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SOC 2 HR Audit Checklist

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Professionally drawn Comprehensive and Robust SOC 2 HR Audit Checklist to find out gaps and non conformances in Human Resource & Training Department, is prepared by a committee of SOC 2 Industry experts, Principal Auditors and Lead Instructors, under the aegis of SOC 2 Compliance Institute. HRD Audit Checklist has 272 Compliance audit Questionnaires, including training process.

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SOC 2 Audit Checklist for HR Security | SOC 2 HR Audit Checklist


SOC 2 HR Audit Checklist to determine non-compliance status contains downloadable Excel file having 272 audit Checklist questionnaires covering the requirements of HR & Training Security Audit.

The Salient Features of the Checklist are as under:-

File format – Excel
Department – HRD and Training
Content Contribution – Committee of SOC 2 Industry Experts, Principal Instructors, and Lead Auditors.
Checklist Approved By– SOC 2 Compliance Institute.
Language – English
File Delivery method – Immediate and Automatic. Through the secure link in the email provided at the time of check-out
Link Validity – 01 Day from the time of receiving the link through email
Download Limit – 03
File Size – 116 Kilobyte(KB)

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This Information Security checklist for HR & Training department is useful for-

  • Organization Planning for SOC 2 Certification.
  • Regulatory and Compliance Audits
  • Gap Assessments
  • Enhancing longevity of the business.
  • Organizations keen for robust, resilient, and value-added Information Security Management System.
  • Organizations keen to protect themselves against issues from the HR & Training Audit requirement of SOC 2.
  • Organizations who want to survive client audits.
  • Information Security Professionals.
  • Internal auditors of SOC 2 Management System
  • External Auditors of SOC 2 Management System
  • Auditors of the client organizations who are tasked to assess the ISMS capability of their Service Providers, Vendors, and contractors.
  • Students of SOC 2 Management System
  • HR and Training department functionaries
  • SOC 2 Auditor Training Participants
  • SOC 2 Lead Implementer participants
  • Professionals doing Career switchover to Information security.
  • Owners of Business.
  • CTO, CIO, CISO, HODs, SOC 2 SPOCs from departments, IT Teams, Central Security Team.

The HR and Training department 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 Compliance Institute.

The checklist is validated by the Head of the expert committee and approved by SOC 2 Compliance Institute.

The SOC 2 Audit checklist on Requirements of HR Security 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 Cloud Security requirements, interpretation, and audit experiences.

Continuous calibration of the Lead Auditors, and InfoSec experts takes place w.r.t requirements, interpretation, and audit experiences specifically for HR & Training Processes' information security rigors.

  • Securely save the original checklist file, and use the copy of the file as your working document during preparation/conduct of the HR & Training Security Audit.
  • HR & Training Information Security assessments probe multithreaded Investigation audit trails. The Audit Checklist has hundreds of investigative questions. Invariably, the organization's HR & Training processes are at various levels of ISMS maturity, therefore, use checklist investigation Questionnaires' quantum apportioned to the current status of threats emerging from risk exposure.
  1. The HR & Training Information Security Checklist contains an investigation audit trails Questionnaires on various phases of Human Resources plus learning and development Life cycle.
  2. Coverage of all stages of Human Resources & Training regarding Risk assessment and risk treatment with deep investigation probes on dozens of dozens security challenges including competencies, roles, responsibilities, authority & accountabilities, legal compliances, sensitive data protection, and dependencies….so on and so forth.
  3. In total there are 272 security compliance question pertaining to HR and Training department' information Security Audit.
  1. Information Security is backbone of HR and Training Department. All Processes and functions of Human Resources Management System are carried out with highest degree of Information Systems controls.
  2. It is therefore important that conduct of HRMS & training is done in the most diligent manner which satisfies the requirements of SOC 2, otherwise Organizations would cease to exit due to barrage of InfoSec threats/risks its systems and processes are exposed to.
  3. The most important objective while carrying out assessment of numerous niche areas of the HR & Training, the auditor must ascertain that what is the “degree of compliance” of information Security Controls to run its training, and Human Resources management Systems, Processes, Infrastructure, and Operations, DBMS,  Data security and privacy, reporting and escalations, change management, Work environment and organization cultures, technology, WFD, HR BCP, RA & RT etc. to name a few niches? 

In order to perform Value-Added SOC 2 HR & Training department Audit, 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).

  1. What SWOT based Security solutions are considered based on organization’s current HR & Training requirement, and future ramp-ups, including multitude of interfaces, add-ons, and plug-ins of outsourced services.
  2. How HR & Training processes running like a bloodline across the Organization’ system are contributing to ensure that information at rest, information under processed, and information in transit remain “confidential” in accordance with the information value and information exposure risk value?
  3. How HR & Training processes are contributing to ensure to preserve “Integrity” of information at rest, information getting processed, and information in transit?
  4. How HR & Training processes are contributing to ensure that information at rest, information getting processed, and information in transit remains “available” to the right person, at the right time, and right place throughout its life cycle?
  5. How the HR & Training processes are carried out on the basis of RBT?
  6. What information Security controls are in place triggered due to RBT in HR & Training processes?
  7. What PDCA rigors are followed for the deployed “Information Security Controls” life Cycle management in HR & Training processes?
  1. HR & Training department information security audits are investigative audits carried out to confirm the status of compliances.
  2. Value added HR & Training department information security 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. HR & Training audit Checklist is an important working document of an auditor. It contains all HR & Training performance, and 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. HR & Training 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 HR & Training department security audit. The security checklist to perform HR & Training audit is an essential component of audit planning and preparation. There are numerous niches with dozens and dozens of 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 HR & Training audit checklist. A meticulously prepared comprehensive Professional audit checklist has all the compliance questions to be covered by the auditor seamlessly. An auditor without HR & Training department security 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 secured manner. Hence, there can not be any compromise. Without a Comprehensive professionally drawn HR & Training dept. checklist by your side, there is the likelihood that compromise may take place. This compromise is extremely costly for Organizations and Professionals.
  2. HR & Training Department 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 People and training related information security’ thorough understanding.
  3. Even with several years of experience by an entity's (organization and professional) side, HR & Training department 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 HR & Training 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 HR & Training security 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 HR & Training Audit Checklist by your side.
  6. Of course, HR & Training  information security 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 checklist has significant number of dynamic questions leading to further deep audit investigation trail.

Hear What they say (Testimonials)

Hiroto Yoshida
Hiroto Yoshida
Director, HR

You do not even know what you are missing until you get the Checklist. Then, you will be very glad and extremely contented that you have this checklist by your side. 

Nevaeh Jackson
Nevaeh Jackson
Director, HR & Corporate Affairs

Ever since we have got the checklist, we have plugged all deviations, and findings by performing gap assessment. Now 3 external audits, and 6 internal audits have taken place, and there are zero non-conformances in our department. This checklist is amazing!

Mathias Nieminen
Mathias Nieminen
Executive Director, HR & Compliance

Having spent 3 decades in the profession, I felt dwarf in front of this Knowledge vault regarding HR security Requirements.

Isabella Taylor
Isabella Taylor
Vice President, HR & Development

This checklist is the ultimate information security Guru for the HR professionals. 

Abhimanyu Dutta
Abhimanyu Dutta
Chief Risk Officer

Having served in all big consulting firms, and number of MNCs including banks, I have not seen a checklist which is even 1/10 of this monster checklist on  This is definitely what I say, a truly robust checklist.

Walter Neumann
Walter Neumann
Executive Director, Security

This is what I Had been looking for a long time. 'can not thank you enough for making it available.

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