SOC 2 Readiness Checklist
Comprehensive checklist covering all five Trust Service Criteria. Prepare for your SOC 2 Type I or Type II audit with confidence.
5
Trust Service Criteria
1
Required (Security)
3-6
Months to Prepare
6-12
Months for Type II
SOC 2 Type I vs Type II
Understand the difference before choosing your audit type
| Aspect | Type I | Type II |
|---|---|---|
| What it proves | Controls are designed appropriately | Controls operate effectively over time |
| Observation period | Point-in-time (single date) | 3-12 months (typically 6 months) |
| Customer acceptance | May satisfy initial due diligence | Industry standard; most customers require this |
| Time to complete | 4-8 weeks | Observation period + 4-8 weeks |
| Cost | $20,000-50,000 | $30,000-80,000 |
| Recommended for | First-time audits, urgent customer requests | Ongoing compliance, enterprise customers |
Our Recommendation
Most organizations should aim for Type II as it's the industry standard and provides stronger assurance. Consider starting with Type I only if you have an urgent customer deadline and plan to follow up with Type II within 6-12 months.
Trust Service Criteria Checklists
Detailed requirements for each of the five Trust Service Criteria
Security
RequiredRequired for all SOC 2 audits
Protection of system resources against unauthorized access. This is the only mandatory criteria.
Access Control
- Implement role-based access control (RBAC)
- Enforce unique user IDs for all employees
- Require multi-factor authentication (MFA)
- Establish password complexity requirements
- Review and revoke access for terminated employees within 24 hours
- Conduct quarterly access reviews
- Implement least privilege principle
Network Security
- Deploy and configure firewalls
- Segment networks (production vs. development)
- Encrypt data in transit (TLS 1.2+)
- Implement intrusion detection/prevention (IDS/IPS)
- Secure and monitor VPN access
- Disable unnecessary ports and services
Endpoint Security
- Deploy endpoint protection on all devices
- Enable full-disk encryption
- Implement mobile device management (MDM)
- Maintain software patch management program
- Configure automatic screen locks
Monitoring & Logging
- Centralize log collection and storage
- Monitor and alert on security events
- Retain logs for at least 1 year
- Implement SIEM or equivalent monitoring
- Document incident response procedures
Availability
OptionalOptional - for service uptime commitments
System availability for operation and use as committed or agreed upon.
Infrastructure
- Define and document SLAs with uptime commitments
- Implement redundant infrastructure
- Configure auto-scaling capabilities
- Deploy load balancers
- Establish multiple availability zones/regions
Disaster Recovery
- Create and document disaster recovery plan
- Define RPO and RTO objectives
- Implement automated backups
- Test backup restoration quarterly
- Maintain off-site backup copies
- Document failover procedures
Monitoring
- Implement uptime monitoring
- Configure alerting for availability issues
- Track and report on SLA metrics
- Publish status page for customers
- Document on-call procedures
Processing Integrity
OptionalOptional - for data accuracy assurance
System processing is complete, valid, accurate, timely, and authorized.
Data Validation
- Implement input validation controls
- Verify data completeness checks
- Establish error handling procedures
- Document data processing workflows
- Implement transaction logging
Quality Assurance
- Conduct regular data quality audits
- Implement automated testing pipelines
- Establish code review requirements
- Document change management procedures
- Maintain staging/testing environments
Monitoring
- Monitor processing errors and exceptions
- Track data reconciliation metrics
- Alert on processing anomalies
- Document and investigate failures
Confidentiality
OptionalOptional - for sensitive data handling
Information designated as confidential is protected as committed or agreed.
Data Classification
- Define data classification policy
- Identify and label confidential data
- Document data handling procedures
- Establish data retention schedules
- Implement secure data disposal procedures
Encryption
- Encrypt data at rest (AES-256)
- Encrypt data in transit (TLS 1.2+)
- Implement key management procedures
- Rotate encryption keys annually
- Secure key storage (HSM or equivalent)
Access Controls
- Restrict access to confidential data
- Implement data loss prevention (DLP)
- Monitor access to sensitive systems
- Require NDAs for employees/contractors
- Audit third-party data access
Privacy
OptionalOptional - for personal data protection
Personal information is collected, used, retained, disclosed, and disposed of properly.
Privacy Governance
- Publish privacy policy
- Document data collection practices
- Establish data subject rights procedures
- Appoint privacy officer/DPO if required
- Conduct privacy impact assessments
Consent & Notice
- Obtain consent before data collection
- Provide clear privacy notices
- Document legal basis for processing
- Honor opt-out requests
- Maintain consent records
Data Subject Rights
- Enable access requests (DSAR)
- Support data deletion requests
- Allow data portability
- Document request handling procedures
- Respond within regulatory timeframes
SOC 2 Preparation Timeline
Typical phases and duration for achieving SOC 2 compliance
Gap Assessment
Evaluate current state against SOC 2 requirements
- Inventory all systems in scope
- Review existing policies and procedures
- Identify control gaps
- Prioritize remediation efforts
- Estimate budget and resources needed
Remediation
Implement missing controls and document processes
- Draft/update security policies
- Implement technical controls
- Establish monitoring and logging
- Train employees on procedures
- Document all processes
Readiness Assessment
Internal review before engaging auditors
- Conduct internal audit
- Test all controls
- Collect evidence samples
- Address any findings
- Prepare evidence repository
SOC 2 Audit
External audit by licensed CPA firm
- Select and engage auditor
- Provide evidence and access
- Respond to auditor inquiries
- Address any findings
- Receive final report
Total time from start to SOC 2 Type II report: 6-12 months
Schedule Your SOC 2 KickoffCommon Pitfalls to Avoid
Learn from others' mistakes to ensure a smooth SOC 2 journey
Starting Too Late
SOC 2 preparation typically takes 3-6 months. Starting the process when a customer deadline is imminent leads to rushed implementations and gaps.
Solution: Begin preparation at least 6 months before your target audit date.
Incomplete Documentation
Having controls in place but lacking documentation is a common failure point. Auditors need evidence of both design and operating effectiveness.
Solution: Document all policies, procedures, and evidence from day one.
Scope Creep
Including too many systems or all five TSC when only Security is needed increases cost and complexity without adding value.
Solution: Start with Security only and the minimum scope that meets customer requirements.
Neglecting Employee Training
Technical controls alone aren't enough. Employees must understand and follow security policies consistently.
Solution: Implement security awareness training and track completion.
No Continuous Monitoring
Treating SOC 2 as a point-in-time exercise rather than ongoing compliance leads to failures during Type II observation periods.
Solution: Implement continuous monitoring and regular control testing.
Choosing the Wrong Auditor
Not all CPA firms have the same expertise. Some may not understand your technology stack or industry.
Solution: Select an auditor with experience in your industry and technology.
Which Criteria Do You Need?
Start with Security, add others based on customer requirements
Security (Required)
Every SOC 2 audit must include Security. This covers access controls, encryption, monitoring, and incident response.
Start here for your first SOC 2 audit.
Availability
Add if you have SLA commitments to customers, provide mission-critical services, or customers ask about uptime guarantees.
Confidentiality
Add if you handle sensitive business data, trade secrets, or customers specifically require confidentiality controls.
Processing Integrity
Add if data accuracy is critical (financial systems, healthcare), or customers need assurance about data processing correctness.
Privacy
Add if you collect personal information from end users, are subject to GDPR/CCPA, or customers need privacy compliance assurance. Note: Consider whether ISO 27701 or separate privacy certifications might be more appropriate.
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