CAS-004 Governance, Risk, and Compliance Practice Question
An organization is developing a policy exception management process. Which three of the following are essential components of an effective exception process? (Choose three.)
Answer choices
Why each option matters
Answer the question above first, then reveal the full breakdown to understand why each option is right or wrong.
Correct answer & explanation
✓
Documented business justification for the exception
An exception process should include documented justification, expiration date, and formal approval by management. Policy hierarchy documentation is separate; automated enforcement may not be required.
Answer analysis
Option-by-option breakdown
For each option: why learners choose it and why it is or isn't the right answer here.
- ✓
Documented business justification for the exception
Why this is correct
Justification ensures the exception is necessary.
- ✓
An expiration date for the exception
Why this is correct
Expiration ensures periodic review and renewal.
- ✗
Automatic enforcement of policy via technical controls
Why it's wrong here
Enforcement is separate from exception management.
- ✓
A risk assessment of the exception
Why this is correct
Risk assessment evaluates the impact of deviation.
- ✗
A copy of the entire policy hierarchy
Why it's wrong here
Not necessary for each exception; process can reference the policy.
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