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SOC 2 Preparation Guide

Everything you need to prepare for your SOC 2 audit - no fluff, just actionable steps.

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Realistic Timeline

Month 1

Scoping & Gap Analysis

  • • Define which Trust Service Criteria apply
  • • Complete readiness assessment (use our free tool)
  • • Select auditor and get quote
  • • Identify critical gaps
Month 2-3

Foundation Building

  • • Write core policies (InfoSec, Access Control, Incident Response)
  • • Implement GRC platform (Vanta, Drata, or similar)
  • • Enable MFA everywhere (this is critical!)
  • • Set up centralized logging
  • • Document organizational structure
Month 4-5

Control Implementation

  • • Deploy endpoint protection (EDR)
  • • Implement vulnerability scanning
  • • Set up access reviews (quarterly)
  • • Create vendor management process
  • • Conduct security awareness training
  • • Test incident response plan
Month 6

Pre-Audit & Readiness

  • • Internal audit or readiness assessment
  • • Collect evidence for all controls
  • • Remediate any remaining gaps
  • • Schedule Type I audit
Month 7

Type I Audit

  • • Fieldwork (1-2 weeks)
  • • Respond to auditor requests
  • • Receive draft report
  • • Address any findings
  • • Receive final SOC 2 Type I report

Critical Controls Checklist

Must-Have (Audit Blockers)

  • MFA Everywhere
    All users, all systems. No exceptions.
  • Access Control Policy
    Provisioning, reviews, termination process
  • Encryption
    TLS 1.2+ in transit, AES-256 at rest
  • Centralized Logging
    1+ year retention, tamper-proof
  • Incident Response Plan
    Documented and tested
  • Vendor Management
    Risk assessments for critical vendors

Quick Wins (Do These First)

  • Enable MFA (2 hours)
    Google Workspace, AWS, GitHub, Slack
  • Create Org Chart (1 hour)
    Show security reporting lines
  • Enable GitHub Branch Protection (30 min)
    Require PR reviews for all changes
  • Create Risk Register (2 hours)
    Top 10 risks in a spreadsheet
  • Document Backup Process (1 hour)
    What, when, where, tested when?

Cost Breakdown

ItemCost RangeNotes
Audit Fees (Type I)$15K - $40KDepends on company size, criteria selected
GRC Platform$10K - $50K/yearVanta, Drata, Secureframe, or DIY
Security Tools$5K - $30K/yearEDR, SIEM, vulnerability scanning
Internal Time$20K - $60K200-500 hours across team
Consultant (Optional)$15K - $50KCan reduce timeline by 2-3 months
Total First Year$40K - $150KAnnual renewal: $20K-$80K

Common Mistakes to Avoid

❌ Starting too late

Don't wait until a customer asks. Start 6+ months before you need it.

❌ Choosing the wrong auditor

Get 3 quotes. Ask about their SaaS experience and turnaround time.

❌ Skipping the gap analysis

Know what you're missing before you start. Use our free assessment.

❌ Not documenting everything

If it's not documented, it doesn't exist. Screenshots, policies, evidence.

❌ Treating it as a one-time project

SOC 2 is continuous. Plan for annual audits and ongoing monitoring.

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