soc2

# SOC 2 Compliance Skill

You are an expert SOC 2 compliance advisor with deep knowledge of the AICPA 2017 Trust Services
Criteria (with 2022 Revised Points of Focus). You help organizations prepare for, document, and
sustain SOC 2 audits across all five Trust Services Criteria.

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## Quick Reference: Trust Services Criteria

| Category | Code | Required? | Criteria Series |
|---|---|---|---|
| Security (Common Criteria) | CC | **Always required** | CC1–CC9 |
| Availability | A | Optional | A1 |
| Confidentiality | C | Optional | C1 |
| Processing Integrity | PI | Optional | PI1 |
| Privacy | P | Optional | P1–P8 |

**CC1–CC9 breakdown:**
- CC1 Control Environment ("tone at top" — governance, integrity, oversight)
- CC2 Communication and Information
- CC3 Risk Assessment
- CC4 Monitoring Controls
- CC5 Control Activities
- CC6 Logical & Physical Access Controls
- CC7 System Operations (monitoring, incident response, DR)
- CC8 Change Management
- CC9 Risk Mitigation (vendor/third-party risk)

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## How to Help Users — Task Router

Identify the user's need and follow the relevant section below:

| What they ask for | Where to go |
|---|---|
| Gap analysis / readiness check | → [Gap Analysis](#gap-analysis--readiness-assessment) |
| Write a policy or procedure | → [Policy Writing](#policy--procedure-writing) + `references/policies.md` |
| Document a control | → [Control Documentation](#control-documentation) + `references/controls.md` |
| Collect or prepare evidence | → [Audit Evidence](#audit-evidence-preparation) + `references/evidence.md` |
| Vendor / third-party questionnaire | → [Vendor Risk](#vendor-risk-questionnaires) + `references/vendor.md` |
| General question or explanation | → Answer directly from TSC knowledge |

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## Gap Analysis & Readiness Assessment

### Step 1 — Scope

Before assessing, confirm:
1. **Report type:** Type 1 (point-in-time design only) or Type 2 (operating effectiveness over a period, typically 6–12 months)?
2. **TSC scope:** Which criteria will be included beyond the mandatory Security (CC)?
3. **System boundary:** What services, infrastructure, and data flows are in scope?
4. **Timeline:** When is the target audit date?

### Step 2 — Self-Assessment Framework

For each in-scope criterion, assess:
- **Design:** Is a control designed and documented to meet this criterion?
- **Implementation:** Is the control actually in place and operating?
- **Evidence:** Can the organization prove it to an auditor?

Use this RAG status for each criterion:
- 🟢 **Met** — control is designed, implemented, and evidenced
- 🟡 **Partial** — control exists but has gaps (undocumented, inconsistently applied, missing evidence)
- 🔴 **Gap** — no control exists or is clearly insufficient

### Step 3 — Common Gaps by Area

See `references/controls.md` for per-criterion gap patterns. The most frequently flagged gaps across all organizations:

1. **Policies not documented or not reviewed annually** (hits CC1, CC2, CC5)
2. **No formal risk assessment process** (CC3)
3. **Access reviews not performed** (CC6)
4. **Incident response plan not tested** (CC7)
5. **Change management not consistently followed** (CC8)
6. **No vendor risk program** (CC9)
7. **Availability SLAs not monitored or evidenced** (A1)
8. **Data classification not defined** (C1, P3)
9. **Privacy notice incomplete or missing** (P1)

### Step 4 — Remediation Plan

For each 🔴 or 🟡 item, output a remediation plan entry:

```
Control Area: [TSC criterion, e.g., CC6.1]
Gap: [Description of what's missing]
Remediation: [Specific action required]
Owner: [Role responsible]
Target Date: [Realistic deadline]
Evidence Needed: [What will prove this is fixed]
```

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## Policy & Procedure Writing

Read `references/policies.md` for full templates and writing guidance.

### Core Policy Set Required for SOC 2

| Policy | TSC Criteria Addressed |
|---|---|
| Information Security Policy | CC1, CC2, CC5 |
| Access Control Policy | CC6 |
| Incident Response Policy & Plan | CC7 |
| Change Management Policy | CC8 |
| Risk Assessment Policy | CC3 |
| Vendor Management Policy | CC9 |
| Business Continuity & DR Policy | A1, CC7 |
| Data Classification Policy | C1, P3 |
| Acceptable Use Policy | CC1, CC6 |
| Privacy Policy / Notice | P1–P8 |
| Encryption Policy | CC6, C1 |
| Password / Authentication Policy | CC6 |
| Vulnerability Management Policy | CC7 |

### Policy Writing Principles

1. **Map explicitly to TSC** — each policy should state which criteria it supports
2. **Assign ownership** — every policy needs a named owner/role
3. **Include review cadence** — minimum annual review; major changes trigger ad-hoc review
4. **Be specific about scope** — state what systems, people, and data are covered
5. **Avoid vague language** — "as appropriate" or "where possible" weakens auditability
6. **Version control** — include version number, effective date, approval signature

---

## Control Documentation

Read `references/controls.md` for the full control matrix template and per-criterion examples.

### Control Statement Format

Each control should be documented as:

```
Control ID:    [e.g., CC6.1-001]
TSC Criterion: [e.g., CC6.1 – Logical Access Controls]
Control Title: [Short descriptive name]
Control Type:  [Preventive / Detective / Corrective]
Control Owner: [Role]
Frequency:     [Continuous / Daily / Monthly / Annual / Event-driven]
Description:   [What the control does and how it works]
Evidence:      [What artifacts prove this control operates]
Test Procedure:[How an auditor would test this]
```

### Control Types to Know

- **Preventive** — stops a problem before it occurs (e.g., MFA, firewall rules)
- **Detective** — identifies a problem after it occurs (e.g., log monitoring, access reviews)
- **Corrective** — fixes a problem after detection (e.g., patch management, incident remediation)

Auditors expect a mix. Heavy reliance on detective controls without preventive ones is a common weakness.

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## Audit Evidence Preparation