Finding SOC 2 controls difficult for you? These security policies perplex many companies. Specific activities or policies used by companies to satisfy Trust Services Criteria are SOC 2 controls.
This page will teach you how to apply SOC 2 controls and simplify their explanations. Get ready to strengthen security in your business!
Appreciating SOC 2 Controls
Maintaining the security of your business depends mostly on SOC 2 Controls. They establish client confidence and help safeguard private data.
Describes SOC 2® here.
Designed by the American Institute of Certified Public Accountants (AICPA), SOC 2® is an auditing criteria created in 2010. It assesses internal security measures for service companies, particularly those managing consumer data housed in cloud systems.
Five trust services criteria—security, availability, processing integrity, confidentiality, and privacy—form the center of the standard.
The gold standard for cloud-age data security and privacy is SOC 2.
Type I assessments of security process design at a given moment are provided by SOC 2; Type II studies the efficacy of these controls over an extended period.
For industries such as banking and healthcare, which provide expanded operational visibility, better security posture, and more consumer confidence, SOC 2 compliance is very vital.
The relevance of SOC 2
The protection of data and systems from illegal access and cyber threats depends critically on SOC 2 compliance. Organizations run increasing danger given a 128% rise in FBI reports of online crime complaints since 2018.
The SOC 2 framework was developed by the American Institute of CPAs (AICPA) to foster trust between service firms and their partners. Given that 40% of company executives see cyberattacks as a major threat, this trust is very vital.
Five main criteria guide SOC 2 audits of controls: security, availability, processing integrity, confidentiality, and privacy. These audits support businesses in resisting growing cybersecurity risks.
Implementing SOC 2 controls helps companies safeguard private information, maintain consumer confidence, and lower data breach risk. Frequent audits show a dedication to top standards in information security and guarantee continuous compliance.
Setting SOC 1, SOC 2, and SOC 3 apart
| SOC Type | Focus | Purpose |
| SOC 1 | Internal financial controls | Assesses controls relevant to financial reporting |
| SOC 2 | Operational and compliance-related controls | Evaluates controls related to security, availability, processing integrity, confidentiality, and privacy |
| SOC 3 | Summarized version of SOC 2 Type 2 reports | Provides a public-facing report on an organization’s security controls |
SOC 1 says its emphasis is on financial data. They assist companies in guaranteeing proper financial reporting. SOC 2 documents non-financial data processing. For organizations in the SaaS and cloud services sectors, they are very vital. SOC 3 reports provide a reduced form of SOC 2 Type 2 reports. Their intended public presentation is Many times, businesses seek SOC 2 compliance to satisfy customers about their security posture. This is particularly true in sectors handling private consumer information.
Trustworthiness Standards
SOC 2 audits are built on Trust Services Criteria. These guidelines define the benchmarks for assessing and documenting control systems at service companies.
- Security: For every SOC 2 report, this is the only needed criteria. It addresses defense against data leaks, illegal access, and system destruction. Important components are:
- Systems of access control
- Firewalls and network protection
- Protocols for incident reaction
- Evaluations of vulnerabilities
- Performance monitoring of networks
- Plans for disaster rehabilitation
- Plans for system upkeep
- Backup protocols
3. Processing integrity is centered on full, valid, accurate, and timely system processing. It spans:
- Controllues of data input and output
- Mechanisms for error management
- System accuracy monitoring
- Methods of quality assurance
4. Protection of private information from illegal publication is provided by this criteria. It contains:
- Methods of Data Classification
- Approaches of encryption
- Non-disclosure treaties
- Methodologies of safe data disposal
- Privacy tackles the gathering, use, storage, and disposal of personal data. It features:
- Notes and privacy rules
- Mechanisms for consent
- Strategies for data reduction
- Personal liberties to access and rectify information
Standard Conditions
Turning now from Trust Services Criteria, we now concentrate on Common Criteria. The foundations of SOC 2 controls include Common Criteria and a consistent structure for security policies.
- Common Criteria include systems, rules, and procedures used to prevent and identify security flaws. From risk analysis to change management, it addresses a broad spectrum of control issues.
- Common Criteria implementation is grounded on risk assessment, organizational development, and customer needs based on a risk-based approach. This method guarantees that controls are fit for the particular requirements of every company.
- Common Criteria spans all five Trust Services Criteria (TSC). It offers a whole suite of controls including security, availability, processing integrity, confidentiality, and privacy.
- Common Criteria calls for control environment, communication and information, risk assessment, activity monitoring, and control actions. These parts cooperate to build a powerful security system.
- Organizational adaptability allows one to choose and apply Common Criteria controls depending on their risk profile and corporate goals. This flexibility lets one create tailored security plans.
- Common Criteria supports constant assessment and improvement of security policies. Frequent risk analyses and internal audits assist in preserving control’s efficacy.
- SOC 2 audits depend on correct documentation of the Common Criteria application. Policies, practices, and proof of control actions all fit here.
- Many Common Criteria controls may be automated using security software and cloud-based solutions. This kind of integration lowers human mistakes and increases efficiency.
- Using Common Criteria effectively calls for staff knowledge and involvement. Frequent training courses support organizational compliance in general.
- Vendor Management: Common Criteria covers outside partnerships. Companies have to evaluate and track the security policies of their suppliers of cloud services.
Control Framework
An efficient SOC 2 compliance program relies on the control environment. It defines the attitude of the company toward its dedication to moral principles, honesty, and control of governance.
Important components include a defined organizational framework and robust responsibility systems. Five vital components—control environment, risk assessment, control activities, information and communication, and monitoring activities—are described in the COSO 2013 Internal Control-Integrated Framework.
Companies have to set and explain to every staff member the exact norms of behavior. This includes instruction to uphold responsibility and frequent performance reviews. Management of governance depends much on independent board members.
Strong password management, multi-factor authentication, and access control technologies also abound in effective control settings. These steps guarantee SOC 2 compliance and assist in guarding private information.
Activities in Monitoring and Control
Compliance with SOC 2 depends critically on monitoring and control operations. These exercises include ongoing assessments meant to identify control flaws and document results. Systems performance, user activity, and security incidents have to be tracked by companies via procedures.
This continuous observation enables fast identification of any hazards or areas of noncompliance.
These efforts depend much on regular audits and reviews. Many times, businesses gather and examine data from many sources using automated systems. These instruments might point out odd trends or actions suggesting a security vulnerability.
Moreover supporting efficient monitoring and control is staff training on security awareness and event reporting.
Physical and logical access controls
Building based on monitoring and control activities, logical and physical access restrictions provide a critical layer of security for private information. Focusing on these controls, SOC 2 CC6 orders companies to apply strong policies protecting data assets.
This covers user authentication, identification, and supervision of those accessing private information.
Equally important is physical security. CC6.4 calls on companies to restrict facility access to just authorized staff members. Frequent access credential evaluations guarantee they stay current and acceptable.
CC6.8 asks systems to prevent, find, and react to harmful software to strengthen cybersecurity. These steps cooperate to provide thorough protection against physical and digital hazards to the private data of a company.
Control of Operations and Systems
System and Operations Control is mostly concerned with spotting and tracking changes that can create weaknesses. This key component of SOC 2 compliance is organizing processes to identify possible hazards.
Businesses have to set strong monitoring systems to follow system operations and spot odd trends.
In this field, effective controls consist of incident response strategies, network monitoring, and frequent security scans. Clear procedures for managing security occurrences and system anomalies are something organizations have to create.
They may so promptly solve problems and preserve the integrity of their systems. Using this proactive strategy, companies protect their data and remain ahead of any security hazards.
Change Management Systems
For companies aiming at SOC 2 compliance, change management controls are essential. These controls manage how companies approve and apply modifications to their infrastructure, data, and systems of operations.
Policies and practices for authorizing and controlling changes are part of a strong change management system. Businesses have to record their policies of behavior and keep control using independent board members.
Frequent access credential evaluations guarantee their remaining current and suitability. This system integrity maintenance technique helps stop illegal alterations. Good change management controls assist in attempts at general SOC 2 compliance.
System and Operations Control will be thoroughly discussed in the future part.
Controls for Reducing Risk
SOC 2 models depend much on risk-mitigating strategies. They increase data security and handle any hazards. Important instances include of security awareness training, business continuity planning, and catastrophe recovery plans.
These steps enable companies to be ready for and able to handle different hazards.
Depending on particular requirements and audit scope, companies may customize their SOC 2 controls. This method lets one manage risks specifically. The process includes choosing, organizing, and creating actions to counteract anticipated corporate interruptions’ hazards.
Good risk management enhances an organization’s security posture and helps general compliance initiatives. Let us then investigate SOC 2 control implementation.
Using SOC 2 Control Systems
Using SOC 2 controls calls for a well-thought-out strategy. Key components in this procedure are a well-defined project strategy and audit preparation.
developing a SOC 2 project proposal
For companies trying to show adherence to security and data protection guidelines, developing a SOC 2 project plan is very vital. A well-organized strategy leads the implementation process and helps to spot weaknesses in compliance controls.
- Specify the particular Trust Services Criteria to be addressed along with the systems concerned.
- Put together a cross-functional team of management, security, and IT staff.
- Review present controls against SOC 2 criteria to find areas for development.
- Plan realistically for applying controls and being ready for the audit.
- Sort resources according to project budget and staffing requirements.
- Choose a qualified public accounting firm with SOC 2 audit expertise.
- Put procedures in place to fill in the analysis’s gaps, with an eye on risk reduction and access control issues.
- Create or review policies and processes to match SOC 2 criteria.
- Teach staff members new rules and their part in preserving compliance.
- Perform an internal audit to guarantee every control is operational and in place.
- Get material and proof of controls for the external audit.
- Plan the formal SOC 2 audit dates in line with the selected auditor.
The next vital step towards compliance is applying SOC 2 controls.
Ready for an audit?
Getting ready for a SOC 2 audit calls on careful organization and preparation. Companies have to compile required records and make sure their security systems satisfy AICPA Trust Services Criteria.
Finish a security questionnaire about the security policies and procedures of your company.
Review and change administrative policies to fit best practices and current security criteria.
Install and set technological controls including access management systems and two-factor authentication.
Review your security posture internally to identify and fix any weaknesses.
Teach staff members SOC 2 criteria and their part in preserving compliance.
Choose an auditor from a respectable auditing company with SOC 2 accreditation.
Prepare paperwork so that, during the audit, all pertinent policies, processes, and evidence may be accessed quickly.
Plan the audit by working with your selected auditor to create an evaluation process timetable.
Review all systems and procedures one last time to guarantee they are audit-ready.
Automating compliance procedures helps to simplify continuing maintenance and audit preparation.
Simulating conformity
Many times, businesses resort to automation to simplify SOC 2 compliance after audit preparation. Automation technologies streamline the process and reduce preparation time—less than thirty days. These systems risk evaluations, interact with current tech stacks, and provide ongoing monitoring.
They also save over three hundred hours of valuable key person time by cutting physical labor.
SOC 2 automation programs manage evidence collecting, control mapping, and continuous monitoring. It reduces conventional compliance expenses between $7,000 and $50,000. Tools available on platforms like Sprinto help to detect areas of spot compliance and enhance vendor risk management.
For companies of all kinds, this tech-driven method speeds, cheapens, and makes SOC 2 audits more efficient.
Training and compliance notes
Implementation of SOC 2 depends much on compliance documents and training materials. These components guarantee that every team member follows the required security procedures and understands them.
Write thorough policy documents:
- Simplified security protocols
- Detail access control techniques
- List data handling policies.
- Incorporate incident reaction strategies.
- Share SOC 2 concepts.
- Clearly assign specific tasks.
- Offer detailed instructions for often occurring chores.
Create frequent training courses:
- Orient new hires on SOC 2 compliance
- oProvide continuing refresher training.
- Engage better by using interactive modules.
Create a documentation system:
- Organize all compliance-related records.
- To provide simple access for authorized staff members
- Use version control for updates.
Perform regular evaluations.
- Check staff understanding of SOC 2 controls
- Point up places requiring extra instruction.
- Change training and documentation as necessary.
Reserve audit records:
- Document every training course.
- Edit log policies and changes
- Track staff completion of mandated training
Use technology to effectively teach:
- Use learning management tools
- Use video guides on difficult subjects.
- Create tests to confirm knowledge.
Create a compliant culture by:
- Promote candid conversations about security issues.
- Identify staff members who follow excellent security protocols.
- Include compliance in performance reviews.
Customize instruction for certain positions:
- Establish role-based training courses.
- Attend to particular security obligations for every department.
- Provide security and IT teams with improved training.
Prepare for audits:
- Sort records for simple review
- Teach employees audit techniques.
- Simulate audits to find weaknesses.
- Conserving SOC 2 Compliance
Maintaining SOC 2 compliance is an ongoing effort. To stay up with shifting security concerns and rules, one must be always alert and routinely update.
All year-long compliance
Compliance with SOC 2 is not a one-time occurrence. Year-round maintenance of organizations is necessary to provide constant security and confidence. Regular internal audits, policy updates, and new threat adaptation are part of this ongoing process.
Compliance automation tools are used by companies to simplify these chores quite a bit. Such instruments may greatly lower the expenses and complexity related to upholding SOC 2 criteria.
Good year-round compliance calls for the initiative. Companies should routinely check and update their risk-reducing plans, control environment, and activity monitoring system.
Their employees also have to be current in security techniques. Particularly for SaaS firms handling sensitive client data, cloud-hosted solutions may assist in controlling this continuous process.
Tools and references for SOC 2 compliance
Compliance with SOC 2 requires both meticulous preparation and execution. Many tools and resources may let companies simplify their compliance initiatives.
- Solutions like Thoropass and CrossComply provide automated solutions to oversee SOC 2 procedures. These systems track compliance efforts, compile data, and help users through important chores.
- Dash Complyops provides tools for developing and supervising policies vital for SOC 2 compliance. These technologies let companies create and preserve required documents.
- Many systems have tools to compile and arrange data needed for SOC 2 audits. This streamlines the procedure of proving auditor compliance.
- Tools for cooperation between internal employees and outside auditors will help to accelerate the compliance process. Usually, these technologies include communication tools and shared workpaces.
- Many companies give training tools to enable employees to grasp SOC 2 criteria and their responsibilities in preserving compliance.
- Crucially in SOC 2 compliance, risk assessment tools enable companies to spot and analyze any hazards to their systems and data.
- Services related to penetration testing: SOC 2 compliance usually requires regular security testing. Several companies provide these tools to find system weaknesses.
- Backup and recovery solutions: SOC 2 calls for strong data security policies. Compliance depends on tools for building and managing backups.
- A key component of SOC 2, identity and access management technologies provide companies control over who can access sensitive data and systems.
Common Questions
Many times, SOC 2 compliance begs issues for companies pursuing certification. These are some often-asked questions that assist in defining the procedures and criteria:
Compliance is what?
Based on five trust concepts—security, availability, processing integrity, confidentiality, and privacy— SOC 2 is a paradigm for managing data security. It’s meant for service companies handling consumer data.
Certifying takes how long?
Depending on an organization’s preparedness and current regulations, the timescale spans several weeks to eighteen months. Bigger businesses or those beginning from nothing might need a longer time to carry out required improvements.
How differ SOC 1 and SOC 2?
SOC 1 emphasizes financial reporting controls; SOC 2 addresses data security and privacy. These are separate frameworks, not updates of one another.
Do SOC 2 and ISO 27001 both apply to me?
Although both criteria deal with information security, their uses vary. While SOC 2 is somewhat popular in North America, ISO 27001 is a worldwide standard. A few companies have decided to get both certificates.
I have to renew SOC 2 compliance how often?
Maintaining compliance with SOC 2 calls for yearly audits. This guarantees your company keeps current with changing security risks and best practices.
Which main criteria define SOC 2 certification?
Among the basic needs are system monitoring, data breach warnings, and thorough audit processes. Organizations also have to apply controls in several spheres, including risk reduction and access control.
Is required SOC 2 compliance?
Although not legally mandated, many customers and partners insist on SOC 2 compliance as part of their due diligence process; so, it is crucial for the development of the company and confidence.
Could I program SOC 2 compliance?
Indeed, some technologies and systems may assist in monitoring controls constantly, automating paperwork, and simplifying compliance chores. This will help to greatly cut the time and work needed for certification.
In what ways may SOC 2 interact with other rules such as HIPAA or GDPR?
SOC 2 enhances other rules but does not take place in replacement. To fully safeguard patient data, for instance, healthcare companies may require SOC 2 and HIPAA compliance.
How does a CISO fit into SOC 2 compliance?
By supervising the application of controls, controlling risk, and guaranteeing continuous adherence to the framework, a Chief Information Security Officer (CISO) is crucial in SOC 2 compliance.
Ranking among the top 1% of CISOs
Top-notch CISEs shine in many facets of cybersecurity. They have a lot of experience and have esteemed certifications like CISM and CISSP. Quickly earning SOC 1 and SOC 2 certifications, these leaders prove their knowledge.
Drawing on industry standards such as CIS Benchmarks and CIS Controls, they create strong security policies. This strategy improves the general state of cybersecurity of a company.
Outstanding CISOs encourage cooperation among IT and security experts. They use CIS Benchmarks to improve security standards generally. These executives complete extensive SOC 2-oriented Gap Assessments encompassing important controls like change management.
Their unique set of skills in internal controls, audit reports, system and organization controls distinguishes them. Top CISOs keep current with changing risks and use successful policies to preserve personally identifiable data and uphold data privacy.
Lastly
The protection of private information and the development of trust depends on SOC 2 rules. They demonstrate their dedication to protecting data and enable companies to satisfy high-security criteria.
These controls help businesses to lower risks and enhance their procedures. Automated technologies help to keep compliance current and ahead of dangers easily. With the correct strategy, SOC 2 controls become a great advantage for any company managing client data.