--- name: "soc2-audit-prep" description: "/compliance-os:soc2-audit-prep [scope] — SOC 2 Type II readiness 6-question forcing interrogation. Observation-period focused. Use before Type II observation begins, mid-period checkpoint, or pre-field-test month-10 readiness." --- # /compliance-os:soc2-audit-prep — SOC 2 Type II Forcing Questions **Command:** `/compliance-os:soc2-audit-prep ` 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 ```bash # 1. Scoping + gap analysis (pre-observation) python ${CLAUDE_PLUGIN_ROOT}/vendor/ra-qm-team/soc2-compliance/scripts/gap_analyzer.py current_state.json # 2. Control matrix with ISO 27001 cross-walk python ${CLAUDE_PLUGIN_ROOT}/vendor/ra-qm-team/soc2-compliance/scripts/control_matrix_builder.py program.json # 3. Continuous evidence tracking (during observation) python ${CLAUDE_PLUGIN_ROOT}/vendor/ra-qm-team/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 ```markdown # SOC 2 Type II Audit Prep: **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: - Processing Integrity: - Confidentiality: - Privacy: ## Observation Period Status - Months elapsed: N / 12 - Controls operated consistently: % of total - Cycle skips identified: - 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): - 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: - 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 - `/compliance-os:compliance-readiness` — for multi-framework view - `/compliance-os:iso27001-audit-prep` — for ISO 27001 cross-walk pair (75% overlap) - `/compliance-os:gdpr-audit-prep` — for Privacy TSC overlap - `/c-level-agents:ciso-review` — for executive cybersecurity strategy ## Related - Agent: [`cs-soc2-auditor`](../../agents/cs-soc2-auditor.md) - Skill: [`soc2-compliance`](${CLAUDE_PLUGIN_ROOT}/vendor/ra-qm-team/soc2-compliance/SKILL.md) - Playbook: [soc2_audit_playbook.md](${CLAUDE_PLUGIN_ROOT}/vendor/ra-qm-team/soc2-compliance/references/soc2_audit_playbook.md) - Adjacent: `../iso27001-audit-prep/`, `../gdpr-audit-prep/`, `../compliance-readiness/` --- **Version:** 1.0.0 --- Attribution added by YourAIKit. It is not part of the upstream file. - Source: https://github.com/alirezarezvani/claude-skills/tree/main/compliance-os/skills/soc2-audit-prep - Credit: Alireza Rezvani, claude-skills - Upstream copy: alirezarezvani/claude-skills at commit 6d2f02ea077eead1bee5411a31bcc6db5a11a70c, compliance-os/skills/soc2-audit-prep/SKILL.md - Copyright: Copyright (c) 2025 Alireza Rezvani - License: MIT. Full text: https://youraikit.com/licenses/alirezarezvani-claude-skills-root/LICENSE - The full upstream license text (LICENSE) follows. License (LICENSE): ```text MIT License Copyright (c) 2025 Alireza Rezvani Permission is hereby granted, free of charge, to any person obtaining a copy of this software and associated documentation files (the "Software"), to deal in the Software without restriction, including without limitation the rights to use, copy, modify, merge, publish, distribute, sublicense, and/or sell copies of the Software, and to permit persons to whom the Software is furnished to do so, subject to the following conditions: The above copyright notice and this permission notice shall be included in all copies or substantial portions of the Software. THE SOFTWARE IS PROVIDED "AS IS", WITHOUT WARRANTY OF ANY KIND, EXPRESS OR IMPLIED, INCLUDING BUT NOT LIMITED TO THE WARRANTIES OF MERCHANTABILITY, FITNESS FOR A PARTICULAR PURPOSE AND NONINFRINGEMENT. IN NO EVENT SHALL THE AUTHORS OR COPYRIGHT HOLDERS BE LIABLE FOR ANY CLAIM, DAMAGES OR OTHER LIABILITY, WHETHER IN AN ACTION OF CONTRACT, TORT OR OTHERWISE, ARISING FROM, OUT OF OR IN CONNECTION WITH THE SOFTWARE OR THE USE OR OTHER DEALINGS IN THE SOFTWARE. ```