Where data security is paramount, SOC 2 Compliance security becomes mandatory. SOC 2, or System and Organization Controls 2, is a voluntary compliance standard for service organizations that assures clients’ data is managed securely.

However, obtaining SOC 2 compliance is not just about checking off a list of requirements; it’s about aligning with the SOC 2 Trust Principles. These principles form the foundation of SOC 2 audits and help organizations demonstrate their commitment to data security and privacy.

In this comprehensive guide, let’s explore the SOC 2 Trust Principles, break down their significance, and provide actionable insights to help you navigate the SOC 2 audit process with confidence.

 

What Are SOC 2 Trust Principles?

SOC 2 Trust Principles, also known as Trust Service Criteria, are the benchmarks used to evaluate an organization’s systems and processes in a SOC 2 audit. They focus on the protection of data and include five core areas:

1. Security
2. Availability
3. Processing Integrity
4. Confidentiality
5. Privacy

For client data, organizations have to comply with these five Trust Service Criteria. They provide safe data processing and go by the name SOC 2 Trust Services Criteria (TSC).

Each of these principles has its own set of criteria that an organization must meet to ensure that it effectively safeguards data and provides reliable services. Understanding these principles is key to achieving SOC 2 compliance.

 

**Also, read “How to get SOC 2 Compliance for your business”, here!

List & Explanation Of Soc 2 Trust Principles

Security-

The Security principle is concerned with the protection of systems and data from unauthorized access, both physical and logical. It includes safeguarding against unauthorized disclosure, misuse, or damage to an organization’s systems and information. It also identifies malicious attacks, penetration testing, unauthorized exposure of private information, unauthorized access to or removal of data, modification, deletion, or abuse of software (the code repos), and other threats for instance.

Some Examples Of Security Principle Of SOC 2-

• Access Controls: Implementing robust access controls, such as multi-factor authentication (MFA), password policies, and role-based access controls (RBAC), ensures that only authorized personnel can access sensitive information and critical systems.
• Encryption: Protecting data in transit and at rest through encryption ensures that even if data is intercepted, it cannot be read by unauthorized individuals.
• Firewalls and Intrusion Detection Systems (IDS): These tools help prevent and detect unauthorized access attempts, safeguarding the organization’s network from external threats.
• Security Monitoring: Continuous monitoring of systems for potential security breaches, such as unauthorized access attempts or malware infections, allows for timely responses to security incidents.

SOC 2 Controls for Security

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• The Control Environment (CC1 Series)

CC1.1- Establishing an organizational commitment to integrity and values

CC1.2- Establishing the broad independence from management and oversight

CC1.3- Establishing clear and broad reporting structure and responsibilities

CC1.4- Establishing the developing commitment and retaining competent staff

CC1.5- Establishing the automated accountability for internal control responsibilities

• Communication and Information (CC2 Series)

CC2.1- Establishing the information base to support internal controls

CC2.2- Establishing clear communication of controls with objectives and responsibilities

CC2.4- Establishing external communication discussing the internal controls

• Risk Assessment (CC3 Series)

CC3.1- Establishing objective specifications for a better risk evaluation

CC3.2- Establishing fraud contemplation concerning the identified risks

CC3.3- Establishing identification and analysis for the threatening objectives

CC3.4- Establishing the impactful changes

• Monitoring Of Controls (CC4)-

CC4.1- Establishing regular monitoring to identify internal control efficiency

CC4.2- Establishing timely and exact communication of control deficiencies

• Design and Implementation Of Controls (CC5 Series)

CC5.1- Establishing adequate risk mitigation controls

CC5.2 Establishing technical controls to meet objectives

CC5.3- Establishing controls as per the well-defined policies and protocols.

Importance:

Security is the bedrock of SOC 2 compliance. Without strong security measures, the other Trust Principles cannot be effectively enforced. It is essential for protecting sensitive data, maintaining client trust, and ensuring regulatory compliance.

 

Availability

The Availability principle ensures that the systems, products, and services provided by an organization are available for operation and use as agreed upon in service level agreements (SLAs) or other contractual commitments.

• Redundancy: Implementing redundant systems, such as backup servers and failover mechanisms, helps ensure that services remain available even in the event of hardware failures or other disruptions.
• Disaster Recovery Planning: A comprehensive disaster recovery plan (DRP) ensures that the organization can quickly restore operations in the event of a major disruption, such as a natural disaster or cyberattack.
• Performance Monitoring: Continuously monitoring system performance helps identify potential issues before they impact availability, allowing for proactive maintenance and issue resolution.
• Capacity Planning: Ensuring that systems have adequate capacity to handle expected workloads, and planning for scalability as demand increases, prevents service disruptions due to resource limitations.

The SOC 2 Availability Criteria-

A1.1- It maintains, monitors, and scrutinizes the running process capacity and uses system components to control the demanded capacity and help in the fulfillment of objectives through implementation.

A1.2: To accomplish the intended goals, it plans, develops, approves, purchases, implements, runs, approves, maintains, and even keeps an eye on the data backup procedure, software, environmental protection, and structure.  

A1.3- It tests the recovery plan and procedure to support the system recovery and meet the objectives.

Importance:

Availability is crucial for maintaining operational continuity and fulfilling commitments to clients. If systems are frequently unavailable or unreliable, it can lead to loss of customer trust, financial penalties, and damage to the organization’s reputation.

 

Process Integrity

The Processing Integrity principle focuses on ensuring that systems process data accurately, completely, validly, timely, and according to business requirements. It ensures that the data used and generated by systems is reliable and trustworthy.

• Data Validation: Implementing checks to ensure that data inputs are accurate, complete, and consistent helps prevent errors that could lead to incorrect processing results.
• Transaction Monitoring: Regularly monitoring and auditing transactions to ensure they are processed correctly and established protocols help maintain data integrity.
• Error Handling: Establishing robust error detection and correction mechanisms ensures that any processing errors are identified and resolved promptly, minimizing the impact on data integrity.
• Reconciliation Processes: Regularly reconciling data outputs with expected results helps identify and correct discrepancies, ensuring that data processing is accurate and reliable.

The SOC 2 Process Accuracy Criteria-

PI 1.1: To support the use of goods and services, it collects creates, utilizes, and disseminates pertinent, high-quality information on the goals associated with processing, including descriptions of the data processed and product and service specifications.

PI 1.2: To ensure that the goods, services, and reporting match, it implements policies and procedures over system inputs, including controls over completeness and correctness.

PI 1.3: The organization uses system processing to apply rules and processes that produce goods, services, and reports that satisfy the goals.

PI 1.4: To accomplish goals, it puts policies and processes into place to ensure that output is entirely, accurately, and on schedule, according to specifications.

PI 1.5: To achieve the goals, it ensures policies and processes into place to fully, correctly, and promptly store inputs, items under processing, and outputs in compliance with system requirements.

Importance:

Processing Integrity is essential for ensuring the accuracy and reliability of an organization’s operations. Accurate processing of data is critical for decision-making, financial reporting, and maintaining client trust.

Confidentiality

The Confidentiality principle ensures that sensitive information is protected from unauthorized access and disclosure. This includes protecting data that is classified as confidential by law, regulation, or contract, as well as information that could cause harm if disclosed.

• Data Classification: Classifying data based on its sensitivity and importance helps determine the appropriate level of protection and access controls required.
• Access Controls: Implementing strict access controls ensures that only authorized individuals can access confidential information, reducing the risk of unauthorized disclosure.
• Encryption: Encrypting confidential data in transit and at rest protects it from being accessed by unauthorized individuals, even if the data is intercepted or accessed improperly.
• Data Retention and Disposal: Establishing clear policies for the retention and secure disposal of confidential data ensures that sensitive information is not kept longer than necessary and is destroyed securely when no longer needed.

The SOC 2 Confidentiality Criteria-

C1.1 To achieve the confidentiality goals, the entity finds and keeps secret information.

C1.2 The organization gets rid of private data to fulfill its confidentiality goals.

Importance:

Confidentiality is vital for protecting sensitive business and customer information. Breaches of confidentiality can result in legal liabilities, financial losses, and damage to an organization’s reputation. Maintaining confidentiality is essential for compliance with regulations such as GDPR and HIPAA.

 

Privacy

The Privacy principle addresses the organization’s ability to collect, use, retain, disclose, and dispose of personal information through its privacy policies and relevant regulatory requirements. It focuses on protecting the privacy rights of individuals whose data is being processed.

• Privacy Policies: Establishing and communicating clear privacy policies that outline how personal information is collected, used, shared, and protected is essential for ensuring compliance with privacy regulations.
• Consent Management: Ensuring that individuals have provided informed consent for the collection and processing of their personal information is a key aspect of privacy protection.
• Data Minimization: Collecting only the data that is necessary for the intended purpose and retaining it only for as long as needed helps reduce the risk of privacy breaches.
• Data Subject Rights: Implementing processes that allow individuals to exercise their rights, such as accessing, correcting, or deleting their personal information, is critical for maintaining compliance with privacy laws.
• Privacy Impact Assessments (PIAs): Conducting regular PIAs to assess the privacy risks associated with new projects or data processing activities helps identify and mitigate potential privacy issues before they occur.

The SOC 2 Privacy Criteria-

1. Management: The mathematization rules and procedures that govern the use of personally identifiable information must be documented.
2. Take note: Customers must be fully informed about your organization’s privacy policies and procedures, including how personal information is utilized.
3. Decision-Making and Agreement: People must be able to select their personal information and provide information about themselves.
4. Acquisition: Your company may only gather personal data for the reasons specified in the notice; it may not be used for any other purpose.
5. Use, Retention, and Disposal: Your company will have privacy policies and procedures that specify the uses, retention periods, and disposal methods for personal data.
6. Access: People can check and update their information by gaining access to it through your organization.
7. Disclosure to Third Parties: Only the third parties mentioned in the notice will receive personal information from your company.
8. Security: Your company uses logical and physical access restrictions to safeguard personal data.
9. Quality: To guarantee that personal data is complete and correct in its usage as well as to safeguard it, your company must have quality management policies in place.
10. Enforcement and Monitoring: You need to keep an eye on how well your company is adhering to privacy policies.

Importance:

Privacy is increasingly important in today’s regulatory environment, where laws such as the General Data Protection Regulation (GDPR) and the California Consumer Privacy Act (CCPA) impose strict requirements on how personal information is handled. Protecting privacy is essential for maintaining customer trust and avoiding legal penalties.

 

What Are SOC 2 Supplemental Criteria?

SOC 2 Supplemental Criteria are additional requirements that enhance and support the core Trust Principles. They provide a more detailed and comprehensive framework for organizations to follow, ensuring that all aspects of data protection, system reliability, and operational effectiveness are covered.

These criteria play a vital role in the SOC 2 audit process, as they ensure that an organization’s security measures are robust, comprehensive, and aligned with best practices.

SOC 2 Supplemental Criteria are additional requirements that complement the Trust Principles. They include:

• Logical and Physical Access Controls: Ensures that only authorized individuals have access to sensitive systems and data.
• System Operations: Focuses on monitoring and responding to deviations in system performance.
• Change Management: Covers the procedures for managing changes to systems and data.
• Risk Mitigation: Involves identifying and mitigating risks that could affect the organization’s ability to meet the Trust Principles.

 

How Do Trust Criteria Help in The SOC 2 Audit Report?

The SOC 2 audit report is a comprehensive document that evaluates how well your organization adheres to the Trust Principles. Here’s how the Trust Criteria play a role:

• Assessment: Auditors use the Trust Criteria to assess your organization’s controls and processes.
• Reporting: The audit report will highlight how well your organization meets each Trust Principle, giving clients confidence in your ability to protect their data.
• Improvement: By understanding where your organization excels and where it falls short, you can make informed decisions to improve your security posture.

 

Get Your SOC 2 Compliance With Socurely

Achieving SOC 2 compliance can be a complex process, but it doesn’t have to be. Socurely offers a range of services designed to help organizations navigate the SOC 2 compliance journey with ease.

Choosing the right partner for SOC 2 compliance is crucial. Here’s why Socurely stands out:

• Expertise: With years of experience in SOC 2 compliance, Socurely’s team of experts knows the ins and outs of the audit process.
• Tailored Solutions: Socurely provides customized solutions that align with your organization’s specific needs and goals.
• Support: From initial assessment to final report, Socurely offers ongoing support to ensure a smooth compliance journey.

 

Conclusion

SOC 2 Trust Principles are the foundation of any successful SOC 2 audit. By understanding and implementing these principles, your organization can not only achieve compliance but also build trust with clients and stakeholders.

Whether you’re just starting your SOC 2 journey or looking to improve your current compliance efforts, keeping these Trust Principles in mind will help you stay on the right track.

 

FAQ

Why SOC 2 Trust Criteria Is Important?

The SOC 2 Trust Criteria are essential because they provide a clear framework for protecting data and ensuring system reliability. Organizations can demonstrate compliance with these criteria by using their ability to ensure security, availability, processing integrity, confidentiality, and privacy.

Is It Important To Follow All SOC 2 Trust Criteria?

Yes, it is crucial to follow all SOC 2 Trust Criteria. Each principle addresses a specific aspect of data protection, and failing to meet any of them can compromise your compliance status and the trust of your clients.

Which Trust Principle Is Not Covered In SOC 2?

SOC 2 primarily focuses on the five Trust Principles: Security, Availability, Processing Integrity, Confidentiality, and Privacy. Other areas, such as financial reporting or operational effectiveness, may be covered under different compliance standards like SOC 1 or SOC 3.