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Compliance Exception Process Basics

Handle exceptions with control

Managing compliance exceptions means logging the request, rationale, risks, approvals, time limits, and compensating controls, then reviewing and closing exceptions promptly.

Request

Capture what/why, risk, duration, and owner.

Approve and Control

Get proper approvals; add compensating controls and deadlines.

Review and Close

Track expirations; verify closure or renewal with evidence.

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