Your comprehensive reference guide to all SOC 2 controls across the five Trust Service Criteria, with detailed descriptions, implementation guidance, and practical examples.
Overview
SOC 2 controls are organized around five Trust Service Criteria, with over 99 individual controls covering various aspects of security, availability, processing integrity, confidentiality, and privacy.
Security Controls (CC) - 58 Controls
Control Environment (CC1)
CC1.1 - Code of Conduct and Ethics
- Type: Preventive
- Complexity: Medium
- Description: The entity demonstrates a commitment to integrity and ethical values through the establishment and enforcement of a code of conduct.
Implementation Examples:
- Written code of conduct addressing conflicts of interest, ethical behavior, and compliance
- Annual code of conduct acknowledgment and training for all employees
- Disciplinary procedures for code violations
- Anonymous reporting mechanisms for ethical concerns
Related Controls: CC1.2, CC1.3, CC2.1
CC1.2 - Board Independence and Oversight
- Type: Preventive
- Complexity: Low
- Description: The board of directors or equivalent governing body demonstrates independence and exercises oversight of system design and operation.
Implementation Examples:
- Independent board members or audit committee oversight
- Regular board meetings addressing security and risk topics
- Board charter defining security oversight responsibilities
- Executive reporting on security matters to the board
CC1.3 - Organizational Structure and Authority
- Type: Preventive
- Complexity: Medium
- Description: Management establishes structures, reporting lines, and appropriate authorities to achieve the entity's objectives.
Implementation Examples:
- Organizational charts with clear reporting relationships
- Job descriptions defining roles and responsibilities
- Delegation of authority policies and procedures
- Regular review and update of organizational structure
CC1.4 - Commitment to Competence
- Type: Preventive
- Complexity: Medium
- Description: The entity demonstrates a commitment to attract, develop, and retain competent individuals in alignment with objectives.
Implementation Examples:
- Competency requirements in job descriptions
- Skills assessment and training programs
- Performance evaluation and development planning
- Succession planning for key positions
CC1.5 - Accountability and Enforcement
- Type: Preventive
- Complexity: Low
- Description: The entity holds individuals accountable for their responsibilities in the context of the entity's objectives.
Implementation Examples:
- Performance metrics tied to security objectives
- Regular performance reviews and feedback
- Recognition and incentive programs
- Disciplinary procedures for non-compliance
Logical and Physical Access Controls (CC6)
CC6.1 - Logical Access - User Identification and Authentication
- Type: Preventive
- Complexity: High
- Description: The entity implements logical access controls to restrict access to systems, applications, and data to authorized users.
Implementation Examples:
- Multi-factor authentication for all system access
- Strong password policies and enforcement
- Single sign-on (SSO) implementation
- Account lockout after failed login attempts
- Regular password rotation requirements
Related Controls: CC6.2, CC6.3, CC6.7
CC6.2 - Logical Access - New User Setup
- Type: Preventive
- Complexity: High
- Description: Prior to issuing system credentials and granting system access, the entity establishes that the user is authorized.
Implementation Examples:
- Formal access request and approval process
- Manager authorization for system access
- Role-based access control (RBAC) implementation
- Documented access provisioning procedures
- Verification of employment status before access
CC6.3 - Logical Access - Modification and Removal
- Type: Detective
- Complexity: Medium
- Description: The entity modifies or removes access in a timely manner for users whose system access is no longer authorized.
Implementation Examples:
- Automated deprovisioning upon termination
- Regular access reviews and certifications
- Timely access modification for role changes
- Monitoring of inactive user accounts
- HR integration for status changes
CC6.7 - Transmission of Data and Credentials
- Type: Preventive
- Complexity: High
- Description: The entity restricts the transmission of data and credentials to authorized users and systems.
Implementation Examples:
- Encryption of data in transit (TLS/SSL)
- Secure file transfer protocols (SFTP, HTTPS)
- VPN for remote access
- Certificate management and validation
- Network segmentation and firewalls
CC6.8 - Physical Access Controls
- Type: Preventive
- Complexity: Medium
- Description: The entity restricts physical access to facilities and protected information assets to authorized personnel.
Implementation Examples:
- Badge access control systems
- Visitor management and escort procedures
- Security cameras and monitoring
- Secure disposal of confidential information
- Environmental protection (fire, flood, climate)
System Operations (CC7)
CC7.1 - System Operations - System Quality
- Type: Detective
- Complexity: High
- Description: The entity manages systems to meet operational requirements through system quality processes.
Implementation Examples:
- System performance monitoring and alerting
- Capacity planning and management
- Service level agreement monitoring
- System availability tracking and reporting
- Problem management and resolution procedures
CC7.2 - System Monitoring - Detection of Incidents
- Type: Detective
- Complexity: High
- Description: The entity uses detection tools and configuration management to prevent, detect, and correct processing deviations.
Implementation Examples:
- Security Information and Event Management (SIEM)
- Intrusion detection and prevention systems
- Log monitoring and analysis
- Vulnerability scanning and assessment
- Configuration management and drift detection
CC7.3 - System Operations - Response to Incidents
- Type: Corrective
- Complexity: Medium
- Description: The entity evaluates security events to determine whether they could impact system security and responds appropriately.
Implementation Examples:
- Incident response plan and procedures
- Security incident escalation process
- Incident classification and prioritization
- Post-incident review and lessons learned
- Communication procedures for incidents
CC7.4 - System Operations - Recovery and Continuity
- Type: Corrective
- Complexity: Medium
- Description: The entity implements recovery procedures for recovery from system failures to meet system availability objectives.
Implementation Examples:
- Data backup and recovery procedures
- Business continuity and disaster recovery plans
- Recovery time and point objectives (RTO/RPO)
- Regular backup testing and validation
- Alternative processing site arrangements
Availability Controls (A) - 12 Controls
System Availability
A1.1 - Availability - Performance and Capacity Monitoring
- Type: Detective
- Complexity: Medium
- Description: The entity monitors system performance and evaluates whether system capacity is adequate to meet operating requirements.
Implementation Examples:
- Real-time system performance dashboards
- Capacity utilization monitoring and trending
- Performance threshold alerting
- Regular capacity planning assessments
- Service level agreement (SLA) monitoring
A1.2 - Availability - Environmental Protections
- Type: Preventive
- Complexity: High
- Description: The entity implements environmental protection controls to reduce the risk of environmental factors impacting system availability.
Implementation Examples:
- Uninterruptible power supply (UPS) systems
- Climate control and monitoring systems
- Fire detection and suppression systems
- Flood detection and mitigation measures
- Redundant infrastructure components
A1.3 - Availability - Recovery Procedures
- Type: Corrective
- Complexity: High
- Description: The entity implements procedures to restore availability to meet system availability objectives when availability is compromised.
Implementation Examples:
- Documented disaster recovery procedures
- Regular disaster recovery testing
- Alternative processing site arrangements
- Automated failover mechanisms
- Recovery time objective (RTO) definitions
Processing Integrity Controls (PI) - 8 Controls
Data Processing
PI1.1 - Processing Integrity - Input Completeness
- Type: Preventive
- Complexity: Medium
- Description: The entity implements controls to ensure input data is complete and accurate for processing.
Implementation Examples:
- Input validation rules and checks
- Data format and range validation
- Mandatory field enforcement
- Duplicate record detection
- Data completeness verification procedures
PI1.2 - Processing Integrity - Processing Completeness
- Type: Detective
- Complexity: Medium
- Description: The entity implements controls to ensure processing is complete and accurate.
Implementation Examples:
- Batch processing controls and reconciliation
- Transaction logging and audit trails
- Processing error detection and handling
- Data quality monitoring and reporting
- Automated processing validation checks
PI1.3 - Processing Integrity - Output Accuracy
- Type: Detective
- Complexity: Low
- Description: The entity implements controls to ensure output data is accurate and complete.
Implementation Examples:
- Output validation and verification procedures
- Report reconciliation and balancing
- Output formatting and presentation controls
- Data distribution and access controls
- Output retention and archival procedures
Confidentiality Controls (C) - 6 Controls
Information Protection
C1.1 - Confidentiality - Information Classification
- Type: Preventive
- Complexity: Medium
- Description: The entity identifies and classifies confidential information to meet the entity's objectives related to confidentiality.
Implementation Examples:
- Data classification policies and procedures
- Information labeling and handling requirements
- Data discovery and classification tools
- Employee training on data classification
- Regular review and update of classifications
C1.2 - Confidentiality - Disposal of Confidential Information
- Type: Preventive
- Complexity: High
- Description: The entity disposes of confidential information to meet the entity's objectives related to confidentiality.
Implementation Examples:
- Secure data destruction procedures and policies
- Certified disposal services for physical media
- Data wiping standards for electronic media
- Documentation of disposal activities
- Regular disposal of outdated confidential information
Privacy Controls (P) - 15 Controls
Privacy Management
P1.1 - Privacy - Privacy Notice
- Type: Preventive
- Complexity: Low
- Description: The entity provides notice to data subjects about privacy practices and provides choices about the use of personal information.
Implementation Examples:
- Clear and comprehensive privacy notices
- Opt-in and opt-out mechanisms for data processing
- Cookie consent and preference management
- Notice updates and user notification procedures
- Multi-language privacy notice availability
P2.1 - Privacy - Collection and Processing
- Type: Preventive
- Complexity: Medium
- Description: The entity collects and processes personal information only for the purposes identified in the privacy notices.
Implementation Examples:
- Purpose limitation controls and monitoring
- Data minimization practices and policies
- Consent management systems
- Legal basis documentation for processing
- Regular review of collection practices
P4.1 - Privacy - Access and Correction
- Type: Corrective
- Complexity: Medium
- Description: The entity provides data subjects with access to their personal information for review and correction.
Implementation Examples:
- Subject access request procedures
- Identity verification for data requests
- Data portability and export capabilities
- Correction and deletion request handling
- Response timeframes and communication procedures
SOC 2 Controls Summary
- Total Controls: 99+
- Security Controls (CC): 58
- Availability Controls (A): 12
- Processing Integrity Controls (PI): 8
- Confidentiality Controls (C): 6
- Privacy Controls (P): 15
This comprehensive list provides a foundation for understanding SOC 2 control requirements. For implementation assistance and guidance, consult with qualified SOC 2 professionals.