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soc2 audit

Governance and Risk Management

Have policies and procedures been established and documented?

Are roles and responsibilities clearly defined and communicated?

Is there a risk assessment process in place?

Have risk mitigation measures been identified and implemented?

Is there a process for monitoring and updating policies and procedures?

Access Controls

Are user access rights granted based on job responsibilities?

Is there a process to grant, modify, and revoke user access?

Are strong password policies enforced?

Is multi-factor authentication implemented?

Is there a process to regularly review user access rights?

Data Management

Are data classification and retention policies defined and implemented?

Is there a backup and recovery process in place?

Are data encryption controls implemented?

Is there a process to handle data breaches and incidents?

Is data access logged and monitored?

System Operations and Availability

Is there a change management process in place?

Are system configurations documented and controlled?

Is there a process to monitor system performance and availability?

Are system logs regularly reviewed and analyzed?

Is there a disaster recovery plan in place?

Incident Response

Is there an incident response plan in place?

Are incidents logged and tracked?

Is there a process to investigate and resolve incidents?

Are lessons learned from incidents documented and shared?

Is there a process to communicate incidents to customers?

Vendor Management

Are third-party vendors assessed for security risks?

Is there a process to monitor and control vendor access?

Are contracts with vendors reviewed for security requirements?

Is there a process to address vendor security breaches?

Are vendor relationships regularly reviewed and audited?

Physical and Environmental Security

Is there physical access control to data centers and server rooms?

Are environmental controls in place to protect equipment?

Is there a process to monitor and detect unauthorized access?

Are fire suppression systems and alarms installed and maintained?

Are there backup power supplies to ensure system availability?

Privacy

Are privacy policies and procedures defined and communicated?

Is there a process to obtain user consent for data collection?

Are individuals' rights regarding their data respected?

Is there a process to handle privacy complaints and requests?

Are privacy impact assessments conducted for new projects?

Training and Awareness

Is security awareness training provided to employees?

Are employees trained on their security responsibilities?

Are training records maintained and regularly reviewed?

Is there a process to address security training gaps?

Is security awareness promoted through regular communication?

Audit and Compliance

Are internal audits conducted to ensure compliance?

Is there a process to track and address audit findings?

Are security controls tested and reviewed regularly?

Is there a process to respond to external audit requests?

Are compliance reports and certifications maintained and updated?

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