SOC 2 Compliance Checklist

SOC 2 compliance is essential for companies that handle customer data. If you're a SaaS company, healthcare provider, or tech organization, getting SOC 2 certified shows customers that you take security seriously.

Follow this simple checklist to make the compliance process easier and faster.

What is SOC 2 Compliance?

SOC 2 (Service Organization Control 2) is an audit that checks how well your company protects customer data. It covers five main areas called Trust Service Criteria:

• Security (required)

• Availability

• Processing Integrity

• Confidentiality

• Privacy

There are two types of SOC 2 audits:

• Type I checks your security controls at one moment in time.

• Type II checks how well these controls work over several months. Most companies choose Type II because it offers greater trust. For more details, check out our SOC 2 Overview.

The 12-Step SOC 2 Compliance Checklist

1. Define Audit Scope

Decide clearly what data, systems, and processes your audit will cover. Choose the Trust Service Criteria relevant to your business. Security is required, but others, like Privacy, may also apply. For help defining your scope, read Defining Your SOC 2 Audit Scope.

2. Perform a Risk Assessment

Check your systems, staff, and processes to identify security risks. Document these risks clearly and rank them by importance.

3. Create SOC 2 Policies and Procedures

You need clear policies on security, incident response, and data access. Platforms like DSALTA offer ready-made SOC 2 policy templates you can easily customize, saving time and effort. Learn more about this in Crafting SOC 2 Policies and Procedures.

Review and update these policies regularly, as auditors will closely examine them.

4. Set Up Technical Security Controls

Add security protections such as multi-factor login, encryption, and network monitoring. Automated controls simplify this process and provide clear evidence for audits.

5. Manage Access Control

Clearly define who can access your data and systems. Regularly review and document user access, ensuring people only have the access they need.

6. Incident Response and Business Continuity Plans

Create simple, clear plans for handling security incidents and continuing business operations during disruptions. Regularly test and document these plans.

7. Vendor Risk Management

Evaluate and monitor the security of third-party providers. Clearly document these assessments and ensure vendors meet your SOC 2 security standards.

8. Evidence Collection and Documentation

Set up an organized, central system for collecting audit evidence like logs and screenshots. Automated tools help keep this evidence ready and organized.

9. Internal Monitoring and Testing

SOC 2 doesn’t explicitly require penetration testing, but it’s a best practice for proving your controls are effective. Many organizations schedule annual or bi-annual pen tests to demonstrate proactive security monitoring. 

10. Management Review

Company leaders should regularly review the effectiveness of compliance efforts. Clearly document these reviews to show auditors that compliance is a priority.

11. Choose a SOC 2 Auditor

Hire an auditor with experience in your industry. Book them well ahead of your desired audit date to leave enough time for preparation.

12. Complete the Audit Process

Work closely with your auditor, providing evidence quickly. Tools like AI-powered auditing platforms streamline evidence collection, making the audit simpler and faster.

After the audit, carefully review the SOC 2 report, fix any issues, and share the final report with your customers.

Common Compliance Challenges and Solutions

Businesses often struggle with SOC 2 compliance due to limited resources, complex rules, or lack of clear documentation. Avoid these problems by starting early, documenting clearly, and using automation.

Managing changes to your systems and staff is another common challenge. Use clear processes for authorizing and documenting these changes.

Leveraging Technology

Automation tools can greatly simplify SOC 2 compliance by automatically collecting evidence and continuously monitoring your security controls. Choose tools with good integration and easy reporting to reduce manual effort by up to 80%. See the benefits of automation in Embracing SOC 2 Compliance Automation.

Cloud solutions are helpful too, providing built-in security and easy scalability. Just make sure to check your cloud provider's compliance status.

Building Sustainable Compliance

SOC 2 compliance isn't just a one-time task. Build it into your daily business practices. Regularly update your compliance strategy as your business grows or as threats change.

Regular employee training is also crucial. Everyone in your company should understand their role in keeping data secure.

Measuring Compliance Success

Use clear metrics such as time to detect issues, response times, and control testing results. Regularly measuring compliance helps improve your security over time.

Track your compliance costs and benefits to demonstrate ROI. Consider improved sales cycles, customer trust, and reduced risks as key benefits.

Regularly compare your compliance program to industry standards to identify areas for improvement.

FAQ in Simple Terms

How long does SOC 2 compliance take?
Prepared businesses can achieve compliance in 3-6 months. Others may take 6-12 months.

Difference between Type I and Type II audits?
Type I checks controls at a specific time, while Type II evaluates them over several months.

Can small companies easily achieve compliance?
Yes, by focusing on key controls and using automation to simplify processes.

How often do audits need renewal?
Usually, SOC 2 reports are renewed every year.

What if the auditor finds issues?
Minor issues will be noted, while bigger ones may require fixing before finalizing the audit.

Expert Help for Easy Compliance

Thanks to DSALTA's proprietary AI Auditing and close-knit relationship with auditor partners, our customers significantly reduce their timeline to 3 months.  

Book a free 30-minute meeting to simplify your SOC 2 journey today.