What to Expect During a SOC 2 Audit

~7 min read · Tags: SOC 2, Audit, Preparation

Navigate your SOC 2 audit with confidence. Understand the timeline, testing approach, and how to prepare your team for success.

The SOC 2 Audit Journey

A SOC 2 audit typically spans 6-12 weeks from kickoff to report delivery. Understanding each phase helps you allocate resources effectively and avoid last-minute surprises.

1

Pre-Audit Planning

1-2 weeks

  • Scope agreement & engagement letter
  • Evidence request list (PBC)
  • Initial readiness review
2

Fieldwork & Testing

3-6 weeks

  • Control walkthroughs
  • Sample selection & testing
  • Management interviews
3

Findings & Remediation

1-2 weeks

  • Exception identification
  • Management responses
  • Corrective action plans
4

Report Issuance

2-3 weeks

  • Draft review
  • Management review meeting
  • Final report delivery

Kickoff & Scope Confirmation

The kickoff meeting sets the foundation for your audit. Your auditor will confirm the boundaries of your system, identify which Trust Services Criteria apply, and discuss any subservice organizations (AWS, GCP, third-party vendors).

Key Deliverables

  • System description narrative
  • Control matrix (CCM or similar)
  • List of subservice organizations
  • Organizational chart with responsibilities

Testing & Sampling

Auditors validate that your controls are designed effectively and operating consistently. This involves reviewing policies, logs, access records, and change tickets. Expect detailed questions and sample requests.

What Auditors Test

Access Controls

User provisioning/deprovisioning logs, access reviews, MFA enforcement

Change Management

Ticket samples, code review evidence, deployment logs, rollback procedures

Monitoring & Logging

Centralized logging, alert configuration, incident response runbooks

Backup & Recovery

Backup schedules, restore tests, RTO/RPO documentation

Sample Size Matters

For Type II audits, auditors typically test 20-40 samples per control annually. Keep evidence organized and readily accessible — ComplySherpa automates collection and tagging across all your frameworks.

Walkthroughs & Interviews

During walkthroughs, auditors observe your processes in action. They'll interview control owners, review live systems, and validate that your documented procedures match reality.

How to Prepare Your Team

  • Brief control owners on scope and expectations
  • Ensure everyone understands their responsibilities
  • Have supporting documentation ready (runbooks, screenshots)
  • Conduct internal dry-runs before auditor walkthroughs

Exceptions & Remediation

Exceptions (findings) are gaps where controls didn't operate as designed. They're not failures — they're opportunities to strengthen your program. Auditors expect thoughtful management responses and corrective action plans.

Types of Exceptions

High

Control Deficiency

Control didn't operate effectively; material risk to system

Medium

Design Gap

Control design doesn't fully address the criterion

Low

Documentation Issue

Evidence missing or incomplete; control may have operated

Remediation Best Practices

  • Document root cause analysis
  • Provide specific corrective actions with timelines
  • Assign ownership and track completion
  • Update policies and training as needed

Staying Organized with ComplySherpa

Managing audit evidence across multiple frameworks is complex. ComplySherpa centralizes your evidence collection, maps controls automatically, and keeps everything audit-ready in one place.

Automated Evidence Collection

Pull from AWS, Okta, GitHub, Jira — tagged and mapped

Unified Control Mapping

One control satisfies SOC 2, ISO 27001, and PIPEDA

Auditor Portal

Grant read-only access; track requests and responses