05
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLI-12
Source: OMB Circular A-127; Source Date: 1/1/2009; Source Number: Sec. 6.K
Page 83
ATSC
Source: OMB Circular A-127; Source Date: 1/1/2009; Source Number: 6.K
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLF-01
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLF-01
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLF-01
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLF-02
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLF-03
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLF-03
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLF-03
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLK-01
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLK-01
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLK-01
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLK-01
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLK-02
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLK-03
Page 84
ATSC
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLK-04
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLK-05
Source: OMB Circular A-130; Source Date: 11/1/2000; Source Number: Appendix III, Sec.
A.3
Source: OMB Circular A-130; Source Date: 11/1/2000; Source Number: Appendix III, Sec.
B.a.2.c
Source: OMB Circular A-130; Source Date: 11/1/2000; Source Number: Sec. 8.a.1.g
Source: OMB Circular A-130; Source Date: 11/1/2000; Source Number: Sec. 8, a.1.j
Source: OMB Circular A-130; Source Date: 11/1/2000; Source Number: Sec. 8, a.1.k
Source: OMB Circular A-130; Source Date: 11/1/2000; Source Number: Sec. 8, a.2
Source: OMB Circular A-130; Source Date: 11/1/2000; Source Number: Sec. 8, a.3
Source: OMB Circular A-130; Source Date: 11/1/2000; Source Number: Sec. 8, a.4.a
Source: OMB Circular A-130; Source Date: 11/1/2000; Source Number: Sec. 8, a.9.c
Page 85
ATSC
Source: OMB Circular A-130; Source Date: 11/1/2000; Source Number: Sec. 8, a.9.b
Source: OMB Circular A-130; Source Date: 11/1/2000; Source Number: Appendix III, Sec.
A.3.b.2.f
Source: DoDD 8500.01E, Cert.; Source Date: 4/1/2007; Source Number: Sec. 4.8.2
Source: DoDD 8500.01E, Cert.; Source Date: 4/1/2007; Source Number: Sec. 4.9 4.9.2
Source: DoDD 8500.01E, Cert.; Source Date: 4/1/2007; Source Number: Sec. 4.17
Source: NSTISSP No. 11; Source Date: 7/1/2008; Source Number: Sec. 5
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SME-04
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SME-04
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SME-04
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SME-04
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-16
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-16
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-16
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-19
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-19
Page 86
ATSC
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-19
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-19
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-26
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-26
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-28
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-26
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-28
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-32
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-33
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-34
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMC-01
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMC-01
Source: FSIO OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMC-02
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMC-03
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMC-04
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMC-04
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMC-04
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMC-05
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMC-06
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMC-06
Page 87
ATSC
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMC-06
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMC-08
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMC-10
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMC-10
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMC-10
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMC-10
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMC-11
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMC-11
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMC-11
Source: FSIO OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMC-12
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMC-12
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMC-12
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMC-12
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMC-13
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMC-13
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMC-13
Source: JFMIP SR-02-02; Source Date: 6/1/2002; Source Number: page 59
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMC-15
Page 88
ATSC
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLE-01
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLE-01
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLE-01
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLE-01
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLE-01
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLE-02
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLE-02
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLE-02
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLE-02
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLE-02
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLE-02
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLE-03
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLE-04
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLE-04
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLE-04
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLE-06
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLE-07
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLE-07
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLE-07
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLE-07
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLE-07
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLE-08
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLE-09
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLE-10
Page 89
ATSC
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLE-11
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLJ-12
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLJ-13
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMD-01
Source: FSIO OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMD-02
Source: FSIO OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMD-03
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMD-03
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMD-03
Source: FSIO OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMD-04
Source: FSIO OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMD-05
Source: FSIO OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMD-06
Source: FSIO OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMD-07
Page 90
ATSC
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMD-07
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMD-07
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMD-07
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMD-07
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMD-07
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMD-07
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMD-07
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMD-07
Source: FSIO OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMD-08
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMD-08
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMD-08
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMD-08
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLA-04
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLA-04
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLA-04
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLA-04
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLA-04
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLA-07
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLA-07
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLA-07
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLA-07
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLA-07
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLB-04
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLC-01
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLC-02
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLC-03
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLC-04
Page 91
ATSC
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLC-05
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLC-06
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLD-07
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLD-08
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLD-09
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLD-10
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLG-01
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLG-02
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLG-03
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLG-04
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLG-05
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLG-06
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLI-02
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLI-03
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLI-04
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLI-05
Page 92
ATSC
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLI-10
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLI-11
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLI-13
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLL-01
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLL-02
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLL-03
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLL-04
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLL-05
Source: Special Publication 800-53, Revision 2; Source Date: 12/1/2007; Source Number:
SI-11
Source: DoDFMR, Volume 1, Chapter 9; Source Date: 4/1/2009; Source Number: Para.
090201
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: IER-3
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: IER-5
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: IER-6
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: IER-9
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: IER-10
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: IER-11
Page 93
ATSC
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: IER-12
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: IER-14
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: IER-15
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: IER-16
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: IER-17
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: IER-18
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: IER-19
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: BPA-12
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: DAS-5
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: TV-2
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: TV-3
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: TV-5
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: TV-7
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: TV-8
Page 94
ATSC
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: TV-9
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: TV-11
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: TV-12
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: TV-13
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: TV-14
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: TV-15
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: TV-16
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: TV-17
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: TV-18
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: TV-18
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: TV-19
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: TV-21
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: TV-22
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: TV-24
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: TV-24
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: TV-25
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: TV-27
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: AR-1
Page 95
ATSC
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: AT-1
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: OLQ-1
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: OLQ-4
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: OLQ-11
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: OLQ-12
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: AHQ-1
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: AHQ-2
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: AHQ-3
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: AHQ-4
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: AHQ-5
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: AHQ-6
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: AHQ-7
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: AHQ-8
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: AHQ-9
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: AHQ-9
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: I-4
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: AD-2
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: I-3
Page 96
ATSC
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: I-5
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: I-6
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: I-7
Source: OMB Memorandum M-07-03; Source Date: 11/1/2006; Source Number:
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: I-8
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: S-6
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: GLC
Source: OMB Circular A-127; Source Date: 7/1/1993; Source Number:
Source: GAO/AIMD-00-21.3.1; Source Date: 11/1/1999; Source Number:
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLH-03
Source: DFAS 7000.10-I; Source Date: 9/1/2007; Source Number: Para. C6.6.3.2.1.5
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMA-09
Source: FSIO OFFM-NO-0106; Source Date: 1/1/2006; Source Number: FBA-03
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: FBA-10
Source: TFM, Vol I, Part 2, Chapter 4700 Sec. 4707.20a; Source Date: ; Source Number:
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: GLE-01
Source: DoDI 8500.2, February 2003; Source Date: ; Source Number: req. CODB-2
Source: Special Publication 800-53, Revision 2, December 2007; Source Date: ; Source
Number: req. CP-6
Page 97
ATSC
Source: JFMIP SR-02-02; Source Date: 6/1/2002; Source Number: page 61
Source: JFMIP SR-02-02; Source Date: 6/1/2002; Source Number: page 59
Source: DoDI 8500.2, February 2003; Source Date: ; Source Number: req. COAS-1, req.
COAS-2
Source: Special Publication 800-53, Revision 2, December 2007; Source Date: ; Source
Number: req. CP-7
Source: JFMIP SR-02-02, 63; Source Date: 6/1/2002; Source Number: Pg. 63; 09.06.22
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SME-01
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLD-04
Source: DoDFMR Vol 06A, Ch 02; Source Date: 11/1/2008; Source Number: 020202.B.5
Source: DoDFMR Vol 06A, Ch 02; Source Date: 11/1/2008; Source Number: 020202.B.6
Source: DoDFMR Vol 06A, Ch 02; Source Date: 2/1/2009; Source Number: 020202.B.7.a
Source: DoDI 8500.2; Source Date: 2/1/2003; Source Number: Sec. 5.7.4
Source: DoDI 8510.01; Source Date: 11/1/2007; Source Number: Sec. 4.5
Source: DoDD 8500.01E, Cert.; Source Date: 4/1/2007; Source Number: Sec. 4.13
Source: DoDI 8500.2; Source Date: 2/1/2003; Source Number: Sec. 5.7.5
Source: DoDI 8510.01; Source Date: 11/1/2007; Source Number: Sec. 4.1
Source: JFMIP SR-02-02; Source Date: 6/1/2002; Source Number: page 59
Source: JFMIP SR-02-02; Source Date: 6/1/2002; Source Number: page 59
Source: JFMIP SR-02-02; Source Date: 6/1/2002; Source Number: page 60
Page 98
ATSC
Source: JFMIP SR-02-02; Source Date: 6/1/2002; Source Number: page 60
Source: JFMIP SR-02-02; Source Date: 6/1/2002; Source Number: page 60
Source: JFMIP SR-02-02; Source Date: 6/1/2002; Source Number: page 60
Source: JFMIP SR-02-02; Source Date: 6/1/2002; Source Number: page 61
Source: JFMIP SR-02-02; Source Date: 6/1/2002; Source Number: page 61
Source: JFMIP SR-02-02; Source Date: 6/1/2002; Source Number: page 61
Source: JFMIP SR-02-02; Source Date: 6/1/2002; Source Number: page 61
Source: JFMIP SR-02-02; Source Date: 6/1/2002; Source Number: page 61
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLH-02
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLH-05
Source: DoDI 8510.01; Source Date: 11/1/2007; Source Number: Sec. 4.9
Page 99
ATSC
Source: FISMA of 2002; Source Date: ; Source Number: Sec. 305(c)(2)
Source: DoDI 8510.01; Source Date: 11/1/2007; Source Number: Sec. 1.5
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMA-01
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMA-02
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMA-03
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMA-04
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMA-05
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMA-06
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMA-07
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMA-08
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMA-09
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMA-10
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMA-11
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMA-12
Source: FSIO Exposure Draft; Source Date: 7/1/2009; Source Number: SMA-14
Source: FSIO Exposure Draft; Source Date: 2/1/2010; Source Number: XFA-14
Page 100
ATSC
Source: FSIO Exposure Draft; Source Date: 7/1/2009; Source Number: SMA-15
Source: FSIO Exposure Draft; Source Date: 2/1/2010; Source Number: XFA-15
Source: FSIO Exposure Draft; Source Date: 7/1/2009; Source Number: SMA-16
Source: FSIO Exposure Draft; Source Date: 2/1/2010; Source Number: XFA-16
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMA-17
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: S-1
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: S-2
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: S-3
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: S-4
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: S-8
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: S-10
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: S-11
Source: 31 CFR; Source Date: ; Source Number: 1.22 (d) (3) (i)
Source: 41 CFR; Source Date: ; Source Number: 301-71.3
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: S-12
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: S-13
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: S-14
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: S-15
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: S-16
Page 101
ATSC
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-28
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-10
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMB-21
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLB-01
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLB-02
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLB-03
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMC-09
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: SMC-14
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLE-12
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLJ-01
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLJ-02
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLJ-03
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLJ-04
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLJ-05
Page 102
ATSC
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLJ-06
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLJ-07
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLJ-08
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLJ-09
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLJ-10
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLJ-11
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLA-01
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLA-02
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLA-03
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLA-05
Source: OFFM-NO-0106; Source Date: 1/1/2006; Source Number: TLA-06
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: IER-1
Source: DFAS 7900.4G, Ver 6.0,; Source Date: 1/1/2007; Source Number:
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: 05.06.09, IER1
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: AT-2
Source: DFAS 7900.4G, Ver 6.0,; Source Date: 1/1/2007; Source Number:
Source: JFMIP-SR-03-01,; Source Date: 1/1/2003; Source Number: AT-2; 05.17.02
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: AT-3
Source: DFAS 7900.4G, Ver 6.0,; Source Date: 1/1/2007; Source Number:
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: AT-3; 05.17.03
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: AD-1
Page 103
ATSC
Source: DFAS 7900.4G, Ver 6.0,; Source Date: 1/1/2007; Source Number:
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: AD-1; 05.20.01
Source: DFAS 7900.4G, Ver 6.0,; Source Date: 1/1/2007; Source Number:
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: AD-1; 05.20.01
Source: DFAS 7900.4G, Ver 6.0,; Source Date: 1/1/2007; Source Number:
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: AD-1; 05.20.01
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: I-2
Source: DFAS 7900.4G, Ver 6.0; Source Date: 1/1/2007; Source Number:
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: I-2: 05.21.02
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: S-5
Source: DFAS 7900.4G, Ver 6.0,; Source Date: 1/1/2007; Source Number:
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: S-5; 05.22.05
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: S-7
Source: DFAS 7900.4G, Ver 6.0,; Source Date: 1/1/2007; Source Number:
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: S-7; 05.22.07
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: S-9
Source: DFAS 7900.4G, Ver 6.0.; Source Date: 1/1/2007; Source Number:
Source: JFMIP-SR-03-01, S-9, Jan 2003; Source Date: 1/1/2003; Source Number: 0S-9;
5.22.09
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: S-17
Source: DFAS 7900.4G, Ver 6.0.; Source Date: 1/1/2007; Source Number:
Source: JFMIP-SR-03-01; Source Date: 1/1/2003; Source Number: S-17 05.22.17
Page 104
Business_Rules
Functional Area Published in Unique ID Func Rqmt Func Rqmt Business Rule
Release # Unique ID Parent ID Title/Name
Audit Trails and System Controls 7 ATSC-BR- Management
0006 Information System
Audit Trails and System Controls 7 ATSC-BR- Control Framework
0007
Audit Trails and System Controls 7 ATSC-BR- Registration
0008
Audit Trails and System Controls 8 ATSC-BR- Classification
0009
Audit Trails and System Controls 8 ATSC-BR- Tracking
0010
Audit Trails and System Controls 8 ATSC-BR- Audit Trail
0011
Audit Trails and System Controls 8 ATSC-BR- Access and Retrieval
0012
Page 105
Business_Rules
Audit Trails and System Controls 8 ATSC-BR- Record Transfer,
0013 Archive, and Interface
Audit Trails and System Controls 7 ATSC-BR- Retention Schedule
0014
Audit Trails and System Controls 8 ATSC-BR- Record Retirement
0015 (Destruction)
Audit Trails and System Controls 8 ATSC-BR- Disaster and
0016 Continuity of
Operations Recovery
Program
Audit Trails and System Controls 8 ATSC-BR- Training
0017
Page 106
Business_Rules
Audit Trails and System Controls 7 ATSC-BR- Monitoring and
0018 Compliance
Page 107
Business_Rules
Business Rule Description DFAS Process Name
A Management Information System provides information to support operational control,
management control, and decision-making functions in an organization. An information
system can be considered as an arrangement of a number of elements that provides
effective information for decision-making and control of functionalities of an organization.
Information is an entity that reduces uncertainty about an event or situation. Enterprises
use information systems to reduce costs, control wastes, or generate revenue. The
information system has far reaching effects for smooth and efficient operation.
The control framework for financial records refers to all the laws, regulations, policies and
procedures that provide assurance that records are created, managed, and used in
support of the government’s financial accountability requirements. Records management
controls work on the assumption that all transactions are to be clearly documented and
recorded, and the documentation is to be readily available for as long as necessary to
meet operational, legislative, regulatory and accountability requirements.
All financial records should be registered and classified as the foundation for managing
their use, retention and eventual disposal. Registration provides evidence that a record
has been created or received into a records system. It formalizes the capture of the
record. It involves recording brief descriptive information about the record in a register,
and assigning the record a unique identifier. Although implicit in computerized financial
management systems, capturing the date of the transaction at the time of registration is
an important part of the registration process. Registration, as a process is vital for
accountability. It is also a key point at which a variety of data that can facilitate the
accessibility and management of a record can be captured and made available.
The Department of Defense shall utilize a classification system for financial databases. A
classification system for financial transaction records comprises the revenue and
expenditure categories established by the government to plan revenues, expenditures,
funding (financing) and other financial flows in the budget/planning system, and
subsequently used as codes in the accounting system to classify actual revenues,
expenditures, financing and other flows, and to record assets and liabilities. (Note -
Classification systems enable an organization to organize, describe and provide improved
access, retrieval, use and dissemination of its records, as appropriate. It organizes files
and documents into a logical (i.e. hierarchical) arrangement to facilitate controlled access
and disposal).
The Department of Defense shall have the capability to track all transactions. Tracking is
critical to aid retrieval and ensure that records are not lost or misfiled. Staff should be able
to determine in a timely and efficient manner the location of every transaction record or
file, as appropriate, for which they are responsible. Tracking is also an important control
for deterring unauthorized access.
The Department of Defense shall have the capability to produce an audit trail for all
transactions. An audit trail is required to ensure that transactions can be traced from
creation, through processing, to the final statements. (Note - The system must be able to
trace records in order to provide sufficient and reliable evidence that only valid
transactions have been processed. The audit trail should ensure that all transactions
could be followed through the financial system, from originating documents to the financial
statements and vice versa. The record keeping system must permit the auditor to trace
transactions between the creation of the originating document, manual transaction
registers, journals and ledgers), in both directions, and through successive levels of
summarization. The record keeping system must ensure that all relevant data and
financial audit trail information is retained for a sufficient time to complete the audit.
The Department of Defense shall protect records and associated data within their
Databases. Records must remain useable throughout their lifetime; however, access
must be restricted to authorized individuals to protect the integrity of the records. Records
should be physically identified and arranged to facilitate retrieval by authorized individuals
for the entire period of their retention. (Note - It is important to maintain finding aids that
document the location of all financial records storage facilities, and the location of
particular records series. Strategies for retaining electronic records and associated
metadata removed from current records systems have to be formulated to ensure that
electronic records remain accessible throughout the entire period of their retention. Such
strategies must be integrated into all systems design processes).
Page 108
Business_Rules
Department of Defense records must be transferred according to agreed disposal
instructions to demonstrate compliance with the legal and regulatory framework and to
maintain efficiency. (Note - There are several reasons why records should be transferred
from the custody or ownership of the agency that created them, including restructuring
within the organization, the outsourcing of business activities or transfer to a records
centre or archives according to requirements laid down in retention schedules. When
records are transferred to a records center, ownership is usually retained by the
transferring agency. The records center is simply the custodian of the records,
responsible for protecting them, tracking their movement within and outside the center,
and ensuring their proper destruction. In transferring records, it is essential to determine
Records must be managed in accordance with retention schedules to ensure that records
are kept as long as they are required for evidence, and disposed of as soon as possible to
maintain efficiency. A retention schedule is an instrument to standardize decision-making
in the disposal of records. It consists of a formally approved schedule of records series,
retention periods and appropriate disposal actions, which is submitted for approval by an
external authority, such as a national records advisory committee. Any financial records
created or captured must have a retention period assigned so it is clear how long they
should be maintained.
The Department of Defense shall ensure all records are destroyed according to
authorized disposal instructions to demonstrate compliance with the legal and regulatory
framework and to maintain efficiency. (Note - Records must be destroyed in a controlled
and secure manner and in accordance with authorized disposal instructions. The
destruction of records must be clearly documented to provide evidence of destruction
according to an agreed program. Physical destruction of records must be undertaken by
methods appropriate to the confidentiality of the records and in accordance with disposal
instructions. An audit trail documenting all destruction of records should be maintained by
the creating agency. Certificates of destruction should be obtained for all destruction
undertaken by third parties. Where disposal schedules are not in place, the written
authorization of the national records and archives institution should be obtained prior to
destruction).
The Department of Defense shall have a Continuity of Operations Recovery Program in
place. (Note - A vital records protection program will protect against some disasters and
lessen the damage of others, but disasters will still happen and the results can be
devastating to an organization unless it has implemented policies and procedures to
protect its records. When a disaster does occur there must be a disaster recovery
service. A disaster recovery program should consist of three parts: prevention,
The Department of Defense shall establish a plan that ensures all staff must receive
training in managing records. This will vary in method of delivery, duration, and scope
according to the role and stage of development of individual staff members. Induction
training should be provided in a timely fashion to all staff. Included in this should be basic
guidance on the rules and regulations governing the creation and handling of records,
particularly the legal responsibilities conferred on all staff by the national records and
archives act. In addition, records staff should receive more detailed guidance in their
induction training to help them understand the structures and duties of the government
records management system. Accounting staff should also receive guidance in the day to
day management of financial records.
Page 109
Business_Rules
The program for managing financial records should be monitored on a regular basis.
Monitoring should be carried out according to an agreed program to ensure the continued
evidential and legal accountability of an organization’s records management system for
financial records and its continuing effectiveness. The monitoring processes must be
documented to provide evidence of compliance with policies, procedures, and standards
for managing records adopted by the organization. Compliance monitoring will involve
reviewing and inspecting different aspects of the performance of the records control
of work flow processes through sampling to ensure adherence to policies and procedures;
documentation meets the required standard.
Page 110
Business_Rules
BEA Mappings Internal Control Activities
Page 111
Business_Rules
Page 112
Business_Rules
Page 113
Business_Rules
Sources
Page 114
Best_Practices
Unique ID BPTitle Practice BPSource
ATSC-BP- Radio Frequency Identification RFID systems consist of a number Defense Finance and Accounting
0001 Device (RFID) of components including tags, Service (DFAS)
handheld or stationary readers, Commercial Pay Business Line
data input units and system (CPBL)
software. The tags are the Standardized Business Initiative for
backbone of the technology and Systems Development and
come in all shapes, sizes and read Deployment
ranges including thin and flexible Concept of Operations
"smart labels" which can be (CONOPS) v5, 3/18/05
laminated between paper or plastic. Appendix A, Section A.04
Automatic identification and data
capture by new generations
transponders that afford multi-read
capabilities and functions via
current and next generation
electronic reading, writing, and
storage technologies. Data transfer
rates range from low to reasonably
high (i.e., 64 kb) - transfer and
storage rates depend on device
and carrier frequency. Close
proximity (inductive systems) to
tens of meters (radiating systems),
without the need for line-of-sight
nterrogation, depending on type of
transponders and interrogation
hardware. Robust constructions
available allowing use in
reasonably harsh conditions.
ATSC-BP- Standard Report Templates Templates and formatting are Defense Finance and Accounting
0002 consistent across enterprise Service (DFAS)
organizations eliminating the need Commercial Pay Business Line
for redundant close activities. (CPBL)
Leverages existing resources and Standardized Business Initiative for
ensures comparability and Systems Development and
consistent use of information. Deployment
Concept of Operations
(CONOPS) v5, 3/18/05
Appendix A, Section A.04
ATSC-BP- Open Standards and Common 1.18.1.513 Adaptable architecture Defense Finance and Accounting
0003 Interfaces achieves integration and Service (DFAS)
interoperability through the use of Commercial Pay Business Line
open, industry standards to the (CPBL)
maximum extent at every system Standardized Business Initiative for
level. Systems Development and
Deployment
Concept of Operations
(CONOPS) v5, 3/18/05
Appendix A, Section A.04
ATSC-BP- Integrated Source of Data Integrated data with business rule Defense Finance and Accounting
0004 validation provides required Service (DFAS)
reliability and accuracy for timely Commercial Pay Business Line
reporting. (CPBL)
Standardized Business Initiative for
Systems Development and
Deployment
Concept of Operations
(CONOPS) v5, 3/18/05
Appendix A, Section A.04
ATSC-BP- Wireless Provide capability to allow users to Defense Finance and Accounting
0005 access business information Service (DFAS)
(networks and/or web portals/sites) Commercial Pay Business Line
from both onsite and offsite (CPBL)
locations via satellite, enterprise Standardized Business Initiative for
wireless points (WAP) and public Systems Development and
WAPs while either at a fixed Deployment
location (on or offsite) and/or while Concept of Operations
mobile. (CONOPS) v5, 3/18/05
Appendix A, Section A.04
Page 115
Best_Practices
ATSC-BP- Barcodes A bar code is the small image of Defense Finance and Accounting
0006 lines (bars) and spaces that is Service (DFAS)
affixed to a product to identify a Commercial Pay Business Line
particular product number, person, (CPBL)
or location. The code uses a Standardized Business Initiative for
sequence of vertical bars and Systems Development and
spaces to represent numbers and Deployment
other symbols. A bar code symbol Concept of Operations
typically consists of five parts: a (CONOPS) v5, 3/18/05
quiet zone, a start character, data Appendix A, Section A.04
characters (including an optional
check character), a stop character,
and another quiet zone.
ATSC-BP- Standardized data Standard use of data definitions Defense Finance and Accounting
0007 and data elements. Provide Service (DFAS)
consistent definitions and defined Commercial Pay Business Line
data elements across all (CPBL)
businesses and organizations. Standardized Business Initiative for
Eliminate the time required to Systems Development and
provide translations and ensure Deployment
elements are used with a common Concept of Operations
understanding. (CONOPS) v5, 3/18/05
Appendix A, Section A.04
ATSC-BP- Web Servers A Web server is a program that, Defense Finance and Accounting
0008 using the client/server model and Service (DFAS)
the World Wide Web's Hypertext Commercial Pay Business Line
Transfer Protocol (HTTP), serves (CPBL)
the files that form Web pages to Standardized Business Initiative for
Web users (whose computers Systems Development and
contain HTTP clients that forward Deployment
their requests). Every computer on Concept of Operations
the Internet that contains a Web (CONOPS) v5, 3/18/05
site must have a Web server Appendix A, Section A.04
program.
ATSC-BP- Electronic Data Interchange (EDI) EDI is the electronic exchange of Defense Finance and Accounting
0009 business information between Service (DFAS)
organizations in a structured Commercial Pay Business Line
format. Computer-to-computer (CPBL)
exchange of business documents Standardized Business Initiative for
in a standard format. Systems Development and
Deployment
Concept of Operations
(CONOPS) v5, 3/18/05
Appendix A, Section A.04
ATSC-BP- Barcode Readers A barcode reader, also called a Defense Finance and Accounting
0010 price or point-of-sale (POS) Service (DFAS)
scanner, is a hand-held or Commercial Pay Business Line
stationary input device used to (CPBL)
capture and read information Standardized Business Initiative for
contained in a bar code. A barcode Systems Development and
reader consists of a scanner, a Deployment
decoder (either built-in or external), Concept of Operations
and a cable used to connect the (CONOPS) v5, 3/18/05
reader with a computer. Because a Appendix A, Section A.04
barcode reader merely captures
and translates the barcode into
numbers and/or letters, the data
must be sent to a computer that
contains the appropriate software
application to translate barcode
data into relevant numbers and/or
letters.
Page 116
Best_Practices
ATSC-BP- Enterprise Application Integration EAI is a business computing term Defense Finance and Accounting
0011 (EAI) for the plans, methods, and tools Service (DFAS)
aimed at modernizing, Commercial Pay Business Line
consolidating, and coordinating the (CPBL)
computer applications in an Standardized Business Initiative for
enterprise. Typically, an enterprise Systems Development and
has existing legacy applications Deployment
and databases and wants to Concept of Operations
continue to use them while adding (CONOPS) v5, 3/18/05
or migrating to a new set of Appendix A, Section A.04
applications that exploit the
Internet, e-commerce, extranet, and
other new technologies. EAI may
involve developing a new total view
of an enterprise's business and its
applications, seeing how existing
applications fit into the new view,
and then devising ways to
efficiently reuse what already exists
while adding new applications and
data.
ATSC-BP- eXtensible Business Reporting XBRL is an XML-based, royalty- Defense Finance and Accounting
0012 Language (XBRL) free, and open standard being Service (DFAS)
developed bya consortium of voer Commercial Pay Business Line
170 companies and agencies, (CPBL)
delivering benefits to investors, Standardized Business Initiative for
accountants, regulators, Systems Development and
executives, business and financial Deployment
analysts, and informaiton providers. Concept of Operations
XBRL provides l information that (CONOPS) v5, 3/18/05
can be delivered promptly to have Appendix A, Section A.04
common platform for critical
business reporting processes and
improves the reliability and ease of
communicating financial data
among users internal and external
to the reporting enterprise.
ATSC-BP- Relational Databases A relational database is a collection Defense Finance and Accounting
0013 of data items organized as a set of Service (DFAS)
formally-described tables from Commercial Pay Business Line
which data can be accessed or (CPBL)
reassembled in many different Standardized Business Initiative for
ways without having to reorganize Systems Development and
the database tables. A relational Deployment
database is a set of tables Concept of Operations
containing data fitted into (CONOPS) v5, 3/18/05
predefined categories. Each table Appendix A, Section A.04
(which is sometimes called a
relation) contains one or more data
categories in columns. Each row
contains a unique instance of data
for the categories defined by the
columns.
ATSC-BP- Virtual Private Network (VPN) A VPN (virtual private network) is a Defense Finance and Accounting
0014 way to use a public Service (DFAS)
telecommunication infrastructure, Commercial Pay Business Line
such as the Internet, to provide (CPBL)
remote offices or individual users Standardized Business Initiative for
with secure access to their Systems Development and
organization's network. A virtual Deployment
private network can be contrasted Concept of Operations
with an expensive system of owned (CONOPS) v5, 3/18/05
or leased lines that can only be Appendix A, Section A.04
used by one organization. The goal
of a VPN is to provide the
organization with the same
capabilities, but at a much lower
cost.
Page 117
Best_Practices
ATSC-BP- Business Process Modeling A meta-language for the modeling Defense Finance and Accounting
0015 Language (BPML) of business processes, just as XML Service (DFAS)
is a meta-language for the Commercial Pay Business Line
modeling of business data, BPML (CPBL)
provides an abstracted execution Standardized Business Initiative for
model for collaborative and Systems Development and
transactional business processes Deployment
based on the concept of a Concept of Operations
transactional finite-state machine. (CONOPS) v5, 3/18/05
Appendix A, Section A.04
ATSC-BP- Enterprise Metadata Management A Metadata Strategy should Defense Finance and Accounting
0016 (Governance function) address all aspects of metadata Service (DFAS)
management for all knowledge of Commercial Pay Business Line
interest to the enterprise. A (CPBL)
metadata management program is Standardized Business Initiative for
needed to nurture and sustain Systems Development and
useful metadata for the following Deployment
enterprisewide activities: (a) Concept of Operations
Information Management, (b) (CONOPS) v5, 3/18/05
Knowledge Management, and (c) Appendix A, Section A.04
Information and Data Stewardship.
The Metadata Strategy needs to
promote an Information
Management Policy that provides a
focus for managing and sharing the
knowledge assets of the
organization. The Information
Management Policy should define
information quality-related
responsibilities, including
stewardship, along with a plan for
implementing it.
ATSC-BP- Operational Data Store (ODS) An ODS is more of a design Defense Finance and Accounting
0017 construct than a product that Service (DFAS)
provides a clean, consolidated, and Commercial Pay Business Line
highly available source of data for (CPBL)
reporting and real time access. Standardized Business Initiative for
ODS may speed up decision Systems Development and
making by simplifying the use of Deployment
decision engines and/or activity Concept of Operations
monitors and expediting operational (CONOPS) v5, 3/18/05
reporting. Appendix A, Section A.04
ATSC-BP- Drill Down Capability Ability to drill down to transaction Defense Finance and Accounting
0018 level detail to better understand Service (DFAS)
summarized financial results. Commercial Pay Business Line
(CPBL)
Standardized Business Initiative for
Systems Development and
Deployment
Concept of Operations
(CONOPS) v5, 3/18/05
Appendix A, Section A.04
ATSC-BP- Drill Down Capability Ability to identify a transaction from Defense Finance and Accounting
0019 summarized data and trace Service (DFAS)
transaction back to its source for Commercial Pay Business Line
research or review purposes. Also, (CPBL)
vice versa (i.e. trace a transaction Standardized Business Initiative for
to the summarized data level). Systems Development and
Deployment
Concept of Operations
(CONOPS) v5, 3/18/05
Appendix A, Section A.04
Page 118
Best_Practices
ATSC-BP- Workflow Management Use workflow functionality to Defense Finance and Accounting
0020 disseminate reports for timely Service (DFAS)
approval/certification. Provides Commercial Pay Business Line
controlled routing and an audit trail (CPBL)
for the approval process and may Standardized Business Initiative for
eliminate the need for sequential Systems Development and
approvals that can be done Deployment
concurrently. Digital signatures Concept of Operations
would be used with this process. (CONOPS) v5, 3/18/05
Use workflow functionality to Appendix A, Section A.04
reduce the time to provide reports
to individuals requiring the
information. Timely information is
provided throughout the enterprise
to improve understanding and
decision making resulting in a
timely report dissemination.
ATSC-BP- Centralize Validation Establish centralized validation Defense Finance and Accounting
0021 Tables/Controls tables and controls to ensure Service (DFAS)
validation of information at the Commercial Pay Business Line
source. (CPBL)
Standardized Business Initiative for
Systems Development and
Deployment
Concept of Operations
(CONOPS) v5, 3/18/05
Appendix A, Section A.04
ATSC-BP- Data Management at the Source Establish single point of data entry, Defense Finance and Accounting
0022 validation and correction at the Service (DFAS)
source. Establish, at the source Commercial Pay Business Line
process level, a clear line of (CPBL)
accountability for the integrity of Standardized Business Initiative for
data recorded. Systems Development and
Deployment
Concept of Operations
(CONOPS) v5, 3/18/05
Appendix A, Section A.04
ATSC-BP- Independent Audit Trails Independent Audit Trails. Audit trail Title 21 CFR Part 11
0023 must be independently generated.
All changes to records within a 21
CFR Part 11-compliant system
should include time and date-
stamped audit trails.
ATSC-BP- Link and Maintain Document, Link and Maintain Document, Title 21 CFR Part 11
0024 Metadata, and electronic signature Metadata, and electronic signature.
Ensure that system maintains a
irrefutable link between documents,
metadata and the electronic
signature. When electronic records
are signed within 21 CFR Part 11-
compliant systems, there must be
an irrefutable link between the
electronic record (document and/or
associated metadata) and the
electronic signature.
ATSC-BP- Presence of signature and record Presence of signature and record. Title 21 CFR Part 11
0025 Establish clear electronic signature
manifestations for all electronic
records.
ATSC-BP- Validate System Validate the system to ensure Title 21 CFR Part 11
0026 accuracy, reliability, consistent
intended performance, and the
ability to recognize invalid or altered
records.
ATSC-BP- Establish role-based access and Establish role-based access and Title 21 CFR Part 11
0027 control control. The system must provide
adequate security controls to
prevent unauthorized access.
Page 119
Best_Practices
ATSC-BP- Establish password and Establish password and Title 21 CFR Part 11
0028 identification controls identification controls. 21 CFR Part
11.300 requires that password
controls be unique and protected.
ATSC-BP- Avoid hybrid systems Avoid hybrid systems, where Title 21 CFR Part 11
0029 practical. A hybrid system is
defined as an automated process
which combines electronic records
and manual paper records.
ATSC-BP- Do not over customize technology Do not over customize technology Title 21 CFR Part 11
0030 solutions solutions. Over customization has
resulted in accelerated costs for
compliance with 21 CFR Part 11.
Be practical.
Page 120
Best_Practices
BPSourceNbr DoDApplicable DoDAdopted BPRqmts
FALSE FALSE
FALSE FALSE
FALSE FALSE
FALSE FALSE
FALSE FALSE
Page 121
Best_Practices
FALSE FALSE
FALSE FALSE
FALSE FALSE
FALSE FALSE
FALSE FALSE
Page 122
Best_Practices
FALSE FALSE
FALSE FALSE
FALSE FALSE
FALSE FALSE
Page 123
Best_Practices
FALSE FALSE
FALSE FALSE
FALSE FALSE
FALSE FALSE
FALSE FALSE
Page 124
Best_Practices
FALSE FALSE
FALSE FALSE
FALSE FALSE
FALSE FALSE
FALSE FALSE
FALSE FALSE
FALSE FALSE
FALSE FALSE
Page 125
Best_Practices
FALSE FALSE
FALSE FALSE
FALSE FALSE
Page 126
Best_Practices
Published in
Release #
6
6
6
6
6
Page 127
Best_Practices
6
6
6
6
6
Page 128
Best_Practices
6
6
6
6
Page 129
Best_Practices
6
6
6
6
6
Page 130
Best_Practices
6
6
6
8
8
8
8
8
Page 131
Best_Practices
8
8
8
Page 132
