SOC 2 Basics Checklist: 20-Item Guide for Startups

TL;DR

SOC 2 requires documented security policies, access controls with MFA, encryption, logging, incident response procedures, and vendor management. This 20-item checklist covers the essentials. 5 critical items must be fixed before launch, 7 important items within the first week, and 8 recommended items when you can.

Quick Checklist (5 Critical Items)

Create an Information Security PolicyDocument your overall approach to security and data protection

Implement multi-factor authentication (MFA)Require MFA for all production systems and critical tools

Enable encryption at restEncrypt all databases and file storage

Enable encryption in transitUse HTTPS and TLS 1.2+ for all connections

Set up centralized loggingCollect logs from all systems and retain for at least 90 days

Security Policies and Documentation 5

Create an Information Security PolicyDocument your overall approach to security, roles, responsibilities, and commitment to protecting data. How to write a security policy

Write an Access Control PolicyDefine how access is granted, reviewed, and revoked. Include principle of least privilege. How to write access control policy

Document an Incident Response PlanDescribe how you identify, respond to, and recover from security incidents. How to create an incident response plan

Create a Data Classification PolicyDefine how different types of data should be handled, stored, and protected. How to create data classification policy

Establish a Change Management PolicyDocument how code and infrastructure changes are reviewed, tested, and deployed. How to create change management policy

Access Controls 5

Implement multi-factor authentication (MFA)Require MFA for all access to production systems, cloud providers, and critical tools. How to implement MFA

Set up role-based access control (RBAC)Define roles with minimum necessary permissions. Avoid giving everyone admin access. How to set up RBAC

Implement user onboarding and offboarding proceduresDocument how access is provisioned for new employees and revoked when they leave. How to manage user onboarding/offboarding

Conduct quarterly access reviewsReview who has access to what systems quarterly. Remove access that is no longer needed. How to conduct access reviews

Use SSO where possibleSingle sign-on makes access management easier and provides better audit trails. How to implement SSO

Technical Controls 5

Enable encryption at restEncrypt databases and file storage. Most cloud providers offer this by default, but verify it is enabled. How to enable encryption at rest

Enable encryption in transitUse HTTPS everywhere. Ensure TLS 1.2 or higher for all connections. How to enable encryption in transit

Set up centralized loggingCollect logs from all systems in a central location. Retain logs for at least 90 days. How to set up centralized logging

Implement intrusion detection or monitoringSet up alerts for suspicious activity, failed login attempts, and security-relevant events. How to set up intrusion detection

Conduct regular vulnerability scanningRun automated security scans on a regular schedule. Address critical and high severity findings. How to conduct vulnerability scanning

Operational Controls 5

Implement code review processRequire at least one reviewer for all code changes before merging to production. How to implement code review

Set up automated testingRun automated tests before deployment to catch bugs and regressions. How to set up automated testing

Document and test backupsMaintain regular backups and test restoration at least annually. How to document and test backups

Manage vendor securityMaintain a list of vendors with access to customer data. Review their security practices. How to manage vendor security

Conduct security awareness trainingTrain employees on security basics: phishing, password hygiene, data handling. How to conduct security training

SOC 2 Type 1 vs Type 2

SOC 2 Type 1 evaluates your controls at a specific point in time. Type 2 evaluates whether those controls operated effectively over a period (usually 3 to 12 months). Most enterprise buyers want Type 2, but Type 1 is a valid starting point.

For startups, the typical path is: implement controls, get a Type 1, operate for 3 to 6 months, then get a Type 2. Budget for approximately $20,000 to $50,000 for the audit depending on scope and auditor.

When does a startup need SOC 2?

Typically when selling to enterprises. Many enterprise buyers require SOC 2 compliance from vendors. If you are B2B and your prospects ask about your security certifications, it is time to consider SOC 2.

How much does SOC 2 certification cost?

For a small startup, expect to pay $20,000 to $50,000 for the audit itself. Add costs for compliance tools ($500 to $2,000 per month), consultant help ($10,000 to $30,000), and internal time. Total first-year costs typically range from $40,000 to $100,000.

Which trust service criteria should I include?

Security is required. Add Availability if you have uptime SLAs. Confidentiality if you handle sensitive data with specific contractual obligations. Processing Integrity if you process transactions. Privacy if you handle personal data with specific privacy commitments. Most startups start with Security only or Security plus Availability.

TL;DR

Quick Checklist (5 Critical Items)

Security Policies and Documentation 5

Access Controls 5

Technical Controls 5

Operational Controls 5

SOC 2 Type 1 vs Type 2

When does a startup need SOC 2?

How much does SOC 2 certification cost?

Which trust service criteria should I include?

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SOC 2 Basics Checklist: 20-Item Guide for Startups