SOC 2 Documentation: Expert Tips for Certification

SOC 2 documentation is the backbone of a successful compliance process, yet it’s often misunderstood or overlooked.

That’s why we’ve put together this helpful resource full of expert tips, to give you a clear understanding of what it is, why it’s important, and all else you need to know.

Shall we begin?

What is SOC 2 documentation?

SOC 2 documentation is the collection of policies, processes, and evidence required to demonstrate that your company meets the Trust Services Criteria. 

Think of it as the tangible proof you present to an auditor to validate your controls, systems, and processes.

It includes three critical components:

1. Management assertion: Your organization’s formal statement on system controls.
2. System description: A detailed breakdown of your infrastructure, processes, and data flows.
3. Control matrix: A map of implemented controls and how they align with the TSCs.

Why do companies need SOC 2 documentation?

SOC 2 documentation is essential because it:

• Builds trust with enterprise clients and partners who require SOC 2 compliance before doing business.
• Simplifies audits by providing organized evidence and clear policies.
• Avoids compliance failures by identifying gaps in systems or processes before the audit.
• Accelerates revenue growth by unlocking larger contracts that require strong data security assurances.

Without SOC 2 documentation, audits become a mess of incomplete data, missing controls, and eventually failed compliance — costing your business time, money, and credibility.

But it doesn’t have to be this way. 

With EasyAudit, you can build trust, simplify audits, and secure enterprise deals without breaking a sweat.

Schedule a demo and see how EasyAudit takes the guesswork out of SOC 2 documentation.

What are the essential components of SOC 2 documentation?

The essential components of SOC 2 documentation are system description requirements, management assertion guidelines, and control matrices and their structure.

To make sure you have a clear understanding of what they represent, let’s go through them one-by-one.

System description requirements

Your system description details which aspects of your infrastructure are part of the audit.

This includes:

• Company overview: What your business does and who your customers are.
• System overview: A map of your systems and services.
• Service commitments: Promises to clients, like uptime guarantees.
• System components: Infrastructure, software, processes, people, and data.
• Incident disclosures: Breaches or incidents during the audit period.

Example: If your system guarantees 99.9% uptime (service commitment), the system description would highlight the tools and processes that make this possible.

Management assertion guidelines

The management assertion is a formal statement from leadership declaring that controls meet the relevant TSCs. It must include:

• A summary of your security controls.
• An overview of your system boundaries and objectives.
• Evidence that controls align with TSC requirements.

The auditor evaluates this assertion against the real-world performance of your systems.

Control matrices and their structure

A control matrix is a document that links controls to the TSCs. It includes:

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For example: A password policy might map to the Security TSC and require biannual reviews by the IT manager.

Required documentation by department

“Wait, the type of SOC 2 documentation needed varies from department to department?”

Yes, but it's not as complex as you might think. 

To ensure there is no confusion later on, let’s tackle them one department at a time, starting from IT.

IT security documentation needs

IT security documentation proves that your technical environment aligns with SOC 2 requirements. It includes:

• Access control policies: Logs of user permissions and changes.
• Network diagrams: Visual maps of your network infrastructure.
• Encryption policies: Evidence of data encryption at rest and in transit.
• Incident response plans: Protocols for detecting and handling breaches.
• System logs and backups: Proof of system updates, backups, and maintenance.

HR policy requirements

HR plays a critical role in SOC 2 compliance by ensuring employees understand security responsibilities. 

Key documents include:

• Onboarding documentation: Security training and background checks.
• Termination protocols: Access removal and exit processes.
• Security training logs: Proof of ongoing employee security education.
• Code of conduct: Rules that align with security best practices.

Operations and process documentation

Operations documentation ensures processes are aligned with SOC 2 controls. 

Essential documents include:

• Business continuity plans (BCP): Steps to ensure operations continue during disruptions.
• Vendor agreements: Security terms with third-party vendors.
• Compliance budgets: Proof of resource allocation for compliance.

Risk assessment documentation

Risk assessments identify vulnerabilities and how you mitigate them. 

Required documents include:

• Risk assessments: Evaluations of threats and control gaps.
• Mitigation plans: Actions taken to reduce risks.
• Self-assessments: Evidence of internal evaluations.

P.S: If you are looking to opt it for a self-assessment a.k.a readiness assessment, we have the perfect guide for you: SOC 2 Readiness Assessment: Are you Audit ready?

Vendor management records

Vendor records prove third-party systems are secure and reliable. 

Important documents Include:

• Vendor contracts: Service-level agreements (SLAs) with security terms.
• Third-party audits: Reports proving vendor compliance.

Speaking of vendor compliance, if you want to know how to ensure your vendor’s SOC report meets your needs, check out our blog, “SOC Report Review: How to Evaluate a Vendor's Report.”

How do you create effective SOC 2 policies?

Creating effective SOC 2 policies isn’t just about writing them — it’s about making them actionable, easy to follow, and enforceable. 

Follow this playbook:

Keep policies clear, concise, and actionable.

• Write policies in plain language so employees can quickly understand what is expected of them. 
• Avoid technical jargon unless absolutely necessary. 
• Break down complex rules into step-by-step instructions or bullet points.

Example: Instead of saying, “Access must be granted only to authorized personnel,” write, “Access to the production environment is granted by the IT Manager after a formal request and manager approval via the Helpdesk ticketing system.”

Actionable policies leave no room for misinterpretation.

Use specific examples to illustrate rules.

Examples make policies practical. 

If you’re explaining a control, provide scenarios that show how the rule applies in real life. This makes it easier for teams to align behavior with expectations.

Example for Incident Response Policy:

If a phishing attempt is detected:

1. The employee must report the suspicious email to IT Security via email or ticketing system.

2. IT Security will review and block the sender within 2 hours.

3. If the email was clicked, IT will conduct a forensics investigation and document the findings within 24 hours.

Did you know?: Phishing is the leading attack method, with 56% of malicious actors using it to initiate ransomware.

Assign a policy owner for accountability.

Every policy needs an owner who is responsible for:

• Monitoring compliance with the policy.
• Updating it as needed when systems or processes change.
• Ensuring teams are trained on policy requirements.

P.S: Owners should be domain experts — e.g., the Head of IT for access management policies or HR for onboarding and termination processes. Their names or roles should be included in the policy for clarity.

Update policies regularly to align with changes in your systems.

• Policies must evolve as your infrastructure, tools, and processes change. 
• Schedule quarterly or bi-annual reviews to ensure alignment with current practices. 
• Use version control to keep a record of updates and changes.

Example: A cloud migration may require updates to your data retention policies to account for new cloud-specific controls or storage durations.

Required policy categories

Writing policies that meet SOC 2 standards requires knowing what to include and how to structure them effectively.

Use these frameworks to ensure your policies cover the essentials:

Access management 

…a.k.a who can access sensitive data.

1. Clearly define roles and responsibilities for granting, reviewing, and revoking access.
2. Implement principle of least privilege — employees should only have access to what they need to do their jobs.
3. Include a process for regular access reviews (e.g., quarterly) to ensure inactive accounts or inappropriate permissions are removed.

Example: "HR staff can access payroll systems only after completing annual security training and receiving approval from the Director of HR."

Incident response 

…a.k.a how breaches are detected and resolved.

34% of risk management experts have reported that cyber incidents, such as cyber crime and data breaches, were the leading risk to businesses globally in 2023. 

This highlights the urgent need for organizations to develop robust incident response plans that mitigate the impact of such events and ensure business continuity.

Here is how you can best prepare

1. Lay out the step-by-step process for reporting, investigating, and resolving incidents. Include clear response times for each stage.
2. Define roles for incident detection teams, escalation chains, and post-incident reviews.
3. Include templates for incident reports and a process for root-cause analysis.

Pro Tip: Conduct mock incident response drills to ensure your team can execute the policy effectively during a real breach.

Data retention and destruction 

…a.k.a rules for data storage and removal.

1. Specify how long data will be retained based on its sensitivity and legal requirements.
2. Outline secure methods for data destruction (e.g., encryption wipe, shredding) for both digital and physical data.
3. Include a process for documenting the destruction process with proof (logs, certificates, etc.).

Example: "Customer data will be retained for 2 years after account closure. Data destruction will be logged in the Retention Policy Report, signed off by the IT Manager."

Change management 

…a.k.a steps for system updates and changes.

1. Include a formal change approval process that involves testing, documenting, and reviewing updates.
2. Define a rollback plan for failed changes.
3. Document every change, including date, purpose, and impact.

Example: "All updates to production systems require approval from the DevOps Manager and must pass QA testing before deployment."

Documentation organization methods

Well-organized documentation not only helps audits go smoothly but also ensures teams can easily find and reference policies when needed. 

Follow these proven strategies to keep everything accessible, secure, and audit-ready:

Use cloud-based repositories with controlled access.

Store all policies and evidence in a centralized, secure cloud-based system. GRC platforms  such as EasyAudit.ai, make it easy to share and control access. 

Use role-based permissions to ensure sensitive data is only visible to authorized personnel.

Label files clearly by category and review date.

Adopt a standardized naming convention that includes:

• Policy type (e.g., “Access Management”)
• Version number (e.g., “v1.3”)
• Review or approval date (e.g., “2024-04-01”)

Example: “Access_Management_v1.3_2024-04-01.pdf”

Maintain a version history for policy updates.

Use version control to keep track of updates, who made changes, and why. 

Include a change log at the top of each policy that summarizes modifications over time.

For example:

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Following these best practices ensures your documentation is organized, up-to-date, and audit-ready — saving you time and effort during the SOC 2 compliance process.

Now if saving time spent on SOC 2 compliance gets you excited, what if I told you there’s a way to slash your compliance timeline and costs in half?

Say hello to EasyAudit.

EasyAudit does the heavy lifting for you — from automating evidence collection to organizing policies and updates — so you can stop sweating over documentation and focus on closing those big deals.

Book a demo and see for yourself.

Evidence collection for SOC 2

Collecting evidence for SOC 2 compliance is more than a checklist exercise — it’s about demonstrating that your controls work as intended, consistently and reliably. 

What type of evidence is needed?

Collecting the right evidence is critical to passing a SOC 2 audit successfully. The key is not just gathering what’s required but ensuring that it’s accurate, relevant, and organized. 

Here’s a breakdown of the main evidence types and practical methods you can implement to ensure they’re effective:

Logs

These are records of activity within your systems, including access control, backups, and updates. Ensure logs are automatically generated and stored securely with clear timestamps. 

Focus on:

• Access control logs: Who accessed sensitive systems, when, and what actions they took. Tools like AWS CloudTrail or Azure Monitor are ideal for tracking access events.
• Backup logs: Document frequency and success of system backups. Automate this with tools like Veeam or Backupify to ensure nothing is missed.
• Update logs: Keep a record of all software updates, patches, and system changes. Include notes explaining the purpose of each update and its impact.

Pro Tip: Use a centralized log management tool like Splunk or Datadog to aggregate logs across systems and flag anomalies in real time.

Screenshots

Visual evidence of controls in action, such as access permissions or security configurations.

Capture clear, high-quality screenshots that highlight the critical data. 

Make sure:

• Screenshots have relevant timestamps to show when controls were active.
• They focus only on the relevant details — redact any sensitive information that isn’t necessary for the audit.
• They are consistent in format (e.g., all screenshots show the full screen and file paths).

Here’s an example: A screenshot showing the “last successful backup” timestamp from your backup system validates that the control is functioning.

Policies

Written documents that outline your security, operational, and compliance controls.

Policies should be up-to-date, clear, and aligned with your SOC 2 controls. 

Key steps to take:

1. Include version history to track updates over time.
2. Use consistent formatting and language for all policies.
3. Highlight key requirements that align directly with Trust Services Criteria (TSC).
4. Regularly review policies and document the review process (who reviewed it and when).

Reports

Documents that provide evidence of risk management, security performance, and vendor compliance.

Here’s how to create reports that demonstrate clarity, completeness, and actionability:

• Risk assessments: Provide detailed analysis of identified risks, mitigation plans, and follow-up actions. Use tools like RiskWatch to automate this process.
• Vendor evaluations: Include security reviews, Service Level Agreements (SLAs), and any relevant compliance reports from third-party vendors. Keep these organized in a centralized folder.
• Document findings from security tests, such as penetration testing reports, and ensure they’re supported with action items for remediation.

What are some evidence-collection methods?

The quality of your evidence depends on how you collect it. Here’s how to streamline evidence collection:

Method #1: Use automated tools to capture real-time logs.

Automation reduces human error, improves consistency, and saves time. 

For top quality automation, implement tools like:

• Datadog or Sumo Logic for system logs.
• EasyAudit for automated evidence collection tied to SOC 2 requirements.

Automate processes such as access reviews, backup logging, and vulnerability scanning to ensure evidence is continuously up-to-date.

Method #2: Implement manual checklists for human-controlled processes.

Not all evidence can be automated. For processes like policy reviews or manual data entry, create clear checklists that outline:

• What needs to be done (e.g., quarterly access review).
• Who is responsible for performing it.
• What evidence is required (e.g., screenshots, reports, approvals).

Store completed checklists in a centralized, version-controlled location with timestamps and signatures for accountability.

Method #3: Combine automated tools with manual verification.

Automate wherever possible, but periodically verify the evidence manually to catch discrepancies.

Example: Use automated tools for access logs but manually verify user roles and permissions once a quarter.

What are evidence retention periods?

SOC 2 Type 2 audits require you to retain evidence for at least 12 months to prove that controls have been operating consistently.

To manage retention effectively:

Align retention periods with control frequency.

• Evidence for quarterly controls (e.g., access reviews) should include four sets of records spanning the year.
• Annual reviews (e.g., risk assessments) need to be stored for at least a year.

Automate evidence retention where possible.

• Use tools that automatically archive outdated evidence after the retention period, ensuring no unnecessary clutter.

Document retention policies clearly.

• Define how long evidence will be retained, who is responsible for managing it, and how it will be securely disposed of after the retention period.
• Example: “Access logs will be retained for 12 months in the centralized log management system and then securely deleted in line with the Data Retention Policy.”

By following these steps, you’ll ensure your evidence is thorough, organized, and always ready for an audit — leaving no room for surprises.

Compliance Without the Hassle, Growth Without the Long Wait

Why spend countless hours juggling documents, chasing approvals, and second-guessing requirements? EasyAudit simplifies SOC 2 compliance with:

• Automated evidence collection: No more manual tracking — our platform keeps everything current and organized.
• Custom-tailored policies: Built specifically for your business, not generic templates that leave gaps.
• Streamlined documentation management: Centralized storage, version control, and secure access.

Don’t let SOC 2 compliance slow your growth. Get started with EasyAudit today and see how fast, efficient, and stress-free compliance can be.

FAQs

What is the typical timeline for achieving SOC 2 compliance?

SOC 2 Type 1 compliance takes 3-6 months, while Type 2 compliance typically requires 6-12 months depending on the audit period and organizational readiness.

For a more thorough breakdown of the two, we recommend giving this a read: SOC 2 Type 1 and Type 2: Key Differences Explained.

How does SOC 2 compliance help build a company's reputation and client trust?

SOC 2 compliance proves your commitment to data security, building trust with enterprise clients, simplifying due diligence processes, and securing larger contracts.

To gain a clear understanding of SOC 2 compliance, explore our comprehensive guide: SOC 2 Compliance: Secure Data, Build Trust & Win More Deals.

Can startups benefit from SOC 2 compliance, and why is it important for them?

Yes, they absolutely can!

For startups, SOC 2 compliance unlocks access to larger deals, accelerates growth, and establishes credibility early on. It signals to clients that you take data security seriously, reducing friction in the sales process.