SOC 2 Certification: Strengthen Your Business Security Posture
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SOC 2 Compliance & Attestation Services for Technology and Service Organizations
SOC 2 Readiness, Control Implementation & Audit Support
SOC 2 is an independent examination and reporting framework for service organizations that need to demonstrate how their systems and controls address security, availability, processing integrity, confidentiality, and privacy.
For SaaS companies, cloud platforms, fintech providers, data businesses, technology vendors, healthcare technology companies and other service organizations, a SOC 2 Certification report can provide customers and other stakeholders with independent information about the design and, for Type II engagements, operating effectiveness of relevant controls.
MaxiCert supports organizations with SOC 2 scoping, readiness assessment, control design, implementation guidance, evidence preparation, internal testing and coordination with the independent CPA firm performing the SOC 2 examination.
SOC 2 is an attestation engagement rather than an ISO-style certification. The independent service auditor performs the examination and issues the SOC 2 report.
What Is SOC 2?
SOC 2 is an AICPA reporting framework used for examining controls at service organizations that provide technology or other services to customers.
A SOC 2 engagement evaluates a defined system and the controls relevant to one or more Trust Services Criteria:
Security — protection of systems and information against unauthorized access, disclosure, damage or other threats.
Availability — whether the system is available and operational as committed or agreed.
Processing Integrity — whether system processing is complete, valid, accurate, timely and authorized.
Confidentiality — protection of information designated as confidential.
Privacy — collection, use, retention, disclosure and disposal of personal information according to applicable privacy commitments and criteria.
Security is the common criterion included in every SOC 2 examination. Organizations can determine which additional criteria are relevant to their system and engagement.
SOC 2 does not certify a company, product or individual. An independent service auditor performs the examination and issues a SOC 2 report describing the system and the auditor’s conclusions.
The scope, system description, control objectives and applicable Trust Services Criteria therefore matter as much as the existence of the report itself.
Why Organizations Pursue SOC 2
SOC 2 is often requested when customers, procurement teams or other stakeholders need independent information about how a service organization manages technology and data-related controls.
Depending on the organization and its customers, a SOC 2 report can support:
enterprise vendor due diligence
customer security reviews
third-party risk assessments
procurement and onboarding discussions
contractual security requirements
internal control governance
communication of security and operational controls to customers
ongoing evidence of control operation through a Type II examination
SOC 2 does not automatically guarantee that an organization will win contracts, avoid security incidents or satisfy every regulatory requirement. Its value depends on the scope of the system examined, the applicable Trust Services Criteria, the controls in place and the needs of the report users.
Who Is SOC 2 Relevant For?
SOC 2 is primarily relevant to service organizations whose customers need assurance about controls over systems used to provide products or services.
Common examples include:
SaaS and software platforms
cloud and hosting providers
managed service providers
fintech and financial technology platforms
data analytics and AI platforms
HR and payroll technology providers
healthcare technology companies
customer-data platforms
outsourced technology and business-process providers
The deciding factor is not simply whether a company handles data. SOC 2 becomes particularly relevant when customers, procurement teams, regulators, investors or other stakeholders require independent assurance over the organization’s controls.
Before beginning an engagement, the organization should determine the service, system, entities, locations, infrastructure, data and processes that need to be included within the SOC 2 scope.
SOC 2 Trust Services Criteria
SOC 2 uses the AICPA Trust Services Criteria to evaluate controls relevant to a service organization’s defined system.
| Trust Services Criterion | Primary Focus | Examples of Relevant Controls or Evidence |
|---|---|---|
| Security | Protection against unauthorized access and system threats | Access management, MFA, vulnerability management, security monitoring, incident response |
| Availability | Availability and operational resilience of the system | Monitoring, backup processes, disaster recovery, incident management, capacity management |
| Processing Integrity | Complete, valid, accurate, timely and authorized processing | Input validation, processing controls, error handling, reconciliation and change controls |
| Confidentiality | Protection of information classified as confidential | Data classification, access restrictions, encryption and secure disposal |
| Privacy | Management of personal information according to applicable privacy commitments | Privacy notices, data handling procedures, retention, access and disclosure controls |
Security is included in every SOC 2 examination. Availability, Processing Integrity, Confidentiality and Privacy are included when relevant to the engagement scope and organization’s commitments.
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What Is Included in a SOC 2 Scope?
A SOC 2 examination does not automatically cover every part of an organization.
The scope is defined around the system or services being examined and may include relevant:
products and services
applications
cloud infrastructure
databases and data stores
offices or operating locations
employees and operational teams
supporting processes
vendors and subservice organizations
customer data and information flows
security and operational controls
A well-defined scope helps prevent two common problems: including systems that do not need to be examined and excluding dependencies that are important to the service being assessed.
During readiness work, the organization should map its service, technology architecture, data flows, people, vendors and supporting processes before finalizing the examination scope.
The final scope should be agreed with the independent service auditor based on the intended engagement and report requirements.
SOC 2 Type I vs Type II
SOC 2 reports are commonly issued as Type I or Type II examinations. The key difference is whether the examination evaluates controls at a specific point in time or also examines their operating effectiveness over a period.
SOC 2 Type I
A Type I examination evaluates whether the specified controls are suitably designed and implemented as of a particular date.
It can be appropriate when an organization is establishing its SOC 2 program and needs an independent assessment of control design at a defined point in time.
Typical focus areas include:
system description
control design
management’s assertion
implementation of relevant controls
suitability of controls against the applicable criteria
SOC 2 Type II
A Type II examination evaluates the design and operating effectiveness of relevant controls over a defined examination period.
The auditor examines evidence generated during the period to determine whether controls operated as described.
Typical evidence may include:
access reviews
security monitoring records
incident records
change-management evidence
backup and recovery evidence
vendor reviews
employee training records
control testing results
exceptions and corrective actions
The appropriate report type depends on customer expectations, contractual requirements, organizational maturity and the assurance needed by report users.
What Does a SOC 2 Report Tell Customers?
A SOC 2 report provides users with information about the service organization’s defined system, relevant controls and the independent service auditor’s examination.
Depending on the report type and engagement, the report can contain information such as:
management’s assertion
description of the service organization’s system
applicable Trust Services Criteria
description of relevant controls
auditor’s opinion
results of control testing for a Type II examination
identified exceptions, where applicable
information about complementary user entity controls
relevant subservice-organization considerations
Customers should therefore evaluate the actual report scope rather than relying only on the statement that a vendor “has SOC 2.”
A SOC 2 report for one product, service or environment does not automatically provide assurance over every system operated by the organization.
SOC 2 vs ISO/IEC 27001: What Is the Difference?
SOC 2 and ISO/IEC 27001 both address information-security and organizational controls, but they are different assurance frameworks.
Area | SOC 2 | ISO/IEC 27001 |
Framework owner | AICPA | ISO and IEC |
Primary output | SOC 2 attestation report | ISO/IEC 27001 certification |
Assurance model | Independent examination by a service auditor | Certification audit by an independent certification body |
Main focus | Controls relevant to selected Trust Services Criteria | Information Security Management System (ISMS) requirements |
Common use | Customer/vendor assurance | Formal ISMS certification and international recognition |
Type of assessment | Type I or Type II | Certification and surveillance audit cycle |
Organizations should not assume that one automatically replaces the other. Some technology companies pursue SOC 2 because customers request an attestation report, while others pursue ISO/IEC 27001 certification because customers, contracts or markets require an ISMS certification.
In some cases, an organization may maintain both frameworks and use control mappings to reduce duplicated implementation effort.
SOC 2 Consulting and Readiness Services
MaxiCert supports organizations preparing for SOC 2 through a structured consulting and readiness approach.
Our SOC 2 Services Include
SOC 2 scope assessment
readiness and gap assessment
Trust Services Criteria mapping
risk and control review
policy and procedure development
control implementation guidance
evidence-readiness support
employee security-awareness guidance
internal control testing support
remediation planning
audit preparation
coordination with the independent CPA firm
post-examination remediation support
Our role is to help the organization prepare its systems, processes, controls and evidence for the independent SOC 2 examination. The service auditor remains independent and is responsible for performing the examination and issuing the SOC 2 report.
SOC 2 Readiness Assessment
A SOC 2 readiness assessment evaluates the organization’s current controls and evidence against the intended engagement scope and applicable Trust Services Criteria before the independent examination begins.
A Readiness Assessment Can Review
SOC 2 scope and system boundaries
organizational roles and responsibilities
access-control processes
change-management controls
incident-response procedures
risk-management practices
vendor and subservice-provider controls
backup and recovery processes
security monitoring
employee onboarding and offboarding
policy implementation
evidence collection
control exceptions and remediation needs
The outcome should be a prioritized remediation plan showing which controls require implementation, improvement, documentation or additional operating evidence before the examination.
What Evidence Is Needed for a SOC 2 Examination?
SOC 2 is evidence-driven. Policies alone do not demonstrate that controls operated effectively.
Depending on the scope and applicable criteria, an organization may need evidence such as:
Access Management
user access approvals
role-based access records
privileged-access reviews
employee onboarding and offboarding records
periodic access reviews
Change Management
change requests
approvals
testing records
deployment evidence
emergency-change records where applicable
Security Operations
monitoring records
vulnerability-management evidence
security incident records
remediation tracking
security alerts and investigations
Change Management
change requests
approvals
testing records
deployment evidence
emergency-change records where applicable
Security Operations
monitoring records
vulnerability-management evidence
security incident records
remediation tracking
security alerts and investigations
Employee Controls
security-awareness training
confidentiality commitments
onboarding procedures
termination or offboarding evidence
Vendor Management
vendor risk assessments
due diligence records
contracts and security requirements
periodic vendor reviews
relevant subservice-provider information
Business Continuity
backup records
recovery testing
disaster-recovery procedures
business-continuity exercises
incident and recovery documentation
The exact evidence required depends on the organization’s system, controls, Trust Services Criteria and examination period. The objective is to demonstrate that controls are suitably designed and, for Type II, operated consistently during the defined period.
SOC 2 Certification Cost Factors
SOC 2 cost depends on:
- Organization size
- Number of systems
- Audit scope
- Type I vs Type II
- Control maturity
Cost Components:
- Consulting & implementation
- Independent CPA audit fees
- Internal resource time
SOC 2 should be viewed as a revenue-enabling investment, not a compliance expense.
SOC 2 Does Not Replace Regulatory or Contractual Requirements
SOC 2 can provide independent assurance over defined controls, but it does not automatically demonstrate compliance with every law, regulation, contract or industry requirement.
For example, an organization may still need to address requirements relating to:
data protection and privacy
payment-card security
financial-sector regulation
healthcare information
contractual security obligations
regional data-residency requirements
sector-specific regulatory controls
SOC 2 can complement these requirements by providing evidence about relevant organizational controls, but the applicable regulatory or contractual obligations should be assessed separately.
Organizations should define their compliance objectives first and then determine how SOC 2 can support those objectives.
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Why Choose MaxiCert for SOC 2 Preparation?
MaxiCert helps organizations prepare for SOC 2 by translating the applicable Trust Services Criteria into practical controls, processes and evidence requirements.
Our support can include:
scope and system-boundary assessment
readiness and gap analysis
control documentation
implementation guidance
evidence preparation
internal testing support
remediation planning
audit-readiness support
coordination with the independent service auditor
The objective is not simply to produce policies. It is to help establish controls that are implemented, understood by responsible teams and supported by appropriate evidence.
The independent service auditor remains responsible for the SOC 2 examination and report
Prepare for Your SOC 2 Examination
If your customers, procurement teams or business partners are requesting a SOC 2 report, the first step is to understand the appropriate scope, Trust Services Criteria, control requirements and evidence expectations.
MaxiCert can help assess your current readiness, identify control gaps and develop a practical preparation roadmap before you engage the independent service auditor.
Request a SOC 2 Readiness Assessment
Discuss your services, systems, current controls and customer requirements with the MaxiCert team to determine the appropriate preparation approach.
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FAQ
Type I evaluates control design at a specific point in time. Type II evaluates design and operating effectiveness over six to twelve months.
Type I: 4-6 weeks from readiness to report. Type II: 10-18 months including 6-12 month observation period.
Yes. SOC 2 scales to organization size. Many startups and small SaaS companies successfully achieve attestation.
Investment varies by organization size, complexity, and scope. Factors include number of systems, locations, employees, and selected trust principles.
No. Organizations select applicable principles based on business needs. Security is most common, often combined with availability
Most customers require annual SOC 2 Type II reports covering recent twelve-month periods to maintain current assurance.
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