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This Document is useful for-

1. Organization Planning for SOC 2 Certification.
2. Regulatory Compliance Audits
3. SOC 2 Gap Assessments
4. Enhancing longevity of the business.
5. Organizations keen for robust, resilient, and value-added Information Security Management System.
6. Organizations keen to protect themselves against issues from SOC 2 Compliance requirements.
7. Organizations who want to survive client audits.
8. Information Security Professionals.
9. Internal auditors of SOC 2 Management System
10. External Auditors of SOC 2 Management System
11. Auditors of the client organizations who are tasked to assess the ISMS capability of their Service Providers, Vendors, and contractors.
12. Resources involved in SOC 2 Implementation Project.
13. Students of Information Security Management System

The SOC 2 Documents Templates are prepared by InfoSec Industry Expert Panel of Veteran SOC 2 Principal Auditors & Lead Instructors having aggregated panel team experience of over 328 years, under the aegis of SOC 2 Compliance Institute. The Document is validated by the Head of the expert committee and approved by SOC 2 Compliance Institute.

The SOC 2 Documents premised on SSAE 18 requirements, Trust Services Criteria, COSO Controls and follow the cardinals of: -

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

The expert panel of Information Security auditors and Instructors have conducted hundreds of SOC 2 audits, Lead Implementer Training, and SOC 2 Implementation Projects in diverse business sectors. Besides, there is a continuous calibration of these experts w.r.t requirements, inferences, interpretation, and audit experiences.

• Securely save the original document template, and use the copy of the file as your working document during preparation/ Implantation of SOC 2 Certification Project.
• The Document has hypothetical Logo, so replace it with your Organization's Logo. The Document has hypothetical company name ABC Technologies Private Limited, and acronyms like ABC, ABCTPL. So, replace these with your Organization's name, and acronyms.
• Replace the text written in red, with details of your organization.
• While the Customization takes only couple of minutes, sincere and serious implementation of the contents of the document gives you head start in ISMS maturity for the relevant requirements by 15-20 years.

Each document like any other entity has a purpose(s) of existence. Template is the empty form which is envisaged at the information Security planning stage for the purpose it is going to achieve. It has to be well thought of, which comes with experience and deep understanding of the the information security requirement(s). 

An ISMS template is a static document whereas a Record/log etc is a dynamic document when seen from continuity perspective. But if you are at week 42, all activities captured prior to week 42 are frozen, and hence historical record become static because History can not changed.

A filled form/template which captures predetermined significant aspects of the activity(ies) being performed in continuum becomes the record.

A record can be a log, report, tracker, and dashboard.

A record must have a traceability, and fulfill audit trail, including forensic audit trail. A record is an admissible evidence including in the court of law.

Policies, Procedures, Guidelines and work instructions are essentially the controls that are enforceable. Controls are of of many types, for example administrative controls, engineering controls/design controls, detective controls, preventive controls, Compensating Controls, and Regulatory Controls.

These documents fall majorly under the  Administrative controls that have organization wide over-arching reach. Any deviation or departure from the established Polices, Procedures, Guidelines, Work instructions is to be treated as non-compliance whether facing internal audit, client audits, Certification audits, and regulatory audits.

Earlier days thought process held these docs in hierarchal order as Policy, Procedure, Guideline, Work instruction etc. As per that, Policy provides Sense of direction, Procedure provides description of what/when/how to do method. Guidelines and work instruction go a step further in granularity for complex process, or where it is felt that absence of these would lead to non-conforming activity(ies)/results.

Over the years the policy and procedure are found to be either bundled or swapped for strengthening the information security intent, and control effectiveness. Guidelines and work instructions fill the gaps for wide ranging information security requirements. Here honorable intent of the organization is for maximum coverage. There is little bit overlap of the content should the employee refer to just any one of these docs in worst case scenario or access restriction to all of these docs.