1

Introduction:

This guide is meant to help you successfully setup your Credit Union Compliance Management

System™.

Visit our User Resource Page to access other user materials including the full user guide and tutorial

videos by topic.

1. Setup your CU CMS Watch this tutorial video that covers all the steps to successfully implement your system. It covers

setting up groups (departments), adding users and completing the setup workflow.

https://vimeo.com/396055071/e8c5fafa4e

1.1 Administrator/s Your original CU CMS Admin will be setup for you. Admins have full access to the CU CMS and will

also have access to manage other users. After your initial Admin is created, they can add other

admins to the system.

1.2 Review & Setup Groups Video Tutorial - https://vimeo.com/369876586/f0f7274643

Groups within the software are the organization’s departments or business units and are tracked in

hierarchical relationships. These groups will be used when performing Impact Analyses for regulatory

changes (Identifying which of your departments are impacted by certain changes).

1. To create or edit groups, use the blue menu on the left and click on Administration > Add/Edit

Groups.

2. To create a new group, enter the name of the group in the Create New Group field and click

the Create button.

3. To select an existing group to edit, click on its name in the records list below.

2

1.3 User Setup Video Tutorial - https://vimeo.com/369871396/d0b0206504

In order to successfully add a user to your CU CMS, you need to add both a “Fulltime Resource” as

well as an “Account”.

- A Fulltime Resource is the employee data point of the company and their information (name,

email, phone number, position title, location, manager, etc.). The Fulltime information is used

for assigning users to tasks and for getting the info (email address) to send emails.

- An Account is the specific access credentials that the user needs to gain access into the

Quantivate application (username and password).

The most efficient way to create both is;

1. Use the blue menu to navigate through Administration > Accounts.

2. On the Accounts page, click the “Add Account” button in the upper right-hand corner of the

screen. This will pop-up a box that will allow you to fill in the account information.

3. In the Add Users popup, create the employee by clicking the “Add Employee” button and

filling in the user’s information. Please Note: Last Name, First Name and Email are required.

3

4. After adding the employee, the Add Users popup will populate with the information you

entered and default the username.

5. Select the user’s Security Group by clicking the “Security Group” dropdown. Please Note: If the

user will be helping a lot with your compliance efforts, CU CMS Admin security group is

recommended.

6. If you want the user to be notified via email of their login information, make sure the ”Notify

User” checkbox is clicked.

a. This will send the user two emails, one containing the username and link to login and a

second email containing their automatically generated password.

7. Click the Create button when all information has been entered.

1.4 CU CMS Setup Workflow Video Tutorial - https://vimeo.com/369904035/18710c2751

The Credit Union Compliance Management System Setup Workflow walks you through the process of

configuring cost settings, the credit union’s compliance management team and regulatory authority

state and federal preferences.

1. To access the workflow, use the menu and click on Setup > CUNA Compliance Management

System Setup.

4

Introduction This page will let future users know when these settings were last reviewed.

1. In the Last Review Date field, type in today’s date or select it by clicking on the field and using

the date picker.

2. Once complete, click the Next button.

Cost Setup

The Estimated Labor Cost Per Hour is meant to be an average of all staff hours per year and is used to

calculate the costs related to regulatory change management.

1. Select the Year

2. Enter an estimate of the average dollar amount per hour of staff time in the Enter Value field

3. You can add multiple years by clicking the Add button above the table and repeating step 1

& 2.

a. Remove rows by clicking the Trash Icon next to the row.

4. Once complete, click the Next button.

5

Management Team Setup

On this page, select who you would like to be part of the Compliance Management Team. These

users will be notified whenever important updates to the system are made, such as new compliance

alerts, changes are implemented, etc. Please Note: The users must already be setup in the system.

Reference the 1.3 User Setup section for how to add users.

1. To add specific users, Click the Add button. Select the desired users then click Link Resources

at the bottom of the pop-up screen.

a. A table should appear on the page after adding a user.

2. You can use the Add button above the table to add more users at any time.

3. To remove users from the management team, click the Checkbox next to the record and click

the Remove button above the table.

6

4. The Compliance Management Team Email (Optional) field allows you to enter an email to

receive compliance updates in addition to the individuals selected above. This is intended to

allow you to add an external distribution list to receive updates.

a. Please Note: This must be a single email address, not a comma delineated list.

5. Once complete, click the Next button.

Regulatory Authority Setup

This page allows you to select your Primary Regulatory Authorities, which are used to determine the

law/regulation name when there are multiple associated authorities. For example, if the CFPB and

Federal Reserve jointly issued a final rule, the authority you selected as primary between those

agencies would display in the name.

CUNA has determined the default authorities for credit unions out of the box.

1. You can use the Add button above the table to add additional authorities.

2. To remove an authority, click the Checkbox next to the record and click the Remove button

above the table.

a. In the popup, select Unlink.

7

3. If you selected multiple regulating authorities, determine the priority for each by updating the

numbers in the Order field.

a. This determines the primary authority that will be used if the previous one is not

applicable.

4. Next, select the applicable States you would like to see content for.

a. If you wish to select multiple states, hold the CTRL or CMD key on your keyboard while

selecting.

b. If you want the system to pull in all states, leave the selection “--".

5. Once complete, click the Next button.

Please Note: you can return to this page to add or remove states at any time.

8

Complete

Click the Return to Dashboard button to return to the dashboard.

Your Credit Union Compliance Management System is now setup and you are ready to start working!

9

2. Open House Questions & Answers See below for questions asked during Open House – Week 1 and answers.

1. How do I change an employee’s ‘security group’ after their account has been added?

a. Use the blue menu to navigate through Administration > Accounts.

b. Click on the desired employee’s blue hyperlinked ‘Username’

c. In the Edit User pop-up, scroll to the bottom.

i. Select the ‘Primary Security Group’ dropdown and select desired security group

ii. Next, under ‘Current Security Group’ Check the box next to the desired security

group and uncheck the previous one.

d. Once complete, click Save at the bottom of the pop-up.

2. When adding users to the system, is there a way to not have email address as a required field?

Not sure if we will be assigning tasks through the CU CMS.

a. Email is required to provide your employees access to the system. (login credentials)

b. If you don’t assign tasks or changes within the CU CMS, they will not receive emails from

the system.

10

3. In order to perform an Advertisement Review, does the user have to be setup as a ‘CU CMS

Admin’?

a. No, both ‘CU CMS User’ and ‘CU CMS Admin’ security groups have access to the

Advertisement Review tool. This way you can add your marketing team as ‘CU CMS

User’s, then they can perform advertisement reviews, but won’t have access to all of

your compliance content.

4. As the compliance manager, if I elect to have the marketing team do the advertisement

review, will I still be able to see those?

a. Yes, you will have access to all advertisement reviews performed in your build. There

are a number of reports on your admin dashboard via the dark blue ‘Advertisement

Review’ dropdown.

b. You can also click “Perform Advertisement Review” then “Existing” to review them in the

workflow view.

11

5. If I’ve been added to our CU CMS will I automatically receive email notifications, or do I need

to be added to the ‘CU CMS Communications List’?

a. We have 2 types of communications;

i. Trainings & Monthly Regulatory Release Notes

1. These come from mmcdonough@cuna.coop

2. The original Admin from when your system was set up is already on my

communications list. To add additional employees to the list to receive

these emails/invites moving forward, send an email to

mmcdonough@cuna.coop with full name and email and we will add

them!

ii. System Notifications

1. Notifications such as assigned task notifications, upcoming deadlines, etc.

will be sent to you automatically from the system.

a. To receive compliance alert emails, you need to add users to your

Compliance Management Team via the Setup workflow. See

section 1.4 for more information.

6. I don’t recall receiving an email from Quantivate with my credentials, what should I do?

a. Please email hello@cuna.coop. We will investigate and resend the credentials if

necessary.

7. In regards to the “Compliance Management Team” and alerts; are all alerts sent to the entire

compliance team, or can you filter it so that only applicable alerts go to the right team

members?

a. It is not possible to configure the notifications in the member benefit Credit Union

Compliance Management System.

b. You can configure notifications by upgrading to the Credit Union Compliance

Management System PLUS™. Contact us for more information, We're happy to help!

Connect to Learn More

8. Can you have more than one CU CMS Admin in your system?

a. Yes. You can add as many admins as you would like.

9. Approximately how long does it take to get your user credentials from Quantivate?

a. Estimated total wait time for getting your build can be 4-5 business days.

b. Currently we get the CU CMS requests every morning from our system. After reviewing

we send those requests to Quantivate to get the builds setup, this typically takes 24-48

hours. They notify us once the systems are ready and we add your admin and trigger

the emails.

10. What is the purpose of the priority list for regulatory updates?

a. The order is just used to determine the law/regulation name when there are multiple

associated authorities.

12

i. For example, if the CFPB and Federal Reserve jointly issued a final rule, the

authority you selected as primary between those agencies would display in the

name.

ii. It is not crucial to have this updated; you will still have access to all final rules.

11. What is the timeliness of compliance alerts? I saw one with an effective date prior to getting

the notification.

a. CUNA was originally communicating the COVID temporary changes through the

compliance blog within the compliance community.

b. We decided credit unions could use the CMS to manage those changes even though

they were temporary and often times guidance vs. an actual rule change, so we

began creating them as compliance alerts as an after-thought. Moving forward, our

team of 5 compliance attorneys are pushing out the changes as fast as they are being

published and interpreted and will do so via the compliance blog AND as a

compliance alert in CU CMS.