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SOC 2 Application Security Audit Checklist

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Professionally drawn Comprehensive and Robust SOC 2 Application Security Audit Checklist to find out gaps and non conformances for for SOC 2 Compliance, is prepared by a committee of Industry infoSec experts, Principal Auditors and Lead Instructors, under the aegis of SOC 2 Compliance Institute. The downloadable SOC 2 Application Security Audit Checklist file has 469 Compliance audit Questionnaires, covering Application Security life cycle.

SOC 2 Application Security Audit Checklist


Application Security Audit Checklist to determine the non-compliance in conformity with SOC 2 Compliance, and to measure the effectiveness of information Security, contains downloadable Excel file having:-

  • 469 Audit Checklist questions covering the entire compliance requirements of Application Security.
  • Complete Inventory of plethora of applicable security issues, and InfoSec Controls.
  • Enabled feature of Information Security maturity status, PDCA status, Finding status, and Compliance score.

File format – Excel File
Content Contribution – Information Security Committee of Industry Experts, Principal Instructors, and Auditors of SOC 2
Checklist Approved By– SOC 2 Compliance Institute
Language – English
File Delivery method – Immediate and Automatic. Through the secure link in the email provided at the time of check-out
Link Validity – 01 Day
Download Limit – 03
File Size – 158 Kilobyte(KB)

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This checklist is useful for-

  1. Organization Planning for SOC 2 compliance audit.
  2. Regulatory Compliance Audits
  3. Gap Assessments
  4. Enhancing longevity of the business.
  5. Organizations keen for robust, resilient, and value-added Information Security Management System in SaaS.
  6. Organizations keen to protect themselves against issues from Application Security requirement.
  7. Organizations who want to survive client audits.
  8. Information Security Professionals.
  9. Internal auditors of SOC 2 Compliance Management System
  10. External Auditors of Information Security Management System
  11. Auditors of the client organizations who are tasked to assess the ISMS capability of their Service Providers, Vendors, and contractors.
  12. Resources involved in Software Design and Development
  13. Students of Information Security Management System

The SOC 2 Compliant Application Security Checklist is prepared by blended Expert Panel of Veteran Application developers, Secure coding experts, Application Security testing experts, Application AMC managers, along with team of IRCA Principal Auditors & Lead Instructors of InfoSec Management System having aggregated panel team experience of over 328 years, under the aegis of SOC 2 Compliance Institute. The checklist is validated by the Head of the expert committee and approved by SOC 2 Compliance Institute.

The Audit checklist on Requirements of Application Security follows the cardinals of: -

  1. Risk-based thinking (RBT),
  2. Process approach, and
  3. PDCA (Plan Do Check Act) methodology.

The expert panel of Information Security auditors and Instructors have conducted hundreds of Information security audits and Training. Besides, there is a continuous calibration of the Lead Auditors, and Application management experts w.r.t requirements, interpretation, and audit experiences.

  1. Securely save the original checklist file, and use the copy of the file as your working document during preparation/conduct of the Audit of Security in Application.
  2. The organization's Application Security  processes are at varying levels of ISMS maturity, therefore, use checklist quantum apportioned to the current status of threats emerging from risk exposure.
  1. The Checklist contains an investigation audit trails Questionnaires on various phases of Application Security which are planning Stage, analysis Stage, design Stage, development Stage, testing Stage, implementation Stage, maintenance stage, and Support stage.
  2. Coverage of all stages of Application regarding Risk assessment and risk treatment with deep investigation probes on dozens of dozens security challenges including Buffer overflow, Directory traversal, sensitive data protection failure, libraries, components, and dependencies, web services and APIs, Issues with logging, Cross-site scripting, authentication, authorization, SQL injection..so on and so forth. In total there are 469 security compliance question.
  3. It does not include website Security, and Secure SDLC because of enormity of unique security compliances.

Information Security is backbone of an Application. All Processes and functions of Application Management System are carried out with varying degree of Information Systems controls. It is therefore important that Application Security management is done in the most diligent manner otherwise Organizations would cease to exit due to barrage of InfoSec threats/risks its systems and processes are exposed to. The most important objective while carrying out assessment of numerous niche areas Software department, the auditor must ascertain that what is the “degree of compliance” of information Security Controls to run its Application Systems, Processes, Operations, Infrastructure, input-outputs verifications and validations, releases, rollbacks, change management, dev-ops and testing environment, bugs, fixes, unit-system-UAT results, KMS, Legal etc ? 

In order to perform Value-Added SOC 2 Compliant Application Security Audit, the auditor must set out a large canvas with help of the following extremely deep pointers. Only step-by-step, systematic planning of audit Questions followed by extensive audit-trail would help the auditor cover all areas of Information Security assessment. Otherwise, it would be professional Hara-kiri (Japanese term for Ceremonial Suicide). Here goes the High level deep pointers.

1. What engineering based security architecture solutions are considered at HLD, and LLD on the basis of Software’s current requirement, and future ramp-ups, including multitude of interfaces, add-ons, and plug-ins.?

2. How Application Management system are ensuring that information at rest, information under processed, and information in transit remain 'confidential', remains 'Available' and 'integrity' maintained in accordance with the information value and information exposure risk value?

3. How the Application processes are carried out on the basis of RBT, Risk Based Thinking?

4. What information Security controls are in place triggered due to RBT?

5. What PDCA rigors are followed for the deployed “Information Security Controls” life Cycle management?

These are high level strategic thought process pointers  that should be in the auditor's mind to get a SOD (sense of direction) to steer the Application Security audit.

  1. SOC 2 Compliant Application Security audits are investigative audits carried out to confirm the status of compliances.
  2. Value added Application security audit cannot be performed effectively without meticulous planning, and preparation.
  3. There is an important adage that “we never plan to fail, but invariably we fail to plan”. Ignorance is the germinating ground for Overconfidence. An ignorant child trying to catch fire gets burnt.
  4. Application Security Checklist is an important working document of an auditor. It contains all SDLC Security performance, and SDLC security compliance questions against which the auditee must demonstrate evidences of compliance.
  5. The auditor needs to keep referring to this working document throughout the audit to ensure that assessment is taking place in a focused planned manner, and no vital area is missed out in the investigation audit.
  6. Application Security audit checklist improves the efficiency of the audit including time management. This checklist serves as an aide-memoire that is equally useful for auditor or auditee,
  7. It is extremely important to prepare and plan for an Application Security audit. The checklist to perform Application audit is essential component of audit planning and preparation. There are numerous niches with dozens and dozens processes, and sub processes to be covered during the assessment, and time is the biggest constraint for the auditor. The time-pressure viz urgency to cover niche verticals inadvertently or otherwise, makes an auditor to skip processes, sub-processes, critical elements thus resulting into erroneous audit outputs. For example, a fully body health check-up has a defined cycle time, if performed hurriedly, without planning, without preparation, with an urgency to complete the check-up "somehow-anyhow" would definitely produce erroneous results even though factual status of body organs and systems would be otherwise.
  8. It takes plenty of years, and costly lessons learnt to arrive at a decent level of understanding of the InfoSec subject. Therefore, it is highly advantageous to have a well-prepared detailed Application Security checklist. A meticulously prepared comprehensive Professional audit checklist has all the compliance questions to be covered by the auditor seamlessly. An auditor without SOC 2 Compliant Application Security audit Checklist would be like a soldier without fighting equipment.
  1. If a business is worth doing, then it is worth doing it in a secured manner. Hence, there can not be any compromise. Without a Comprehensive professionally drawn Application security checklist by your side, there is the likelihood that compromise may take place. This compromise is extremely costly for Organizations and Professionals.
  2. Application Security audit is though very logical but requires a systematic detailed investigative approach. For a newbie entity (organization and professional) there are proverbial many a slip between cup and lips in the realm of Application security management' thorough understanding let alone SOC 2 audit.
  3. Even with several years of experience by an entity's (organization and professional) side, Application security assessments (read investigations) go astray due to several reasons including engineered distractions, bias, time constraint, (un)comfortable niches, auditee guided audit (investigation), lack of optimum exposure and experience etc.
  4. Each vulnerability/Risk at the organization level, site level, department level, process, sub-process level, device & component level, tools/application level, people level, technology platform level, delivered products/services level, it is humanly possible to miss out a large number of unidentified Application vulnerabilities/risk due to various reasons including ignorance, rush, vested disinterest, insider threat, connivance between the various working groups, tendency to promote tools for shear commercial interests rather than a holistic security solution, and so on the list is very long. Comprehensive and detailed Application Security Checklist Questions enables "carpet bombing" of all ISMS requirements to detect what "exactly" is the compliance and non-compliance status.
  5. What is the biggest risk for an organization? The biggest vulnerability is the "Gang of unidentified risks", lurking in the dark, ready to pounce when the victim organization least expects it. The risks in this Gang, work sympathetically, and in synergy to inflict maximum damage, including corporate Mortality, huge penalties by the customers/clients and regulatory bodies, flight away of business, loss of reputation and brand value, loss of Jobs, Bankruptcy, etc. This becomes very much possible without a professionally drawn comprehensive and robust Application Security Audit Checklist by your side.
  6. Of course, Application security Audit becomes a robust, immensely focused, efficient, time saver exercise with sharp Checklist Questions, because a comprehensive professionally drawn checklist is built over a period of time pooled by panel of SMEs having decades of experience. The checklists have significant number of dynamic questions leading to further deep audit investigation trail.

Application activities including maintenance, upgrades, releases, OS upgrades compatibility, legal compliances etc are inherently infested with tons and tons of threats waiting on the wings to exploit vulnerabilities.

Therefore, it is of paramount importance that entire Application framework is established on the premise of RBT, that is, risk-based-thinking. Let alone Monolith Application process, risks have to be identified even at prenatal stage of SDLC. That is at the ideating stage.

For example if the Application final output would be a COTS (commercially of the shelf) product, or whether the SDLC final product going to be dovetailed in SaaS platform. In either of the scenarios the bucket of security risks would be different when viewed along with Sector, Industry, verticals or LOB (line of business), geographies, clients or customers and their end users this product or service is going to cater.

There are hundreds upon hundreds of examples where the software or tools have failed in consistency of results, valid results, and comparable results even though it has passed unit testing, integration testing, and UAT (user acceptance testing) due to lack of SDLC risk management.

This is just tip of proverbial iceberg to highlight Secure Application needs to be managed on the RBT; for all SDLC stages, for all people involved in Application, for all technology platforms needed for SDLC, for all required infrastructure, for all its support system within the organization including outsourcing and so on.

Application can be called Secure if all risks are identified, inventoried, and mitigated by following planned structured approach to winnow unidentified significant Application risk. A robust Checklist by the side of the organization, Professional or an auditor helps to ferret out Application security risks before the “Time Runneth Over”.   

Hear What they say (Testimonials)

Nathalie Mertens
Nathalie Mertens

It is a huge reservoir of Compliance Checklist Questionnaires on ISMS Framework. This is my Go-To tool. Truly a Professional Checklist!

Oliver Anderson

26 days before of ISO 27001 Certification Audit, we performed gap assessment with this Monster Compliance checklist on the ISMS framework deployed. We detected 37 major gaps, and we thought our ISMS is untouchable.

Daisuke Sugiyama
Daisuke Sugiyama

Being CTO of the large Japanese MNC Conglomerate, this checklist enables me to ensure much much superior internal audits of 65 locations worldwide, as well as large base of critical suppliers.

Leslie Chatwal
SOC Head

This Checklist is an Eye Opener, rather mind opener in the realm of Information Security Management System Framework

Cathal O'Connor
Cathal O'Connor
Founder, Information Security Risk Advisory Firm

All the 16 niche area checklist are awesome to perform validation check on the compliance of the requirements of ISMS foundation as per ISO 27001. I am getting amazing feedback from my clients after completion of client audits by my team.

Daniel Archambeau
Daniel Archambeau
Senior Manager, IT

What they teach in Lead Auditor  and Lead Implementer Courses is like Kindergarten compared to the learning I received from this monster Compliance Checklist on ISO 27001 Framework. These Guys are ISMS wizards!

Adelinda M
Adelinda M

Excellent work! Definitely unparalleled in the entire world.  This Checklist is what I have been looking for a long time.

Ewan Stewart
Ewan Stewart
General Manager, Engineering

The security compliance requirements in software development life cycle stages has given me tremendous boost to implement information security before, during and after coding.

Graham Balderston
Graham Balderston
Directorm Systems, & Technology

Secure SDLC audit checklist is ready-reckoner for end to end information security compliance requirements which every software professional must have.

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