SOC 2 Type 2 Controls Explained: Security & Compliance Checklist

Availability Controls

These controls ensure systems stay up and recover quickly.

• Uptime monitoring
• Incident response for outages
• Backup and recovery testing
• Capacity planning

Example: Showing logs from backup tests performed quarterly can satisfy availability control requirements.

Confidentiality Controls

These protect sensitive or restricted data.

• Data classification policies
• Encryption at rest and in transit
• Restricted access to confidential data
• Secure data disposal

Example: Evidence that customer financial data is encrypted and access is limited to approved roles.

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Processing Integrity Controls

These ensure systems process data accurately.

• Input validation checks
• Error handling procedures
• Change approvals for system updates
• Monitoring and alerting

Privacy Controls (If Applicable)

Required if you handle personal data.

• Privacy notices
• Consent management
• Data retention rules
• Data subject request handling

Common SOC 2 Compliance Controls Companies Miss

Here are the most common issues SOC 2 compliance auditors flag:

Access reviews without evidence
Many teams regularly review user access, but fail to document it. Auditors need proof, not promises. This usually means screenshots, approval records, or system-generated logs showing who reviewed access, when it was done, and what actions were taken.

Vendor risk management gaps
Vendor assessments are often treated as a one-time activity during onboarding. SOC 2 expects ongoing monitoring. Auditors look for periodic reviews, updated risk assessments, and evidence that high-risk vendors are re-evaluated regularly.

Change management shortcuts
Emergency fixes happen, especially in fast-moving teams. The problem arises when changes are pushed without approvals or documentation. SOC 2 requires proof that even urgent changes are reviewed, tested, and logged after the fact.

Incident response plans that are never tested
Having an incident response policy is not enough. Auditors expect evidence of testing, such as tabletop exercises or simulations. Without proof that the plan was practised, the control is considered weak.

Overlooking internal tools and scripts
Internal dashboards, scripts, and admin tools often handle sensitive data but are excluded from security reviews. Auditors expect these tools to follow the same access controls, logging, and monitoring as customer-facing systems.

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Tools That Help Manage SOC 2 Controls

Sure, using spreadsheets for SOC 2 is an option, but it involves a lot of hassles and mistakes. The following are the must-have tools for your SOC 2 compliance:

GRC Platforms: Integrate control frameworks, automate evidence collection, monitor status, and create audit packs.

Identity and Access Management (IAM): Unifies the authentication and access control procedures.

SIEM – Gather logs from various sections of your system, determine the security events that occurred, and retain the trails for audits.

Vulnerability Management: Entails regularly scanning your systems for flaws and keeping records of the efforts taken to remedy them.

Endpoint Detection and Response (EDR): Ensure that the endpoints are not vulnerable to threats, and at the same time, allow the monitoring of endpoint activities.

Change Management and Ticketing: The whole process of change requests, approvals, testing, and finally, the implementation.

Vendor Risk Management: Facilitate the evaluation and continuous observation of the security posture of the vendors.

Pro tip:
Auditors prefer tools that automatically generate audit-ready evidence rather than manual uploads.