How to Prepare for a SOC Audit

SOC audits are crucial for proving your organization meets security, availability, confidentiality, processing integrity, and privacy standards. However, preparing for a soc audit preparation can feel like a daunting task, especially if you’re unsure of what auditors are looking for and how to organize evidence. Here’s a structured approach to help your team pass with flying colors and avoid last-minute scrambles.

1) Understand the SOC Audit Scope

Before diving into the preparation, it’s essential to understand the scope of the audit. SOC 2 audits are based on the AICPA’s Trust Services Criteria (TSC), but different audits focus on different criteria:

• Security (most common): the core criteria, focusing on how you protect systems.
• Availability: how you ensure uptime and recover from disruptions.
• Confidentiality: how sensitive data is handled.
• Processing Integrity: often seen in financial services or payment processors.
• Privacy: data protection, especially relevant for healthcare or personal data.

Clarifying the scope helps your team focus on the controls and policies relevant to the audit. Don’t over-scope—only include the systems that are in-scope for your customers.

2) Document Your Policies and Controls

Your organization should have formalized policies and controls that meet the Trust Services Criteria. These may include:

• Access Control policies that define roles, responsibilities, and who gets access to what.
• Change Management procedures to track software or configuration changes.
• Incident Response Plans detailing steps to take when a security event occurs.
• Data Protection Policies specifying how sensitive data is protected and handled.
• Vendor Risk Management policies that assess third-party risks.

For each policy, ensure that you can demonstrate it’s being followed consistently. This could be via system configurations, access logs, approval workflows, or other operational proof.

3) Implement Continuous Monitoring

SOC 2 auditors want to see that your controls are in place and operating continuously. This means:

• Logs for all critical systems (e.g., system access, data modifications, and incidents).
• Regular reviews of user access (privileged access, inactive users).
• Security monitoring tools like EDR (Endpoint Detection and Response) or SIEM (Security Information and Event Management).
• Incident response tests (tabletop exercises or actual incident handling).

If these elements are in place, continuous monitoring not only helps mitigate risk but also provides ongoing evidence that auditors will need during the SOC audit.

4) Organize Your Evidence

One of the most important aspects of soc audit preparation is ensuring that all evidence is well-organized and easy to present to auditors. Here are tips for effective evidence management:

• Centralize your evidence in one system (e.g., a shared drive or centralized platform).
• Organize evidence by control and criteria.
• Use a consistent naming convention (e.g., ControlID_Date_Artifact).
• Ensure evidence is accessible but protected—auditors will need to access it, but the data should remain secure.
• Have up-to-date records for all your controls. Outdated evidence or records could indicate poor management or cause unnecessary delays.

5) Conduct an Internal Audit (Pre-Audit Check)

Before the official audit, it’s advisable to run an internal audit (or pre-audit check). This is essentially a dry run that ensures you’re fully prepared. During the pre-audit:

• Verify that all policies and procedures are being followed.
• Check that all critical systems are monitored and logs are retained.
• Ensure that evidence for each control is documented and easily accessible.
• Test access controls and backup/restore procedures to confirm they meet expectations.

6) Address Gaps Early

If during your internal audit or preparation process you discover any gaps in your processes or evidence, address them as early as possible. Typical gaps include:

• Incomplete or missing logs.
• Inconsistent enforcement of controls (e.g., unapproved changes in production).
• Untracked changes to critical systems.
• Lack of incident response documentation or training.