Introduction
Preparing for a SOC 2 Audit starts with knowing What to include in SOC 2 Checklist. The Checklist helps ensure your Organisation meets Compliance by identifying Controls, Policies & Tasks that support Data Security & Trust. Whether you are a Startup or a growing SaaS Provider, this guide helps you focus on what matters.
Understanding the Purpose of a SOC 2 Checklist
A SOC 2 Checklist provides structure & direction for meeting Trust Services Criteria (TSC): Security, Availability, Processing Integrity, Confidentiality & Privacy. When Teams know What to include in SOC 2 Checklist, they can reduce errors & stay aligned with Compliance expectations.
Key Components in the SOC 2 Checklist
To effectively meet SOC 2 requirements, here’s What to include in SOC 2 Checklist:
- Access Controls – Define User Permissions & System Access
- Incident Response – Document how to detect & handle Incidents
- Data Encryption – Secure Data in Transit & At Rest
- Risk Assessments – Identify, Evaluate & Address Threats
- Vendor Management – Evaluate Third Party Service Providers
These Components cover both Technical & Organisational Security.
Policy & Documentation Requirements
Documentation plays a Central Role in SOC 2 Audits. Your Checklist must include Up-to-date Policies on:
- Information Security
- Employee Onboarding & Termination
- Password & Device usage
- Change Management & Backups
You can reference SANS Policy Templates to build a strong Documentation base. Knowing What to include in SOC 2 Checklist means understanding that written Policies are as important as Technical Controls.
Operational Practices That Should Be Covered
Alongside Policies, your Checklist should include key Operational Tasks like:
- Reviewing Logs Regularly
- Applying Patches & Updates
- Conducting Security Training
- Monitoring System Health
- Performing Backup Recovery Tests
These tasks show Auditors that Security Controls are active & maintained.
Tools & Platforms That Help build the Checklist
Need help deciding What to include in SOC 2 Checklist? Free Resources like Cloud Controls Matrix (CCM) or shared Platforms like Notion, Trello or Confluence can organise your Tasks. Also, ISACA’s SOC 2 articles offer guidance for aligning Checklist items with SOC 2 expectations.
Common Pitfalls in Creating a SOC 2 Checklist
Even with a good Checklist, common issues include:
- Using outdated Policies
- Missing Documentation
- Ignoring Third Party Risks
- Overlooking Evidence Collection
- Not assigning responsibility for each Task
Avoiding these Pitfalls is part of knowing What to include in SOC 2 Checklist & How to apply it properly.
How to Align Checklist Items with Trust Services Criteria?
Each item in your Checklist should map to a specific TSC:
- Security – Firewall Rules, Anti-virus, MFA
- Availability – Disaster Recovery & System Monitoring
- Processing Integrity – Error Handling & Data Validation
- Confidentiality – Access Controls & Encryption
- Privacy – Consent Tracking & Data Handling Policies
This alignment shows Auditors that every Control supports a Trust Principle.
Takeaways
- Knowing What to include in SOC 2 Checklist is essential for Audit preparation.
- A good Checklist includes Controls, Documentation & Daily practices.
- Tools like CCM & Internal trackers help manage Tasks.
- Each Checklist item should align with one of the Five Trust Services Criteria.
- Avoid common Pitfalls like missing Documentation or Poor Ownership of Tasks.
FAQ
Why is it important to know What to include in SOC 2 Checklist?
It ensures you meet Audit requirements & reduce the Risk of missing Critical Controls.
Should Employee Training be part of What to include in SOC 2 Checklist?
Yes, Training proves that staff understand & apply Security Policies.
Can free Templates help Identify What to include in SOC 2 Checklist?
Yes, Tools like CCM & SANS Templates offer a great starting point.
Is Vendor Risk Management something to include in SOC 2 Checklist?
Definitely, managing Third Party Risks is a key SOC 2 requirement.
How often should I review What to include in SOC 2 Checklist?
At least once a year or after major Operational changes.
References
- https://www.aicpa.org/resources/toolkit/trust-services-criteria
- https://www.sans.org/information-Security-policy/
- https://cloudSecurityalliance.org/artifacts/cloud-Controls-matrix-ccm
- https://www.isaca.org/resources/news-and-trends/newsletters/atisaca/2020/volume-18/what-is-soc-2
- https://www.ncsc.gov.uk/collection/10-steps-to-cyber-Security
Need help?
Neumetric provides Organisations the necessary help to achieve their CyberSecurity, Compliance, Governance, Privacy, Certifications & Pentesting goals.
Organisations & Businesses, specifically those which provide SaaS & AI Solutions, usually need a CyberSecurity Partner for meeting & maintaining the ongoing Security & Privacy needs & requirements of their Clients & Customers.
SOC 2, ISO 27001, ISO 42001, NIST, HIPAA, HECVAT, EU GDPR are some of the Frameworks that are served by Fusion – a centralised, automated, AI-enabled SaaS Solution created & managed by Neumetric.
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