Preparing for Your First SOC 2 Audit: A Complete Checklist

Your SOC 2 Journey Starts Here

Congratulations—pursuing SOC 2 compliance is a significant step for your organization. Whether you're responding to customer requirements or proactively building trust, a SOC 2 report demonstrates your commitment to security.

First-time SOC 2 can feel overwhelming. This checklist breaks down the process into manageable phases, helping you understand what's ahead and prepare effectively.

Phase 1: Foundation (Months 1-2)

Establish Scope and Objectives

Define your Trust Services Criteria:

• [ ] Security (required for all SOC 2 reports)
• [ ] Availability (if uptime commitments matter to customers)
• [ ] Processing Integrity (if data accuracy is critical)
• [ ] Confidentiality (if you handle confidential customer data)
• [ ] Privacy (if you collect personal information)

Most organizations start with Security only. You can add criteria in future audits.

Define your system boundaries:

• [ ] Identify all applications in scope
• [ ] Document infrastructure components (cloud providers, networks)
• [ ] List third-party services that support your system
• [ ] Define data flows and storage locations
• [ ] Identify personnel with access to scoped systems

Secure Executive Support

• [ ] Brief leadership on SOC 2 requirements and timeline
• [ ] Obtain budget approval (internal resources, tools, auditor)
• [ ] Designate executive sponsor
• [ ] Establish reporting cadence

Assemble Your Team

• [ ] Assign project lead/compliance owner
• [ ] Identify control owners across departments
• [ ] Confirm IT/Engineering resources for implementation
• [ ] Consider whether to hire additional compliance staff

Phase 2: Gap Assessment (Month 2-3)

Document Current State

• [ ] Inventory existing security policies
• [ ] Document current technical controls
• [ ] Review existing security tools and configurations
• [ ] Assess current evidence collection practices
• [ ] Evaluate vendor security documentation

Conduct Gap Analysis

• [ ] Map existing controls to SOC 2 requirements
• [ ] Identify missing policies and procedures
• [ ] Note technical control gaps
• [ ] Assess documentation gaps
• [ ] Prioritize gaps by risk and effort

Create Remediation Plan

• [ ] List all required remediations
• [ ] Assign owners and deadlines
• [ ] Identify resource requirements
• [ ] Establish tracking mechanism
• [ ] Set milestone checkpoints

Phase 3: Policy Development (Months 2-4)

Core Security Policies

Develop or update these essential policies:

• [ ] Information Security Policy (umbrella policy)
• [ ] Acceptable Use Policy
• [ ] Access Control Policy
• [ ] Data Classification Policy
• [ ] Encryption Policy
• [ ] Incident Response Policy
• [ ] Business Continuity Policy
• [ ] Change Management Policy
• [ ] Vendor Management Policy
• [ ] Risk Assessment Policy

Supporting Procedures

Document operational procedures for:

• [ ] User access provisioning and deprovisioning
• [ ] Access review process
• [ ] Change management workflow
• [ ] Incident response steps
• [ ] Backup and recovery procedures
• [ ] Vulnerability management
• [ ] Security awareness training

Policy Administration

• [ ] Establish policy review cycle (annual minimum)
• [ ] Define policy approval workflow
• [ ] Create policy version control
• [ ] Implement policy acknowledgment tracking

Phase 4: Control Implementation (Months 3-5)

Access Management

• [ ] Implement centralized identity management
• [ ] Enforce multi-factor authentication
• [ ] Establish role-based access control
• [ ] Configure automated deprovisioning
• [ ] Set up quarterly access reviews
• [ ] Document privileged access procedures

Network Security

• [ ] Configure firewalls and security groups
• [ ] Implement network segmentation
• [ ] Enable intrusion detection/prevention
• [ ] Set up VPN for remote access
• [ ] Document network architecture

Endpoint Security

• [ ] Deploy endpoint protection (antivirus/EDR)
• [ ] Enable device encryption
• [ ] Implement mobile device management
• [ ] Configure automatic patching
• [ ] Establish secure configuration baselines

Data Protection

• [ ] Enable encryption in transit (TLS 1.2+)
• [ ] Enable encryption at rest
• [ ] Implement backup procedures
• [ ] Test recovery capabilities
• [ ] Configure data loss prevention (if applicable)

Monitoring and Logging

• [ ] Centralize log collection
• [ ] Configure security alerting
• [ ] Implement log retention (minimum 90 days)
• [ ] Establish log review procedures
• [ ] Set up intrusion detection monitoring

Change Management

• [ ] Implement code review requirements
• [ ] Configure deployment pipelines
• [ ] Establish change approval workflow
• [ ] Maintain change logs
• [ ] Test rollback procedures

Vendor Management

• [ ] Inventory all vendors with data access
• [ ] Collect vendor security documentation
• [ ] Assess vendor risk levels
• [ ] Establish vendor review schedule
• [ ] Document vendor management process

Phase 5: Evidence Preparation (Months 4-6)

Establish Evidence Collection

• [ ] Identify evidence requirements per control
• [ ] Configure automated evidence collection where possible
• [ ] Establish evidence naming conventions
• [ ] Create evidence organization structure
• [ ] Assign evidence collection responsibilities

Gather Key Evidence Types

People evidence:

• [ ] Organization charts
• [ ] Background check records
• [ ] Training completion records
• [ ] Policy acknowledgments
• [ ] Job descriptions for key roles

Policy evidence:

• [ ] All policies with version history
• [ ] Board/management approval records
• [ ] Policy distribution records
• [ ] Exception documentation

Technical evidence:

• [ ] System configurations and screenshots
• [ ] Vulnerability scan results
• [ ] Penetration test reports
• [ ] Access listings
• [ ] Change records
• [ ] Log samples
• [ ] Backup confirmations

Process evidence:

• [ ] Access review records
• [ ] Incident tickets and postmortems
• [ ] Risk assessment documentation
• [ ] Vendor assessment records
• [ ] Meeting minutes from security reviews

Phase 6: Readiness Assessment (Month 5-6)

Internal Review

• [ ] Conduct control testing against SOC 2 criteria
• [ ] Review evidence completeness
• [ ] Test control effectiveness
• [ ] Identify remaining gaps
• [ ] Remediate findings

Select Your Auditor

• [ ] Research CPA firms with SOC 2 expertise
• [ ] Request proposals from 2-3 firms
• [ ] Evaluate experience with your industry/size
• [ ] Compare pricing and timelines
• [ ] Check references
• [ ] Execute engagement letter

Pre-Audit Activities

• [ ] Complete auditor readiness questionnaire
• [ ] Schedule audit timeline
• [ ] Identify key personnel for interviews
• [ ] Prepare system demonstrations
• [ ] Brief team on audit expectations

Phase 7: The Audit (Month 6-7)

During the Audit

• [ ] Respond promptly to auditor requests
• [ ] Track all requests and responses
• [ ] Escalate blockers immediately
• [ ] Document any auditor concerns
• [ ] Prepare clarifications proactively

Evidence Submission Tips

• Be organized. Use consistent naming and clear folder structures.
• Be complete. Include date ranges and full context.
• Be prompt. Same-day responses keep audits on track.
• Be available. Make key personnel accessible for questions.

Address Findings

• [ ] Review draft findings promptly
• [ ] Provide management responses
• [ ] Begin remediation immediately for critical items
• [ ] Negotiate finding language if appropriate
• [ ] Document remediation plans and timelines

Phase 8: Post-Audit (Ongoing)

Report Distribution

• [ ] Review final report for accuracy
• [ ] Establish report distribution policy
• [ ] Set up secure sharing mechanism (portal, NDA tracking)
• [ ] Prepare executive summary for customers

Continuous Compliance

• [ ] Maintain evidence collection cadence
• [ ] Continue control monitoring
• [ ] Address audit findings per remediation plan
• [ ] Update policies as needed
• [ ] Plan for annual audit renewal

Improve for Next Year

• [ ] Document lessons learned
• [ ] Update procedures based on audit experience
• [ ] Evaluate automation opportunities
• [ ] Budget for ongoing compliance

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Timeline Summary

Phase	Activities	Duration

Foundation	Scope, team, executive buy-in	Months 1-2
Gap Assessment	Current state, gaps, remediation plan	Months 2-3
Policy Development	Policies, procedures, acknowledgments	Months 2-4
Control Implementation	Technical and operational controls	Months 3-5
Evidence Preparation	Collection, organization, testing	Months 4-6
Readiness	Internal review, auditor selection	Months 5-6
Audit	Fieldwork, findings, report	Months 6-7

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