Mitigating exclusions

Mitigate exclusions to avoid business risks. You can mitigate exclusions by assigning compensating controls to the excluded objects.

To review and mitigate exclusions:

  1. Select Design > Business Controls > Exclusion List on the navigation bar.
  2. Click the arrow option corresponding to a rule book to review the rules with exclusions.
  3. Click the arrow option corresponding to a rule name to review the details of the rule and to mitigate the exclusions.
  4. Review this information:
    Rule Book
    The name of the rule book that comprises the rule.
    Rule
    The name of the rule.
    Rule Type
    The type of the rule.
    Risk Description
    The description of the rule.
  5. Review this information in the Documented Exclusions section:
    Excluded Objects
    The list of objects excluded in the rule.
    Attributes
    The excluded attribute of the object.
    Operator
    The condition to define the excluded attribute.
    Values
    The value of the excluded attribute.
    Source
    The source from where the object is excluded.
    Valid Through
    The date up to which the exclusion of the object is valid.
    Note: Click the date link to select a different date from the calendar or retain as Never Expires. Select the Apply to All check box to set the same expiry date for all the exclusions assigned to the selected rule.
    Compensating Controls
    The number of compensating controls assigned to the excluded object. Click the View Details link to review the compensating controls assigned to the rule and comments if any.

    You can also use the Documented Exclusion section to:

    • Review specific data, using the Filter option.
    • Overwrite an existing compensating control assignment, by using the Overwrite Assignment option. You can add compensating controls associated with rules or add another existing compensating control to overwrite.
      Note: This option is enabled only when you select at least one excluded object to delete.
    • Modify the expiry date of an existing compensating control assignment, by using the Manage Assignments option. Click the link in the Assignment Expiry column to modify the date.
      Note: This option is enabled only when you select at least one excluded object to delete.
    • Delete an excluded object, using the Delete option.
      Note: This option is enabled only when you select at least one excluded object to delete.