SOC 2 Program Checklist

       ☐ Identify the trust criteria (there are five criteria)

       ☒ Security

              – Included in all SOC 2 reports.

       ☐ Availability (If answered yes to any of these questions)

              – Are you hosting the services that your customers are paying for?

              – Are you responsible for its uptime?

              – Are you making commitments on uptime in your contracts with the customers?

       ☐ Confidentiality

              – If customers are providing you with data that is not publicly available, you probably have signed a contract to ensure that you will make efforts to keep it confidential.

       ☐ Processing integrity

              – Consider this if you are processing transactions on behalf of your clients and need to ensure that the data input and output reconcile. Also needed to make sure processing was completely accurate.

       ☐ Privacy

              – If you are obtaining personal data from your customers during the course of providing services, this will need to be included.

       ☐ Type 1 if you were asked to demonstrate the design and execution of controls

       ☐ Type 2 if you were asked to demonstrate the operating effectiveness of controls over a period of time

       ☐ Have you specified and properly documented the activities and procedures that make up your company’s control environment?

       ☐ Do you review documents on a regular basis to make sure they are up-to-date and accurate?

☐ Identify your current control environment posture

       ☐ What is the organization’s governance structure?

       ☐ What are the executive leadership and management tone and example?

       ☐ Have you designed and implemented hiring and exit procedures?

       ☐ What are the executive leadership and management tone and example?

       ☐ How are personnel who are implementing or directing internal controls evaluated for competency?

       ☐ Are possible threats being identified?

       ☐ Have you put any mitigating plans in place?

       ☐ Do you have a protocol for dealing with incidents and a disaster recovery plan in place?

       ☐ What kind of management supervision and governance do you have in place for your control of the environment and reporting events, security problems, and fraud?

☐ Identify your current security environment posture

       ☐ Do you have access limited to positions that need it, with the appropriateness of the access? Given being reviewed on a regular basis?

       ☐ Do you have policies in place for giving and taking away access from workers, customers, and other parties?

       ☐ Do you encrypt data while it’s in transit and while it’s at rest?

       ☐ Do you impose restrictions on administrative access to the technological stack?

☐ Identify your current risk mitigation environment posture

       ☐ Have you conducted vulnerability assessments or penetration testing regular basis to detect weaknesses in your environment?

       ☐ Do you have backup processes in place?

       ☐ Do you test your disaster recovery procedures on a yearly basis to guarantee that you can restart operations in case of a calamity?

       ☐ Do you regularly check for intrusion attempts, system performance, and availability?

☐ Identify your current system changes environment posture

       ☐ Are system modifications tested and authorized before they are implemented?

       ☐ Do you inform your employees about system changes?

       ☐ Are your controls being monitored on a regular basis?

       ☐ Have you enabled notification of settings changes?

       ☐ Is your technology up to date in terms of upgrades?

       ☐ Do you have a system in place for separating development and production tasks?

☐ Identify your current remote working environment posture

       ☐ Is technology being used uniformly across all employee locations?

       ☐ Do you provide staff with regular security awareness training, address data privacy in common spaces, use secure connections while working from home, and raise awareness of phishing attempts?

       ☐ Do you use multifactor authentication to get into your company’s network and other systems?

       ☐ Have you deployed mobile device management to make sure that mobile devices are encrypted and authenticated?

☐ Implement controls to address your gaps

☐ Test the controls to ensure that they are operating effectively.

☐ Initiate kick-off to set expectations

☐ Grant them access to TrustCloud.