SOC 2 Type II Audit Readiness Assessment Checklist
This SOC 2 Type II audit readiness checklist ensures comprehensive coverage of AICPA Trust Service Criteria (TSC) 2017 for the Security, Availability, Confidentiality, Processing Integrity, and Privacy categories. Designed for compliance managers at cloud-hosted and SaaS companies to identify control gaps, collect evidence, and prepare for CPA firm audits.
- Industry: Telecommunications & IT
- Frequency: Annually
- Estimated Time: 90-120 minutes
- Role: Compliance Manager / CISO / Head of Engineering
- Total Items: 24
- Compliance: AICPA Trust Service Criteria 2017 (Updated April 2022), AICPA SOC 2 Guide for Service Organizations, COSO 2013 Internal Control Integrated Framework, ISO/IEC 27001:2022 (control alignment), NIST Cybersecurity Framework 2.0
CC1 - Control Environment (COSO)
Organizational integrity, competence, and management oversight.
- Code of conduct acknowledged by 100% of employees (CC1.1)?
- Board or audit committee oversight of security program (CC1.2)?
- Organizational chart with security reporting lines documented (CC1.3)?
- Pre-employment background checks completed for all staff (CC1.4)?
- Security responsibilities included in performance reviews (CC1.5)?
CC6 - Logical and Physical Access Controls
Access provisioning, MFA, encryption, and quarterly reviews.
- Formal access request, approval, and provisioning process (CC6.1)?
- MFA enforced for all remote access and administrative accounts (CC6.3)?
- Customer data encrypted at rest with AES-256 or equivalent (CC6.1)?
- Customer data encrypted in transit with TLS 1.2+ (CC6.1)?
- Quarterly user access reviews performed with documented results (CC6.3)?
CC7 - System Operations and Monitoring
Infrastructure monitoring, incident response, and change management.
- Infrastructure monitoring with alerting for all production systems (CC7.1)?
- SIEM collecting security logs from all in-scope systems (CC7.2)?
- Incident response plan documented, tested, and communicated (CC7.3)?
- Change management process with testing, approval, and rollback (CC7.2)?
- Vulnerability management program with defined SLAs for remediation (CC7.1)?
CC9 - Risk Mitigation and Vendor Management
Enterprise risk assessment and third-party risk controls.
- Annual risk assessment with identified risks and treatment plans (CC9.1)?
- Critical sub-processor SOC 2 reports obtained and reviewed (CC9.2)?
- Data processing agreements with security requirements executed (CC9.2)?
- Business continuity and disaster recovery plan tested (CC9.1)?
Evidence Collection and Audit Readiness
Policy documentation, evidence package, and pre-audit validation.
- Complete policy library documented and annually reviewed?
- Evidence artifacts collected for all in-scope controls?
- Internal controls mapped to specific TSC criteria?
- Annual penetration test completed and findings remediated?
- SOC 2 Readiness Assessment Notes
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Why Use This SOC 2 Type II Audit Readiness Assessment Checklist?
This soc 2 type ii audit readiness assessment checklist helps telecommunications & it teams maintain compliance and operational excellence. Designed for compliance manager / ciso / head of engineering professionals, this checklist covers 24 critical inspection points across 5 sections. Recommended frequency: annually.
Ensures compliance with AICPA Trust Service Criteria 2017 (Updated April 2022), AICPA SOC 2 Guide for Service Organizations, COSO 2013 Internal Control Integrated Framework, ISO/IEC 27001:2022 (control alignment), NIST Cybersecurity Framework 2.0. Regulatory-aligned for audit readiness and inspection documentation.
Frequently Asked Questions
What does the SOC 2 Type II Audit Readiness Assessment Checklist cover?
This checklist covers 24 inspection items across 5 sections: CC1 - Control Environment (COSO), CC6 - Logical and Physical Access Controls, CC7 - System Operations and Monitoring, CC9 - Risk Mitigation and Vendor Management, Evidence Collection and Audit Readiness. It is designed for telecommunications & it operations and compliance.
How often should this checklist be completed?
This checklist should be completed annually. Each completion takes approximately 90-120 minutes.
Who should use this SOC 2 Type II Audit Readiness Assessment Checklist?
This checklist is designed for Compliance Manager / CISO / Head of Engineering professionals in the telecommunications & it industry. It can be used for self-assessments, team audits, and regulatory compliance documentation.
Can I download this checklist as a PDF?
Yes, this checklist is available as a free PDF download. You can also use it digitally in the POPProbe mobile app for real-time data capture, photo documentation, and automatic reporting.