Active

Application Exception Management

The organization shall manage exceptions to application control policies, ensuring deviations are authorized, documented, and monitored. Exception management shall include request for exceptions, assessment of exception risk, approval with compensating controls, and monitoring of compliance.

Requirement ID
END-005-R005
Parent Control
END-005
Domain Code
END

Requirement Details & Guidance

END-005-R005 · END-005
Why This Requirement Exists

To ensure application exception management is consistently implemented and provides the intended security outcome for application control.

Implementation Guidance

Define the required process, scope, roles, and control criteria for application exception management; implement through approved centralized tooling where practical; document evidence, monitor compliance, and establish remediation and escalation paths.

Practical Application & Audit Readiness

END-005-R005 · Field Guidance

Business Examples

    Common Audit Findings

      Common Mistakes

        Best Practices & Ownership

        END-005 · 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: §2.6-3.7 – IT Service Management
          India
          Guideline
          		 vLatest View →
          RBI-CSF RBI Cyber Security Framework / Master Directions RBI cyber-security requirements and directions set... Clause: 2) Preventing execution of unauthorised software – 2.1 Authorised/unauthorised software inventory and application whitelisting; 2) Preventing execution of unauthorised software – 2.2 Control/block/identify unauthorised software installation and execution
          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 9(2) – ICT security policies, procedures, protocols and tools for resilience and data security Article 7 – ICT systems, protocols and tools
          EU
          Regulation
          		 vCurrent View →
          NIS2 NIS2 Directive The NIS2 Directive establishes EU-wide cybersecuri... Clause: Article 21(2)(g) – Basic cyber hygiene practices and cybersecurity training
          EU
          Directive
          		 vCurrent View →
          PCI-DSS PCI DSS PCI DSS is an industry security standard maintaine... Clause: 2.2.1 – Configuration standards are developed,; 2.2.6 – System security parameters are configured to
          PCI
          Standard
          		 v4 View →
          NIST-CSF NIST Cybersecurity Framework (CSF) The NIST Cybersecurity Framework provides high-lev... Clause: ID.AM – Asset Management | ID.AM-08 – Systems, hardware, software, services, and data are managed throughout their life cycles PR.PS – Platform Security | PR.PS-02 – Software is maintained, replaced, and removed commensurate with risk
          NIST
          Framework
          		 v2 View →
          NIST80053 NIST SP 800-53 NIST SP 800-53 Rev. 5 presents control families, i... Clause: 3.5 – CONFIGURATION MANAGEMENT; CM-7 – LEAST FUNCTIONALITY
          NIST
          Control Catalog
          		 vRev. 5 View →
          CIS-V8 CIS Controls CIS Controls are a prioritized set of cybersecurit... Clause: Control 02 – Inventory and Control of Software Assets: 2.5 – Allowlist Authorized Software
          CIS
          Best Practice
          		 vv8 View →
          SOC2 SOC 2 Trust Services Criteria SOC 2 is an independent examination and reporting... Clause: CC6.1 – Logical and Physical Access Controls – The entity implements logical access security software, infrastructure, and architectures over protected information assets to protect them from security events to meet the entity's objectives. CC6.8 – Logical and Physical Access Controls – The entity implements controls to prevent or detect and act upon the introduction of unauthorized or malicious software to meet the entity’s objectives.
          AICPA
          Audit Framework
          		 vLatest View →

          Parent Domain Context

          Governance Domain Baseline
          Domain Name:
          Endpoint Security (END)
          Purpose:
          To protect endpoint devices (laptops, servers, mobile) from threats.
          Scope:
          Enterprise
          View

          Parent Control Context

          Control Baseline
          Control Name:
          Endpoint Application Control (END-005)
          Summary:
          Establishes endpoint application control including approved application management, allowlisting, execution control, exception management, monitoring, and unauthorized application detection.
          Business Description:
          Establish and maintain controls to authorize, restrict, monitor, and manage software execution on endpoint devices.
          View