Fulfilling SOC 2 Backup Compliance Obligations

January 12, 2022

Developed by the American Institution of CPAs, the Service Organization Controls (SOC) is a way for companies providing services like data hosting, colocation, and data processing a way to prove their resilience and operations standards. Of particular interest to data protection and recovery professionals is the SOC 2 Report, an audit process indicating a data service company’s compliance with SOC’s five Trust Services Principles of security, availability, processing integrity, confidentiality and privacy.

As a automated backup monitoring tool, Bocada offers organizations an efficient, streamlined approach to demonstrating SOC 2 compliance. By unifying backup activity data from complex hybrid-cloud environments under a single pane, Bocada gives backup, storage and regulatory teams a core tool to satisfy SOC 2 backup compliance reporting guidelines.

Security Policies: The entity defines and documents its policies for the processing integrity of its system

According to SOC, “1.2b The entity’s system processing integrity and related security policies include…retention and destruction requirements.”

Bocada supports SOC 2 backup compliance reporting through the following capabilities:

  • Data retention policy reporting provides audit trails to verify data is kept for as long as needed and was purged when required.

Procedures: The entity placed in operation procedures to achieve its documented system availability objectives in accordance with its defined policies

According to SOC, “3.1 Procedures exist to (1) identify potential threats of disruptions to systems operation that would impair system availability commitments and (2) assess the risks associated with the identified threats. 3.2 Measures to prevent or mitigate threats have been implemented consistent with the risk assessment when commercially practicable 3.3. Procedures exist to provide for backup, offsite storage, restoration, and disaster recovery consistent with the entity’s defined system availability and related security policies. 3.4 Procedures exist to provide for the integrity of backup data and systems maintained to support the entity’s defined system availability and related security policies. 3.10 Procedures exist to identify, report, and act upon system availability issues and related security breaches and other incidents. 3.12 Procedures exist to provide that issues of noncompliance with system availability and related security policies are promptly addressed and that corrective measures are taken on a timely basis.”

Bocada supports SOC 2 backup compliance reporting through the following capabilities:

  • Built-in SLA compliance reporting simplifies demonstrating adherence to backup success rates, retention policy enforcement and other necessary backup activities.
  • Automated backup performance reporting identifies failed backups, enabling tailored troubleshooting so data is always protected and restorable.
  • In-progress backup job reporting across hybrid-cloud environments allows processors to proactively address issues that could harm data restoration.
  • VM Analysis Reports allow enterprises to identify machines that are not being protected by their backup software so that non-backup issues can be corrected.
  • Automated compliance report creation, scheduling and distribution offers a recurring governance process for reviewing backup fidelity and sharing compliance status with internal and external auditors.
  • Ticketing systems integration allows for automated creation of service tickets and faster notification and resolution.
  • Built-in critical failure alerting enables processors to address data backup failures quickly so that valuable data is protected.
  • Annotations make it easy to permanently document variances and audit steps taken to fix backup failures to protect data security.

Monitoring: The entity monitors the system and takes action to maintain compliance with its defined system security policies

According to SOC, 4.1 The entity’s system security is periodically reviewed and compared with the defined system security policies. 4.3 Environmental, regulatory, and technological changes are monitored and their effect on system security is assessed on a timely basis and policies are updated for that assessment.”

Bocada supports SOC 2 backup compliance reporting through the following capabilities:

  • Bocada automates pulling and normalizing backup data across geographies, departments, and business units on a recurring basis, allowing for periodic reviews of the entire backup environment.
  • Bocada offers reporting on over e0+ on-prem and cloud backup products, providing complete oversight even as organizations pursue digital transformation initiatives.

Ready to Assess Your SOC 2 backup compliance readiness?

Request a demo of Bocada’s automated backup monitoring and reporting software. With Bocada, backup teams enjoy a single-pane view of their complex backup operations. With proactive reporting, monitoring, and alerting, Bocada enables teams to stay ahead of SOC 2 backup compliance obligations.

SOC2 Backup Compliance