alirezarezvani/soc2-audit-prep

/cs:soc2-audit-prep — SOC 2 Type II Forcing Questions

Command: /cs:soc2-audit-prep <scope>

The SOC 2 Type II auditor pressure-tests any SOC 2 work. Six observation-period-disciplined questions before any Type II cycle.

When to Run

• Pre-observation period (months 1-2 of cycle)
• Mid-observation period (month 6 checkpoint)
• Pre-field-test (month 10)
• Post-report (planning next cycle)
• After scope change (adding TSC category)
• After major incident during observation period

The Six SOC 2 Type II Questions

1. What's the scope, and which TSC categories are in?

Security always required; others elective based on customer ask.

• Common Criteria (CC1-CC9) under Security always
• Availability (A1): for SaaS with SLA commitments
• Processing Integrity (PI1): for systems processing transactional / financial data
• Confidentiality (C1): for systems handling proprietary / confidential data
• Privacy (P1-P8): for systems handling personal data (overlap with GDPR if applicable)
• AICPA AT-C 205 description of system: complete + accurate + boundaries clear

2. Did any control skip a cycle during observation period?

Type II requires consistent operation — single skipped cycle = likely exception.

• Quarterly controls (e.g., access reviews): all 4 quarters covered
• Monthly controls (e.g., vulnerability scans): all months covered
• Continuous controls (e.g., logging): no gaps during period
• Annual controls (e.g., BCP exercises, training): completed within period

3. Show me the change-management evidence for any control implemented mid-period.

Mid-period changes = high audit risk.

• New controls implemented during observation: documented with change-management
• Modified controls: rationale + effective date + impact on prior samples
• Removed controls: rationale + customer impact assessment
• Strategy: avoid mid-period changes; defer to next cycle

4. Where's the exception log, and what's the materiality assessment?

Real-time exception logging — not retroactive.

• Each exception logged when discovered, not at audit time
• Per exception: what / when / impact / remediation / owner
• Materiality assessment: does the exception affect overall control operation?
• Audit firm threshold: typically 1-2 exceptions per control acceptable; 3+ = finding

5. Show me sample evidence from each TSC criterion in the FIRST month of observation.

Not the last week — the first month.

• Audit firm samples across the observation period
• Front-loaded evidence demonstrates operational discipline
• Back-loaded evidence (last 30 days) = "scrambling" signal
• Sample IDs should be reproducible from operational systems

6. What's the cross-walk to ISO 27001, and which evidence reuses?

75% control overlap — the canonical pair.

• Run cross_framework_mapper.py for HIGH-confidence overlap themes
• Each shared artefact cited by both audits (one collection, two reports)
• Coordinate audit calendar with cs-ciso-iso27001
• Avoid producing duplicate evidence files for same control

Workflow

# 1. Scoping + gap analysis (pre-observation)
python ra-qm-team/skills/soc2-compliance/scripts/gap_analyzer.py current_state.json

# 2. Control matrix with ISO 27001 cross-walk
python ra-qm-team/skills/soc2-compliance/scripts/control_matrix_builder.py program.json

# 3. Continuous evidence tracking (during observation)
python ra-qm-team/skills/soc2-compliance/scripts/evidence_tracker.py evidence_log.json

# 4. Mock audit (pre-field-test month 10)
python ../../skills/compliance-os/scripts/audit_simulator.py soc2_scope.json

Output Format

# SOC 2 Type II Audit Prep: <scope>
**Date:** YYYY-MM-DD
**Observation Period:** YYYY-MM-DD to YYYY-MM-DD

## The Decision Being Made
[scoping | pre-observation | observation-status | pre-field | report-response]

## TSC Scope
- Security: included
- Availability: <yes/no>
- Processing Integrity: <yes/no>
- Confidentiality: <yes/no>
- Privacy: <yes/no>

## Observation Period Status
- Months elapsed: N / 12
- Controls operated consistently: % of total
- Cycle skips identified: <list>
- Mid-period control changes: N (each documented with change-mgmt: yes/no)

## Exception Log
- Total exceptions logged: N
- Per-control max exceptions: M (audit firm tolerance: typically 1-2)
- Material exceptions (overall control affected): <list>
- Remediation status per exception: complete/in-progress

## Sample Evidence Coverage
- Month 1-3 evidence: complete/gaps
- Month 4-6 evidence: complete/gaps
- Month 7-9 evidence: complete/gaps
- Month 10-12 evidence: complete/gaps (only for pre-report status)

## ISO 27001 Cross-Walk Reuse
- HIGH-confidence overlap themes: N
- Shared artefacts in evidence pool: <count>
- Duplicate evidence collection avoided: % savings

## Audit Firm Readiness
- Scoping discussion: complete/pending
- Description of system per AT-C 205: complete/pending
- Walkthrough rehearsal: complete/pending
- Sample preparation: complete/pending

## Verdict
🟢 ON-TRACK | 🟡 NEEDS-ATTENTION | 🔴 MATERIAL-RISK

## Top 3 Actions
[3 concrete next steps with owner + observation-period timing]

Routing

• /cs:compliance-readiness — for multi-framework view
• /cs:iso27001-audit-prep — for ISO 27001 cross-walk pair (75% overlap)
• /cs:gdpr-audit-prep — for Privacy TSC overlap
• /cs:ciso-review — for executive cybersecurity strategy

Related

• Agent: cs-soc2-auditor
• Skill: soc2-compliance
• Playbook: soc2_audit_playbook.md
• Adjacent: ../iso27001-audit-prep/, ../gdpr-audit-prep/, ../compliance-readiness/

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Version: 1.0.0