Auditor perspectives, evidence packs, checklists, audit day preparation guides
Purpose of This Readiness Assessment This self-assessment checklist is designed for organizations preparing for a SOC 2 Type II examination that includes CI/CD pipelines within the audit scope. Use it to identify control gaps, prioritize remediation efforts, and build confidence that your pipeline environment will withstand auditor scrutiny. For each checklist item, assess your current … Read more
Understanding Type I vs. Type II: Why the Distinction Matters SOC 2 reports come in two forms, and the distinction is critical for organizations relying on CI/CD pipelines for software delivery. Type I (Point-in-Time): Evaluates whether controls are suitably designed and implemented as of a specific date. A Type I report is essentially a snapshot … Read more
Introduction: Why A.14 Is the Cornerstone Control for CI/CD Annex A.14 — System Acquisition, Development and Maintenance — is the single most relevant control domain for organisations operating CI/CD pipelines. It directly governs how systems are developed, changed, tested, and accepted into production. For auditors and compliance officers, A.14 is where you will find the … Read more
NIS2 Article 21(2)(d): Supply Chain Security Requirements NIS2 Article 21(2)(d) requires essential and important entities to address supply chain security, including security-related aspects concerning the relationships between each entity and its direct suppliers or service providers. For organisations that build and deploy software through CI/CD pipelines, this requirement has far-reaching implications. The modern CI/CD pipeline … Read more
NIS2 Article 23: Incident Reporting Requirements Overview NIS2 Article 23 imposes strict incident notification obligations on essential and important entities. Organisations must report significant incidents to their national CSIRT or competent authority within tight timeframes: Early warning: Within 24 hours of becoming aware of a significant incident Incident notification: Within 72 hours, providing an initial … Read more
Introduction This checklist is designed for formal audit reviews of ICT third-party risk management under DORA Article 28. It serves two audiences simultaneously: Each section covers a specific Article 28 domain with: the formal audit checklist (Yes / No / Evidence), the corresponding engineer implementation expectations, and the common gaps that typically surface during audits. … Read more
Section A — Governance & Inventory Control Yes No Evidence Reference Complete inventory of CI/CD-related suppliers exists ☐ ☐ Supplier criticality classification defined ☐ ☐ Business owner formally assigned ☐ ☐ Technical owner formally assigned ☐ ☐ Annual risk assessment performed ☐ ☐ Sub-processor list documented ☐ ☐ Section B — Contractual & Regulatory Controls … Read more
This checklist highlights common CI/CD-related red flags under DORA Article 28. Each item represents a situation frequently identified during audits as a third-party ICT risk failure. If one or more items apply, auditors may classify the CI/CD platform or supplier as high-risk or non-compliant. CI/CD Red Flags — DORA Article 28 (Third-Party Risk) Enterprise CI/CD … Read more
Introduction DORA Article 28 requires regulated financial entities to demonstrate effective control over ICT third-party risks. This obligation goes far beyond vendor questionnaires or contractual statements. Auditors do not assess intent — they assess evidence. This article provides a practical evidence pack for DORA Article 28, focusing on what auditors typically ask for, where evidence … Read more
Purpose of This Briefing This briefing provides a concise executive overview of how CI/CD pipelines are governed, secured, and audited within the organization. It is intended to support regulatory and assurance activities by clearly positioning CI/CD pipelines as regulated ICT systems under applicable frameworks such as DORA, ISO 27001, SOC 2, NIS2, and PCI DSS. … Read more
