SOC 2 Compliance Checklist
A complete SOC 2 compliance checklist covering all five Trust Services Criteria. Use this guide to prepare for your Type I or Type II audit, identify gaps in your current controls, and understand exactly what auditors look for.
What Is SOC 2 Compliance?
SOC 2 (System and Organization Controls 2) is an auditing framework developed by the AICPA that evaluates how organizations manage customer data based on five Trust Services Criteria: Security, Availability, Processing Integrity, Confidentiality, and Privacy.
Type I vs Type II
Type I evaluates your controls at a single point in time. It is faster and less expensive, but provides less assurance. Type II evaluates your controls over a period of 3-12 months, demonstrating that your controls work consistently. Most enterprise buyers require Type II.
Who Needs SOC 2?
Any SaaS company, cloud service provider, or technology vendor that stores, processes, or transmits customer data. If your enterprise customers are asking for your SOC 2 report, compliance is not optional. It is a prerequisite for closing deals.
SOC 2 Trust Services Criteria Checklist
Work through each category to identify gaps in your current controls. Every item should be addressed before your audit.
1. Security (Common Criteria - Required)
The Security criteria is required for all SOC 2 audits. It covers the protection of information and systems against unauthorized access.
- Access control policies define who can access what systems and data
- Multi-factor authentication (MFA) enforced for all user accounts
- Role-based access control (RBAC) implemented with least-privilege principle
- User access reviews conducted quarterly with documented evidence
- Terminated employee access revoked within 24 hours
- Firewall rules reviewed and documented at least annually
- Intrusion detection and prevention systems deployed and monitored
- Endpoint detection and response (EDR) on all workstations and servers
- Vulnerability scanning performed at least quarterly
- Penetration testing conducted annually by an independent third party
- Security awareness training for all employees at least annually
- Incident response plan documented, tested, and updated annually
- Data encryption at rest (AES-256) and in transit (TLS 1.2+)
- Change management process for all production systems
- Vendor risk management program with annual assessments
2. Availability
Availability criteria ensure that systems are operational and accessible as committed in SLAs.
- Business continuity plan documented and tested annually
- Disaster recovery plan with defined RPO and RTO targets
- Automated backups with off-site replication and tested restoration
- Uptime monitoring with alerting and documented SLA targets
- Capacity planning and performance monitoring in place
- Redundant infrastructure for critical systems (load balancers, failover)
- Incident communication plan for service disruptions
3. Processing Integrity
Processing Integrity ensures that system processing is complete, valid, accurate, and timely.
- Input validation controls to ensure data accuracy
- Automated quality checks and data integrity monitoring
- Error handling and exception management procedures
- Data processing SLAs with performance tracking
- Audit trails for all data modifications with user attribution
- Reconciliation procedures for critical data flows
4. Confidentiality
Confidentiality criteria protect information designated as confidential.
- Data classification policy defining confidential, internal, and public data
- Encryption for confidential data at rest and in transit
- Non-disclosure agreements (NDAs) with employees and contractors
- Data retention and disposal policies with documented procedures
- Access to confidential data restricted to authorized personnel only
- Data loss prevention (DLP) controls for email and file sharing
- Secure data destruction for end-of-life hardware and media
5. Privacy
Privacy criteria address the collection, use, retention, disclosure, and disposal of personal information.
- Privacy policy published and accessible to all users
- Consent mechanisms for personal data collection
- Data subject access request (DSAR) process documented
- Data minimization practices (collect only what you need)
- Third-party data processing agreements in place
- Personal data inventory and data flow mapping completed
- Privacy impact assessments for new features and data uses
The SOC 2 Audit Process
Understanding the audit process helps you prepare effectively and avoid surprises.
Phase 1: Readiness Assessment (4-8 weeks)
Before engaging an auditor, conduct a readiness assessment to identify gaps. This involves mapping your current controls to SOC 2 requirements, documenting policies and procedures, and remediating any gaps. Petronella Technology Group provides SOC 2 readiness assessments that give you a clear roadmap to audit readiness.
Phase 2: Gap Remediation (4-16 weeks)
Address the gaps identified during your readiness assessment. This may include implementing new security controls, writing policies, deploying monitoring tools, or establishing processes. The timeline depends on how many gaps need to be closed and how complex they are.
Phase 3: Type I Audit (2-4 weeks)
The auditor evaluates your controls at a single point in time. They review your policies, test your controls, interview key personnel, and issue a Type I report. This report is valuable for early-stage companies or as a stepping stone to Type II.
Phase 4: Type II Observation Period (3-12 months)
For Type II, the auditor observes your controls operating over a defined period. During this time, you must demonstrate that your controls work consistently. This means maintaining evidence of control execution, responding to incidents according to your plan, and conducting all scheduled reviews and tests.
Phase 5: Type II Report (4-6 weeks after observation)
The auditor issues a Type II report with their opinion on the effectiveness of your controls. This report is shared with customers and prospects to demonstrate your security posture. Type II reports are typically valid for 12 months, so you will need to renew annually.
SOC 2 Compliance Services
Petronella Technology Group provides the technical controls and compliance advisory services you need to achieve and maintain SOC 2 compliance.
Our approach combines technical implementation with compliance expertise. We do not just tell you what controls you need. We implement them, monitor them, and provide the evidence your auditor requires.
- Readiness Assessment - Gap analysis against all five Trust Services Criteria with a remediation roadmap
- Technical Controls - MDR, firewall management, endpoint protection, encryption, and access control implementation
- Policy Development - Information security policies, incident response plans, and procedures tailored to your organization
- Continuous Monitoring - 24/7 security monitoring with compliance-ready reporting and evidence collection
- Audit Support - Direct support during your audit, including evidence gathering, auditor liaison, and technical walkthroughs
- vCISO Services - Strategic compliance oversight and annual renewal management
Frequently Asked Questions
How long does it take to get SOC 2 certified?
How much does SOC 2 compliance cost?
Do we need all five Trust Services Criteria?
What is the difference between SOC 2 and ISO 27001?
Can Petronella help with our SOC 2 renewal?
Start Your SOC 2 Journey Today
Get a free readiness assessment that identifies your gaps and provides a clear roadmap to SOC 2 compliance.