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.
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:
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!
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-
SOC 2 Controls for Security
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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
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
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
CC4.1- Establishing regular monitoring to identify internal control efficiency
CC4.2- Establishing timely and exact communication of control deficiencies
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.
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.
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.
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.
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.
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.
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.
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.
The SOC 2 Privacy Criteria-
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.
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:
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:
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:
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.
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.
