OPS-01.1: Standardized Operating Procedures (SOP)

There is no evidence of a capability to identify and document Standardized Operating Procedures (SOP), or similar documentation, to enable the proper execution of day-to-day / assigned tasks.

Security Operations (OPS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist:

• Cybersecurity operations are decentralized.
• The responsibility for developing and operating cybersecurity and data privacy procedures are up to the business process owner(s) to determine, including the definition and enforcement of roles and responsibilities.

Security operations (OPS) efforts are requirements-driven and governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist:

• Security operations management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure, resilient and compliant practices.
• IT/cybersecurity personnel identify cybersecurity and data protection controls to address applicable statutory, regulatory and contractual requirements for security operations.
• Administrative processes focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.
• Critical business functions are documented in “run books” or Standardized Operating Procedures (SOPs) to capture operational knowledge in documentation form.

Security Operations (OPS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist:

• A Security Operations Center (SOC), or similar function, manages cybersecurity operations that covers preparation, detection and analysis, containment, eradication and recovery.
• Procedures are standardized across the enterprise to ensure uniformity and consistent execution. These Standardized Operating Procedures (SOP) identify and document day-to-day procedures to enable the proper execution of assigned tasks.
• Line of Business (LOB) stakeholders are identified and tasked with documenting business-critical functions in “run books,” or SOPs, to capture the knowledge in documentation form from both a business and technology perspective.

Security Operations (OPS) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist:

• Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs).
• Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs).
• Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity and data protection controls, including functions performed by third-parties.
• Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review).
• Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes.
• Both business and technical stakeholders are involved in reviewing and approving proposed changes.

See C|P-CMM4. There are no defined C|P-CMM5 criteria, since it is reasonable to assume a continuously-improving process is not necessary to identify and document Standardized Operating Procedures (SOP), or similar documentation, to enable the proper execution of day-to-day / assigned tasks.