With cloud-hosted applications becoming the norm, organisations face increasing data security and compliance challenges. SOC 2 (System and Organisation Controls 2) provides a structured framework for addressing these challenges. Established by the American Institute of Certified Public Accountants (AICPA), SOC 2 has become a critical standard for demonstrating trustworthiness to clients and partners.
A well-structured SOC 2 compliance checklist serves as your roadmap to successful audits and effective security practices. In this post, we’ll walk through the essential steps to achieve SOC 2 compliance and explain how proper analytics practices play a crucial role in maintaining this important certification.
What is SOC 2 compliance?
SOC 2 compliance applies to service organisations that handle sensitive customer data. While not mandatory, this certification builds significant trust with customers and partners.
According to the AICPA, “SOC 2 reports are intended to meet the needs of a broad range of users that need detailed information and assurance about the controls at a service organisation relevant to security, availability, and processing integrity of the systems the service organisation uses to process users’ data and the confidentiality and privacy of the information processed by these systems.“
At its core, SOC 2 helps organisations protect customer data through five fundamental principles: security, availability, processing integrity, confidentiality, and privacy.
Think of it as a seal of approval that tells customers, “We take data protection seriously, and here’s the evidence.”
Companies undergo SOC 2 audits to evaluate their compliance with these standards. During these audits, independent auditors assess internal controls over data security, availability, processing integrity, confidentiality, and privacy.
What is a SOC 2 compliance checklist?
A SOC 2 compliance checklist is a comprehensive guide that outlines all the necessary steps and controls an organisation needs to implement to achieve SOC 2 certification. It covers essential areas including:
- Security policies and procedures
- Access control measures
- Risk assessment protocols
- Incident response plans
- Disaster recovery procedures
- Vendor management practices
- Data encryption standards
- Network security controls
SOC 2 compliance checklist benefits
A structured SOC 2 compliance checklist offers several significant advantages:
Preparedness
Preparing for a SOC 2 examination involves many complex elements. A checklist provides a clear, structured path, breaking the process into manageable tasks that ensure nothing is overlooked.
Resource optimisation
A comprehensive checklist reduces time spent identifying requirements, minimises costly mistakes and oversights, and enables more precise budget planning for the compliance process.
Better team alignment
A SOC 2 checklist establishes clear responsibilities for team members and maintains consistent understanding across all departments, helping align internal processes with industry standards.
Risk reduction
Following a SOC 2 compliance checklist significantly reduces the risk of compliance violations. Systematically reviewing internal controls provides opportunities to catch security gaps early, mitigating the risk of data breaches and unauthorised access.
Audit readiness
A well-maintained checklist simplifies audit preparation, reduces stress during the audit process, and accelerates the certification timeline.
Business growth
A successful SOC 2 audit demonstrates your organisation’s commitment to data security, which can be decisive in winning new business, especially with enterprise clients who require this certification from their vendors.
Challenges in implementing SOC 2
Implementing SOC 2 presents several significant challenges:
Time-intensive documentation
Maintaining accurate records throughout the SOC 2 compliance process requires diligence and attention to detail. Many organisations struggle to compile comprehensive documentation of all controls, policies and procedures, leading to delays and increased costs.
Incorrect scoping of the audit
Misjudging the scope can result in unnecessary expenses and extended timelines. Including too many systems complicates the process and diverts resources from critical areas.
Maintaining ongoing compliance
After achieving initial compliance, continuous monitoring becomes essential but is often neglected. Regular internal control audits can be overwhelming, especially for smaller organisations without dedicated compliance teams.
Resource constraints
Many organisations lack sufficient resources to dedicate to compliance efforts. This limitation can lead to staff burnout or reliance on expensive external consultants.
Employee resistance
Staff members may view new security protocols as unnecessary hurdles. Employees who aren’t adequately trained on SOC 2 requirements might inadvertently compromise compliance efforts through improper data handling.
Analytics and SOC 2 compliance: A critical relationship
One often overlooked aspect of SOC 2 compliance is the handling of analytics data. User behaviour data collection directly impacts multiple Trust Service Criteria, particularly privacy and confidentiality.
Why analytics matters for SOC 2
Standard analytics platforms often collect significant amounts of personal data, creating potential compliance risks:
- Privacy concerns: Many analytics tools collect personal information without proper consent mechanisms
- Data ownership issues: When analytics data is processed on third-party servers, maintaining control becomes challenging
- Confidentiality risks: Analytics data might be shared with advertising networks or other third parties
- Processing integrity questions: When data is transformed or aggregated by third parties, verification becomes difficult
How Matomo supports SOC 2 compliance
Matomo’s privacy-first analytics approach directly addresses these concerns:
- Complete data ownership: With Matomo, all analytics data remains under your control, either on your own servers or in a dedicated cloud instance
- Consent management: Built-in tools for managing user consent align with privacy requirements
- Data minimisation: Configurable anonymisation features help reduce collection of sensitive personal data
- Transparency: Clear documentation of data flows supports audit requirements
- Configurable data retention: Set automated data deletion schedules to comply with your policies
By implementing Matomo as part of your SOC 2 compliance strategy, you address key requirements while maintaining the valuable insights your organisation needs for growth.
Conclusion
A SOC 2 compliance checklist helps organisations meet critical security and privacy standards. By taking a methodical approach to compliance and implementing privacy-respecting analytics, you can build trust with customers while protecting sensitive data.
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