Compliance

SOC 2 Readiness Assessment Template

Template for assessing SOC 2 readiness across trust service criteria — security, availability, processing integrity, confidentiality, and privacy.

Security (Common Criteria)

Define and document information security policiesImplement logical access controls and role-based permissionsConfigure network security (firewalls, IDS/IPS, segmentation)Establish vulnerability management and patching cadence

Availability

Document system uptime SLAs and monitoring proceduresImplement disaster recovery plan and test annuallyConfigure redundancy for critical infrastructure componentsEstablish incident response and escalation procedures

Processing Integrity

Document data processing procedures and validation checksImplement input validation and error handling controlsEstablish data quality monitoring and reconciliation proceduresMaintain change management process for system modifications

Confidentiality

Classify data by sensitivity level and handling requirementsImplement encryption for confidential data at rest and in transitEstablish data retention and disposal schedulesConfigure DLP controls for sensitive data exfiltration prevention

Privacy

Document privacy notice and consent collection practicesImplement data subject access and deletion request workflowsEstablish third-party data sharing agreements and controlsConduct privacy impact assessments for new data uses

Audit Preparation

Compile evidence for each trust service criterionPrepare control descriptions and testing documentationIdentify control owners and schedule evidence collectionConduct internal readiness assessment before auditor engagement

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