The Importance of Documentation in Compliance
When auditors begin to test procedures for compliance examinations (i.e., SOC 1, SOC 2), there are cases where the clients are performing certain tasks; however, they are not documented, which puts the auditors in a precarious position.
Auditors cannot simply take the clients “word for it”. Documentation of tasks, whether it be via e-mail, sign-offs, spreadsheets or checklists, needs to be in place for auditors to independently verify “XYZ” event did indeed occur and is operating effectively over a period of time.
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About DANNY MANIMBO
Danny Manimbo is a Principal with Schellman based in Denver, Colorado. As a member of Schellman’s West Coast / Mountain region management team, Danny is primarily responsible for co-leading Schellman's ISO practice as well as the development and oversight of Schellman's SOC practice line as well as specialty practices such as HIPAA. Danny has been with Schellman for eight years and has over 11 years of experience in providing data security audit and compliance services.