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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
CC3.2
Identifies and analyzes risks to achievement of objectives
Risk Assessment
3 evidence1 control
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
CC4.2Evaluates and communicates internal control deficienciesSOC 2Monitoring Activities
Official Requirement
COSO Principle 17: The entity evaluates and communicates internal control deficiencies in a timely manner to those parties responsible for taking corrective action, including senior management and the board of directors, as appropriate.
When a control fails, someone finds out promptly and has the authority and the task to fix it. Deficiencies are not just logged, they are communicated to the right person, tracked to resolution, and reported to senior management if material. The evidence for this criterion is the gap between discovering a deficiency and closing it, and how that process was documented.
These are typical controls and implementation steps. Your systems and environment may differ.
Typical Control Deficiency tracking and escalation process
Implementation Steps
When your GRC platform or monitoring tools flag a control failure, create a remediation ticket within 24 hours and assign it to the control owner
Define deficiency severity tiers in your Internal Control Policy: critical (affects key controls protecting customer data, must be remediated within 30 days), high (must be remediated within 90 days), medium/low (address within 180 days)
Escalate material deficiencies (critical severity or deficiencies that have been open past their SLA) to senior management in the quarterly security review meeting
Document the deficiency lifecycle: when detected, who was notified, remediation plan, target date, closure confirmation, this is the evidence auditors request
Typical Control Deficiency tracking and escalation process
Evidence Artifacts
Deficiency log or GRC platform export showing all control deficiencies detected, their severity, owner, and current status
Remediation tickets with detection date, assignment date, and closure date for deficiencies resolved during the audit period
Quarterly security review meeting minutes showing material deficiencies were communicated to senior management
📅Continuous deficiency tracking; quarterly escalation report to management
Cross-framework mappings coming in v1.1
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.
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
Deficiency tracking and escalation process
Implementation steps
Use the work order system to log every identified control deficiency with: detection date, source (audit, pen test, monitoring), description, owner, target remediation date
Review open deficiencies at the monthly security meeting; escalate to management any that are past their SLA or are of high severity
Confirm closure with documented verification, a deficiency is not closed until the fix is confirmed to be working, not just when the remediation task is completed
