SOC 3, Service Organization Control 3, compliance in relation to technology is very similar and closely related to those principles in SOC 2 compliance. The difference is in how the respective audit report is presented and shared.
SOC 3 compliance focuses on security, availability, processing integrity, confidentiality and privacy of customer data and the technology controls that process and support these areas.
The relation of SOC 3 Compliance to technology is related to the following:
Security
This assesses the security controls implemented by a service organization to protect its customers data from unauthorized access, breaches, and other security threats.
In relation to technology this includes:
- Access Controls - Ensuring that only authorized people have access to the system and respective data.
- Network Security - This involves the implementing of measures to ensure data is kept secure during transmission as well as at rest and securing the necessary network infrastructure.
- System Monitoring & Logging - It is important to keep records of system activities for security analysis & incident detection and response.
- Security Incident Response - The Establishment of procedures to respond to security incidents.
Availability
In the context of SOC 3, it assesses the reliability & uptime of systems and services.
Technology plays a crucial role in ensuring system availability:
- Redundancy - This involves the implementation of backup and failover systems to minimize downtime.
- Disaster Recovery Planning - Preparing for & recovering from an unexpected event that could potentially impact system availability.
- System Performance - Monitoring & managing system performance to prevent downtime due to resource exhaustion.
Process Integrity
This evaluates whether data processing is accurate, complete & reliable.
Controls when it comes to technology include:
- Data Validation & Verification - Ensuring that data is processed accurately & without any errors
- Change Management - Has to do with the management of changes to software and systems to prevent errors or unauthorized alterations.
Confidentiality
It involves the protecting of sensitive data from unauthorized access or disclosure.
Technology plays a critical role in safeguarding confidential information and this includes:
- Encryption - When we say encryption we mean encrypting data both in transit as well as at rest to prevent unauthorized access.
- Access Controls - Ensuring that only those authorized individuals have access to the confidential data.
- Data Masking & Anonymization - This is the protecting of sensitive data by masking it or anonymizing it when necessary.
Privacy
This includes controls having to do with the privacy of customers data.
Such controls involve the management of personal information and compliance with privacy regulations
Some tech related controls include
- Data Classification - Identifying & categorizing data to determine the appropriate privacy protections.
- Data Retention & Deletion - Implementing policies & procedures for data retention & secure deletion.
The Difference Between SOC 2 & SOC 3
The main difference is in the presentation & distribution of the audit report.
With SOC 3, compliance results in a public facing report, known as the SOC 3 report, which can be freely distributed to customers and stakeholders.
This provides a summary of the service organization’s controls & practices that relate to security, availability, processing, integrity, confidentiality, & privacy.
Summary
SOC 3 compliance in terms of technology focuses on the technology controls and processes that support the security, availability, processing integrity, confidentiality, & privacy of customer data.
The audit results are then presented in a public facing report to demonstrate a service organization’s commitment to these principles.
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