CC3.1: Objectives for risk assessment
The company states clearly what it is trying to protect and which commitments (availability, confidentiality, contractual, legal) its risk assessment must address, so risks can be measured against something concrete.
Category: Security (common criteria, required in every SOC 2 report) · Series: CC3 (Risk assessment) · TSC 2017 (2022 points of focus)
That summary is Policyseed’s own paraphrase, written to be read next to the policy sections below. The authoritative wording is the AICPA’s Trust Services Criteria, which the CPA firm tests your controls against during the examination.
Policies that address CC3.1
The Policyseed crosswalk points CC3.1 at 2 policies. Each link opens the full sample text at the section an auditor would read. Section 4 holds the statements management commits to; section 5 holds the procedures that produce evidence.
- P01 Information Security Policy, section 4 (Policy Statements). Owner: Security Owner.
- P17 Risk Assessment and Management Policy, section 4 (Policy Statements). Owner: Security Owner.
Evidence examples for CC3.1
Artifacts a company of 5 to 200 people can realistically produce. The Audit Kit’s evidence checklist lists them per policy with an owner column so each one has a name against it before the examination.
- Risk assessment scope statement naming the in-scope product, environments and Trust Services Categories
- Information Security Policy section listing the company's security objectives and commitments
- System description or architecture diagram used as the input to the annual risk assessment
Related criteria in CC3 (Risk assessment)
Previous: CC2.3 External communication. Next: CC3.2 Identifying and analyzing risks. All 38 criteria are listed on the template index.
Policyseed provides governance policy templates and AI tailoring. It is not legal advice and not a compliance guarantee. Management adopts the policies; the CPA firm performs the SOC 2 examination.