SOC 2 Evidence Pack
SOC 2 Evidence for Vendor Management: What to Collect
Vendor management evidence demonstrates how you assess, approve, and monitor third parties.
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What auditors look for
Auditors want to see design and operating effectiveness for this area—clear owners, repeatable processes, and evidence that the control works over time.
Evidence checklist
- •Vendor inventory with criticality classification
- •Security reviews or questionnaires with dates
- •SOC reports or attestations with management responses
- •Contract security exhibits and DPAs
- •Access controls for vendors and support accounts
- •Monitoring or SLA review records
- •Issue tracking and remediation follow-up
- •Offboarding evidence for terminated vendors
- •Owner assignments per vendor
- •Data flow mapping per critical vendor
Common mistakes to avoid
- •No central vendor list or ownership
- •Expired SOC reports without review
- •Missing documentation of security exhibits/DPAs
- •Vendors left with lingering access
- •No follow-up on identified issues
How to produce evidence quickly
- Build a vendor inventory with criticality and owners.
- Collect recent SOC reports/attestations and document reviews.
- Capture contract security terms and DPAs.
- Review access for vendors and remove stale accounts.
- Track remediation items and renewal dates.
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FAQ
How often should we review vendors?
At least annually for critical vendors; more often for high-risk providers.
Do we need SOC reports for every vendor?
Prioritize critical vendors. For others, gather attestations or questionnaires as appropriate.
How do we track remediation?
Maintain an issue log with owners and due dates. Tie it to contract renewals where possible.
What about sub-processors?
Document their role, data processed, and oversight approach. Include them in inventories and reviews.
How do we handle vendor access?
Use least privilege, time-bound access, and regular reviews. Log vendor actions where possible.
Is a DPA required?
If personal data is processed, yes. Keep executed DPAs and reference them in vendor files.
Disclaimer: Compliance costs and timelines are estimates based on market benchmarks (AICPA fee surveys, vendor pricing indices 2025). Actual auditor fees and internal effort will vary based on your specific control environment, system complexity, and auditor selection. Consult with a qualified CPA for a formal statement of work.