SP-03 Exceptions from Existing Policies and Instructions
Route every deviation from security policies, instructions and the related controls through the risk management process, secure risk owner approval and residual risk acceptance, record each deviation with a defined expir
4
artefacts
0
held by a system
2
at each review
hard
to go live
Document repository
where the evidence lives
teal = a system already holds it · olive = produced at each review
system holds itEvidence a system already holds
none for this control
periodic reviewEvidence produced at each review
- Approval evidence signed by the accountable risk owner for a sample of granted deviations · Document repository
- Records of the annual reconfirmation showing which deviations were closed, renewed or extended · Document repository
governing documentDocuments that govern the control
- Exception register with unique identifiers, expiry dates and links to the corresponding risk entries · Policy repository / GRC workspace
- Request workflow or form design that blocks a grant without a linked risk reference · Document repository
First move
This control is evidenced by people and documents, not systems. Put the document under version control with an owner and review date, and log each review as a record with reviewer and date. Do not try to automate it.
Common gaps auditors find
- Deviations granted open ended and quietly become the permanent operating state
- Expired entries left open while the underlying deviation continues in production
- Approval given by the requesting team instead of the risk owner
- Informal workarounds tolerated in operations and never registered as deviations
Do this for your whole sheet
Paste the rows you run your controls from and get this mapping for every control at once, with the periodic-review ones flagged and a first move per row. No account for the first run.
Build my evidence sheetSP-02 Review and Approval of Policies and Instructions · SSO-01 Policies and instructions for controlling and monitoring third parties