Sensitive data is becoming increasingly vulnerable to cyber threats. Ensuring robust data security and regulatory compliance is paramount, especially in the healthcare industry. HITRUST is a comprehensive framework that provides the necessary guidelines to safeguard electronic protected health information (ePHI).

Since many organizations don’t know where to start on their journey to HITRUST compliance, we created a valuable HITRUST readiness checklist to help your business get started on a successful path.

Download the HITRUST checklist PDF!

Why HITRUST compliance matters

The HITRUST CSF is an industry-leading framework that establishes guidelines and standards for organizations in the healthcare industry to ensure the protection and privacy of sensitive information.

HITRUST compliance is essential for healthcare organizations due to the ever-growing complexity of the regulatory landscape and the increasing prevalence of cyber threats. Achieving HITRUST compliance demonstrates a commitment to meeting industry standards, mitigating the risk of data breaches, and safeguarding patient information.

By meeting HITRUST compliance requirements, organizations can enhance their credibility, build trust with stakeholders, and showcase their dedication to maintaining the highest levels of data security and privacy.

Understanding the HITRUST readiness checklist

Having a well-rounded understanding of the importance of the HITRUST CSF is the first step on the road to compliance. Once your business is aware of the components of the framework, you can start taking steps to ensure you have the correct controls in place to protect information.

By following the HITRUST checklist steps below, your organization can show your dedication to following the framework while also fostering a culture of security that extends beyond the audit process.

Build an information protection program

Formally establish an Information Security Management Program (ISMP) highlighting key responsibilities, oversight structures, organization objectives, and a commitment to ethical values.

Establish endpoint protection

Holistically apply anti-virus/anti-malware and/or equivalent endpoint protection throughout your entire environment for all in scope endpoints such as desktops, laptops, servers, mobile devices, and more.

Initiate media, mobile device, and wireless security controls

To demonstrate media, mobile device, and wireless security, your organization should implement controls over:

• Laptops
• Mobile phones
• Firewalls
• Security configurations
• Placements
• Scanning tools
• Removable media
  • USBs
  • Removable hard drives
  • Backup tapes
  • CDs/DVDs
• Restricted usage
• Proper logging

Implement configuration management

Formally log appropriate Change Management/System Development Lifecycle processes and tools for logging all actions during the change process. Also, conduct annual technical compliance checks.

Log vulnerability management

Clearly define all in-scope assets in a master inventory list and monitoring activities in place to facilitate and evaluate vulnerabilities. In addition, management should implement password complexity and secure password reset procedures.

Establish network & transmission protection

It is essential to appropriately configure network routing and firewalls to limit traffic and create strong network protection. Also, be sure to define encryption in transit protocols expected to be in use and implement those protocols across all traffic.

Implement access control

Ensure there are access controls in place for all account types and phases of access to include onboarding and terminations.

Log & monitor audit activity

Implement proper audit logging and monitoring controls for all user actions and events. Create a segregation of duties to ensure logs cannot be modified or adjusted by administrations of other systems. Be sure to audit these logs annually.

Promote education, training, and awareness

It is imperative to establish a comprehensive training program for all users. This role-based specific training should be conducted annually, and new hires should be given initial training prior to accessing in-scope systems. Also, foster a culture of security by educating staff on acceptable use, policies, and procedures year-round.

Manage third party assurance

Establish vendor management and oversight policies/procedures and ensure they are being used in daily operations to govern all third-party critical and non-critical vendors.

Define incident management, business continuity, and disaster recovery

In case of a major incident, it is critical to formally define policies and procedures to recover from identified security incidents or unexpected business interruptions. In addition, management should establish appropriate incident management policies and procedures to guide users in identifying, reporting, and mitigating failures, incidents, concerns, and other companies.

Conduct risk management assessments

Assess risk management then identify, select, and develop risk mitigations activities for risks from potential business disruptions, including those associated with vendors and business partners.

Establish physical & environmental security practices

Management should create processes around physical and environmental security in accordance with applicable requirements.

Manage data protection & privacy

Management should establish privacy policy and confidentiality policies and procedures in accordance with applicable requirements.

What is the HITRUST assessment process?  

After completing the items on the HITRUST readiness checklist, your business should be ready to begin the HITRUST certification process. The HITRUST assessment process is composed of five steps: 

• Step 1 – Define scope:  During this stage, an organization either works with a third-party assessor or an internal subject matter expert to define scope and determine what type of HITRUST assessment to undergo. 
• Step 2 – Obtain access to MyCSF portal:  The organization (the entity being assessed) contacts HITRUST to get access to the MyCSF portal. After receiving access, the organization should create its assessment object and engage an approved third-party assessor firm.  
• Step 3 – Complete a readiness assessment/gap-assessment:  The assessor performs appropriate tests to understand the organization’s environment and flow of data between systems, and then documents any possible gaps. The gap assessment also ranks gaps in your organization by risk level, allowing you to remediate any gaps before the validated assessment. 
• Step 4 – Validated assessment testing:  During the validated assessment (either the e1, i1 or r2 Assessment) testing phase, assessors review and validate the client scores, then submit the final assessment to HITRUST for approval. HITRUST will then decide whether to approve or deny your organization certification. The HITRUST QA stage in the process (before issuing the certification) can take anywhere from four to ten weeks, depending on the assessment and the assessors’ level of responsiveness. 
• Step 5 – Interim assessment testing:  If certification is obtained as part of the r2 Assessment, an interim assessment is required to be conducted at the one-year mark to maintain certification. It is important to note that an interim assessment is not required if certification was obtained via the e1 or i1 Assessment. 

Partner with A-LIGN for successful HITRUST compliance

Achieving and maintaining HITRUST compliance is vital for organizations in the healthcare industry. By leveraging the HITRUST readiness checklist and working with a leading third-party assessor like A-LIGN, you can confidently navigate the path towards, safeguard your organization’s sensitive data, and build trust with your stakeholders.

Elevate your company’s compliance program and get ready for HITRUST certification by downloading our readiness checklist here.

The use of artificial intelligence (AI) and machine learning (ML) tools has exploded recently. Open AI’s ChatGPT and DALL-E, Google’s Bard, and Midjourney have shown the world just a little of what AI can do.  

But while it’s fun to play around with these tools in your free time, many executives are wondering about the implications of AI for their businesses. In this article, we’ll address how AI can help companies with their compliance strategies and what new challenges AI presents regarding compliance and cybersecurity. 

First, let’s get clear on what we’re talking about when we say “AI.” 

What is AI? 

Often, people use terms like “AI” and “machine learning” without knowing what they mean. That’s understandable considering how quickly these concepts went from science fiction to everyday life. 

Broadly, artificial intelligence refers to advanced computer systems that can simulate human intelligence. More specifically, much of today’s popular AI technology uses machine learning techniques to achieve this simulation. “Machine learning” denotes a computer’s ability to learn from examples. Humans must feed these computer systems massive amounts of data to train them.  

When trained appropriately, machine learning algorithms can sift through massive datasets to classify information, find patterns, and make predictions. Some ML systems can even generate new content with the information they’ve learned — hence “generative AI.” 

Applying AI to Compliance and Risk Assessment 

Because today’s AI and machine learning tools can ingest and analyze data so quickly, opportunities abound for improved business efficiencies. When it comes to compliance and cybersecurity, digging through company data to collect evidence for an audit or identify risks is often the most time-consuming task. As such, AI can come in handy in a number of ways. 

Cybersecurity 

AI can enhance traditional cybersecurity measures. Machine learning algorithms, for instance, can analyze patterns and anomalies in network traffic to identify potential security threats in real time. This can reduce response times to security incidents and mitigate risks more effectively. 

By streamlining security processes and providing real-time insights, AI tools support organizations in maintaining the stringent security and privacy requirements outlined in SOC 2 standards, such as regulating access controls and protecting sensitive data. 

AI can contribute to the development of an adaptive security posture, where security measures are dynamically adjusted based on new threats and compliance requirements. 

Continuous Monitoring 

AI tools can provide continuous monitoring of systems and data, ensuring a proactive approach to security and compliance.  

Continuous monitoring is crucial for maintaining compliance with standards such as ISO 27001, which emphasizes “continual improvement” in information security management systems. 

Data Privacy and Security 

Standards such as ISO 27701 focus on privacy information management systems. AI can assist in automating data privacy compliance efforts, such as data classification, and ensuring that personal information is handled appropriately. 

Machine learning algorithms can help identify and prevent unauthorized access to sensitive health information, helping healthcare organizations adhere to the HITRUST CSF. 

Businesses can enhance payment card data security by detecting unusual patterns and potential fraud in real time, aligning with the requirements of PCI DSS. 

The Limitations of AI for Compliance 

As this inexhaustive list shows, there are many ways businesses can harness AI to improve their compliance strategies and risk assessment processes; however, executives should build their AI strategies thoughtfully and gradually over time. Here are a few considerations to keep in mind. 

The Importance of Context 

Over-reliance on AI for compliance activities can lead to complacency and reduced human oversight. “While automated tools can process information at scale, they often lack the nuance and contextual understanding that human experts bring,” says Patrick Sullivan, VP of Customer Success at A-LIGN. In other words, AI offers many benefits, but it often requires human understanding to interpret data correctly. Running AI algorithms without appropriate oversight can lead to costly errors.  

The “Black Box” Problem 

Many sophisticated AI algorithms are considered “black boxes,” meaning that their decision-making processes can be challenging or even impossible to interpret. Compliance standards often require transparency and explainability, making it essential to ensure that AI decisions are explainable to stakeholders and regulators. 

Uncertain Regulatory and Legal Landscape 

Speaking of regulators, the regulatory outlook for AI is still evolving. Companies should stay abreast of changing regulations related to AI, such as the proposed EU AI Act and ISO/IEC 42001 (in draft form). Of particular importance for compliance experts, ISO 42001 provides organizations with guidance on managing risks related to AI systems, maintaining compliance with data protection requirements, and implementing AI controls. This standard is expected to go into effect in early 2024. 

Furthermore, determining accountability and liability in the event of AI-related errors or compliance violations can be complex. Organizations need to consider legal frameworks and contractual agreements to mitigate potential legal risks. 

Considerations for AI Implementation  

As businesses explore how AI can help improve operations, there are a few possible implementation concerns to take into account: 

Employee resistance: Depending on the industry and company culture, employees may be resistant to the adoption of AI, especially if there are concerns about job displacement. Building trust in AI systems and providing adequate training can be essential for successful implementation. 

Resource limitations: Although using AI for time-consuming tasks can feel like an obvious win, developing, implementing, and maintaining AI systems can be resource-intensive. Smaller companies may face challenges in terms of budget and expertise, potentially affecting their ability to comply with the latest standards. 

Maintenance: The rapid development of cybersecurity threats requires AI systems to adapt continuously. Failure to keep AI models updated and responsive to emerging threats can compromise the effectiveness of compliance efforts. 

AI and Compliance: An Evolving Relationship 

In summary, companies can use AI and ML tools to more quickly analyze data and identify security risks. With the right automation, organizations can improve their overall security strategy and better adhere to compliance standards such as SOC 2, ISO 27001, and more. Still, it is important to remember that AI is a new resource for many industries, and the unique risks AI itself poses are not yet fully understood. As such, organizations should proceed carefully and consult compliance experts to ensure security and compliance risks are appropriately identified and addressed. 

In an era where data breaches and cybersecurity threats are daily headlines, organizations face mounting pressure to protect sensitive information and assure clients of their commitment to security. This is where the SOC 2 control list comes into play. SOC 2 compliance has become a vital benchmark for demonstrating an organization’s adherence to industry-leading security standards.  

In this blog, we will delve into the importance of obtaining a SOC 2 attestation, explain the common SOC 2 controls list, how it integrates into a SOC 2 report, and how it can help organizations create a robust security framework and build trust with their stakeholders. 

What is a SOC 2 audit? 

The SOC 2 attestation is an essential and rigorous evaluation process for organizations that provide third-party services to others. It is designed to ensure the highest level of trust and transparency when it comes to the security, availability, processing integrity, confidentiality, and privacy of the systems, applications, and data belonging to their customers and users. The framework was introduced by the American Institute of Certified Public Accountants (AICPA) as part of their System and Organization Control reporting platform. 

To achieve a SOC 2 attestation, organizations must satisfy a set of well-defined criteria for each of the five Trust Service Criteria created by the AICPA. Organizations can demonstrate achievement of the SOC 2 criteria by implementing and operating a set of controls that meet the requirements of the criteria. 

What are SOC 2 controls? 

SOC 2 controls are a set of policies, procedures and directives that govern how an organization’s systems operate to ensure the security, availability, processing integrity, confidentiality and privacy of company and customer data, as applicable. The SOC 2 controls provide guidelines on how organizations can manage and secure their sensitive information and helps companies to establish effective security controls, thereby reducing the risk of data breaches and ensuring compliance with regulatory requirements.  

This detailed catalog outlines various security measures that organizations should implement to comply with SOC 2 requirements. By implementing controls that adhere to the SOC 2 criteria, organizations can demonstrate their commitment to employing and maintaining effective security controls, ultimately building trust with their stakeholders. SOC 2 compliance can also give businesses a competitive edge by assuring potential clients and partners of their commitment to best-in-class security practices. 

What are the SOC 2 Trust Services Criteria? 

To achieve a SOC 2 attestation, organizations must satisfy a set of well-defined criteria for each of the five Trust Service Criteria created by the AICPA. Organizations can demonstrate achievement of the SOC 2 criteria by implementing and operating a set of controls that meet the requirements of the criteria. 

These five criteria include:  

1. Security 

2. Availability 

3. Processing Integrity 

4. Confidentiality 

5. Privacy 

Each criterion represents a critical aspect of an organization’s security posture and compliance efforts. These criteria provide a comprehensive framework for addressing potential risks, vulnerabilities, and threats, enabling organizations to assess their security controls and make necessary improvements. Businesses that adhere to these principles demonstrate their commitment to safeguarding customer data. 

But what exactly are the components of the Trust Services Criteria of a SOC 2, and how do they contribute to building trust with your stakeholders? Let’s dive in and explore the key facets of the SOC 2 Trust Services Criteria. 

Security/Common Criteria 

The Security criterion evaluates whether an organization’s systems and applications are protected against unauthorized access (both physical and logical) and other vulnerabilities, ensuring protection and integrity of client data and information. The Security criterion also covers organizational controls that affect the in-scope system such as governance and oversight. The Security criterion must be included in every SOC 2 audit and is often referred to as the Common Criteria.  

Availability 

The Availability criterion verifies that services provided by an organization are available for operation according to agreed-upon terms, ensuring reliability and sustainability. By showcasing a robust availability strategy, organizations instill confidence in their stakeholders, demonstrating their commitment to delivering consistent and reliable services. 

Processing integrity 

The Processing Integrity criterion assesses the accuracy, completeness, and timeliness of data processing operations. This criterion assesses an organization’s controls and measures to evaluate that data is processed accurately and as intended.  

Confidentiality 

The Confidentiality criterion ensures that sensitive customer information is properly stored, classified, protected, and accessed only by authorized personnel to maintain confidentiality. It encompasses controls such as data classification, encryption, access controls, and employee training. By implementing comprehensive measures to preserve confidentiality, organizations earn the trust of their clients, assuring them that their sensitive information is handled with the utmost care and security. 

Privacy 

With increasing regulations and growing concerns around data privacy, the Privacy criterion is more important than ever. It evaluates an organization’s practices and controls related to the collection, use, retention, and disclosure of personal information and adherence with privacy policies and any applicable laws or regulations. By addressing privacy concerns, organizations demonstrate their commitment to protecting individuals’ personal data and respect for their privacy rights, fostering trust relationships with their customers and stakeholders. 

What is the SOC 2 common criteria? 

The SOC 2 Common Criteria is comprised of nine essential subcategories. Each subcategory represents a specific area that organizations must address to evaluate their security controls and practices effectively.  

By understanding these subcategories, businesses can strengthen their cybersecurity posture and demonstrate their commitment to robust compliance standards: 

1. CC1.0 Control environment: This criterion focuses on creating a culture that prioritizes integrity and security by establishing standards of conduct, evaluating adherence to those standards, and ensuring a proper tone at the top by senior management. Supporting controls such as annual training, communication of roles and responsibilities, and enforcement of responsibilities through reporting structures and authorities are also considered as part of Control Environment. Establishing a control environment that promotes these values is crucial for maintaining strong security controls. 

2. CC2.0 Communication and information: This criterion evaluates whether organizations effectively communicate their security policies to internal stakeholders, external parties, and customers. Communication and Information also addresses controls around how an organization obtains and generates relevant information to support the functioning of controls.  

3. CC3.0 Risk assessment: Organizations must conduct thorough risk assessments to identify and manage potential threats and vulnerabilities. This subcategory evaluates whether businesses have effective risk assessment processes in place. 

4. CC4.0 Monitoring activities: This criterion evaluates if management has selected, developed, and continuously performs monitoring activities to ensure controls are present and functioning as intended, and that processes and controls are in place to react to any deviations identified. 

5. CC5.0 Control activities: This criterion addresses that management has selected appropriate controls that contribute to the mitigation of organization and technology risk to support the achievement of the company’s objectives. It is important that an organization’s SOC 2 controls are appropriate for their industry and business. 

6. CC6.0 Logical and physical access controls: This criterion addresses proper information security and access controls. These ensure that only authorized individuals have access to sensitive data and systems. This subcategory assesses whether organizations have implemented appropriate controls to manage user access and prevent unauthorized access. 

7. CC7.0 System operations: This criterion focuses on the day-to-day management and monitoring of systems and includes activities such as detection and prevention activities, security incident identification, documentation, and resolution.  It also evaluates whether organizations have effective processes and controls in place to ensure the security and reliability of their systems.  

8. CC8.0 Change management: This criterion covers controls around the design of infrastructure and software systems. Controls around the proper authorization, design, testing, and approvals of changes should be documented and maintained. 

9. CC9.0 Risk mitigation This criterion covers controls around the identification and selection of risk mitigation measures for risks specifically around business disruptions and risk associated with third parties, vendors, and business partners. 

Understanding the SOC 2 Common Criteria is vital for organizations aiming to achieve SOC 2 compliance. By addressing each criterion appropriately and partnering with a trusted provider, businesses can meet the stringent requirements of SOC 2 and enhance their overall security posture. 

Next steps for understanding the SOC 2 control list 

Understanding the SOC 2 control list is crucial for organizations who want to achieve compliance with data protection regulations. Equipped with this knowledge, companies can implement robust security measures and maintain strong information safeguards that align with industry best practices. 

Navigating the SOC 2 Common Criteria list can be complex, but partnering with a trusted compliance and cybersecurity provider like A-LIGN can make the journey smoother. A-LIGN provides businesses around the globe with a world-class audit experience, ensuring compliance with SOC 2 requirements and providing peace of mind. Contact us today to learn more.  

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No matter how big or small your organization is, preparing for a SOC 2 audit can be overwhelming. We hear from many businesses that they don’t know where to start as they prepare for the SOC 2 process. To help you kick off your audit journey, we have created a comprehensive checklist that covers key areas of SOC 2 readiness and preparation to set your business up for success. 

Download the SOC 2 checklist PDF.

Understanding SOC 2 compliance  

Before diving into the checklist, it’s essential to have a solid understanding of what SOC 2 compliance entails. SOC 2, which stands for Service Organization Control 2, is both a voluntary compliance standard and a report on controls at a service organization level. The criteria included in a SOC 2 was developed by the American Institute of Certified Public Accountants (AICPA). It assesses an organization’s controls and processes related to security, availability, processing integrity, confidentiality, and privacy.  

Meeting SOC 2 compliance standards helps organizations demonstrate their commitment to data privacy and security. It is especially crucial for businesses that handle sensitive customer data, such as Software as a Service (SaaS) companies including healthcare organizations. Achieving SOC 2 compliance not only demonstrates controls are in place and operating effectively to mitigate the risk of unprotected data, but also enhances an organization’s reputation and provides a competitive advantage compared to companies that do not conform to the SOC 2 standard.  

The SOC 2 audit preparation checklist 

Once you have a clear understanding of the SOC 2 framework, your organization can learn how to prepare for the audit. These steps will ensure that your organization is ready to undergo a SOC 2 audit:  

Conduct a risk assessment  

Start by conducting a thorough risk assessment to identify the potential threats and vulnerabilities that could impact your organization’s systems and data. This assessment will help you understand the areas that require the most attention and allow you to allocate resources effectively while better understanding which documents and evidence is needed to demonstrate compliance.  

Establish written policies and procedures  

Develop documented policies and procedures that outline the controls and processes you have in place. These policies should cover areas such as, but not limited to, infrastructure, service provided, people, access control, data management and classification, incident response, and change management, and other operations. Determine that these policies align with the Trust Services Criteria and are regularly reviewed and updated as needed to govern the processes associated with the corresponding controls.  

Implement strong access controls  

Access controls play a vital role in protecting the access to sensitive and restricted data. Ensure that you have robust user authentication mechanisms in place, such as strong passwords and multi-factor authentication. Regularly review and update user access privileges to ensure that only authorized individuals can access sensitive information.  

Protect data privacy and confidentiality  

Implement encryption and appropriate data handling practices to protect the privacy and confidentiality of data. This includes encrypting data at rest and in transit, implementing secure data storage practices, and regularly assessing and addressing any vulnerabilities in your systems.  

Develop and test an incident response and disaster recovery plan  

Establish an incident response and disaster recovery plan that outlines the procedures and protocols to follow in the event of a security incident, data breach, or environmental disaster. This should include steps for incident identification, containment, eradication, and recovery. Regularly test and update your response plan to ensure its effectiveness.  

Monitor and audit system changes  

Implement a robust change management process to track and review any changes made to your systems. This includes changes to configuration settings, software updates, and system patches. Regularly monitor, audit, and document these changes to ensure their security and effectiveness.  

Stay informed of regulatory changes  

Keep up to date with any changes to industry regulations and standards related to SOC 2 compliance. Adapt your controls and processes accordingly to ensure ongoing compliance.  

Continuously monitor and assess controls  

Regularly monitor and assess the effectiveness of your controls and processes. This can be achieved through regular management review, internal audits, vulnerability assessments, and security testing. Identify any gaps or weaknesses and take prompt action to address them.  

Engage a trusted third-party auditor  

To achieve SOC 2 compliance, you will need to engage a trusted, independent, third-party auditor who specializes in SOC 2 assessments. Select an auditor with extensive experience in your industry and a track record of high-quality SOC 2 reports. Collaborate closely with the auditor throughout the process to ensure a streamlined and efficient assessment.  

Best practices for engaging employees for SOC 2 compliance 

Successfully preparing for a SOC 2 audit goes beyond just completing the checklist. Because SOC 2 compliance is a team effort, it is essential that your employees are aware of the importance of compliance and their role in maintaining it. 

In addition to completing the items on your SOC 2 readiness checklist, here are some other ways your organization can create a culture of security and comply with the SOC 2 framework:  

Create an organizational chart 

To comply with SOC 2, your organization should have a defined and organized hierarchy to ensure clear reporting responsibility and accountability. The organizational chart should reflect the structure of the organization and indicate the roles and responsibilities of each department. 

Define roles and responsibilities 

Clear roles and responsibilities define specific duties that can lead to efficient and effective operations within an organization. Defining roles and responsibilities of employees within your organization increases the likelihood that they understand their responsibilities, including the policies and procedures they need to follow.  

Establish Segregation of Duties (SOD) 

SOD ensures that no single employee has complete control over a process. This reduces the risk of fraudulent activities or errors since it would require collusion for SOD violations to occur. Your SOC 2 compliance requires clearly documented SOD policies and segregation. 

Outline hiring & onboarding policies and procedures

 Your organization must have hiring and onboarding policies and procedures that comply with SOC 2 guidelines. The policies should consider background checks, reference checks, and ensure that new hires receive relevant training and are aware of the organization’s policies and procedures as well as complete annual training relevant to their job descriptions. 

Employee handbook & code of conduct 

An employee handbook outlines the organization’s policies and procedures, including expected workplace behaviors and key policies such as data security policies. A code of conduct, on the other hand, is a set of ethical and behavioral guidelines that employees must adhere to. SOC 2 requires these policies to be formal, documented, and acknowledged. 

Hold information security awareness training 

Every employee in your organization should receive proper training on information security awareness. The training should cover policies, procedures, and data security measures. Your SOC 2 compliance acknowledges information security awareness training as a vital component, so it must be effectively implemented and performed. 

Distribute policies to all employees of the organization 

Your organization must document policies and make them accessible to all employees to comply with SOC 2 guidelines. This ensures that every employee fully understands their responsibilities and can follow policies that protect the organization from inherent risks. 

Raise awareness and conduct other ongoing training activities 

Ongoing awareness training is essential to ensure that employees remain informed and updated on the organization’s policies and procedures. Awareness training is an opportunity to educate employees about new risks and communicate any policy changes. 

Partner with A-LIGN to achieve SOC 2 Compliance  

Preparing for a SOC 2 audit requires careful planning, diligent implementation of controls, and ongoing commitment to cybersecurity best practices. Protecting your organization’s data and fostering a culture of security will not only enhance your reputation, but also provide a competitive advantage in today’s digital landscape.  

By focusing on the areas outlined in our checklist, you can identify gaps in your compliance program and determine a suitable strategy to bolster your cybersecurity defenses. Take the first step in preparing for your SOC 2 journey today and download our SOC 2 checklist to pave the way for a secure and compliant future.  

HITRUST, the information risk management, standards, and certification body, recently announced the release of the industry’s first program designed to provide organizations with a secure and sustainable strategy for implementing trustworthy AI.

As AI technologies continue to evolve, the industry sees a mounting necessity to ensure trustworthy and responsible AI use. The newest program fills this gap by providing organizations with a comprehensive framework to navigate the complexities of growing AI adoption, while maintaining compliance with evolving regulatory frameworks.

The program prioritizes risk management, AI-specific assurances, shared responsibilities, and inheritance as a foundation in the newly updated version 11.2 of the HITRUST Common Security Framework (CSF).

In partnership with industry leaders, HITRUST has identified and delivered practical and scalable assurance for AI risk and security management through these key initiatives:

1. Prioritizing AI risk management with HITRUST CSF

HITRUST has incorporated AI-specific controls into the HITRUST CSF v11.2, providing a valuable foundation for AI system providers and users to leverage to identify risks and negative outcomes in their AI systems. HITRUST will continue to make updates to the CSF to manage AI adoption risks.

At the core of the HITRUST AI Assurance Program lies a robust risk management strategy. By incorporating AI-specific controls into their existing risk management processes, organizations can proactively identify and address AI-related risks. Through risk assessments, mitigation measures, and continuous monitoring, businesses can navigate the dynamic AI landscape and build a solid foundation for the secure and ethical use of AI technologies.

2. Providing reliable assurances around AI risks through HITRUST

In 2024, HITRUST assurance reports will include AI risk management for organizations to reliably address AI risks. Organizations and service providers implementing AI systems and models will understand the risks associated and demonstrate their adherence with AI risk management principles.

In addition, AI risk management certifications will be supported with the HITRUST Essentials (e1), HITRUST Leading Practices (i1), and HITRUST Expanded Practices (r2) reports. These

HITRUST Insight Reports will also be available for organizations wishing to demonstrate the quality of their AI Risk Management initiatives to customers and other stakeholders.

3. Embracing inheritance in support of shared responsibility for AI

HITRUST’s Shared Responsibility Model helps providers and customers define AI risk distribution and shared responsibilities. HITRUST leverages its inheritance and shared responsibility model expertise from cloud computing to enhance AI governance to facilitate the collaboration between AI service providers and their customers in managing AI risks and responsibilities.

These parties must demonstrate several key considerations including training data quality, safeguards against data poisoning, bias mitigation, model user responsibilities, and distinctions between proprietary and externally sourced large language models.

4. Leading industry collaboration

HITRUST plans to use its experience in control frameworks, assurance, and shared responsibility in partnership with Microsoft, Databricks, and other stakeholders to drive AI risk management and security solutions.

The HITRUST AI Assurance Program release came at a time when new AI regulations and laws are gaining more traction. The European Parliament implemented the Artificial Intelligence Act, which creates a regulatory framework for AI systems, emphasizing transparency, accountability, and human oversight.

Similarly, in the U.S., the recent White House Executive Order on AI focuses on improving the safety, security, and accountability of AI systems to protect the privacy of Americans.

The latest legislative actions emphasize the need for transparency, accountability, and human oversight in AI adoption. HITRUST’s program aligns seamlessly with these initiatives, providing organizations with a practical framework to meet regulatory requirements while embracing the transformative power of AI.

As organizations increasingly incorporate AI into their operations, the importance of trust, compliance, and responsible AI practices becomes pivotal. HITRUST’s pioneering AI Assurance Program revolutionizes the way businesses approach AI adoption, paving the way for secure, ethical, and compliant AI implementation.

A-LIGN can help organizations identify threats related to their AI technology implementation and adoption. With our team’s expertise in HITRUST CSF, we can help evaluate AI risk and recommend controls to implement to protect your customer’s data and maintain compliance with growing AI regulations. Contact our team today to get started.

Download our HITRUST checklist now!

Audit reports are a critical tool for ensuring compliance. They provide an independent assessment of a company’s compliance program and identify any areas where improvement is needed. Many people assume that all audit reports are created equal, but nothing could be further from the truth. Some budget auditors will sell businesses on a service that looks like what they need but, in reality, is a poor imitation of a high-quality report. 

So, what’s on the line when a company chooses a cut-rate audit? 

The risk of a cheap audit 

Whether companies are looking for a compliance assessment for SOC 2, ISO 27001, SOX 404, or another standard, it’s important to carefully select an auditing partner, as the results can have a significant impact on business operations and reputation. 

When a company doesn’t do its research before signing the audit contract, it opens itself up to many risks: 

• Security vulnerabilities: A superficial audit may fail to uncover key weaknesses in an organization’s information security practices. This can leave the company exposed to data breaches, cyberattacks, and financial losses associated with costly remediation efforts. 
• Inadequate assurance: Cheap audits may lack the thoroughness required to provide a meaningful level of assurance. This can leave the company and its stakeholders uncertain about the effectiveness of internal controls and security measures. 
• Negative brand image: An inadequate audit that fails to identify control deficiencies or security issues can lead to a loss of trust among clients, partners, and other stakeholders, resulting in reputational damage that can be difficult to recover from. 
• Missed operational inefficiencies: A low-quality audit may overlook inefficiencies in business processes, preventing the company from optimizing its operations and improving its bottom line. 
• Legal liabilities: Incomplete audits can leave a company vulnerable to legal liabilities, especially if clients or business partners suffer financial losses due to control failures that the audit didn’t detect. 
• Lost business opportunities: Many clients and partners require evidence of a high-quality compliance assessment (e.g., SOC 1 or SOC 2 reports) before engaging in business relationships. Choosing a cheap audit can mean more work down the line if it doesn’t cover all the controls that interested parties demand. 

What to look for in a final audit report 

A high-quality audit report for a compliance assessment like SOC 1 or SOC 2 is crucial for ensuring the accuracy and reliability of a company’s internal controls and security practices. Here are some important things a company should expect in such a report: 

• Clarity and transparency: The audit report should provide a thorough overview of the audit process, scope, findings, and conclusions. It should be easily understandable to both technical and non-technical stakeholders. 
• Comprehensive scope: The audit should cover all relevant aspects of the organization’s controls and security processes. It should be customized to the company’s specific needs and industry best practices. The report should include a detailed assessment of controls, policies, and procedures, evaluating their design and effectiveness in meeting the compliance criteria. 
• Compliance with audit standards: The audit should be performed in accordance with recognized standards, such as the Statement on Standards for Attestation Engagements (SSAE) for SOC 1 or the Trust Services Criteria for SOC 2. The report should explicitly state compliance with these standards. 
• Testing and sampling: The audit should involve extensive testing and sampling of controls and transactions (as applicable) to ensure that the findings are representative of the overall control environment. The report should include detailed documentation and evidence to support the auditor’s conclusions.  
• Recommendations and remediation: In the case of control deficiencies, a good audit report will provide recommendations for remediation and improvement, helping the company address the identified issues effectively. The auditor should also provide the opportunity for companies to ask questions in the draft phase and include those clarifications in the final report. 

Note: A high-quality audit report will come from a qualified and competent audit firm. Look for certifications, experience, and a reputation for excellence in the field. 

Protect your business with robust audit reporting 

Selecting the right compliance partner can have a significant impact on the success of an organization’s compliance program. A-LIGN stands out by delivering a single-provider approach that takes companies from readiness to report on a full suite of compliance certifications and assessments, including SOC 1, SOC 2, FedRAMP, ISO, HITRUST, PCI, and many more. Our reports cover hundreds of internal controls, so businesses can be sure that if there’s a vulnerability, we’ll find it. Contrast that with budget audit firms, which assess 80% fewer controls than A-LIGN in some cases. 

Don’t just “check the box” on compliance. Get a high-quality report from a trusted partner that can help you make meaningful, lasting changes in your internal controls. 

SOC 2 compliance requirements are a set of criteria that service organizations must meet in order to demonstrate their commitment to maintaining the highest level of security, availability, processing integrity, confidentiality, and privacy for their clients’ data. Developed by the American Institute of Certified Public Accountants (AICPA), the SOC 2 framework is a comprehensive auditing process that can be tailored to the unique needs of each organization while ensuring client data is stored in a secure manner. As more businesses migrate their operations to cloud-based platforms, understanding SOC 2 requirements is essential to ensuring that sensitive information remains protected regardless of environment. 

What is a SOC 2 audit? 

A SOC 2 audit is an examination performed by an independent CPA firm to assess the design and/or operating effectiveness of an organization’s controls. The purpose of this audit is not only to report on control effectiveness within an organization’s internal control environment, but also to provide assurance that these controls are effectively mitigating risks associated with the applicable trust service criteria. Conducting a thorough and well-documented SOC 2 audit can also serve as a valuable marketing tool, demonstrating credibility and trustworthiness to current and potential clients. 

Achieving SOC 2 compliance requires adherence to all relevant aspects of the SOC 2 framework. This entails designing and implementing controls that address all of the selected five Trust Services Criteria: security, availability, processing integrity, confidentiality, and privacy. These criteria are intended to provide coverage across key areas of risk while still allowing organizations flexibility in determining which specific controls they need based on their unique circumstances. 

SOC 2 Trust Services Criteria 

Organizations can use the SOC 2 trust services criteria as a roadmap for establishing robust systems for protecting sensitive information. Each criterion represents a distinct area where vulnerabilities may exist: 

1. Security: Organizations must have policies and procedures in place that protect against unauthorized access, both physical and logical. 
2. Availability: Businesses need reliable infrastructure designed for maximum uptime so customers can consistently access services when needed. 
3. Processing Integrity: Controls should ensure accurate processing of customer data without corruption or unauthorized alteration. 
4. Confidentiality: Organizations must implement measures to safeguard sensitive information from unauthorized disclosure and use. 
5. Privacy: Personal data must be protected, with controls in place that ensure compliance with privacy laws and regulations.

SOC 2 compliance requirements checklist 

To streamline the process of achieving SOC 2 compliance, organizations can make use of a SOC 2 requirements checklist. This list presents an overview of all relevant criteria, broken down into manageable tasks or milestones. By using such a checklist, businesses can more easily identify gaps in their current practices and prioritize remediation efforts to address those vulnerabilities. 

In addition to serving as a helpful organizational tool, compiling a SOC 2 requirements list is also valuable for demonstrating progress toward compliance goals. By maintaining thorough documentation of completed tasks and relevant evidence, organizations can provide auditors with clear evidence that they have taken meaningful steps to address security risks. 

What are SOC 2 compliance requirements? 

They are a series of standards designed by the AICPA to help service organizations establish robust and reliable internal controls that protect sensitive data in accordance with the trust services criteria. By adhering to these criteria, organizations can not only mitigate risks associated with poor data security but also demonstrate their commitment to customers and partners that they take this responsibility seriously. 

Achieving SOC 2 compliance requires rigorous attention to detail and dedication from every level within an organization. Employees must be educated on proper data handling procedures; systems must be monitored closely for signs of potential breaches; infrastructure should be maintained to minimize downtime and maximize performance; and policies should reflect current best practices in data protection. 

While achieving compliance may seem daunting at first glance, it is important for businesses operating in an increasingly interconnected world where trust is paramount. By diligently working through the SOC 2 requirements checklist and staying informed about evolving industry standards, organizations can build strong defenses against cyber threats while reinforcing their reputation as trusted stewards of customer data. 

Navigating the world of SOC 2 requirements is an essential undertaking for modern service organizations looking to ensure the highest level of data security for their clients. By understanding the SOC 2 audit process, implementing controls based on the SOC 2 trust services criteria, and maintaining thorough documentation throughout the journey to compliance, businesses can demonstrate their commitment to safeguarding sensitive information and maintaining customer trust in an increasingly competitive marketplace. 

Ready to start your SOC 2 journey? A-LIGN is ready to assist with any of your SOC 2 compliance, cybersecurity, and privacy needs. Contact us today. 

If your organization handles customer data or stores sensitive information, you’ve likely heard of a SOC 2 report. These reports are a critical component in evaluating the security of an organization’s sensitive information. A SOC 2 report can provide assurance to customers, clients, and partners that organizations are taking the appropriate measures to protect their data.  

As a result, SOC 2 has become increasingly important for companies seeking to maintain trust and credibility in the marketplace. In this article, we’ll provide an overview of SOC 2 reporting by covering its key aspects, including real-world examples and document templates to help further illustrate these concepts.  

What is a SOC 2 report? 

 At its core, a SOC report (System and Organization Controls report) is a comprehensive attestation report conducted by third-party auditors that assesses an organization’s internal controls related to design and operational effectiveness. There are two main types of SOC reports: SOC 1 and SOC 2. While both serve essential functions in evaluating organizational controls, they differ significantly in scope and purpose.  

A SOC 1 report specifically focuses on an organization’s internal controls that could impact a user entity’s financial reporting (ICFR), whereas a SOC 2 report addresses an organization’s information systems security, availability, processing integrity, confidentiality, and privacy controls. Both SOC 1 and SOC 2 reports can assess the design and operational effectiveness of controls over a defined period.  

A SOC 2 report includes sections addressing: 

• Control Environment  
• Communication and Information  
• Risk Assessment Policies 
• Monitoring and Control Activities 
• Logical and Physical Access Controls 
• System Operations 
• Change Management  
• Risk Mitigation  

Within the SOC 2 framework are two distinct subtypes – Type 1 and Type 2. A Type 1 report describes an organization’s control design at a specific point in time, whereas a Type 2 report evaluates the operating effectiveness of those controls over a designated review period.  

Because SOC 2 audit reports are essential for organizations that want to demonstrate their commitment to security best practices, it is critical for businesses to understand specific sections within a report. For instance, within a typical SOC 2 Type 2 report are sections covering: 

• The organization’s description of their system’s environment 
• The Third Party Assessment Organization (3PAO)’s testing procedures and results 
• Any identified exceptions in the organization’s controls design or effectiveness 
• Management’s assertion of the fairness of description of the system and environment 

 Each section of the SOC 2 report plays a vital role in providing a comprehensive understanding of an organization’s compliance with established criteria.  

Understanding the importance of SOC 2 reporting 

 As businesses face increasing scrutiny over their data-handling practices, it is also crucial to be well-versed in the reporting frameworks that govern these evaluations. The SOC 2 framework, for example, includes the Trust Services Criteria established by the American Institute of Certified Public Accountants (AICPA). This framework provides a rigorous set of guidelines that auditors follow when assessing an organization’s controls and processes.  

Carrying out a SOC 2 audit can be a complex process involving several steps like scoping the engagement, selecting appropriate trust services criteria (TSC), engaging qualified independent auditors, gathering documentation of controls in place as well as testing control effectiveness over time.  

The benefits of SOC 2 reporting templates 

Given the complexities involved in protecting sensitive data from unauthorized access or disclosure, many organizations seek out resourceful tools such as downloadable examples (e.g., a SOC 2 report example PDF) or templates (e.g., a SOC 2 reporting template). 

A SOC 2 reporting template typically includes detailed instructions to organize relevant information and guidance on creating a clear, concise report that effectively conveys an organization’s control environment to external auditors.  

 With so much at stake concerning sensitive data protection, organizations cannot afford to maintain an ineffective control environment if they wish to achieve regulatory compliance. As such, organizations should look to SOC 2 reporting templates for assistance in preparing for these critical evaluations. 

Prioritizing SOC 2 to help your business 

Ultimately, organizations that prioritize robust controls and comprehensive assessments like SOC 2 reports are better positioned to protect their sensitive data and maintain their sterling reputations in an increasingly scrutinized business environment.  

SOC 2 reports play critical roles in: 

• Evaluating an organization’s internal controls related to control design and operating effectiveness 
• Showcasing their commitment to safeguarding client data 
• Maintaining robust security controls that help prevent unauthorized access or misuse 
• Establishing credibility within competitive markets 

Businesses looking for assistance during the SOC 2 reporting process can lean on helpful tools such as SOC 2 report examples and templates. Utilizing these resources can ensure your organization is prepared for the audit process. 

Because earning a SOC 2 report is such a crucial component to show commitment to cybersecurity compliance, it is important to work with an experienced audit firm to receive a high-quality report.  

Ready to start your SOC 2 journey? A-LIGN is ready to assist with any of your SOC 2 compliance, cybersecurity, and privacy needs. Contact us today. 

On October 25, 2022, ISO/IEC 27001 (commonly called ISO 27001) was updated for the first time since 2013. Many organizations still haven’t modified their information security management system (ISMS) to conform to the new standard. Where does your business stand?  

In this post, we’ll walk through the changes companies need to make and the associated deadlines so you can determine the right next step for your organization. 

ISO 27001:2022 vs. ISO 27001:2013 

First, let’s review the nine biggest changes in ISO 27001:2022: 

1. Updated Context and Scope: ISO 27001:2022 places increased emphasis on an organization’s internal and external context, including stakeholders and processes that impact the ISMS. 

2. Statement of Applicability (SoA): Organizations should revise their Statement of Applicability (SoA) to incorporate a mapping of the new 2022 controls (the actual SoA requirements are essentially the same). 

3. Controlled Changes to the ISMS: Clause 6.3 emphasizes the management of controlled changes in a structured and systematic way within the ISMS, ensuring changes do not compromise information security. 

4. Enhanced Operational Planning and Control: Clause 8.1 requires organizations to establish criteria for actions outlined in Clause 6 and systematically manage these actions. This clause underscores the importance of a structured approach to overseeing operational processes, including those involving third-party relationships. 

5. Reorganization and Reduction of Annex Controls: The new standard condenses annex controls from 114 to 93 to align more effectively with the evolving hybrid and remote work environments, acknowledging the need for a more focused and adaptable approach to information security controls. 

6. Introduction of New Controls: 11 new controls in the annex section formally address emerging threats and challenges, including threat intelligence, information security for the use of cloud services, ICT readiness for business continuity, and more. 

7. Recategorization of Controls: Controls have been restructured into four primary categories — organizational, people, physical, and technological — to improve clarity and simplify the structure. 

8. Emphasis on Needs and Expectations of Interested Parties: Clause 9.3 calls for management review to account for changes in the needs and expectations of stakeholders, underscoring the importance of aligning the ISMS with evolving stakeholder priorities and requirements. 

9. New Controls for Current Challenges: New controls aim to keep the standard current and relevant, covering areas such as threat intelligence, web filtering, and secure coding. 

See a detailed breakdown of the changes. 

ISO 27001 transition timeline 

Organizations have until October 31, 2025 to transition to ISO/IEC 27001:2022, but that doesn’t mean you should put it off. Here’s a quick summary of the transition timeline: 

• October 31, 2022: The transition period began.  
• May 1, 2024: All new (first-time) ISO 27001 certifications should be on the 2022 version. 
• July 31, 2025: All transition audits (for recertification and surveillance audits) should be completed. 
• October 31, 2025: The transition period ends. All ISO 27001:2013 certifications will expire at this time. 

Determine your organization’s next steps 

Wondering what your business needs to do next to be ready for the 2025 transition deadline? Consider what steps have been taken so far and proceed accordingly. 

For example, if your organization has yet to take any action, the first step is to make a plan. Consider how much time your team needs to perform all the necessary actions described in the following section. Work with your audit partner to make a unique plan that works with where you are in the ISO cycle. 

One important factor to consider is budget — what resources will your team require to complete all necessary tasks by the October 31, 2025 deadline? Make sure you build anticipated costs into upcoming budgets so that company leadership and the specific teams involved can anticipate them. 

If you’re ready to transition but not sure where to start, the rest of this article will give you a better idea of what you need to do next. As you begin the transition process, lean on your audit partner to ensure a seamless transition before the deadline. 

How to update Your ISO 27001 Certification to the 2022 standard 

If your organization is currently certified against the 2013 version of ISO 27001, there are several steps that must be taken in order to achieve certification under the new version. 

Purchase the ISO/IEC 27001:2022 standard 

Every organization that seeks certification must purchase the official published ISO 27001 standard from the ISO. ISO products come with a single-user license, so documents cannot be shared between organizations (or provided by auditors).  

Perform a gap assessment 

There are 11 brand-new controls in ISO 27001:2022, so organizations should expect to find gaps in their ISMS under the 2013 version of the standard. A gap assessment will help you map your existing security controls to the 2022 version and identify what changes are necessary. Based on the level of compliance expertise your organization has, this gap assessment can be performed internally or with the help of a third party. 

Implement new security controls 

Once the gap assessment is complete, your team should focus on implementing new controls or modifying current controls as needed based on what gaps were identified. Make sure you give your organization enough time to plan for these changes and implement them effectively before scheduling your transition audit. 

Update the statement of applicability 

The statement of applicability (SoA) is a required document for ISO 27001 certification. The SoA states which Annex A controls your business has applied in order to reduce information security risk. Because of the changes between the 2013 and 2022 versions of the standard, your SoA will need to be updated to consider the newly added and reorganized annex controls. 

Revise the risk treatment plan 

Now that you have identified the relevant risks to your organization (via the gap assessment), your formal ISO 27001 risk treatment plan should be revised accordingly. This document should detail what steps your organization has taken to address each of the information security risks that have been detected. 

Schedule your transition audit 

Remember, all ISO 27001:2022 transition audits should be completed by July 31, 2025 to ensure that all certification decision can be made prior to the October 31, 2025 deadline. Ideally, you should schedule your transition audit before July 2025 to account for any unforeseen challenges and avoid unnecessary pressure on employees. 

ISO 27001 transition FAQs 

What is the most challenging aspect of the transition? 

It will vary from company to company depending on the controls already in place. With that said, the reorganization of controls in the new version of the standard necessitates changes to documentation, which will require time and effort to overhaul. 

Can my organization complete the transition audit during a surveillance year? 

Yes, if your organization is due for a surveillance audit (rather than a full recertification audit), the transition audit can be added on. Keep in mind that this will expand the scope of the surveillance audit, so talk with your audit partner to determine the necessary time and resources required. 

Is ISO 27001:2013 still globally recognized during the transition period? 

Yes, if your company has an active ISO 27001:2013 certification, it will still be considered active until its expiration date or the end of the transition period (whichever comes first). As an added measure, your organization might consider adding the new 2022 controls to your statement of applicability. That way, if any stakeholders question you regarding the transition, you can easily demonstrate your organization’s readiness and the progress you are making toward certification under the 2022 standard. 

Get started on your ISO 27001 transition today 

At A-LIGN, we are committed to helping our clients maintain the highest standards in information security. Our team is actively issuing the 2022 version of ISO 27001, and our experts are ready to guide your organization through the process. 

Don’t wait until the last minute. Reach out to A-LIGN today to make a transition plan before the 2025 deadline arrives. 

Get started by downloading our ISO 27001 checklist.