SOC 2 Readiness Checklist

1

Organization & Governance

Foundational organizational structure and governance for compliance

Do you have a dedicated compliance/security team or officer?

Is there a documented organizational structure with clear roles and responsibilities?

Do you have a risk management framework in place?

Are policies and procedures documented and regularly reviewed?

Do you conduct regular internal audits and assessments?

2

Security Controls

Technical and administrative security measures

Do you have access controls (RBAC, least privilege) implemented?

Is data encrypted at rest and in transit?

Do you have firewall and network security controls?

Is multi-factor authentication (MFA) required for all users?

Do you have incident response and breach notification procedures?

Are security logs monitored and retained appropriately?

3

System Availability

Ensuring systems are available and resilient

Do you have uptime/availability Service Level Agreements (SLAs)?

Is there a disaster recovery and business continuity plan?

Do you monitor system performance and capacity?

Are backups performed regularly and tested?

Do you have redundant systems and failover mechanisms?

4

Processing Integrity

Ensuring data processing is complete and accurate

Do you validate input data for accuracy and completeness?

Are there quality assurance processes for data processing?

Do you have error handling and correction procedures?

Are processing results validated and reconciled?

Do you maintain audit trails of processing activities?

5

Confidentiality & Privacy

Protecting sensitive information and privacy rights

Do you classify data based on sensitivity levels?

Is there a privacy policy and notice for data subjects?

Do you obtain consent for data collection and processing?

Are there procedures for data subject access requests?

Do you conduct privacy impact assessments?

Are third-party vendors assessed for privacy compliance?

6

Contact Information

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Timeline for SOC 2 Certification