soc2-readiness
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ChineseSOC 2 Readiness
SOC 2 准备就绪
Drive an organization from "no controls documented" to audit-ready.
推动组织从“未记录任何控制措施”走向审计就绪。
1. Scoping
1. 范围界定
- Determine report type: Type I (point-in-time) vs Type II (period of time — start the observation window early)
- Define the system description: services in scope, infrastructure, boundaries (subprocessors, cloud providers)
- Select Trust Services Criteria: Security (required) + Availability, Confidentiality, Processing Integrity, Privacy as applicable
- 确定报告类型：Type I（某一时间点）还是 Type II（某一时间段——尽早启动观察窗口）
- 界定系统描述：纳入范围的服务、基础设施和边界（子处理方、云服务提供商）
- 选择 Trust Services Criteria：Security（必选），以及适用时的 Availability、Confidentiality、Processing Integrity、Privacy
2. Gap Assessment
2. 差距评估
Map current practices to the criteria:
| Area | Typical Criteria | Common Gaps |
|---|---|---|
| Access control | CC6.1–CC6.3 | No MFA, no role-based access, shared accounts |
| Change management | CC8.1 | No peer review on deploys, no environment separation |
| Risk assessment | CC3.1–CC3.4 | No annual risk assessment or vendor reviews |
| Monitoring | CC7.1–CC7.3 | No log review, no alerting on anomalies |
| Incident response | CC7.4–CC7.5 | No IR plan or tabletop evidence |
| BC/DR | A1.2–A1.3 | Untested backups, no documented RTO/RPO |
| Vendor management | CC9.2 | No subprocessor due diligence |
| Onboarding/offboarding | CC6.1 | Access removal not timely or evidenced |
将当前实践映射到各项标准：
| 领域 | 典型标准 | 常见差距 |
|---|---|---|
| 访问控制 | CC6.1–CC6.3 | 未启用 MFA、缺少基于角色的访问控制、存在共享账号 |
| 变更管理 | CC8.1 | 部署缺少同级审查、未隔离环境 |
| 风险评估 | CC3.1–CC3.4 | 未开展年度风险评估或供应商审查 |
| 监控 | CC7.1–CC7.3 | 未审查日志、未对异常情况发出告警 |
| 事件响应 | CC7.4–CC7.5 | 缺少事件响应计划或桌面演练证据 |
| BC/DR | A1.2–A1.3 | 备份未经测试、未记录 RTO/RPO |
| 供应商管理 | CC9.2 | 未对子处理方开展尽职调查 |
| 入职/离职管理 | CC6.1 | 访问权限未被及时撤销或缺少相关记录 |
3. Remediation
3. 整改
- Prioritize by audit-blocker status first, then risk
- Implement policy + practice + evidence together: a policy without execution evidence fails
- Typical timeline: 2–4 months for a Type I; Type II needs 2–12 months of operating evidence
- 首先根据审计阻断项的状态确定优先级，其次再根据风险排序
- 同时落实政策、实践和证据：只有政策而没有执行证据将无法通过审计
- 典型时间线：Type I 通常需要 2–4 个月；Type II 需要 2–12 个月的运行证据
4. Evidence Package
4. 证据包
Per control: policy documents, implementation artifacts (screenshots, configs), and dated operating evidence over the review period (access reviews, change tickets, training logs, IR exercises)
针对每项控制准备：政策文档、实施材料（截图、配置），以及审查期间带有日期的运行证据（访问权限审查、变更工单、培训记录、事件响应演练）
5. Audit Logistics
5. 审计安排
- Choose auditor; confirm scope wording matches your system description
- Readiness assessment (optional but useful) → fieldwork → draft report review
- Track findings/exceptions honestly; management responses documented
- 选择审计机构；确认范围表述与系统描述一致
- 准备度评估（可选但有帮助）→ 现场审计工作 → 审阅报告草案
- 如实跟踪审计发现/例外，并记录管理层回应
Output
输出
Gap register with owners and dates, control matrix mapped to criteria, evidence repository structure, and auditor-ready system description.
包含负责人和日期的差距登记表、映射到各项标准的控制矩阵、证据库结构，以及可供审计方使用的系统描述。