OPS-04: Security Operations Center (SOC)

There is no evidence of a capability to establish and maintain a Security Operations Center (SOC) that facilitates a 24x7 response capability.

C|P-CMM1 is N/A, since a structured process is required to establish and maintain a Security Operations Center (SOC) that facilitates a 24x7 response capability.

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: o Has a defined mission and expected functions. o Manages cybersecurity operations that covers preparation, detection and analysis, containment, eradication and recovery. o Configures monitoring technologies to implement the legally-allowable enhanced monitoring profiles for selected users and establish a reporting capability to designated personnel on enhanced monitoring activities. o Is capable of detecting and responding to potential incidents through a formalized intake of security-related tickets; log monitoring; and analyzing threat intelligence feeds. o Is staffed internally by qualified cybersecurity personnel, or is outsourced to a Managed Security Services Provider (MSSP). o Maintains a documented knowledge management repository to assist in SOC operations. o Ensures personnel are assigned appropriate roles and responsibilities to assist Integrated Security Incident Response Team (ISIRT) personnel in incident response operations. o Responds to cybersecurity and data privacy incidents according to documented procedures.

• A Security Operations Center (SOC), or similar function,

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 establish and maintain a Security Operations Center (SOC) that facilitates a 24x7 response capability.