Understanding SOC 2
SOC 2 (System and Organization Controls 2) is a framework designed to help service organizations demonstrate they have adequate controls in place to protect customer data. Unlike SOC 1, which focuses on financial reporting, SOC 2 addresses security, availability, processing integrity, confidentiality, and privacy.
# Trust Service Criteria
SOC 2 is based on five Trust Service Criteria (TSC):
- Security: Protection against unauthorized access
- Availability: System availability for operation and use
- Processing Integrity: System processing is complete, valid, accurate, timely, and authorized
- Confidentiality: Information designated as confidential is protected
- Privacy: Personal information is collected, used, retained, disclosed, and disposed of in conformity with commitments
# Pre-Audit Checklist
- Document all security policies and procedures
- Implement access controls and authentication mechanisms
- Establish monitoring and logging systems
- Conduct risk assessments
- Train employees on security policies
- Perform internal audits and testing
- Maintain evidence of control effectiveness
# Common Pitfalls to Avoid
- Insufficient documentation of controls
- Lack of evidence for control effectiveness
- Inadequate access management processes
- Missing or incomplete risk assessments
- Failure to monitor and review controls regularly
# Conclusion
Achieving SOC 2 compliance requires careful planning, documentation, and ongoing maintenance. Use this checklist as a starting point and work with experienced auditors to ensure your organization meets all requirements.