Architecture Exception Management (ARC-002-R005) - ARC-002

Requirement Details & Guidance

ARC-002-R005 · ARC-002

Why This Requirement Exists

This requirement exists to control deviations from architecture standards through risk assessment, approval, compensating controls, and monitoring and to ensure security architecture decisions are consistent, risk-informed, and traceable.

Implementation Guidance

Establish a documented process for control deviations from architecture standards through risk assessment, approval, compensating controls, and monitoring. Define accountable roles, required inputs and outputs, approval or validation points, criteria, review frequency, exception handling, monitoring, and evidence requirements. Integrate the activity with architecture governance, risk management, security requirements, engineering, and change processes as applicable. Retain records sufficient to demonstrate that the control operates.

Practical Application & Audit Readiness

ARC-002-R005 · Field Guidance

Business Examples

Common Audit Findings

Common Mistakes

Best Practices & Ownership

ARC-002 · Recommended Approach

Recommended Practices

Typical Owner

Cross-Mapped Regulatory Frameworks

Harmonized Control Mappings

FRAMEWORK CODE	FRAMEWORK NAME & DETAILS	FAMILY / CATEGORY	VERSION	ACTION
IRDAI	IRDAI Information & Cyber Security Guidelines IRDAI information and cyber-security requirements... Clause: §1.9-II – Exception grant and risk assessment methodology; §1.9-III – Executive Approval	India Guideline	vLatest	View →
RBI-CSF	RBI Cyber Security Framework / Master Directions RBI cyber-security requirements and directions set... Clause: Circular §7 – IT architecture should be conducive to security; Circular §17 – Organisational arrangements	India Regulation	vLatest	View →
SEBI-CSCRF	SEBI Cyber Security & Cyber Resilience Framework SEBI’s Cybersecurity and Cyber Resilience Framewor... Clause: 4.1 DE.CM: Security Continuous Monitoring	India Regulation	vLatest	View →
DORA	Digital Operational Resilience Act The EU Digital Operational Resilience Act establis... Clause: Article 5(2)(c) – Clear roles and responsibilities for all ICT-related functions and governance arrangements Article 6(8)(d) – ICT reference architecture and changes needed for business objectives	EU Regulation	vCurrent	View →
NIS2	NIS2 Directive The NIS2 Directive establishes EU-wide cybersecuri... Clause: Article 21(2)(e) – Security in network and information systems acquisition, development and maintenance, including vulnerability handling and disclosure	EU Directive	vCurrent	View →
PCI-DSS	PCI DSS PCI DSS is an industry security standard maintaine... Clause: 1.2.3 – An accurate network diagram(s) is maintained; 1.2.4 – An accurate data-flow diagram(s) is; 1.4.1 – NSCs are implemented between trusted and; 2.2.1 – Configuration standards are developed,	PCI Standard	v4	View →
COBIT2019	COBIT COBIT is an enterprise governance and management f... Clause: 4.2 – Align, Plan and Organize (APO) > APO03 – Managed Enterprise Architecture > APO03.02 – Define reference architecture. 4.3 – Build, Acquire and Implement (BAI) > BAI03 – Managed Solutions Identification and Build > BAI03.04 – Procure solution components.	COBIT Governance Framework	v2019	View →
NIST-CSF	NIST Cybersecurity Framework (CSF) The NIST Cybersecurity Framework provides high-lev... Clause: PR.IR – Technology Infrastructure Resilience \| PR.IR-01 – Networks and environments are protected from unauthorized logical access and usage	NIST Framework	v2	View →
NIST80053	NIST SP 800-53 NIST SP 800-53 Rev. 5 presents control families, i... Clause: 3.12 – PLANNING, 3.17 – SYSTEM AND SERVICES ACQUISITION; PL-8 – SECURITY AND PRIVACY ARCHITECTURES, SA-17 – DEVELOPER SECURITY AND PRIVACY ARCHITECTURE AND DESIGN	NIST Control Catalog	vRev. 5	View →
NPCI-ISR	NPCI Information Security Requirements NPCI information-security requirements define cont... Clause: Operational Review; Review – Architectural Review	India Standard	vLatest	View →
SOC2	SOC 2 Trust Services Criteria SOC 2 is an independent examination and reporting... Clause: CC1.3 – Control Environment – COSO Principle 3: Management establishes, with board oversight, structures, reporting lines, and appropriate authorities and responsibilities in the pursuit of objectives. CC1.5 – Control Environment – COSO Principle 5: The entity holds individuals accountable for their internal control responsibilities in the pursuit of objectives.	AICPA Audit Framework	vLatest	View →

Parent Domain Context

Governance Domain Baseline

Domain Name:

Security Architecture (ARC)

Purpose:

To design secure systems and ensure security is built into the architecture.

Scope:

Enterprise

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Parent Control Context

Control Baseline

Control Name:

Architecture Governance (ARC-002)

Summary:

Establishes architecture governance including approval, roles, decision management, exception management, monitoring, reporting, compliance verification, review, and continuous improvement.

Business Description:

Establish and maintain governance processes for reviewing, approving, monitoring, and managing security architecture decisions, exceptions, and major technology changes.

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