Active

Program Compliance

The organization shall ensure the exception management program complies with applicable legal, regulatory, and organizational requirements. Program compliance shall include identification of compliance requirements, implementation of compliance controls, and verification of compliance.

Requirement ID
EXC-001-R009
Parent Control
EXC-001
Domain Code
EXC

Requirement Details & Guidance

EXC-001-R009 · EXC-001
Why This Requirement Exists

To ensure exception management itself remains compliant with applicable regulatory, contractual, policy, and governance requirements.

Implementation Guidance

Identify applicable obligations; map requirements to exception procedures and records; establish compliance checks; retain evidence of approvals and reviews; test adherence and remediate non-compliance.

Practical Application & Audit Readiness

EXC-001-R009 · Field Guidance

Business Examples

    Common Audit Findings

      Common Mistakes

        Best Practices & Ownership

        EXC-001 · Recommended Approach

        Recommended Practices

          Typical Owner

          Cross-Mapped Regulatory Frameworks

          Harmonized Control Mappings
          FRAMEWORK CODE FRAMEWORK NAME & DETAILS FAMILY / CATEGORY VERSION ACTION
          RBI-CSF RBI Cyber Security Framework / Master Directions RBI cyber-security requirements and directions set... Clause: 2) Preventing execution of unauthorised software – 2.4 Defined exception framework, approval and periodic review; Circular §5 – Identification/assessment of inherent cyber risks and controls
          India
          Regulation
          		 vLatest View →
          COBIT2019 COBIT COBIT is an enterprise governance and management f... Clause: 4.5 – Monitor, Evaluate and Assess (MEA) > MEA03 – Managed Compliance with External Requirements > MEA03.03 – Confirm external compliance. 4.5 – Monitor, Evaluate and Assess (MEA) > MEA03 – Managed Compliance with External Requirements > MEA03.01 – Identify external compliance requirements.
          COBIT
          Governance Framework
          		 v2019 View →
          NIST-CSF NIST Cybersecurity Framework (CSF) The NIST Cybersecurity Framework provides high-lev... Clause: ID.RA – Risk Assessment | ID.RA-07 – Changes and exceptions are managed, assessed for risk impact, recorded, and tracked ID.RA – Risk Assessment | ID.RA-06 – Risk responses are chosen, prioritized, planned, tracked, and communicated
          NIST
          Framework
          		 v2 View →
          NIST80053 NIST SP 800-53 NIST SP 800-53 Rev. 5 presents control families, i... Clause: 3.16 – RISK ASSESSMENT, 3.4 – ASSESSMENT, AUTHORIZATION, AND MONITORING; RA-7 – RISK RESPONSE, CA-6 – AUTHORIZATION
          NIST
          Control Catalog
          		 vRev. 5 View →
          NPCI-ISR NPCI Information Security Requirements NPCI information-security requirements define cont... Clause: Governance Controls; Policy, Roles and Risk Linkages – Monitor policy compliance and exceptions
          India
          Standard
          		 vLatest View →
          SOC2 SOC 2 Trust Services Criteria SOC 2 is an independent examination and reporting... Clause: CC3.2 – Risk Assessment – COSO Principle 7: The entity identifies risks to the achievement of its objectives across the entity and analyzes risks as a basis for determining how the risks should be managed. CC5.3 – Control Activities – COSO Principle 12: The entity deploys control activities through policies that establish what is expected and in procedures that put policies into action.
          AICPA
          Audit Framework
          		 vLatest View →

          Parent Domain Context

          Governance Domain Baseline
          Domain Name:
          Exception Management (EXC)
          Purpose:
          To manage deviations from established policies and standards through a formal risk-based process.
          Scope:
          Enterprise
          View

          Parent Control Context

          Control Baseline
          Control Name:
          Exception Management Program (EXC-001)
          Summary:
          Establishes exception management program including governance, scope, roles, policy, risk governance, metrics, reporting, review, compliance, and continuous improvement.
          Business Description:
          Establish and maintain an enterprise exception management program to govern the identification, evaluation, approval, monitoring, renewal, and closure of approved deviations from security, privacy, risk, and compliance requirements.
          View