SOC 2 Compliance Checklist for ERP Systems

Create formal procedures for authorizing, testing, and deploying changes to systems and infrastructure.

Conduct regular vulnerability scans and penetration tests, with documented remediation procedures.

Install and maintain anti-malware, EDR, or similar security software on all endpoints.

Define and enforce logical access controls including role-based access, least privilege, and multi-factor authentication.

Implement firewalls, intrusion detection systems, and network segmentation to protect system boundaries.

Implement real-time monitoring of system availability with alerting and incident response procedures.

Develop and test a business continuity plan including disaster recovery, failover, and backup procedures.

Establish regular automated backups with tested restoration procedures and offsite storage.

Implement controls to ensure system processing is complete, valid, accurate, and timely.

Deploy monitoring and alerting systems to detect processing errors and anomalies.

Establish data classification policies and label data according to sensitivity levels.

Define retention periods for different data types and implement secure disposal procedures.

Encrypt confidential data at rest and in transit using industry-standard encryption algorithms.

Create and publish a clear privacy notice describing data collection, use, sharing, and retention practices.

Deploy systems to collect, record, and manage user consent for data collection and processing.

Provide regular security awareness training to all employees with documented completion tracking.

Assess and monitor third-party vendors for security practices and compliance with your requirements.

Document comprehensive information security policies covering all Trust Service Criteria.

Perform annual risk assessments identifying threats, vulnerabilities, and risk mitigation strategies.

Develop, document, and regularly test an incident response plan covering detection through resolution.