Ever feel like you’re trying to navigate a minefield blindfolded? That’s what managing compliance without a clear framework can feel like. I’ve seen teams spin their wheels chasing endless questionnaires, only to miss the big picture.
In this guide, I’ll walk you through the seven high‑level steps of SOC 2 attestation—without the hype or the hefty price tag—so you can prove your controls actually work and enjoy peace of mind.
Define scope and objectives: Charting your compliance map
You wouldn’t set sail without a map, yet many organizations start audits without a clear boundary. Define your Trust Services Criteria (TSC) and report type up front to keep your effort focused and budget-friendly.
Picking the right Trust Services Criteria and report type
Security (protecting against unauthorized access) is non‑negotiable. Then choose any mix of Availability (system uptime), Processing Integrity (accuracy of operations), Confidentiality (protecting sensitive data), and Privacy (handling personal information).
| Criterion | What It Means | Mandatory? |
| Security | Guardrails against both digital and physical break‑ins | Yes |
| Availability | Does your service stay up and responsive? | Optional |
| Processing Integrity | Are transactions processed correctly, every single time? | Optional |
| Confidentiality | Is confidential data locked down from prying eyes? | Optional |
| Privacy | Personal info handled per your privacy policy (GDPR, CCPA, etc.) | Optional |
Next, decide: a Type I report for a design snapshot, or Type II to prove those controls actually worked over 3–12 months.
| Attribute | Type I | Type II |
| Focus | Control design at a specific date | Design and operating effectiveness over time |
| Duration | Days to weeks | 3–12 months |
| Assurance Level | Snapshot | Trend‑line proof |
| Speed | Fast | Slower |
PRO TIP
When drafting your system boundary, bring in product, DevOps, and finance teams. They’ll point out those forgotten databases and third‑party tools that sneakily store PII.
Conduct a readiness assessment: Throwing light on blind spots
Think of this as your compliance dress rehearsal. You’ll catch the missing steps before the auditor shows up in your conference room.
Gap analysis and remediation planning
I once worked with a startup that thought their email policy covered phishing controls—until we mapped it to TSC and found gaps in secure password management. Your gap analysis catalogs existing policies, tech setups, and workflows against TSC. Rank issues by risk, then assign owners and deadlines in a remediation plan.
| TSC Requirement | Control Description | Owner | Evidence Type |
| Logical Access Controls | MFA enforced for all admin accounts | IT Security | System logs |
| Change Management | Ticketed approval for code deployments | DevOps Lead | Change tickets |
| Data Backup | Nightly encrypted backups to SAS‑70 storage | Ops Manager | Backup reports |
Evidence collection strategy
Having great controls without proof is like showing up to a job interview without a resume. Automate log exports, version‑control your policies, and store screenshots in a shared repository—tagged by control ID and date.
PRO TIP
Integrate your ticketing system (e.g., Jira, ServiceNow) to auto‑flag audit tickets. That way, every change request becomes a neatly packaged evidence artifact.
Implement and document controls: Turning plans into action
This is where most people stall—policies live in Google Docs, firewalls sit half‑configured, and nobody owns offboarding.
Policy, technical, and process controls in harmony
Draft policies that read like user manuals, not legal briefs. Configure firewalls, access controls, SIEM alerts, backups, and incident‑response playbooks. Define process flows for change management, vendor onboarding, and employee offboarding. Assign a single owner per control—no passing the buck.
Documentation done right
Use a version‑controlled document repository. Time‑stamped logs for network configs. And name your files clearly: ControlID_Owner_Date makes retrieval a breeze when auditors call.
PRO TIP
Hold a quarterly “evidence review” meeting. Run through each control in your register—stale or missing artifacts get flagged before they become audit exceptions.
Engage a CPA firm: Choosing your climb partner
Not all auditors are created equal. You want a CPA firm that knows your industry and speaks your language—financial services, SaaS, or healthcare.
Selecting an auditor and kick‑off alignment
Look for firms authorized under AICPA AT‑C 105/205. In your kick‑off, hash out scope, timelines, control mappings, and evidence handoff. If you use tools like Splunk or Zendesk, discuss integrations to streamline submissions.
Type I Audit: Validating design, one step at a time
A Type I audit is like a dress rehearsal for an orchestra—it confirms every instrument (control) is in place and tuned.
Walkthroughs and design testing
Auditors interview your control owners, review diagrams, and request screenshots. They’re verifying that your orchestra isn’t missing the trumpet (read: critical control).
Receiving your Type I report
This snapshot report shows stakeholders your control design works as advertised—handy for proof of concept or fast‑track sales cycles.
PRO TIP
Share your Type I report internally and treat it like a checklist for Type II prep. Fix low‑severity gaps now, so your long‑haul audit is smoother.
Type II Audit: Proving your controls play in concert
Type II is the full performance: auditors test control operation over 3–12 months, sampling logs, tickets, and HR records.
Evidence sampling and review period
Keep your artifacts chronological—logs, vulnerability scans, incident tickets. I once spotted a month‑long gap in backup reports; internal reviews could’ve caught it before the auditor did.
Remediating findings
If exceptions pop up, you’ll need re‑tests. Coordinate between IT, HR, and compliance to knock out issues fast—every day delay means extra audit fees.
PRO TIP
Use a shared dashboard to track open exceptions. Update controls, attach new evidence, and notify your auditor via your integration of choice.
Receive and distribute the SOC 2 report: Flaunt that badge
Congratulations—you’ve climbed the peak. Now let’s make the summit view count.
Final report and stakeholder roll‑out
Your report includes an opinion letter, system description, control narratives, and test results. Share under NDA with customers, prospects, and regulators. Slip key figures into RFPs to shorten your sales cycles.
Continuous monitoring and next steps
SOC 2 is a perpetual journey. Schedule annual re‑attestations, conduct internal audits, and automate monitoring dashboards for key metrics like patch compliance and incident response times.
Beyond the audit: Turning compliance into a growth engine
You’ve built a repeatable SOC 2 machine. Now, let that rigor become your competitive advantage. Share success stories in your marketing, educate your sales team on talking points, and watch customer trust—and deals—multiply. Ready to turn security from a checkbox into your secret weapon? Let’s make it happen.
