Complete SOC 2 Control List

How to Use This Control List

This comprehensive SOC 2 control list includes over 120 specific controls organized by Trust Service Criteria. Use the interactive checkboxes to track your implementation progress.

Required Mandatory for SOC 2 compliance

Recommended Strongly suggested for best practice

Optional Additional controls for enhanced security

Security Mandatory

Availability Optional

Processing Optional

Confidentiality Optional

Privacy Optional

Security Controls (CC)

Control Environment

CC1.1 Required

Code of Conduct and Ethics Policy

Establish and maintain a comprehensive code of conduct that addresses ethical behavior, conflicts of interest, and compliance requirements.

Implementation: Document code of conduct, obtain annual acknowledgments, conduct ethics training, establish reporting mechanisms

CC1.2 Required

Organizational Structure and Reporting

Define clear organizational structure with appropriate reporting lines and accountability for security responsibilities.

Implementation: Create organizational charts, define roles and responsibilities, establish security governance structure

CC1.3 Required

Management Oversight and Accountability

Establish board or management oversight of security practices with clear accountability mechanisms.

Implementation: Regular security committee meetings, executive security reporting, defined escalation procedures

CC1.4 Recommended

Competence and Development

Ensure personnel have appropriate competence for their security responsibilities through hiring, training, and development.

Implementation: Job descriptions with security requirements, competency assessments, ongoing training programs

Risk Assessment

CC3.1 Required

Risk Identification and Analysis

Conduct comprehensive risk assessments to identify and analyze risks to the achievement of objectives.

Implementation: Annual risk assessments, risk register maintenance, likelihood and impact analysis

CC3.2 Required

Fraud Risk Assessment

Assess the potential for fraud and identify specific fraud risks that could impact the entity.

Implementation: Fraud risk workshops, fraud scenario analysis, anti-fraud controls design

CC3.3 Recommended

Significant Change Assessment

Identify and assess significant changes that could impact the system and update risk assessments accordingly.

Implementation: Change impact assessments, risk reassessment triggers, change risk evaluation

Logical and Physical Access Controls

CC6.1 Required

User Access Provisioning

Implement procedures for granting logical access to systems and applications based on authorized requests.

Implementation: Access request forms, approval workflows, role-based access provisioning, access reviews

CC6.2 Required

User Access Modification and Deprovisioning

Establish procedures for modifying and removing user access in a timely manner based on changes in job responsibilities.

Implementation: HR system integration, automated deprovisioning, access change procedures, termination checklists

CC6.3 Required

User Access Reviews

Conduct periodic reviews of user access rights to ensure appropriateness and remove unnecessary access.

Implementation: Quarterly access reviews, manager attestations, automated reporting, remediation tracking

CC6.4 Required

Physical Access Controls

Implement physical access controls to restrict access to facilities, systems, and assets.

Implementation: Badge access systems, visitor management, security cameras, secure areas designation

CC6.5 Required

Multi-Factor Authentication

Implement multi-factor authentication for access to systems and applications containing sensitive data.

Implementation: MFA deployment, authentication policies, token management, exception handling

CC6.6 Recommended

Privileged Access Management

Implement additional controls for privileged accounts including enhanced monitoring and approval processes.

Implementation: Privileged access management tools, elevated approval processes, session monitoring

System Operations

CC7.1 Required

System Monitoring and Logging

Implement comprehensive monitoring and logging to detect and respond to security events and anomalies.

Implementation: SIEM deployment, log collection, alerting rules, log retention policies

CC7.2 Required

Incident Response Procedures

Establish and maintain incident response procedures to address security incidents effectively.

Implementation: Incident response plan, response team, escalation procedures, post-incident reviews

CC7.3 Required

Backup and Recovery Procedures

Implement backup and recovery procedures to ensure data availability and business continuity.

Implementation: Backup schedules, recovery testing, offsite storage, recovery time objectives

CC7.4 Recommended

System Performance Monitoring

Monitor system performance to ensure adequate capacity and identify potential issues.

Implementation: Performance dashboards, capacity planning, threshold monitoring, trend analysis

Availability Controls (A)

Performance Monitoring

A1.1 Required

System Availability Monitoring

Monitor system availability and uptime to ensure service level agreements are met.

Implementation: Uptime monitoring tools, SLA tracking, availability dashboards, alerting systems

A1.2 Required

Performance Threshold Management

Establish and monitor performance thresholds to identify degradation before it impacts users.

Implementation: Performance baselines, threshold definitions, automated alerting, response procedures

A1.3 Recommended

Capacity Planning and Management

Conduct regular capacity planning to ensure systems can handle current and projected workloads.

Implementation: Capacity assessments, growth projections, resource allocation, scalability planning

System Recovery

A2.1 Required

Business Continuity Planning

Develop and maintain business continuity plans to ensure service availability during disruptions.

Implementation: BCP documentation, recovery procedures, alternative processing sites, plan testing

A2.2 Required

Disaster Recovery Testing

Regularly test disaster recovery procedures to ensure they work effectively when needed.

Implementation: DR test schedules, test scenarios, results documentation, improvement actions

Processing Integrity Controls (PI)

Data Processing Controls

PI1.1 Required

Data Input Validation

Implement controls to validate data input for completeness, accuracy, and validity.

Implementation: Input validation rules, data type checks, range validations, format verification

PI1.2 Required

Processing Completeness

Ensure that all authorized transactions are processed completely and accurately.

Implementation: Transaction logging, completeness checks, reconciliation procedures, error handling

PI1.3 Recommended

Data Quality Monitoring

Monitor data quality throughout processing to identify and correct errors or inconsistencies.

Implementation: Data quality rules, automated monitoring, quality metrics, remediation procedures

Confidentiality Controls (C)

Information Protection

C1.1 Required

Data Classification

Classify information based on confidentiality requirements and implement appropriate protection measures.

Implementation: Classification policies, data labeling, handling procedures, protection controls

C1.2 Required

Encryption Controls

Implement encryption for confidential information both at rest and in transit.

Implementation: Encryption policies, key management, algorithm standards, implementation monitoring

Privacy Controls (P)

Privacy Management

P1.1 Required

Privacy Notice and Consent

Provide clear privacy notices and obtain appropriate consent for personal information collection and use.

Implementation: Privacy notices, consent mechanisms, opt-out procedures, notice updates

P1.2 Required

Data Subject Rights

Implement procedures to handle data subject requests for access, correction, and deletion of personal information.

Implementation: Request procedures, response timelines, verification processes, fulfillment tracking