What Is SOC 2 and Why Do You Need the Right Docs?
SOC 2 is a framework that shows your company is serious about data security. It’s all about proving that you have robust controls in place to protect customer data. Auditors look at your documentation to ensure that your policies are not only written down but are also followed through with real, repeatable processes.
Preparing for SOC 2 Documentation
To achieve SOC 2 compliance, start with these structured steps:
1. Define the Scope
Determine which systems, services, and operations are within the scope of the SOC 2 audit. This decision should align with your business objectives and customer requirements.
2. Select the Relevant Trust Services Criteria (TSC)
Based on your organization’s services, select the appropriate TSCs. Security is mandatory, while the other criteria (Availability, Processing Integrity, Confidentiality, and Privacy) are optional but often recommended.
3. Conduct a Gap Assessment
Evaluate your current controls and identify areas that need improvement. This assessment will help you address compliance gaps efficiently.
4. Develop and Document Policies and Procedures
Create comprehensive policies that cover security, data handling, incident response, and access controls. Ensure that these policies are formally documented and accessible to relevant stakeholders.
Aligning Policies with Realistic, Repeatable Processes
When preparing for SOC 2 compliance, it’s not enough to simply write robust policies—the processes that support these policies must be equally well-defined and, more importantly, realistic and repeatable. Here’s why this matters:
1. Realism and Repeatability are Key
A policy may outline that a particular control should be performed on a monthly basis, but if your actual process only allows for an annual review, there’s a disconnect. Your documented process should mirror the practical, repeatable steps your team is taking. This alignment ensures that the evidence you provide during an audit is natural and easily produced.
2. Evidence Generation
When your processes accurately reflect your day-to-day operations, the associated evidence isn’t forced. Auditors are more interested in the effectiveness of the outcomes rather than mandating an ideal process. If you’re honest about your processes—say, if a check is truly performed annually instead of monthly—the evidence will support the actual control environment, which is what truly matters.
3. Avoiding the “Ideal vs. Reality” Trap
Don’t let the pursuit of an ideal outcome overshadow the effectiveness of your current practices. While it’s important to continuously improve, the auditor’s primary goal is to assess whether the outcomes meet the control objectives, not to dictate the perfect process or tool to achieve them. Over time, as you refine your processes, they can gradually approach the ideal, but starting with what’s achievable is essential.
4. Focus on Big Ticket Items
Several key areas can make or break your SOC 2 audit. For instance:
- SDLC/IT Change Management Policy: Ensure that your process for managing changes to systems is clearly documented and repeatable.
- Vulnerability Management Policy: Establish and follow a consistent process for identifying, assessing, and mitigating vulnerabilities.
- SOC 2 Backup Requirements: Your backup processes should be well-defined and tested regularly to ensure that recovery is both swift and reliable.
- User Onboarding/Offboarding: Given that the evidence here may come from multiple departments, it’s crucial to have a process that is clearly mapped out and agreed upon across the organization.
Your SOC 2 Compliance Documentation Roadmap
1. Policies
What Are They?
These are your company’s “instruction manuals.” They spell out how you manage security and operations consistently.
Key Policies You Need:
- Security Policy: Explains how you protect data and manage who gets access.
- Data Handling & Encryption Policy: Describes how you safely store, transmit, and dispose of data.
- IT Change Management/SDLC Policy: Details how you manage system changes without causing disruptions.
- Vulnerability Management Policy: Outlines how you spot and fix security weaknesses.
- Backup & Disaster Recovery Policy: Ensures you can quickly recover data if something goes wrong.
- HR Policies (Onboarding/Offboarding): Clarify how employees gain (and lose) access to sensitive systems.
Pro Tip- Keep It Real
Your documented processes should match what you actually do. For instance, if your policy says you run a control check monthly but you really perform it annually, be upfront about it. Auditors care about effective outcomes, not an ideal process that never happens. Start with what’s achievable and refine it over time.
2. Management Assertion
What Is It?
A management assertion is a written statement that explains how your systems and controls work. It’s like saying, “Here’s how we do things and why we believe it meets official SOC 2 guidance and requirements.”
Why It Matters:
This assertion sets the stage for your audit by telling the auditor what to expect. It’s included in your final SOC 2 report, so accuracy is key.
3. System Description
What Is It?
Your system description offers a detailed look at the parts of your business covered by the SOC 2 audit.
It Should Include:
- Company Overview: What your business does.
- System Overview: The services you provide.
- Service Commitments & System Requirements: What you promise your customers and the systems that support those promises.
- Components of the System: Infrastructure, software, data, processes, and people.
- Incident Disclosures and Changes: Any events or modifications that have affected your controls.
Our Advice:
Visual aids like flowcharts or diagrams can make this information much clearer.
4. Control Matrix
What Is It?
Think of the control matrix as a detailed spreadsheet mapping each control to SOC 2 criteria.
It Typically Includes:
- Criteria Reference: Which SOC guidelines the control meets.
- Control Description: What the control is and how it works.
- Control Owner: The person responsible for the control.
- Risk Level: (Optional) How critical the control is.
This document helps both you and the auditor quickly see what’s in place.
5. Evidence Collection Documentation
What Is It?
This is proof that you’re following your documented policies. Evidence can be in logs, screenshots, meeting minutes, test reports, and more.
How to Organize It:
Keep a centralized, secure repository for all your evidence. A well-maintained evidence collection spreadsheet makes tracking what’s in place and what needs updating easier.
6. Other Supporting Documentation
Depending on your business, you might need additional SOC 2 compliance documentation to support your audit:
- Business Operations Documentation: Office diagrams, governance manuals, risk management plans, vendor agreements, etc.
- HR Documentation: Organizational charts, employee handbooks, onboarding/offboarding processes, and training logs.
- IT & Technical Documentation: Inventory of devices, equipment maintenance records, data retention, encryption policies, backup logs.
- Privacy Documentation: Privacy notices, data use agreements, unsubscribe/opt-out policies, and confidentiality agreements.
- Compliance Documentation: Prior compliance reports, risk assessments, self-assessment questionnaires, and penetration test results (if applicable).
SOC 2 Questions From Real People
1. “Does Anyone Actually Do a Full-Year Lookback?”
The Reality: In theory, a SOC 2 Type II audit assesses security controls over 12 months. In practice? Many companies go into panic mode a few months before the audit window closes, scrambling to backfill documentation.
What This Means for You: If your compliance strategy consists of last-minute evidence hunts, something’s off. The strongest SOC 2 programs treat compliance as an ongoing process, not a seasonal project. If your controls don’t naturally generate evidence year-round, it’s time to rethink your approach.
2. “Are SOC 2 Auditors Your Friends or Your Enemies?”
The Reality: Some auditors take a hands-off approach, barely challenging your controls. Others dig into the details so aggressively, it feels like they’re trying to catch you slipping. The right balance makes all the difference.
What This Means for You: A great SOC 2 audit isn’t just about getting a report—it should add real value to your security program. If your auditor isn’t asking meaningful questions, they’re probably not doing you any favors. On the other hand, if every minor issue turns into an unnecessary battle, you may be working with someone who’s making things harder than they need to be.
3. “Why Are SOC 2 Reports Getting So Expensive?”
The Reality: Five years ago, SOC 2 audits were significantly cheaper. With rising demand, prices have climbed—and not always for the right reasons. Some audit firms are adding real security insights, while others are just charging more for the same checklist approach.
What This Means for You: More expensive doesn’t always mean better. If an audit feels like a transaction rather than a process that strengthens your security, you might not be getting your money’s worth. And with automation tools making evidence collection easier, it’s worth questioning why costs are still going up.
4. “Are Policy Generators a Blessing or a Crutch?”
The Reality: Compliance platforms have made it easier than ever to generate policies, but if those policies don’t reflect reality, they’re just empty paperwork. It’s one thing to have a beautifully written security policy—following it is another story.
What This Means for You: Auto-generated policies are fine as a starting point, but they need to align with how your team actually operates. If you’d struggle to explain a policy in a real-world scenario, it’s probably not doing much for you (other than filling an audit checkbox).
Leveraging Compliance Automation Tools
If the sheer volume of documentation feels overwhelming, consider using compliance automation tools. One such tool is Centraleyes—a SOC 2-focused compliance automation platform designed to streamline the process.
What Is Centraleyes?
Centraleyes is built to help you achieve SOC 2 compliance. It features:
- Ticketing Integration: Automates compliance tasks by integrating with systems like Jira, GitHub, or GitLab.
- SOC 2 Templates: Provides open source templates for policies and procedures that align with SOC 2 requirements.
How It Helps:
- Streamlines Documentation: Quickly produce, update, and manage your compliance documentation.
- Automates Reminders: Schedule tasks and automatically generate tickets for recurring procedures.
- Centralized Evidence Collection: Keep your evidence organized and ready for the audit.
Final Thoughts
SOC 2 compliance isn’t about having the perfect, idealized process—it’s about showing that your controls work in practice and are continually improved. By assembling the right SOC 2 documents—from policies and management assertions to evidence logs and system descriptions—you can confidently demonstrate your commitment to data security.
Remember, the key is to keep your documentation realistic, repeatable, and supported by clear evidence. And if you’re looking to make your life easier, consider leveraging compliance automation tools like Centraleyes to streamline your efforts.
Good luck on your SOC 2 journey.
