Certification Process – Detailed Roadmap

Stage 1 – Scoping & Planning

Timeframe: 2–3 weeks

Work Involved:

• Define audit scope: services, systems, locations, and people involved.
  • Include AWS production, Signoz observability in GCP, staging environment, and relevant SaaS vendors.
  • Make necessary migrations, isolations between prod and non-prod, customer data, basically things need to be at point from day 1 so before we start collecting the actual evidences we need to be on point that's it.
• Choose Trust Services Criteria:
  • Security (mandatory) + Availability + Confidentiality recommended for PII-heavy SaaS.
• Decide observation period length:
  • Minimum 3 months for Type II, most companies do 6–12 months. Here we collect all the evidences before we go for an actual audit from an external auditor.
• Select an audit firm (AICPA-accredited CPA).
• Decide on compliance management approach:
  • In-house, consultant, or automated platform (Vanta/Drata/Secureframe).

Deliverables:

• Scope document
• List of in-scope systems & personnel
• Signed engagement letter with auditor

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Stage 2 – Readiness Assessment (Gap Analysis)

Timeframe: 3–6 weeks (May take longer if fixes are more)

Work Involved:

• Compare current practices against SOC 2 requirements.
• Identify control gaps in:
  • Access control (MFA, least privilege, termination process)
  • Logging/monitoring (AWS CloudTrail, GCP logging, Signoz masking)
  • Policy documentation (security, incident response, change management, vendor management, data retention)
  • Device security (disk encryption, endpoint protection for personal & company laptops)
  • Vendor risk management
• Develop a remediation plan with clear owners & deadlines.

Deliverables:

• Gap analysis report
• Remediation plan with timelines

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Stage 3 – Implementation & Remediation

Timeframe: 2–3 months (can be parallel with readiness if fast-tracked)

Work Involved:

• Write and approve security policies.
• Implement technical controls:
  • MFA/SSO for AWS, GCP, and SaaS tools
  • Role-based access control
  • Encryption at rest & in transit
  • Data masking in logs
• Deploy device management solutions for endpoint security.
• Train employees on security awareness & incident reporting.
• Update vendor contracts for security & confidentiality clauses.
• Document backup, DR, and change management processes.

Deliverables:

• Updated systems & processes
• Signed & communicated policies
• Security training records

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Stage 4 – Observation Period (Control Operation)

Timeframe: 3–12 months (6 months recommended for first Type II)

Work Involved:

• Operate all implemented controls consistently.
• Collect evidence automatically (if using compliance platform) or manually.
• Perform internal audits/checks to ensure controls are working.
• Track and resolve incidents, access changes, and policy updates.
• Maintain change logs for infrastructure & application updates.

Deliverables:

• Control operation logs
• Incident reports
• Change management records

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Stage 5 – External Audit Fieldwork

Timeframe: 3–4 weeks

Work Involved:

• Provide evidence to auditor:
  • Access logs, monitoring alerts, incident reports, change tickets, policy documents
  • Screenshots/configurations from AWS & GCP
  • Vendor risk assessments
• Participate in interviews with auditor (engineering, security, HR, ops teams).
• Answer follow-up requests for clarifications.

Deliverables:

• Evidence package
• Completed interviews
• Auditor’s test results (internal feedback before report finalization)

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Stage 6 – Report Issuance

Timeframe: 2–4 weeks after fieldwork

Work Involved:

• Receive draft report, review for factual accuracy.
• Provide any additional explanations if needed.
• Final report issued by auditor.

Deliverables:

• SOC 2 Type II report (PDF, usually 50–100 pages)
• Executive summary for customer sharing

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Stage 7 – Continuous Compliance & Renewal

Timeframe: Ongoing (audit renewal every 12 months)

Work Involved:

• Continue operating controls.
• Track any system/process changes that could affect scope.
• Plan for next observation period and re-audit.

Deliverables:

• Updated evidence
• Annual SOC 2 Type II report

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Sample Timeline for a 6-Month Observation Period

Stage	Duration	Cumulative Time
Scoping & Planning	3 weeks	Month 0.75
Readiness Assessment	4 weeks	Month 1.75
Remediation	2 months	Month 3.75
Observation Period	6 months	Month 9.75
Audit Fieldwork	3 weeks	Month 10.5
Report Issuance	3 weeks	Month 11.25

Total: ~11–12 months from start to report.