SOC 2 Common Criteria List: CC-Series Explained

SOC 2, a widely recognized auditing framework developed by the American Institute of Certified Public Accountants (AICPA), is designed to assess the effectiveness of a service organization’s controls around data security. The SOC 2 report is based on the five Trust Services Criteria (TSC): Security, Availability, Processing Integrity, Confidentiality, and Privacy. However, at the core of SOC 2 are the Common Criteria (CC-Series), which define specific areas of controls that apply broadly across all the TSCs.

SOC 2 Common Criteria (CC-Series) Explained

In this article, we will explore the SOC 2 Common Criteria—the "CC-Series"—and break down what each one represents in ensuring that organizations maintain a high level of security and operational integrity. We will also discuss how these SOC 2 criteria help businesses protect sensitive data while building trust with clients and stakeholders.

Overview of the SOC 2 Common Criteria (CC-Series)

The CC-Series is a set of criteria that applies across multiple Trust Services Criteria, providing a common foundation for evaluating controls. The SOC 2 common criteria list includes the following key areas:

1. CC1: Control Environment
2. CC2: Communication and Information
3. CC3: Risk Assessment
4. CC4: Monitoring of Controls
5. CC5: Control Activities
6. CC6: Logical and Physical Access Controls
7. CC7: System Operations
8. CC8: Change Management
9. CC9: Risk Mitigation

Each of these criteria plays a role in creating a structured and secure environment that can be measured and audited for effectiveness. Let us explore each one.

CC1: Control Environment

The control environment refers to the organizational framework in which security and operational controls are implemented and maintained. This criterion focuses on governance, ethical values, organizational structure, and authority.

Key components of CC1 include:

• Ethics and Integrity: Ensuring that the organization’s leadership fosters a culture of integrity, with ethical standards communicated and upheld.
• Board Oversight: Involvement of the board of directors or equivalent governing body in overseeing the effectiveness of internal controls.
• Roles and Responsibilities: Clearly defined roles and responsibilities that support accountability within the organization, with appropriate segregation of duties.
• Commitment to Competence: The organization ensures employees have the knowledge and skills to perform their duties effectively, contributing to security and compliance.

CC2: Communication and Information

Effective communication and information management is essential to ensure that security-related policies, risks, and incidents are understood across the organization. This criterion focuses on the flow of information internally and externally.

Key elements of CC2 include:

• Communication of Objectives: Ensuring that all personnel are aware of the organization’s security and compliance objectives and understand their responsibilities.
• Information Systems: Identifying and maintaining the systems and channels necessary to collect, process, and disseminate relevant information across the organization.
• Internal and External Communication: Ensuring communication about relevant issues, including security risks and incidents, occurs between various departments and with external stakeholders like regulators and clients.

CC3: Risk Assessment

Risk assessment is at the heart of any security framework. Organizations need to identify, assess, and manage risks that could negatively impact their systems or data. CC3 focuses on evaluating potential threats and vulnerabilities and implementing appropriate controls.

Key activities involved in CC3 include:

• Risk Identification: Identifying and understanding security risks that might affect the organization’s ability to meet its security objectives.
• Risk Evaluation: Prioritizing risks based on their potential impact and likelihood of occurrence, enabling the organization to focus on the most significant threats.
• Response to Risks: Implementing and adjusting controls to mitigate identified risks, ensuring the system continues to function effectively and securely.

CC4: Monitoring of Controls

Continuous monitoring of controls ensures that an organization’s systems and processes function as intended over time. CC4 focuses on the ongoing evaluation of security controls and the prompt resolution of any issues.

Key aspects of CC4 include:

• Regular Monitoring: Performing regular checks on the performance and effectiveness of internal controls, whether through automated tools or manual processes.
• Internal Audits: Conducting internal audits to assess the robustness of controls and identifying any areas requiring improvement.
• Corrective Actions: Promptly addressing any identified deficiencies in the control environment to prevent them from escalating into larger risks.

CC5: Control Activities

Control activities refer to the specific actions and processes put in place to mitigate risks and achieve organizational objectives. This criterion includes both preventive and detective controls to ensure the security of the system.

Key areas of CC5 include:

• Policies and Procedures: Implementing and enforcing security policies that guide employees in performing their duties in a secure manner.
• Access Controls: Enforcing strict access control policies to prevent unauthorized individuals from gaining access to sensitive systems or data.
• Segregation of Duties: Ensuring that key functions are separated among individuals to minimize the risk of fraud or error.

CC6: Logical and Physical Access Controls

Logical and physical access controls are critical for ensuring that only authorized individuals can access sensitive data and systems. CC6 focuses on both digital (logical) and physical measures to safeguard organizational assets.

Key elements of CC6 include:

• User Access Management: Implementing authentication and authorization procedures to ensure that only approved individuals can access systems or data.
• Physical Security: Enforcing physical security measures such as locks, access badges, and surveillance systems to protect facilities and data centers from unauthorized access.
• Review of Access Rights: Periodically reviewing and updating user access privileges to ensure they remain appropriate for current roles and responsibilities.

CC7: System Operations

System operations refer to how the organization ensures that its IT systems function as intended while maintaining security and availability. CC7 emphasizes the importance of monitoring, managing, and securing systems during day-to-day operations.

Key components of CC7 include:

• Operational Monitoring: Continuously monitoring IT systems for anomalies or unauthorized access attempts.
• Incident Response: Establishing incident response procedures to quickly detect, contain, and resolve security breaches or system failures.
• Backup and Recovery: Ensuring that critical data is regularly backed up and that recovery procedures are in place to restore system operations in the event of a disaster.

CC8: Change Management

Effective change management is necessary to ensure that changes to the system or infrastructure do not introduce new vulnerabilities or risks. CC8 focuses on how organizations manage updates, patches, and other system changes securely.

Key activities in CC8 include:

• Change Requests and Approvals: Establishing a formal process for requesting, evaluating, and approving changes to systems or software.
• Testing and Validation: Ensuring that changes are tested in a controlled environment before being implemented to identify any potential security issues.
• Change Documentation: Documenting all changes, including the rationale, approvals, and potential impacts on security controls.

CC9: Risk Mitigation

Risk mitigation is a proactive approach to managing security threats by implementing appropriate controls to reduce the likelihood or impact of potential risks. CC9 focuses on the organization’s strategy for dealing with identified risks.

Key aspects of CC9 include:

• Risk Response Plans: Developing and maintaining plans for responding to risks, such as breaches or system outages, to minimize the damage caused.
• Preventive Controls: Implementing controls designed to prevent risks from materializing, such as firewalls, encryption, and employee training.
• Detection and Response: Ensuring that the organization has tools and procedures in place to detect security incidents in real time and respond swiftly to mitigate their impact.

Expert Consultation on SOC 2 Common Criteria (CC-Series)

The SOC 2 Common Criteria (CC-Series) constitutes a complete framework for analyzing and managing the security, availability, and integrity of an organization’s systems and data. This SOC 2 controls list offers a systematic approach to security, stressing everything from risk assessment and communication to logical access and change management. By establishing controls across these areas, firms can not only achieve SOC 2 criteria but also increase their overall security posture, ensuring they protect their clients' data.

Understanding and complying with the CC-Series helps firms demonstrate their commitment to security, which is increasingly a crucial differentiator in today’s digital economy. Navigating SOC 2 compliance, including SOC 2 common criteria mapping, can be complex, but Compass offers expert guidance every step of the way. With deep knowledge in all facets of SOC 2, Compass can help streamline the process, ensuring your organization meets the necessary requirements while strengthening its security and operational integrity. Whether it is aligning controls or conducting a thorough gap analysis, Compass is here to support your success in achieving and maintaining SOC 2 compliance. Contact us today to learn more.