Leadline Inc.SOC 2 Compliance
Comprehensive guide to SOC 2 Type I and Type II compliance for organizations
SOC 2 Compliance Framework
SOC 2 (System and Organization Controls 2) is a comprehensive framework for managing customer data based on five trust service criteria: Security, Availability, Processing Integrity, Confidentiality, and Privacy.
What is SOC 2?
SOC 2 is an auditing procedure developed by the American Institute of CPAs (AICPA) that ensures your service providers securely manage your data to protect the interests of your organization and the privacy of its clients.
Trust Service Criteria
Security
Availability
Processing Integrity
Confidentiality
Privacy
SOC 2 Types
SOC 2 Type I
- Point-in-time assessment
- Evaluates design of controls
- Typically completed in 3-6 months
SOC 2 Type II
- Continuous assessment over time
- Evaluates both design and operating effectiveness
- Typically covers 6-12 month period
SOC 2 Control Requirements
SOC 2 compliance is built upon a comprehensive set of control requirements that govern how organizations manage their systems, applications, and databases. These controls are systematically organized into numbered control IDs that correspond to specific control categories.
Control Categories
The SOC 2 control framework is organized into the following categories, each identified by a unique prefix:
| Control Category | Prefix | Description |
|---|---|---|
| Change Management | CM | Controls related to managing system changes, code deployments, and configuration modifications |
| Communications & Monitoring | COM | Controls for system monitoring, alerting, and communication protocols |
| Backup & Disaster Recovery | BDR | Controls ensuring data backup, recovery procedures, and business continuity |
| Data Security | DS | Controls protecting sensitive data through encryption, access controls, and data handling procedures |
| Incident Response | IR | Controls for detecting, responding to, and recovering from security incidents |
| Policies & Procedures | PP | Controls establishing organizational policies, procedures, and governance frameworks |
| Risk Assessment | RA | Controls for identifying, assessing, and managing security risks |
| Logical Security | LS | Controls for access management, authentication, authorization, and encryption |
| Third-Party Management | TPM | Controls for managing vendor relationships, third-party access, and supply chain security |
Control Structure
Each SOC 2 control follows a standardized structure that includes:
Control ID Format
Controls are identified using a category prefix followed by a sequential number:
- CM-01: Change Management control #1
- COM-02: Communications & Monitoring control #2
- BDR-04: Backup & Disaster Recovery control #4
- IR-01: Incident Response control #1
- LS-21: Logical Security control #21
Control Components
Every control requirement includes:
-
Purpose: Clear description of what the control accomplishes
- Example: "Restricting code changes to authorized staff only"
- Example: "Performing regular security vulnerability scans"
- Example: "Reviewing firewall configurations quarterly"
-
Frequency: How often the control must be executed
- Ongoing: Continuous monitoring and enforcement
- Daily: Daily operational activities
- Weekly: Weekly review and maintenance tasks
- Monthly: Monthly assessments and updates
- Quarterly: Quarterly reviews and evaluations
- Annually: Annual comprehensive assessments
-
Scope: Systems, applications, and infrastructure covered
- In-scope applications and databases
- Network infrastructure components
- Cloud services and third-party systems
- Development and production environments
-
Variations: Alternative acceptable methods for meeting control objectives
- Different implementation approaches
- Technology-specific solutions
- Organizational variations based on size and complexity
Complete SOC 2 Control Requirements
Below is a comprehensive list of SOC 2 control requirements organized by category. Each control includes its ID, description summary, and associated Trust Service Criteria (TSC).
CM – Change Management
| Control ID | Description Summary | Primary TSC | Secondary TSC |
|---|---|---|---|
| CM-01 | Quarterly review of source code change access | Security | Confidentiality |
| CM-03 | Automated alerts for production changes; audit logging | Security | Availability |
| CM-04 | Stakeholder review/approval for changes impacting system trust criteria | Security | Processing Integrity |
| CM-09 | Weekly security-related change meetings | Security | — |
| CM-11 | Restrict promotion to production to those without code edit rights | Security | Processing Integrity |
| CM-12 | Management approval for all types of production changes | Security | Processing Integrity |
| CM-13 | Formal change management methodology documented | Security | Processing Integrity |
| CM-15 | De-identification of confidential data in non-prod | Confidentiality | Security |
| CM-16 | Monthly review of production changes to ensure authorization and separation of duties | Security | Processing Integrity |
| CM-17 | Vulnerability scanning or peer review of source code before release | Security | Processing Integrity |
| CM-18 | Version control and access restrictions for source code | Security | Confidentiality |
COM – Communications & Monitoring
| Control ID | Description Summary | Primary TSC | Secondary TSC |
|---|---|---|---|
| COM-02 | Centralized logging with restricted access | Security | Confidentiality |
| COM-03 | Malware scans before installation into production | Security | Processing Integrity |
| COM-04 | IDS/IPS continuous monitoring with alerts | Security | Availability |
| COM-05 | Quarterly firewall review | Security | Availability |
| COM-06 | Network diagrams available to IT security | Security | — |
| COM-07 | Unauthorized access monitoring & alerting | Security | — |
| COM-08 | Quarterly internal vulnerability scans | Security | — |
| COM-09 | Annual third-party external vulnerability scans | Security | — |
| COM-10 | Firewalls deployed & maintained | Security | Availability |
BDR – Backup & Disaster Recovery
| Control ID | Description Summary | Primary TSC | Secondary TSC |
|---|---|---|---|
| BDR-04 | Annual BCP/DRP test | Availability | Security |
| BDR-05 | Restrict backup tool access | Security | Confidentiality |
| BDR-06 | Data destruction after retention period | Confidentiality | Privacy |
| BDR-07 | Formal data retention/destruction standards | Confidentiality | Privacy |
| BDR-08 | Daily/incremental backups with alerts | Availability | Processing Integrity |
| BDR-09 | AES encryption for backups | Confidentiality | Security |
DS – Data Security
| Control ID | Description Summary | Primary TSC | Secondary TSC |
|---|---|---|---|
| DS-01 | Encryption & physical protection for removable media | Confidentiality | Security |
| DS-03 | Enforce hard drive encryption on laptops | Confidentiality | Security |
| DS-04 | MDM for mobile devices | Confidentiality | Security |
| DS-05 | Scrub/dispose of external media or use DLP | Confidentiality | Privacy |
| DS-06 | Annual review/update of data classification policy | Confidentiality | Privacy |
IR – Incident Response
| Control ID | Description Summary | Primary TSC | Secondary TSC |
|---|---|---|---|
| IR-01 | Monthly review of closed incidents | Security | Availability |
| IR-02 | Defined incident management with RCA | Security | Availability |
| IR-03 | Incident evaluation for data disclosure & legal compliance | Confidentiality | Privacy |
PP – Policies & Procedures
| Control ID | Description Summary | Primary TSC | Secondary TSC |
|---|---|---|---|
| PP-19 | Anonymous hotline for incident reporting | Security | Privacy |
| PP-20 | Written IT job descriptions | Security | — |
RA – Risk Assessment
| Control ID | Description Summary | Primary TSC | Secondary TSC |
|---|---|---|---|
| RA-01 | Internal audits of controls | Security | — |
| RA-02 | Annual risk assessment including fraud risk | Security | Availability |
| RA-03 | Annual risk assessment of laws/regulations/SLAs/vendors | Security | Confidentiality |
LS – Logical Security
| Control ID | Description Summary | Primary TSC | Secondary TSC |
|---|---|---|---|
| LS-01 | Encrypt sensitive data at rest | Confidentiality | Security |
| LS-04 | User account changes require client approval | Security | — |
| LS-05 | Restrict direct DB access | Security | Confidentiality |
| LS-06 | Admin account access via password vault | Security | — |
| LS-07 | Secure encryption key storage | Confidentiality | Security |
| LS-10 | Semi-annual external user access review | Security | — |
| LS-14 | Restrict admin access | Security | — |
| LS-16 | Encrypt transmissions over public networks | Confidentiality | Security |
| LS-19 | Timely removal of terminated user access | Security | — |
| LS-21 | Password policy parameters | Security | — |
| LS-22 | Manager approval for access changes | Security | — |
| LS-24 | Quarterly access review | Security | Confidentiality |
| LS-25 | Require valid IDs/passwords | Security | — |
| LS-26 | MFA for admin activities or VPN for remote access | Security | — |
TPM – Third-Party Management
| Control ID | Description Summary | Primary TSC | Secondary TSC |
|---|---|---|---|
| TPM-01 | Third-party incident communication protocols | Security | Availability |
| TPM-02 | Vendor compliance violation remediation or termination | Security | Confidentiality |
| TPM-03 | Annual third-party risk rating & security reviews | Security | Confidentiality |
| TPM-04 | Standard vendor agreements with security clauses | Security | Confidentiality |
Trust Service Criteria (TSC) Legend
- Security: Protection against unauthorized access, use, or disclosure
- Availability: System availability for operation and use
- Processing Integrity: System processing is complete, 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
Key Benefits
- Customer Trust: Demonstrates commitment to data security
- Competitive Advantage: Differentiates from competitors
- Risk Management: Identifies and mitigates security risks
- Regulatory Compliance: Meets industry standards and regulations
- Continuous Improvement: Establishes ongoing security practices