CCC-08 Exception Management
Handle exceptions and emergency changes through a defined procedure aligned with the organisation's policy exception process.
4
artefacts
0
held by a system
2
at each review
hard
to go live
Policy repository / GRC workspace
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
- Exception records with approver, justification and expiry · Document repository
- Retrospective review records for emergency changes · Document repository
governing documentDocuments that govern the control
- The documented exception and emergency change procedure · Policy repository / GRC workspace
- Evidence of alignment with the governance policy exception process · Policy repository / GRC workspace
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
- Emergency changes never reviewed after the fact
- Exceptions granted without an expiry date
- Two separate exception processes that do not agree with each other
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 sheetCCC-07 Detection of Baseline Deviation · CCC-09 Change Restoration