SOC 2 Readiness: A Practical Starting Point
A readiness program works best when scope, controls, ownership and evidence are established before the examination begins.
1. Define the service and scope
Start with the service being assessed and identify the systems, teams, locations, data and dependencies that support it. Scope decisions should be understandable to both management and the independent service auditor.
2. Select the criteria
Security is the common Trust Services Criteria. Depending on the service and assurance objective, Availability, Processing Integrity, Confidentiality and Privacy may also be relevant.
3. Establish the control baseline
Map existing policies, processes and technical safeguards to the selected criteria. Separate controls that already operate from gaps that require remediation.
4. Assign ownership
Every recurring control should have an accountable owner who understands the activity, expected frequency and evidence required to demonstrate operation.
5. Build the evidence process
Define an evidence catalogue and collection workflow. The objective is to make evidence a normal output of operating the control rather than a manual scramble before the examination.
6. Track remediation
Prioritize gaps by business risk and examination impact. Track owners, target dates, dependencies and validation of completed remediation.
Takeaway
SOC 2 readiness is an operational program. A clear scope, accountable owners, working controls and reliable evidence provide a much stronger foundation than documentation alone.
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