Overview
The Exceptions page is where you monitor and manage all formal exceptions within CORE. An exception is raised when a control is not operating as expected or a risk event requires time-limited remediation. This page helps you track every open exception, see who owns it, understand how overdue it is, and review the full change log for audit purposes.
How to use it
Tabs
The page has two tabs:
- Exceptions — the default view, showing the active exceptions register.
- Change Log — a chronological record of all changes made to exception records, useful for audit trails and governance reviews.
Filters and search
Above the exceptions table, a set of filters lets you narrow the view:
| Filter | What it does |
|---|
| From Date | Show only exceptions created on or after this date. |
| To Date | Show only exceptions created on or before this date. |
| Business Unit | Restrict to a specific business unit. |
| Team | Restrict to a specific team. |
| Entity | Restrict to a specific legal entity. |
| Search box | Free-text search across exception titles, reference numbers, and owners. |
Exceptions table
The core of the page is the exceptions register. Each row represents a single exception, with the following columns:
| Column | What it shows |
|---|
| Element | Whether the exception relates to a CONTROL or a RISK EVENT. |
| Title | The name and reference number of the exception (e.g. “Credit Underwriter Review/Approval of All Lending Decisions (#CR354)”). Click to open the full record. |
| Owner | The individual responsible for resolving the exception. |
| Entity | The legal entity the exception applies to. |
| RAYG rating | A Red/Amber/Yellow/Green status indicating the severity or risk level of the exception. |
| Due Date | The target date for resolution. |
| Overdue By | How many days past the due date the exception is, if applicable. Items not yet overdue show no value. |
Change Log tab
Switch to the Change Log tab to see a time-stamped record of every update made to exception records. This includes status changes, ownership transfers, due date extensions, and any notes added. The change log is read-only and supports the same filter controls as the main exceptions tab.
Tips & Tricks
Sort the exceptions table by Overdue By (descending) at the start of each week to prioritise the most critical items. Addressing long-overdue exceptions first reduces accumulated risk and demonstrates proactive governance to regulators.
Extending the due date on an exception resets the Overdue By counter but does not remove the original due date from the change log. Auditors can see every extension, so ensure each one is justified with a clear rationale in the exception record.
Exceptions may be linked to controls or risk events tracked elsewhere in CORE. Use the Element column to understand the source, then cross-reference with the Controls or Risks registers for the full picture. You can also export exception data from the Export Center. 
