Blog

What can and can’t be automated for SOC 2

Not all SOC 2 components can be automated, but those that can will save your business time and money.

October 5, 2022

Everyone is searching for a simplified SOC 2 experience but there’s some confusion about what can and can’t be automated for SOC 2. It’s not something that can be 100% hands-free.

Reducing your number of daily decisions is a form of automation. It’s how you streamline processes, limit distractions and save time and manpower. By default, manual implies the opposite—especially with SOC 2. As a result, you can’t help but feel a bit panicky as you prepare for what you assume will be a labor-intensive experience that will suck the joy out of your day-to-day tasks. But not all manual tasks are complex. 

For example, take a smart coffee machines that consistently deliver a decadent caffeine experience. As a home barista, you can choose between a cappuccino or a basic cup of black, set a program to run or even ask Alexa to do it for you. However, you’re still responsible for installing a coffee pod and filling the water reservoir manually for the machine to complete the task. The hands-on, manual expectations are quick, clear and straightforward, though.

Manual work for SOC 2 is similar. With the right automation, the manual evidence collection tasks are a lot like adding water. You save time and end up with a successful audit to pair with your delicious cup of coffee. Let’s take a look at some examples of what can and can’t be automated for SOC 2.

What can be automated for SOC 2

Most organizations face the same SOC 2 challenge—ensuring their team implements the necessary controls and properly document evidence. Automating evidence tasks saves time, money, and stress.

When searching for SOC 2 software, automated evidence collection and integrations are a high priority.

What can’t be automated for SOC 2

If a software provider claims to automate the entire SOC 2 process, they may not be sharing all the details. In fact, it’s just not possible. Instead ask questions specifically about the following manual tasks. 

HR-related tasks like background checks

Most organizations use a third party for background checks. All the information they’re supplied is pulled into whatever HR system they use. Depending on the position in question, background checks may include:

Criminal records
Employment history
Reference checks
Citizenship status or a work visa 
Credit history
Education 
Social media profiles
Driving record
Medical records

Does a SOC 2 auditor require an employee’s traffic ticket from 2012? Of course not. In fact, that’s private information they definitely don’t want in their possession. Auditors want to see evidence that the background check was completed, but not the contents of the check. 

Collecting this information manually just makes sense. That way, data requiring redaction or removal is confidently completed. Will you fail your SOC 2 for sharing Bob’s traffic ticket with an auditor? No, but it does increase back and forth communication with your auditor, potentially delaying completion. 

Executive management review meetings

Companies typically have executive management meetings or board meetings on a set frequency. These quarterly or semi-annual meetings generally are not run through software. But, they usually have presentations. The decks include company performance, strategy points, and overviews resulting in discussions. Those are documented in meeting minutes. The minutes and the visuals may be stored in the cloud, but an integration won’t pull the evidence a SOC 2 auditor requires. 

There’s information in these presentations and confidential notes similar to the background check. A screenshot with redacted information is plenty for evidence regarding executive management review meetings. And if your auditor is looking for something specific, they’ll guide you.

Business continuity and disaster recovery plans or tests

Business continuity and disaster recovery plans or tests can be managed with sophisticated software. However, it’s still common in businesses of all sizes to maintain these on good old-fashioned printouts. After all, if a disaster occurs and the connection to your network is lost, how will you know what to do? That’s why Word or PDF docs are still routine. 

These plans also require annual testing. Multiple departments review them and provide feedback for revisions. Then there’s real-life scenario testing. What was the scenario? When did you execute the plan? What was the outcome and which departments were involved? Organizations maintain all of this manually within their documents, making it easy for auditors to collect the information relative to the SOC 2 audit via screenshot.

Learn more about gaining compliance by downloading this eBook about the ISO 27001 journey. To learm more about OneTrust Compliance Automation tool, go here. 

Blog

What can and can’t be automated for SOC 2

What can be automated for SOC 2

What can’t be automated for SOC 2

HR-related tasks like background checks

Executive management review meetings

Business continuity and disaster recovery plans or tests

You may also like

Technology Risk & Compliance

Tech risk & compliance masterclass: An evidence-based approach to building by-design risk and compliance practices

Discover strategies to embed compliance and risk management into business processes with minimal disruption, using technology-driven solutions for efficiency, scalability, and improvement.

November 06, 2024

Technology Risk & Compliance

Building a strong security posture: Managing compliance, risk, and business engagement in a dynamic landscape

Join our webinar to learn how to optimize security posture, streamline compliance, and leverage automation to manage IT risk in today's complex digital landscape. Register now!

October 29, 2024

Privacy Automation

Build resiliency and operationalize compliance with OneTrust: Fall product release recap, 2024

Join our upcoming product release webinar to explore how these new capabilities can help your organization navigate complex frameworks, streamline third-party management, and accelerate AI and data innovation.

October 22, 2024

Technology Risk & Compliance

Compliance Automation product demonstration

Join our live demonstration and see how Compliance Automaiton can help boost compliance efficiency with automated workflows, shared evidence, and 40+ frameworks.

October 02, 2024

Technology Risk & Compliance

Tech risk & compliance masterclass: The anatomy of a framework

Master the fundamentals of constructing robust compliance frameworks that can seamlessly integrate with organizational operations while aligning with regulatory and strategic mandates to deliver measurable insights on your progress and gaps.

August 14, 2024

Technology Risk & Compliance

Tech risk and compliance masterclass

Unlock tech risk management & compliance excellence. Master risk management, build robust frameworks, and foster cross-functional collaboration for long-term resilience.

August 07, 2024

Technology Risk & Compliance

Introducing OneTrust Compliance Automation

Join us as we explore OneTrust Compliance Automation, a holistic and fully integrated solution that streamlines and optimizes workflows, compliance, and attestation.

July 25, 2024

Data Discovery & Classification

Catch it live: See the all-new features in OneTrust's Spring Release and Post-TrustWeek recap

June 06, 2024

AI Governance

GRC strategies for effective AI Governance: OCEG research report

Download the full OCEG research report for a snapshot of what organizations are doing to govern their AI efforts, assess and manage risks, and ensure compliance with external and internal requirements.

May 22, 2024

Third-Party Risk

Streamline compliance with the Digital Operational Resilience Act (DORA)

Download our infographic to learn about the new DORA regulation, who needs to comply, and how OneTrust can help streamline the process.

April 29, 2024

Ethics Program Management

EthicsConnect: Risk - It’s not just for breakfast anymore

Join us for a deep dive into embedding privacy by design into the fabric of your business to promote the responsible use of data.

April 25, 2024

Technology Risk & Compliance

Rethinking risk assessments: Bridging the gap between best practices and action

Download our infographic to learn the main challenges faced during risk assessments, proven frameworks for assessing risks, and how to translate guidance into action.

March 07, 2024

Technology Risk & Compliance

PCI DSS Compliance: How to scope and streamline monitoring with Certification Automation

Join our PCI DSS webinar where we discuss how Certification Automation can help free up valuable InfoSec resources, streamline audits, and stay continuously compliant.

March 05, 2024

Ethics Program Management

Business messaging apps: A guide to corporate compliance

How can your business use third-party messaging apps while staying compliant? Dive into key usage considerations based on the DOJ’s 2023 guidance.

February 13, 2024

Technology Risk & Compliance

5 automation trends to modernize InfoSec compliance

Join our webinar for insights on transforming InfoSec program management. Navigate the complexities of modern security with a flexible, scalable, and cost-effective approach.

February 07, 2024

Third-Party Risk

4 top-of-mind challenges for CISOs

What key challenges do CISOs face going into the new year? Download this infographic to hear what experts from industries across the board have to say.

January 30, 2024

Technology Risk & Compliance

NIST CSF 2.0: Changes, impacts and opportunities for your Infosec program

Get your free guide to the NIST Cybersecurity Framework 2.0 and learn how its proposed changes will impact your InfoSec programs.

December 18, 2023

Technology Risk & Compliance

NIST CSF essentials: Empowering cybersecurity excellence

Download our NIST CSF Essentials resource kit and master cybersecurity compliance with expert insights, strategies, and real-world case studies.

December 15, 2023

Technology Risk & Compliance