SOC

Overview

AWS System and Organization Controls (SOC) Reports are independent third-party examination reports that demonstrate how AWS achieves key compliance controls and objectives. The purpose of these reports is to help you and your auditors understand the AWS controls established to support operations and compliance. There are five AWS SOC Reports:

• AWS SOC 1 Report, available to AWS customers from AWS Artifact.
• AWS SOC 2 Security, Availability & Confidentiality Report, available to AWS customers from AWS Artifact.
• AWS SOC 2 Privacy Type II Report, available to AWS customers from AWS Artifact.
• AWS SOC 3 Security, Availability & Confidentiality Report, publicly available as a whitepaper. 

• What information do the AWS SOC Reports provide?

  	SOC 1	SOC 2: Security, Availability & Confidentiality	SOC 2: Privacy	SOC 3: Security, Availability & Confidentiality
  What is the report?	A description of the AWS control environment and external audit of AWS defined controls and objectives	A description of the AWS controls environment and external audit of AWS controls that meet the AICPA Trust Services Security, Availability, and Confidentiality Criteria	A description of the AWS controls environment and external audit of AWS controls that meet the AICPA Trust Services Privacy Criteria	A public facing report demonstrating AWS has met the AICPA Trust Services Security, Availability, and Confidentiality Criteria
  Under what Standard is the Audit Report Performed?	SSAE No. 18, Attestation Standards: Clarification and Recodification (AICPA, Professional Standards), which includes AT-C section 320, Reporting on an Examination of Controls at a Service Organization Relevant to User Entities’ Internal Control Over Financial Reporting. AICPA Guide, Service Organizations: Reporting on an Examination of Controls at a Service Organization Relevant to User Entities’ Internal Control Over Financial Reporting (SOC 1®)	SSAE No. 18, Attestation Standards: Clarification and Recodification, which includes AT-C section 105, Concepts Common to All Attestation Engagements, and AT-C section 205, Examination Engagements AICPA Guide, Reporting on Controls at a Service Organization Relevant to Security, Availability, Processing Integrity, Confidentiality, or Privacy(SOC 2®) TSP section 100A, 2017 Trust Services Criteria for Security, Availability, Processing Integrity, Confidentiality, and Privacy (AICPA, 2017 Trust Services Criteria)	Same as SOC 2: Security Availability & Confidentiality	SSAE No. 18, Attestation Standards: Clarification and Recodification, which includes AT-C section 105, Concepts Common to All Attestation Engagements, and AT-C section 205, Examination Engagements TSP section 100A, 2017 Trust Services Criteria for Security, Availability, Processing Integrity, Confidentiality, and Privacy (AICPA, 2017 Trust Services Criteria)
  What's the Primary Report Purpose?	To provide information to customers about AWS' control environment that may be relevant to their internal controls over financial reporting To provide information to customers and their auditors for their assessment and opinion of the effectiveness of internal controls over financial reporting (ICOFR)	To provide customers and users with a business need with an independent assessment of AWS' control environment relevant to system security, availability, and confidentiality	To provide customers with an independent assessment of AWS’ systems and the suitability of the design of AWS’ privacy controls. The SOC 2 Privacy Trust Principle, developed by the American Institute of CPAs (AICPA), establishes criteria for evaluating controls related to how personal information is collected, used, retained, disclosed, and disposed to meet the entity’s objectives.	To provide customers and users with a business need with an independent assessment of AWS' control environment relevant to system security, availability, and confidentiality without disclosing AWS internal information
  Who is the Primary Report Audience?	Customer management and their auditors	Users with business need	Users with business need to understand the AWS controls relevant to privacy	Publicly available here
  What Period does the AWS Report Cover?	6 Months: 10/1-3/31 and 4/1-9/30	6 Months: 10/1-3/31 and 4/1-9/30	6 Months: 10/1-3/31 and 4/1-9/30	6 Months: 10/1-3/31 and 4/1-9/30

  SOC 2: Security, Availability & Confidentiality

• Which AWS services are in scope for the SOC Reports?

  The covered AWS services that are already in scope for the SOC reports can be found within AWS Services in Scope by Compliance Program. If you would like to learn more about using these services and/or have interest in other services please contact us.
  

• Which regions are covered by the AWS SOC Reports?

  For a complete list of all in scope regions please refer to the AWS SOC 3 Report. 

• Who performs the independent third-party audit of AWS for the SOC Reports?

  Ernst & Young LLP performs the AWS SOC 1, SOC 2 and SOC 3 audits.

• How often are the AWS SOC Reports issued and when can I expect a new report to be released?

  AWS issues SOC 1, SOC 2, and SOC 3 Reports twice per year, covering 6-month periods (October 1 – March 31 and April 1 – September 30). New reports are released in mid-May and mid-November.
  

• Is there an ISAE 3402 Report?

  The AWS SOC 1 Audit is conducted in accordance with International Standards for Assurance Engagements No. 3402 (ISAE 3402). Customers needing an ISAE 3402 Report should request the AWS SOC 1 Type II Report by using AWS Artifact, a self-service portal for on-demand access to AWS compliance reports. Sign in to AWS Artifact in the AWS Management Console, or learn more at Getting Started with AWS Artifact.
  

• Is a non-disclosure agreement (NDA) required to receive the AWS SOC Reports?

  An NDA is required to review the AWS SOC 1 and SOC 2 reports. The AWS SOC 3 report is a publicly available summary of the AWS SOC 2 report. The AWS SOC 3 report outlines how AWS meets the AICPA’s Trust Security Principles in SOC 2 and includes the external auditor’s opinion of the operation of controls. You can read the latest AWS SOC 3 Report on the AWS website.
  

• How do I request an AWS SOC 1 or SOC 2 Report?

  The AWS SOC 1 and SOC 2 are available to customers by using AWS Artifact, a self-service portal for on-demand access to AWS compliance reports. Sign in to AWS Artifact in the AWS Management Console, or learn more at Getting Started with AWS Artifact.
  

• Where can I find the AWS SOC 3 Report?

  The latest AWS SOC 3 Report is publicly available on the AWS website.
  

• When will new regions be covered by the SOC Reports?

  AWS issues SOC 1, SOC 2, and SOC 3 Reports twice per year, covering 6-month periods (October 1 – March 31 and April 1 – September 30). As appropriate, we will scope-in new regions to our SOC reports at the next available review cycle.