SOC
Readiness, scoping, and remediation support that helps service organizations get their controls in order before the SOC examination begins.
Overview
A SOC report is often a condition of winning or keeping customers, but the examination itself is not the place to discover that controls are missing or undocumented. Our SOC advisory work happens before the audit. We help you decide which report your customers actually need, map your systems and processes against the relevant criteria, identify gaps, and build a practical plan to close them. The goal is a control environment that is documented, operating, and ready to be examined by an independent service auditor.
This page covers advisory and readiness work only. It does not result in a SOC report. The attestation examination is a separate engagement, described on our SOC Audit page. Professional independence rules limit how involved an examining firm can be in designing the controls it reports on, so we define roles clearly at the outset and keep readiness support distinct from any attestation work.
How We Help You Prepare for SOC
SOC Readiness Assessment
A structured review of your current controls, documentation, and evidence against the criteria your report will use, resulting in a prioritized list of gaps and a realistic view of how ready you are.
Report Type Scoping
Help determining whether customers need a SOC 1 report on controls relevant to their financial reporting, a SOC 2 report on the Trust Services Criteria, or both, and whether Type 1 or Type 2 fits.
System and Boundary Definition
Defining which services, systems, locations, and subservice organizations fall in scope, so the eventual system description is accurate and the examination covers what customers expect to see.
Gap Analysis and Remediation Planning
Translating identified gaps into a sequenced remediation plan with owners and target dates, focused on the control weaknesses most likely to produce exceptions during the examination period.
Policy and Procedure Development
Support drafting or updating the written policies and procedures auditors will ask for, such as access management, change management, incident response, vendor management, and risk assessment.
Auditor Preparation
Organizing evidence, walking control owners through what to expect during testing, and helping you assemble the information an independent service auditor typically requests before fieldwork starts.
Challenges We Help You Address
- ✓Customers or prospects requiring a SOC report before signing or renewing contracts
- ✓Uncertainty about whether a SOC 1, SOC 2, Type 1, or Type 2 fits
- ✓Controls that exist in practice but are not documented or evidenced
- ✓Unclear system boundaries and reliance on cloud or other subservice providers
- ✓Limited internal bandwidth to prepare for a first-time examination
Frequently Asked Questions
What is a SOC readiness assessment?
A SOC readiness assessment is an advisory review performed before a SOC examination. It compares your current controls, policies, and evidence against the criteria your report will be measured against and identifies gaps. It does not produce a SOC report or an opinion. Its purpose is to give you a clear remediation plan so the formal examination, performed by an independent service auditor, goes more smoothly and is less likely to surface avoidable exceptions.
What is the difference between SOC 1 and SOC 2?
A SOC 1 report addresses controls at a service organization that are relevant to its customers’ internal control over financial reporting, such as payroll or claims processing. A SOC 2 report addresses controls related to the AICPA Trust Services Criteria: security, availability, processing integrity, confidentiality, and privacy. Which one you need depends on the services you provide and what your customers and their auditors are asking for.
What is the difference between a SOC 2 Type 1 and Type 2 report?
A Type 1 report evaluates whether controls are suitably designed and in place as of a specific date. A Type 2 report also tests whether those controls operated effectively over a period of time. Many organizations start with a Type 1 to establish a baseline, then move to a Type 2, which customers generally view as stronger evidence because it covers how controls actually performed over the review period.
Can the same firm do SOC readiness and the SOC audit?
Readiness work and the SOC examination are separate engagements with different purposes. Professional independence rules restrict how involved an examining firm can be in designing or implementing the controls it later reports on. For that reason, roles should be defined before any work begins. We discuss this up front so that your readiness support and your eventual examination are structured in a way that keeps the auditor’s independence intact.
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