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Readiness Assessment

A SOC readiness assessment from Focal Point's registered CPA firm, Sunera CPAs, sets you on the path to a successful SOC 1, 2 or 3 examination. Our assessment provides your organization with a gap analysis and roadmap to compliance, giving you the insight needed to prepare for your examination.

Our Approach

Our SOC readiness assessment allows you to identify where controls need to be implemented or improved, so you can properly scope your service audits and prepare for the examination.

Focal Point SOC appraoch


  • Scope the System – Sunera CPAs can help your organization determine which Trust Service Principles or financial controls should fall within the scope of your audit, based on the expectations of customers and other stakeholders.
  • Identify Relevant Criteria and Risks – We work with your management team to identify the criteria associated with each Trust Services Principle or financial control and their related risks.
  • Assess Control Design – We interview your management team to identify what controls are in place to mitigate your risks and review control documentation to evaluate control design.
  • Identify Missing or Ineffective Controls – During the design assessment, we also note any missing or poorly designed controls.
  • Report – We provide a detailed listing of control design observations as well as a roadmap for remediating missing or ineffective controls, so your management team can implement the necessary remediation steps.

Benefits of a SOC Readiness Assessment

A SOC readiness assessment will provide you with an independent evaluation of your current control structure so your management team can make informed decisions about your control objectives and prepare for a successful SOC examination. Additional benefits include:

  • Familiarize your staff with the SOC 1, 2 or 3 exam methodology
  • Provide management an opportunity to address deficiencies and/or gaps prior to the actual audit
  • Receive guidance from qualified professionals regarding the impact of changes to controls that may affect the result of the upcoming audit
  • Refine the scope and draft a description of the controls in advance of the audit
  • Prevent unexpected findings during the audit and dramatically improve the likelihood of a successful examination


Sunera CPAs & Associates LLP (“Sunera CPAs”) is a registered CPA firm associated with Focal Point Data Risk, LLC (“Focal Point”). The two companies are separate legal entities that work together to serve critical business needs. Focal Point offers risk management consulting services and is not a licensed CPA firm. Sunera CPAs & Associates LLP provides SOC attestation and HITRUST certification services. 

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