ERP SOC2 & INTERNAL CONTROL COMPLIANCE CHECKLIST 2026

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--- SECURITY & ACCESS MANAGEMENT CONTROLS ---
[ ] MFA Status for Administrative Accounts (Fully Enabled, Partially Enabled, Not Enabled)
[ ] Last User Access Review Date
[ ] Verified Access Control Mechanisms (Role-Based Access Control (RBAC), Multi-Factor Authentication (MFA), IP Whitelisting, Single Sign-On (SSO) Integration)
[ ] Description of Identified Access Discrepancies
[ ] User Access Audit Logs Evidence
[ ] Compliance Officer Validation

--- DATA ENCRYPTION & PROTECTION PROTOCOLS ---
[ ] Encryption Standard for Data at Rest (AES-256, AES-128, RSA (Higher bit rate), Other/Legacy)
[ ] Encryption Protocols in Use for Data in Transit (TLS 1.2, TLS 1.3, HTTPS/SSL, IPsec VPN)
[ ] Last Encryption Key Rotation Date
[ ] Encryption Key Management Procedure Summary
[ ] Encryption Policy Document
[ ] Compliance Officer Verification

--- CHANGE MANAGEMENT & SOFTWARE INTEGRITY ---
[ ] Change Request Date
[ ] Change Request ID
[ ] Description of Proposed Change
[ ] Change Impact Level (Low, Medium, High, Critical)
[ ] Testing Performed (Unit Testing, Regression Testing, User Acceptance Testing (UAT), Security/Vulnerability Scan)
[ ] Upload Testing Evidence/Logs
[ ] Change Approval Signature

--- SYSTEM MONITORING & AUDIT LOGGING ---
[ ] Monitored Log Categories (User Authentication Logs, System Configuration Changes, Database Access Logs, API Transaction Logs, Privileged Account Activity, Data Export/Extraction Logs)
[ ] Last Log Review Date
[ ] Log Retention Period Compliance (Compliant (Meets Policy), Non-Compliant (Gap Identified), Not Applicable)
[ ] Identified Anomalies or Log Discrepancies
[ ] Evidence of Log Review (Audit Trail Sample)
[ ] Compliance Officer Verification

--- AVAILABILITY & INCIDENT RESPONSE READINESS ---
[ ] System Redundancy Status (Fully Redundant (High Availability), Partial Redundancy (Warm Standby), No Redundancy (Single Point of Failure))
[ ] Last Disaster Recovery Drill Date
[ ] Incident Response Plan Summary
[ ] Monitored Critical Services (Database Availability, API Connectivity, User Authentication Services, Data Backup Completion)
[ ] Latest Backup Verification Report
[ ] Compliance Officer Approval

--- PHYSICAL & ENVIRONMENTAL SECURITY ---
[ ] Data Center Hosting Model (On-Premise, Cloud (SaaS/PaaS/IaaS), Hybrid)
[ ] Physical Access Controls Verified (Biometric Scanners, CCTV Surveillance, Security Guard Patrols, Badge/Keycard Access, Visitor Logs)
[ ] Last Physical Security Audit Date
[ ] Data Center SOC2/ISO Certificate
[ ] Environmental Control Observations
[ ] Compliance Officer Verification

--- THIRD-PARTY & VENDOR RISK MANAGEMENT ---
[ ] Critical Third-Party Service Providers (Cloud Hosting Provider (IaaS/PaaS), ERP Managed Service Provider (MSP), External API/Integration Partners, Payment Gateway Processors, Data Backup & Recovery Services)
[ ] Last SOC2 Report Review Date
[ ] Vendor Security Risk Rating (Low Risk, Medium Risk, High Risk, Critical Risk)
[ ] Vendor SOC2 Type II Certificate
[ ] Identified Vendor Vulnerabilities & Mitigation Plan
[ ] Compliance Officer Approval

--- DATA PROCESSING INTEGRITY & ACCURACY ---
[ ] Data Validation Rule Verification Status (Passed, Failed, In Progress, Not Applicable)
[ ] Description of Automated Reconciliation Controls
[ ] Validated Data Fields (Financial Transaction Totals, Inventory Quantities, Customer Master Data, Vendor Payment Information, Tax Calculation Logic)
[ ] Last Reconciliation Audit Date
[ ] Evidence of Data Integrity Testing (e.g., Log/Report)
[ ] Number of Discrepancies Identified
[ ] Compliance Officer Approval

--- COMPLIANCE DOCUMENTATION & AUDIT TRAIL MAINTENANCE ---
[ ] Last Audit Completion Date
[ ] Compliance Status (Compliant, Non-Compliant, In Progress, Not Applicable)
[ ] Discrepancy Notes & Remediation Plan
[ ] Evidence Upload (Audit Logs/Certificates)
[ ] Compliance Officer Sign-off
[ ] Documented Controls Verified (Access Logs, Change Request Records, Incident Reports, Training Records)

--- EMPLOYEE AWARENESS & SECURITY TRAINING ---
[ ] Date of Last Security Training Session
[ ] Training Completion Status (Completed, In Progress, Not Started)
[ ] Topics Covered in Current Training (Phishing & Social Engineering, Password Management & MFA, Handling Sensitive ERP Data, Incident Reporting Procedures)
[ ] Training Attendance Log/Certificate
[ ] Compliance Officer Attestation

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