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ME2.3 - Control Exceptions

This topic is intended to enable collaboration and sharing of information to facilitate a better understanding and approach to implementing this COBIT control objective based on the risk, value and guidance provided by its corresponding control practices.

COBIT Control Objective ME2.3 - Control Exceptions is contained within Process Popup Monitor and Evaluate Internal Control.

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Control Exceptions

Identify control exceptions, and analyse and identify their underlying root causes. Escalate control exceptions and report to stakeholders appropriately. Institute necessary corrective action.

View value and Risk Drivers  help

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Value Drivers

  • Ability to implement preventive measures for recurring exceptions
  • Ability to apply corrective measures in a timely manner
  • Enhanced reporting to all affected parties to comply with the defined service levels
  • Minimised potential for compliance failures
  Risk Drivers
  • Control deficiencies not identified in a timely manner
  • Management not informed about control deficiencies
  • Extended time required to resolve the identified issues, thus decreasing the process performance

View Control Practices  help

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  1. Establish processes for identifying, reporting, logging and assigning responsibility for reporting and resolving control exceptions (e.g., security breaches, application program abends and network failures). Ensure that the processes address timely reporting and resolution.
  2. Considering related business risks, establish policies and standards to establish thresholds for escalation of control exceptions and breakdowns.
  3. Communicate procedures for escalation and root cause analysis and reporting same to business process owners and IT stakeholders.
  4. Decide which control exceptions should be communicated to the individual responsible for the function and which exceptions should be escalated. Inform affected business process owners and IT stakeholders.
  5. Assign accountability for root cause analysis and reporting.

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Events & Online Learning: 15 total

16 Mar 2015
ISACA International Event
Orlando, FL, USA
15 Jun 2015
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14 Mar 2016
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1 Aug 2016
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Wikis: 2 total

Blog Posts: 142 total

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