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SOC 2 audits aren’t random security checks. They follow a structured framework designed to evaluate how well organizations protect data, manage systems, and maintain trust. At the center of this framework are the Trust Services Criteria — the standards auditors use to measure whether security controls actually work in practice.
For growing companies, SOC 2 is no longer just a compliance milestone. Customers, partners, and enterprise buyers increasingly expect proof that systems are secure and reliable. A SOC 2 report provides that assurance by showing controls have been independently evaluated against defined requirements.
Understanding these criteria changes how organizations approach compliance. Instead of treating SOC 2 as a checklist, businesses can use it as a blueprint for stronger operations and long-term security maturity. Before exploring each category, it’s important to understand what the Trust Services Criteria are and how they shape every SOC 2 audit.
SOC 2 Trust Services Criteria are the control categories auditors use to evaluate how securely an organization manages systems and protects data. Developed by the American Institute of Certified Public Accountants (AICPA), these criteria form the foundation of every SOC 2 audit, guiding how security practices, operational controls, and risk management processes are assessed in practice.
The framework consists of five categories: Security, Availability, Processing Integrity, Confidentiality, and Privacy. Each focuses on a different aspect of operational trust, helping organizations demonstrate that systems are protected, data is handled responsibly, and services operate reliably under real-world conditions.
Security is the only mandatory category for all SOC 2 audits, while the remaining criteria are chosen based on business commitments, customer expectations, and risk exposure. This flexibility allows organizations to align compliance efforts with actual operational needs instead of applying unnecessary controls.
Before 2018, these categories were called SOC 2 Trust Service Principles. The update clarified control structures and improved guidance while preserving the same core objectives.
Security isn’t the only SOC 2 requirement — it’s the mandatory foundation of every audit. It focuses on protecting systems and data from unauthorized access, disclosure, or damage. Organizations must prove they actively manage risk, enforce access controls, and operate secure environments, not just maintain written policies.
The first five Common Criteria establish the governance and risk foundation behind security:
CC1 — Control Environment: Leadership accountability, ethical values, defined responsibilities, and enforceable security policies.
CC2 — Communication and Information: Security expectations are communicated across teams, with reporting channels for employees and third parties.
CC3 — Risk Assessment: Continuous identification of threats and vulnerabilities supported by documented mitigation plans.
CC4 — Monitoring Activities: Ongoing oversight through logging, internal reviews, audits, and corrective actions.
CC5 — Control Activities: Operational safeguards such as approvals, segregation of duties, and audit trails that enforce policies.
These controls ensure security is embedded into governance and daily decision-making, not treated as a standalone IT task.
The remaining criteria focus on operational execution and system protection:
CC6 — Logical and Physical Access: User authentication, role-based access, encryption, and facility security safeguards.
CC7 — System Operations: Security monitoring, vulnerability management, incident response, and disaster recovery readiness.
CC8 — Change Management: Controlled updates with testing, approvals, and rollback procedures to prevent new risks.
CC9 — Risk Mitigation: Management of third-party risks and remediation of known control gaps with defined ownership.
Together, these controls ensure security practices are consistently applied across systems and workflows.
Security is called the Common Criteria because every other Trust Services Criterion depends on it. Availability, Processing Integrity, Confidentiality, and Privacy all rely on shared controls like monitoring, governance, and access management. Without this baseline, additional criteria cannot function effectively. Strengthening Security first creates the operational maturity needed to expand into other SOC 2 categories.
Each Common Criterion includes measurable expectations rather than broad guidance:
A structured approach turns SOC 2 from a one-time audit into a sustainable security program.
Availability ensures your systems remain accessible and operational when users depend on them. For organizations delivering always-on services, uptime directly affects revenue, customer trust, and contractual commitments. This criterion evaluates whether businesses actively monitor performance, prepare for disruptions, and maintain resilience instead of reacting only after failures occur.
Availability begins with constant system monitoring. Organizations must show they track performance under normal and peak conditions and respond quickly, providing proactive controls over reactive fixes.
These controls show that uptime is actively managed through measurable operational practices, not assumptions.
Availability also measures how well organizations prepare for disruption. SOC 2 expects businesses to anticipate failures and maintain recovery capabilities that minimize downtime and data loss.
Effective recovery planning proves the organization can maintain service continuity even during major disruptions.
SOC 2 Type 2 audits focus on operational evidence over time. Auditors examine whether availability controls consistently function under real-world conditions.
Demonstrating tested recovery capabilities and measurable uptime performance shows customers that reliability is engineered into operations — not left to chance.
Processing integrity ensures your systems do what they’re supposed to — completely, accurately, on time, and only when authorized. It’s about more than security: it’s about proving your data moves through your systems correctly, without accidental errors or unauthorized changes. Think of it as the “trustworthiness” of your operations.
Processing integrity covers three critical stages of data handling:
1. Input Controls (PI1.2): Ensure data entering the system is complete, correct, and valid.
2. Processing Controls (PI1.3): Verify that data is processed accurately according to business rules.
3. Output Controls (PI1.5): Confirm outputs are accurate, complete, and protected.
These controls ensure every stage of the data lifecycle is monitored and verified, reducing risk of mistakes or misprocessing.
Mistakes happen — the key is catching and correcting them quickly:
Auditors look for metrics such as error rates, throughput, and reconciliation reports to validate that your system is consistently reliable.
Processing integrity matters if your operations involve:
Including processing integrity shows you’re not just focused on security, but also on delivering accurate, dependable services that customers and partners can trust. It’s proof that your data processes are as solid as your security controls.
Confidentiality in SOC 2 focuses on keeping sensitive business information secure from collection to proper disposal. While optional, it’s critical for organizations handling client data, trade secrets, financial records, or legal documents, helping reduce risk, maintain compliance, and build trust with clients.
Effective confidentiality starts with knowing exactly what information needs protection. Without clear classification, organizations often try to protect everything and fail to safeguard what truly matters.
Focused classification and handling policies ensure resources protect the most critical information efficiently.
Once data is classified, proper access and encryption controls are essential to prevent unauthorized exposure.
Restricting access and encrypting data keeps sensitive information safe across internal systems and external partnerships.
Confidentiality doesn’t end with storage; secure retention and disposal are just as important.
Secure retention and disposal practices complete the confidentiality lifecycle, mitigating risks, supporting SOC 2 audits, and proving to clients that sensitive information is managed responsibly.
Privacy is all about protecting personally identifiable information (PII), and it’s become critical for modern businesses. Over 90% of leaders now see strong privacy protections as essential for customer trust — and for good reason. If you operate in healthcare, government contracts, or handle sensitive personal data, privacy is non-negotiable.
PII includes any data that can identify or be linked to a specific person. You need clear strategies to protect it throughout its lifecycle:
Organizations must track what PII they collect, how it flows through systems, and ensure secure handling at all stages. Ignoring this leaves exposure gaps and regulatory risks.
Privacy isn’t just about locking data away — it’s about transparency and respecting individual rights:
Clear notice, consent, and access management proves you respect user privacy and sets the stage for compliant operations.
The AICPA divides privacy into eight focused areas, providing auditors with clear points of evaluation:
While privacy is the most complex Trust Services Criterion, implementing it demonstrates real commitment to data protection and builds customer confidence.
Choosing the right SOC 2 Trust Services Criteria is strategic — it affects audit complexity, cost, and value. Focus on what aligns with your business and customer needs.
Start by reviewing your service commitments, contracts, SLAs, and what you’ve promised customers. Are you guaranteeing system uptime, accurate data processing, confidentiality, or privacy protections? The criteria you select should reflect these promises. Different business models naturally map to different criteria — the goal is to align audit scope with real operational obligations.
Deciding which optional SOC 2 criteria to include depends on your business operations, customer commitments, and the type of data you handle. Only add what truly matters.
Optional criteria should never be added arbitrarily. Each additional criterion increases complexity and cost, so include only what’s necessary to demonstrate real compliance and operational integrity.
Organizations often overcomplicate audits by including everything or picking irrelevant criteria. Start with Security, the only mandatory criterion, and layer in others based on actual business needs. Keep your scope lean, purposeful, and aligned with what truly impacts customers. This ensures a SOC 2 audit that’s efficient, credible, and meaningful.
Most teams treat trust services criteria like a compliance hurdle. That misses the point. These SOC 2 trust criteria aren’t just audit paperwork — they’re the foundation for building a business customers actually trust with sensitive data.
Today, proof of strong security and privacy controls isn’t optional. Customers and partners expect evidence, not promises. SOC 2 reports help demonstrate that your organization takes protection seriously and has structured controls in place.
The real value comes from how the AICPA trust services criteria translate compliance into action. They turn vague requirements into measurable risk management, give visibility into your security posture, and strengthen internal processes before incidents happen — not after.
The smartest approach is focused adoption. The SOC 2 TSC framework lets you prioritize criteria that match your commitments and risks. Aligning with trust services criteria SOC 2 isn’t just about passing an audit — it builds continuous monitoring and stronger security long after certification.
Achieve SOC 2 compliance with clarity and confidence using UprootSecurity — where GRC turns audits into stronger security.
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Senior Security Consultant
