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SOC 2 Compliance Checklist (2022)

Naturally, there’s a lot of preparation involved in ensuring your organisation is ready for a SOC 2 Type 2 audit. We’ve condensed the process into a handy SOC 2 compliance checklist you can use to measure your organisation’s SOC 2 preparedness.

If you need a version of our checklist to keep and update, you can also download the PDF:
Download the SOC 2 Compliance Checklist

SOC 2 Compliance Checklist

  • Does your SOC 2 report need to address:
    • Security
    • Availability
    • Confidentiality
    • Privacy
    • Processing integrity
  • Define organisational structure
  • Designate authorised employees to develop and implement policies and procedures
  • Establish working committees
  • Implement background screening procedures
  • Establish workforce conduct standards
  • Ensure clients and employees understand their role in using your system or service
  • Effectively communicate system changes to the appropriate personnel in a timely manner
  • Define your organisation’s policies and procedures relevant to the selected Trust Services Criteria
  • Undertake SOC 2 gap analysis
  • Implement necessary policies and procedures identified by gap analysis
  • Test and validate new policies and procedures
  • Perform a risk assessment
    • Identify potential threats to the system
    • Analyse the significance of the risks associated with each threat
    • Develop mitigation strategies for those risks
  • Conduct regular fraud risk assessments
  • Perform regular vendor management assessments
  • Undertake annual policy and procedure review
  • Implement physical and logical access controls
  • Limit access to data, software, functions, and other IT resources to authorised personnel based on roles
  • Restrict physical access to sensitive locations to authorised personnel only
  • Implement an access control system
  • Implement monitoring to identify intrusions
  • Develop and test incident response procedure
  • Update software, hardware, and infrastructure regularly as necessary
  • Execute a change management process to address flaws in controls
  • Establish and identify backup and recovery policies
  • Establish and identify how are you addressing environmental risks
  • Test and record your disaster recovery plan
  • Ensure data is being processed, stored, and maintained accurately and in a timely manner
  • Protect confidential information against unauthorised access, use, and disclosure
  • Identify your documented data retention policy.

Be sure to bookmark the Hicomply blog for the latest ISMS and wider data security news and research. Alternatively, book a product demo today to find out how Hicomply can help secure your company’s vital information.

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