Implementation of controls

Road to audit-readiness

Gap analysis Control implementation Risk assessment Internal audit Management assertion System description

Once you’ve scoped your system and identified gaps as per the SOC 2 Trust Service Criteria chosen, it’s time to implement the controls in place. In the Security TSC, you can expect a ballpark of 80 controls, depending on your infrastructure.

You’ll have to define policies, roll out tools, and embed security into everyday workflows. Here’s a table for the overview of SOC 2 controls:

Control Area	Description / Key Focus
Control Environment	Establishes integrity and ethical values; involves leadership oversight; accountability for internal controls.
Communication and Information	Ensures effective communication of security policies and incident reporting within the organization.
Risk Assessment	Identifies and assesses risks and vulnerabilities regularly to manage security threats.
Monitoring Activities	Ongoing evaluation of controls to detect deficiencies and security incidents promptly.
Control Activities	Implementation of controls, processes, and technologies to mitigate risks (e.g., encryption, intrusion detection).
Logical and Physical Access Controls	Restricts unauthorized access to systems, data, and physical locations through authentication, authorization, and physical security.
System Operations	Maintains system monitoring, logging, and recovery plans to ensure secure and continuous operation.
Change Management	Controls for authorization, testing, approval, and implementation of system changes to avoid introducing vulnerabilities.
Risk Mitigation	Manages risks from third parties and other sources through vendor risk management and other measures.

Once the foundation is solid, move up:

– Configure monitoring tools, automate alerting, and implement encryption.
– Layer in more specific controls based on your selected TSCs – availability, privacy, and so on.

A lot of businesses prioritize the implementation of controls with factors like risk and ease of implementation. If it’s a high-risk, low-effort control, you do it first. If it’s a low-risk, high-effort control, you need to plan for later. The goal is to build a set of controls that actually fit how your business works and not just look good on paper.

Risk assessment

The Sprinto advantage

The SOC 2 certification process can feel overwhelming. Sprinto simplifies this journey by automating up to 80% of the work, making it up to 5X faster and saving up to 60% of costs. Beyond just passing the audit, it maintains continuous compliance through real-time monitoring of security controls with 200+ integrations.

With Sprinto doing the heavy lifting, you can focus on growing your business with the confidence that your security and compliance are always one step ahead.

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