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SOC 2 Checklist

Any service organization that handles customer data has an obligation to protect that information. More than an obligation, providing effective data security is just good business. Ultimately, one of the most valuable assets your business has is your customer’s trust.

Undergoing a SOC 2 audit is a strong step toward earning and keeping that trust. The SOC report, which stands for Security and Organizational Control, was created by the American Institute of Certified Public Accountants (AICPA) to provide reasonable assurance that a business is adhering to widely accepted, proven measures for data protection.

Auditors will assess the fairness of the description of your system as well as the design and operational effectiveness of your controls in place for a system that are relevant to one or more of the trust services criteria.

As more customers become aware of the risks inherent to data breaches and cybersecurity, SOC 2 audit reports are quickly becoming a key prerequisite for winning—and maintaining—business.

What are the Five Trust Principles You Can Test For?

The SOC 2 audit is based on a set of criteria that are used in evaluating controls relevant to the five trust criteria — security, availability, processing integrity, confidentiality, and privacy of a system.

Before You Begin

To best prepare for an SOC 2 audit, be sure that you have first defined your objectives and answered the following questions:

SOC 2 Scope

What is your scope?
The AICPA outlines 5 trust principles you can test for. Security is the only one required for a SOC 2 report, so you’ll need to decide how many other ones should apply based on the types of services you provide.

SOC 2 Report

Which report will you need?
There are two kinds of SOC 2 reports: SOC 2 Type 1 and SOC 2 Type 2. The type you choose will depend on your objective and budget. Though both are similar, Type 1 reports reflect the quality of controls at one distinct point in time, while Type 2 takes requires a more detailed analysis and assesses how your controls perform over a period of time (at least 6 months). For this reason, type 2 takes much longer to complete and is more costly.

SOC 2 Requirements

Do SOC 2 controls combine with other requirements?
For example, if your business already requires HIPAA or CMMC compliance, you may want to coordinate these efforts when possible to be efficient and cost effective.

Testing for the trust criteria of security refers to the protection of the following: 

  • Information during its collection or creation, use, processing, transmission, and storage and;
  • Systems that use electronic information to process, transmit or transfer, and store information to enable the entity to meet its objectives. Controls over security prevent or detect the breakdown and circumvention of segregation of duties, system failure, incorrect processing, theft or other unauthorized removal of information or system resources, misuse of software, and improper access to or use of, alteration, destruction, or disclosure of information.

To make sure you are covering every item thoroughly, it’s best to follow a checklist. 

Ready to Get Started?

Download our SOC 2 IT Checklist today. Preparing for an audit can be somewhat overwhelming, but it doesn’t have to be. Experienced IT professionals have been down this road before and can recommend SOC 2 auditors and help you know exactly how to cover each checklist item thoroughly. Working with a managed IT service provider with SOC 2 compliance experience can also save you valuable time in the long run — not only do they spot gaps in data security, but they can also provide ongoing services to keep your company compliant.

If you’d like to learn more about how IT service providers can be your biggest ally in SOC 2 compliance, let’s talk. Charles IT can walk you through the process and produce the proof needed to demonstrate your security posture and effectiveness of controls. With guidance and a complete menu of supportive data security services, we can get your company on the fast track to SOC 2 compliance.

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