SOC 2 Readiness Checklist Template: Free Excel Download
Related guides:
Key takeaways
- A SOC 2 readiness checklist turns Trust Services Criteria into actionable rows with owners and evidence links.
- The workbook covers Security (CC), Availability (A), Confidentiality (C), Processing Integrity (PI), and Privacy (P).
- The Dashboard tab tracks readiness percentage per domain.
- SecureSlate automates evidence collection and control monitoring for SOC 2.
Overview
SOC 2 Type II requires proof that controls operate over time, not just that policies exist. This checklist helps SaaS security and compliance leads map each control to evidence, owners, and test frequency before the audit window opens.
What makes it useful
- Control-by-control rows: Control ID, name, description, evidence examples, owner, frequency, status, and evidence location.
- Status dropdowns: Not Started, In Progress, Implemented, and N/A for scoped-out criteria.
- Domain tabs: Separate sheets per Trust Services Category you include in scope.
- Dashboard summary: Readiness % per domain for leadership updates.
Download the template
- Download: SOC 2 Readiness Checklist (XLSX)
Confirm which TSC categories are in scope before filling rows. Security (CC) is required; others depend on your commitments.
Tab-by-tab walkthrough
Overview and Version & Approval
Document owner, scope statement, and approval history. Note your audit period start date here.
Dashboard
Summary of total controls, implemented count, in progress, and % complete per domain. Update weekly during readiness sprints.
CC – Security
Common Criteria controls: governance, communication, risk assessment, monitoring, control activities, logical access, system operations, and change management. Each row lists example evidence (policy, config export, access review).
A – Availability, C – Confidentiality, PI – Processing Integrity, P – Privacy
Include only tabs that match your report scope. Mark N/A where a criterion does not apply and document why in the Notes column.
How to use it as audit evidence
| Auditor question | Where to point |
|---|---|
| How do you track control implementation? | Dashboard + domain tabs with Status |
| Who owns each control? | Evidence Owner column |
| What evidence supports this control? | Evidence Examples + Evidence Location |
| When was it last tested? | Last Tested column |
Export a snapshot before mock audits and after remediation sprints.
Common mistakes
- Marking controls Implemented without a linked evidence file
- Scoping Availability or Privacy without customer commitments to back them up
- No Last Tested dates during the audit period
- Checklist abandoned after certification instead of used for continuous compliance
How SecureSlate helps
SecureSlate connects SOC 2 controls to automated evidence, continuous monitoring, and auditor-ready exports.
FAQ
Which Trust Services Criteria should we include?
Security is mandatory. Add Availability, Confidentiality, Processing Integrity, or Privacy based on what you promise customers in contracts and your trust center.
How long before audit should we start this checklist?
Many teams begin 3 to 6 months before the observation period, earlier if this is their first SOC 2.
Can this replace a GRC platform?
It is a strong starting workbook. At scale, teams typically move to a platform for evidence automation and control mapping.
Disclaimer (legal note)
This article is for general information only and is not legal, regulatory, or professional advice. Requirements vary by framework, industry, and jurisdiction. Consult qualified advisors for your specific obligations.
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