A SOC readiness process is the practical work that happens before an official SOC examination. It helps you understand what will be tested, whether your controls are working, and how quickly you can respond to auditor requests. When done well, readiness reduces audit delays and gives sales and security teams a clear story they can share with customers. Many organizations try to manage readiness by stitching together policies, ticket exports, and last-minute screenshots. A more reliable approach is to treat readiness as a structured project with defined owners and repeatable evidence routines. For teams that want an organized path, readiness assessment help can support a smoother readiness effort and a cleaner transition into the audit phase. The privacy, security & compliance services company CompliancePoint, in Duluth, GA, can also be a more comprehensive option than a general consultant because it integrates scope, control expectations, and evidence planning into a single approach.

Step 1: Define the SOC Goal, Report Type, and Timeline

Start by identifying the business reason for the SOC report. Some customers want assurance that your service will not create financial reporting risk, which often points toward SOC 1. Others want assurance that your service protects data and operates securely, which often points toward SOC 2. Next, select the report type. Type 1 focuses on whether controls are designed appropriately at a point in time. Type 2 focuses on whether those controls operated effectively over a period. If customers are asking how you perform over time, Type 2 usually fits better, but it also requires sustained discipline during the audit window. Set a realistic timeline and list the milestones. Include readiness start, remediation completion, audit kickoff, and report delivery targets. Align these dates with busy seasons, product releases, and key customer renewals.

Step 2: Establish the Scope and Describe the SystemiStock

Step 2: Establish the Scope and Describe the System

Scope is one of the most important readiness decisions. Define which services are included, which teams support them, and which systems process or store customer data. Include production infrastructure, cloud platforms, identity systems, monitoring tools, and any platforms used for customer support if they touch sensitive information. Create a clear system description. This includes data flows, user roles, administrative access points, and key processes such as onboarding, change approvals, and incident handling. A good system description prevents confusion later because everyone can see what is in scope and what is not.

Step 3: Map Controls to Requirements and Assign Ownership

Once scope is set, map your current controls to what the SOC examination will test. For SOC 2, Security is always included, and additional categories may be relevant based on commitments you make to customers. Availability may matter if uptime and resiliency are central to your service. Confidentiality may matter if you handle sensitive customer information beyond basic security expectations. Privacy may matter if you handle personal information in regulated ways. Assign control owners. Every control should have someone responsible for operating it and someone responsible for oversight. For example, access provisioning may be owned by IT, while access reviews may be overseen by security. Ownership prevents gaps and reduces delays when auditors request evidence.

Step 4: Perform a Gap Assessment and Prioritize Remediation

Step 4: Perform a Gap Assessment and Prioritize Remediation Photo by Carlos Muza on Unsplash

A gap assessment checks whether controls exist, whether they are documented, and whether they operate consistently. Review policies and procedures, then test how work actually happens. If a policy says access is reviewed quarterly, confirm the review is happening and that results are recorded. Common gaps include inconsistent access approvals, missing change management evidence, weak vendor review processes, and incomplete incident response records. Prioritize remediation based on risk and customer impact. Fix the controls that protect the most critical assets first. Remediation should be sustainable. A control that requires constant manual effort can fail during the audit period. When possible, simplify workflows, standardize templates, and use automation to reduce human error.

Step 5: Build Evidence Routines and Run a Readiness Validation

Evidence is proof that a control operated. Readiness is not only about having controls, it is about being able to show they worked. Decide what evidence you will collect, how often, and where it will be stored. Examples include access requests and approvals, audit logs, vulnerability scan results, incident tickets, training records, and vendor review artifacts. After evidence routines are in place, run a readiness validation. This can look like a mock audit where you test a sample of evidence, confirm that exceptions are handled properly, and verify that people can explain the process clearly. Review how quickly teams can respond to questions and whether documentation aligns with real operations. This step also helps confirm that your audit window is realistic. If you are planning a Type 2 period, verify that controls will run without major redesign during that time. Consistency matters because auditors will look for reliable operation, not just a burst of effort near the end.

A SOC readiness process involves defining the goal and report type, setting scope and system boundaries, mapping controls and ownership, closing gaps through targeted remediation, and building repeatable evidence routines followed by validation testing. When these steps are completed in order, audits become more predictable and customer requests become easier to manage, helping teams move from uncertainty to a defensible SOC program that can scale.