How to get a SOC 2 certification: a Comprehensive Guide

How to get a SOC 2 certification: a Comprehensive Guide

Getting a SOC 2 (System and Organization Controls 2) certification involves a comprehensive process that includes several steps. Here is a step-by-step guide on how to get SOC 2 certified:

Step 1: Determine your scope

Before beginning the certification process, you need to define the scope of the audit. This includes identifying the services and systems that will be included in the audit, as well as the Trust Services Criteria (TSC) that are applicable to those services. The five TSC are security, availability, processing integrity, confidentiality, and privacy.

Step 2: Perform a readiness assessment

Performing a readiness assessment is an important step to identify any gaps in your control environment and prepare for the audit. This involves reviewing your controls against the applicable TSC, identifying any deficiencies or gaps, and creating a plan to remediate them.

Step 3: Implement necessary controls

Implement the necessary controls to address the TSC identified in the scope of the audit. This includes updating policies and procedures, configuring systems, and training employees.

Step 4: Engage a third-party auditor

Engage a qualified third-party auditor to perform the SOC 2 audit. The auditor should have the necessary expertise and experience to perform the audit and provide assurance that your controls meet the TSC.

Step 5: Perform an audit

The auditor will perform an audit to evaluate the effectiveness of your controls in meeting the TSC. This includes reviewing policies and procedures, conducting interviews, and testing controls.

Step 6: Receive a SOC 2 report

Once the audit is complete, the auditor will issue a SOC 2 report that summarizes the findings and provides an opinion on the effectiveness of your controls in meeting the TSC. There are two types of SOC 2 reports: Type I reports provide an opinion on the design of your controls, while Type II reports provide an opinion on the operating effectiveness of your controls over a period of time.

Step 7: Maintain compliance

Maintain compliance by continuing to monitor and evaluate your control environment, addressing any deficiencies or gaps identified during the audit, and undergoing periodic audits to ensure ongoing compliance.

The cost of SOC 2 certification varies depending on the size and complexity of your organization, the scope of the audit, and the auditor you engage. It's important to work closely with your auditor and be prepared to make any necessary changes to your control environment to achieve SOC 2 certification.