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SOC 247
ITSP.10.17198
ISO 42001soon
ISO 27001soon
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33 controls
CC1.1
Commitment to integrity and ethical values
Control Environment
6 evidence2 controls
CC1.2
Board independence and oversight of internal control
Control Environment
3 evidence1 control
CC1.3
Organizational structure, reporting lines, and authority
Control Environment
3 evidence1 control
CC1.4
Commitment to attract, develop, and retain competent individuals
Control Environment
6 evidence2 controls
CC1.5
Accountability for internal control responsibilities
Control Environment
3 evidence1 control
CC2.1
Obtains or generates and uses relevant quality information
Communication and Information
3 evidence1 control
CC2.2
Internal communication of information to support internal control
Communication and Information
6 evidence2 controls
CC2.3
External communication regarding matters affecting internal control
Communication and Information
4 evidence1 control
CC3.1
Specifies objectives with sufficient clarity
Risk Assessment
3 evidence1 control
CC3.2Identifies and analyzes risks to achievement of objectivesSOC 2Risk Assessment
Official Requirement
COSO Principle 7: The entity identifies risks to the achievement of its objectives across the entity and analyzes risks as a basis for determining how the risks should be managed.
You maintain a live risk register that identifies threats, estimates their likelihood and impact, and documents how each risk is being treated. This is not a one-time exercise done before a Type I audit. The register is updated when new threats emerge, when significant changes happen to the environment, and after security incidents. Auditors will look at both the register and whether it was acted upon.
These are typical controls and implementation steps. Your systems and environment may differ.
Typical Control Annual risk assessment with maintained risk register
Implementation Steps
Conduct a formal risk assessment at least annually: identify threats (technical, operational, third-party, regulatory), assess likelihood and impact for each, and assign a risk rating
Maintain a risk register in your GRC platform (your GRC platform, Drata, or Vanta) that tracks each identified risk, its rating, the treatment decision (accept, mitigate, transfer, avoid), and the control owner
After every significant security incident or material change to the environment, trigger an unscheduled risk assessment update for the affected area
Risk acceptance decisions must be signed by management, informal risk acceptance without documentation is a common audit finding
When we add ISO 42001 and ISO 27001, you'll see which controls map to this criterion.
ISO
ISO 42001
AI Management Systems
ISO
ISO 27001
Information Security
Mapping data will appear here automatically when the frameworks are published.
CC3.3
Considers potential for fraud in assessing risks
Risk Assessment
3 evidence1 control
CC3.4
Identifies and assesses significant changes
Risk Assessment
3 evidence1 control
CC4.1
Selects, develops, and performs ongoing and separate evaluations
Monitoring Activities
6 evidence2 controls
CC4.2
Evaluates and communicates internal control deficiencies
Monitoring Activities
3 evidence1 control
CC5.1
Selects and develops control activities that mitigate risks
Control Activities
3 evidence1 control
CC5.2
Selects and develops general controls over technology
Control Activities
6 evidence2 controls
CC5.3
Deploys control activities through policies and procedures
Control Activities
3 evidence1 control
CC6.1
Logical access security infrastructure
Logical and Physical Access Controls
11 evidence3 controls
CC6.2
Registration and authorization prior to issuing credentials
Logical and Physical Access Controls
6 evidence2 controls
CC6.3
Role-based access management
Logical and Physical Access Controls
6 evidence2 controls
CC6.4
Physical access restrictions
Logical and Physical Access Controls
3 evidence1 control
CC6.5
Disposal and destruction of information assets
Logical and Physical Access Controls
3 evidence1 control
CC6.6
Controls against threats from outside system boundaries
Logical and Physical Access Controls
8 evidence2 controls
CC6.7
Restricts transmission and movement of information
Logical and Physical Access Controls
7 evidence2 controls
CC6.8
Controls to prevent or detect unauthorized software
Logical and Physical Access Controls
6 evidence2 controls
CC7.1
Detection and monitoring for vulnerabilities
System Operations
8 evidence2 controls
CC7.2
Monitoring for anomalies and security events
System Operations
4 evidence1 control
CC7.3
Evaluation of security events as security incidents
System Operations
4 evidence1 control
CC7.4
Incident response program
System Operations
4 evidence1 control
CC7.5
Recovery from security incidents
System Operations
4 evidence1 control
CC8.1
Authorized change management process
Change Management
8 evidence2 controls
CC9.1
Risk mitigation for business disruptions
Risk Mitigation
4 evidence1 control
CC9.2
Vendor and business partner risk management
Risk Mitigation
4 evidence1 control
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On-premises implementation and evidence
Annual risk assessment with maintained risk register
Implementation steps
Run an annual risk assessment using a structured methodology: identify assets, identify threats per asset, rate likelihood and impact, calculate inherent risk, apply existing controls, calculate residual risk
Maintain the risk register in your GRC platform or a version-controlled spreadsheet, update it whenever the environment materially changes (new production system, new vendor with data access, significant infrastructure change)
For each high and critical risk, create a remediation task in your ticketing system with an owner and target date
Present the risk register to management or the board at least annually for review and sign-off
Tools / systems
Risk Assessment Policy
Spreadsheet (risk register template)
Tenable (vulnerability management)
ConnectSecure (vulnerability and configuration management)
OpenSCAP (security configuration management)
Nmap with Vulners script (network vulnerability scanning)
GRC platform (e.g., Vanta, Drata, your GRC platform, Scrut)
Evidence artifacts
Risk register (spreadsheet or your GRC platform export) with risk name, likelihood, impact, rating, treatment, owner, and target date
