Understanding SOC 2 Common Criteria

When preparing for SOC 2 compliance, understanding the underlying Common Criteria is essential. These criteria shape how your SOC 2 controls will be evaluated and form the foundation of your SOC 2 report.

The Common Criteria provide a consistent framework through which your systems and organization controls are assessed, ensuring your security controls, operational activities, and risk management processes are aligned with the expectations of both auditors and customers.

In addition to the Trust Services Principles (Security, Availability, Processing Integrity, Confidentiality, Privacy), your auditor will evaluate how your organization addresses the Common Criteria. Let’s explore what they are and why they matter.

What Are the SOC 2 Common Criteria?

The Common Criteria are a core component of the Trust Services Criteria framework. They establish expectations for how your organization manages systems, data, and business processes to ensure they are secure, reliable, and governed effectively.

These criteria cover:

• Governance and accountability

• Risk assessment and managing risks

• Control activities and control measures

• Monitoring activities and continuous improvement

• Communication and transparency

They apply across all five Trust Services Principles and support building trust with your customers.

Breaking Down the Common Criteria

Control Environment

Your control environment sets the tone for your organization’s approach to security. It involves leadership’s commitment to strong controls, clearly defined roles and responsibilities, and a culture of accountability and ethical behavior.

Risk Assessment

Organizations must actively assess risks that could impact their security posture or business processes. This includes identifying new threats, evaluating vulnerabilities, and understanding how system changes or external factors might introduce new risks.

Information and Communication

Controls alone aren’t enough. Effective communication ensures that relevant stakeholders understand security practices and can act on them. This involves internal training, external transparency, and regular updates about security control expectations.

Monitoring Activities

Controls must be continuously monitored to maintain effectiveness. Monitoring includes identifying control failures, analyzing data breaches or incidents, and applying lessons learned. Regular reviews and oversight ensure control measures remain aligned with your risk landscape.

Logical and Physical Access Controls

Controlling access to systems and sensitive information is fundamental. This involves:

• Physical access controls for facilities such as data centers

• Authentication and authorization mechanisms for systems

• Regular review of user permissions to prevent unauthorized access

System Operations

System operations must support secure and reliable performance. This includes:

• Managing system configurations

• Monitoring system health and performance

• Handling security incidents

• Ensuring system availability and processing integrity

Change Management

Changes to your systems, applications, or infrastructure must be managed to prevent unintended consequences. The change management process ensures that updates are properly documented, tested, reviewed, and deployed in a controlled manner.

Risk Mitigation

When risks are identified, your organization must take clear steps toward risk mitigation. This involves:

• Prioritizing risks

• Implementing appropriate controls

• Tracking progress toward risk resolution

Strong risk mitigation processes demonstrate proactive management and a commitment to maintaining secure data environments.

Why Common Criteria Matter

The Common Criteria form the foundation of trust in your SOC 2 compliance program. Even if your organization focuses heavily on specific areas like confidentiality or privacy, these foundational controls ensure that your entire control environment consistently supports secure, reliable performance.

Practices promoted by the Common Criteria also align naturally with other frameworks, such as ISO 27001, which emphasizes risk management, monitoring, and continual improvement.

By building a strong program on the Common Criteria, your organization is better equipped to manage sensitive information, prevent data breaches, and maintain compliance over an extended period of time.