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  • New SOC 2 Checklist LM

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    alphones
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    This document outlines 8 steps to prepare for a SOC 2 audit: 1) Choose compliance objectives, 2) Identify the type of SOC 2 report needed, 3) Define the scope based on Trust Service Criteria, 4) Conduct an internal risk assessment, 5) Perform a gap analysis and remediation, 6) Undergo a readiness assessment, 7) Complete the SOC 2 audit, and 8) Establish continuous monitoring practices. The document provides guidance on each step including identifying risks, remediating control gaps, and ensuring continuous compliance.

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    This document outlines 8 steps to prepare for a SOC 2 audit: 1) Choose compliance objectives, 2) Identify the type of SOC 2 report needed, 3) Define the scope based on Trust Service Criteria, 4) Conduct an internal risk assessment, 5) Perform a gap analysis and remediation, 6) Undergo a readiness assessment, 7) Complete the SOC 2 audit, and 8) Establish continuous monitoring practices. The document provides guidance on each step including identifying risks, remediating control gaps, and ensuring continuous compliance.

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    © All Rights Reserved
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    448 views3 pages

    New SOC 2 Checklist LM

    Uploaded by

    alphones
    This document outlines 8 steps to prepare for a SOC 2 audit: 1) Choose compliance objectives, 2) Identify the type of SOC 2 report needed, 3) Define the scope based on Trust Service Criteria, 4) Conduct an internal risk assessment, 5) Perform a gap analysis and remediation, 6) Undergo a readiness assessment, 7) Complete the SOC 2 audit, and 8) Establish continuous monitoring practices. The document provides guidance on each step including identifying risks, remediating control gaps, and ensuring continuous compliance.

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    of 3

    SOC 2 CHECKLIST:

    PREPARE FASTER FOR YOUR SOC 2 AUDIT

    Step 1: Choose your objectives for SOC 2 compliance


    It helps to know why you need SOC2 attestation and whether it aligns with your business
    objectives. Check the ones that apply to you.
    Requested by customers
    Building a security-first culture
    Competitors are SOC 2 compliant

    Step 2: Identify the type of SOC2 report you need: SOC 2 Type I or SOC 2 Type II
    Here's how you can identify which SOC2 report better fits your requirement.
    We have undergone a SOC 2 audit before
    Our SOC2 report requirement isn't urgent (within three months)
    We have dedicated resources to develop and implement security policies
    Our workforce understands their roles and responsibilities when implementing controls
    We have a system in place to communicate system changes

    If most of your answers are a no, it perhaps make better sense to start with a
    SOC2 Type I audit. You can get to the SOC2 Type II audit once you have the security
    controls and processes in place.

    Step 3: Define the scope of compliance based on the Trust Service Criteria (TSC)
    You should define the scope of your audit by identifying the TSC for which you want to
    establish and test controls. The scope will depend on type of your business and your
    customer requirements.

    Select the TSC that applies to you


    Security
    Do you review and document your security procedures?
    Do you have backup and recovery procedures in place?
    Do you have specific procedures to handle cyber safety incidents?
    Availability
    What is your service uptime?
    Do you have processes to address service issues that affect your availability?
    Do you have access controls in place for your Who all can access your service?
    Are there any restrictions?
    Confidentiality
    How do you handle and process confidential data?
    Do you have access management incorporated in your organization?
    How do you avoid unauthorized access? Do you have proceses in place?

    www.sprinto.com
    SOC 2 CHECKLIST:
    PREPARE FASTER FOR YOUR SOC 2 AUDIT

    Processing Integrity
    Are your processing systems providing timely and accurate data to users?
    How do you ensure integrity of data?
    Do you have specific procedures in place to correct errors quickly?
    Privacy
    Do you have a data retention policy that's documented and
    communicated to customers?
    Do you store personally identifiable information (PII)? If yes,
    where and how do you store it?
    Do you protect PII on your system?

    Step 4: Conduct an internal risk-assessment
    An internal risk assessment requires you to identify the risks associated with “growth,
    location, or infosec best practices.” You must then assign probabilities to each risk identified,
    estimate its adverse impact on your business, and put policies and measures in place to
    mitigate them.
    Have you identified the potential threats and associated risks to your business?
    Have you estimated the potential impact of these threats on your business?
    Have you tagged the critical systems based on the risks identified?
    Have you developed mitigation startegies for the risks?

    Step 5: Perform gap analysis and remediation


    After the internal risk assessment, you must identify the control gaps based on existing and
    potential security threats. You must remediate these gaps based on the chosen TSCs.

    Here are some common remediation practices to get your started

    Align and deploy controls based on the chosen TSCs


    Set up a clear organizational structure
    Have well-defined infosec policies & procedures
    Conduct background screening procedures for all new employees
    Ensure changes in the code repositories are peer reviewed
    Conduct periodic security training of all employees
    Collect evidence of compliance

    www.sprinto.com
    SOC 2 CHECKLIST:
    PREPARE FASTER FOR YOUR SOC 2 AUDIT

    Step 6: Undergo Readiness Assessment


    A readiness assessment evaluates whether you meet the SOC 2 requirements to undergo a
    full audit. You can hire an independent auditor to perform it.

    Here's what to expect from the readiness assessment


    Evaluate vulnerabilities and gaps, and make recommendations to fix them
    to get audit-ready
    Remediate gaps identified by remapping some controls or implementing new ones

    Step 7: SOC 2 audit


    Authorize an independent certified auditor
    Address auditor queries

    Step 8: Establish Continuous Monitoring Practices


    Compliance Getting your SOC 2 compliance report isn’t just a one-time event. The report
    is just a start as security is a continuous process. It, therefore, pays to establish a robust
    continuous monitoring practice as SOC 2 audits happen annually.

    Here’s what makes a your continuous monitoring system robust


    Continuous monitoring should be scalable; it should grow with your organization
    It should streamline evidence collection
    It shouldn’t get in the way of your employees’ productivity
    It should alert you when a control isn’t deployed or deployed incorrectly
    It should give you the big picture as well as an entity-level granular overview of
    your infosec health at any point in time
    Implement additional measures such as MDM, Incident Management System,
    Pen Tests, Vulnerability Scans

    www.sprinto.com

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