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Security Auditing and Compliance Frameworks

Security Auditing and Compliance Frameworks

Security Auditing and Compliance Frameworks

Security Auditing and Compliance Frameworks

Security Auditing and Compliance Frameworks

Security Auditing and Compliance Frameworks

Security Auditing and Compliance Frameworks

Security Auditing and Compliance Frameworks

Security Auditing and Compliance Frameworks

Security auditing is the systematic evaluation of an organization's security controls against established standards. Compliance with frameworks like SOC 2, ISO 27001, PCI DSS, and HIPAA demonstrates to customers and regulators that security is taken seriously. This article covers the major frameworks, audit evidence collection, and continuous compliance strategies.

Major Compliance Frameworks

SOC 2 (Service Organization Control 2)

SOC 2 is designed for service organizations that store customer data. It is based on five Trust Service Criteria:

• Security: The system is protected against unauthorized access. This is the only mandatory criterion.

2\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\. Availability: The system is available for operation and use as committed.

3\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\. Processing Integrity: System processing is complete, valid, accurate, and authorized.

4\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\. Confidentiality: Confidential information is protected.

5\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\\. Privacy: Personal information is collected, used, retained, and disclosed in accordance with commitments.

SOC 2 has two report types:

• Type I: Reports on the design of controls at a specific point in time.

• Type II: Reports on the operating effectiveness of controls over a period (typically 6-12 months).

SOC 2 is common among SaaS companies, cloud service providers, and data processors.

ISO 27001

ISO 27001 is an international standard for information security management systems (ISMS). It specifies requirements for establishing, implementing, maintaining, and continually improving an ISMS.

Key requirements:

• Clause 4: Context of the organization

• Clause 5: Leadership and commitment

• Clause 6: Planning (risk assessment and treatment)

• Clause 7: Support (resources, competence, awareness, communication)

• Clause 8: Operation (risk treatment plan, controls)

• Clause 9: Performance evaluation (monitoring, measurement, internal

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