Active

Exception Management

The organization shall manage exceptions to automated playbooks and workflows, ensuring manual interventions are authorized, documented, and reviewed. Exception management shall include request for exceptions, assessment of exception risk, approval with appropriate actions, and monitoring of compliance.

Requirement ID
SOC-003-R009
Parent Control
SOC-003
Domain Code
SOC

Requirement Details & Guidance

SOC-003-R009 · SOC-003
Why This Requirement Exists

Timely detection reduces attacker dwell time and enables security teams to respond before impact expands.

Implementation Guidance

Develop and tune detection rules and analytics for relevant threats. Define severity, alert routing, enrichment, suppression, and escalation criteria.

Practical Application & Audit Readiness

SOC-003-R009 · Field Guidance

Business Examples

    Common Audit Findings

      Common Mistakes

        Best Practices & Ownership

        SOC-003 · 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
          India
          Guideline
          		 vLatest View →
          RBI-CSF RBI Cyber Security Framework / Master Directions RBI cyber-security requirements and directions set... Clause: 19) Incident Response & Management – 19(b) Security Operations Centre for centralised/coordinated security-incident monitoring and management; 19) Incident Response & Management – 19(f) Alignment of SOC, incident response and digital forensics to reduce downtime/recover
          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; 4.2 DE.DP: Detection Process
          India
          Regulation
          		 vLatest View →
          DORA Digital Operational Resilience Act The EU Digital Operational Resilience Act establis... Clause: Article 10(2) – Multiple detection layers, alert thresholds and incident-response triggers Article 17(1) – ICT-related incident management process to detect, manage and notify incidents
          EU
          Regulation
          		 vCurrent View →
          ISO27002 ISO/IEC 27002 ISO/IEC 27002 is a guidance standard containing a... Clause: 8.16 – Monitoring activities
          ISO
          Standard
          		 v2022 View →
          NIS2 NIS2 Directive The NIS2 Directive establishes EU-wide cybersecuri... Clause: Article 21(2)(b) – Incident handling
          EU
          Directive
          		 vCurrent View →
          PCI-DSS PCI DSS PCI DSS is an industry security standard maintaine... Clause: 10.1.1 – All security policies and operational procedures that are identified in Requirement 10 are documented, kept up to date, in use, and known to all affected parties.; 10.2.1 – Audit logs are enabled and active for all
          PCI
          Standard
          		 v4 View →
          COBIT2019 COBIT COBIT is an enterprise governance and management f... Clause: 4.4 – Deliver, Service and Support (DSS) > DSS05 – Managed Security Services > DSS05.07 – Manage vulnerabilities and monitor the infrastructure for
          COBIT
          Governance Framework
          		 v2019 View →
          NIST-CSF NIST Cybersecurity Framework (CSF) The NIST Cybersecurity Framework provides high-lev... Clause: DE.CM – Continuous Monitoring | DE.CM-09 – Computing hardware and software, runtime environments, and their data are monitored to find potentially adverse events DE.AE – Adverse Event Analysis | DE.AE-02 – Potentially adverse events are analyzed to better understand associated activities
          NIST
          Framework
          		 v2 View →
          NIST80053 NIST SP 800-53 NIST SP 800-53 Rev. 5 presents control families, i... Clause: 3.19 – SYSTEM AND INFORMATION INTEGRITY; SI-4 – SYSTEM MONITORING
          NIST
          Control Catalog
          		 vRev. 5 View →
          NPCI-ISR NPCI Information Security Requirements NPCI information-security requirements define cont... Clause: Operational Review; Logging and Monitoring
          India
          Standard
          		 vLatest View →
          SOC2 SOC 2 Trust Services Criteria SOC 2 is an independent examination and reporting... Clause: CC7.4 – System Operations – The entity responds to identified security incidents by executing a defined incident-response program to understand, contain, remediate, and communicate security incidents, as appropriate. CC5.2 – Control Activities – COSO Principle 11: The entity also selects and develops general control activities over technology to support the achievement of objectives.
          AICPA
          Audit Framework
          		 vLatest View →

          Parent Domain Context

          Governance Domain Baseline
          Domain Name:
          Security Operations & Monitoring (SOC)
          Purpose:
          To maintain situational awareness of security events and manage security operations.
          Scope:
          Enterprise
          View

          Parent Control Context

          Control Baseline
          Control Name:
          Security Automation & Orchestration (SOAR) (SOC-003)
          Summary:
          Establishes SOAR including automated playbooks, workflow orchestration, automated responses, integration management, monitoring, reporting, review, exception management, and continuous improvement.
          Business Description:
          Establish and maintain security automation, orchestration, and response workflows to improve operational efficiency and accelerate security response activities.
          View