SOC2 Controls

Apr 20, 2023by Maya G

Introduction

SOC2 controls are a set of standards and procedures designed to ensure the security, availability, processing integrity, confidentiality, and privacy of data for service organizations. These controls are based on the Trust Services Criteria (TSC) established by the American Institute of Certified Public Accountants (AICPA).

Types Of SOC 2 Controls

Importance of SOC2 Controls For Organizations

SOC2 (System and Organization Controls 2) is a rigorous framework designed to help organizations safeguard customer data and ensure their operational integrity. This set of standards is particularly crucial for service providers that store customer data in the cloud. By implementing SOC2 controls, organizations can demonstrate their commitment to maintaining stringent security measures, thereby enhancing customer trust. These controls encompass five key principles: security, availability, processing integrity, confidentiality, and privacy, which collectively form a robust foundation for managing sensitive information. Organizations that adhere to SOC2 can minimize risks related to data breaches and unauthorized access, aligning their practices with industry standards.

Achieving SOC2 compliance not only serves as a protective measure but also acts as a powerful marketing tool for organizations. Customers are increasingly prioritizing security when selecting service providers, and a SOC2 certification can significantly differentiate an organization from its competitors.

Types Of SOC2 Controls :

There are five types of SOC2 controls, as outlined below:

  • Security Controls: These controls ensure that data is protected from unauthorized access, disclosure, or destruction. They cover areas such as access controls, network security, data encryption, and physical security.
  • Availability Controls: These controls ensure that services and systems are available for use as agreed upon. They cover areas such as redundancy, disaster recovery, and incident response.
  • Processing Integrity Controls: These controls ensure that data is accurate, complete, and processed in a timely manner. They cover areas such as monitoring and analyzing system activity, validating inputs and outputs, and performing data backups.
  • Confidentiality Controls: These controls ensure that sensitive data is protected from unauthorized access or disclosure. They cover areas such as data classification, data access restrictions, and data retention policies.
  • Privacy Controls: These controls ensure that personal information is collected, used, disclosed, and disposed of appropriately. They cover areas such as data anonymization, consent management, and data retention policies.

 

SOC 2 Implementation Toolkit

 

    Examples Of Control Objectives For Each Type of Control 

    Here are some examples of control objectives for each type of SOC2 controls:

    Security Controls:

    • Limit physical access to systems and data to authorized personnel only.
    • Implement network security measures such as firewalls, intrusion detection and prevention systems.
    • Encrypt sensitive data at rest and in transit.
    • Implement multi-factor authentication to protect against unauthorized access.

    Availability Controls:

    • Ensure that systems and services are available 24/7 as agreed upon with customers.
    • Have a documented incident response plan in place to quickly address system failures or disruptions.
    • Regularly test and maintain disaster recovery systems to minimize downtime.

    Processing Integrity Controls:

    • Implement controls to ensure that data is accurately entered, processed, and stored.
    • Monitor system logs and activity to identify errors or suspicious activity.
    • Conduct regular data backups to ensure data can be restored in case of system failures or disasters.

    Confidentiality Controls:

    • Classify data based on its sensitivity level and ensure that access to sensitive data is restricted.
    • Implement policies and procedures to prevent unauthorized access, disclosure, or alteration of confidential information.
    • Regularly review and update access controls to ensure that only authorized personnel have access to sensitive data.

    Privacy Controls:

    • Implement policies and procedures to ensure that personal information is collected and processed in accordance with applicable laws and regulations.
    • Obtain appropriate consent from individuals before collecting and processing their personal information.
    • Implement appropriate safeguards to protect personal information from unauthorized access or disclosure.

    Reporting On SOC2 Controls 

    Reporting on SOC2 controls involves providing an independent assessment of an organization's controls to assure its customers and other stakeholders that it has implemented effective safeguards to protect their data. The SOC2 reporting process is typically conducted by an independent auditor who examines the controls and processes used by the organization to ensure that they meet the relevant Trust Services Criteria (TSC) established by the AICPA.

      Conclusion 

      In conclusion, SOC2 controls are a set of best practices for ensuring the security, availability, processing integrity, confidentiality, and privacy of customer data. By implementing effective controls and obtaining SOC2 reports, organizations can demonstrate their commitment to data security and privacy, build trust with their customers, and reduce the risk of data breaches and other security incidents.

       

      SOC 2 Implementation Toolkit