---
title: "Purpose"
source: Open Source SOC Documentation
source_url: https://github.com/madirish/ossocdocs
licence: MIT
domain: engineering
subdomain: soc-docs
date_added: 2026-04-25
---

## Purpose
The purpose of this policy is to establish a structured approach for ensuring the quality and consistency of Security Operations Center (SOC) investigations. Regular reviews of investigations will be conducted to identify deficiencies in documentation, deviations from written processes, and areas for improvement. This policy aims to enhance SOC performance through continuous assessment and refinement.

## Scope
This policy applies to all SOC personnel, including SOC Analysts, Shift Leads, and the SOC Director. It encompasses all investigations conducted by the SOC, ensuring adherence to documented runbooks and procedures. Shift Leads, Senior Analsyts, SOC Managers, or the Incident Response (IR) team may also conduct independent reviews to validate SOC quality assurance processes.

## Roles & Responsibilities

| Role         | Responsibility                                                                                                            |
| ------------ | ------------------------------------------------------------------------------------------------------------------------- |
| SOC Analyst  | Ensure investigations are thoroughly documented and aligned with established processes.                                   |
| Shift Lead   | Conduct regular quality assurance reviews across all shifts and analysts, document findings, and provide recommendations. |
| SOC Director | Review collected metrics and ensure corrective actions and commendations are implemented.                                 |

## Policy Statement
The SOC must implement a structured Investigation Quality Assurance program that regularly reviews a representative sample of investigations to ensure adherence to documented processes. Reviews will be tracked, and metrics will be compiled and reported to the SOC Director. This process will identify gaps in documentation, recognize exemplary performance, and provide corrective action recommendations when deficiencies are found. SOC performance will be benchmarked against established conformity targets.

### Policy Elements
#### 1. Investigation Review Process

- A representative sample of investigations must be reviewed on a regular basis.
- Investigations will be assessed against written runbooks and established processes.
- The review process must be tracked, and findings recorded.

#### 2. Documentation and Tracking

- All reviews must include a final determination:
    - Conformed to process
    - Deviated from process
    - Deficiency in documentation
- Metrics gathered from reviews must be compiled and presented to the SOC Director on a regular basis.

#### 3. Quality Assurance Responsibilities

- **Shift Leads** must conduct quality assurance reviews covering all shifts and analysts.
- **SOC Analysts** should receive feedback based on findings from the review.
- **SOC Director** must set quality assurance targets and goals for SOC performance benchmarking.

#### 4. Corrective Actions and Commendations

- Reviews should result in commendations for adherence to processes and exemplary work.
- Reviews should provide recommendations for corrective action when deviations or deficiencies are identified.
- Any identified gaps in documentation should be addressed and updated accordingly.

#### 5. Independent Verification

Shift Leads, SOC Managers, or the IR team may periodically conduct independent reviews to:

- Validate the accuracy of SOC quality assurance findings.
- Ensure internal SOC quality review processes remain effective and unbiased.
 
 ## Enforcement and Compliance
 By implementing this policy, the SOC will ensure that investigations maintain high standards of accuracy, consistency, and documentation, ultimately improving security operations effectiveness. Non-compliance with this policy could result in failure to identify deficiencies in documentation and process. SOC leadership are responsible for ensuring compliance with this policy.
