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SOC 2 system description template

An outline that follows the sections of the AICPA description criteria (DC 200), with notes on what each one has to cover. Fill it in, then hand it to your auditor.

The system description is management's own document: it becomes section 3 of the report, and the auditor gives an opinion on whether it is fairly presented. Write it about the system as it runs, not as policy says it should.

Keep it specific. Name the services, regions and tools in scope, and leave out anything that is not. Every control you describe is a control the auditor will test.

The guide behind it: How to Write a SOC 2 System Description (DC 200)

[Company] system description: [system name]

Period covered: [start date] to [end date] (Type 2) or as of [date] (Type 1).

Trust services categories in scope: [Security, plus Availability, Confidentiality, Processing Integrity or Privacy where included].

1. Services provided

What the system does for customers, in a paragraph a buyer can read. Name products and tiers in scope, and any that are not.

[Company] provides [service] to [type of customers]. The system in scope is [product or platform name], which [what it does].

Out of scope: [products, regions or services not covered by this report].

2. Principal service commitments and system requirements

What you promise customers (contracts, SLAs, security pages) and the requirements you set yourself to keep those promises.

  • Commitments to customers: [e.g. uptime target, data residency, encryption, breach notification within a set time].
  • Where they are made: [master services agreement, DPA, SLA, public security page].
  • System requirements that support them: [e.g. backups every N hours, access reviews quarterly, incidents triaged within N hours].

3. Components of the system

The five components the description criteria ask for. Describe each as it is during the period.

Infrastructure: [cloud provider and regions, networks, environments in scope].

Software: [applications, databases, internal tools and third-party services that process customer data].

People: [teams and roles that run the system, e.g. engineering, security, support, leadership].

Procedures: [how access, change, monitoring, incident response and vendor management are carried out].

Data: [what customer data the system holds, where it is stored, how it moves and how long it is kept].

4. Boundaries of the system

Where the system starts and stops, including what customers and vendors operate.

The system boundary includes [components]. It excludes [components operated by customers or vendors].

5. Relevant aspects of the control environment

Governance, risk assessment, information and communication, and monitoring: the CC1 to CC5 side of the criteria.

  • Governance and oversight: [board or equivalent, security owner, reporting lines].
  • Risk assessment: [how often, who runs it, how risks are treated].
  • Information and communication: [policies, training, customer communication channels].
  • Monitoring: [continuous monitoring, internal reviews, penetration tests].

6. Subservice organisations

Vendors whose controls the system depends on. Say whether each is carved out (its controls are excluded and you rely on its own report) or included.

Subservice organisationService providedMethodControls expected of it
[Cloud provider][Hosting][Carve-out][Physical security, environmental controls]

7. Complementary user entity controls

Controls the report assumes your customers operate. Keep the list short and real.

  • Customers are responsible for [managing their own users' access to the service].
  • Customers are responsible for [the security of credentials and API keys issued to them].
  • Customers are responsible for [reviewing audit logs made available to them].

8. Criteria not relevant to the system

Any criterion in scope that does not apply, with the reason. Leave the section in with 'None' if every criterion applies.

[Criterion]: not relevant because [reason, e.g. the company operates no physical data centre].

9. Significant changes and incidents during the period

Changes to the system, and incidents that came from controls not designed or operating as described.

Changes: [e.g. migration to a new region, new identity provider, acquisition].

Incidents: [none, or a description of the incident and how it was resolved].

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FAQ

Frequently asked questions

Talk to us

Who writes the SOC 2 system description?

Management does. The auditor reviews it and gives an opinion on whether it is fairly presented, but it is the company's own statement about its system. Auditors and consultants can comment on drafts.

How long should a system description be?

As long as the system needs and no longer. A focused SaaS product can be described in a few pages; length that comes from copied boilerplate creates controls the auditor then has to test.

Trust, settled.

Templates are the start. Noru drafts the policies from your own setup, tracks approvals and acknowledgements, and keeps the evidence.