Compensating Controls and Exclusions

Compensating controls are a list of instructions, procedures or agreements that support the existence of an exception. They are used to mitigate any potential risk as a result of objects excluded from a rule.

Exclusions are objects that may be authorized to perform certain actions that generate exceptions. Such objects need to be excluded from the rule so that they are not included in the list of exceptions. All exclusions have an expiry date which specifies how long the exclusion is valid for the rule. The expiry date can be set from the from the Document Exclusions page and is modifiable. After the expiry date, the object will no longer be excluded from the rule.

Objects can be excluded from a rule directly, by associating parameters with a base rule or through a parameter list.

You can also send an email notification to specific users in case a rule is violated. This can be done by providing names of the users who will receive the notification or by using a parameter.

Use this panel to:

• Exclude objects from rules
• Assign compensating controls
• Define the users who should receive email notifications if this rule is violated.

You can perform the following actions from this panel:

• Create a compensating control, provided you have the permissions to do this. If you do not have the required permissions, the New tab for creating the compensating control is not displayed on the user interface.
• Assign a compensation control to this rule
• Remove a compensating control

  To remove a compensating control assigned to this rule, select the compensating control and click the Remove icon.

• Exclude an object by direct exclusion
• Exclude an object by associating parameters to a base rule
• Exclude and object by associating a parameter list
• Provide the names of the users who should receive the notification

  In the When this rule is violated, send an email message to, field, enter the name of the user or browse to search for users and select the users required.

• Send an email using parameters

  The parameter list drives the email addresses used in the alerts. In the When this rule is violated, send an email message using parameter - to, field provide the parameter name in the autosuggest text box or click the Browse icon to locate the required parameter.

  Before you can avail of this option, ensure that the required parameters are present in the Parameter Library with email selected as the technical name.