Preparing for a SOC 2 audit can feel overwhelming, especially if it’s your first time. But with the right strategy and a clear roadmap, your IT team can navigate the process confidently and ensure your organization is fully prepared for certification. Whether you’re pursuing Type I or Type II, here’s a step-by-step guide to help you get audit-ready.
Step 1: Understand What SOC 2 Involves
SOC 2 is a compliance framework developed by the AICPA that evaluates how your company handles customer data across five Trust Service Criteria: Security, Availability, Processing Integrity, Confidentiality, and Privacy. Not all five are required, but Security is mandatory for every audit.
There are two types of audits:
- Type I assesses your controls at a specific point in time.
- Type II evaluates how well those controls perform over a period (usually 6–12 months).
Step 2: Define Your Scope
Your IT team needs to work with leadership to define:
- Which systems, departments, and processes will be included in the audit?
- Which Trust Service Criteria are relevant to your business?
This step is crucial; defining scope early helps avoid surprises later.
Step 3: Conduct a Gap Analysis
Before the formal audit, perform an internal review or gap analysis. This will help identify where your current policies, tools, or processes fall short. Some companies do this in-house; others work with a SOC 2 readiness consultant or a managed security provider like Sentant to streamline the process.
Common gaps include:
- Missing or outdated security policies
- Weak access controls
- Lack of incident response planning
- Incomplete audit logs or monitoring
Step 4: Implement and Document Controls
Once gaps are identified, your IT team needs to:
- Put proper controls in place (firewalls, 2FA, data encryption, etc.)
- Create or update documentation—auditors love clear, consistent records.
- Train staff on new procedures and security best practices.
Documentation should be organized, accessible, and backed by evidence (like screenshots, logs, or audit trails).
Step 5: Choose Your Auditor and Start the Audit
When you’re confident your controls are working effectively, it’s time to select a certified SOC 2 auditor. Many firms specialize in tech and SaaS audits, so choose one familiar with your industry. Your IT team will work closely with them to provide evidence and answer questions.
Preparing for a SOC 2 audit takes time and coordination, but the payoff is worth it. With proper planning, strong internal controls, and clear documentation, your IT team can not only pass the audit but also strengthen your organization’s overall security posture.
This post was written by a professional at Sentant. Sentant specializes in advanced Managed IT and digital security solutions designed specifically for hybrid and remote workforces. Our adaptive, modern approach moves beyond one-size-fits-all service models, delivering customized support to match each client’s exact requirements. Whether it’s streamlining employee onboarding or navigating critical compliance standards such as SOC 2 compliance Austin TX, Sentant stands as a dependable partner in securing and optimizing your IT environment.
