2023-08-09

By Not Exists

SOC 2

Controls:

Processing integrity is a fundamental aspect of the SOC 2 framework that focuses on the reliability, accuracy, completeness, and timeliness of an organization's processing activities. The Processing Integrity (Additional Criteria) component further enhances the assessment of an organization's systems, processes, and controls to ensure that data processing operations are performed with integrity.

Policies and Procedures for Storing Inputs, Items in Processing, and Outputs (PI1.5)

The "Policies and Procedures for Storing Inputs, Items in Processing, and Outputs" subcontrol (PI1.5) is an essential aspect of the SOC 2 framework's Processing Integrity principle. It focuses on establishing and maintaining robust policies and procedures for the secure storage and management of inputs, items in processing, and outputs within an organization.

To adhere to this subcontrol, our organization develops comprehensive policies that outline the specific requirements and guidelines for storing and handling documents related to inputs, items in processing, and outputs. These documents encompass a wide range of information, such as contracts, agreements, transaction records, data inputs, intermediate data, final reports, and any other relevant materials.

The Privacy (Additional Criteria) control within the SOC 2 framework focuses on evaluating the organization's adherence to privacy-related principles and practices. This control goes beyond the baseline requirements of the SOC 2 Privacy criteria and includes additional measures and criteria for assessing the privacy posture of an organization.

The Privacy (Additional Criteria) control aims to ensure that organizations handle personal information in a manner consistent with applicable privacy laws, regulations, and industry best practices. It encompasses various aspects of privacy management, including data collection, use, retention, disclosure, and individual rights.

By implementing the Privacy (Additional Criteria) control, organizations demonstrate their commitment to protecting individuals' privacy rights and maintaining the confidentiality, integrity, and availability of personal information in their custody. This control helps build trust among stakeholders and demonstrates a strong privacy framework within the organization.

Retaining Personal Information (P4.2)

The "Retaining Personal Information" sub control (P4.2) is a crucial component of the SOC 2 framework, focusing on establishing appropriate policies and procedures for the retention of personal information within an organization. This sub control ensures that personal information is retained for the necessary duration and disposed of securely when no longer required, while adhering to legal and regulatory requirements.
Limiting Use of Personal Information (P4.1)

The "Limiting Use of Personal Information" sub control (P4.1) focuses on creating a framework that ensures personal information is used only for legitimate and authorized purposes. It establishes policies and procedures that clearly define the acceptable and authorized use of personal information, setting boundaries to prevent misuse, unauthorized access, or inappropriate handling.
Consent for Requesting Personal Information (P3.2)

The "Consent for Requesting Personal Information" sub control (P3.2) is an integral part of the SOC 2 framework, focusing on the establishment of appropriate policies and procedures for obtaining and documenting consent when requesting personal information from individuals. This sub control ensures that organizations respect individuals' privacy rights and adhere to legal and regulatory requirements regarding the collection and use of personal information.
Collecting Personal Information (P3.1)

Collecting personal information requires careful consideration to protect individuals' privacy and maintain data integrity. The implementation of the "Collecting Personal Information" sub control (P3.1) at our organization reflects our commitment to upholding privacy principles and establishing a framework that governs the collection of personal information in a responsible and ethical manner.
Communicating Use of Personal Information (P2.1)

The communication of how personal information is used is crucial for maintaining transparency and respecting individuals' privacy rights. Our organization recognizes the significance of clear and effective communication practices to establish trust with individuals and ensure compliance with applicable privacy regulations. The "Communicating Use of Personal Information" sub control (P2.1) aims to guide our organization in implementing processes and procedures that enable transparent communication regarding the use of personal information.
Notice of Privacy Practices (P1.1)

At our organization, we recognize the importance of privacy and the need to provide individuals with a clear understanding of how their personal information is collected, used, and protected. The "Notice of Privacy Practices" sub control (P1.1) enables us to develop and implement comprehensive policies and procedures that outline our privacy practices and inform individuals about their rights, choices, and the measures we take to safeguard their personal information.
Disposing Personal Information (P4.3)

Disposing of personal information in a secure manner is crucial to protect individuals' privacy and maintain data integrity. The "Disposing Personal Information" sub control (P4.3) focuses on establishing robust policies and procedures for the proper disposal of personal information, reducing the potential for data breaches or unauthorized use.

The Processing Integrity control within the SOC 2 framework focuses on ensuring that the organization's system processing is complete, accurate, timely, and authorized to meet its operational requirements. It involves implementing measures to prevent unauthorized or erroneous processing of data and ensuring that the organization's systems perform their intended functions accurately and consistently.

The Processing Integrity control includes additional criteria beyond the general system processing controls to provide a more comprehensive assessment of the organization's data processing practices. It encompasses aspects such as input data validation, data transformation and processing accuracy, output completeness and accuracy, and error handling and correction mechanisms.

By complying with the Processing Integrity control, organizations can demonstrate their commitment to maintaining the integrity of their data processing operations, mitigating the risks of data corruption, loss, or unauthorized modification, and ensuring the accuracy and reliability of their systems' outputs. This control is crucial for organizations that handle sensitive or critical data and need to assure clients and stakeholders that their systems operate with integrity and produce reliable results.

Policies and Procedures of System Output (PI1.4)

The reliable and secure handling of system output is vital for organizations to deliver accurate and trustworthy information to their stakeholders. The "Policies and Procedures of System Output" sub control (PI1.4) addresses this by establishing clear guidelines and practices for the generation, handling, and distribution of system output. It encompasses various forms of output, including reports, data extracts, notifications, and any other information generated by the organization's systems.
Policies and Procedures of System Processing (PI1.3)

The efficient and secure processing of data is critical to maintaining the integrity and confidentiality of information within an organization. The "Policies and Procedures of System Processing" sub control (PI1.3) emphasizes the need for clear guidelines and practices governing system processing to mitigate risks and ensure the reliability of data processing activities.
Policies and Procedures of System Inputs (PI1.2)

Effective management of system inputs is critical to maintaining the overall integrity and security of an organization's systems and processes. The "Policies and Procedures of System Inputs" sub control (PI1.2) emphasizes the need for well-defined policies and procedures to govern the handling of inputs throughout their lifecycle. This includes processes for data collection, validation, verification, and transformation, as well as controls to ensure the accuracy, completeness, and security of the inputs.
Quality of Information in Processing Data (PI1.1)

The "Quality of Information in Processing Data" sub control (PI1.1) encompasses a set of practices and procedures designed to uphold the integrity and reliability of data during its processing within an organization. This sub control recognizes that the quality of information directly impacts the effectiveness and trustworthiness of organizational processes and outputs.

The Confidentiality control, within the SOC 2 framework, focuses on protecting sensitive information and ensuring its confidentiality. This control aims to prevent unauthorized access, disclosure, or use of confidential data entrusted to an organization. In addition to the core criteria for Confidentiality, the Additional Criteria expand on the requirements to provide a more comprehensive approach to safeguarding sensitive information.

The Confidentiality (Additional Criteria) control encompasses measures such as access controls, encryption, data classification, and incident response procedures. It requires organizations to establish and maintain policies, procedures, and technical safeguards to protect confidential data from unauthorized disclosure or misuse.

By implementing the Confidentiality (Additional Criteria) control, organizations demonstrate their commitment to maintaining the privacy and security of sensitive information, thereby fostering trust with their clients and stakeholders.

Destroying Confidential Information (C1.2)

The destruction of confidential information is a critical component of information security and privacy management. This sub control addresses the secure disposal of physical and electronic media containing sensitive data, such as customer records, intellectual property, financial information, and personally identifiable information (PII). By properly destroying these assets, organizations mitigate the risk of data breaches, identity theft, and unauthorized access to sensitive information.
Identifying Confidential Information (C1.1)

The "Identifying Confidential Information" sub control (C1.1) involves the development and implementation of processes and procedures to effectively identify and classify confidential information within an organization. This sub control recognizes the importance of protecting sensitive data and preventing unauthorized access, disclosure, or misuse.

The Availability control within the SOC 2 framework focuses on ensuring that the systems, services, and data are available and accessible to authorized users when needed. It encompasses additional criteria that further enhance the overall availability of the organization's information systems and services.

This control addresses the importance of minimizing service disruptions, downtime, and delays in accessing critical resources. It emphasizes the need for robust infrastructure, redundancy, fault tolerance, and proactive monitoring to maintain a high level of availability.

Organizations implementing this control demonstrate their commitment to providing reliable and uninterrupted services to their clients, customers, and stakeholders. By establishing and maintaining robust availability measures, they can effectively mitigate the risks associated with service interruptions, data loss, and unauthorized access, ensuring business continuity and customer satisfaction.

Recovery Testing (A1.3)

The "Recovery Testing" sub control (A1.3) involves the systematic testing of the organization's recovery capabilities and procedures to ensure their effectiveness. It encompasses various types of recovery, such as system recovery, data recovery, and business continuity, aimed at evaluating the organization's ability to restore operations and data in a timely and reliable manner.
Infrastructure Management (A1.2)

The "Infrastructure Management" sub control (A1.2) addresses the critical need for organizations to establish robust processes and controls to manage their infrastructure effectively. This sub control encompasses a wide range of components, including physical facilities, network devices, servers, databases, and other supporting infrastructure elements.

Vendor Privacy Commitments (P6.4)

The "Vendor Privacy Commitments" sub control (P6.4) involves implementing processes and measures to ensure that third-party vendors or service providers maintain a high level of privacy and data protection standards when handling personal information on behalf of an organization. This sub control seeks to establish clear expectations and commitments from vendors, aligning them with the organization's privacy requirements and legal obligations.
Communicating to Inquiries, Complaints, and Disputes (P8.1)

The "Communicating to Inquiries, Complaints, and Disputes" sub control (P8.1) focuses on developing robust communication practices to handle inquiries, complaints, and disputes effectively. It involves establishing clear channels for receiving and addressing such communication, promptly responding to concerns, and implementing appropriate resolution processes.
Accuracy of Personal Information (P7.1)

The "Accuracy of Personal Information" sub control (P7.1) encompasses measures and practices aimed at ensuring the accuracy, completeness, and integrity of personal information throughout its lifecycle within an organization. It recognizes that accurate personal information is essential for maintaining individuals' trust, complying with legal and regulatory requirements, and supporting reliable business operations.
Responding to Personal Information Requests (P6.7)

The "Responding to Personal Information Requests" sub control (P6.7) encompasses policies and procedures that govern how an organization handles and responds to requests from individuals seeking access, rectification, deletion, or other actions concerning their personal information. It emphasizes the importance of respecting individuals' privacy rights and fulfilling the obligations of transparency and accountability in personal data management.
Breach and Incident Notification (P6.6)

The "Breach and Incident Notification" sub control (P6.6) encompasses policies and procedures designed to guide organizations in responding to security incidents and breaches. It emphasizes the importance of swift incident detection, thorough assessment, and timely notification to affected parties, enabling them to take appropriate actions to protect themselves and mitigate potential damages.
Vendor Notification for Unauthorized Disclosures (P6.5)

The "Vendor Notification for Unauthorized Disclosures" sub control (P6.5) is designed to ensure that vendors are promptly notified when unauthorized disclosures of sensitive information occur. This sub control recognizes the shared responsibility between organizations and their vendors in maintaining the confidentiality and security of data.
Vendor Privacy Commitments (P6.4)

The "Vendor Privacy Commitments" sub control (P6.4) addresses the risks associated with outsourcing or engaging vendors and third-party partners who handle personal information on behalf of the organization. It emphasizes the importance of establishing strong privacy commitments with vendors to ensure the protection of personal information and compliance with applicable privacy regulations.

Managing Capacity Demand (A1.1)

The "Managing Capacity Demand" sub control (A1.1) encompasses the practices and procedures necessary to assess, plan, and manage capacity requirements to meet the demand for services. It recognizes that an organization's ability to scale and allocate resources appropriately is essential for delivering reliable and responsive services to its clients and stakeholders.

Recording Unauthorized Disclosures (P6.3)

The "Recording Unauthorized Disclosures" sub control (P6.3) focuses on developing robust procedures and mechanisms to record and address unauthorized disclosures of sensitive information. It recognizes the importance of promptly detecting and documenting any incidents involving unauthorized access, disclosure, or misuse of data.
Recording the Disclosure of Personal Information (P6.2)

The sub control addresses the need for organizations to maintain accurate records of the disclosure of personal information. It ensures that appropriate documentation is in place to track the sharing of personal information with external entities and allows for transparency and accountability in how personal information is handled and shared.
Consent for Disclosing Personal Information (P6.1)

The "Consent for Disclosing Personal Information" sub control (P6.1) encompasses policies and practices designed to ensure that the disclosure of personal information to third parties is carried out with explicit consent from the individuals involved. This sub control recognizes the fundamental right to privacy and the need to protect personal information from unauthorized disclosure.
Correcting Personal Information (P5.2)

The Correcting Personal Information sub-control aims to establish policies and practices that allow individuals to easily update or correct their personal information. It ensures that organizations have appropriate mechanisms in place to receive and process correction requests promptly and accurately. By implementing this sub-control, organizations demonstrate their commitment to maintaining the integrity and accuracy of personal data and respecting the rights of individuals to have their information corrected.
Granting Access to Personal Information (P5.1)

The "Granting Access to Personal Information" sub control (P5.1) encompasses a set of practices and procedures designed to govern the granting of access to personal information. It recognizes the importance of protecting the privacy and confidentiality of personal data by ensuring that only authorized individuals have appropriate access privileges.

The Risk Assessment control in the SOC 2 framework involves the systematic identification, evaluation, and management of risks associated with an organization's systems, processes, and data. It is a crucial component of a comprehensive security program, aiming to assess potential threats and vulnerabilities, determine their potential impact, and implement appropriate mitigation measures.

By conducting regular risk assessments, organizations gain insights into their risk landscape, enabling them to make informed decisions about security controls, resource allocation, and risk mitigation strategies. This control ensures that risks are identified, prioritized, and managed effectively to protect sensitive data, maintain operational continuity, and safeguard the confidentiality, integrity, and availability of systems and information.

Risk assessment activities typically involve identifying assets, assessing threats and vulnerabilities, quantifying risks, prioritizing risk responses, and establishing risk monitoring and reporting mechanisms. Through this control, organizations can proactively manage risks, reduce the likelihood of security incidents, and demonstrate their commitment to maintaining a secure environment for their clients and stakeholders.

Assessment of Changes (Principle 9) (CC3.4)

The "Assessment of Changes" sub control (Principle 9) (CC3.4) involves establishing a structured process for assessing and approving changes to an organization's systems, processes, and controls. It encompasses evaluating the potential impact of changes on security, data integrity, and availability, as well as ensuring that proper testing and approval procedures are followed.

The "Monitoring Activities" control within the SOC 2 framework focuses on establishing and maintaining effective monitoring mechanisms to ensure the ongoing effectiveness of an organization's internal controls. This control aims to provide assurance that processes and systems are operating as intended and that any deviations or anomalies are promptly detected and addressed.

By implementing the Monitoring Activities control, organizations can proactively identify potential risks, detect unusual activities, and assess the overall effectiveness of their internal controls. This control helps organizations maintain a strong and secure environment by continuously monitoring and evaluating their systems, processes, and data to ensure compliance, detect and mitigate incidents, and safeguard sensitive information. Regular monitoring activities provide valuable insights and enable organizations to make informed decisions to protect their assets and the interests of their stakeholders.

Communicating Control Deficiencies (Principle 17) (CC4.2)

The "Communicating Control Deficiencies" sub control (CC4.2) ensures that control deficiencies are properly identified, documented, and communicated within the organization. It supports the overall goal of the SOC 2 framework to maintain a secure and trustworthy environment by addressing control weaknesses in a timely manner.
Evaluating and Monitoring Internal Controls (Principle 16) (CC4.1)

The "Evaluating and Monitoring Internal Controls" sub control (CC4.1) encompasses the processes and procedures implemented by an organization to assess and monitor the effectiveness of internal controls. It aims to identify control weaknesses, gaps, or deficiencies that may pose risks to the organization's systems, processes, and data.

The "Communication and Information" control in the SOC 2 framework focuses on ensuring effective and secure communication channels and information dissemination within an organization. This control emphasizes the importance of maintaining confidentiality, integrity, and availability of information while promoting clear and accurate communication across all levels of the organization.

The Communication and Information control includes the following key aspects:

Secure Communication Channels: Implement secure communication protocols and technologies to safeguard sensitive information during transmission. This includes the use of encryption, secure email systems, virtual private networks (VPNs), and other secure communication tools.

Information Dissemination: Establish processes and procedures for the timely and accurate dissemination of information within the organization. This ensures that relevant information is shared with the appropriate stakeholders, promoting efficient decision-making and collaboration.

Internal Communication: Foster a culture of open and effective internal communication among employees, departments, and management. This involves establishing clear channels for sharing information, such as regular team meetings, email updates, intranet portals, and collaborative tools.

Information Retention and Destruction: Define policies and procedures for the retention and destruction of information in accordance with legal, regulatory, and business requirements. This includes securely storing information during its lifecycle and ensuring appropriate disposal methods to prevent unauthorized access.

Incident Communication: Establish protocols for timely and accurate communication in the event of security incidents or breaches. This ensures that stakeholders are promptly notified, enabling them to take appropriate action to mitigate risks and protect sensitive information.

External Communications (Principle 15) (CC2.3)

The "External Communications" sub control (CC2.3) focuses on establishing guidelines and practices for effective and responsible communication with external parties. It encompasses various forms of communication, such as public announcements, press releases, marketing materials, social media interactions, and customer communications. This sub control emphasizes the importance of maintaining consistency, accuracy, and confidentiality in all external communications.
Internal Communications (Principle 14) (CC2.2)

The "Internal Communications" sub control (CC2.2) encompasses the policies, procedures, and practices that support efficient and effective communication within an organization. It recognizes that open and transparent internal communication fosters a positive work environment, encourages collaboration, and enhances overall organizational performance.
Uses of Relevant, Quality Information (Principle 13) (CC2.1)

The "Uses of Relevant, Quality Information" sub control (CC2.1) encompasses practices and procedures aimed at promoting the use of accurate, reliable, and timely information throughout an organization. This sub control recognizes the critical role that relevant and high-quality information plays in enabling effective decision-making and supporting successful business operations.

Control Activities is a fundamental component of the SOC 2 framework that focuses on the implementation of policies, procedures, and safeguards to mitigate risks and achieve desired control objectives. This control ensures that necessary measures are in place to safeguard information assets, maintain the confidentiality, integrity, and availability of data, and promote effective and efficient business operations.

Control Activities involve the establishment and enforcement of specific actions and protocols designed to address identified risks and vulnerabilities. These activities provide the structure and framework for managing and monitoring internal controls within an organization, helping to ensure compliance with relevant laws, regulations, and industry best practices.

By implementing Control Activities, organizations can achieve the following:

Risk Mitigation: Control Activities help identify, assess, and manage risks that may impact the confidentiality, integrity, and availability of information assets. They provide a systematic approach to implementing controls that mitigate these risks and protect sensitive data.

Operational Efficiency: Control Activities establish standardized procedures and guidelines that promote efficiency and consistency in business operations. By implementing controls, organizations can streamline processes, reduce errors, and enhance overall operational effectiveness.

Compliance and Accountability: Control Activities assist in demonstrating compliance with relevant laws, regulations, and industry standards. They help establish an audit trail, enabling organizations to monitor and track compliance efforts, address deviations, and maintain a culture of accountability.

Protection of Information Assets: Control Activities ensure the protection of information assets by implementing access controls, encryption, data backup procedures, incident response plans, and other security measures. These activities safeguard data against unauthorized access, loss, or corruption.

Policies and Procedures (Principle 12) (CC5.3)

The "Policies and Procedures" sub control (Principle 12) (CC5.3) encompasses the development, implementation, and maintenance of robust policies and procedures across various aspects of an organization's operations. This sub control recognizes the importance of well-defined guidelines to govern the behavior and actions of employees, promote consistency, and establish a framework for effective risk management and compliance.
Technology Control Activities (Principle 11) (CC5.2)

The "Technology Control Activities" sub control (CC5.2) encompasses a range of practices and procedures designed to ensure the effective implementation and operation of technology controls within an organization. This sub control acknowledges the critical role technology plays in supporting business operations and aims to mitigate risks associated with technology-related vulnerabilities, including unauthorized access, data breaches, system failures, and other potential disruptions.
Developing Control Activities (Principle 10) (CC5.1)

The "Developing Control Activities" sub control (CC5.1) is designed to ensure that appropriate control activities are developed, implemented, and monitored within an organization. It encompasses the identification, design, and documentation of control activities to address the risks identified during the risk assessment process.

The Logical and Physical Access Controls control within the SOC 2 framework focuses on safeguarding the organization's information systems, data, and physical assets. It involves implementing measures to control and manage access to these resources to prevent unauthorized use, disclosure, modification, or destruction.

This control encompasses both logical access controls, which involve the management of user accounts, passwords, authentication mechanisms, and authorization processes within the organization's information systems, and physical access controls, which involve securing physical facilities, equipment, and sensitive information.

Protecting Information Assets (CC6.1)

The "Protecting Information Assets" sub control (CC6.1) involves the implementation of comprehensive measures to protect information assets from various threats and vulnerabilities. It encompasses the development and enforcement of policies, procedures, and controls that address physical, logical, and environmental security aspects.

Assessment of Fraud Risks (Principle 8) (CC3.3)

The "Assessment of Fraud Risks" sub control (Principle 8) (CC3.3) aims to establish a comprehensive framework for assessing and addressing the risks associated with fraud within an organization. Fraud risks can manifest in various forms, such as intentional misrepresentation, financial theft, corruption, or abuse of resources. By implementing this sub control, organizations can proactively identify and mitigate potential fraud risks, protecting their assets and maintaining the trust of stakeholders.
Risk Identification and Analysis (Principle 7) (CC3.2)

The "Risk Identification and Analysis" sub control (Principle 7) (CC3.2) involves a structured approach to identifying, assessing, and managing risks within an organization. It emphasizes the need to understand potential threats and vulnerabilities and evaluate their potential impact on the organization's operations and objectives.
Assessment of Risks (Principle 6) (CC3.1)

The "Assessment of Risks" sub control (CC3.1) involves a comprehensive process of identifying, evaluating, and prioritizing risks within an organization. It aims to provide a structured framework for understanding and addressing potential threats that could impact the confidentiality, integrity, and availability of systems and data.

The "Control Environment" in the SOC 2 framework refers to the foundation of an organization's internal controls. It assesses the overall structure, policies, and culture established by management and the board of directors to support effective control implementation. The control environment sets the tone for how internal controls are designed, implemented, and monitored throughout the organization. It includes elements such as ethical values, governance, management philosophy, and the assignment of authority and responsibility. A strong control environment is essential for ensuring the effectiveness of all other controls within the organization.

Internal Control Objectives and Responsibilities (CC7.3)

CC7.3 focuses on establishing clear internal control objectives and assigning responsibilities to individuals to ensure effective control implementation.
Competency and Training (CC7.4)

CC7.4 focuses on evaluating the competency of personnel and ensuring they receive appropriate training to perform their roles effectively.
Organizational Structure and Governance (CC7.1)

CC7.1 involves evaluating the organization's governance structure and ensuring it provides the foundation for effective control implementation.
Board and Management Oversight (CC7.2)

CC7.2 involves evaluating the oversight provided by the board and management in ensuring the effectiveness of internal controls.

Preventing and Detecting Malicious Software (CC6.8)

The "Preventing and Detecting Malicious Software" sub control (CC6.8) focuses on establishing effective measures to mitigate the risks associated with malicious software, such as viruses, worms, ransomware, and other forms of malware. This sub control aims to prevent unauthorized access, data breaches, and disruptions caused by malicious software attacks, ensuring the security and reliability of an organization's systems and data.

The "Risk Mitigation" control within the SOC 2 framework focuses on identifying potential risks to an organization's systems, data, and operations and implementing measures to mitigate those risks effectively. It involves establishing a comprehensive risk management program that encompasses risk assessment, mitigation strategies, and ongoing monitoring.

The Risk Mitigation control aims to ensure that organizations proactively identify and address risks that could impact the confidentiality, integrity, and availability of sensitive data and critical systems. By implementing appropriate risk mitigation measures, organizations can reduce the likelihood and impact of potential incidents, protect valuable assets, and maintain operational resilience.

This control involves the following key aspects:

Risk Assessment: Conducting regular assessments to identify and evaluate potential risks to the organization's systems, infrastructure, and data. This includes considering internal and external threats, vulnerabilities, and the potential impact of each risk.

Risk Mitigation Strategies: Developing and implementing strategies to mitigate identified risks effectively. This may involve implementing technical controls, security measures, policies, procedures, and contingency plans tailored to address specific risks.

Incident Response Planning: Establishing an incident response plan that outlines clear steps to be followed in the event of a security incident or breach. This includes roles and responsibilities, communication protocols, and procedures for containing and mitigating the impact of incidents.

Ongoing Monitoring and Review: Continuously monitoring and reviewing the effectiveness of risk mitigation measures. This includes regular testing, vulnerability assessments, security audits, and updates to ensure the controls remain relevant and effective.

Managing Third Party Vendor and Partners Risk (CC9.2)

The "Managing Third Party Vendor and Partners Risk" sub control (CC9.2) encompasses a comprehensive set of measures designed to identify, assess, and manage the risks arising from engagements with third-party vendors and partners. It emphasizes the need for due diligence, ongoing monitoring, and effective controls to ensure the security, privacy, and integrity of data shared with external entities.
Developing Risk Mitigation Activities (CC9.1)

The "Developing Risk Mitigation Activities" sub control (CC9.1) is designed to ensure that an organization identifies, evaluates, and mitigates risks effectively. It involves the development and implementation of comprehensive risk mitigation activities to protect the confidentiality, integrity, and availability of sensitive information and critical systems.

The Change Management control is an essential component of the SOC 2 (Service Organization Control 2) framework. It focuses on the processes and procedures that govern changes made to an organization's systems, applications, and infrastructure. This control ensures that changes are implemented in a controlled and structured manner, minimizing the risk of disruptions, security breaches, or unauthorized modifications.

The Change Management control typically involves the following key aspects:

Change Request Process: Establishing a formalized process for requesting and initiating changes. This process includes the submission, review, approval, and prioritization of change requests.

Change Evaluation and Impact Analysis: Conducting thorough assessments to evaluate the potential impact of proposed changes on systems, applications, and infrastructure. This analysis considers factors such as security, performance, availability, and compliance requirements.

Change Approval and Authorization: Implementing a mechanism for approving and authorizing changes based on predefined criteria, which may involve multiple levels of review and approval based on the nature and significance of the change.

Change Implementation and Testing: Ensuring that changes are implemented and tested in a controlled environment, following standardized procedures. This includes maintaining documentation of the change process, documenting any deviations, and conducting appropriate testing before deploying changes into production.

Change Documentation and Communication: Maintaining comprehensive records of all changes made, including the reason for the change, individuals involved, and details of the implementation. Communicating changes to relevant stakeholders, such as system administrators, users, and customers, is also a critical aspect of this control.

Change Management for Infrastructure, Data, Software, and Procedures (CC8.1)

The "Change Management for Infrastructure, Data, Software, and Procedures" sub control (CC8.1) encompasses a comprehensive set of policies, procedures, and controls designed to manage and govern changes across various aspects of an organization. This includes changes to infrastructure components, data systems and databases, software applications, and operational procedures.

The System Operations control within the SOC 2 framework focuses on ensuring that systems and infrastructure are operated securely, efficiently, and reliably. It encompasses various aspects of managing and maintaining the organization's IT environment to support the delivery of services and protect sensitive information.

This control addresses key areas such as incident response, system monitoring, change management, backup and recovery, and logical access controls. It aims to establish a structured approach to system operations to mitigate risks, maintain availability, and safeguard data integrity.

By implementing and adhering to the System Operations control, organizations can enhance the overall reliability, performance, and security of their systems and infrastructure, ultimately contributing to the trust and confidence of their stakeholders.

Incident Recovery (CC7.5)

The "Incident Recovery" sub control (CC7.5) encompasses a set of practices and protocols designed to facilitate the recovery process in the aftermath of security incidents. It recognizes that despite robust preventive measures, incidents may still occur, and it is essential to have a well-defined incident recovery plan in place.
Incident Response (CC7.4)

The "Incident Response" sub control (CC7.4) encompasses a set of processes and procedures designed to ensure an organized and effective response to security incidents. This sub control acknowledges that despite preventive measures, incidents can still occur. Therefore, having a well-defined incident response capability is essential to minimize the impact, mitigate risks, and restore normal operations swiftly.
Incident Management (CC7.3)

The "Incident Management" sub control (CC7.3) focuses on the development and implementation of comprehensive incident management processes within our organization. These processes encompass the identification, assessment, response, mitigation, and recovery from security incidents, data breaches, and other disruptive events. By implementing this sub control, we aim to establish an efficient incident management framework that enables a rapid and effective response to incidents while minimizing potential damage and disruption.
Monitoring for Anomalies (CC7.2)

The "Monitoring for Anomalies" sub control (CC7.2) encompasses the implementation of monitoring mechanisms and processes to identify and respond to anomalies within an organization's systems and networks. Anomalies refer to unusual or unexpected activities, patterns, or behaviors that may indicate security threats, system malfunctions, or unauthorized access attempts.
Detection and Monitoring Procedures (CC7.1)

The "Detection and Monitoring Procedures" sub control (CC7.1) encompasses a range of activities aimed at detecting and monitoring security incidents and events within an organization's systems and networks. It involves implementing effective tools, processes, and controls to promptly identify and respond to potential security threats and vulnerabilities.

Commitment to Ethics and Integrity

"Commitment to Ethics and Integrity" involves evaluating the organization's dedication to ethical behavior and maintaining high standards of integrity.

Protecting Information in Transmission, Movement and Removal (CC6.7)

The "Protecting Information in Transmission, Movement, and Removal" sub control (CC6.7) addresses the need for robust controls and safeguards to protect information from unauthorized access, interception, loss, or corruption during its transmission, movement, or removal. This sub control acknowledges the risks associated with the transfer and removal of sensitive information and emphasizes the implementation of appropriate security measures to mitigate those risks.
Protecting Against External Threats (CC6.6)

The "Protecting Against External Threats" sub control (CC6.6) addresses the need for comprehensive security measures to protect an organization's digital assets from external threats. It encompasses strategies, technologies, and practices designed to detect, prevent, and respond to external attacks, intrusions, and unauthorized access attempts.
Discontinuing Logical and Physical Protections (CC6.5)

The "Discontinuing Logical and Physical Protections" sub control (CC6.5) encompasses the processes and procedures necessary for the controlled removal of logical and physical security controls that are no longer required within an organization. This sub control recognizes the importance of maintaining a secure environment during changes to the organization's infrastructure, systems, or processes.
Restricting Physical Access (CC6.4)

The "Restricting Physical Access" sub control (CC6.4) encompasses policies, procedures, and physical security measures that are designed to restrict access to sensitive areas within an organization's premises. It aims to ensure that only authorized personnel can access areas where physical assets or sensitive information are stored or processed.
Managing Access to Information Assets (CC6.3)

The "Restricting Managing Access to Information Assets" sub control (CC6.3) encompasses a set of practices and procedures designed to control and monitor access to information assets within an organization. It aims to prevent unauthorized access, protect sensitive data, and ensure that access privileges are granted based on the principle of least privilege.
User Registration and Authorization (CC6.2)

The "User Registration and Authorization" sub control (CC6.2) involves the implementation of comprehensive procedures and mechanisms to manage user registration and establish appropriate user privileges within an organization's systems. It addresses the importance of verifying user identities, enforcing strong authentication methods, and granting appropriate access privileges based on defined roles and responsibilities.
User Registration and Authorization (CC6.2)

The "User Registration and Authorization" sub control (CC6.2) involves the implementation of comprehensive procedures and mechanisms to manage user registration and establish appropriate user privileges within an organization's systems. It addresses the importance of verifying user identities, enforcing strong authentication methods, and granting appropriate access privileges based on defined roles and responsibilities.

SOC 2

SOC 2

Policies and Procedures for Storing Inputs, Items in Processing, and Outputs (PI1.5)

Retaining Personal Information (P4.2)

Limiting Use of Personal Information (P4.1)

Consent for Requesting Personal Information (P3.2)

Collecting Personal Information (P3.1)

Communicating Use of Personal Information (P2.1)

Notice of Privacy Practices (P1.1)

Disposing Personal Information (P4.3)

Policies and Procedures of System Output (PI1.4)

Policies and Procedures of System Processing (PI1.3)

Policies and Procedures of System Inputs (PI1.2)

Quality of Information in Processing Data (PI1.1)

Destroying Confidential Information (C1.2)

Identifying Confidential Information (C1.1)

Recovery Testing (A1.3)

Infrastructure Management (A1.2)

Vendor Privacy Commitments (P6.4)

Communicating to Inquiries, Complaints, and Disputes (P8.1)

Accuracy of Personal Information (P7.1)

Responding to Personal Information Requests (P6.7)

Breach and Incident Notification (P6.6)

Vendor Notification for Unauthorized Disclosures (P6.5)

Vendor Privacy Commitments (P6.4)

Managing Capacity Demand (A1.1)

Recording Unauthorized Disclosures (P6.3)

Recording the Disclosure of Personal Information (P6.2)

Consent for Disclosing Personal Information (P6.1)

Correcting Personal Information (P5.2)

Granting Access to Personal Information (P5.1)

Assessment of Changes (Principle 9) (CC3.4)

Communicating Control Deficiencies (Principle 17) (CC4.2)

Evaluating and Monitoring Internal Controls (Principle 16) (CC4.1)

External Communications (Principle 15) (CC2.3)

Internal Communications (Principle 14) (CC2.2)

Uses of Relevant, Quality Information (Principle 13) (CC2.1)

Policies and Procedures (Principle 12) (CC5.3)

Technology Control Activities (Principle 11) (CC5.2)

Developing Control Activities (Principle 10) (CC5.1)

Protecting Information Assets (CC6.1)

Assessment of Fraud Risks (Principle 8) (CC3.3)

Risk Identification and Analysis (Principle 7) (CC3.2)

Assessment of Risks (Principle 6) (CC3.1)

Internal Control Objectives and Responsibilities (CC7.3)

Competency and Training (CC7.4)

Organizational Structure and Governance (CC7.1)

Board and Management Oversight (CC7.2)

Preventing and Detecting Malicious Software (CC6.8)

Managing Third Party Vendor and Partners Risk (CC9.2)

Developing Risk Mitigation Activities (CC9.1)

Change Management for Infrastructure, Data, Software, and Procedures (CC8.1)

Incident Recovery (CC7.5)

Incident Response (CC7.4)

Incident Management (CC7.3)

Monitoring for Anomalies (CC7.2)

Detection and Monitoring Procedures (CC7.1)

Commitment to Ethics and Integrity

Protecting Information in Transmission, Movement and Removal (CC6.7)

Protecting Against External Threats (CC6.6)

Discontinuing Logical and Physical Protections (CC6.5)

Restricting Physical Access (CC6.4)

Managing Access to Information Assets (CC6.3)

User Registration and Authorization (CC6.2)

User Registration and Authorization (CC6.2)