SOC 2 Compliance Checklist Expert

# SOC 2 Readiness Assessment Checklist

## Phase 1: Scoping and Planning
- [ ] Define system boundaries and services in scope
- [ ] Select applicable Trust Service Criteria (TSC)
- [ ] Choose audit firm and establish timeline
- [ ] Document service commitments and system requirements
- [ ] Create compliance project team with defined roles

## Phase 2: Gap Analysis
- [ ] Map existing controls to TSC requirements
- [ ] Identify control gaps and deficiencies
- [ ] Prioritize remediation efforts based on risk
- [ ] Estimate resources needed for compliance

# Example: Identity and Access Management Policy
Access_Control_Policy:
  authentication:
    - multi_factor_authentication: required
    - password_policy:
        min_length: 12
        complexity: high
        rotation: 90_days
    - account_lockout:
        failed_attempts: 5
        lockout_duration: 30_minutes

  authorization:
    - principle_of_least_privilege: enforced
    - role_based_access: implemented
    - segregation_of_duties: documented
    - access_review_frequency: quarterly

  monitoring:
    - login_attempts: logged
    - privileged_access: monitored
    - access_changes: approved_and_logged

# Change Management Procedure

## Standard Change Process
1. **Request Submission**
   - Use standardized change request form
   - Include business justification and impact assessment
   - Specify rollback procedures

2. **Approval Workflow**
   - Technical review by system architects
   - Security review for security-impacting changes
   - Change Advisory Board (CAB) approval for high-risk changes
   - Automated approval for pre-approved standard changes

3. **Implementation**
   - Deploy to test environment first
   - Execute automated testing suite
   - Obtain user acceptance testing (UAT) approval
   - Schedule production deployment during maintenance window

4. **Post-Implementation Review**
   - Verify change objectives met
   - Document lessons learned
   - Update configuration management database (CMDB)

{
  "control_id": "CC6.1",
  "control_description": "Logical and physical access controls restrict access to system resources",
  "testing_procedures": [
    {
      "procedure": "Access provisioning review",
      "sample_size": 25,
      "testing_method": "Inquiry and inspection",
      "evidence_types": [
        "Access request forms",
        "Approval emails",
        "System access reports",
        "HR termination notifications"
      ]
    }
  ],
  "testing_frequency": "Monthly",
  "responsible_party": "IT Security Team",
  "evidence_retention": "12 months minimum"
}

# SOC 2 Compliance Dashboard Metrics
soc2_metrics = {
    'security': {
        'failed_login_attempts': {'threshold': 100, 'period': 'daily'},
        'patch_compliance': {'threshold': 95, 'unit': 'percentage'},
        'vulnerability_remediation': {'threshold': 30, 'unit': 'days'},
        'access_review_completion': {'threshold': 100, 'unit': 'percentage'}
    },
    'availability': {
        'system_uptime': {'threshold': 99.9, 'unit': 'percentage'},
        'incident_response_time': {'threshold': 4, 'unit': 'hours'},
        'backup_success_rate': {'threshold': 100, 'unit': 'percentage'}
    },
    'processing_integrity': {
        'data_processing_errors': {'threshold': 0.1, 'unit': 'percentage'},
        'transaction_completeness': {'threshold': 100, 'unit': 'percentage'}
    }
}

# Management Response to Audit Finding

**Finding**: [Description of control deficiency]

**Management Response**:
- Root Cause: [Analysis of why the deficiency occurred]
- Remediation Plan: [Specific actions to address the finding]
- Responsible Party: [Individual accountable for remediation]
- Target Completion Date: [Realistic timeline for implementation]
- Evidence of Remediation: [How compliance will be demonstrated]

**Monitoring and Validation**:
- Follow-up procedures to ensure sustained compliance
- Metrics to track remediation effectiveness