FAQ: How do we turn a customer deadline into a workable SOC 2 plan?

Work backward from the date the customer needs the report, not the date you hope to sign an engagement letter. Confirm the report type, required coverage, and whether the customer will accept an interim update. Then allow time for fixing gaps, operating controls, collecting evidence, audit fieldwork, and report review. Give each milestone an owner and record dependencies. A customer deadline cannot create evidence for a period that has already passed. If the schedule is unrealistic, discuss alternatives early with the customer and auditor rather than promise a report that no one has agreed can be delivered.

Related: SOC 2 audit and compliance hub.

Further reading: AICPA SOC 2 reporting guide overview.

Additional FAQs

Are Representation Letters Required in SSAE 18?

Yes. For SOC 1 examinations, the applicable AT-C requirements call for management’s written representations. This was not entirely new with SSAE 18: SSAE 16, codified in former AT section 801,

Are Third Party Vendor reviews required for SOC 1 and SOC 2?

Review outsourced services that can affect the in-scope system or controls. The extent of review should reflect the service and its risks. Where a vendor supplies an assurance report, assess

When are we ready to start a SOC 2 Type 2 reporting period?

Discuss the start date with the auditor after the in-scope controls are implemented and evidence collection is working. Check actual operation: can you retrieve an access approval, a completed review,

We have a small company, how do we segregate Board of Directors from Management, and then, also the Internal Audit function?

Map three roles: who runs controls, who oversees management, and who independently evaluates the results. Mark where the same person fills more than one role. For example, a suitably independent

When is a SOC 2 advisor worth hiring?

Consider an advisor when the team cannot turn audit expectations into workable processes, when scope is unclear, or when a deadline needs experienced project coordination. Define the missing capability before

Do we need a list of every supplier our vendor uses?

Usually, the useful starting point is the providers that could materially affect your service or data, rather than every supplier the vendor buys from. Ask what each relevant provider does,

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