Compliance audits are high-stakes events where preparation separates organizations that pass from those that fail. This checklist consolidates the critical control areas across SOC 2 Type II, HIPAA, and GDPR into a single structured framework — giving your team a clear audit trail and a credible posture when auditors arrive.
SOC 2 Type II Controls
- Security: Access controls, encryption at rest and in transit, penetration testing schedule
- Availability: Uptime SLAs, disaster recovery plan, incident response procedures
- Confidentiality: Data classification policy, NDA framework, retention/destruction schedule
- Processing Integrity: Change management process, code review policies, QA procedures
- Privacy: Data subject request process, consent management, third-party DPA inventory
HIPAA Readiness
- Administrative safeguards: Privacy Officer appointed, workforce training completed
- Physical safeguards: Facility access controls, workstation use policies
- Technical safeguards: Unique user IDs, automatic logoff, encryption, audit logs
- Business Associate Agreements (BAAs) executed with all vendors handling PHI
- Breach notification procedures documented and tested
GDPR Compliance
- Lawful basis for processing documented for each data category
- Privacy notices updated with required disclosures
- Data Subject Access Request (DSAR) process < 30 days
- Records of processing activities (Article 30) maintained
- Data Protection Impact Assessment (DPIA) process established
- Cross-border transfer mechanisms (SCCs or adequacy decisions) in place
Audit Preparation
- Evidence collection folder organized by control area
- Control owners assigned and responsible for evidence
- Gap remediation log with owners and target dates
- Management representation letter prepared
- Prior audit findings fully remediated