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- ✓ 150+ Control Questions
- ✓ All 5 Trust Services Criteria
- ✓ Evidence Requirements
- ✓ Gap Analysis Template
Free for organizations pursuing SOC 2
What's Included in This Checklist
Our SOC 2 Readiness Assessment Checklist is designed to help organizations evaluate their current control environment against SOC 2 Trust Services Criteria requirements. Whether you're just starting your SOC 2 journey or preparing for an upcoming audit, this checklist provides a comprehensive framework for self-assessment.
Trust Services Criteria Coverage
The checklist covers all five Trust Services Criteria defined by the AICPA:
Security (CC)
Common Criteria required for all SOC 2 reports
- Access Controls
- System Operations
- Change Management
- Risk Mitigation
Availability (A)
System uptime and performance commitments
- Capacity Planning
- Disaster Recovery
- Backup Procedures
- Incident Response
Processing Integrity (PI)
Accurate and complete data processing
- Data Quality
- Processing Monitoring
- Error Handling
- Input Validation
Confidentiality (C)
Protection of confidential information
- Data Classification
- Encryption Controls
- Access Restrictions
- Disposal Procedures
Privacy (P)
Personal information handling
- Notice & Consent
- Data Subject Rights
- Retention & Disposal
- Third-Party Sharing
Checklist Structure
Each control area in the checklist includes:
| Component | Description |
|---|---|
| Control Question | Clear yes/no question about control implementation |
| Evidence Examples | Types of documentation auditors typically request |
| Gap Status | Track implementation status (Yes/No/Partial) |
| Notes Field | Document observations and remediation plans |
| Priority Rating | High/Medium/Low based on audit significance |
Sample Checklist Questions
Here's a preview of the types of questions included:
Security - Access Controls
Is multi-factor authentication (MFA) required for all privileged access?
Evidence: MFA configuration screenshots, access policy documentation
Are access reviews conducted at least quarterly?
Evidence: Access review reports, reviewer sign-offs, remediation tickets
Availability - Disaster Recovery
Is there a documented disaster recovery plan?
Evidence: DR plan document, recovery procedures, test results
Are DR tests conducted at least annually?
Evidence: DR test reports, lessons learned documentation
How to Use This Checklist
Follow these five steps to effectively assess your SOC 2 readiness and prepare for your audit:
Determine Your Scope
Identify which Trust Services Criteria apply to your service. Security (CC) is always required; Availability, Processing Integrity, Confidentiality, and Privacy depend on your service commitments and customer agreements.
Conduct Self-Assessment
Work through each question systematically with your team. Be honest about current control status—this assessment is for internal use and will help you identify areas that need attention before engaging an auditor.
Identify Gaps
Document areas where controls are missing or partially implemented. Use the notes field in the checklist to capture specific observations and document the current state of each control.
Prioritize Remediation
Focus on high-priority gaps first, especially in Security (CC) criteria, as these are mandatory for all SOC 2 reports. Create a remediation plan with timelines and assign owners for each gap.
Gather Evidence
Start collecting documentation for implemented controls using the evidence examples provided in the checklist. Organize evidence by Trust Services Criteria to streamline your audit preparation.
Template Specifications
| Format | Microsoft Excel (.xlsx) + PDF Version |
| Questions | 150+ across all Trust Services Criteria |
| Compatibility | Excel 2016+, Google Sheets |
| Standard Alignment | AICPA TSC 2017 (with 2022 updates) |
| Last Updated | November 2025 |
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