Markdown Editor

Security Operating Procedure Template (ISO/IEC 27001 A.5.37)

Criteria for which activities need a procedure, procedure register, model SOP layout, writing rules, lifecycle, worked SOPs for access provisioning and backup verification

ISMS & ISO/IEC 27001FullISO/IEC 27001:2022 + Amd 1:2024 A.5.37, cl. 7.5 (cited only); ISO/IEC 27002:2022securityoperatingprocedure

How to use: Use it to set up documented operating procedures for security controls and information processing facilities (A.5.37), then copy the model layout for each procedure. Fill the procedure register first so gaps are visible. The main pitfall is procedures written for the audit that operators never use, test or keep current.

Preview

Security Operating Procedure: [Procedure name]

Model template for the written procedures that run IT systems and security tasks, supporting ISO/IEC 27001:2022 + Amd 1:2024 Annex A control A.5.37 (documented operating procedures: written, controlled and reachable by the people who do the work; read the official control text for the exact requirement) and the documented information rules of clause 7.5. Sections 1 to 3 set the rules for deciding which activities need a written procedure, section 4 is the model procedure layout (purpose, scope, prerequisites, steps, verification, rollback, escalation, records), sections 5 to 7 cover writing and control, and sections 8 and 9 give two complete worked Example procedures: user access provisioning and backup verification. Replace every [bracketed] value and every row marked Example.

Document control

FieldValue
Document ID[DOC-ISMS-049]
Version[1.0]
Status[Draft / In review / Approved / Superseded]
Owner[@head-of-it-operations]
Approvers/reviewers[@isms-manager], [@ciso]
Last updatedYYYY-MM-DD
Classification[Internal]
Standard and editionISO/IEC 27001:2022 + Amd 1:2024 (A.5.37, cl. 7.5); ISO/IEC 27002:2022
Next scheduled reviewYYYY-MM-DD
Procedure register location[Wiki space or document management library]
Documented information register[DOC-ISMS-028]

Approvals

RoleNameDecisionDate
Owner[@head-of-it-operations][Prepared]YYYY-MM-DD
ISMS manager[@isms-manager][Reviewed]YYYY-MM-DD
CISO[@ciso][Approved]YYYY-MM-DD

Revision history

VersionDateAuthorChange
1.0 (Example)YYYY-MM-DD[@head-of-it-operations]First version with register and two worked procedures
1.1 (Example)YYYY-MM-DD[@platform-lead]SOP-SEC-002 updated after the restore test found a missing checksum step

Contents

Part 1: Framework

  1. Purpose and scope
  2. Which activities need a documented procedure
  3. Procedure register
  4. Model procedure layout

Part 2: Writing and control

  1. Writing rules
  2. Procedure lifecycle and change control
  3. Availability, training and use

Part 3: Worked examples

  1. Worked example SOP-SEC-001: user access provisioning
  2. Worked example SOP-SEC-002: backup verification

Part 4: Operation

  1. Size tiers
  2. Records and evidence
  3. References

1. Purpose and scope

This framework sets how [Organization name] identifies, writes, approves, publishes, uses and maintains operating procedures for information processing facilities and security activities within the ISMS scope (DOC-ISMS-002). Its aim is that a trained person can perform each critical task correctly, securely and in the same way every time, including out of hours and during disruption, and that the organization can show afterwards that it was done.

It covers procedures for:

  • operating systems, platforms, networks and cloud services in scope;
  • running security controls (access provisioning, backups, patching, key and certificate handling, log review, vulnerability scanning);
  • responding to defined security events where a playbook is not enough (see security/soc-playbook for detection and response playbooks);
  • handling information and media (secure transfer, disposal).

It does not replace policies (which say what must be achieved) or standards (which set required configurations). A procedure says how a task is carried out, step by step, by whom.

2. Which activities need a documented procedure

Write and control a procedure when at least one criterion applies:

CodeCriterionExample activities
P1The activity is performed by several people who must do it the same wayAccess provisioning, onboarding of devices
P2The activity is infrequent and errors are costlyCertificate renewal, key rotation, failover
P3The activity is needed during disruption or by a stand-inRestore from backup, emergency access
P4The activity operates a control named in the SoA or required by contract or lawBackup verification, log review, access review
P5The activity has caused an incident or nonconformity beforeFirewall rule changes after an outage
P6The activity is handed to a supplier or new teamManaged service onboarding, outsourced support

Do not write a procedure when the task is fully automated with no human decision (document the automation in the system design instead), or when the tool enforces the steps and keeps the record by itself. Record that decision in the register with the reason.

3. Procedure register

SOP IDProcedureCriteria (section 2)Controls supportedOwnerPerformed byVersionLast reviewedStatus
SOP-SEC-001 (Example)User access provisioningP1, P4A.5.15, A.5.16, A.5.18[@it-service-lead]IT service desk2.1YYYY-MM-DDApproved
SOP-SEC-002 (Example)Backup verificationP2, P3, P4A.8.13[@platform-lead]Platform on-call engineer1.3YYYY-MM-DDApproved
SOP-SEC-003 (Example)TLS certificate renewalP2, P5A.8.24[@platform-lead]Platform engineers1.0YYYY-MM-DDApproved
SOP-SEC-004 (Example)Security log reviewP4A.8.15, A.8.16[@security-lead]Security analyst0.9Not yetDraft
SOP-SEC-005 (Example)Leaver access removalP1, P4, P5A.5.18, A.6.5[@it-service-lead]IT service desk1.2YYYY-MM-DDApproved
SOP-SEC-006 (Example)Privileged and production access grantP2, P4A.8.2, A.5.18[@platform-lead]Platform lead with security approval1.1YYYY-MM-DDApproved
[SOP-SEC-NNN][procedure][codes][A.N.N][@owner][role][n.n]YYYY-MM-DD[Draft / Approved / Retired]

4. Model procedure layout

PartWhat to writeQuestions it answers
HeaderSOP ID, title, version, status, owner, approver, last reviewed, next review, classification, controls supportedIs this the current approved version? Who owns it?
1. PurposeOne or two sentences: what the procedure achieves and which risk it controlsWhy does this exist?
2. ScopeSystems, environments, sites and cases covered and not coveredWhen do I use this, and when another procedure?
3. RolesWho performs, who approves, who verifies, who is informedWho may do each step? Is there segregation of duties?
4. PrerequisitesAccess, tools, approvals, tickets, time windows, information needed before startingCan I start? What do I need first?
5. StepsNumbered imperative steps, one action each, with the expected resultWhat exactly do I do, and what should I see?
6. VerificationChecks that prove the task succeededHow do I know it worked?
7. RollbackHow to undo or stop safely if a step failsWhat if it goes wrong halfway?
8. EscalationWhen to stop and whom to call, with response timesWhen is this no longer my decision?
9. RecordsWhat evidence to keep, where, for how longWhat proves it was done correctly?
10. Related documentsPolicies, standards, other procedures, runbooksWhere is the context?

Procedure header block to copy:

FieldValue
SOP ID[SOP-SEC-NNN]
Title[Procedure name]
Version and status[n.n, Approved]
Owner and approver[@owner], [@approver]
Controls supported[A.N.N]
Last reviewed and next reviewYYYY-MM-DD, YYYY-MM-DD
Classification[Internal]

5. Writing rules

  1. Start each step with a verb ("Open", "Confirm", "Record") and give one action per step.
  2. State the expected result for every step that changes something, so the operator can notice a failure at once.
  3. Name roles, not people, and name the exact system or console.
  4. Put warnings before the step they apply to, not after it.
  5. Never write secrets, passwords or keys in a procedure. Refer to the vault entry or secrets manager path instead.
  6. Use the approved terms from the policy set, and the same names as the asset inventory (DOC-ISMS-012).
  7. Keep commands in code blocks and test them in a non-production environment before publishing.
  8. Mark decision points clearly with the criteria for each branch.
  9. Keep each procedure to one start and one end. Split long branches into linked procedures.
  10. Test each new or changed procedure with a person who has not done the task before, and record the test in the revision history.

6. Procedure lifecycle and change control

EventActionWho
New activity meets a criterion in section 2Add to register, write draftActivity owner
System change alters stepsUpdate the procedure in the same change request (ops/change-request)Change owner
Incident or audit finding involves the procedureReview and update within [30] daysProcedure owner
Scheduled reviewReview at least every [12] months, or [6] months for P2 and P3 proceduresProcedure owner
Procedure no longer neededRetire, keep the last version as a recordProcedure owner

The ISMS manager checks the register every quarter for overdue reviews and reports the count in the ISMS performance report (DOC-ISMS-081).

7. Availability, training and use

  • Publish approved procedures in [the runbook tool or wiki], with read access for every role that performs them and edit access for owners only.
  • Keep an offline copy of every P3 procedure (needed during disruption) outside the primary environment, for example an encrypted export stored with the ICT readiness plan (DOC-ISMS-047).
  • Link procedures from the ticket templates or alerts that start them, so operators open the right version from the task itself.
  • Train each operator before they perform a procedure alone, and record the training in the competence and training matrix (DOC-ISMS-026).
  • Operators who find an error stop, follow the escalation step and report the error to the owner. Deviations are recorded in the ticket.

8. Worked example SOP-SEC-001: user access provisioning

FieldValue
SOP IDSOP-SEC-001 (Example)
TitleUser access provisioning
Version and status2.1, Approved
Owner and approver[@it-service-lead], [@isms-manager]
Controls supportedA.5.15 access control rules, A.5.16 identity lifecycle management, A.5.18 access rights provisioning and review
Last reviewed and next reviewYYYY-MM-DD, YYYY-MM-DD
ClassificationInternal

1. Purpose. Grant new or changed access to business systems only when it is approved and matches the role, so that people get the access they need and no more (access control policy, DOC-ISMS-041).

2. Scope. Covers joiners, movers and temporary access to systems connected to the identity provider. Not covered: privileged and production administrative access (procedure SOP-SEC-006, privileged access) and leavers (SOP-SEC-005).

3. Roles.

RoleResponsibility
Requester (line manager)Raises the request with the role and business reason
Approver (system owner)Approves access beyond the role baseline
Operator (IT service desk)Performs the steps below
Verifier (second service desk member)Checks a weekly sample of completed requests

The operator may not approve their own request or a request for themselves (segregation of duties).

4. Prerequisites.

  • An access request ticket with requester, user, role, systems, start date and, for temporary access, an end date.
  • For joiners: HR record showing a signed contract and completed screening (isms/personnel-screening-procedure).
  • Operator account with the identity administration role.

5. Steps.

StepActionExpected result
5.1Open the ticket and confirm the requester is the user's line manager in the HR systemRequester matches the HR record
5.2Compare requested access with the role baseline in the access matrixEach item marked "in baseline" or "extra"
5.3For any "extra" item, assign the ticket to the system owner for approval and waitApproval recorded in the ticket, or request rejected
5.4For joiners, confirm the HR record shows screening completeScreening status "complete" with date
5.5Create or update the identity in the identity provider with the role groupUser appears in the role group
5.6Add approved extra groups. For temporary access, set the expiry date on the group membershipGroups and expiry shown on the user profile
5.7Enforce multi-factor authentication enrolment at first sign-inUser status "MFA enrolment required"
5.8Send the activation link to the user's manager, never the passwordManager confirms receipt in the ticket
5.9Attach a screenshot or export of the final group membership to the ticket and resolve itTicket resolved with evidence

6. Verification. The operator checks that the user's groups equal the approved list. Each week the verifier samples [5] resolved tickets and checks approval, groups and expiry. Results are logged in the ticket queue report.

7. Rollback. If wrong access was granted, remove the extra groups at once, record what was removed and when, and inform the system owner. If the wrong person received access, treat it as a security event and report it (isms/security-event-reporting-procedure).

8. Escalation. Stop and escalate to the IT service lead when the requester is not the line manager, approval is missing after [2] working days, or the request includes privileged or production access. Escalate to the security team at once when access may already have been misused.

9. Records. The ticket with approval, the group membership export and the weekly verification report. Kept in the service desk tool for [3] years.

10. Related documents. Access control policy (DOC-ISMS-041), onboarding checklist (ops/onboarding-checklist), access review (ops/access-review), offboarding checklist (DOC-ISMS-053).

Worked figures (Example) for one month at Quillmere Analytics Ltd: 18 access tickets, 14 within the role baseline and 4 with extra items (14 + 4 = 18). All 4 extra items had system owner approval. The weekly samples covered 20 tickets in 4 weeks, more than the 18 raised, because 2 tickets from the previous month were included; no exceptions found.

9. Worked example SOP-SEC-002: backup verification

FieldValue
SOP IDSOP-SEC-002 (Example)
TitleBackup verification
Version and status1.3, Approved
Owner and approver[@platform-lead], [@head-of-it-operations]
Controls supportedA.8.13 information backup
Last reviewed and next reviewYYYY-MM-DD, YYYY-MM-DD
ClassificationInternal

1. Purpose. Prove every week that backups required by the backup policy (DOC-ISMS-061) completed, are protected from change and can be restored with the data age and restore time the backup policy requires.

2. Scope. Covers the production databases, object storage and configuration repositories listed in the backup policy. Not covered: full disaster recovery tests (ICT readiness plan, DOC-ISMS-047) and end-user laptops (synchronised to the collaboration suite).

3. Roles.

RoleResponsibility
Operator (platform on-call engineer)Performs the weekly steps
Owner (platform lead)Reviews results, owns failures
Data ownerConfirms restored data is usable for the monthly sample

4. Prerequisites.

  • Read access to the backup console and the backup job report.
  • Access to the isolated restore environment (no network route to production).
  • The current list of protected data sets from the backup policy.

5. Steps.

StepActionExpected result
5.1Export the backup job report for the last 7 daysReport lists every protected data set
5.2Check that every data set has a successful backup each day as scheduledNo missing or failed jobs
5.3Decision: if any job failed or is missing, go to step 5.4. Otherwise go to step 5.5Branch recorded in the ticket
5.4Rerun the failed job, confirm success, and open an incident if two consecutive runs failedJob successful or incident opened
5.5Confirm the immutability or retention lock is active on the latest backup of each data setLock status "enabled" with expiry beyond the retention period
5.6Restore one data set, chosen in rotation, into the isolated restore environmentRestore job completes
5.7Compare record counts and a checksum of a reference table with the source at backup timeCounts and checksum match
5.8Record the time from start of restore to usable data, and the age of the restored dataBoth values recorded
5.9Delete the restored copy from the isolated environmentEnvironment empty
5.10Enter the results in the backup and restore test log (DOC-ISMS-071) and close the ticketLog entry with ticket link

6. Verification. The restored data is no older than the backup interval set in the backup policy for that data set, and the counts and checksum match. Shorter recovery point objectives met by replication or point-in-time recovery are tested under the ICT readiness plan (DOC-ISMS-047), not here. Once a month the data owner opens the restored copy before deletion (step 5.9) and confirms it is usable.

7. Rollback. The procedure does not change production. If a restore is started in the wrong environment, cancel it, confirm that no production resource was overwritten and report a security event.

8. Escalation. Escalate to the platform lead within [4] hours when two consecutive backups of one data set fail, when a lock is not active, or when restored data does not match. Escalate to the ICT recovery manager when the restored data is older than the backup interval.

9. Records. Weekly ticket, job report export and the log entry in DOC-ISMS-071. Kept for [3] years.

10. Related documents. Backup policy (DOC-ISMS-061), backup and restore procedure (ops/backup-restore-procedure), ICT readiness plan (DOC-ISMS-047).

Worked figures (Example) for one quarter (13 weeks) at Quillmere Analytics Ltd: 4 protected data sets with daily backups gave 364 scheduled jobs (4 x 7 x 13). 361 succeeded on the first run and 3 failed (361 + 3 = 364); all 3 succeeded on rerun, so no incident was opened. First-run success rate: 361 of 364, or 99.2%. 13 restore samples were performed, one per week; 12 matched in full and 1 restore of the customer database data set failed the checksum comparison because the reference table changed during the backup window (12 + 1 = 13). It was escalated, the job was moved outside the batch window and the next restore of that data set matched.

10. Size tiers

AspectSmall: Quillmere Analytics Ltd (46 staff)Medium: Quillmere Health Systems (320 staff)Large: Quillmere Group (2,400 staff, 6 sites)
Number of security procedures (Example)About 12, mostly cloud operations and accessAbout 40, including colocation and managed service operationsOver 150, with group procedures plus site procedures for plants and OT
Where they liveRunbook pages in the engineering wiki, linked from alertsDocument management system plus runbook toolIntegrated management system document control shared with ISO 9001 and ISO 22301 procedures
OwnershipHead of Engineering Operations owns most; engineers own their runbooksService owners per platform, reviewed by the 3-person security teamSite IT and OT leads own site procedures; the security office owns group procedures
TestingDry run by a second engineerDry run plus quarterly sample check by the security teamDry run, site audits and checks during internal audit
LanguagesEnglishEnglishEnglish plus the local languages of the 4 countries, with one master version

11. Records and evidence

RecordProvesOwnerLocationRetention (Example)
Procedure register (section 3)Procedures are identified for the activities that need themISMS managerThis documentCurrent plus 3 years of history
Approved procedures with revision historyProcedures are controlled (cl. 7.5)Procedure ownersRunbook tool or document systemCurrent plus superseded versions for 3 years
Dry-run and test recordsProcedures work as writtenProcedure ownersRevision history, tickets3 years
Operator training recordsPeople are competent to use themLine managersTraining matrix (DOC-ISMS-026)Employment plus 3 years
Execution records (tickets, logs, test log entries)Procedures are followedOperatorsTicketing tool, DOC-ISMS-071As set per procedure
Review evidence and quarterly overdue reportProcedures are maintainedISMS managerISMS performance report (DOC-ISMS-081)3 years

Set final retention in the documented information register (DOC-ISMS-028).

12. References

ReferenceEditionUse
ISO/IEC 27001:2022 + Amd 1:2024, information security management systems, requirements2022, Amd 1 published 2024-02-23A.5.37, cl. 7.5, and the controls operated by the worked examples
ISO/IEC 27002:2022, information security controls2022Guidance on documented operating procedures

Related templates: ops/sop, compliance/controlled-document, isms/isms-documented-information-register, isms/access-control-policy, isms/backup-policy, isms/backup-restore-test-log, ops/backup-restore-procedure, ops/onboarding-checklist, ops/access-review, isms/offboarding-security-checklist, isms/personnel-screening-procedure, isms/security-event-reporting-procedure, security/soc-playbook, ops/change-request, isms/control-evidence-matrix.

Standard and licence note

Structure aligned with ISO/IEC 27001:2022 (including Amd 1:2024) Annex A control A.5.37 and clause 7.5 on documented information. The framework, model layout, writing rules and the two worked procedures are original wording. ISO/IEC text is not reproduced: control numbers are given with short descriptive labels written for this template, not the official titles or control text. ISO and IEC standards are copyrighted; obtain the official standards from ISO or your national standards body before relying on this template. Check the current edition and amendments before use. This is a documentation format, not certification advice. Template licence: MIT.

Related templates