SOC 2 Readiness
Type I or Type II — scope your TSC categories, assess control readiness, and build an auditor-ready evidence package. Free to start.
Before you start — what to have ready for SOC 2
Gather these first. Every one of them is something the assessment will ask for, and finding them mid-way is where an assessment stalls.
Decide your scope first
This module works out which controls apply to you from your answers, so complete the scope step first. Starting without it assesses a population you did not choose.
- Which systems, services and locations are in scope — write this down before you answer anything.
- Who owns each area, so an answer about it is somebody’s to give.
- The period the evidence should cover, where the framework opines on a period rather than a moment.
Gather these documents
What SOC 2 is assessed against. Find them before you start — the assessment reads what you upload, not what you tell it.
- Security / information security policy
- Access provisioning and de-provisioning records
- Change management records
- Vendor management and monitoring evidence
- System monitoring, logging and alerting configuration
- Incident response records
- Evidence covering the observation period (not a single point in time)
Have the right people
Who needs to be involved, and what changes if it is only you.
- Someone who can find the documents — usually whoever owns the control day to day.
- A second person to review what was uploaded, if you want reviewed coverage. They must not be the person who submitted or attached that evidence: no one reviews their own work.
- One person can complete the whole assessment. Reviewed coverage will read zero, and that is accurate rather than a fault.
- A reviewer’s acceptance is what raises a control from partial to proven, and every workspace has that during the open beta. It becomes something a plan includes once there is anything to buy.
Prepare the files
Upload only what the assessment needs. You are responsible for removing or masking personal and sensitive data that a control does not require — do it before you upload. Access and change records carry staff identities and system details. Mask personal contact details, internal hostnames and any credentials before uploading.
- Upload digital documents only — a Word file, a spreadsheet, or a PDF with real text. A photograph or a scanned paper has no readable text, so it cannot be assessed or prove a control.
- A scan or a photograph has no text to read, so it cannot prove a control. Export the original instead.
- The same file cannot be uploaded twice to one library — it is recognised by its contents, not its name.
- Upload the document itself, not a summary of it. A summary is your description of the evidence, not the evidence.
- A document that is not about this framework will be accepted and matched against nothing. It still counts against your library, so it is worth checking before you send it.
Know what you will get
So the result is what you expected when you started.
- You get a readiness position derived from the evidence you upload, and a list of where the gaps are.
- You do not get an audit, an opinion, or a certification. Only a licensed auditor, an accredited certification body, or the relevant regulator can give you those.
- Controls you upload nothing for are reported as UNEXAMINED — not as failed. That distinction is deliberate.
- A document can support a control without proving it. Supporting evidence raises a control to partial; reaching proven takes evidence a second person independently reviewed and accepted.
What is SOC 2?
SOC 2 is an AICPA attestation standard that evaluates whether a service organisation's controls meet the Trust Services Criteria (TSC) over a defined period (Type II) or at a point in time (Type I). It is the most requested security assurance report for SaaS and cloud companies selling to enterprise and mid-market customers.
Type I vs. Type II
Controls are suitably designed as of a specific date. Faster to achieve — typically 2–4 months. Good for early-stage companies responding to first vendor questionnaires.
Reviews operating effectiveness over the agreed observation period. Requires testing and assessment of the results; collecting dated documents alone does not establish sustained operation.
Trust Services Criteria
Common Criteria — required for all SOC 2 engagements
System availability per defined commitments and SLAs
Protection of confidential information throughout its lifecycle
Complete, valid, accurate, timely, and authorised processing
Collection, use, retention, disclosure, and disposal of personal information
Security (CC) is mandatory for all SOC 2 engagements. Additional categories are scoped based on your service commitments and customer requirements.