RPM | REQUIREMENTS AND POLICIES MANUAL

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    Title:

    OCFO Business and Financial Systems User Access Control

    Publication date:

    8/20/2021

    Effective date:

    8/20/2021

    BRIEF

    Policy Summary

    Lawrence Berkeley National Laboratory's (Berkeley Lab's) Office of the Chief Financial Officer (OCFO) is responsible for managing the secure stewardship and control of its business and financial systems. This includes maintaining clearly defined roles and permissions, setting up and managing user accounts, and ensuring that users' access privileges and assigned roles are approved and consistent with business needs.

    Who Should Read This Policy

    Any Berkeley Lab employee responsible for managing user access for Laboratory business and financial systems

    To Read the Full Policy, Go To:

    The POLICY tab on this wiki page

    Contact Information

    OCFO Business Systems Analysis Group (BSG) Manager
    Controller

    Title:

    OCFO Business and Financial Systems User Access Control

    Publication date:

    8/20/2021

    Effective date:

    8/20/2021

    POLICY

    A. Purpose

    This document defines the policy and procedures for managing Office of the Chief Financial Officer (OCFO) business and financial systems user access controls, which include roles and permissions, user accounts, and access privileges that meet approved criteria and are consistent with business needs.

    B. Persons Affected

    Any Lawrence Berkeley National Laboratory (Berkeley Lab) employee responsible for managing user access for OCFO business and financial systems

    C. Exceptions

    None

    D. Policy Statement

    The OCFO is responsible for managing the secure stewardship and control of its business and financial systems listed below:

    • Financial Management System (FMS).
    • Electronic System for Research Administration (eSRA).
    • Payroll system: Payroll is processed through UCPath which is owned by the University of California (UC). The OCFO BSG team coordinates with LBNL's HR business systems team to obtain necessary access to the payroll module of UCPath for appropriate Laboratory employees.

    This includes maintaining clearly defined roles and permissions, setting up and managing user accounts, and ensuring that users' access privileges and assigned roles are approved and consistent with business need.
    OCFO employs this policy and a variety of security-enforcement mechanisms for controlling system user access. Consistent with the Berkeley Lab Requirements and Policies Manual (RPM) Security for Information Technology policy, these controls ensure that data resident in systems are sufficiently protected from unauthorized use, alteration, and manipulation, and that users, data owners, and system owners take appropriate precautions to secure business and financial systems and the data contained therein.
    Division/department managers and supervisors are responsible for communicating changes in employee job responsibility and/or employment status to the OCFO System Module Owner, Business Systems Group Manager, or designee. For some OCFO systems, such as the PeopleSoft Financial Management System (FMS), basic roles are assigned automatically when a new employee is added to the UC-owned Human Resources system. FMS automatically locks the user's account when an employee is terminated or an employee's payroll status is leave of absence.
    OCFO employs a risk-based approach to conducting regular reviews and validations of users' system access.

    E. Roles and Responsibilities

    Role

    Responsibility

    Business Systems Group Manager or Designee
    • Manages the OCFO business and financial system user access program consistent with this policy and related communication with stakeholders.
    • Ensures that changes to a user's access and privileges are authorized by the user's manager or supervisor.
    • For user roles that provide enhanced user access, ensures that access pre-conditions and criteria (such as completion of specific skills training determined by employee role) are completed by the new user, or that an exception to the access pre-conditions is granted by the user's manager or supervisor, before granting required access.
    • Supports system module owners in defining and documenting requirements for basic and enhanced user access and privileges. Where changes are required, communicates functional requirements to the Information Technology (IT) Business Systems unit.
    • Conducts and/or coordinates the regular reviews of user access and privileges in FMS and eSRA listed below:
      • Sensitive roles: reviews every six months.
      • All roles (including sensitive roles): reviews every 12 months.
    • Coordinates with IT in establishing and implementing automatic application time-outs.
    • Manages the use of anonymous accounts.

    OCFO System Module Owner or Designee
    • Working with the Business Systems Group Manager or designee, defines requirements for user access and privileges related to a specific module. For user roles that provide enhanced user access, the System Module Owner establishes access criteria, such as completion of specific skills training, appropriate job titles, or other criteria consistent with business need.
    • Identifies roles that are incompatible due to a potential conflict of interest requiring separation of functional duties/responsibilities. Working with the Business Systems Group Manager or designee, ensures that no user has access to multiple roles that, when assigned to the same user, create a potential for conflicts of interest.
    • Reviews and approves requests for enhanced user access. Verifies pre-conditions are met and that the intended system usage is appropriate.
    • Submits approved system access and privilege changes via email or FMS Help Desk (AskUs) ticket to the Business Systems Group Manager or designee.
    • Where applicable, manages user access to division-specific information.
    • Periodically reviews and, as necessary, requests changes to basic and enhanced system access and privileges consistent with business requirements.
    • Participates in regular user access reviews to help confirm user access and privileges.

    Supervisor of System Users (including employee and/or affiliate)
    • Requests enhanced user access via AskUs ticket, consistent with business need. Ensures that access pre-conditions and criteria (such as completion of specific skills training) are completed by the new user. Approves exceptions to access pre-conditions and criteria (such as completion of specific skills training) as appropriate.
    • If a user's assigned job responsibility, organization, or other condition changes, assesses whether a change to the user's systems access or privilege level is required. If so, requests this change via AskUs ticket from the System Module Owner (or designee).

    ITBS (IT Division Business Systems)
    • Based on functional specifications and consistent with this policy, establishes, monitors, and maintains system parameters and controls in support of the requested system access and privileges.
    • Supports regular access reviews and confirms access and privileges assigned to IT staff.
    • Maintains the time limit for automatic application time-outs based on input from the Business Systems Group Manager.

    F. Definitions/Acronyms

    Term

    Definition

    Anonymous accounts

    System accounts established to run automatic jobs/processes and/or background processes and/or to test and maintain system capabilities

    Basic user access

    Access to a system that is dynamically (automatically) assigned to all employees (e.g., access to FMS Inquiry Payment Request)

    Enhanced user access

    Additional access to system capabilities that provide read/write permissions and/or read access to sensitive information

    System Module Owner

    Functional manager with assigned responsibility for a system component consistent with the OCFO Business System Ownership policy

    User

    Individual employee, affiliate, or system process authorized to access an information system

    G. Recordkeeping Requirements

    None

    H. Implementing Documents

    None

    I. Contact Information

    OCFO Business Systems Group (BSG) Manager
    Controller

    J. Revision History

    Date

    Revision

    By whom

    Revision description

    Section(s) affected

    Change type

    8/20/2021

    2

    U.K.

    Clarifications/minor updates

    Brief, B,D,E,F,I

    Minor

    3/29/2018

    1.2

    U.K.

    Clarifications made to the policy

    D, E, F, H

    Minor

    3/25/2013

    1.1

    Axthelm

    Review completed 12/17/2012, no changes

    Pub & next review dates

    Minor

    1/2/2012

    1

    Axthelm

    Reformat for wiki

    All

    Minor

    DOCUMENT INFORMATION

    Title:

    Financial Management System (FMS) User Access Control

    Document number

    11.04.003.000

    Revision number

    2

    Publication date:

    8/20/2021

    Effective date:

    8/20/2021

    Next review date:

    8/1/2024

    Policy Area:

    Financial Business Systems

    RPM Section (home)

    Financial Management

    RPM Section (cross-reference)

    Section 11.49

    Functional Division

    OCFO

    Prior reference information (optional)

    RPM Section 11.49

    Source Requirements Documents

    None

    Other Driving Requirements

    Document Number

    Title

    Type

    11.04.002.000

    Business System Ownership

    Policy

    10.01.002.000

    Security for Information Technology

    Policy

    Implementing Documents

    None



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