Compliance Audit Preparation Template

First-time SOC 2 Type II preparation takes 3-6 months for a small SaaS company (50-200 employees). This includes policy creation, control implementation, evidence collection infrastructure, and gap remediation. Subsequent audits take 4-6 weeks of preparation because the controls and evidence collection are already in place.

Type I evaluates whether your controls are properly designed at a specific point in time. Type II evaluates whether those controls operated effectively over a period (typically 6-12 months). Enterprise customers almost always require Type II because it proves sustained compliance, not just a snapshot.

Yes, for companies under 200 employees. The PM, engineering lead, and a security-aware engineer can manage SOC 2 preparation using this template. However, you will likely need a compliance consultant or vCISO to help with policy creation and auditor communication for your first audit.

Features not yet in production are out of scope for the current audit period. However, document your secure development lifecycle (code review, testing, deployment controls) as evidence that new features will be built with the same controls. The auditor evaluates the process, not specific features.

You do not "fail" a SOC 2 audit. The auditor issues a report with their opinion. A "clean" report means no exceptions. A "qualified" report means some controls had exceptions. You share the report with customers, and they decide whether the exceptions are acceptable. Most customers tolerate minor exceptions if you have a remediation plan.