Achieving SOC 2 compliance is a major milestone for any organization that handles customer data—especially SaaS companies, cloud‑based platforms, and service providers. But the path to a successful audit isn’t always straightforward. Many companies underestimate the preparation phase, only to discover late in the process that essential controls, evidence, or documentation are missing.
Whether you’re pursuing a SOC 2 Type I or Type II report, proper preparation is what determines whether your audit will be smooth and predictable—or stressful and filled with surprises.
This step‑by‑step guide breaks down exactly how to prepare effectively for your SOC 2 audit, based on industry best practices and what auditors expect to see.
1. Understand the Difference Between SOC 2 Type I and Type II
Before anything else, you need to choose the right report type.
Type I
- A “point in time” snapshot
- Evaluates whether controls are designed properly
- Ideal for early-stage companies that need SOC 2 quickly
Type II
- Covers a period of time (usually 3–12 months)
- Evaluates both design and operating effectiveness
- Preferred by enterprise customers and procurement teams
Many organizations start with Type I to get into the market faster, then progress to Type II once controls mature.
2. Define the Scope of Your Audit
SOC 2 audits are based on the Trust Services Criteria (TSC).
The Security criterion is always required, but you can include additional criteria depending on your services:
- Availability
- Confidentiality
- Processing Integrity
- Privacy
To scope your audit correctly, determine:
- Which systems, applications, and cloud environments are relevant
- What customer data you process
- Which TSC categories align with your commitments and risk profile
- Where your boundaries start and end (important for cloud-native companies)
Good scoping reduces unnecessary work and prevents scope creep during the audit.
3. Conduct a Gap Assessment (Readiness Review)
A readiness assessment is the most important preparation step—and the one companies skip most often.
During a gap assessment:
- You compare your current controls to SOC 2 requirements
- Identify missing policies, incomplete processes, or weak documentation
- Create a remediation plan with priorities and timelines
- Understand what evidence will be needed for the audit
This step saves organizations months of frustration and prevents unexpected findings.
4. Build or Update Your Security Policies
Auditors expect to see well‑structured, up‑to‑date, and consistently implemented security policies.
Key policies typically include:
- Information security
- Access control
- Asset management
- Change management
- Incident response
- Vendor and third‑party management
- Logging and monitoring
- Risk assessment
- Business continuity
Policies should:
- Be formally approved
- Match your actual practices
- Be reviewed annually
- Be communicated to employees
Strong policies are one of the easiest wins for SOC 2 preparation.
5. Implement or Strengthen Key Controls
SOC 2 auditors look for evidence that you have mature security controls across your environment.
High‑impact areas include:
Identity & Access Management
- MFA for all sensitive systems
- Role-based access control
- Automated offboarding
- Quarterly access reviews
Change Management
- Ticketing and approval workflows
- Testing and peer review
- Documentation of deployments
Logging & Monitoring
- Centralized log collection
- Alerts for unusual activity
- Evidence of daily or periodic log review
Vulnerability Management
- Regular scanning
- Defined remediation timelines
- Penetration tests
- Retesting validation
These are the areas where auditors most frequently find gaps.
6. Centralize Your Evidence Collection
SOC 2 is evidence-driven. Without documentation, controls cannot be validated.
Examples of typical evidence:
- Access review logs
- MFA configurations
- Change tickets
- Incident response test results
- Security training records
- Penetration test reports
- Vendor assessments
- Configuration screenshots
Collecting evidence in a structured system (Jira, Confluence, Notion, Drata, Vanta, etc.) saves enormous time during the audit window.
7. Train Your Team and Define Responsibilities
Everyone involved should understand:
- The scope of the audit
- What controls they own
- What evidence they must provide
- When auditors may ask for clarifications
Assign clear owners for:
- Access management
- Infrastructure security
- Logging and monitoring
- DevOps / engineering processes
- HR processes
- Vendor management
A well‑trained team prevents delays and last‑minute scramble.
8. Perform Internal Testing Before the Audit Period
Before your audit period begins (especially for Type II), validate that:
- Controls are working
- Evidence is being collected
- Alerts are triggered correctly
- Processes are followed consistently
Internal testing can include:
- Mock audits
- Spot checks
- Internal penetration tests
- Log review validations
- Risk assessment updates
This ensures the audit period runs smoothly.
9. Maintain Continuous Compliance Throughout the Audit Window
For Type II audits, auditors analyze control effectiveness across a period of time.
That means:
- Every access review must be completed on time
- Every onboarding and offboarding must follow the prescribed process
- Every change must follow the documented workflow
- Logs must be reviewed as scheduled
- Evidence must match actual behavior—not theoretical expectations
Consistency is the key to passing a Type II report.
10. Prepare for the Auditor’s Request List
Before the audit begins, your auditor will send a PBC list (“Provided By Client”), outlining all evidence needed.
Typical categories include:
- Policies
- Organizational charts
- System architecture diagrams
- Risk assessments
- Incident response documentation
- Change management tickets
- Security tool configurations
- Vendor management reviews
Having evidence ready before the audit begins dramatically reduces stress.
Final Thoughts
Preparing effectively for a SOC 2 audit is not just about checking compliance boxes—it’s about building a security program that is consistent, measurable, and aligned with your customers’ expectations.
By following a step‑by‑step approach—scoping correctly, conducting a readiness assessment, strengthening controls, documenting processes, and collecting evidence continuously—you not only pass your SOC 2 audit, but also improve your organization’s overall security posture.
A well‑prepared team and a structured plan transform SOC 2 from a painful obligation into a strategic advantage.
