SOC type 1

Overall Security Controls

Review and assess the design of security controls

Evaluate the implementation of security controls

Test the operating effectiveness of security controls

Review and update security controls based on industry best practices and regulatory requirements

Conduct penetration testing to identify potential vulnerabilities and weaknesses in security controls

Monitor and analyze security control logs and alerts for any suspicious activity

Document and maintain a comprehensive inventory of security controls in place

Regularly review and update access rights and permissions to ensure proper security controls are enforced

Implement multi-factor authentication for sensitive systems and data access

Conduct regular security assessments and audits to ensure the effectiveness of security controls

Establish a process for reviewing and responding to security incidents and breaches

Information Security Policy

Review and assess the organization's information security policy

Verify that the policy is communicated to all employees

Ensure that the policy is regularly updated and reviewed

Confirm that the information security policy aligns with industry regulations and best practices

Evaluate the effectiveness of the policy in addressing current and emerging security threats

Verify that employees are required to acknowledge receipt and understanding of the policy

Review the process for reporting violations of the policy and the consequences for non-compliance

Assess the mechanisms in place for monitoring and enforcing the policy across the organization

Confirm that the policy includes procedures for incident response and data breach notification

Access Controls

Review and assess access control mechanisms

Verify that access is granted based on the principle of least privilege

Test the effectiveness of access controls

Network Security

Review and assess network security measures

Verify that firewalls and intrusion detection/prevention systems are in place

Test the security of network devices and configurations

Data Protection

Review and assess data protection measures

Verify that data encryption is used when necessary

Test the effectiveness of data backup and recovery procedures

Ensure that data access controls are implemented to limit access to sensitive information

Conduct regular vulnerability assessments and penetration testing to identify potential data security risks

Review and update data retention policies to ensure compliance with regulatory requirements

Implement data loss prevention tools and technologies to prevent unauthorized data exfiltration

Monitor and analyze data access logs for any suspicious activity or unauthorized access attempts

Provide regular training to employees on data protection best practices and security awareness

Incident Response

Review and assess the organization's incident response plan

Verify that the plan is regularly tested and updated

Test the organization's ability to respond to and recover from security incidents

Evaluate the effectiveness of communication protocols during an incident

Review documentation of past security incidents and the organization's response

Assess the process for identifying and classifying security incidents

Validate the organization's procedures for containing and eradicating security incidents

Check the organization's process for conducting post-incident reviews and implementing lessons learned

Verify that incident response roles and responsibilities are clearly defined and communicated

Vendor Management

Review and assess vendor management practices

Verify that vendor contracts include security requirements

Test the security of vendor systems and data access

Conduct regular audits of vendor security practices

Ensure vendors have appropriate incident response plans in place

Monitor vendor compliance with security requirements on an ongoing basis

Require vendors to provide regular security updates and reports

Establish a process for addressing security incidents involving vendors

Review and approve all new vendor relationships from a security perspective

Implement a vendor risk management program to assess and mitigate potential security risks

Employee Training

Review and assess the organization's employee training program

Verify that employees receive security awareness training

Test employees' knowledge and adherence to security policies and procedures

Evaluate the effectiveness of the training program in improving employees' understanding of security risks and procedures

Monitor and track employees' completion of security awareness training on a regular basis

Provide refresher training sessions for employees to reinforce security best practices

Implement a system for reporting and addressing any security incidents or breaches caused by employee error or negligence

Incorporate security training into new employee onboarding processes

Conduct regular phishing simulations to test employees' ability to recognize and respond to phishing attempts

Encourage a culture of security awareness and accountability throughout the organization