The SOC 2 Self-Assessment: 10 Questions Every CISO/CIO Should Ask Before Starting an Audit

As a CISO or CIO, you're probably hearing about SOC 2 from multiple directions—your sales team says prospects are asking for it, your security team says you need it, and your investors want to know your compliance status. But before you jump into an audit, take a step back and honestly assess your organization's readiness.

Here are the 10 critical questions we ask every client during our initial consultation. Your answers will determine whether you're ready to start an audit or need to invest in preparation first.

1. "Can you clearly explain what data and systems would be included in your SOC 2 audit?"

Why this matters: Scope definition is where most audits go wrong. If you can't clearly articulate what's in and what's out, your audit timeline and budget will suffer.

Green light: You have documented system boundaries and data flows. Yellow light: You understand the concept but haven't documented it. Red light: You're not sure what SOC 2 would even cover in your organization.

2. "Do you have written policies for information security, access management, and incident response?"

Why this matters: Policies are the foundation of SOC 2 compliance. No policies = no controls = failed audit.

Green light: Comprehensive, current policies that employees actually follow. Yellow light: Policies exist but may be outdated or not consistently followed. Red light: Minimal or no formal policies in place.

3. "How do you currently monitor and log access to sensitive systems?"

Why this matters: SOC 2 requires evidence that you know who accessed what, when, and why.

Green light: Centralized logging with regular review processes. Yellow light: Some logging but inconsistent monitoring. Red light: Limited visibility into system access.

4. "What's your budget for the audit and any necessary remediation?"

Why this matters: SOC 2 audits typically cost $15,000-$50,000+, but remediation costs can be much higher if you're not prepared.

Green light: Realistic budget that includes preparation and potential remediation. Yellow light: Budget for audit but unclear on remediation costs. Red light: "We just want the cheapest option."

5. "Who will be your internal project manager for this audit?"

Why this matters: SOC 2 audits require significant internal coordination and documentation gathering.

Green light: Dedicated project manager with executive support. Yellow light: Someone will manage it in addition to their regular duties. Red light: "We figured the auditor would handle everything."

6. "How do you currently handle employee onboarding and offboarding?"

Why this matters: User access management is a core SOC 2 requirement and a common failure point.

Green light: Formal, documented processes with regular access reviews. Yellow light: Informal processes that mostly work. Red light: Ad hoc approach with no regular reviews.

7. "When did you last test your backup and disaster recovery procedures?"

Why this matters: SOC 2 requires evidence that your availability controls actually work, not just exist.

Green light: Regular testing with documented results. Yellow light: Occasional testing but inconsistent documentation. Red light: "We have backups, but we've never tested them."

8. "How do you handle security awareness training for employees?"

Why this matters: Your people are your biggest security risk and your strongest defense.

Green light: Regular, documented training with tracking of completion. Yellow light: Some training but not formalized. Red light: "We mentioned security in orientation once."

9. "What's your timeline for completing the audit?"

Why this matters: Rushed audits fail. Period.

Green light: Realistic timeline (4-6 months minimum) with flexibility for remediation. Yellow light: Aggressive but achievable timeline. Red light: "We need this done in 30 days."

10. "Why are you pursuing SOC 2 certification now?"

Why this matters: Your motivation determines your approach and success likelihood.

Green light: Strategic business decision with clear objectives. Yellow light: Customer requirement but you see the broader value. Red light: "Everyone else has one" or "Sales said we need it."

Scoring Your Readiness

8-10 Green Lights: You're ready to start your audit process. 5-7 Green Lights: You need 2-3 months of preparation before beginning. Less than 5 Green Lights: Invest in readiness assessment and remediation before starting your audit.

The Bottom Line

SOC 2 success isn't about checking boxes—it's about building controls that actually protect your business and demonstrate operational maturity. Take the time to prepare properly, and your audit will be an investment in your company's future rather than just another compliance expense.

Use this self-assessment as a starting point for honest conversations with your team about readiness. The organizations that succeed with SOC 2 are those that approach it strategically, with adequate preparation and realistic expectations.