Who is responsible for SOC 2?
Most people think of SOC 2 as a technical or engineering project, and in part, this is true. SOC 2 controls are built around protecting your data, and many of those controls involve creating and maintaining electronic or code-based barriers that keep your data away from unsafe hands. However, data security doesn’t only exist in cyberspace.
Through our years of working with businesses on their SOC 2 reporting, we’ve noticed that this common misconception tends to slow down and delay the reporting process. We often see businesses that don’t have the engineering staff they need to put the SOC 2 security controls in place, so they put off the process until they’ve carried out a lengthy talent search and hiring process. Or, they may have the engineers they need, but those engineers may be working on a higher-priority project so the SOC 2 compliance is put on hold until the current project is done.
The truth is that there are plenty of non-technical staff members that have roles to play in your SOC 2 compliance, and getting started with those tasks while you’re hiring engineers or waiting for engineers to finish other projects will allow you to get your compliance process underway so it can finish sooner.
To help your business better plan your SOC 2 compliance, we’re breaking down the roles that both technical and non-technical staff have to play.
Human resources and administrative staff
In hacking and data theft, much of the process is actually done through social engineering rather than programming or technical hacks. As a result, every employee and contractor in your business affects your information security, and that is why human resources and administrative professionals play a key part in SOC 2 compliance.
For one, these members of your team are generally responsible for employee onboarding and offboarding. Part of onboarding and offboarding needs to involve your specific security protocol for each employee. For example, you may need to set up an access control key for each employee when they join your organization, as well as teach them your security practices. When an employee leaves, that access control key must be deactivated and you may need to take other measures to keep your data secure.
Your HR and administrative teams are also responsible for developing and maintaining security policies for your SOC 2 compliance. For instance, you’ll need policies for security practices employees need to follow, policies for reporting potential data breaches, and so on. Members of your non-technical staff will need to draft these policies in addition to getting employees’ signatures to ensure that everyone is aware of and prepared to follow the policies.
Another important way HR and administrative staff take part in SOC 2 compliance is by organizing and implementing security awareness training. This training must bring your employees up to speed on common tactics used by hackers and data thieves and teach employees how to avoid these security threats.
In general, your administrative and HR staff will be spearheading the employee-focused aspects of SOC 2 compliance. Your engineering team, on the other hand, focuses on all the technical security components to prepare for your SOC 2 report.
The exact duties of your engineering team will depend on your business, your information security system, and so on. It could include implementing firewalls, establishing encoding practices, selecting and installing antivirus software, programming access controls, investigating the security of your various platform and tool integrations, and so on.
What does this breakdown of responsibilities mean?
Now that you have an understanding of how both technical professionals and certain non-technical professionals play a role in SOC 2 compliance, why does this matter? How does it impact your SOC 2 reporting process?
It means that you don’t have to wait until you have a team of security engineering specialists hired and available before you start working toward SOC 2 compliance. While you’re hiring engineers or waiting for your own engineers’ time to become available, your administrative and HR staff can be working on security policies, employee onboarding and offboarding processes, planning and organizing security awareness training, and so on.
If you’re in this stage and you’re ready to get started, the best way to jump in is to get the guidance of an automated platform.
How does Vanta make SOC 2 compliance easier for both technical and non-technical professionals?
Vanta is an automated SOC 2 compliance platform that helps you through the necessary security controls in your SOC 2 report. It assesses your system’s readiness and gives you detailed checklists of what you’ll need, and that’s just a start. In fact, Vanta can make the work easier for both technical and non-technical professionals.
For your HR and administrative staff, Vanta allows you to create custom workflows for employee onboarding and offboarding. This way, you can ensure that no security measure is missed during these workflows. You’ll also have an access control center where you can see each employee’s access at a glance, so you can make sure everyone has the permissions they need but nothing more.
Vanta helps with policy development as well. In fact, this tool includes in-depth templates for your security policies. There’s no need to start from scratch and spend hours with an attorney trying to make sure all your bases are covered.
Further yet, Vanta eases your burden with security awareness training by including detailed training plans you can easily implement. Your staff doesn’t need to invest hours into researching and designing a training program of their own or finding one elsewhere.
When it comes to your engineering team, Vanta offers straightforward help with SOC 2 compliance. The automated software scans your system for the necessary security controls and gives you a precise list of which controls you’ve already met and which ones are lacking so your engineers can cut straight to the chase.
Determine whether the GDPR applies to you and if so, if you are a processor or controller (or both)
Do you sell goods or service in the EU or UK?
Do you sell goods or services to EU businesses, consumers, or both?
Do you have employees in the EU or UK?
Do persons from the EU or UK visit your website?
Do you monitor the behavior of persons within the EU?
Create a Data Map by taking the following actions
Identify and document every system (i.e. database, application, or vendor) which stores or processes EU or UK based personally identifiable information (PII)
Document the retention periods for PII in each system
Determine whether you collect, store, or process “special categories” of data
Determine whether your Data Map meets the requirements for Records of Processing Activities (Art. 30)
Determine whether your Data Map includes the following information about processing activities carried out by vendors on your behalf
Determine your grounds for processing data
For each category of data and system/application have you determined the lawful basis for processing based on one of the following conditions?
Take inventory of current customer and vendor contracts to confirm new GDPR-required flow-down provisions are included
Review all customer contracts to determine that they have appropriate contract language (i.e. Data Protection Addendums with Standard Contractual Clauses)
Review all in-scope vendor contracts to determine that they have appropriate contract language (i.e. Data Protection Addendums with Standard Contractual Clauses)
Have you performed a risk assessment on vendors who are processing your PII?
Determine if you need to do a Data Protection Impact Assessment
Is your data processing taking into account the nature, scope, context, and purposes of the processing, likely to result in a high risk to the rights and freedoms of natural persons?
Review product and service design (including your website or app) to ensure privacy notice links, marketing consents, and other requirements are integrated
Does the notice to the data subject include the following items?
Does the notice also include the following items?
Do you have a mechanism for persons to change or withdraw consent?
Update internal privacy policies to comply with notification obligations
Update internal privacy notices for EU employees
Determine if you need to appoint a Data Protection Officer, and appoint one if needed
Have you determined whether or not you must designate a Data Protection Officer (DPO) based on one of the following conditions (Art. 37)?
If you export data from the EU, consider if you need a compliance mechanism to cover the data transfer, such as model clauses
If you transfer, store, or process data outside the EU or UK, have you identified your legal basis for the data transfer (note: most likely covered by the Standard Contractual Clauses)
Have you performed and documented a Transfer Impact Assessment (TIA)?
Confirm you are complying with other data subject rights (i.e. aside from notification)
Do you have a defined process for timely response to Data Subject Access Requests (DSAR) (i.e. requests for information, modification or deletion of PII)?
Are you able to provide the subject information in a concise, transparent, intelligible and easily accessible form, using clear and plain language?
Do you have a process for correcting or deleting data when requested?
Do you have an internal policy regarding a Compelled Disclosure from Law Enforcement?
Determine if you need to appoint an EU-based representative, and appoint one if needed
Have you appointed an EU Representative or determined that an EU Representative is not needed based on one of the following conditions?
If operating in more than one EU state, identify a lead Data Protection Authority (DPA)
Do you operate in more than one EU state?
If so, have you designated the Supervisory Authority of the main establishment to act as your Lead Supervisory Authority?
Implement Employee Trainings to Demonstrate Compliance with GDPR Principles and Data Subject Rights
Have you provided appropriate Security Awareness and Privacy training to your staff?
Update internal procedures and policies to ensure you can comply with data breach response requirements
Have you created and implemented an Incident Response Plan which included procedures for reporting a breach to EU and UK Data Subjects as well as appropriate Data Authorities?
Do breach reporting policies comply with all prescribed timelines and include all recipients i.e. authorities, controllers, and data subjects?
Implement appropriate technical and organizational measures to ensure a level of security appropriate to the risk
Have you implemented encryption of PII at rest and in transit?
Have you implemented pseudonymization?
Have you implemented appropriate physical security controls?
Have you implemented information security policies and procedures?
Can you access EU or UK PII data in the clear?
Do your technical and organizational measure ensure that, by default, only personal data which are necessary for each specific purpose of the processing are processed?
Consider streamlining GDPR compliance with automation
Transform manual data collection and observation processes into continuous monitoring
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Develop a roadmap for successful implementation of an ISMS and ISO 27001 certification
Implement Plan, Do, Check, Act (PDCA) process to recognize challenges and identify gaps for remediation
Consider ISO 27001 certification costs relative to org size and number of employees
Clearly define scope of work to plan certification time to completion
Select an ISO 27001 auditor
Set the scope of your organization’s ISMS
Decide which business areas are covered by the ISMS and which are out of scope
Consider additional security controls for business processes that are required to pass ISMS-protected information across the trust boundary
Inform stakeholders regarding scope of the ISMS
Establish an ISMS governing body
Build a governance team with management oversight
Incorporate key members of top management, e.g. senior leadership and executive management with responsibility for strategy and resource allocation
Conduct an inventory of information assets
Consider all assets where information is stored, processed, and accessible
- Record information assets: data and people
- Record physical assets: laptops, servers, and physical building locations
- Record intangible assets: intellectual property, brand, and reputation
Assign to each asset a classification and owner responsible for ensuring the asset is appropriately inventoried, classified, protected, and handled
Execute a risk assessment
Establish and document a risk-management framework to ensure consistency
Identify scenarios in which information, systems, or services could be compromised
Determine likelihood or frequency with which these scenarios could occur
Evaluate potential impact of each scenario on confidentiality, integrity, or availability of information, systems, and services
Rank risk scenarios based on overall risk to the organization’s objectives
Develop a risk register
Record and manage your organization’s risks
Summarize each identified risk
Indicate the impact and likelihood of each risk
Document a risk treatment plan
Design a response for each risk (Risk Treatment)
Assign an accountable owner to each identified risk
Assign risk mitigation activity owners
Establish target dates for completion of risk treatment activities
Complete the Statement of Applicability worksheet
Review 114 controls of Annex A of ISO 27001 standard
Select controls to address identified risks
Complete the Statement of Applicability listing all Annex A controls, justifying inclusion or exclusion of each control in the ISMS implementation
Continuously assess and manage risk
Build a framework for establishing, implementing, maintaining, and continually improving the ISMS
Include information or references to supporting documentation regarding:
- Information Security Objectives
- Leadership and Commitment
- Roles, Responsibilities, and Authorities
- Approach to Assessing and Treating Risk
- Control of Documented Information
- Internal Audit
- Management Review
- Corrective Action and Continual Improvement
- Policy Violations
Assemble required documents and records
Review ISO 27001 Required Documents and Records list
Customize policy templates with organization-specific policies, process, and language
Establish employee training and awareness programs
Conduct regular trainings to ensure awareness of new policies and procedures
Define expectations for personnel regarding their role in ISMS maintenance
Train personnel on common threats facing your organization and how to respond
Establish disciplinary or sanctions policies or processes for personnel found out of compliance with information security requirements
Perform an internal audit
Allocate internal resources with necessary competencies who are independent of ISMS development and maintenance, or engage an independent third party
Verify conformance with requirements from Annex A deemed applicable in your ISMS's Statement of Applicability
Share internal audit results, including nonconformities, with the ISMS governing body and senior management
Address identified issues before proceeding with the external audit
Undergo external audit of ISMS to obtain ISO 27001 certification
Engage an independent ISO 27001 auditor
Conduct Stage 1 Audit consisting of an extensive documentation review; obtain feedback regarding readiness to move to Stage 2 Audit
Conduct Stage 2 Audit consisting of tests performed on the ISMS to ensure proper design, implementation, and ongoing functionality; evaluate fairness, suitability, and effective implementation and operation of controls
Address any nonconformities
Ensure that all requirements of the ISO 27001 standard are being addressed
Ensure org is following processes that it has specified and documented
Ensure org is upholding contractual requirements with third parties
Address specific nonconformities identified by the ISO 27001 auditor
Receive auditor’s formal validation following resolution of nonconformities
Conduct regular management reviews
Plan reviews at least once per year; consider a quarterly review cycle
Ensure the ISMS and its objectives continue to remain appropriate and effective
Ensure that senior management remains informed
Ensure adjustments to address risks or deficiencies can be promptly implemented
Calendar ISO 27001 audit schedule and surveillance audit schedules
Perform a full ISO 27001 audit once every three years
Prepare to perform surveillance audits in the second and third years of the Certification Cycle
Consider streamlining ISO 27001 certification with automation
Transform manual data collection and observation processes into automated and continuous system monitoring
Identify and close any gaps in ISMS implementation in a timely manner
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Determine which annual audits and assessments are required for your company
Perform a readiness assessment and evaluate your security against HIPAA requirements
Review the U.S. Dept of Health and Human Services Office for Civil Rights Audit Protocol
Conduct required HIPAA compliance audits and assessments
Perform and document ongoing technical and non-technical evaluations, internally or in partnership with a third-party security and compliance team like Vanta
Document your plans and put them into action
Document every step of building, implementing, and assessing your compliance program
Vanta’s automated compliance reporting can streamline planning and documentation
Appoint a security and compliance point person in your company
Designate an employee as your HIPAA Compliance Officer
Schedule annual HIPAA training for all employees
Distribute HIPAA policies and procedures and ensure staff read and attest to their review
Document employee trainings and other compliance activities
Thoroughly document employee training processes, activities, and attestations
Establish and communicate clear breach report processes
to all employees
Ensure that staff understand what constitutes a HIPAA breach, and how to report a breach
Implement systems to track security incidents, and to document and report all breaches
Institute an annual review process
Annually assess compliance activities against theHIPAA Rules and updates to HIPAA
Continuously assess and manage risk
Build a year-round risk management program and integrate continuous monitoring
Understand the ins and outs of HIPAA compliance— and the costs of noncompliance
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