Viewable by the world
You are viewing an old version of this page. View the current version.
Compare with Current
View Page History
« Previous
Version 51
Next »
|
|
Financial Management System (FMS) User Access Control |
Publication date: |
3/29/2018 |
Effective date: |
3/29/2018 |
BRIEF
Policy Summary
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
Deputy Chief Financial Officer
or
OCFO Business Systems Analysis (BSA) Manager
Title: |
Financial Management System (FMS) User Access Control |
Publication date: |
3/29/2018 |
Effective date: |
3/29/2018 |
POLICY
A. Purpose
This document defines the policy and procedures for managing Office of the Chief Financial Officer (OCFO) business and financial system 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 Laboratory business and financial systems
C. Exceptions
None
D. Policy Statement
OCFO is responsible for managing the secure stewardship and control of its business and financial systems listed below:
- Financial Management System (FMS)
- Labor Distribution Reporting System (LDRS)
- Payroll system
- Electronic System for Research Administration (eSRA)
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 Analysis Manager, or designee. For some OCFO systems, such as the PeopleSoft Financial Management System, basic roles are assigned automatically when a new employee is added to the Human Resources system, and Berkeley Lab's Termination Notification System (TNS) from the Human Resources Information System (HRIS) automatically locks the user's account, preventing further system access when an employee is terminated.
OCFO employs a risk-based approach to conducting regular reviews and validations of users' system access.
E. Roles and Responsibilities
Role |
Responsibility |
Business Systems Analysis 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 regular reviews of user access and privileges listed below:
- Sensitive roles: Reviews every six months.
- All roles (including sensitive roles): Reviews every 12 months.
- Establishes the time limit for automatic application time-outs and communicates these parameters to IT.
- Manages the use of anonymous accounts.
|
OCFO System Module Owner or Designee |
- Working with the Business Systems Analysis 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 Analysis 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 Analysis 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 Business Systems Analysis Manager.
|
F. Definitions/Acronyms
Term |
Definition |
Anonymous accounts |
System accounts established to run 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, electronic Request for Issuance of Check (eRFIC) preparer, etc.). |
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
Deputy Chief Financial Officer
or
OCFO Business Systems Analysis (BSA) Manager
J. Revision History
Date |
Revision |
By whom |
Revision description |
Section(s) affected |
Change type |
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 |
1.2 |
Publication date: |
3/29/2018 |
Effective date: |
3/29/2018 |
Next review date: |
8/1/2021 |
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
Implementing Documents
None
