SOC2 A COMPLETE GUIDE EDITION PRACTICAL TOOLS FOR SELF-ASSESSMENT
You're under pressure. Your clients are asking for proof of compliance. Your competitors have SOC2 reports. And you're stuck in a loop of confusion, jargon, and incomplete checklists that don’t translate into real action. Every day without a clear path to SOC2 readiness costs you credibility, slows down sales cycles, and risks losing opportunities to providers who can prove trust. You don’t need theory. You need a battle-tested, step-by-step system that turns uncertainty into confidence - fast. SOC2 A COMPLETE GUIDE EDITION PRACTICAL TOOLS FOR SELF-ASSESSMENT is exactly that. This isn't another abstract compliance manual. It’s a high-precision framework that takes you from “We don’t even know where to start” to having a fully documented, audit-ready self-assessment in as little as 30 days - with a board-approved report you can stand behind. Just ask Karen L., Security Lead at a SaaS startup who used this guide to conduct her company’s first internal SOC2 review. Within four weeks, she identified 17 critical control gaps, aligned cross-functional teams, and delivered a board-ready risk summary that accelerated their first enterprise contract by 6 weeks. “I went from overwhelmed to empowered,” she said. “This isn’t compliance fluff - it’s the only tool I used.” What sets this guide apart? Real-world applicability. Every resource is built for professionals who need clarity, not filler. From pre-assessment checklists to control implementation templates, you get exactly what you need to move forward - nothing more, nothing less. No more guessing. No more delays. Just a proven method that works whether you're a solo compliance officer, an engineering manager, or a startup founder wearing ten hats. Here’s how this course is structured to help you get there.Course Format & Delivery Details Self-Paced, Immediate Access, No Time Pressure
The entire SOC2 A COMPLETE GUIDE EDITION is designed for real professionals with real schedules. - Self-paced learning: Start anytime, progress at your own speed, and revisit materials as needed.
- On-demand access: No fixed dates, live sessions, or deadlines. Learn when it works for you - early mornings, late nights, or during implementation sprints.
- Typical completion: Most learners complete the core assessment framework in 15–25 hours, with actionable results often visible in under 10 hours.
Full Digital Access, Anytime, Anywhere
Designed for global professionals working across time zones and devices. - Lifetime access: Once enrolled, you own the materials forever - including all future updates at no additional cost.
- Mobile-friendly: Access all templates, guides, and frameworks from your phone, tablet, or laptop.
- 24/7 availability: Download, print, or reference content anytime, anywhere in the world.
Expert-Led Support & Credibility You Can Trust
This isn't a passive read. It's an actively supported compliance accelerator. - Instructor guidance: Direct access to the lead architect of the program via secure messaging for questions on implementation, interpretation, and scope.
- Certificate of Completion issued by The Art of Service: A globally recognised credential that validates your mastery of SOC2 self-assessment frameworks. Display it on LinkedIn, resumes, and internal promotions.
- Industry-trusted methodology: Used by over 4,700 professionals across 68 countries in tech, finance, healthcare, and cloud services.
No Hidden Fees, No Risk, Full Confidence
We remove every barrier to your success. - One-time straightforward pricing: No subscriptions, no upsells, no hidden fees. What you see is what you get.
- Secure payments accepted: Visa, Mastercard, PayPal - all processed through encrypted gateways.
- Full 30-day satisfaction guarantee: Use the tools, run your first self-assessment, and if you don’t find immediate value, get a complete refund - no questions asked.
- Secure enrollment confirmation: After payment, you’ll receive a confirmation email. Your access details and downloadable materials will be sent separately once your enrolment is fully processed.
“Will This Work for Me?” - Yes, Even If You’re…
You’re not alone if you’re thinking: “I’m not a full-time auditor”, “My team isn’t mature”, or “We’re a small company without a GRC department.” - ✅ This works even if you've never led a compliance project before.
- ✅ This works even if your organisation lacks formal policies or documented controls.
- ✅ This works even if you’re the only person responsible for security and compliance.
- ✅ This works even if you’re under tight deadlines from clients or investors.
This guide was built for real-world scenarios - not idealised environments. You’ll get role-specific tools for engineers, compliance officers, CISOs, and technical founders. Social proof: James R., DevOps Lead at a Seed-stage fintech, used the risk-prioritisation matrix from Module 4 to isolate critical data flows. He reduced his initial scope by 60% and saved over 80 hours of rework. I finally had a prioritised path. Before this, we were just chasing every control. We reverse the risk. You focus on results.
Module 1: Foundations of SOC2 Compliance - Understanding SOC2: Purpose, scope, and evolution in the trust ecosystem
- Differentiating between SOC1, SOC2, and SOC3 reports
- The five Trust Services Criteria: Security, Availability, Processing Integrity, Confidentiality, and Privacy
- When SOC2 is mandatory vs. when it’s a competitive advantage
- Key stakeholders: Clients, auditors, board members, and regulators
- The role of management assertion in SOC2 reporting
- Common misconceptions about SOC2 compliance
- Defining Type I vs. Type II reports and their business implications
- Overview of AICPA standards and compliance expectations
- Alignment between SOC2 and other frameworks: ISO 27001, NIST, HIPAA
- Industry-specific use cases: SaaS, fintech, healthcare, cloud infrastructure
- How SOC2 builds client trust and accelerates sales cycles
- Identifying red flags that signal non-compliance
- Understanding the auditor’s perspective: What they look for and why
- How investors and board members evaluate SOC2 reports
Module 2: Planning Your SOC2 Self-Assessment - Defining your assessment objectives and success criteria
- Establishing internal ownership and team roles
- Creating a realistic project timeline with milestones
- Choosing between internal self-assessment and third-party audit readiness
- Defining system boundaries and in-scope components
- Mapping data flows across your technology stack
- Identifying critical systems, applications, and third-party vendors
- Using scope templates to prevent over-inclusion and scope creep
- Conducting pre-assessment gap analysis using risk-based methodology
- Developing your control inventory based on organisational risk profile
- How to determine which Trust Services Criteria apply to your business
- Leveraging client requirements to prioritise control implementation
- Aligning SOC2 objectives with business goals and customer demands
- Documenting assumptions, limitations, and exclusions
- Setting up a central repository for compliance evidence
- Using checklists to track progress and assign responsibilities
Module 3: Security Principle (Common Criteria CC6.1) - Understanding the foundational role of the Security principle
- Defining logical and physical access controls
- User provisioning and de-provisioning processes
- Multi-factor authentication (MFA) implementation best practices
- Password management policies and enforcement mechanisms
- Role-based access control (RBAC) design and mapping
- Privileged account management and monitoring
- Access review cycles and attestation procedures
- Endpoint security controls for company-owned devices
- Network segmentation and firewall configuration standards
- Intrusion detection and prevention systems (IDS/IPS)
- Encryption standards for data at rest and in transit
- Remote access security policies and VPN requirements
- Logging and monitoring for suspicious login attempts
- Asset inventory management and lifecycle tracking
- Physical security controls for data centres and offices
- Vendor access policies and least privilege enforcement
Module 4: Availability Principle (CC4.1) - Defining availability in the context of SOC2
- Service level agreements (SLAs) and uptime commitments
- Monitoring system performance and availability metrics
- Incident response procedures for downtime events
- Disaster recovery planning and execution readiness
- Backup strategies: Frequency, retention, and testing
- Failover mechanisms and high availability architectures
- Change management processes to prevent service outages
- Monitoring tools and alerting configurations
- Maintenance windows and scheduled downtime communication
- Third-party vendor uptime reporting and accountability
- Business continuity planning alignment with SOC2
- Load balancing and traffic distribution configurations
- Capacity planning and scalability assessments
- Detecting and mitigating denial-of-service (DoS) attacks
Module 5: Processing Integrity Principle (CC3.1) - What constitutes processing integrity in a SOC2 context
- Ensuring data accuracy, completeness, and validity
- Input validation rules and error handling mechanisms
- Transaction logging and audit trail configurations
- Processing timeliness and consistency guarantees
- Automated reconciliation processes for key data sets
- Change control for processing logic and algorithms
- Monitoring for processing anomalies and exceptions
- Corrective action procedures for data processing errors
- Validation of ETL and data pipeline integrity
- System interfaces and integration testing protocols
- Data validation rules across APIs and microservices
- User feedback loops for identifying processing issues
- Logging and alerting for failed processing jobs
- Version control for processing workflows
Module 6: Confidentiality Principle (CC2.1) - Differentiating confidentiality from general security
- Data classification policies: Public, Internal, Confidential, Restricted
- Labelling requirements for confidential information
- Handling sensitive data in development and testing environments
- Encryption standards for stored confidential data
- Access controls for confidential data repositories
- Secure file sharing and collaboration tools
- Non-disclosure agreements (NDAs) with staff and vendors
- Data masking and anonymization techniques
- Secure disposal of confidential records
- Monitoring for unauthorised access to confidential data
- Confidentiality requirements in vendor contracts
- Customer data handling procedures and consent mechanisms
- Email encryption and secure messaging protocols
- DLP (Data Loss Prevention) policy and tool configuration
Module 7: Privacy Principle (CC2.2) - Distinguishing privacy from confidentiality
- Privacy notice requirements and disclosure practices
- Lawful basis for collecting personal data
- Data subject rights: Access, correction, deletion, portability
- User consent mechanisms and opt-in processes
- Data retention schedules and deletion triggers
- Third-party sharing disclosures and vendor management
- Cross-border data transfer compliance (e.g. GDPR, CCPA)
- Pseudonymisation and encryption for personal data
- Privacy impact assessments (PIAs) and data mapping
- Incident response procedures for personal data breaches
- User-facing privacy controls and preference management
- Vendor compliance with privacy obligations
- Audit logging for access to personal information
- Employee training on data privacy responsibilities
Module 8: Control Design & Implementation Framework - Designing controls that meet AICPA criteria
- Mapping controls to specific Common Criteria
- Control ownership and accountability assignment
- Control effectiveness testing methodologies
- Automated vs. manual control implementation
- Control documentation standards and templates
- Using control matrices to visualise coverage
- Designing compensating controls for technical limitations
- Control maturity assessment model
- Integrating security into SDLC processes
- Version control for policy and control documents
- Change management for control modifications
- Control monitoring frequency and escalation paths
- Linking controls to risk register entries
- Creating a central control repository
- Control naming and numbering convention guidelines
Module 9: Evidence Collection & Retention Strategy - Types of acceptable evidence: Logs, screenshots, configs, policies
- Evidence retention periods based on control type
- Secure storage of digital evidence
- Metadata requirements for logs and system records
- Using timestamps and immutability to preserve integrity
- Automated evidence collection via APIs and scripts
- Manual evidence gathering checklists and workflows
- Evidence review and validation procedures
- Chain of custody documentation for critical logs
- Using screenshots effectively without exposing sensitive data
- Exporting configuration files securely
- Backup verification logs as audit evidence
- User access review reports and attestation records
- Incident tickets and resolution documentation
- Training completion records and proof of awareness
- Cloud provider evidence sharing protocols
- Evidence packaging for auditor delivery
Module 10: Risk Assessment & Prioritisation Methodology - Conducting a formal risk assessment aligned with SOC2
- Risk identification techniques: Workshops, interviews, scanning
- Threat modelling using STRIDE or similar frameworks
- Asset valuation and criticality scoring
- Impact and likelihood assessment scales
- Risk matrix development and visualisation
- Determining inherent vs. residual risk levels
- Prioritising risks based on business impact
- Risk treatment options: Mitigate, accept, transfer, avoid
- Linking risk responses to control implementation
- Creating a risk register with ownership and timelines
- Review cycles for updating risk assessments
- Using heat maps to communicate risk to leadership
- Risk appetite statement integration
- Third-party risk assessment procedures
- Supply chain vulnerability analysis
Module 11: Policy & Procedure Development - Essential policies required for SOC2 compliance
- Acceptable Use Policy (AUP) drafting and enforcement
- Information Security Policy (ISP) structure and content
- Incident Response Policy (IRP) components and escalation
- Business Continuity and Disaster Recovery Policy (BCDR)
- Change Management Policy (CMP) workflow definitions
- Remote Access Policy (RAP) security requirements
- Password Policy enforcement and technical alignment
- Asset Management Policy for IT and data assets
- Third-Party Risk Management Policy (TPRM)
- Data Retention and Disposal Policy (DRDP)
- Privacy Policy compliance with global standards
- Vendor Management Policy and due diligence steps
- BYOD (Bring Your Own Device) Policy guidelines
- Secure Development Lifecycle (SDL) Policy integration
- Policy review and approval cycles
- Digital signatures and version control for policies
Module 12: Tools & Templates for Self-Assessment - Self-Assessment Readiness Checklist (printable PDF)
- Control Implementation Tracker (Excel template)
- Risk Assessment Workbook with pre-built scoring
- Evidence Collection Log with categories and due dates
- Policy Template Pack: 15+ fully editable documents
- Access Review Template with attestation flow
- Vendor Assessment Questionnaire (CAIQ-compatible)
- Data Flow Diagramming Tool (Visio/Stick-figure guide)
- Gap Analysis Matrix by Trust Services Criteria
- Control Mapping Spreadsheet (CC to actual controls)
- Incident Response Plan Template with runbooks
- Change Control Request Form (digital and paper)
- Employee Security Awareness Training Agenda
- Compliance Calendar with milestone reminders
- Audit Preparation Checklist for Type I and Type II
- Management Assertion Drafting Guide
- Board Reporting Template: Executive summary format
Module 13: Third-Party Vendor Management - Inventorying all third-party service providers
- Determining which vendors are in scope for SOC2
- Obtaining SOC2 reports from key vendors (subservice organisations)
- Evaluating vendor SOC2 reports: Scope, dates, findings
- Using CAIQ or SIG questionnaires for due diligence
- Vulnerability disclosure and patching SLAs with vendors
- Contractual clauses for security and compliance obligations
- Monitoring vendor compliance status continuously
- Using attestations when SOC2 reports are unavailable
- Managing vendors without formal compliance programs
- Cloud provider compliance portals (AWS, Azure, GCP)
- Shared responsibility model breakdowns by platform
- SSAE 18 coverage for outsourced environments
- Vendor offboarding and data deletion verification
- Continuous monitoring tools for vendor risk
Module 14: Readiness Review & Auditor Preparation - Conducting a final readiness assessment before audit
- Simulating auditor requests and walkthroughs
- Preparing key personnel for interviews and evidence requests
- Compiling the System Description document
- Validating control operating effectiveness
- Testing controls over a representative period
- Ensuring evidence covers full reporting period
- Addressing findings from prior internal assessments
- Choosing between auditor firms and understanding proposals
- Scope negotiation and boundary documentation
- Setting expectations with management and stakeholders
- Preparing management assertion statement
- Organising evidence in auditor-friendly formats
- Creating a point-of-contact and escalation matrix
- Running auditor dry runs with mock requests
- Scheduling fieldwork and coordinating access
Module 15: Post-Assessment Actions & Continuous Compliance - Reviewing and understanding auditor findings
- Drafting formal responses to control deficiencies
- Creating a remediation action plan with timelines
- Assigning owners for corrective actions
- Tracking closure of findings and retesting controls
- Updating policies and procedures post-audit
- Institutionalising control monitoring routines
- Scheduling quarterly control reviews
- Continuously updating risk assessments
- Integrating SOC2 into ongoing GRC programs
- Scaling compliance with organisational growth
- Handling new product launches and system changes
- Training new employees on SOC2 responsibilities
- Leveraging SOC2 for marketing and sales enablement
- Reporting compliance status to board and investors
- Preparing for annual Type II audits
- Maintaining your Certificate of Completion credentials
- Understanding SOC2: Purpose, scope, and evolution in the trust ecosystem
- Differentiating between SOC1, SOC2, and SOC3 reports
- The five Trust Services Criteria: Security, Availability, Processing Integrity, Confidentiality, and Privacy
- When SOC2 is mandatory vs. when it’s a competitive advantage
- Key stakeholders: Clients, auditors, board members, and regulators
- The role of management assertion in SOC2 reporting
- Common misconceptions about SOC2 compliance
- Defining Type I vs. Type II reports and their business implications
- Overview of AICPA standards and compliance expectations
- Alignment between SOC2 and other frameworks: ISO 27001, NIST, HIPAA
- Industry-specific use cases: SaaS, fintech, healthcare, cloud infrastructure
- How SOC2 builds client trust and accelerates sales cycles
- Identifying red flags that signal non-compliance
- Understanding the auditor’s perspective: What they look for and why
- How investors and board members evaluate SOC2 reports
Module 2: Planning Your SOC2 Self-Assessment - Defining your assessment objectives and success criteria
- Establishing internal ownership and team roles
- Creating a realistic project timeline with milestones
- Choosing between internal self-assessment and third-party audit readiness
- Defining system boundaries and in-scope components
- Mapping data flows across your technology stack
- Identifying critical systems, applications, and third-party vendors
- Using scope templates to prevent over-inclusion and scope creep
- Conducting pre-assessment gap analysis using risk-based methodology
- Developing your control inventory based on organisational risk profile
- How to determine which Trust Services Criteria apply to your business
- Leveraging client requirements to prioritise control implementation
- Aligning SOC2 objectives with business goals and customer demands
- Documenting assumptions, limitations, and exclusions
- Setting up a central repository for compliance evidence
- Using checklists to track progress and assign responsibilities
Module 3: Security Principle (Common Criteria CC6.1) - Understanding the foundational role of the Security principle
- Defining logical and physical access controls
- User provisioning and de-provisioning processes
- Multi-factor authentication (MFA) implementation best practices
- Password management policies and enforcement mechanisms
- Role-based access control (RBAC) design and mapping
- Privileged account management and monitoring
- Access review cycles and attestation procedures
- Endpoint security controls for company-owned devices
- Network segmentation and firewall configuration standards
- Intrusion detection and prevention systems (IDS/IPS)
- Encryption standards for data at rest and in transit
- Remote access security policies and VPN requirements
- Logging and monitoring for suspicious login attempts
- Asset inventory management and lifecycle tracking
- Physical security controls for data centres and offices
- Vendor access policies and least privilege enforcement
Module 4: Availability Principle (CC4.1) - Defining availability in the context of SOC2
- Service level agreements (SLAs) and uptime commitments
- Monitoring system performance and availability metrics
- Incident response procedures for downtime events
- Disaster recovery planning and execution readiness
- Backup strategies: Frequency, retention, and testing
- Failover mechanisms and high availability architectures
- Change management processes to prevent service outages
- Monitoring tools and alerting configurations
- Maintenance windows and scheduled downtime communication
- Third-party vendor uptime reporting and accountability
- Business continuity planning alignment with SOC2
- Load balancing and traffic distribution configurations
- Capacity planning and scalability assessments
- Detecting and mitigating denial-of-service (DoS) attacks
Module 5: Processing Integrity Principle (CC3.1) - What constitutes processing integrity in a SOC2 context
- Ensuring data accuracy, completeness, and validity
- Input validation rules and error handling mechanisms
- Transaction logging and audit trail configurations
- Processing timeliness and consistency guarantees
- Automated reconciliation processes for key data sets
- Change control for processing logic and algorithms
- Monitoring for processing anomalies and exceptions
- Corrective action procedures for data processing errors
- Validation of ETL and data pipeline integrity
- System interfaces and integration testing protocols
- Data validation rules across APIs and microservices
- User feedback loops for identifying processing issues
- Logging and alerting for failed processing jobs
- Version control for processing workflows
Module 6: Confidentiality Principle (CC2.1) - Differentiating confidentiality from general security
- Data classification policies: Public, Internal, Confidential, Restricted
- Labelling requirements for confidential information
- Handling sensitive data in development and testing environments
- Encryption standards for stored confidential data
- Access controls for confidential data repositories
- Secure file sharing and collaboration tools
- Non-disclosure agreements (NDAs) with staff and vendors
- Data masking and anonymization techniques
- Secure disposal of confidential records
- Monitoring for unauthorised access to confidential data
- Confidentiality requirements in vendor contracts
- Customer data handling procedures and consent mechanisms
- Email encryption and secure messaging protocols
- DLP (Data Loss Prevention) policy and tool configuration
Module 7: Privacy Principle (CC2.2) - Distinguishing privacy from confidentiality
- Privacy notice requirements and disclosure practices
- Lawful basis for collecting personal data
- Data subject rights: Access, correction, deletion, portability
- User consent mechanisms and opt-in processes
- Data retention schedules and deletion triggers
- Third-party sharing disclosures and vendor management
- Cross-border data transfer compliance (e.g. GDPR, CCPA)
- Pseudonymisation and encryption for personal data
- Privacy impact assessments (PIAs) and data mapping
- Incident response procedures for personal data breaches
- User-facing privacy controls and preference management
- Vendor compliance with privacy obligations
- Audit logging for access to personal information
- Employee training on data privacy responsibilities
Module 8: Control Design & Implementation Framework - Designing controls that meet AICPA criteria
- Mapping controls to specific Common Criteria
- Control ownership and accountability assignment
- Control effectiveness testing methodologies
- Automated vs. manual control implementation
- Control documentation standards and templates
- Using control matrices to visualise coverage
- Designing compensating controls for technical limitations
- Control maturity assessment model
- Integrating security into SDLC processes
- Version control for policy and control documents
- Change management for control modifications
- Control monitoring frequency and escalation paths
- Linking controls to risk register entries
- Creating a central control repository
- Control naming and numbering convention guidelines
Module 9: Evidence Collection & Retention Strategy - Types of acceptable evidence: Logs, screenshots, configs, policies
- Evidence retention periods based on control type
- Secure storage of digital evidence
- Metadata requirements for logs and system records
- Using timestamps and immutability to preserve integrity
- Automated evidence collection via APIs and scripts
- Manual evidence gathering checklists and workflows
- Evidence review and validation procedures
- Chain of custody documentation for critical logs
- Using screenshots effectively without exposing sensitive data
- Exporting configuration files securely
- Backup verification logs as audit evidence
- User access review reports and attestation records
- Incident tickets and resolution documentation
- Training completion records and proof of awareness
- Cloud provider evidence sharing protocols
- Evidence packaging for auditor delivery
Module 10: Risk Assessment & Prioritisation Methodology - Conducting a formal risk assessment aligned with SOC2
- Risk identification techniques: Workshops, interviews, scanning
- Threat modelling using STRIDE or similar frameworks
- Asset valuation and criticality scoring
- Impact and likelihood assessment scales
- Risk matrix development and visualisation
- Determining inherent vs. residual risk levels
- Prioritising risks based on business impact
- Risk treatment options: Mitigate, accept, transfer, avoid
- Linking risk responses to control implementation
- Creating a risk register with ownership and timelines
- Review cycles for updating risk assessments
- Using heat maps to communicate risk to leadership
- Risk appetite statement integration
- Third-party risk assessment procedures
- Supply chain vulnerability analysis
Module 11: Policy & Procedure Development - Essential policies required for SOC2 compliance
- Acceptable Use Policy (AUP) drafting and enforcement
- Information Security Policy (ISP) structure and content
- Incident Response Policy (IRP) components and escalation
- Business Continuity and Disaster Recovery Policy (BCDR)
- Change Management Policy (CMP) workflow definitions
- Remote Access Policy (RAP) security requirements
- Password Policy enforcement and technical alignment
- Asset Management Policy for IT and data assets
- Third-Party Risk Management Policy (TPRM)
- Data Retention and Disposal Policy (DRDP)
- Privacy Policy compliance with global standards
- Vendor Management Policy and due diligence steps
- BYOD (Bring Your Own Device) Policy guidelines
- Secure Development Lifecycle (SDL) Policy integration
- Policy review and approval cycles
- Digital signatures and version control for policies
Module 12: Tools & Templates for Self-Assessment - Self-Assessment Readiness Checklist (printable PDF)
- Control Implementation Tracker (Excel template)
- Risk Assessment Workbook with pre-built scoring
- Evidence Collection Log with categories and due dates
- Policy Template Pack: 15+ fully editable documents
- Access Review Template with attestation flow
- Vendor Assessment Questionnaire (CAIQ-compatible)
- Data Flow Diagramming Tool (Visio/Stick-figure guide)
- Gap Analysis Matrix by Trust Services Criteria
- Control Mapping Spreadsheet (CC to actual controls)
- Incident Response Plan Template with runbooks
- Change Control Request Form (digital and paper)
- Employee Security Awareness Training Agenda
- Compliance Calendar with milestone reminders
- Audit Preparation Checklist for Type I and Type II
- Management Assertion Drafting Guide
- Board Reporting Template: Executive summary format
Module 13: Third-Party Vendor Management - Inventorying all third-party service providers
- Determining which vendors are in scope for SOC2
- Obtaining SOC2 reports from key vendors (subservice organisations)
- Evaluating vendor SOC2 reports: Scope, dates, findings
- Using CAIQ or SIG questionnaires for due diligence
- Vulnerability disclosure and patching SLAs with vendors
- Contractual clauses for security and compliance obligations
- Monitoring vendor compliance status continuously
- Using attestations when SOC2 reports are unavailable
- Managing vendors without formal compliance programs
- Cloud provider compliance portals (AWS, Azure, GCP)
- Shared responsibility model breakdowns by platform
- SSAE 18 coverage for outsourced environments
- Vendor offboarding and data deletion verification
- Continuous monitoring tools for vendor risk
Module 14: Readiness Review & Auditor Preparation - Conducting a final readiness assessment before audit
- Simulating auditor requests and walkthroughs
- Preparing key personnel for interviews and evidence requests
- Compiling the System Description document
- Validating control operating effectiveness
- Testing controls over a representative period
- Ensuring evidence covers full reporting period
- Addressing findings from prior internal assessments
- Choosing between auditor firms and understanding proposals
- Scope negotiation and boundary documentation
- Setting expectations with management and stakeholders
- Preparing management assertion statement
- Organising evidence in auditor-friendly formats
- Creating a point-of-contact and escalation matrix
- Running auditor dry runs with mock requests
- Scheduling fieldwork and coordinating access
Module 15: Post-Assessment Actions & Continuous Compliance - Reviewing and understanding auditor findings
- Drafting formal responses to control deficiencies
- Creating a remediation action plan with timelines
- Assigning owners for corrective actions
- Tracking closure of findings and retesting controls
- Updating policies and procedures post-audit
- Institutionalising control monitoring routines
- Scheduling quarterly control reviews
- Continuously updating risk assessments
- Integrating SOC2 into ongoing GRC programs
- Scaling compliance with organisational growth
- Handling new product launches and system changes
- Training new employees on SOC2 responsibilities
- Leveraging SOC2 for marketing and sales enablement
- Reporting compliance status to board and investors
- Preparing for annual Type II audits
- Maintaining your Certificate of Completion credentials
- Understanding the foundational role of the Security principle
- Defining logical and physical access controls
- User provisioning and de-provisioning processes
- Multi-factor authentication (MFA) implementation best practices
- Password management policies and enforcement mechanisms
- Role-based access control (RBAC) design and mapping
- Privileged account management and monitoring
- Access review cycles and attestation procedures
- Endpoint security controls for company-owned devices
- Network segmentation and firewall configuration standards
- Intrusion detection and prevention systems (IDS/IPS)
- Encryption standards for data at rest and in transit
- Remote access security policies and VPN requirements
- Logging and monitoring for suspicious login attempts
- Asset inventory management and lifecycle tracking
- Physical security controls for data centres and offices
- Vendor access policies and least privilege enforcement
Module 4: Availability Principle (CC4.1) - Defining availability in the context of SOC2
- Service level agreements (SLAs) and uptime commitments
- Monitoring system performance and availability metrics
- Incident response procedures for downtime events
- Disaster recovery planning and execution readiness
- Backup strategies: Frequency, retention, and testing
- Failover mechanisms and high availability architectures
- Change management processes to prevent service outages
- Monitoring tools and alerting configurations
- Maintenance windows and scheduled downtime communication
- Third-party vendor uptime reporting and accountability
- Business continuity planning alignment with SOC2
- Load balancing and traffic distribution configurations
- Capacity planning and scalability assessments
- Detecting and mitigating denial-of-service (DoS) attacks
Module 5: Processing Integrity Principle (CC3.1) - What constitutes processing integrity in a SOC2 context
- Ensuring data accuracy, completeness, and validity
- Input validation rules and error handling mechanisms
- Transaction logging and audit trail configurations
- Processing timeliness and consistency guarantees
- Automated reconciliation processes for key data sets
- Change control for processing logic and algorithms
- Monitoring for processing anomalies and exceptions
- Corrective action procedures for data processing errors
- Validation of ETL and data pipeline integrity
- System interfaces and integration testing protocols
- Data validation rules across APIs and microservices
- User feedback loops for identifying processing issues
- Logging and alerting for failed processing jobs
- Version control for processing workflows
Module 6: Confidentiality Principle (CC2.1) - Differentiating confidentiality from general security
- Data classification policies: Public, Internal, Confidential, Restricted
- Labelling requirements for confidential information
- Handling sensitive data in development and testing environments
- Encryption standards for stored confidential data
- Access controls for confidential data repositories
- Secure file sharing and collaboration tools
- Non-disclosure agreements (NDAs) with staff and vendors
- Data masking and anonymization techniques
- Secure disposal of confidential records
- Monitoring for unauthorised access to confidential data
- Confidentiality requirements in vendor contracts
- Customer data handling procedures and consent mechanisms
- Email encryption and secure messaging protocols
- DLP (Data Loss Prevention) policy and tool configuration
Module 7: Privacy Principle (CC2.2) - Distinguishing privacy from confidentiality
- Privacy notice requirements and disclosure practices
- Lawful basis for collecting personal data
- Data subject rights: Access, correction, deletion, portability
- User consent mechanisms and opt-in processes
- Data retention schedules and deletion triggers
- Third-party sharing disclosures and vendor management
- Cross-border data transfer compliance (e.g. GDPR, CCPA)
- Pseudonymisation and encryption for personal data
- Privacy impact assessments (PIAs) and data mapping
- Incident response procedures for personal data breaches
- User-facing privacy controls and preference management
- Vendor compliance with privacy obligations
- Audit logging for access to personal information
- Employee training on data privacy responsibilities
Module 8: Control Design & Implementation Framework - Designing controls that meet AICPA criteria
- Mapping controls to specific Common Criteria
- Control ownership and accountability assignment
- Control effectiveness testing methodologies
- Automated vs. manual control implementation
- Control documentation standards and templates
- Using control matrices to visualise coverage
- Designing compensating controls for technical limitations
- Control maturity assessment model
- Integrating security into SDLC processes
- Version control for policy and control documents
- Change management for control modifications
- Control monitoring frequency and escalation paths
- Linking controls to risk register entries
- Creating a central control repository
- Control naming and numbering convention guidelines
Module 9: Evidence Collection & Retention Strategy - Types of acceptable evidence: Logs, screenshots, configs, policies
- Evidence retention periods based on control type
- Secure storage of digital evidence
- Metadata requirements for logs and system records
- Using timestamps and immutability to preserve integrity
- Automated evidence collection via APIs and scripts
- Manual evidence gathering checklists and workflows
- Evidence review and validation procedures
- Chain of custody documentation for critical logs
- Using screenshots effectively without exposing sensitive data
- Exporting configuration files securely
- Backup verification logs as audit evidence
- User access review reports and attestation records
- Incident tickets and resolution documentation
- Training completion records and proof of awareness
- Cloud provider evidence sharing protocols
- Evidence packaging for auditor delivery
Module 10: Risk Assessment & Prioritisation Methodology - Conducting a formal risk assessment aligned with SOC2
- Risk identification techniques: Workshops, interviews, scanning
- Threat modelling using STRIDE or similar frameworks
- Asset valuation and criticality scoring
- Impact and likelihood assessment scales
- Risk matrix development and visualisation
- Determining inherent vs. residual risk levels
- Prioritising risks based on business impact
- Risk treatment options: Mitigate, accept, transfer, avoid
- Linking risk responses to control implementation
- Creating a risk register with ownership and timelines
- Review cycles for updating risk assessments
- Using heat maps to communicate risk to leadership
- Risk appetite statement integration
- Third-party risk assessment procedures
- Supply chain vulnerability analysis
Module 11: Policy & Procedure Development - Essential policies required for SOC2 compliance
- Acceptable Use Policy (AUP) drafting and enforcement
- Information Security Policy (ISP) structure and content
- Incident Response Policy (IRP) components and escalation
- Business Continuity and Disaster Recovery Policy (BCDR)
- Change Management Policy (CMP) workflow definitions
- Remote Access Policy (RAP) security requirements
- Password Policy enforcement and technical alignment
- Asset Management Policy for IT and data assets
- Third-Party Risk Management Policy (TPRM)
- Data Retention and Disposal Policy (DRDP)
- Privacy Policy compliance with global standards
- Vendor Management Policy and due diligence steps
- BYOD (Bring Your Own Device) Policy guidelines
- Secure Development Lifecycle (SDL) Policy integration
- Policy review and approval cycles
- Digital signatures and version control for policies
Module 12: Tools & Templates for Self-Assessment - Self-Assessment Readiness Checklist (printable PDF)
- Control Implementation Tracker (Excel template)
- Risk Assessment Workbook with pre-built scoring
- Evidence Collection Log with categories and due dates
- Policy Template Pack: 15+ fully editable documents
- Access Review Template with attestation flow
- Vendor Assessment Questionnaire (CAIQ-compatible)
- Data Flow Diagramming Tool (Visio/Stick-figure guide)
- Gap Analysis Matrix by Trust Services Criteria
- Control Mapping Spreadsheet (CC to actual controls)
- Incident Response Plan Template with runbooks
- Change Control Request Form (digital and paper)
- Employee Security Awareness Training Agenda
- Compliance Calendar with milestone reminders
- Audit Preparation Checklist for Type I and Type II
- Management Assertion Drafting Guide
- Board Reporting Template: Executive summary format
Module 13: Third-Party Vendor Management - Inventorying all third-party service providers
- Determining which vendors are in scope for SOC2
- Obtaining SOC2 reports from key vendors (subservice organisations)
- Evaluating vendor SOC2 reports: Scope, dates, findings
- Using CAIQ or SIG questionnaires for due diligence
- Vulnerability disclosure and patching SLAs with vendors
- Contractual clauses for security and compliance obligations
- Monitoring vendor compliance status continuously
- Using attestations when SOC2 reports are unavailable
- Managing vendors without formal compliance programs
- Cloud provider compliance portals (AWS, Azure, GCP)
- Shared responsibility model breakdowns by platform
- SSAE 18 coverage for outsourced environments
- Vendor offboarding and data deletion verification
- Continuous monitoring tools for vendor risk
Module 14: Readiness Review & Auditor Preparation - Conducting a final readiness assessment before audit
- Simulating auditor requests and walkthroughs
- Preparing key personnel for interviews and evidence requests
- Compiling the System Description document
- Validating control operating effectiveness
- Testing controls over a representative period
- Ensuring evidence covers full reporting period
- Addressing findings from prior internal assessments
- Choosing between auditor firms and understanding proposals
- Scope negotiation and boundary documentation
- Setting expectations with management and stakeholders
- Preparing management assertion statement
- Organising evidence in auditor-friendly formats
- Creating a point-of-contact and escalation matrix
- Running auditor dry runs with mock requests
- Scheduling fieldwork and coordinating access
Module 15: Post-Assessment Actions & Continuous Compliance - Reviewing and understanding auditor findings
- Drafting formal responses to control deficiencies
- Creating a remediation action plan with timelines
- Assigning owners for corrective actions
- Tracking closure of findings and retesting controls
- Updating policies and procedures post-audit
- Institutionalising control monitoring routines
- Scheduling quarterly control reviews
- Continuously updating risk assessments
- Integrating SOC2 into ongoing GRC programs
- Scaling compliance with organisational growth
- Handling new product launches and system changes
- Training new employees on SOC2 responsibilities
- Leveraging SOC2 for marketing and sales enablement
- Reporting compliance status to board and investors
- Preparing for annual Type II audits
- Maintaining your Certificate of Completion credentials
- What constitutes processing integrity in a SOC2 context
- Ensuring data accuracy, completeness, and validity
- Input validation rules and error handling mechanisms
- Transaction logging and audit trail configurations
- Processing timeliness and consistency guarantees
- Automated reconciliation processes for key data sets
- Change control for processing logic and algorithms
- Monitoring for processing anomalies and exceptions
- Corrective action procedures for data processing errors
- Validation of ETL and data pipeline integrity
- System interfaces and integration testing protocols
- Data validation rules across APIs and microservices
- User feedback loops for identifying processing issues
- Logging and alerting for failed processing jobs
- Version control for processing workflows
Module 6: Confidentiality Principle (CC2.1) - Differentiating confidentiality from general security
- Data classification policies: Public, Internal, Confidential, Restricted
- Labelling requirements for confidential information
- Handling sensitive data in development and testing environments
- Encryption standards for stored confidential data
- Access controls for confidential data repositories
- Secure file sharing and collaboration tools
- Non-disclosure agreements (NDAs) with staff and vendors
- Data masking and anonymization techniques
- Secure disposal of confidential records
- Monitoring for unauthorised access to confidential data
- Confidentiality requirements in vendor contracts
- Customer data handling procedures and consent mechanisms
- Email encryption and secure messaging protocols
- DLP (Data Loss Prevention) policy and tool configuration
Module 7: Privacy Principle (CC2.2) - Distinguishing privacy from confidentiality
- Privacy notice requirements and disclosure practices
- Lawful basis for collecting personal data
- Data subject rights: Access, correction, deletion, portability
- User consent mechanisms and opt-in processes
- Data retention schedules and deletion triggers
- Third-party sharing disclosures and vendor management
- Cross-border data transfer compliance (e.g. GDPR, CCPA)
- Pseudonymisation and encryption for personal data
- Privacy impact assessments (PIAs) and data mapping
- Incident response procedures for personal data breaches
- User-facing privacy controls and preference management
- Vendor compliance with privacy obligations
- Audit logging for access to personal information
- Employee training on data privacy responsibilities
Module 8: Control Design & Implementation Framework - Designing controls that meet AICPA criteria
- Mapping controls to specific Common Criteria
- Control ownership and accountability assignment
- Control effectiveness testing methodologies
- Automated vs. manual control implementation
- Control documentation standards and templates
- Using control matrices to visualise coverage
- Designing compensating controls for technical limitations
- Control maturity assessment model
- Integrating security into SDLC processes
- Version control for policy and control documents
- Change management for control modifications
- Control monitoring frequency and escalation paths
- Linking controls to risk register entries
- Creating a central control repository
- Control naming and numbering convention guidelines
Module 9: Evidence Collection & Retention Strategy - Types of acceptable evidence: Logs, screenshots, configs, policies
- Evidence retention periods based on control type
- Secure storage of digital evidence
- Metadata requirements for logs and system records
- Using timestamps and immutability to preserve integrity
- Automated evidence collection via APIs and scripts
- Manual evidence gathering checklists and workflows
- Evidence review and validation procedures
- Chain of custody documentation for critical logs
- Using screenshots effectively without exposing sensitive data
- Exporting configuration files securely
- Backup verification logs as audit evidence
- User access review reports and attestation records
- Incident tickets and resolution documentation
- Training completion records and proof of awareness
- Cloud provider evidence sharing protocols
- Evidence packaging for auditor delivery
Module 10: Risk Assessment & Prioritisation Methodology - Conducting a formal risk assessment aligned with SOC2
- Risk identification techniques: Workshops, interviews, scanning
- Threat modelling using STRIDE or similar frameworks
- Asset valuation and criticality scoring
- Impact and likelihood assessment scales
- Risk matrix development and visualisation
- Determining inherent vs. residual risk levels
- Prioritising risks based on business impact
- Risk treatment options: Mitigate, accept, transfer, avoid
- Linking risk responses to control implementation
- Creating a risk register with ownership and timelines
- Review cycles for updating risk assessments
- Using heat maps to communicate risk to leadership
- Risk appetite statement integration
- Third-party risk assessment procedures
- Supply chain vulnerability analysis
Module 11: Policy & Procedure Development - Essential policies required for SOC2 compliance
- Acceptable Use Policy (AUP) drafting and enforcement
- Information Security Policy (ISP) structure and content
- Incident Response Policy (IRP) components and escalation
- Business Continuity and Disaster Recovery Policy (BCDR)
- Change Management Policy (CMP) workflow definitions
- Remote Access Policy (RAP) security requirements
- Password Policy enforcement and technical alignment
- Asset Management Policy for IT and data assets
- Third-Party Risk Management Policy (TPRM)
- Data Retention and Disposal Policy (DRDP)
- Privacy Policy compliance with global standards
- Vendor Management Policy and due diligence steps
- BYOD (Bring Your Own Device) Policy guidelines
- Secure Development Lifecycle (SDL) Policy integration
- Policy review and approval cycles
- Digital signatures and version control for policies
Module 12: Tools & Templates for Self-Assessment - Self-Assessment Readiness Checklist (printable PDF)
- Control Implementation Tracker (Excel template)
- Risk Assessment Workbook with pre-built scoring
- Evidence Collection Log with categories and due dates
- Policy Template Pack: 15+ fully editable documents
- Access Review Template with attestation flow
- Vendor Assessment Questionnaire (CAIQ-compatible)
- Data Flow Diagramming Tool (Visio/Stick-figure guide)
- Gap Analysis Matrix by Trust Services Criteria
- Control Mapping Spreadsheet (CC to actual controls)
- Incident Response Plan Template with runbooks
- Change Control Request Form (digital and paper)
- Employee Security Awareness Training Agenda
- Compliance Calendar with milestone reminders
- Audit Preparation Checklist for Type I and Type II
- Management Assertion Drafting Guide
- Board Reporting Template: Executive summary format
Module 13: Third-Party Vendor Management - Inventorying all third-party service providers
- Determining which vendors are in scope for SOC2
- Obtaining SOC2 reports from key vendors (subservice organisations)
- Evaluating vendor SOC2 reports: Scope, dates, findings
- Using CAIQ or SIG questionnaires for due diligence
- Vulnerability disclosure and patching SLAs with vendors
- Contractual clauses for security and compliance obligations
- Monitoring vendor compliance status continuously
- Using attestations when SOC2 reports are unavailable
- Managing vendors without formal compliance programs
- Cloud provider compliance portals (AWS, Azure, GCP)
- Shared responsibility model breakdowns by platform
- SSAE 18 coverage for outsourced environments
- Vendor offboarding and data deletion verification
- Continuous monitoring tools for vendor risk
Module 14: Readiness Review & Auditor Preparation - Conducting a final readiness assessment before audit
- Simulating auditor requests and walkthroughs
- Preparing key personnel for interviews and evidence requests
- Compiling the System Description document
- Validating control operating effectiveness
- Testing controls over a representative period
- Ensuring evidence covers full reporting period
- Addressing findings from prior internal assessments
- Choosing between auditor firms and understanding proposals
- Scope negotiation and boundary documentation
- Setting expectations with management and stakeholders
- Preparing management assertion statement
- Organising evidence in auditor-friendly formats
- Creating a point-of-contact and escalation matrix
- Running auditor dry runs with mock requests
- Scheduling fieldwork and coordinating access
Module 15: Post-Assessment Actions & Continuous Compliance - Reviewing and understanding auditor findings
- Drafting formal responses to control deficiencies
- Creating a remediation action plan with timelines
- Assigning owners for corrective actions
- Tracking closure of findings and retesting controls
- Updating policies and procedures post-audit
- Institutionalising control monitoring routines
- Scheduling quarterly control reviews
- Continuously updating risk assessments
- Integrating SOC2 into ongoing GRC programs
- Scaling compliance with organisational growth
- Handling new product launches and system changes
- Training new employees on SOC2 responsibilities
- Leveraging SOC2 for marketing and sales enablement
- Reporting compliance status to board and investors
- Preparing for annual Type II audits
- Maintaining your Certificate of Completion credentials
- Distinguishing privacy from confidentiality
- Privacy notice requirements and disclosure practices
- Lawful basis for collecting personal data
- Data subject rights: Access, correction, deletion, portability
- User consent mechanisms and opt-in processes
- Data retention schedules and deletion triggers
- Third-party sharing disclosures and vendor management
- Cross-border data transfer compliance (e.g. GDPR, CCPA)
- Pseudonymisation and encryption for personal data
- Privacy impact assessments (PIAs) and data mapping
- Incident response procedures for personal data breaches
- User-facing privacy controls and preference management
- Vendor compliance with privacy obligations
- Audit logging for access to personal information
- Employee training on data privacy responsibilities
Module 8: Control Design & Implementation Framework - Designing controls that meet AICPA criteria
- Mapping controls to specific Common Criteria
- Control ownership and accountability assignment
- Control effectiveness testing methodologies
- Automated vs. manual control implementation
- Control documentation standards and templates
- Using control matrices to visualise coverage
- Designing compensating controls for technical limitations
- Control maturity assessment model
- Integrating security into SDLC processes
- Version control for policy and control documents
- Change management for control modifications
- Control monitoring frequency and escalation paths
- Linking controls to risk register entries
- Creating a central control repository
- Control naming and numbering convention guidelines
Module 9: Evidence Collection & Retention Strategy - Types of acceptable evidence: Logs, screenshots, configs, policies
- Evidence retention periods based on control type
- Secure storage of digital evidence
- Metadata requirements for logs and system records
- Using timestamps and immutability to preserve integrity
- Automated evidence collection via APIs and scripts
- Manual evidence gathering checklists and workflows
- Evidence review and validation procedures
- Chain of custody documentation for critical logs
- Using screenshots effectively without exposing sensitive data
- Exporting configuration files securely
- Backup verification logs as audit evidence
- User access review reports and attestation records
- Incident tickets and resolution documentation
- Training completion records and proof of awareness
- Cloud provider evidence sharing protocols
- Evidence packaging for auditor delivery
Module 10: Risk Assessment & Prioritisation Methodology - Conducting a formal risk assessment aligned with SOC2
- Risk identification techniques: Workshops, interviews, scanning
- Threat modelling using STRIDE or similar frameworks
- Asset valuation and criticality scoring
- Impact and likelihood assessment scales
- Risk matrix development and visualisation
- Determining inherent vs. residual risk levels
- Prioritising risks based on business impact
- Risk treatment options: Mitigate, accept, transfer, avoid
- Linking risk responses to control implementation
- Creating a risk register with ownership and timelines
- Review cycles for updating risk assessments
- Using heat maps to communicate risk to leadership
- Risk appetite statement integration
- Third-party risk assessment procedures
- Supply chain vulnerability analysis
Module 11: Policy & Procedure Development - Essential policies required for SOC2 compliance
- Acceptable Use Policy (AUP) drafting and enforcement
- Information Security Policy (ISP) structure and content
- Incident Response Policy (IRP) components and escalation
- Business Continuity and Disaster Recovery Policy (BCDR)
- Change Management Policy (CMP) workflow definitions
- Remote Access Policy (RAP) security requirements
- Password Policy enforcement and technical alignment
- Asset Management Policy for IT and data assets
- Third-Party Risk Management Policy (TPRM)
- Data Retention and Disposal Policy (DRDP)
- Privacy Policy compliance with global standards
- Vendor Management Policy and due diligence steps
- BYOD (Bring Your Own Device) Policy guidelines
- Secure Development Lifecycle (SDL) Policy integration
- Policy review and approval cycles
- Digital signatures and version control for policies
Module 12: Tools & Templates for Self-Assessment - Self-Assessment Readiness Checklist (printable PDF)
- Control Implementation Tracker (Excel template)
- Risk Assessment Workbook with pre-built scoring
- Evidence Collection Log with categories and due dates
- Policy Template Pack: 15+ fully editable documents
- Access Review Template with attestation flow
- Vendor Assessment Questionnaire (CAIQ-compatible)
- Data Flow Diagramming Tool (Visio/Stick-figure guide)
- Gap Analysis Matrix by Trust Services Criteria
- Control Mapping Spreadsheet (CC to actual controls)
- Incident Response Plan Template with runbooks
- Change Control Request Form (digital and paper)
- Employee Security Awareness Training Agenda
- Compliance Calendar with milestone reminders
- Audit Preparation Checklist for Type I and Type II
- Management Assertion Drafting Guide
- Board Reporting Template: Executive summary format
Module 13: Third-Party Vendor Management - Inventorying all third-party service providers
- Determining which vendors are in scope for SOC2
- Obtaining SOC2 reports from key vendors (subservice organisations)
- Evaluating vendor SOC2 reports: Scope, dates, findings
- Using CAIQ or SIG questionnaires for due diligence
- Vulnerability disclosure and patching SLAs with vendors
- Contractual clauses for security and compliance obligations
- Monitoring vendor compliance status continuously
- Using attestations when SOC2 reports are unavailable
- Managing vendors without formal compliance programs
- Cloud provider compliance portals (AWS, Azure, GCP)
- Shared responsibility model breakdowns by platform
- SSAE 18 coverage for outsourced environments
- Vendor offboarding and data deletion verification
- Continuous monitoring tools for vendor risk
Module 14: Readiness Review & Auditor Preparation - Conducting a final readiness assessment before audit
- Simulating auditor requests and walkthroughs
- Preparing key personnel for interviews and evidence requests
- Compiling the System Description document
- Validating control operating effectiveness
- Testing controls over a representative period
- Ensuring evidence covers full reporting period
- Addressing findings from prior internal assessments
- Choosing between auditor firms and understanding proposals
- Scope negotiation and boundary documentation
- Setting expectations with management and stakeholders
- Preparing management assertion statement
- Organising evidence in auditor-friendly formats
- Creating a point-of-contact and escalation matrix
- Running auditor dry runs with mock requests
- Scheduling fieldwork and coordinating access
Module 15: Post-Assessment Actions & Continuous Compliance - Reviewing and understanding auditor findings
- Drafting formal responses to control deficiencies
- Creating a remediation action plan with timelines
- Assigning owners for corrective actions
- Tracking closure of findings and retesting controls
- Updating policies and procedures post-audit
- Institutionalising control monitoring routines
- Scheduling quarterly control reviews
- Continuously updating risk assessments
- Integrating SOC2 into ongoing GRC programs
- Scaling compliance with organisational growth
- Handling new product launches and system changes
- Training new employees on SOC2 responsibilities
- Leveraging SOC2 for marketing and sales enablement
- Reporting compliance status to board and investors
- Preparing for annual Type II audits
- Maintaining your Certificate of Completion credentials
- Types of acceptable evidence: Logs, screenshots, configs, policies
- Evidence retention periods based on control type
- Secure storage of digital evidence
- Metadata requirements for logs and system records
- Using timestamps and immutability to preserve integrity
- Automated evidence collection via APIs and scripts
- Manual evidence gathering checklists and workflows
- Evidence review and validation procedures
- Chain of custody documentation for critical logs
- Using screenshots effectively without exposing sensitive data
- Exporting configuration files securely
- Backup verification logs as audit evidence
- User access review reports and attestation records
- Incident tickets and resolution documentation
- Training completion records and proof of awareness
- Cloud provider evidence sharing protocols
- Evidence packaging for auditor delivery
Module 10: Risk Assessment & Prioritisation Methodology - Conducting a formal risk assessment aligned with SOC2
- Risk identification techniques: Workshops, interviews, scanning
- Threat modelling using STRIDE or similar frameworks
- Asset valuation and criticality scoring
- Impact and likelihood assessment scales
- Risk matrix development and visualisation
- Determining inherent vs. residual risk levels
- Prioritising risks based on business impact
- Risk treatment options: Mitigate, accept, transfer, avoid
- Linking risk responses to control implementation
- Creating a risk register with ownership and timelines
- Review cycles for updating risk assessments
- Using heat maps to communicate risk to leadership
- Risk appetite statement integration
- Third-party risk assessment procedures
- Supply chain vulnerability analysis
Module 11: Policy & Procedure Development - Essential policies required for SOC2 compliance
- Acceptable Use Policy (AUP) drafting and enforcement
- Information Security Policy (ISP) structure and content
- Incident Response Policy (IRP) components and escalation
- Business Continuity and Disaster Recovery Policy (BCDR)
- Change Management Policy (CMP) workflow definitions
- Remote Access Policy (RAP) security requirements
- Password Policy enforcement and technical alignment
- Asset Management Policy for IT and data assets
- Third-Party Risk Management Policy (TPRM)
- Data Retention and Disposal Policy (DRDP)
- Privacy Policy compliance with global standards
- Vendor Management Policy and due diligence steps
- BYOD (Bring Your Own Device) Policy guidelines
- Secure Development Lifecycle (SDL) Policy integration
- Policy review and approval cycles
- Digital signatures and version control for policies
Module 12: Tools & Templates for Self-Assessment - Self-Assessment Readiness Checklist (printable PDF)
- Control Implementation Tracker (Excel template)
- Risk Assessment Workbook with pre-built scoring
- Evidence Collection Log with categories and due dates
- Policy Template Pack: 15+ fully editable documents
- Access Review Template with attestation flow
- Vendor Assessment Questionnaire (CAIQ-compatible)
- Data Flow Diagramming Tool (Visio/Stick-figure guide)
- Gap Analysis Matrix by Trust Services Criteria
- Control Mapping Spreadsheet (CC to actual controls)
- Incident Response Plan Template with runbooks
- Change Control Request Form (digital and paper)
- Employee Security Awareness Training Agenda
- Compliance Calendar with milestone reminders
- Audit Preparation Checklist for Type I and Type II
- Management Assertion Drafting Guide
- Board Reporting Template: Executive summary format
Module 13: Third-Party Vendor Management - Inventorying all third-party service providers
- Determining which vendors are in scope for SOC2
- Obtaining SOC2 reports from key vendors (subservice organisations)
- Evaluating vendor SOC2 reports: Scope, dates, findings
- Using CAIQ or SIG questionnaires for due diligence
- Vulnerability disclosure and patching SLAs with vendors
- Contractual clauses for security and compliance obligations
- Monitoring vendor compliance status continuously
- Using attestations when SOC2 reports are unavailable
- Managing vendors without formal compliance programs
- Cloud provider compliance portals (AWS, Azure, GCP)
- Shared responsibility model breakdowns by platform
- SSAE 18 coverage for outsourced environments
- Vendor offboarding and data deletion verification
- Continuous monitoring tools for vendor risk
Module 14: Readiness Review & Auditor Preparation - Conducting a final readiness assessment before audit
- Simulating auditor requests and walkthroughs
- Preparing key personnel for interviews and evidence requests
- Compiling the System Description document
- Validating control operating effectiveness
- Testing controls over a representative period
- Ensuring evidence covers full reporting period
- Addressing findings from prior internal assessments
- Choosing between auditor firms and understanding proposals
- Scope negotiation and boundary documentation
- Setting expectations with management and stakeholders
- Preparing management assertion statement
- Organising evidence in auditor-friendly formats
- Creating a point-of-contact and escalation matrix
- Running auditor dry runs with mock requests
- Scheduling fieldwork and coordinating access
Module 15: Post-Assessment Actions & Continuous Compliance - Reviewing and understanding auditor findings
- Drafting formal responses to control deficiencies
- Creating a remediation action plan with timelines
- Assigning owners for corrective actions
- Tracking closure of findings and retesting controls
- Updating policies and procedures post-audit
- Institutionalising control monitoring routines
- Scheduling quarterly control reviews
- Continuously updating risk assessments
- Integrating SOC2 into ongoing GRC programs
- Scaling compliance with organisational growth
- Handling new product launches and system changes
- Training new employees on SOC2 responsibilities
- Leveraging SOC2 for marketing and sales enablement
- Reporting compliance status to board and investors
- Preparing for annual Type II audits
- Maintaining your Certificate of Completion credentials
- Essential policies required for SOC2 compliance
- Acceptable Use Policy (AUP) drafting and enforcement
- Information Security Policy (ISP) structure and content
- Incident Response Policy (IRP) components and escalation
- Business Continuity and Disaster Recovery Policy (BCDR)
- Change Management Policy (CMP) workflow definitions
- Remote Access Policy (RAP) security requirements
- Password Policy enforcement and technical alignment
- Asset Management Policy for IT and data assets
- Third-Party Risk Management Policy (TPRM)
- Data Retention and Disposal Policy (DRDP)
- Privacy Policy compliance with global standards
- Vendor Management Policy and due diligence steps
- BYOD (Bring Your Own Device) Policy guidelines
- Secure Development Lifecycle (SDL) Policy integration
- Policy review and approval cycles
- Digital signatures and version control for policies
Module 12: Tools & Templates for Self-Assessment - Self-Assessment Readiness Checklist (printable PDF)
- Control Implementation Tracker (Excel template)
- Risk Assessment Workbook with pre-built scoring
- Evidence Collection Log with categories and due dates
- Policy Template Pack: 15+ fully editable documents
- Access Review Template with attestation flow
- Vendor Assessment Questionnaire (CAIQ-compatible)
- Data Flow Diagramming Tool (Visio/Stick-figure guide)
- Gap Analysis Matrix by Trust Services Criteria
- Control Mapping Spreadsheet (CC to actual controls)
- Incident Response Plan Template with runbooks
- Change Control Request Form (digital and paper)
- Employee Security Awareness Training Agenda
- Compliance Calendar with milestone reminders
- Audit Preparation Checklist for Type I and Type II
- Management Assertion Drafting Guide
- Board Reporting Template: Executive summary format
Module 13: Third-Party Vendor Management - Inventorying all third-party service providers
- Determining which vendors are in scope for SOC2
- Obtaining SOC2 reports from key vendors (subservice organisations)
- Evaluating vendor SOC2 reports: Scope, dates, findings
- Using CAIQ or SIG questionnaires for due diligence
- Vulnerability disclosure and patching SLAs with vendors
- Contractual clauses for security and compliance obligations
- Monitoring vendor compliance status continuously
- Using attestations when SOC2 reports are unavailable
- Managing vendors without formal compliance programs
- Cloud provider compliance portals (AWS, Azure, GCP)
- Shared responsibility model breakdowns by platform
- SSAE 18 coverage for outsourced environments
- Vendor offboarding and data deletion verification
- Continuous monitoring tools for vendor risk
Module 14: Readiness Review & Auditor Preparation - Conducting a final readiness assessment before audit
- Simulating auditor requests and walkthroughs
- Preparing key personnel for interviews and evidence requests
- Compiling the System Description document
- Validating control operating effectiveness
- Testing controls over a representative period
- Ensuring evidence covers full reporting period
- Addressing findings from prior internal assessments
- Choosing between auditor firms and understanding proposals
- Scope negotiation and boundary documentation
- Setting expectations with management and stakeholders
- Preparing management assertion statement
- Organising evidence in auditor-friendly formats
- Creating a point-of-contact and escalation matrix
- Running auditor dry runs with mock requests
- Scheduling fieldwork and coordinating access
Module 15: Post-Assessment Actions & Continuous Compliance - Reviewing and understanding auditor findings
- Drafting formal responses to control deficiencies
- Creating a remediation action plan with timelines
- Assigning owners for corrective actions
- Tracking closure of findings and retesting controls
- Updating policies and procedures post-audit
- Institutionalising control monitoring routines
- Scheduling quarterly control reviews
- Continuously updating risk assessments
- Integrating SOC2 into ongoing GRC programs
- Scaling compliance with organisational growth
- Handling new product launches and system changes
- Training new employees on SOC2 responsibilities
- Leveraging SOC2 for marketing and sales enablement
- Reporting compliance status to board and investors
- Preparing for annual Type II audits
- Maintaining your Certificate of Completion credentials
- Inventorying all third-party service providers
- Determining which vendors are in scope for SOC2
- Obtaining SOC2 reports from key vendors (subservice organisations)
- Evaluating vendor SOC2 reports: Scope, dates, findings
- Using CAIQ or SIG questionnaires for due diligence
- Vulnerability disclosure and patching SLAs with vendors
- Contractual clauses for security and compliance obligations
- Monitoring vendor compliance status continuously
- Using attestations when SOC2 reports are unavailable
- Managing vendors without formal compliance programs
- Cloud provider compliance portals (AWS, Azure, GCP)
- Shared responsibility model breakdowns by platform
- SSAE 18 coverage for outsourced environments
- Vendor offboarding and data deletion verification
- Continuous monitoring tools for vendor risk
Module 14: Readiness Review & Auditor Preparation - Conducting a final readiness assessment before audit
- Simulating auditor requests and walkthroughs
- Preparing key personnel for interviews and evidence requests
- Compiling the System Description document
- Validating control operating effectiveness
- Testing controls over a representative period
- Ensuring evidence covers full reporting period
- Addressing findings from prior internal assessments
- Choosing between auditor firms and understanding proposals
- Scope negotiation and boundary documentation
- Setting expectations with management and stakeholders
- Preparing management assertion statement
- Organising evidence in auditor-friendly formats
- Creating a point-of-contact and escalation matrix
- Running auditor dry runs with mock requests
- Scheduling fieldwork and coordinating access
Module 15: Post-Assessment Actions & Continuous Compliance - Reviewing and understanding auditor findings
- Drafting formal responses to control deficiencies
- Creating a remediation action plan with timelines
- Assigning owners for corrective actions
- Tracking closure of findings and retesting controls
- Updating policies and procedures post-audit
- Institutionalising control monitoring routines
- Scheduling quarterly control reviews
- Continuously updating risk assessments
- Integrating SOC2 into ongoing GRC programs
- Scaling compliance with organisational growth
- Handling new product launches and system changes
- Training new employees on SOC2 responsibilities
- Leveraging SOC2 for marketing and sales enablement
- Reporting compliance status to board and investors
- Preparing for annual Type II audits
- Maintaining your Certificate of Completion credentials
- Reviewing and understanding auditor findings
- Drafting formal responses to control deficiencies
- Creating a remediation action plan with timelines
- Assigning owners for corrective actions
- Tracking closure of findings and retesting controls
- Updating policies and procedures post-audit
- Institutionalising control monitoring routines
- Scheduling quarterly control reviews
- Continuously updating risk assessments
- Integrating SOC2 into ongoing GRC programs
- Scaling compliance with organisational growth
- Handling new product launches and system changes
- Training new employees on SOC2 responsibilities
- Leveraging SOC2 for marketing and sales enablement
- Reporting compliance status to board and investors
- Preparing for annual Type II audits
- Maintaining your Certificate of Completion credentials