SOC 2 Checklist: 50+ Requirements [Free Download]

Complete SOC 2 Compliance Checklist

Getting SOC 2 certified can feel overwhelming, but having a comprehensive checklist makes the process manageable. This free SOC 2 checklist covers all 50+ requirements across the Trust Services Criteria, helping you track your compliance progress from start to finish.

What is SOC 2?

SOC 2 (Service Organization Control 2) is an auditing standard developed by the American Institute of CPAs (AICPA) that evaluates an organization's information security controls. It's essential for SaaS companies and service providers who handle customer data.

Key Facts:

• •Required by 80% of enterprise B2B buyers
• •Covers Security, Availability, Processing Integrity, Confidentiality, and Privacy
• •Type I = point-in-time audit, Type II = 3-12 month observation period
• •Average time to certification: 3-6 months (or 6-8 weeks with Simple Comply)

Trust Services Criteria Overview

SOC 2 is organized into five Trust Services Criteria (TSC):

1. Security (Common Criteria - Required for All)

The foundation of SOC 2, covering controls related to protecting systems and data from unauthorized access.

2. Availability

System availability for operation and use as committed or agreed.

3. Processing Integrity

System processing is complete, valid, accurate, timely, and authorized.

4. Confidentiality

Information designated as confidential is protected as committed or agreed.

5. Privacy

Personal information is collected, used, retained, disclosed, and disposed of in conformity with commitments.

SOC 2 Security (Common Criteria) Checklist

CC1: Control Environment

CC1.1 - The entity demonstrates a commitment to integrity and ethical values

• Code of conduct established and communicated
• Ethics training provided to all employees
• Process for reporting violations
• Management demonstrates ethical behavior

CC1.2 - The board of directors demonstrates independence

• Board oversight of management's design and implementation of controls
• Board reviews compliance and security matters
• Independent audit committee (if applicable)

CC1.3 - Management establishes structures, reporting lines, and authorities

• Organizational chart documented
• Roles and responsibilities defined
• Authority levels established
• Reporting relationships clear

CC1.4 - The entity demonstrates commitment to competence

• Job descriptions include required competencies
• Hiring process evaluates competencies
• Training programs in place
• Performance evaluations conducted

CC1.5 - The entity holds individuals accountable

• Performance expectations communicated
• Performance measured against expectations
• Rewards and incentives aligned with objectives
• Disciplinary actions taken when needed

CC2: Communication and Information

CC2.1 - The entity obtains or generates relevant information

• Information quality requirements defined
• Information sources identified and evaluated
• Information systems provide timely data
• Information supports internal control

CC2.2 - The entity internally communicates information

• Communication channels established
• Security policies communicated to all staff
• Method for reporting security concerns
• Regular security updates provided

CC2.3 - The entity communicates with external parties

• Customer communication channels established
• Vendor communication procedures defined
• Regulatory reporting processes in place
• Public disclosures accurate and timely

CC3: Risk Assessment

CC3.1 - The entity specifies objectives

• Business objectives documented
• Security objectives defined
• Compliance objectives established
• Objectives aligned with risk tolerance

CC3.2 - The entity identifies and analyzes risk

• Risk assessment process documented
• Risks to achieving objectives identified
• Risk analysis performed (likelihood and impact)
• Risk assessment performed regularly

CC3.3 - The entity assesses fraud risk

• Fraud risk factors considered
• Fraud prevention controls implemented
• Fraud detection mechanisms in place
• Response procedures for identified fraud

CC3.4 - The entity identifies and assesses changes

• Process to identify changes that affect controls
• Technology changes evaluated for security impact
• Business model changes assessed
• Personnel changes monitored

CC4: Monitoring Activities

CC4.1 - The entity selects, develops, and performs ongoing evaluations

• Monitoring activities established
• Control effectiveness evaluated regularly
• Internal reviews conducted
• Monitoring results documented

CC4.2 - The entity evaluates and communicates deficiencies

• Deficiency identification process
• Deficiencies reported to appropriate parties
• Corrective actions tracked
• Follow-up on remediation performed

CC5: Control Activities

CC5.1 - The entity selects and develops control activities

• Control activities address identified risks
• Controls appropriate for risk levels
• Controls integrated into business processes
• Control documentation maintained

CC5.2 - The entity deploys control activities through policies

• Policies and procedures documented
• Policies approved by management
• Procedures provide implementation guidance
• Policies reviewed and updated regularly

CC5.3 - The entity deploys control activities through technology

• Technology controls implemented
• Access controls configured
• System configurations documented
• Technology controls tested

CC6: Logical and Physical Access Controls

CC6.1 - The entity implements logical access security software

• Access control software deployed
• Authentication mechanisms implemented
• User access reviews performed
• Privileged access controlled

CC6.2 - Prior to issuing system credentials, the entity registers and authorizes new users

• User provisioning process documented
• Access requests require approval
• User accounts created based on role
• Access granted follows least privilege

CC6.3 - The entity removes access when appropriate

• Deprovisioning process established
• Terminated employee access removed immediately
• Role change access reviewed
• Periodic access recertification

CC6.4 - The entity restricts physical access

• Physical access controls implemented
• Visitor management process
• Access logs maintained
• Facility security measures in place

CC6.5 - The entity discontinues logical and physical access

• Access termination coordinated with HR
• Physical access cards/keys returned
• Remote access disabled
• Access removal verified

CC6.6 - The entity implements encryption

• Data encryption at rest implemented
• Data encryption in transit (TLS 1.2+)
• Encryption key management procedures
• Encryption standards documented

CC6.7 - The entity restricts access to sensitive information

• Data classification scheme implemented
• Access restrictions based on data sensitivity
• Confidential data access logged
• Data access reviews performed

CC6.8 - The entity manages endpoints

• Endpoint security software deployed
• Endpoint configurations standardized
• Mobile device management implemented
• Endpoint security monitoring

CC7: System Operations

CC7.1 - The entity manages system capacity

• Capacity monitoring implemented
• Performance metrics tracked
• Capacity planning performed
• Scalability considerations documented

CC7.2 - The entity monitors system components

• System monitoring tools deployed
• Alerts configured for anomalies
• Log aggregation implemented
• Monitoring dashboards maintained

CC7.3 - The entity implements incident response

• Incident response plan documented
• Incident response team identified
• Incident detection mechanisms
• Incident response procedures tested

CC7.4 - The entity implements backup and recovery

• Backup procedures documented
• Backups performed regularly
• Backup restoration tested
• Disaster recovery plan in place

CC7.5 - The entity manages availability

• Availability targets defined (SLA)
• Redundancy implemented
• Failover capabilities tested
• Availability metrics tracked

CC8: Change Management

CC8.1 - The entity authorizes, designs, develops and tests changes

• Change management process documented
• Changes require approval
• Development and testing environments separate
• Changes tested before production

CC9: Risk Mitigation

CC9.1 - The entity identifies and assesses vendor risks

• Vendor risk assessment process
• Vendor security evaluations performed
• Critical vendors identified
• Vendor contracts include security terms

CC9.2 - The entity assesses security and availability commitments

• Vendor SLAs reviewed
• Vendor SOC 2 reports obtained
• Vendor security questionnaires completed
• Vendor monitoring performed

Additional Criteria (Optional but Common)

Availability Checklist

• Availability objectives defined and documented
• System monitoring for availability implemented
• Capacity management procedures in place
• Incident management for availability issues
• Regular availability reporting

Processing Integrity Checklist

• Data processing requirements documented
• Input validation controls implemented
• Processing controls ensure completeness
• Processing controls ensure accuracy
• Error handling procedures defined

Confidentiality Checklist

• Confidential information identified
• Access to confidential data restricted
• Confidentiality agreements in place
• Data disposal procedures for confidential data
• Confidentiality breach procedures

Privacy Checklist

• Privacy notice provided to individuals
• Consent obtained for data collection
• Data subject rights supported (access, deletion)
• Third-party data sharing disclosed
• Privacy breach notification procedures

Evidence Collection Requirements

For each control, you'll need to provide evidence during your SOC 2 audit:

Documentation Evidence

• •Policies and procedures
• •System documentation
• •Process flowcharts
• •Risk assessments
• •Training materials

Operational Evidence

• •User access reviews
• •Backup logs
• •Change tickets
• •Incident reports
• •Monitoring logs

Testing Evidence

• •Penetration test results
• •Vulnerability scan reports
• •Disaster recovery test results
• •Access control testing

SOC 2 Timeline Checklist

Months 1-2: Preparation

• Define audit scope (which TSC criteria)
• Choose Type I or Type II
• Select auditor
• Gap assessment
• Remediation plan

Months 3-4: Implementation

• Implement missing controls
• Document policies and procedures
• Deploy monitoring and logging
• Train staff on procedures
• Collect initial evidence

Months 5-6: Audit Phase

• Submit documentation to auditor
• Auditor performs control testing
• Respond to auditor questions
• Provide additional evidence
• Receive audit report

Ongoing: Maintenance

• Continuous monitoring
• Regular access reviews
• Policy updates
• Annual re-audit
• Control effectiveness testing

SOC 2 Type I vs Type II

Type I (Point-in-Time)

• •Duration: Snapshot at a specific date
• •Use Case: Initial certification, lower-risk customers
• •Timeline: 2-4 months
• •Cost: $15,000-$50,000
• •Evidence: Design and implementation

Type II (Over Time)

• •Duration: 3-12 month observation period
• •Use Case: Enterprise customers, high security requirements
• •Timeline: 6-12 months
• •Cost: $30,000-$100,000
• •Evidence: Operating effectiveness over time

Common SOC 2 Gaps and Remediation

Most Common Deficiencies:

1. •Incomplete access reviews → Implement quarterly access recertification
2. •Missing backup testing → Schedule and document quarterly DR tests
3. •Inadequate monitoring → Deploy SIEM and configure alerts
4. •Weak change management → Implement ticketing system with approvals
5. •No incident response plan → Document IRP and conduct tabletop exercises

How Simple Comply Accelerates SOC 2

With Simple Comply, you can achieve SOC 2 certification in 6-8 weeks instead of 3-6 months:

✅ AI-Guided Control Implementation - Get step-by-step guidance for each control ✅ Automated Evidence Collection - Continuously gather evidence (no manual screenshots) ✅ Pre-Built Policies - 50+ policy templates ready to customize ✅ Real-Time Compliance Dashboard - Track progress toward audit readiness ✅ Auditor Collaboration - Share evidence seamlessly with your auditor

Start Your Free Trial or Download This Checklist as PDF

Frequently Asked Questions

How long does SOC 2 certification take? With traditional methods, 3-6 months is typical. With compliance automation software like Simple Comply, you can complete it in 6-8 weeks.

Do I need all 5 Trust Services Criteria? No. Security (Common Criteria) is required for all audits. The other four (Availability, Processing Integrity, Confidentiality, Privacy) are optional based on your customers' requirements.

Can I get SOC 2 certified without a consultant? Yes! With the right software and guidance, many companies achieve SOC 2 without expensive consultants. Simple Comply provides AI-powered guidance throughout the process.

How much does SOC 2 cost? Total costs typically range from $30,000-$150,000 including auditor fees ($15,000-$50,000), tools ($10,000-$40,000/year), and consultant fees if used ($25,000-$100,000). With Simple Comply, you can reduce costs by 70%.

What's the difference between SOC 2 and ISO 27001? SOC 2 is a US standard focused on service organizations, while ISO 27001 is an international standard for information security management. Many companies pursue both. Read our detailed comparison.

Download Your Free SOC 2 Checklist

This checklist covers all 50+ SOC 2 requirements. Use it to:

• •Track your compliance progress
• •Identify gaps before your audit
• •Organize evidence collection
• •Communicate requirements to your team
• •Prepare for auditor meetings

Format: PDF with checkboxes | Size: 12 pages | Updated: October 2025

Download Free Checklist | Start Your SOC 2 Journey with Simple Comply

Next Steps

1. •Assess Your Current State - Use this checklist to identify which controls you already have in place
2. •Prioritize Gaps - Focus on high-risk areas and customer requirements first
3. •Choose Your Approach - Decide between DIY, software, or consultants
4. •Get Started - Begin implementing controls systematically

Ready to accelerate your SOC 2 compliance? Try Simple Comply free for 14 days and get SOC 2 certified in weeks, not months.

Last updated: October 2025 | Based on AICPA TSC 2017 criteria