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SOC 2 Type II Compliance Checklist

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SOC 2 TYPE II COMPLIANCE CHECKLIST AND SERVICE AGREEMENT

Parties

Recitals

WHEREAS, Client desires to undergo SOC 2 Type II readiness assessment, control implementation and testing services for the Period Under Review beginning and ending ; and

WHEREAS, Service Provider represents that it has the requisite experience to assist Client in preparing for and documenting controls, performing evidence collection, and supporting auditor testing required for SOC 2 Type II attestation; and

WHEREAS, the parties wish to set forth the scope, deliverables and administrative terms under which the Service Provider will provide such compliance services.

Scope of Work

Service Provider shall perform the following services in connection with SOC 2 Type II compliance. The description below sets minimum deliverables; additional tasks may be required depending on control maturity and auditor requests.

SOC 2 Type II Compliance Checklist

The following checklist captures control domains, control objectives and evidence status. Service Provider will assist Client in remediating gaps and compiling evidence required for auditor testing.

Period & Audit Details

Controls — Security (Common Criteria)

Implemented: check the control if implemented; Evidence Provided: check when supporting artifacts have been uploaded and validated; Notes: identify evidence reference or remediation actions.

Access Controls — logical and administrative access controls:

Change Management — documented and tracked change procedures:

Logging & Monitoring — centralized logs, retention and alerting:

Vulnerability Management — scanning, remediation, patching cadence:

Incident Response — documented IR plan and table-top exercises:

Encryption — at-rest and in-transit controls documented:

Backup & Recovery — backup frequency, restoration testing:

Vendor Management — third-party due diligence and monitoring:

Availability & Processing Integrity

Availability — monitoring, SLA definitions, capacity planning:

Processing Integrity — data integrity checks, reconciliation procedures:

Confidentiality & Privacy

Confidentiality — controls preventing unauthorized disclosure of confidential information:

Privacy — personal data handling practices and privacy notices:

Payment Terms

Client shall pay Service Provider in accordance with the following fee schedule and terms.

Term and Termination

The services shall commence on and continue through unless earlier terminated in accordance with this Agreement.

Either party may terminate for material breach that remains uncured for the notice period set forth above. Termination shall not relieve Client of obligations to pay for services performed through the effective termination date, nor obligations that by their nature survive termination.

Confidentiality

Each party shall treat as Confidential Information all nonpublic information disclosed by the other party that is designated as confidential or that reasonably should be understood to be confidential. Confidential Information shall not include information that: (a) is or becomes generally available to the public other than as a result of a breach of this Agreement; (b) was already in the receiving party’s lawful possession prior to receiving it from the disclosing party; or (c) is independently developed without use of the disclosing party’s Confidential Information.

The receiving party shall (i) use Confidential Information only to perform obligations under this Agreement, (ii) restrict disclosure to employees, contractors and agents who have a need to know, and (iii) maintain reasonable administrative, technical and physical safeguards to protect such Confidential Information.

Governing Law

This Agreement shall be governed by and construed in accordance with the substantive laws of the State of without regard to principles of conflicts of law. The parties submit to the exclusive jurisdiction of the state and federal courts located in that State for disputes arising under this Agreement.

Entire Agreement

This Agreement, including all attachments and the checklist completed hereunder, constitutes the entire agreement between the parties with respect to its subject matter and supersedes all prior and contemporaneous agreements, proposals, representations and understandings, whether written or oral. Any amendment must be in writing and signed by authorized representatives of both parties.

Attestation and Certifications

Each party represents and warrants that it has the full power and authority to enter into this Agreement and to perform its obligations hereunder. Client certifies that the information provided in this checklist is accurate to the best of its knowledge at the time of signing and acknowledges that false statements or omissions may impair the SOC 2 Type II attestation process.

Miscellaneous Provisions

Remedies are cumulative and the exercise of any remedy shall not preclude the exercise of any other. If any provision of this Agreement is held unenforceable, the remaining provisions shall remain in full force and effect. Neither party may assign this Agreement without the prior written consent of the other, except that Service Provider may assign to an affiliate or in connection with a merger or sale of substantially all its assets.

Client:

By:

Date:

Service Provider:

By:

Date:

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What the SOC 2 Type II Compliance Checklist Is

The SOC 2 Type II Compliance Checklist is a structured list of controls, evidence items, responsibilities, and timelines used to prepare for and demonstrate an auditor’s assessment of operational controls over a sustained period. It organizes scope, trust services criteria (security, availability, processing integrity, confidentiality, privacy), control owners, evidence locations, and test procedures so organizations can track readiness and show continuous control effectiveness during the audit period.

Why a Formal Checklist Matters for SOC 2 Type II

A professional checklist reduces missed items, ensures consistent evidence collection across the monitoring period, and clarifies ownership for control operation and testing. It helps teams prepare for auditor requests, shortens audit fieldwork, and reduces the risk of scope creep or late discovery during attestation.

Why a Formal Checklist Matters for SOC 2 Type II

Who Typically Prepares and Uses This Checklist

Compliance, security, and operational teams usually own the checklist and coordinate evidence collection across IT, HR, and legal.

  • Security and compliance teams coordinating control evidence and remediation
  • IT operations and system owners maintaining logs, configurations, and access records
  • Legal, procurement, and vendor management teams reviewing attestation scope and contractual obligations

External auditors, procurement teams, and customer security reviewers use the completed checklist and supporting artifacts during vetting and attestation reviews.

Step‑by‑Step: Fill Out the Checklist

Follow these steps in sequence to prepare a complete SOC 2 Type II checklist and avoid common audit delays.

  • 01
    Define Scope: Map systems, services, and boundaries under review.
  • 02
    Map Controls: Assign each control to a Trust Services Criterion and owner.
  • 03
    Collect Evidence: Gather logs, change records, policies, and screenshots.
  • 04
    Review and Signoff: Have owners confirm accuracy before auditor delivery.

How the Checklist Supports the Audit Workflow

The checklist acts as the central artifact in the audit lifecycle, linking controls to evidence and feeding auditor testing and reporting steps.

  • Upload and Catalog: Centralize checklist and artifacts in a secure repository for review.
  • Assign Reviewers: Designate control owners and deadlines for evidence submission.
  • Provide Auditor Access: Grant auditors read-only access to evidence or deliver packaged exports.
  • Track Remediation: Document deficiencies, actions, and closure dates for follow-up.

Configure an Online Checklist Workflow

Key workflow settings make electronic completion and evidence delivery repeatable and auditable; configure them before collecting artifacts.

Field Configuration
Authentication Method Email link, SMS code, or SSO for owner verification
Field Types Use dropdowns, date fields (MM/DD/YYYY), and file upload fields
Bulk Assignment Enable group assignments for repeated controls across systems
Retention Policy Set automated retention or archival rules for audit artifacts

Technical Requirements for eSubmission and Evidence Handling

Ensure the platform you use supports secure uploads, audit trails, and the integrations required to pull evidence from source systems.

  • Integrations: Salesforce, NetSuite, Google Workspace, Box, AWS, Procore
  • File Formats: Accepts PDF, DOCX, XLSX, and exported logs
  • Security Features: TLS in transit, AES-256 at rest, detailed audit trail

Confirm platform compatibility with your audit team and preserve an unalterable audit trail for each submitted artifact.

Essential Sections of a Professional Checklist

A comprehensive checklist groups related items into consistent sections so teams can compile evidence and auditors can test controls efficiently.

Scope & Period

Define which systems, services, and the exact audit period included in the Type II attestation to limit ambiguity during testing.

Control Mapping

List each control, map to the applicable Trust Services Criteria, and describe expected operation and success criteria for testing.

Evidence Inventory

Catalog required artifacts for each control (logs, screenshots, policies), with storage location, file names, and access instructions.

Responsibility Matrix

Assign owners and alternates for each control, including contact details and timelines for producing evidence on request.

Test Procedures

Specify the testing steps auditors will use and any sample sizes, frequency, or automated queries used to validate control operation.

Remediation Plan

Document corrective actions, target dates, and verification steps for any control exceptions discovered during the audit period.

Required Checklist Entries and Security Assertions

Organization: Legal entity name
Audit Period: MM/DD/YYYY range
System Description: Components and boundaries
Control List: Mapped to criteria
Evidence Links: Paths or storage IDs
Control Owner: Name and contact

Common Pitfalls When Preparing a SOC 2 Type II Checklist

  • Under-scoping systems or excluding key services that later require additional audit work and may delay the report.
  • Incomplete evidence entries: missing log timestamps, truncated screenshots, or unclear file names force auditor follow-up.
  • Relying on ad hoc spreadsheets without owner signoff makes it hard to prove continuous operation across the audit period.
  • Not validating data retention locations and access rights in advance; auditors need repeatable access to preserved records.

Potential Consequences of an Incomplete or Incorrect Checklist

Contract Risk: Breach of contractual obligations
Regulatory Scrutiny: Regulator inquiries or fines
HIPAA Exposure: Fines and BAA consequences
Customer Loss: Termination of agreements
Remediation Cost: Expense to fix controls
Audit Rejection: Report delays or disclaimers

Typical Timeline and Deadlines for SOC 2 Type II Preparation

A clear schedule ensures readiness for fieldwork and timely report issuance; adjust timelines to match scope and auditor availability.

Readiness Assessment Start:

Begin gap analysis at least 3–6 months before fieldwork

Evidence Collection Deadline:

Control owners submit artifacts two weeks before auditor fieldwork

Audit Fieldwork Window:

Auditor performs testing during the specified audit period

Report Draft Issued:

Auditor delivers draft for factual review

Final Report Delivery:

Issuance after factual corrections and management responses

How SOC 2 Type II Differs from SOC 2 Type I

Compare the two attestation types to clarify why Type II requires sustained evidence and operational testing over time.

Criteria SOC 2 Type II SOC 2 Type I
Report Period period covered point in time
Control Testing operational effectiveness design only
Attestation tests across time snapshot attestation
Typical Use customer assurance initial design validation

eSignature Vendor Comparison Relevant to SOC 2 Evidence Collection

Common eSignature plans and feature availability can affect evidence capture workflows; signNow is listed first for direct comparison across common criteria.

signNow DocuSign Adobe Sign PandaDoc HelloSign
Starting Price $8/user/mo $15/user/mo $14/user/mo $19/user/mo $15/user/mo
Free Trial 7-day free trial Varies Varies Varies Varies
Bulk Send Yes Yes Yes Yes Varies
Audit Trail Yes Yes Yes Yes Yes
HIPAA Compliant Yes Yes Yes No No
Envelope Cap No cap 100 envelopes/user/year Varies Varies Varies

Frequently Asked Questions and Common Issues

Answers to common preparation and execution questions about the SOC 2 Type II checklist, evidence collection, and electronic submissions.


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