CC5.1: Selecting control activities

The company chooses controls that match the risks it identified, covering people, process and technology, and documents which control addresses which risk.

Category: Security (common criteria, required in every SOC 2 report) · Series: CC5 (Control activities) · 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 CC5.1

The Policyseed crosswalk points CC5.1 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 5 (Procedures). Owner: Security Owner.

Evidence examples for CC5.1

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.

• TSC Crosswalk mapping each criterion to the policy section that addresses it
• Risk register treatment column linking each risk to a control or policy
• Approved policy set with version numbers and effective dates

Related criteria in CC5 (Control activities)

• CC5.2: Technology controls
• CC5.3: Policies and procedures

Previous: CC4.2 Communicating deficiencies. Next: CC5.2 Technology controls. 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.