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SOC 2 Readiness Checklist

Based on four consecutive SOC 2 Type II audits with zero exceptions across two organizations, this checklist covers the gaps that consistently trip up companies — not the ones that look good on a readiness guide.

Use it to pressure-test your current program, identify the highest-risk gaps before your auditor does, and build a remediation plan that actually holds up.

Common control failures auditors find in every engagement
Evidence collection pitfalls that cause last-minute scrambles
Vendor management gaps that sink Type II renewals
Access review and HR process checkpoints
The difference between passing once and passing consistently

Document preview

Inside the checklist: Evidence Collection Infrastructure

  • Define required artifacts for each control: format, storage location, reviewer
  • Assign a named control owner for every control
  • Brief control owners on what auditors test and what good evidence looks like

An excerpt from section 3 of the two-page checklist. The full document covers eight areas, from scoping to observation-period readiness, with space for notes and owners.

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Jim Nitterauer, CISSP · CISM
Fractional CISO · 4× SOC 2 Type II, zero exceptions
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