SOC 2 Processing Integrity Readiness Checklist

SOC 2 Control

Evidence to Provide

Relevant Policies

PI1.1 System Specifications

Requirements documents, system design documents, and business process flows.

Systems Requirements Policy

PI1.2 Input Validation

Screenshots of automated input validation rules and error logs.

Data Integrity Policy

PI1.3 Complete Processing

Logs of successful data processing jobs, and batch process completion reports.

Processing Integrity Policy

PI1.4 Accurate Processing

Quality assurance (QA) reports, reconciliation reports, and validation test results.

Quality Assurance Policy

PI1.5 Timely Processing

System logs showing timestamps of data processing, and SLA reports.

System Operations Policy

PI1.6 Authorized Processing

Audit logs showing who authorized data changes, and a record of change requests.

Change Management Policy, Access Control Policy

PI1.7 Data Storage Integrity

Database schema documentation, integrity check logs, and data backup reports.

Data Management Policy, Database Security Policy

PI1.8 Output Validation

Screenshots of output reports, logs showing output generation, and distribution logs.

Output Management Policy