How to Audit and Reduce Exception Backlogs Without Disrupting Operations
For many SMEs, exception registers begin with good intentions but quickly turn into long lists of unresolved risks. Over time, these backlogs become overwhelming. Security leaders may struggle to close them without halting business operations.
The challenge is clear: how do you audit and reduce exception backlogs while keeping the business running smoothly?
Why Backlogs Build Up
1. Lack of Expiry Dates
Exceptions are approved as "temporary" but never revisited.
2. Resource Constraints
SMEs lack time or staff to resolve issues quickly.
3. Cultural Resistance
Staff see exceptions as permanent workarounds, not risks.
Steps to Audit Exception Backlogs
1. Categorize Exceptions
Group them into areas like access controls, outdated software, or vendor risks.
2. Prioritize by Risk
Focus on exceptions with the highest potential impact. Not all require immediate closure.
3. Check Expiry Dates
Identify expired exceptions that should have already been resolved.
4. Validate Business Justifications
Review whether the original reason for the exception still applies.
Reducing the Backlog Without Disruption
Tackle Low-Hanging Fruit
Close exceptions that no longer apply, such as terminated vendor accounts.
Phase-Out Approach
For major exceptions, create roadmaps with milestones instead of demanding instant fixes.
Introduce Compensating Controls
If removing an exception is not feasible, add mitigations such as stronger monitoring.
Align With Business Cycles
Schedule remediation during natural downtime or upgrade windows.
Cultural Considerations
Employees may resist closure if exceptions make their jobs easier. Communicate why backlogs pose risks and frame resolution as an investment in smoother operations, not just security enforcement.
Continuous Monitoring
After clearing a backlog, SMEs should establish processes to prevent it from recurring. Regular audits quarterly or biannual ensure exceptions remain temporary, not permanent fixtures.
By balancing urgency with practicality, SMEs can steadily reduce exceptions without disrupting productivity, achieving stronger security and compliance in the process.