The Ultimate Guide to SOC 2 Controls List (and How to Conquer It!)

Discover the essential security controls in SOC 2

Photo by Dan Nelson on Unsplash

You have built an amazing online business, but data breaches keep you up at night. In our digital world, strong cloud security isn’t a luxury, it’s a must-have.

That’s where SOC 2 compliance comes in. It’s like a security superhero cape, showing everyone you take protecting customer information seriously. But figuring out SOC 2 controls can feel like solving a cryptic puzzle.

This guide breaks down SOC 2 controls list into bite-sized pieces, giving you the knowledge to conquer them and earn that coveted SOC 2 badge.

What are SOC 2 Controls?

Imagine your cloud storage as a high-security vault. SOC 2 controls are like the bricks and mortar that build this vault, keeping your customer data safe.

Defined by the American Institute of Certified Public Accountants (AICPA) within the SOC 2 Trust Service Criteria (TSC), these controls represent a comprehensive framework of policies, procedures, and technical safeguards designed to protect your most valuable asset — customer data.

The SOC 2 TSC focuses on five key trust service principles:

• Security: Shielding information systems from unauthorized access, use, disclosure, disruption, or destruction.
• Availability: Guaranteeing customer data and systems are accessible and operational when needed.
• Processing Integrity: Ensuring the accuracy and completeness of data during processing.
• Confidentiality: Safeguarding the privacy of sensitive customer information.
• Privacy: Protecting the privacy rights of individuals whose data you collect and process.

The SOC 2 controls list for each principle outlines specific control objectives and activities that organizations must implement to demonstrate compliance.

How to Implement SOC 2 Controls?

Not all SOC 2 reports are created equal. Organizations can choose which trust service principles to include in their audit scope.

However, Security (principle number one) is mandatory for all reports. Here’s a roadmap to implementing the right SOC 2 controls for a successful audit:

1. Define Your SOC 2 Scope: Identify the trust service principles most relevant to your business and customer needs.
2. Gap Assessment: Conduct a thorough assessment to pinpoint any discrepancies between your existing controls and the chosen SOC 2 controls list.
3. Remediation Plan: Develop a strategic plan to address the identified gaps. This may involve implementing new policies, procedures, or technical safeguards.
4. Policy and Procedure Development: Document your information security policies and procedures for consistency and demonstrable compliance.
5. Control Implementation: Put the necessary controls identified in the SOC 2 controls list into action.
6. Ongoing Monitoring: Regularly assess and test your controls to ensure their effectiveness.
7. SOC 2 Audit: Engage a qualified independent auditor to evaluate your controls and issue a SOC 2 report.

SOC 2 Controls List: A Breakdown by Principle

The SOC 2 controls list encompasses a vast array of controls across the five trust service principles.

While the specific controls will vary depending on your chosen scope, here’s a breakdown of some key controls within each principle to give you a head start:

SOC 2 Controls for Security

• Access Controls: Restricting access to data and systems based on the “least privilege” principle. This includes implementing multi-factor authentication and role-based access control (RBAC).
• Data Encryption: Encrypting data at rest and in transit to safeguard sensitive information.
• Incident Response: Establishing a documented plan for identifying, containing, and recovering from security incidents.
• Change Management: Implementing a formal process for managing changes to systems and configurations.

SOC 2 Controls for Availability

• Backup and Recovery: Maintaining regular backups of data and systems to ensure swift recovery in case of outages.
• Business Continuity Planning: Developing a plan to maintain critical business operations during disruptions.
• Capacity Management: Monitoring and managing system resources to ensure adequate capacity for processing needs.

SOC 2 Controls for Processing Integrity

• Input Controls: Validating the accuracy and completeness of data before processing.
• Data Segregation: Separating sensitive data from less critical data to minimize risks.
• Change Controls: Implementing controls to track and manage changes made to data.
• Reconciliation Procedures: Regularly reconciling data to ensure its accuracy and completeness.

SOC 2 Controls for Confidentiality

• Information Classification: Classifying data based on its sensitivity to prioritize protection efforts.
• Data Loss Prevention (DLP): Implementing tools and techniques to prevent unauthorized data disclosure.
• Third-Party Vendor Management: Conducting due diligence and implementing controls for third-party vendors who access customer

Cost of SOC 2 Controls

How much does it cost to implement SOC 2 controls?

There’s no magic formula. The cost can vary depending on several factors, including:

• The Scope of Your SOC 2 Report: The more trust service principles you choose to include, the more controls you’ll need to implement, potentially increasing costs.
• Existing Security Posture: Organizations with a robust security foundation may require less investment in new controls compared to those starting from scratch.
• Internal Resources: Leveraging existing IT and security staff can help minimize costs compared to outsourcing all compliance efforts.
• Auditor Fees: The fees charged by your chosen SOC 2 auditor can also impact the overall cost.

While the initial investment in SOC 2 compliance can be significant, the long-term benefits outweigh the costs.

Achieving SOC 2 compliance demonstrates your unwavering commitment to data security, fosters trust with customers and partners, and can even open doors to new business opportunities.

The Ultimate SOC 2 Compliance Checklist You Need Now!

Route to SOC 2 Compliance

The path to SOC 2 compliance doesn’t have to be an arduous trek. By taking a strategic approach and leveraging the right resources, you can streamline the process and achieve your compliance goals efficiently. Here are some key takeaways to remember:

• Clearly define your SOC 2 goals and requirements from the outset.
• Conduct a thorough gap assessment to identify areas needing improvement.
• Develop a comprehensive plan to implement the necessary SOC 2 controls.
• Seek guidance from experienced SOC 2 compliance professionals.
• Invest in automation tools to simplify control monitoring and reporting.

By following these steps, you can start a seamless path toward SOC 2 compliance, establishing yourself as a reliable authority in the digital realm.

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