The Importance of Documentation in Compliance
Published: Apr 7, 2014
Last Updated: Jun 1, 2023
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 leading Schellman's AI and ISO practices as well as the development and oversight of Schellman's attestation services. Danny has been with Schellman for 10 years and has over 13 years of experience in providing data security audit and compliance services.