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SOC 2 Compliance Management Framework Requirements
Central (Head Office) Management function is primarily responsible for deployment and implementation of SOC 2 Compliance framework. SOC 2 Compliance Management Requirements form the bulwark of Information Security Management framework. Professionally drawn Comprehensive and Robust Compliance Checklists are in accordance with Trust Service Criteria Principles, and COSO requirements to find out gaps and non conformances in the SOC 2 Management framework. SOC 2 framework Audit Checklist is prepared by a committee of Industry experts, Principal Auditors and Lead Instructors of Information Security, under the aegis of SOC 2 Compliance Institute.
1336 SOC 2 Compliance Management Framework Requirements
SOC 2 Compliance Management Framework Requirements Audit Checklist questions cover entire InfoSec framework requirements aligned to Trust Service Criteria Principles, and COSO requirements. In total, 16 SOC 2 Compliance Management Framework Checklists have dedicated 16 Excel files, identifying in depth significant Compliance Requirements questionnaires. SOC 2 Compliance Checklist salient features are highlighted below:-
- Total 1336 Checklist questions spanning SOC 2 Management Framework Management.
- Analytic tables and Graphs for every 16 files, based on the to be conducted audit results.
File format – Excel compatible for both Mac and Windows ( 16 Excel Files in Zip folder)
File size – 1931KB (1.93 MB)
Language – English
File Delivery method – Immediate and Automatic. Through the secure link in the email provided at the time of check-out
Link Validity – 24 hours
Download Limit – 03
Invoice – Invoice is generated immediately after successful payment.
Table of SOC 2 Management Compliance Framework Requirements in accordance with Trust Services Criteria (TSC):-
|S. NO||SOC 2 Compliance Management Framework Requirements||Trust Services Criteria(TSC) Ref||Compliance Checklist Questions|
|1||Compliance Checklist for Identification of Risk issues from Business Context||CC3.1||146|
|2||SOC 2 Scope Compliance Requirements Checklist||CC1.3||38|
|3||SOC 2 Leadership & Governance Compliance Requirements Checklist||CC1.1, CC1.2, CC1.3||70|
|4||SOC 2 Policy Compliance Requirements Checklist||CC5.3, P6.1||35|
|5||SOC 2 Organizational roles, responsibilities and authorities Compliance Requirements Checklist||CC1.3||71|
|6||SOC 2 Risk Assessment & Risk Treatment Compliance Requirements Checklist||CC3.2, CC5.2||251|
|7||SOC 2 Objective Compliance Requirements Checklist||CC3.1, CC5.1||104|
|8||SOC 2 Resources, Competence, Awareness Compliance Requirements Checklist||CC1.4, CC2.2, CC3.1, CC4.1, CC5.3, CC7.4||128|
|9||SOC 2 Communication Compliance Requirements Checklist||CC2.2, CC2.3, CC7.3, CC7.4, CC7.5, A1.2, P1.1, P2.1, P5.2||66|
|10||SOC 2 Documented Information Compliance Requirements Checklist||CC8.1, A1.2, C1.1, C1.2, P4.1, P4.2, P4.3, P5.1||45|
|11||SOC 2 Operations Compliance Requirements Checklist||CC3.2, CC5.1, CC5.2||95|
|12||SOC 2 Monitoring, measurement, analysis and evaluation Requirements Checklist||CC4.1, CC4.2, CC7.1, P8.1||81|
|13||SOC 2 Internal Audit Compliance Requirements Checklist||CC4.2||59|
|14||SOC 2 Management Review Compliance Requirements Checklist||CC4.1||31|
|15||SOC Non Conformance and corrective action Compliance Requirements Checklist||CC4.2, CC5.3, CC7.4, CC7.5, P6.4, P6.5, P6.6||53|
|16||SOC 2 Continual Improvement Compliance Requirements Checklist||CC4.1, CC7.4||63|
|Total SOC 2 Compliance Management Framework Requirements Questionnaire||1336|
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These checklists are useful for-
- Organization Planning for SOC 2 Certification.
- 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 secured manner.
- Organizations keen for robust, resilient, and value-added Information Security Management System.
- Organizations keen to protect themselves against entire SOC 2 Management framework issues.
- Organizations that want to survive client audits.
- Information Security Professionals.
- Internal auditors of Information Security Management System
- External Auditors of SOC 2 Management System
- Auditors of the client organizations tasked to assess the SOC 2 capability of their Service Providers, Vendors, and contractors.
- Students of Information Security Management System
- SOC 2 Auditor Training Participants
- SOC 2 Lead Implementer participants
- Professionals doing Career switchover to Information security.
- Owners of Business.
- CTO, CIO, CISO, HODs, ISO 27001 SPOCs from departments, IT Teams, Central Security Team
- These SOC 2 Compliance Framework Checklists are prepared by an Expert Panel of Principal Auditors & Lead Instructors of Information Security Management System having aggregated panel team experience of over 300 years, under the aegis of SOC 2 Compliance Institute.
- The checklist is validated by the Head of the expert committee and approved by SOC 2 Compliance Institute..
The Information Security Audit checklist on Requirements of Trust Services Criteria (TSC) Principles, and COSO rules, follows the cardinals of:-
- Risk-based thinking (RBT),
- Process approach, and
- PDCA (Plan Do Check Act) methodology.
The expert panel of SOC 2 auditors and Instructors has conducted hundreds of Information security audits and Training on SOC. Besides, there is a continuous calibration of the Lead Auditors w.r.t requirements, interpretation, and audit experiences.
- Securely save the original checklist file, and use the copy of the file as your working document during preparation/conduct of the SOC 2 Compliance Management Framework audit.
- The organization's SOC processes are at varying levels of ISMS maturity, therefore, use checklist quantum apportioned to the current status of threats emerging from risk exposure.
Please see the detailed description and checklist table of contents on the product page.
For a well implemented SOC Compliance framework, Information Security becomes backbone of an organization. All Processes and functions of an organization are carried out with varying degree of help of Information Systems. It is therefore important that Information Security operations are carried out 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 assessment of numerous niche areas in each department, the auditor must ascertain that what is the “degree of compliance” of SOC Controls to run its Systems, Processes, Infrastructure, and Operations? In a business eco system, "information security Assurance" is the bedrock of services supply chain.
- In order to perform Value-Added SOC 2 Audit, the auditor must bear the in mind the Business impact and consequence of departure from the SOC controls, Trust services Principles, and COSO rules. Thus the auditor must set out a large canvas with help of the following extremely deep pointers. Only step-by-step, systematic planning of audit Questions followed by extensive audit-trail would help the auditor cover all areas of Information Security assessment. Otherwise, it would be professional Hara-kiri (Japanese term for Ceremonial Suicide).
- How Information System processes running like a bloodline across the organization are ensuring that information at rest, information getting processed, and information in transit remain “confidential” in accordance with the information value and information exposure risk value?
- How information System processes are ensuring to preserve “Integrity” of information at rest, information getting processed, and information in transit?
- How Information System processes are ensuring that information at rest, information getting processed, and information in transit remains “available” to the right person, at the right time, and right place?
- How the organization’s processes are carried out on the basis of RBT?
- What controls are in place triggered due to RBT?
- What PDCA rigors are followed for “Controls” life Cycle management?
- SOC 2 audits are investigative audits carried out to confirm the status of compliances.
- Value added SOC 2 audit cannot be performed effectively without meticulous planning, and preparation.
- 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.
- SOC 2 audit Checklist is an important working document of an auditor. It contains all Information Security performance, and security compliance questions against which the auditee must demonstrate evidences of compliance.
- The auditor needs to keep referring to this working document throughout the audit to ensure that assessment is taking place in a focussed planned manner, and no vital area is missed out in the investigation audit.
- SOC 2 audit checklist improves the efficiency of the audit including time management. The audit checklist serve as an aide-memoire that is equally useful for auditor or auditee,
- It is extremely important to prepare and plan for an SOC 2audit. The checklist to perform SOC 2 audit is essential component of audit planning and preparation. There are numerous departments with dozens and dozens niche areas 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.
- It takes plenty of years, and costly lessons learnt to arrive at a decent level of understanding of the SOC controls. Therefore, it is highly advantageous to have a well-prepared detailed SOC 2 audit checklist. A meticulously prepared comprehensive Professional SOC 2 audit checklist has all the compliance questions to be covered by the auditor seamlessly. An auditor without SOC 2 audit Checklist would be like a soldier without fighting equipment.
- If a business is worth doing, then it is worth doing it in a secured manner. Hence, there can not be any compromise. Without a Comprehensive professionally drawn SOC 2 audit checklist by your side, there is the likelihood that compromise may take place. This compromise is extremely costly for Organizations and Professionals.
- Information Security 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 infoSec management' thorough understanding let alone SOC audit.
- Even with several years of experience by an entity's (organization and professional) side, SOC 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.
- 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 vulnerabilities/risk due to various reasons including ignorance, rush, vested interest, insider threat, connivance between the various working groups, tendency to promote tools for shear commercial interests rather than a holistic SOC security solution, and so on the list is very long. Comprehensive and detailed SOC 2 Checklist Questions enables "carpet bombing" of all requirements to detect what "exactly" is the compliance and non-compliance status.
- 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 SOC 2 Audit Checklist by your side.
- Of course, SOC 2 Audit becomes a robust, immensely focused, efficient, time saver exercise with sharp Checklist Questions, because a comprehensive professionally drawn audit 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.
The exciting and challenging task of SOC audit becomes smooth, and streamlined if you know the business model of the organization in which Information system security is like a (internal) service provider and how it facilitates secure conduct of business through secured platforms, secured systems, secured infrastructure, secured DBMS, security processes, Security Policies, Top Management function, Core revenue generation Operations (Productions/Service delivery), Products/Services, IT department, HR, Training, SCM (Purchase, Outsourced activities, Shipments ), Organization legal compliances, Administration (Physical and Environment Security, Facilities, Utilities, Maintenance), Sales and Marketing, Software design and development, etc. Further, there are dozens and dozens more verticals in each of these departments which must be assessed by you as an auditor.
If you are auditee then it will be useful to understand SOC 2 Compliance Life Cycle, spanning gap assessment before initiating SOC implementation journey, followed by milestones of the certification life cycle. Once Implementation of the SOC has taken place in your organization, then obtain these SOC 2 audit Checklists to perform internal audit, and plug the gaps with Root cause analysis and CAPA (corrective actions and preventive actions). Our recommendation is to run the internal audits twice with closure status of the findings. You will find your confidence level has risen to unparalleled new level.
If you are an auditor, these checklists is a must-part of your arsenal to bring tremendous value on table by conducting value added SOC Audits. It is recommended to go through checklists patiently as many times possible (not less than 4 to 5 times) to find enormous myriad auditing patterns emerging with numerous permutations and combination for audits, audit-probes, and investigations trail. During audits keep referring to these as you proceed with your audit in a department, and moving from one department to another. Always keep it open in minimized mode on your laptop. It is pertinent to mention that your checklists as well as your laptop need to be password protected.