Organizations are under more pressure than ever to show their dedication to protecting sensitive information in the digital era, when the value of data security has grown significantly. A widely accepted industry standard for evaluating and assuring the security, availability, processing integrity, confidentiality, and privacy of data is the SOC 2 (Service Organization Control 2) framework. To fulfill the Trust Services Criteria (TSC) and achieve SOC 2 compliance, a company must have a thorough awareness of its current security measures.

For enterprises beginning their road towards SOC 2 compliance, the SOC 2 Gap Analysis is an essential starting step. It entails a thorough evaluation of an organization’s present controls, policies, and processes in comparison to the strict standards of the TSC. Through this approach, they may improve their data security controls, match their operations with the SOC 2 standard, and eventually gain the trust of their customers and other interested parties.

In this article, we’re going to look at the importance of SOC 2 Gap Analysis, the essential procedures, and the advantages it provides to businesses aiming to strengthen their data security controls and achieve SOC 2 compliance.


SOC 2 (Service Organization Control 2) aids firms in enhancing their data security procedures and demonstrating their dedication to safeguarding sensitive data. SOC 2 offers a complete set of standards against which enterprises may evaluate and improve their data security procedures, including security, availability, processing integrity, confidentiality, and privacy.

The success of SOC 2 compliance shows a company’s commitment to cutting-edge standards for data security. This might be a key element in building confidence with customers, partners, and other stakeholders who want strong security measures.

Assessment and documentation of internal controls, policies, and procedures are required for SOC 2 compliance. Organizations may use this approach to pinpoint opportunities for development, restructure procedures, and boost operational effectiveness.

WHAT IS TSC (Trust Services Criteria)?

The SOC 2 (Service Organization Control 2) framework uses a set of criteria to evaluate the practices and controls of service organizations with regard to security, availability, processing integrity, confidentiality, and privacy. The TSC serves as the cornerstone for assessing and disclosing the efficacy of a company’s controls and procedures in these crucial areas.

The American Institute of Certified Public Accountants (AICPA) created the TSC, which is intended to offer a consistent framework for assessing the dependability and trustworthiness of service firms. They lay out the particular conditions that service firms must satisfy in order to comply with SOC 2.

The Trust Services Criteria are divided into the following five categories:

Trust Services Criteria

1. Security: This category is concerned with safeguarding data and systems from unwanted access, security flaws, and other threats.

2. Availability: It measures how well a company can provide prompt and dependable access to its services and systems while reducing interruptions and downtime.

3. Processing Integrity: This category assesses the organization’s processing operations for correctness, completeness, and validity and makes sure that data is handled in a dependable and consistent manner.

4. Confidentiality: Confidentiality has to do with preventing unauthorized disclosure or access to sensitive and confidential information.

5. Privacy: This area focuses on the organization’s compliance with applicable privacy laws and regulations in relation to the acquisition, use, retention, disclosure, and disposal of personal information.

These can be helpful for organizations to demonstrate their dedication to data security, integrity, and privacy by aligning their controls, policies, and processes with the TSC. This will reassure customers, stakeholders, and regulatory authorities of their commitment.


Gap analyses may be carried out in a number of ways to find SOC 2 compliance deficiencies. Here are two such strategies:

1. Documentation and Self-Assessment: One strategy is to evaluate current documentation and self-assessment. These include the subsequent actions:

  • Examining current policies and practices: Analyze the organization’s current guidelines, practices, and safeguards for data availability, security, processing integrity, confidentiality, and privacy. Examine these procedures in light of the Trust Services Criteria (TSC) specifications.
  • Conducting Interviews and Surveys: Involve key stakeholders in interviews or surveys, including management, security teams, and IT staff, to learn more about current procedures and controls. This aids in locating potential holes or shortcomings.
  •  Examining Incident and Audit Reports: Examine incident reports, internal audits, and any other pertinent paperwork to find any historical security incidents, weaknesses, or noncompliance issues. These reports might shed light on areas that need to be improved.
  •  Comparing Best Practices in the Industry: It evaluates the organization’s procedures in comparison to industry best practices and regulations, such as ISO 27001 or the NIST Cybersecurity Framework. Find any discrepancies between the present methods and the required degree of compliance.

 2. External Audit or Third-Party Assessment: Hiring an external auditor or third-party assessor to undertake a thorough evaluation is another option. These include the subsequent actions:

  • Selecting an External Auditor or Assessor: Pick an external auditor or third-party assessor with a solid reputation and knowledge of SOC 2 compliance.
  • Performing an on-site evaluation: The auditor or assessor makes a site visit to the organization to conduct a thorough evaluation. To find any areas where the TSC standards are not being fully met, they study the documentation, speak with the staff, and look at the controls and procedures.
  • Gap Identification and Reporting: The external auditor or assessor notes their conclusions and identifies instances of noncompliance or possible vulnerabilities. They offer a thorough report that details particular flaws and weaknesses and offers suggestions for fixing them.
  • Remediation Planning and Implementation: The organization creates a remediation strategy to address the identified deficiencies based on the external assessment report. The plan outlines certain steps, deadlines, accountable parties, and resource needs. The company then puts the required steps in place to close the gaps and achieve SOC 2 compliance.


Performing a SOC 2 Gap Analysis is a critical step in the SOC 2 compliance process. It involves evaluating an organization’s existing controls, policies, and procedures to identify any deficiencies or areas for improvement in meeting the requirements of the Trust Services Criteria (TSC). Here’s a closer look at how organizations can effectively perform a gap analysis:

Performing Gap Analysis

1. Understand the TSC: Recognizing gaps requires a thorough understanding of the TSC’s requirements, which is the first step. Security, availability, processing integrity, confidentiality, and privacy standards are part of the TSC. In order to conduct a thorough evaluation, familiarize yourself with each criterion.

2. Document Existing Controls: Begin by outlining the organization’s present data security controls, policies, and practices. This documentation provides for a thorough evaluation of the current status and acts as a benchmark for comparison.

3. Map Controls to TSC: Align the described controls with the pertinent TSC criteria. This process of mapping makes sure that every control is assessed in relation to the particular requirements it seeks to satisfy. It aids in locating any possible holes or instances of non-compliance.

4. Perform Gap Assessment: Conduct a comprehensive study of the mapped controls to gauge how well they match the TSC’s requirements as part of the gap analysis process. Evaluate any differences or deviations by contrasting the documented controls with the precise requirements. These flaws might include implementation errors, missing controls, or ineffective controls.

5. Prioritize Detected Gaps: After gaps are found, it’s critical to rank them according to how they could affect data security and compliance. Determine which gaps need immediate attention and correction by evaluating the seriousness and possible dangers connected with each one.

6. Create Remediation Plans: Create a remediation plan outlining the procedures required to close each gap found and bring the company into compliance. Specific activities, deadlines, accountable parties, and any required resources or investments should all be included in the plan.

7. Implement Remediation Measures: Put the remediation plans into action by putting the required security controls, policies, and procedures in place to close the gaps that were found. This can entail improving current controls, putting in place new controls, or changing procedures to conform to TSC criteria.

Following the implementation of the corrective actions, regular oversight and reevaluations are crucial to maintaining compliance. Continuously evaluate the controls efficacy and keep an eye out for any gaps or changes in the regulatory environment that could call for revisions. Organizations may generate a clear picture of their existing compliance status, prioritize remedial actions, and create a path for achieving SOC 2 compliance by methodically identifying gaps and carrying out a gap analysis. It aids businesses in enhancing their data security procedures, reducing risks, and proving their dedication to safeguarding private data.


The significance of SOC 2 compliance cannot be overstated in today’s digital landscape, where data breaches and cyber threats are rampant. SOC 2 provides a recognized framework that enables organizations to demonstrate their commitment to protecting sensitive information and building trust with clients, partners, and stakeholders.

Employing a dependable partner like CertPro, a top supplier of compliance and certification services, may be advantageous for enterprises. With its knowledge and experience in SOC 2 compliance, CertPro assists businesses in navigating the intricate regulations and conducting gap analyses in an efficient manner. They offer in-depth analyses, professional advice, and specialized solutions to close identified gaps and achieve SOC 2 compliance.

By leveraging CertPro’s knowledge and support, organizations can streamline the gap analysis process, ensure adherence to industry best practices, and expedite their journey towards SOC 2 compliance. CertPro’s specialized expertise helps organizations bridge gaps, implement robust controls, and establish a strong foundation for data security and trust.


How frequently should a company run a SOC 2 gap analysis?

The frequency of a SOC 2 gap analysis depends on a number of variables, including legal requirements and changes to the organization’s systems, processes, or controls. It is advised to perform a gap analysis on a regular basis, such as once a year or whenever substantial changes take place.

What is the SOC 2 Type 2 monitoring period?

The SOC 2 Type II report evaluates the performance of your internal controls over a certain time period, usually between three and twelve months. SOC 2 Type II audits require a bigger time and resource commitment.

Can businesses enhance their data security procedures with the help of a SOC 2 gap analysis?

Yes, by highlighting any weaknesses in the current controls and procedures, a SOC 2 gap analysis may assist firms in strengthening their data security procedures. It gives companies information on areas that need improvement and enables them to prioritize corrective actions to improve their overall security posture.

What must I search for while I examine a SOC 2 report?

The oversight of the service organization, vendor management programs, regulatory oversight, risk management procedures, and internal regulatory oversight are other items to look for in your SOC 2 report.

What is the expiration date for SOC 2?

The SOC 2 report’s normal 12-month validity period makes it easier to confirm that internal controls are installed and enforced appropriately over time. Customers will find it much easier to trust you with their private information as a result.


About the Author


Nicolene Kruger, Regional Manager in South Africa, is an experienced Legal Counsel with expertise in compliance and auditing. Her strategic, solution-driven approach aligns legal standards with business objectives, ensuring seamless adherence to regulations.



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