How to Plan & Implement SOC 2 Compliance
A comprehensive guide to planning, preparing, and achieving SOC 2 certification for your organization. Learn the roles of automation platforms versus auditors and follow our step-by-step implementation checklist.
6 Planning Phases
Step-by-step roadmap
Platform vs Auditor
Understand each role
Implementation Checklist
Complete control list
The 6 Phases of SOC 2 Planning
Follow this proven roadmap to prepare your organization for SOC 2 certification. Each phase builds on the previous one.
Define Your Scope
Determine which systems, processes, and Trust Service Criteria apply to your organization.
Key Tasks
- Identify systems and services that handle customer data
- Determine applicable Trust Service Criteria (Security, Availability, etc.)
- Define organizational boundaries and third-party dependencies
- Create a data flow diagram of in-scope systems
- Document your service commitments to customers
- •Start with Security (CC) as it's required for all SOC 2 reports
- •Consider customer requirements when selecting additional criteria
- •Smaller scope = faster audit, but don't exclude critical systems
Assess Current State
Evaluate your existing controls against SOC 2 requirements to identify gaps.
Key Tasks
- Review existing security policies and procedures
- Inventory current technical controls (encryption, access control, etc.)
- Assess HR and onboarding/offboarding processes
- Evaluate vendor management practices
- Document incident response capabilities
- Review change management procedures
- •Use a gap assessment template to track findings
- •Interview team members across departments
- •Don't assume compliance - verify with evidence
Remediate Gaps
Address identified gaps by implementing or improving controls.
Key Tasks
- Prioritize gaps by risk and complexity
- Implement missing technical controls
- Write or update security policies
- Deploy endpoint protection and monitoring
- Configure access controls and MFA
- Establish backup and disaster recovery procedures
- Create employee security training program
- •Focus on high-risk gaps first
- •Use automation platforms to accelerate implementation
- •Document everything as you go
Collect Evidence
Gather and organize evidence proving your controls are operating effectively.
Key Tasks
- Set up automated evidence collection where possible
- Create a centralized evidence repository
- Document control activities and approvals
- Capture screenshots and system configurations
- Maintain audit logs and access reviews
- Schedule recurring evidence collection tasks
- •Automation platforms can collect 80%+ of evidence automatically
- •Evidence must be dated and attributable
- •Organize evidence by control objective
Select an Auditor
Choose a qualified CPA firm to conduct your SOC 2 examination.
Key Tasks
- Research SOC 2 audit firms with startup experience
- Request proposals from 3-5 auditors
- Compare pricing, timeline, and approach
- Check references from similar companies
- Negotiate engagement terms and scope
- Sign engagement letter and schedule kickoff
- •Choose auditors familiar with your tech stack
- •Consider communication style and responsiveness
- •Ask about their remote audit capabilities
Undergo the Audit
Work with your auditor through fieldwork, testing, and report generation.
Key Tasks
- Kick off with auditor walkthrough meeting
- Provide requested evidence and documentation
- Facilitate auditor testing and interviews
- Address any identified exceptions promptly
- Review draft report for accuracy
- Receive final SOC 2 report
- •Designate a single point of contact for the auditor
- •Respond to requests within 24-48 hours
- •Keep stakeholders informed of progress
Automation Platform vs. Auditor
Understanding the distinct roles of compliance automation platforms and CPA audit firms is essential for a successful SOC 2 journey.
Key Insight: You Need Both
An automation platform like LowerPlane helps you prepare for and maintain compliance, while a CPA firm officially certifies your controls. Think of it like tax preparation software (automation platform) vs. a licensed CPA (auditor) - you can use software to prepare, but a professional must sign off on the official documents.
Automation Platform
Streamline compliance operations
Automation platforms help you prepare for and maintain SOC 2 compliance through technology. They automate evidence collection, policy management, and continuous monitoring.
What They Do
- •Automated evidence collection from integrations
- •Policy and procedure templates
- •Gap analysis and readiness assessment
- •Continuous control monitoring
- •Task management and workflows
- •Vendor risk management
- •Employee security training
- •Dashboard and reporting
What They Don't Do
- •Issue the official SOC 2 report
- •Provide the auditor's opinion
- •Replace the need for an auditor
- •Guarantee audit success
Auditor (CPA Firm)
Provide independent assurance
CPA firms are licensed professionals who independently examine your controls and issue the official SOC 2 report. Only a CPA can issue a SOC 2 attestation.
What They Do
- •Independent examination of controls
- •Testing control design and operating effectiveness
- •Issuing the official SOC 2 report
- •Providing the auditor's opinion
- •Identifying control deficiencies
- •Professional attestation and assurance
- •Compliance with AICPA standards
- •Quality control review
What They Don't Do
- •Implement controls for you
- •Continuously monitor your systems
- •Collect evidence throughout the year
- •Manage your compliance program
Why Use an Automation Platform?
The benefits of LowerPlane for SOC 2
How LowerPlane Accelerates Your Audit
- Pre-built integrations with 100+ tools for automated evidence
- AI-powered gap analysis identifies what you need to fix
- Policy templates get you audit-ready in days, not months
- Continuous monitoring catches issues before auditors do
- Built-in task management keeps your team on track
- Auditor-ready reports make fieldwork a breeze
SOC 2 Implementation Checklist
A comprehensive checklist of controls, policies, and procedures you'll need to implement for SOC 2 compliance.
Policies & Procedures
- Information Security Policy
- Acceptable Use Policy
- Access Control Policy
- Data Classification Policy
- Incident Response Plan
- Business Continuity Plan
- Change Management Policy
- Vendor Management Policy
- Risk Assessment Procedure
Technical Controls
- Multi-factor authentication (MFA)
- Encryption at rest and in transit
- Endpoint detection and response (EDR)
- Intrusion detection/prevention system
- Web application firewall (WAF)
- Vulnerability scanning
- Penetration testing (annual)
- Centralized logging and monitoring
- Automated backups with testing
Access Management
- Role-based access control (RBAC)
- Principle of least privilege
- Quarterly access reviews
- Unique user IDs for all employees
- Password policy enforcement
- Privileged access management
- SSO for critical applications
- Automated deprovisioning
Infrastructure
- Cloud security configurations
- Network segmentation
- Firewall rules documentation
- Asset inventory management
- Patch management process
- Container security (if applicable)
- Infrastructure as Code
- Environment separation (dev/prod)
People & Process
- Background checks for new hires
- Security awareness training
- Onboarding security procedures
- Offboarding checklist
- Confidentiality agreements
- Code of conduct acknowledgment
- Security responsibilities documentation
- Annual policy acknowledgment
Monitoring & Response
- Security incident response team
- Incident classification matrix
- Alert escalation procedures
- SLA monitoring and reporting
- Performance monitoring
- Capacity planning
- Disaster recovery testing
- Post-incident review process