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Kick-start your SOC 2 Compliance Stress-Free with this Checklist!
Covers all the latest SOC 2 Requirements
✅ Availability: 3 Controls
✅ Security — the baseline for every SOC 2 audit: 33 Controls
✅ Confidentiality: 2 Controls
✅ Privacy : 18 Controls
✅ Processing Integrity: 5 Controls
Track Compliance with Ease
✅ Available in Google Docs: Access the SOC 2 Compliance Checklist anywhere, anytime! Collaborate with your team.
✅ Powerful Compliance Readiness Dashboard: Monitor all SOC 2 requirements and track your company’s readiness.
Stay Organized and Accountable
✅ Use the dashboard to assign responsible.

How to start your SOC 2 Compliance?
Without SOC 2 Compliance Checklist

With SOC 2 Compliance Checklist

How can this SOC 2 Compliance Checklist help You?
1) Determine if SOC 2 Type 1 vs Type 2 is Right for Your Business
2) Determine Your Scope
Defining the scope of your SOC 2 audit is a crucial first step. Start by deciding which of the Trust Services Categories (TSC) you want to be measured against. The TSC you choose will depend on your industry requirements and your customers’ expectations.

Example: Preventing Unauthorized Access to Customer Data
If you run a SaaS company that stores sensitive customer data like personal information or financial details, you need to implement controls that prevent unauthorized access.
Multi-Factor Authentication (MFA): Require MFA for all employees accessing internal systems. Even if a password is compromised, unauthorized users cannot gain access without additional verification.
Role-Based Access Controls (RBAC): Ensure employees have access only to the data necessary for their job. For example, customer support representatives can view customer data but cannot access financial records or system configurations.

Example: Securing Your Cloud Infrastructure
If your company uses cloud services like AWS or Azure, you must secure your cloud environment against potential threats.
Vulnerability Assessments and Penetration Testing: Regularly test for and address security gaps in your cloud infrastructure.
Data Encryption: Encrypt data both at rest (stored on servers) and in transit (transmitted between servers or users). This ensures that intercepted data remains unreadable without the encryption key.

Example: Disaster Recovery Plan
Develop a robust disaster recovery plan that includes regular backups of all critical data and systems, secure offsite storage, and clearly defined recovery procedures in case of a failure.
Test this plan quarterly to ensure every team member understands their role and can act quickly to minimize downtime in a disaster.

Example: Cloud-Based Disaster Recovery
Implement a cloud-based disaster recovery solution that replicates your entire data center in real-time.
In the event of a primary data center outage, this setup automatically switches to the cloud environment, ensuring uninterrupted service so customers can continue shopping, accessing applications, or completing transactions without delay.
3) Processing Integrity (PI) – 5 Controls
Ensure that all system processes are complete, valid, accurate, timely, and authorized to meet your organization’s objectives. This is crucial for maintaining trust and operational efficiency, especially when handling critical data like payment transactions or sensitive health records.
Real-Life Examples of Processing Integrity Controls:

Example: Ensuring Accurate Financial Transactions for an E-Commerce Platform
Implement controls to guarantee that every transaction is processed correctly, safeguarding both your business and your customers.
Automated Data Validation: Set up automated checks to ensure that every transaction captures the correct details, such as price, quantity, and product information, before being processed. This helps prevent common errors like overcharging customers or selling out-of-stock items, ultimately reducing disputes and improving customer satisfaction.

Example: Maintaining Data Quality in a Healthcare Management System
In a healthcare setting, data accuracy is paramount for patient safety, regulatory compliance, and operational effectiveness.
Quality Assurance Checks: Establish routine quality assurance processes to verify that all patient records, appointment details, and billing information are accurate and complete. For example, use automated alerts to notify staff if required fields are left blank or if there is a mismatch between treatment codes and services provided. This helps prevent mistakes that could impact patient care or result in billing errors.
4) Confidentiality (C) – 2 Controls
Protect information designated as confidential, such as personal data, proprietary information, and trade secrets, to ensure it is only accessible by authorized parties. Controls should prevent unauthorized access, disclosure, or misuse of sensitive data, aligning with your organization’s objectives.
Real-Life Examples of Confidentiality Controls:

Example: Encryption of Sensitive Documents
Ensure all sensitive documents are securely protected by encrypting them using advanced encryption standards (AES-256) both at rest (when stored on servers) and in transit (when sent over email or shared through client portals).
This measure ensures that even if data is intercepted during transmission or compromised at rest, it remains unreadable without the proper decryption key, significantly reducing the risk of unauthorized access.

Example: Data Masking and Anonymization:
When using customer data for purposes such as analytics, development, or testing, employ data masking and anonymization techniques to replace sensitive information with fictitious or partially hidden data. For instance, replace Social Security numbers or credit card details with dummy data or partially redact them.
This prevents exposure or misuse of sensitive data outside of its intended environment, maintaining confidentiality without sacrificing the utility of the data for internal purposes.
5) Privacy (P) – 18 Controls
Protect consumer personal information by ensuring it is collected, used, retained, disclosed, and disposed of in line with your organization’s objectives and relevant privacy regulations.
Real-Life Examples of Privacy Controls:

Example: Encryption and Secure Data Transmission
Protect personal data at all stages by implementing robust encryption methods. Encrypt sensitive personal information, such as Personal Health Information (PHI), both at rest (when stored on servers or databases) and in transit (when transmitted between applications and servers).
Use end-to-end encryption protocols like TLS (Transport Layer Security) to secure data transmission, ensuring that only authorized individuals have access to the information and reducing the risk of data breaches.

Example: Data Minimization and Retention Policy
Limit the collection of personal information to only what is necessary for completing transactions or providing services. Develop a clear data retention policy that outlines how long personal data will be kept and ensures it is securely deleted when no longer needed.
For example, retain customer payment details only for the period required by financial regulations, then securely dispose of them using encryption-based data destruction methods. This minimizes exposure to data breaches and helps maintain compliance with privacy laws.
PRO TIP: Start Simple – For most service providers, beginning with the Security category is sufficient to meet baseline customer expectations and compliance needs.
Expand as Needed – As you grow or if your customers demand additional assurances, consider including other categories such as Availability or Confidentiality.
3) Get Internal Buy-In
Internal buy-in from key stakeholders is absolutely crucial for a successful SOC 2 compliance journey. Open communication with your executive management, department leaders, and key team members throughout the SOC 2 audit planning process is essential. While this may mean extra work for them initially, it will ultimately pay off by strengthening your organization’s overall security posture and reducing the potential impact of a security breach.
Your organization’s leadership, including the CTO or technical co-founder, will play a vital role in implementing SOC 2 controls and ensuring that all necessary evidence is provided to the auditor.
In smaller setups, like a startup with just a few team members, it’s important to involve everyone who will be impacted by or contribute to the compliance process. This includes key personnel who can help implement controls, make necessary changes to your software, and support your compliance objectives.
4) Perform a Gap Assessment (aka. SOC 2 Readiness Assessment)

5) Remediate Control Gaps
After completing your gap assessment, the next step is to address any gaps identified to ensure all SOC 2 control requirements are met. In my experience, companies that skip this step often become overwhelmed and abandon their SOC 2 journey. This can be a time-consuming process, but it’s essential for achieving compliance.
Work closely with your team to:

1) Review and Create Missing Policies: Develop any policies that are currently lacking, such as an Access Control Policy, Business Continuity Policy, or Cyber Risk Assessment Policy.
2) Formalize and Implement Procedures: Establish, formalize, and execute key procedures, like onboarding and offboarding employees, regularly testing backups.
3) Update Software Configurations: Make necessary adjustments to your software, such as enabling Multi-Factor Authentication and encrypting data both at rest & in-transit.
4) Integrate New Tools and Workflows: Like integrating new tools or adding new processes to existing workflows. For example, if you need to perform background checks on new hires, to ensure there are no criminal records.
Your SOC 2 Compliance Checklist will guide you in assigning responsibilities, tracking progress, and clearly identifying which policies need to be in place. This proactive approach enables you to close all compliance gaps well before the audit, reducing stress and ensuring a smoother path to achieving SOC 2 certification.
6) Collect Your Evidence
7) Monitor and Maintain Controls (Essential for SOC 2 Type 2)
8) Find the Right Auditor
Picking the right auditor is key to a smooth SOC 2 process. A good auditor won’t just check your boxes—they’ll help you understand your compliance gaps, simplify the audit, and get you to that clean SOC 2 report.
But before you start, make sure you know the SOC 2 requirements and where your company stands to avoid overspending on consulting fees.
Look for an auditor who:
✅ Explains things clearly and makes sense to your team.
✅ Knows your industry and its specific challenges.
✅ Works well with your team and offers helpful feedback.
✅ Has strong references from other successful companies.
Choosing the right auditor will make your SOC 2 journey much easier and more efficient.
9) Undergo the SOC 2 Audit

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About me

Hi, my name is Adam. With over 15 years of experience in the tech industry, I have led and completed more than 100 software development projects, managing budgets from shoestring sums to over $100 million. I’ve held various roles throughout my career, including CEO, CTO, Head of Department, Project Manager, Program Manager, and Founder/Co-Founder, giving me a well-rounded understanding of how software projects work — the priorities, the pitfalls, and what it takes to succeed.