SOC Governance Framework (SOC-001-R001) - SOC-001

Requirement Details & Guidance

SOC-001-R001 · SOC-001

Why This Requirement Exists

A defined SOC operating model establishes accountability, coverage, escalation, and consistent security monitoring practices.

Implementation Guidance

Define SOC roles, responsibilities, operating procedures, escalation paths, coverage model, service levels, and governance metrics. Align SOC operations with incident response, threat intelligence, vulnerability management, and risk functions.

Practical Application & Audit Readiness

SOC-001-R001 · Field Guidance

Business Examples

Common Audit Findings

Common Mistakes

Best Practices & Ownership

SOC-001 · Recommended Approach

Recommended Practices

Typical Owner

Cross-Mapped Regulatory Frameworks

Harmonized Control Mappings

FRAMEWORK CODE	FRAMEWORK NAME & DETAILS	FAMILY / CATEGORY	VERSION	ACTION
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 →
DORA	Digital Operational Resilience Act The EU Digital Operational Resilience Act establis... Clause: Article 10(1) – Mechanisms to promptly detect anomalous activities and ICT-related incidents Article 10(3) – Resources and capabilities to monitor user activity, anomalies and ICT-related incidents Article 6(8)(e) – Mechanisms to detect ICT incidents, prevent impact and provide protection	EU Regulation	vCurrent	View →
GDPR	General Data Protection Regulation (GDPR) The General Data Protection Regulation is a bindin... Clause: Article 32(1) – Security of processing; Article 32(1)(d) – Testing, assessing and evaluating security measures	EU Regulation	vCurrent	View →
IRDAI	IRDAI Information & Cyber Security Guidelines IRDAI information and cyber-security requirements... Clause: §1.6 – Security Operations Center (SOC); §1.6-3 – Chief Information Security Officer (CISO)	India Guideline	vLatest	View →
ISO27001	ISO/IEC 27001 ISO/IEC 27001 specifies auditable requirements for... Clause: 5.1 – Leadership and commitment 5.3 – Organizational roles, responsibilities and authorities	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 →
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: 3.13 – PROGRAM MANAGEMENT; PM-2 – INFORMATION SECURITY PROGRAM LEADERSHIP ROLE, PM-13 – SECURITY AND PRIVACY WORKFORCE	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 →
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 →
RBI-CSF	RBI Cyber Security Framework / Master Directions RBI cyber-security requirements and directions set... Clause: Circular §17 – Organisational arrangements; 19) Incident Response & Management – 19(b) Security Operations Centre for centralised/coordinated security-incident monitoring and management	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 →
SOC2	SOC 2 Trust Services Criteria SOC 2 is an independent examination and reporting... Clause: CC1.3 – Control Environment – COSO Principle 3: Management establishes, with board oversight, structures, reporting lines, and appropriate authorities and responsibilities in the pursuit of objectives. CC4.1 – Monitoring of Controls – COSO Principle 16: The entity selects, develops, and performs ongoing and/or separate evaluations to ascertain whether the components of internal control are present and functioning.	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

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Parent Control Context

Control Baseline

Control Name:

Security Operations Center (SOC) Management (SOC-001)

Summary:

Establishes SOC governance including roles, operating model, service management, resource management, performance monitoring, metrics, review, maturity assessment, and continuous improvement.

Business Description:

Establish and maintain a Security Operations Center (SOC) responsible for continuous security monitoring, operational governance, incident coordination, and security service delivery.

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