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The Automated Roadmap to SOC 2 Compliance: A 10-Step Guide
Achieving SOC 2 compliance is a significant undertaking, but modern automation platforms have transformed it from a manual, months-long headache into a predictable, streamlined process. For a complete strategic overview, see our Ultimate Guide to SOC 2 Automation. This 10-step guide breaks down the tactical process, showing you how to leverage technology to get your report faster and with less stress.
Phase 1: Pre-Audit Preparation & Kick-Off (Weeks 1–4)
This initial phase is about laying the foundation. Getting these first steps right will save you countless hours down the line.
Step 1: Choose Your Platform
Your first decision is selecting the right tool for your team. While both Drata and Vanta automate the core compliance process, they have different philosophies. For a detailed technical comparison, see our Vanta vs. Drata API & Automation Deep Dive.
- Vanta: Known for its speed and user-friendly interface, Vanta is often the top choice for early-stage startups that need to get compliant quickly to unblock sales.
- Drata: Positioned as a trust management platform, Drata offers deep automation and is favored by engineering-led teams that want granular control and real-time monitoring.
Both platforms replace the manual "spreadsheet chaos" with a centralized, automated system, dramatically accelerating your timeline.
Step 2: Define Your Audit Scope
Before you can build your security program, you need to define its boundaries. This is one of the most critical steps in the entire process.
Select Your Trust Services Criteria (TSCs):
The SOC 2 framework is built on five TSCs. Security is mandatory for every audit. Most B2B SaaS companies will also need to include Availability and Confidentiality. You can learn more in our Guide to the SOC 2 Trust Services Criteria.
Determine Your Report Type (Type I vs. Type II):
- Type I: A report that assesses the design of your controls at a single point in time.
- Type II: A report that assesses the operational effectiveness of your controls over a period of 3-12 months.
Recommendation: Go straight for the SOC 2 Type II report. Enterprise customers are increasingly rejecting Type I reports as insufficient.
Define Your System Boundaries:
You need to decide which applications, infrastructure, data, and people will be included in the audit. Your automation platform will help by suggesting systems to include based on the integrations you connect.
Step 3: Onboard and Connect Your Tech Stack
This is where the automation truly begins. You’ll grant your chosen platform read-only API access to your company’s core systems.
Onboarding Checklist:
- Connect Cloud Infrastructure: AWS, Google Cloud, Azure.
- Connect Identity Providers: Okta, Google Workspace.
- Connect HRIS Systems: To automate employee onboarding/offboarding checks.
- Connect Version Control: GitHub, GitLab.
- Connect Endpoint Monitoring: To verify device security settings.
Once connected, the platform immediately starts pulling in data and assessing your configurations against hundreds of SOC 2 requirements.
Phase 2: Readiness & The Observation Period (Months 1–3+)
With your systems connected, you now have a real-time view of your compliance posture. This phase is about closing gaps and proving your controls are working consistently over time.
Step 4: Conduct a Gap Analysis
Your platform’s dashboard is now your single source of truth. It will present a clear, prioritized list of every area where you are not meeting SOC 2 requirements. This automated gap analysis replaces what would have been weeks of manual investigation.
Step 5: Remediate Failing Controls
The platform will flag specific, actionable issues like:
- An S3 bucket is publicly accessible.
- Multi-Factor Authentication (MFA) is not enforced for all administrative users.
- An ex-employee’s account was not de-provisioned within the required timeframe.
You can assign these tasks to control owners directly within the platform, creating a clear and auditable trail of remediation.
Step 6: The Observation Period
For a Type II report, you must demonstrate that your controls have been operating effectively for a sustained period, typically at least three months. During this window, your automation platform works 24/7 in the background, continuously monitoring your systems and collecting timestamped evidence.
Phase 3: The Audit & Final Report (Final Month)
After completing your observation period, it’s time for the formal audit. This is where the investment in an automation platform delivers its most significant return.
Step 7: Choose an Auditor
Both Drata and Vanta maintain networks of trusted, third-party audit firms that are experts in using their platforms. Choosing a partner auditor is highly recommended, as they can work directly within the platform.
Step 8: Handle the "Last Mile" of Manual Evidence
It’s important to understand that no platform can automate 100% of the SOC 2 process. Several key controls are human-centric and require you to manually upload evidence.
Common Manual Evidence Checklist:
- Executive Management Meeting Minutes
- Business Continuity & Disaster Recovery (BCDR) Test Results
- Background Check Verifications
- Third-Party Penetration Test Report
Both Drata and Vanta provide a centralized evidence library where you can upload these documents and link them directly to the corresponding SOC 2 controls.
Step 9: The Audit Fieldwork
Instead of spending weeks in meetings, you simply grant your auditor secure, read-only access to your compliance platform. This allows the auditor to see the continuously collected evidence without ever having to ask you for a screenshot.
Step 10: Receive Your SOC 2 Report
After the auditor completes their fieldwork, they will issue a final report. The goal is to receive an unqualified opinion—a clean report with no significant issues found.
Beyond the Report: A Culture of Continuous Compliance
Your first SOC 2 report is a major business milestone, but it’s not the finish line. SOC 2 is an annual requirement. The true value of platforms like Drata and Vanta is that they keep monitoring your environment every day, ensuring you remain in a state of continuous compliance.
This transforms SOC 2 from a dreaded annual project into a predictable, automated part of your business operations—freeing you to focus on building and selling your product.
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