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SOC 2 and similar standards

SOC 2 (Service Organization Control 2) evaluates an organization's security capabilities through a set of criteria and controls defined in the SOC 2 framework.

SOC 2 is specifically designed for technology and cloud computing organizations that handle customer data and sensitive information. The evaluation is typically conducted by an independent third-party auditor. The framework consists of five trust service criteria, and an organization is assessed on its ability to meet the requirements associated with each criterion:




  1. Security - information and systems are protected against unauthorized access and disclosure, and damage to the system that could compromise the availability, confidentiality, integrity and privacy of the system.
    • Firewalls
    • Encryption 
    • Access Controls
    • Intrusion detection
    • Multi-factor authentication
  2. Availability - information and systems are available for operational use. Must demonstrate the availability as per agreed upon SLAs (Service Level Agreements)
    • Performance monitoring
    • Redundancy
    • Failover Mechanisms
    • Disaster recovery
    • Incident handling
  3. Confidentiality - information is protected and available on a legitimate need to know basis. Applies to various types of sensitive information.
    • Encryption
    • Access controls
    • Data classification
    • Firewalls
  4. Processing Integrity - Information and systems are available for operation and use to meet the entity's objectives. System processing is complete, valid, accurate, timely and authorized.
    • Quality assurance
    • Process monitoring
    • Adherence to principle
  5. Privacy - personal information is collected, used, retained, disclosed and disposed according to entity's privacy policy/notice. Privacy applies only to personal information.
    • Access control
    • Consent Management and Controls
    • Multi-factor authentication
    • Encryption


  1. SOC 2 Process:

  1. Pre-Assessment:

    • Organizations often conduct a pre-assessment internally or with the help of consultants to identify gaps and areas of improvement before the formal audit.

  2. Scope Definition:

    • Define the scope of the audit, including the systems and processes in scope for evaluation.

  3. Risk Assessment:

    • Conduct a risk assessment to identify and assess risks to the confidentiality, integrity, and availability of information.

  4. Control Implementation:

    • Implement controls based on the trust service criteria to address identified risks.

  5. Documentation:

    • Prepare and maintain documentation of policies, procedures, and evidence of control implementation.

  6. Audit:

    • Engage an independent third-party auditor to conduct the SOC 2 audit. The auditor assesses the controls, reviews documentation, and interviews key personnel.

  7. Report Generation:

    • The auditor generates a SOC 2 report, which includes the auditor's opinion on the effectiveness of the organization's controls and whether they meet the trust service criteria.

  8. Report Distribution:

    • Organizations can distribute the SOC 2 report to customers, partners, and other stakeholders as evidence of their commitment to security and privacy.

It's important to note that achieving SOC 2 compliance is an ongoing process. Organizations must continuously monitor, evaluate, and improve their security and privacy practices to maintain compliance over time. Regular audits may be conducted to ensure ongoing adherence to the SOC 2 framework.


Similar Standards

  1. ISO/IEC 27001: Information Security Management System (ISMS):

    • Focus: Information security.
    • Description: ISO/IEC 27001 is an international standard that provides a framework for establishing, implementing, maintaining, and continually improving an Information Security Management System (ISMS). It covers various aspects of information security and is applicable to organizations of all sizes and industries.

  2. GDPR (General Data Protection Regulation):

    • Focus: Data protection and privacy.
    • Description: GDPR is a regulation in EU law that aims to protect the privacy and personal data of European Union citizens. It imposes strict requirements on organizations that process personal data and grants individuals greater control over their personal information.

  3. NIST Cybersecurity Framework:

    • Focus: Cybersecurity risk management.
    • Description: Developed by the National Institute of Standards and Technology (NIST), the Cybersecurity Framework provides a voluntary set of guidelines for organizations to manage and improve their cybersecurity risk management processes. It is widely used in the United States.

  4. HIPAA (Health Insurance Portability and Accountability Act):

    • Focus: Healthcare data privacy and security.
    • Description: HIPAA establishes standards for the protection of sensitive patient health information. It applies to healthcare providers, health plans, and healthcare clearinghouses, as well as their business associates.

  5. PCI DSS (Payment Card Industry Data Security Standard):

    • Focus: Payment card data security.
    • Description: PCI DSS is a set of security standards designed to ensure the secure handling of credit card information. It applies to organizations that process, store, or transmit credit card data.

  6. SOC 2 (Service Organization Control 2):

    • Focus: Security, availability, processing integrity, confidentiality, and privacy.
    • Description: SOC 2 is a framework for managing and securing sensitive data processed by service providers, particularly those in technology and cloud computing. It is designed to address controls related to security, availability, processing integrity, confidentiality, and privacy.

  7. CIS Controls (Center for Internet Security Controls):

    • Focus: Cybersecurity best practices.
    • Description: CIS Controls provide a set of prioritized cybersecurity actions to help organizations defend against cyber threats. The controls cover various aspects of cybersecurity, providing practical guidance on improving security posture.

  8. FISMA (Federal Information Security Management Act):

    • Focus: Information security for federal agencies.
    • Description: FISMA is a U.S. federal law that defines requirements for securing federal information and information systems. It outlines a framework for managing information security risks within federal government agencies.

  9. ISO/IEC 27701: Privacy Information Management System (PIMS):

    • Focus: Privacy management.
    • Description: ISO/IEC 27701 is an extension of ISO/IEC 27001 and focuses on privacy information management. It provides a framework for organizations to establish, implement, maintain, and continually improve a Privacy Information Management System.
NIST SP 800-53 (Security and Privacy Controls) and SP 800-66 (Implementing HIPAA Security Rule)
DoD 8500.2 (Information Assurance Implementation)
NERC-CIP (Critical Infrastructure Protection)

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