HRMS COMPENSATING CONTROLS CERTIFICATION
Page 1 of 2
Please follow these instructions and enter accurate e-mail addresses for a timely request.
If form is not filled out by the user, send the completed form to the user for signatures by clicking the orange button. Once all your colored
spaces are complete, click the appropriate colored button to submit form for the next level of signatures.
USER - green
REVIEWER - pink (only required with incompatible access)
Submit Form to User
User's E-mail Address
DIRECTIONS
This form is used for HRMS Access Requests that constitute "Incompatible Access" as defined below. The user must provide the name and
contact information of a reviewer who will approve the incompatible access and serve as a periodic reviewer of that access. The reviewer
must sign to approve the access and send the form on the campus HCM Security Coordinator, who must also approve the access.
1. Complete this form and sign with your digital signature.
2. Enter the reviewer information and send this form to the reviewer using the button provided.
3. The reviewer will digitally sign and return the form to you (the requestor).
4. Log into OIM and open your request that will grant Incompatible Access:
4a. The request must already have been made and submitted.
4b. If the request constituted Incompatible Access, the request will be waiting for you to attach this completed form. Attach the
form and approve the request. It will then be routed to your manager/sponsor for approval.
STEP 1: USER INFORMATION
Date:
Department #:
Operator ID:
Department Name:
User Name:
Employee ID #:
User's E-mail Address:
STEP 2: COMPENSATING CONTROLS AND REVIEWER
Any of the following combinations of Roles in HRMS requires completion of this form:
* Time Collection Role and Time Entry Approval Role
* Payroll Personnel Liaison Role and Time Entry Approval Role
* Payroll Personnel Liaison Role and the Job Data/Hiring Approval Role
* Payroll Personnel Liaison Role and the One Time Payment Approval Role
* Correction - Campus HR
If you have requested ANY permissions related to those transactions and are unsure whether the Operator ID already has these roles
assigned, please contact your Campus HRMS Security Coordinator for clarification.
If you have both enter and approval authority as outlined above, your access compromises the normal separation-of-duty controls and is
internally incompatible. If incompatible access is essential for the department to accomplish its work, the supervisor and/or department
manager must
1) Implement compensating controls
2) Provide justification for the requested access
3) Obtain the approval of the Campus HRMS Security Coordinator
The use of compensating controls will be reviewed periodically by the campus HRMS Security Coordinator working with the appropriate
Dean, Vice Chancellor and/or Directors office. Incompatible access may be removed if adequate controls are not implemented in a timely
manner.
Justification for Requested Entry and Approval Access:
HRMS COMPENSATING CONTROLS CERTIFICATION
Page 2 of 2
STEP 3: REVIEWER
Compensating Control to be used:
The reviewer named below will run and review the Personnel Actions Audit Report and the Time Entry Audit Report (located in HRMS) to
ensure the incompatible access requested on this form is used appropriately. This individual (who is a CU Employee) has the knowledge
required to identify problems and the authority to correct any that are found. The review will be performed at least once a month**.
HRMS Navigation to Audit Reports: Reports and Reviews> Auditing
Reviewer Name:
HRMS Operator ID (If Applicable):
Reviewer Empl ID:
Reviewer Email:
** Unless a different schedule has been approved by the Campus HRMS Security Coordinator
STEP 4: SIGNATURES
4A: USER SIGNATURE
For more information regarding this issue, please see the following statement prepared by the University Controllers:
Internal Controls/Compensating Controls
SIGNATURES:
If the reviewer leaves this department, the user must submit a new Compensating Controls Certification with new reviewer information and
signature within 30 days.
User Signature:
STEP 1: Submit Form to Compensating Controls Reviewer
4B: REVIEWER SIGNATURE
Compensating Control Reviewer Signature:
STEP 2: Return Form to Requestor