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
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
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
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
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)
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
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
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.