SOC 2 Business Continuity Checklist

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BCP Audit checklist is useful for-

• Organization Planning for SOC 2 Certification.
• Regulatory Compliance Audits
• Gap Assessments prior to mergers and acquisitions,
• Vendor selection due diligence
• Enhancing longevity of the business by helping to conduct business in the most resilient and secured manner.
• Organizations keen for robust, uninterrupted, and value-added Information Security Management System.
• Organizations keen to protect themselves against ICT BCP issues.
• Organizations that want to survive client audits.
• Information Security Professionals.
• Internal auditors of Information Security Management System
• External Auditors of Information Security Management System
• Auditors of the client organizations tasked to assess the ISMS capability of their Service Providers, Vendors, and contractors.
• Students of Information Security Management System
• SOC 2 Lead Auditor Training Participants
• SOC 2 Lead Implementer participants
• Professionals doing Career switchover to Information security.
• Owners of Business.
• PCP Team, CTO, CIO, CISO, HODs, SOC 2 SPOCs from departments, IT Teams, and Central Security Team

1. The BCP Audit Checklist is prepared by an Expert Panel of SOC 2 Principal Auditors & Lead Instructors having aggregated panel team experience of over 328 years, under the aegis of SOC 2 Compliant Institute.
2. The checklist is validated by the Head of the expert committee and approved by SOC 2 Compliant Institute..

The SOC 2 Audit checklist on Requirements of BCP & DR in accordance with Trust Services Principles, and COSO Criteria follows the cardinals of: -

1. Risk-based thinking (RBT),
2. Process approach, and
3. PDCA (Plan Do Check Act) methodology.

The expert panel of SOC 2 auditors and Instructors have conducted hundreds of audits and Training on. Besides, there is a continuous calibration of the Lead Auditors, and InfoSec experts w.r.t BCP requirements, interpretation, and audit experiences.

1. Securely save the original checklist file, and use the copy of the file as your working document during preparation/ conduct of the BCP Audit.
2. BCP assessments probe multithreaded Investigation audit trails. BCP Audit Checklist has hundreds of investigative questions. Invariably, the organization's BCP processes are at various levels of information security maturity, therefore, use checklist investigation Questionnaires' quantum apportioned to the current status of threats emerging from risk exposure.

BCP is backbone of Information Security. Why? Because it addresses the "A" (Availability) element of the C.I.A triad, and one of the Main Trust Services Principles of SOC 2 Compliance.   All Processes and functions and System are required to be carried out with highest degree of Information Systems controls. It is therefore important that BCP is done in the most diligent manner otherwise Organizations would cease to exit due to barrage of InfoSec threats/risks its systems and processes are exposed to. The most important objective while carrying out BCP assessment of numerous niche areas in the Organization, the auditor must ascertain that what is the “degree of compliance” of information Security Controls w.r.t BCP to seamlessly run its Systems, Processes, Infrastructure, and Operations, data, Client services, Applications etc.

BCP cuts across all the verticals (departments) in the organization with ICT as bloodline. Information security aspects of continuity of operations of these verticals should be the focus against the established SLAs of the Interested parties including customers/clients, and regulators. What BCP rigors are planned, executed, and analyzed to pave way for continual improvement need to be of highest consideration at the time of BCP audit.

1. BCP audits are investigative audits carried out to confirm the status of compliances.
2. Value added BCP audit cannot be performed effectively without meticulous planning, and preparation.
3. There is an important adage that “we never plan to fail, but invariably we fail to plan”. Ignorance is the germinating ground for Overconfidence. An ignorant child trying to catch fire gets burnt.
4. BCP Checklist is an important working document of an auditor. It contains all BCP performance, and BCP compliance questions against which the auditee must demonstrate evidences of compliance.
5. The auditor needs to keep referring to this working document throughout the audit to ensure that assessment is taking place in a focused planned manner, and no vital area is missed out in the investigation audit.
6. BCP audit checklist improves the efficiency of the audit including time management. This checklist serves as an aide-memoire that is equally useful for auditor or auditee,
7. It is extremely important to prepare and plan for a BCP audit. The checklist to perform BCP audit is an essential component of audit planning and preparation. There are numerous niches with dozens and dozens processes, and sub processes to be covered during the assessment, and time is the biggest constraint for the auditor. The time-pressure viz urgency to cover niche verticals inadvertently or otherwise, makes an auditor to skip processes, sub-processes, critical elements thus resulting into erroneous audit outputs. For example, a fully body health check-up has a defined cycle time, if performed hurriedly, without planning, without preparation, with an urgency to complete the check-up "somehow-anyhow" would definitely produce erroneous results even though factual status of body organs and systems would be otherwise.
8. It takes plenty of years, and costly lessons learnt to arrive at a decent level of understanding of the InfoSec subject. Therefore, it is highly advantageous to have a well-prepared detailed BCP checklist. A meticulously prepared comprehensive Professional audit checklist has all the compliance questions to be covered by the auditor seamlessly. An auditor without BCP audit Checklist would be like a soldier without fighting equipment.

1. If a business is worth doing, then it is worth doing it in a secure and sustainable manner. Hence, there can not be any compromise. Without a Comprehensive professionally drawn BCP checklist by your side, there is the likelihood that compromise may take place. This compromise is extremely costly for Organizations and Professionals.
2. BCP audit is though very logical but requires a systematic detailed investigative approach. For a newbie entity (organization and professional) there are proverbial many a slip between cup and lips in the realm of ICT BCP’
3. Even with several years of experience by an entity's (organization and professional) side, BCP assessments (read investigations) go astray due to several reasons including engineered distractions, bias, time constraint, (un)comfortable niches, auditee guided audit (investigation), lack of optimum exposure and experience etc.
4. For Each vulnerability/Risk at the organization level, site level, department level, process, sub-process level, device & component level, tools/application level, people level, technology platform level, delivered products/services level, it is humanly possible to miss out a large number of unidentified BCP vulnerabilities/risk due to various reasons including ignorance, rush, vested disinterest, insider threat, connivance between the various working groups, tendency to promote tools for shear commercial interests rather than a holistic security solution, and so on the list is very long. Comprehensive and detailed BCP Checklist Questions enables "carpet bombing" of all Information Security requirements to detect what "exactly" is the compliance and non-compliance status.
5. What is the biggest risk for an organization? The biggest vulnerability is the "Gang of unidentified risks", lurking in the dark, ready to pounce when the victim organization least expects it. The risks in this Gang, work sympathetically, and in synergy to inflict maximum damage, including corporate Mortality, huge penalties by the customers/ clients and regulatory bodies, flight away of business, loss of reputation and brand value, loss of Jobs, Bankruptcy, etc. This becomes very much possible without a professionally drawn comprehensive and robust BCP Audit Checklist by your side.
6. Of course, BCP Audit becomes a robust, immensely focused, efficient, time saver exercise with sharp Checklist Questions, because a comprehensive professionally drawn checklist is built over a period of time pooled by panel of SMEs having decades of experience. The checklists have significant number of dynamic questions leading to further deep audit investigation trail.