Your Complete Path to SOC 2 Compliance
A comprehensive preparation checklist that takes startups and fast-growing teams from planning through audit readiness. Follow the Plan-Do-Check-Act approach aligned with Trust Services Criteria.
✨ Built by Smartly — the platform that automates 70% of this checklist.
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Your SOC 2 Journey in 4 Phases
A proven framework that breaks down SOC 2 preparation into manageable phases, each with clear objectives and deliverables.
PLAN
Define Scope & Build Foundations
- Choose Type I or II
- Select Trust Services Criteria
- Define system boundary
- Vendor inventory & risk assessment
- Minimum policy stack
DO
Implement Core Controls
- Control Environment (CC1)
- Risk Assessment (CC3)
- Access Controls (CC6)
- System Operations (CC7)
- Change Management (CC8)
CHECK
Validate & Collect Evidence
- Evidence repository health check
- Control self-assessment
- Internal readiness review
- Continuous monitoring setup
- Exception tracking
ACT
Fix Gaps & Prepare for Audit
- Gap remediation & closure
- Pre-audit evidence freeze
- Audit kick-off preparation
- Customer communication pack
- Continuous improvement loop
Built for Startups & Fast-Growing Teams
We understand that achieving SOC 2 compliance can be overwhelming, especially for smaller teams. This checklist gives you a clear, actionable plan to reach audit-ready status with confidence.
Step-by-step guidance through all 4 phases
Clear ownership and evidence requirements
Aligned with Trust Services Criteria (CC1-CC9)
Includes optional criteria for Availability, Confidentiality, Processing Integrity, and Privacy
Core Control Categories
Key control areas mapped to Trust Services Criteria
| Category | Key Control Areas | Review Frequency |
|---|---|---|
| CC1 – Control Environment | Governance, Code of Conduct, Security Awareness | Annual |
| CC2 – Communication | Security Training, Incident Reporting Channel | Quarterly |
| CC3 – Risk Assessment | Risk Register, Mitigation Plans | Quarterly |
| CC4 – Monitoring | Logging, Alerting, Access Reviews | Monthly |
| CC5 – Control Activities | Change Management, Vulnerability Management, Patching | Monthly |
| CC6 – Logical Access | SSO, MFA, Least Privilege, Joiner/Mover/Leaver | Continuous |
| CC7 – System Operations | Incident Response, Backup & Restore | Quarterly |
| CC8 – Change Management | Change Approval, Infrastructure as Code Review | Continuous |
| CC9 – Vendor Management | Vendor Due Diligence, BC/DR Plan | Annual |
Smartly Accelerates Your Journey
Smartly reduces manual compliance work by automating evidence collection, task tracking, and control validation.
Automated Evidence
Connect AWS, Google Workspace, GitHub, and Jira to continuously monitor readiness
Built-in Templates
Use policy templates and dashboards to manage your SOC 2 lifecycle with less overhead
70% Automation
Save time and reduce errors by automating the majority of compliance tasks
Frequently Asked Questions
Everything you need to know about SOC 2 preparation
Should we start with SOC 2 Type I or Type II?
Type I proves your controls are properly designed at a point in time—great for pilots and initial proof. Type II demonstrates controls operate effectively over 3-6 months, which most enterprise customers require. Start with Type I if you need fast validation, or jump to Type II if you're ready for a longer observation period.
Which Trust Services Criteria should we select?
Security (CC1-CC9) is mandatory for all SOC 2 audits. Add Availability if you have uptime SLAs. Add Confidentiality if you handle sensitive B2B data. Add Processing Integrity for financial or transaction data. Add Privacy if you process personal data at scale. Most startups start with Security only or Security + Availability.
How long does SOC 2 preparation typically take?
For a Type I audit, expect 3-6 months from planning to report delivery. For Type II, add the observation window (typically 3-6 months) plus preparation time—total 6-12 months. Early-stage startups with strong security posture can move faster. The checklist helps you stay on track regardless of timeline.
How does Smartly help accelerate SOC 2 preparation?
Smartly automates evidence collection by integrating with your existing tools (AWS, Google Workspace, GitHub, Okta). It provides built-in policy templates, continuous control monitoring, and dashboards that reduce manual work by up to 70%. You get real-time visibility into compliance gaps and automated evidence for auditor requests.
What resources do we need to complete SOC 2?
You'll need a compliance lead or security manager, plus representatives from engineering, IT, HR, and operations. Expect 10-20 hours per week from the lead during active preparation, and 2-5 hours per week from other team members. Automation tools like Smartly can significantly reduce this time commitment.
Start Your SOC 2 Journey Today
Download the complete preparation checklist and get started on your path to SOC 2 compliance.
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