To achieve SOC 2 compliance, you need to know how your current security posture differs from the framework’s prescribed standards and controls. Then, you can outline a clear plan for mitigating any deficiencies and getting your organization SOC 2-ready.
The challenge here lies in surfacing and understanding your organization’s SOC 2 compliance gaps. Doing so can be difficult without proper guidance due to the diverse aspects of your IT infrastructure you need to review.
This guide will walk you through the process, covering areas like:
- What a SOC 2 gap analysis is
- Why effective gap assessments are important
- Who can conduct a SOC 2 gap assessment
- How to perform a gap assessment internally in four steps
What is a SOC 2 gap assessment?
A SOC 2 gap analysis is the process of reviewing your organization’s security infrastructure against the requirements of the SOC 2 framework. The goal of the assessment is to identify any control gaps that must be bridged before starting the official attestation process.
As a crucial preparation activity, a SOC 2 gap assessment is conducted before the initial SOC 2 attestation, as well as the SOC 2 report renewal—which happens annually in most cases. By performing regular gap assessments, you can maintain your SOC 2 standing without needing major control fixes or updates.
Given that SOC 2 offers ample flexibility when selecting the applicable controls, the specific steps of a gap analysis largely depend on the in-scope requirements. Still, most organizations will perform a few universal activities, such as:
- Security policy reviews
- Access reviews
- Technical control testing
- Incident response testing
“
SOC 2 gap assessments should at the very least be performed on an annual basis. It’s ideal for organizations to continuously monitor their compliance posture to ensure that their SOC 2 controls are operating effectively.”
{{cta_withimage1="/cta-blocks"}} | SOC 2 compliance checklist
Why you need effective SOC 2 gap assessments
A successful gap assessment is the first step toward attestation and is typically performed during the SOC 2 readiness assessment. You need to make sure all in-scope controls are in place to successfully complete a SOC 2 attestation, and a comprehensive gap assessment paired with effective remediation can make this happen.
Other benefits of effective gap assessments include:
- Understanding your organization’s security posture: A robust gap assessment reveals all weaknesses in your IT infrastructure to help you understand and prioritize the areas you need to strengthen.
- Data-driven security program upgrades: After a successful gap analysis, compliance and security programs can be executed more confidently from a value-driven perspective. You’ll know precisely which controls, processes, and policies you need to safeguard your assets and achieve compliance with SOC 2 requirements.
- Optimal resource allocation: When you perform a gap assessment, you can identify pressing vulnerabilities faster and focus your resources on remediation measures that help make impactful changes to your security posture while minimizing redundancies.
3 ways to perform a SOC 2 gap assessment
SOC 2 security gaps can be addressed by management in the following ways:
- Manual internal assessment
- Third-party assessment
- Automated compliance scans
We’ll elaborate on each option below, focusing on its benefits and drawbacks.
1. Manual internal assessment
A common approach to SOC 2 gap analysis is to have your team or internal compliance specialist manually investigate the system after scoping the assessment. They can then compare the framework’s requirements to your security infrastructure to see where the controls gaps are.
After they identify gaps, your team should prepare a report highlighting them and suggesting the best way forward. You can then begin the remediation stage and prepare for SOC 2 attestation.
Many organizations choose this option because it seems cost-effective at first glance. You don’t need elaborate software or a third party, which benefits your budget in the short term. Still, a manual SOC 2 self-assessment comes with several pitfalls that indirectly increase costs, such as:
- Potential for human error
- Time-consuming workflows
- Extensive workloads and pressure on internal teams
While these issues may not seem like direct cost drivers, they can significantly impact your team’s productivity and cause back-and-forth during attestation in case of assessment errors.
2. Third-party assessment
If the previous option seems inefficient or you lack the necessary bandwidth, you can opt for a third-party assessment performed by an independent auditor or certified public accountant (CPA).
The key is to find a reputable auditor with extensive experience in SOC 2 assessments. In addition to performing the gap analysis, the auditor should support you throughout the preparation phase and help you adjust your controls before the SOC 2 audit.
This option is quite appealing due to the additional assurance you get from an independent assessment. The auditor will review your IT infrastructure against all the relevant SOC 2 controls and criteria, after which they’ll compile a robust gap assessment report you can use to correct any deficiencies.
Third-party assessments cost more, which is often the main argument against this option, especially for smaller organizations with resource constraints.
{{cta_simple1="/cta-blocks"}} | SOC 2 product page
3. Automated compliance scans
The fastest way to perform a SOC 2 gap analysis is to use dedicated software for automated gap scans. Such software examines every aspect of your system and compares it to a detailed checklist of in-scope SOC 2 compliance criteria.
This option offers clear benefits—it reduces the effort required from your team, minimizing the burden of excessive manual work. You’ll also get the results quickly, which leaves more time to remediate gaps and complete SOC 2 attestation.
The main drawback of automation software is the upfront cost—not only financially but also in terms of time and team orientation. Still, the software can pay off in the long run because you won’t need to keep blocking resources on regular manual assessments for maintaining SOC 2 compliance.
How to perform a SOC 2 gap analysis: 4 steps to follow
If you decide to perform a SOC 2 gap assessment manually, you can do so in four steps:
- Scope the assessment
- Analyze and map existing controls
- Identify and assess compliance gaps
- Develop a gap remediation plan
Step 1: Scope the assessment
Your SOC 2 assessment can include controls within the framework’s five Trust Services Criteria (TSCs):
- Security
- Availability
- Confidentiality
- Privacy
- Processing Integrity
Only the Security criterion is mandatory, with the rest being included according to their applicability to your organization. This makes SOC 2 assessment flexible, but it also calls for careful scoping.
Ideally, you’ll familiarize yourself with all of the framework’s controls, after which you can see which criteria apply to you and scope the assessment accordingly.
Step 2: Analyze and map existing controls
Once you’ve scoped the assessment, conduct a security review to see the current state of your security infrastructure. You might realize that your organization already implements some SOC 2 compliance controls by default, in which case you should map such controls to the corresponding requirements.
If you don’t use an automation platform to do so, you’ll need to create an asset inventory and review policies, configurations, and other aspects of your security posture.
While your team may have the bandwidth for these tasks, they can significantly slow down your assessments, which is why process automation is highly recommended.
{{cta_withimage1="/cta-blocks"}} | SOC 2 compliance checklist
Step 3: Identify and assess compliance gaps
After outlining all the control overlaps, look for technical, procedural, and operational gaps you must remediate to become SOC 2-compliant. Depending on your current security standing, you might encounter various gaps, such as:
- Ineffective access security measures
- Lack of continuous vulnerability monitoring
- Poorly defined incident response programs
Prioritize the gaps you uncover according to severity, urgency, and potential business impact. While you might have to perform considerable remediation activities first instead of focusing on quick wins, this process lays the groundwork for a more secure IT infrastructure and minimal audit friction down the line.
Step 4: Develop a gap remediation plan
Your list of gap priorities should inform an elaborate gap remediation plan. The plan should include several components besides the gaps, such as:
- Remediation timeline
- Milestones
- Specific action to take
Make sure to implement any missing controls gradually to avoid operational disruptions. This is particularly important if you have many gaps because sudden process overhauls can overwhelm your team and impact their day-to-day workflow.
Once you’ve executed the gap remediation plan, conduct the final review to ensure all the necessary controls are in place. You can then schedule the SOC 2 attestation and obtain your report.
Identify and bridge SOC 2 gaps efficiently with Vanta
Manual gap identification and remediation can be unnecessarily time consuming. To free up resources, reduce uncertainty, and streamline your path to SOC 2 attestation, you can use a compliance and trust management platform like Vanta. It automates SOC 2 workflows to help you achieve compliance more efficiently and with less manual work.
Vanta’s dedicated SOC 2 product achieves this through various helpful features, such as:
- Hands-off gap analysis supported by over 375 integrations
- Automated hourly checks that streamline continuous control monitoring
- Automated access reviews
- Pre-populated system description templates
- Pre-built and custom SOC 2 controls
If you need a third-party auditor for a gap assessment or the attestation process, you can leverage Vanta’s partner network to find one.
Schedule a custom demo of Vanta’s SOC 2 product for more information and a hands-on overview of its features.
{{cta_simple1="/cta-blocks"}} | SOC 2 product page
Additional SOC 2 resources
How to identify and close gaps in SOC 2 compliance
Additional SOC 2 resources
How to identify and close gaps in SOC 2 compliance
Download the checklist
Looking to automate up to 90% of the work for SOC 2 compliance?
To achieve SOC 2 compliance, you need to know how your current security posture differs from the framework’s prescribed standards and controls. Then, you can outline a clear plan for mitigating any deficiencies and getting your organization SOC 2-ready.
The challenge here lies in surfacing and understanding your organization’s SOC 2 compliance gaps. Doing so can be difficult without proper guidance due to the diverse aspects of your IT infrastructure you need to review.
This guide will walk you through the process, covering areas like:
- What a SOC 2 gap analysis is
- Why effective gap assessments are important
- Who can conduct a SOC 2 gap assessment
- How to perform a gap assessment internally in four steps
What is a SOC 2 gap assessment?
A SOC 2 gap analysis is the process of reviewing your organization’s security infrastructure against the requirements of the SOC 2 framework. The goal of the assessment is to identify any control gaps that must be bridged before starting the official attestation process.
As a crucial preparation activity, a SOC 2 gap assessment is conducted before the initial SOC 2 attestation, as well as the SOC 2 report renewal—which happens annually in most cases. By performing regular gap assessments, you can maintain your SOC 2 standing without needing major control fixes or updates.
Given that SOC 2 offers ample flexibility when selecting the applicable controls, the specific steps of a gap analysis largely depend on the in-scope requirements. Still, most organizations will perform a few universal activities, such as:
- Security policy reviews
- Access reviews
- Technical control testing
- Incident response testing
“
SOC 2 gap assessments should at the very least be performed on an annual basis. It’s ideal for organizations to continuously monitor their compliance posture to ensure that their SOC 2 controls are operating effectively.”
{{cta_withimage1="/cta-blocks"}} | SOC 2 compliance checklist
Why you need effective SOC 2 gap assessments
A successful gap assessment is the first step toward attestation and is typically performed during the SOC 2 readiness assessment. You need to make sure all in-scope controls are in place to successfully complete a SOC 2 attestation, and a comprehensive gap assessment paired with effective remediation can make this happen.
Other benefits of effective gap assessments include:
- Understanding your organization’s security posture: A robust gap assessment reveals all weaknesses in your IT infrastructure to help you understand and prioritize the areas you need to strengthen.
- Data-driven security program upgrades: After a successful gap analysis, compliance and security programs can be executed more confidently from a value-driven perspective. You’ll know precisely which controls, processes, and policies you need to safeguard your assets and achieve compliance with SOC 2 requirements.
- Optimal resource allocation: When you perform a gap assessment, you can identify pressing vulnerabilities faster and focus your resources on remediation measures that help make impactful changes to your security posture while minimizing redundancies.
3 ways to perform a SOC 2 gap assessment
SOC 2 security gaps can be addressed by management in the following ways:
- Manual internal assessment
- Third-party assessment
- Automated compliance scans
We’ll elaborate on each option below, focusing on its benefits and drawbacks.
1. Manual internal assessment
A common approach to SOC 2 gap analysis is to have your team or internal compliance specialist manually investigate the system after scoping the assessment. They can then compare the framework’s requirements to your security infrastructure to see where the controls gaps are.
After they identify gaps, your team should prepare a report highlighting them and suggesting the best way forward. You can then begin the remediation stage and prepare for SOC 2 attestation.
Many organizations choose this option because it seems cost-effective at first glance. You don’t need elaborate software or a third party, which benefits your budget in the short term. Still, a manual SOC 2 self-assessment comes with several pitfalls that indirectly increase costs, such as:
- Potential for human error
- Time-consuming workflows
- Extensive workloads and pressure on internal teams
While these issues may not seem like direct cost drivers, they can significantly impact your team’s productivity and cause back-and-forth during attestation in case of assessment errors.
2. Third-party assessment
If the previous option seems inefficient or you lack the necessary bandwidth, you can opt for a third-party assessment performed by an independent auditor or certified public accountant (CPA).
The key is to find a reputable auditor with extensive experience in SOC 2 assessments. In addition to performing the gap analysis, the auditor should support you throughout the preparation phase and help you adjust your controls before the SOC 2 audit.
This option is quite appealing due to the additional assurance you get from an independent assessment. The auditor will review your IT infrastructure against all the relevant SOC 2 controls and criteria, after which they’ll compile a robust gap assessment report you can use to correct any deficiencies.
Third-party assessments cost more, which is often the main argument against this option, especially for smaller organizations with resource constraints.
{{cta_simple1="/cta-blocks"}} | SOC 2 product page
3. Automated compliance scans
The fastest way to perform a SOC 2 gap analysis is to use dedicated software for automated gap scans. Such software examines every aspect of your system and compares it to a detailed checklist of in-scope SOC 2 compliance criteria.
This option offers clear benefits—it reduces the effort required from your team, minimizing the burden of excessive manual work. You’ll also get the results quickly, which leaves more time to remediate gaps and complete SOC 2 attestation.
The main drawback of automation software is the upfront cost—not only financially but also in terms of time and team orientation. Still, the software can pay off in the long run because you won’t need to keep blocking resources on regular manual assessments for maintaining SOC 2 compliance.
How to perform a SOC 2 gap analysis: 4 steps to follow
If you decide to perform a SOC 2 gap assessment manually, you can do so in four steps:
- Scope the assessment
- Analyze and map existing controls
- Identify and assess compliance gaps
- Develop a gap remediation plan
Step 1: Scope the assessment
Your SOC 2 assessment can include controls within the framework’s five Trust Services Criteria (TSCs):
- Security
- Availability
- Confidentiality
- Privacy
- Processing Integrity
Only the Security criterion is mandatory, with the rest being included according to their applicability to your organization. This makes SOC 2 assessment flexible, but it also calls for careful scoping.
Ideally, you’ll familiarize yourself with all of the framework’s controls, after which you can see which criteria apply to you and scope the assessment accordingly.
Step 2: Analyze and map existing controls
Once you’ve scoped the assessment, conduct a security review to see the current state of your security infrastructure. You might realize that your organization already implements some SOC 2 compliance controls by default, in which case you should map such controls to the corresponding requirements.
If you don’t use an automation platform to do so, you’ll need to create an asset inventory and review policies, configurations, and other aspects of your security posture.
While your team may have the bandwidth for these tasks, they can significantly slow down your assessments, which is why process automation is highly recommended.
{{cta_withimage1="/cta-blocks"}} | SOC 2 compliance checklist
Step 3: Identify and assess compliance gaps
After outlining all the control overlaps, look for technical, procedural, and operational gaps you must remediate to become SOC 2-compliant. Depending on your current security standing, you might encounter various gaps, such as:
- Ineffective access security measures
- Lack of continuous vulnerability monitoring
- Poorly defined incident response programs
Prioritize the gaps you uncover according to severity, urgency, and potential business impact. While you might have to perform considerable remediation activities first instead of focusing on quick wins, this process lays the groundwork for a more secure IT infrastructure and minimal audit friction down the line.
Step 4: Develop a gap remediation plan
Your list of gap priorities should inform an elaborate gap remediation plan. The plan should include several components besides the gaps, such as:
- Remediation timeline
- Milestones
- Specific action to take
Make sure to implement any missing controls gradually to avoid operational disruptions. This is particularly important if you have many gaps because sudden process overhauls can overwhelm your team and impact their day-to-day workflow.
Once you’ve executed the gap remediation plan, conduct the final review to ensure all the necessary controls are in place. You can then schedule the SOC 2 attestation and obtain your report.
Identify and bridge SOC 2 gaps efficiently with Vanta
Manual gap identification and remediation can be unnecessarily time consuming. To free up resources, reduce uncertainty, and streamline your path to SOC 2 attestation, you can use a compliance and trust management platform like Vanta. It automates SOC 2 workflows to help you achieve compliance more efficiently and with less manual work.
Vanta’s dedicated SOC 2 product achieves this through various helpful features, such as:
- Hands-off gap analysis supported by over 375 integrations
- Automated hourly checks that streamline continuous control monitoring
- Automated access reviews
- Pre-populated system description templates
- Pre-built and custom SOC 2 controls
If you need a third-party auditor for a gap assessment or the attestation process, you can leverage Vanta’s partner network to find one.
Schedule a custom demo of Vanta’s SOC 2 product for more information and a hands-on overview of its features.
{{cta_simple1="/cta-blocks"}} | SOC 2 product page
Explore more SOC 2 articles
Introduction to SOC 2
Preparing for a SOC 2 audit
SOC 2 reporting and documentation
Streamlining SOC 2 compliance
SOC differences and similarities
Additional SOC 2 resources
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