# BSI C5:2020 SP-03 — Exceptions from Existing Policies and Instructions - Source: https://support.icompaas.com/compliance/bsi-c5-2020/sp-03-exceptions-from-existing-policies-and-instructions - Section: [Compliance](https://support.icompaas.com/compliance) › [BSI C5:2020 (Cloud Computing Compliance Criteria)](https://support.icompaas.com/compliance/bsi-c5-2020) › Security Policy Management (SP) - Last updated: 2026-06-05 - Publisher: iCompaas, Inc. (https://www.icompaas.com) **BSI C5:2020**·Criterion `SP-03`·medium·Component: **Security Policy Management** ## What this control requires > Manages exceptions to security policies through OIS-06 risk management, requiring risk owner approval and annual review. Documents time-limited exceptions to ensure controlled deviations, minimizing risks to cloud customer data while maintaining compliance with security standards. > > — BSI C5:2020, Criterion SP-03 ### In plain English Manages exceptions to security policies through OIS-06 risk management, requiring risk owner approval and annual review. In practice, this means you can prove you risk security policy-level controls on a defined cadence. ## Why it matters BSI C5 is the default cloud-security baseline German public-sector buyers and many DAX-listed enterprises expect; gaps here directly block procurement in the DACH region and frequently appear as must-have items in EU public-tender documents. ## What an auditor looks for A C5 attesting auditor (under ISAE 3000 / IDW PS 860) tests both the design and — for a Type 2 — the operating effectiveness over the attestation period. For each criterion they look for both the Basic and any in-scope Additional objectives. Within **Security Policy Management**, the assessor will trace your implementation back to the catalogue reference (Criterion SP-03) and look for objective evidence on the latest two assessment cycles. ## How to implement #### Cloud Posture **CSPM.** Run Wiz / Prisma / Defender for Cloud / Security Command Center over every account; auto-ticket findings above your accepted-risk threshold. #### Policy Management **Docs.** Keep each policy in version-controlled Markdown alongside the code that implements it; ship a signed PDF snapshot at each annual review and link the SHA into the SoA. ### Operational checklist - **Risk.** Document the trigger, the owner and the cadence. - **Review.** Document the trigger, the owner and the cadence. - **Exceptions.** Document the trigger, the owner and the cadence. - **Security.** Document the trigger, the owner and the cadence. - **Data.** Document the trigger, the owner and the cadence. - **Scope:** security policy, cloud customer data, management. ## Evidence to collect - **Policy Document.** A signed and version-controlled policy / standard / procedure document. - **Infra Scan.** Continuous infrastructure-posture telemetry — AWS Config, Azure Policy compliance, GCP Organisation Policy, Wiz / Prisma findings. Signed policy or standard documents the safeguard. Focus: Exceptions from Existing Policies and Instructions. ## Common pitfalls - Treating CSPM findings as a backlog instead of a hot queue: findings older than the policy SLA accumulate until the auditor asks why. - Policies that no engineer has read; the version in Confluence drifts from the version that's actually being enforced. ## How it maps to other frameworks Computed from shared tags, control component and key-operation subjects — handy when you are reconciling controls across an audit. - [**HIPAA (45 CFR Part 164) 164.308(a)(5)(i)** — Security Awareness and Training](https://support.icompaas.com/compliance/hipaa/164-308-a-5-i-security-awareness-and-training) - [**ISO/IEC 27001:2022 A.5.23** — Information security for use of cloud services](https://support.icompaas.com/compliance/iso-27001-2022/a-5-23-information-security-for-use-of-cloud-services) - [**NIST SP 800-53 Rev. 5 PL-2(3)** — Plan And Coordinate With Other Organizational Entities](https://support.icompaas.com/compliance/nist-sp-800-53-rev-5/pl-2-3-plan-and-coordinate-with-other-organizational-entities) - [**NIST SP 800-171 Rev. 3 3.12.3** — Continuous Monitoring](https://support.icompaas.com/compliance/nist-sp-800-171-rev-3/3-12-3-continuous-monitoring) - [**SOC 2 (2017 TSC) CC2.3** — External Communication on Internal Control Matters](https://support.icompaas.com/compliance/soc-2-trust-services-criteria/cc2-3-external-communication-on-internal-control-matters) ## Related controls in BSI C5:2020 - [**Criterion SP-02** — Review and Approval of Policies and Instructions](https://support.icompaas.com/compliance/bsi-c5-2020/sp-02-review-and-approval-of-policies-and-instructions) - [**Criterion SP-01** — Documentation, communication and provision of policies and instructions](https://support.icompaas.com/compliance/bsi-c5-2020/sp-01-documentation-communication-and-provision-of-policies-and-instructions) - [**Criterion OIS-05** — Contact with Relevant Government Agencies and Interest Groups](https://support.icompaas.com/compliance/bsi-c5-2020/ois-05-contact-with-relevant-government-agencies-and-interest-groups) - [**Criterion OIS-06** — Risk Management Policy](https://support.icompaas.com/compliance/bsi-c5-2020/ois-06-risk-management-policy) - [**Criterion HR-02** — Employment terms and conditions](https://support.icompaas.com/compliance/bsi-c5-2020/hr-02-employment-terms-and-conditions) - [**Criterion PI-01** — Documentation and safety of input and output interfaces](https://support.icompaas.com/compliance/bsi-c5-2020/pi-01-documentation-and-safety-of-input-and-output-interfaces) ## References - [Bundesamt für Sicherheit in der Informationstechnik (BSI) — BSI C5:2020](https://www.bsi.bund.de/EN/Topics/CloudComputing/Compliance_Criteria_Catalogue/Compliance_Criteria_Catalogue_node.html) - Catalogue identifier: `Criterion SP-03` Topics: governance riskcloud posturepolicy management ## Related compliance guidance - [SOC 2 compliance: a practical implementation guide for cloud-native SaaS teams](https://support.icompaas.com/compliance/soc-2-trust-services-criteria): Configuration checks like this one are the technical half of a SOC 2 / ISO 27001 programme — the guide shows where they fit, what else an auditor expects, and how to evidence them. - [ISO/IEC 27001:2022 compliance: a practical implementation guide](https://support.icompaas.com/compliance/iso-27001-2022): ISO 27001 Annex A.8 (technological controls) is where cloud hardening evidence lands; the guide shows how to run the ISMS around it.