# SOC 2 PI1.3 — Processing Controls

- Source: https://support.icompaas.com/support/solutions/articles/a_gen_soc2_pi13_cf2e2a04e1-soc-2-pi13-processing-controls
- Section: [Solutions](https://support.icompaas.com/support/solutions) › [SOC2 Readiness](https://support.icompaas.com/support/solutions/62000111733) › [Processing Integrity](https://support.icompaas.com/support/solutions/folders/f_gen_62000111733_processingintegrity)
- Last updated: 2026-05-30
- Publisher: iCompaas, Inc. (https://www.icompaas.com)

SOC 2 · Control PI1.3 · Priority: high · Component: Processing Integrity

### What this control covers

The entity implements policies and procedures over system processing to result in products, services, and reporting to meet the entity's objectives.

### Why it matters

Risk is the language an executive team understands; this control connects technical reality to board-level decisions and budget allocation.

### How to implement

#### AWS

Codify the policy intent as **SCPs, AWS Config conformance packs, and Security Hub standards** so the cloud enforces what the document says.

#### Azure

Codify in **Azure Policy initiatives** (built-in regulatory compliance for CIS, ISO 27001, SOC 2, HIPAA) and assign at management-group level.

#### On-premises

Maintain a policy library with a documented review cadence (annual minimum); store in your GRC tool with attestation tracking. Map each policy to controls so an audit pull cites the exact policy clause.

### Evidence to collect

-   `policy_document` — A signed, version-controlled policy stating leadership intent and the named owner.

Signed policy or standard documents the safeguard. Focus: Processing Controls (Original component: Processing Integrity).

### Quick checklist

-   Risk — Objectives / Controls
-   Management — Objectives / Controls

### Related articles on this site

-   [Policies & Procedures](https://support.icompaas.com/support/solutions/articles/62000225150-policies-procedures)
-   [NIST 800-171 3.2.1 Ensure that managers, systems administrators, and users of organizational systems are made aware of the security risks associated with their activities and of the applicable policies, standards, and procedures related to](https://support.icompaas.com/support/solutions/articles/62000229264-nist-800-171-3-2-1-ensure-that-managers-systems-administrators-and-users-of-organizational-systems-)
-   [NIST 800-171 3.3.1 Create and retain system audit logs and records to the extent needed to enable the monitoring, analysis, investigation, and reporting of unlawful or unauthorized system activity](https://support.icompaas.com/support/solutions/articles/62000229271-nist-800-171-3-3-1-create-and-retain-system-audit-logs-and-records-to-the-extent-needed-to-enable-the)
-   [NIST 800-171 3.7.2 Provide controls on the tools, techniques, mechanisms, and personnel used to conduct system maintenance.](https://support.icompaas.com/support/solutions/articles/62000229305-nist-800-171-3-7-2-provide-controls-on-the-tools-techniques-mechanisms-and-personnel-used-to-condu)

## 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): The full SOC 2 implementation guide: scoping the Trust Services Criteria, the roadmap to a Type 2 report, and what the auditor samples.
- [ISO/IEC 27001:2022 compliance: a practical implementation guide](https://support.icompaas.com/compliance/iso-27001-2022): Teams that finish SOC 2 usually add ISO 27001 next; the control overlap is large and the guide explains what is genuinely extra.