# SOC 2 (2017 TSC) A1.3 — Testing of System Recovery Procedures - Source: https://support.icompaas.com/compliance/soc-2-trust-services-criteria/a1-3-testing-of-system-recovery-procedures - Section: [Compliance](https://support.icompaas.com/compliance) › [SOC 2 Trust Services Criteria (2017, with 2022 points of focus)](https://support.icompaas.com/compliance/soc-2-trust-services-criteria) › Availability — A1 - Last updated: 2026-06-05 - Publisher: iCompaas, Inc. (https://www.icompaas.com) **SOC 2 (2017 TSC)**·Criterion `A1.3`·high·Component: **Availability** ## What this control requires > The entity tests recovery plan procedures supporting system recovery to meet its objectives. > > — SOC 2 (2017 TSC), Criterion A1.3 ### In plain English The entity tests recovery plan procedures supporting system recovery to meet its objectives. In practice, this means you can prove you risk objectives-level controls on a defined cadence. ## Why it matters Every SOC 2 audit opinion is built control-by-control from the Trust Services Criteria. A missing or failing criterion produces an exception in the report, which buyers, partners and procurement teams read line-by-line during vendor reviews. This control is rated **high**. Auditors expect a named owner, a remediation SLA, and a tooling artefact that evidences continuous operation. ## What an auditor looks for A SOC 2 auditor (under AT-C §§ 105/205) tests both design and operating effectiveness over the audit window. For each criterion they expect a written control, a control owner, a population of events, and a sample tested against the population — including remediation tickets for exceptions. Within **Availability**, the assessor will trace your implementation back to the catalogue reference (Criterion A1.3) and look for objective evidence on the latest two assessment cycles. ## How to implement #### Code Review Testing **Pipeline.** Require at least one human reviewer plus passing CI (lint, type, unit, security scan) before merge — protected branches enforce this. #### Policy Management **Docs.** Keep each policy in version-controlled Markdown alongside the code that implements it; ship a signed PDF snapshot at each annual review and link the SHA into the SoA. ### Operational checklist - **Risk.** Document the trigger, the owner and the cadence. - **Management.** Document the trigger, the owner and the cadence. - **Scope:** objectives, management, system recovery procedures. ## Evidence to collect - **Policy Document.** A signed and version-controlled policy / standard / procedure document. Signed policy or standard documents the safeguard. Focus: Testing of System Recovery Procedures (Original component: Availability). ## Common pitfalls - Policies that no engineer has read; the version in Confluence drifts from the version that's actually being enforced. ## How it maps to other frameworks Computed from shared tags, control component and key-operation subjects — handy when you are reconciling controls across an audit. - [**NIST SP 800-53 Rev. 5 CP-4(5)** — Self-Challenge](https://support.icompaas.com/compliance/nist-sp-800-53-rev-5/cp-4-5-self-challenge) - [**ISO/IEC 27001:2022 A.8.33** — Test information](https://support.icompaas.com/compliance/iso-27001-2022/a-8-33-test-information) - [**HIPAA (45 CFR Part 164) 164.308(a)(7)(ii)(B)** — Contingency Plan -Disaster Recovery Plan](https://support.icompaas.com/compliance/hipaa/164-308-a-7-ii-b-contingency-plan-disaster-recovery-plan) - [**NIST SP 800-171 Rev. 3 3.7.1** — Recategorized as NCO.](https://support.icompaas.com/compliance/nist-sp-800-171-rev-3/3-7-1-recategorized-as-nco) - [**CIS Controls v8 11.1** — Establish and Maintain a Data Recovery Process](https://support.icompaas.com/compliance/cis-controls-v8/11-1-establish-and-maintain-a-data-recovery-process) ## Related controls in SOC 2 (2017 TSC) - [**Criterion A1.2** — Management of Backup, Recovery, and Environmental Controls](https://support.icompaas.com/compliance/soc-2-trust-services-criteria/a1-2-management-of-backup-recovery-and-environmental-controls) - [**Criterion A1.1** — Monitoring and Managing System Capacity](https://support.icompaas.com/compliance/soc-2-trust-services-criteria/a1-1-monitoring-and-managing-system-capacity) - [**Criterion CC5.2** — Technology Control Activities to Support Objectives](https://support.icompaas.com/compliance/soc-2-trust-services-criteria/cc5-2-technology-control-activities-to-support-objectives) - [**Criterion C1.1** — Confidential Information Identification and Maintenance](https://support.icompaas.com/compliance/soc-2-trust-services-criteria/c1-1-confidential-information-identification-and-maintenance) - [**Criterion P3.1** — Personal Information Collection Aligned with Privacy Objectives](https://support.icompaas.com/compliance/soc-2-trust-services-criteria/p3-1-personal-information-collection-aligned-with-privacy-objectives) - [**Criterion CC2.2** — Internal Communications](https://support.icompaas.com/compliance/soc-2-trust-services-criteria/cc2-2-internal-communications) ## References - [AICPA / ASEC — SOC 2 (2017 TSC)](https://www.aicpa-cima.com/topic/audit-assurance/audit-and-assurance-greater-than-soc-2) - Catalogue identifier: `Criterion A1.3` Topics: governance riskbackup recoverycode review testingpolicy management ## Related compliance guidance - [SOC 2 compliance: a practical implementation guide for cloud-native SaaS teams](https://support.icompaas.com/compliance/soc-2-trust-services-criteria): Start with the full SOC 2 implementation guide — scope, roadmap, evidence and how the assessment runs. - [ISO/IEC 27001:2022 compliance: a practical implementation guide](https://support.icompaas.com/compliance/iso-27001-2022): The certificate most non-US customers ask for instead of SOC 2; the controls overlap enough to run one matrix for both. - [HIPAA compliance for SaaS: a practical implementation guide](https://support.icompaas.com/compliance/hipaa): If health-tech customers ask for SOC 2, they will also ask about the Security Rule; the two are usually evidenced from the same controls.