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Tip 2: Navigating Audit Day Successfully
Taking on your first SOC 2 and ISO 27001 audit can seem overwhelming. But with clear preparation, open communication, and careful planning, this process can become straightforward—even beneficial—for your startup.
Let's explore some proven best practices to ensure your first security audit is a smooth and successful experience.
Tip 1: Preparation is the Key
Audits should be approached just like any important project, with a clear structure, allocated resources, and realistic timelines. Strong preparation is essential to audit success.
Keep in mind the following:
a) Audit Timing
Avoid scheduling your audit during peak business periods. Identify quieter periods in your business cycle to minimize distractions and conflicts. For instance, if your product team’s busiest season is Q4, schedule the audit in a slower quarter, like Q2.
b) Stakeholder Planning
Audit engagements require collaboration across your organization from IT to HR to management. Schedule internal stakeholders well in advance to ensure their availability and ensure ownership for important audit topics, including:
- Security program (policies, procedures, and processes)
- Human Resources (onboarding, offboarding, hiring processes)
- Vulnerability Management
- Asset Management
- Access Control
- Cloud Security
- Incident Management
- Business Continuity and Disaster Recovery Plans
For example, ensure your HR manager is booked ahead of time to answer questions regarding onboarding/offboarding procedures clearly and efficiently.
c) Clear Communication of Timelines
Auditors often request substantial amounts of documentation and evidence. Communicate clearly with your auditors upfront, making sure they understand your timelines and constraints. Politely remind them that last-minute, extensive requests won't allow proper time for thorough responses.
d) Collect Evidence in Advance
Proactively gather requested data and documentation ahead of your audit date. Maintain clearly-labeled folders or systems where evidence is easy to access and share. Being proactive reduces stress and streamlines auditor interactions.
Tip 2: Navigating Audit Day Successfully
The day of your audit doesn't have to be intimidating. Effective preparation and clear communication ensure efficient audit milestones on the big day:
a) Start with an Open Kick-Off Call
Initiate your audit day with a clear, introductory session. Use this opportunity to briefly explain your company, its operations, and provide an overview of your security program. This helps auditors understand your unique business context clearly from the outset, minimizing confusion and maximizing efficiency.
Example: A 15-minute overview presentation showcasing your company's mission, key architectural details, cloud infrastructure used, major security policies, and main business services provides auditors clear context from the start.
b) Efficient Scheduling of Audit Meetings
Confirm each meeting topic with auditors ahead of time to ensure you have the appropriate team members available and prepared for each call. Always clearly communicate time zones for global teams, as scheduling errors can delay and complicate discussions.
Example: If the auditor plans to review your cloud security, schedule attendance from your CTO or DevOps lead well in advance.
c) Answer Auditors Clearly and Concisely
It's natural to feel nervous about audits. Remember, generally, auditors are professionals looking objectively at your security posture. Focused, direct responses to questions help ensure efficient meetings. Avoid going off-topic stick strictly to the scope outlined in the auditor’s question.
If you don’t have an immediate answer, don’t guess or speculate. It's acceptable and professional to say something along the lines of:
"I don't have that detail handy. I'll discuss internally and come back to you quickly with the correct information."
Never lie or provide uncertain or inaccurate details to an auditor. Trust and transparency are critical.
d) Clarify and Set Expectations
Be transparent about your processes and timelines for retrieving documentation or evidence. If certain information typically takes several days to deliver internally, let your auditor know upfront. Auditors appreciate clarity and will accommodate reasonable timelines.
e) Respectfully Challenge Unreasonable Requests
Occasionally, you might receive requests that seem overly demanding or unnecessary. Your goal is to facilitate an efficient audit, not overwhelm your team with impractical tasks. For instance, if an auditor asks for thousands of screenshots as audit evidence within a short timeframe, propose alternative approaches, such as screen sharing sessions or video walkthroughs. Approach disagreements politely, clearly justifying your concerns, and collaborate to find a mutually acceptable solution.
Example:
"You've asked for 1,000 screenshots covering various tickets, which could take my team multiple days to collect manually. Could we schedule a shared-screen working session instead, allowing you to capture the screenshots effectively?"
f) Wrap Up Meeting (Closing Call)
Scheduled wrap-up meetings at the end of the audit phase are critical for understanding preliminary findings. Don't leave this discussion without full clarity. Question findings respectfully if anything is unclear or seems incorrect. Ultimately, you're responsible for remediating these findings later.
After the Audit: Stay Engaged Until Completion
Your audit isn't truly complete until you have received and reviewed the final draft of the audit report. Typically, the detailed report arrives a few weeks after audit day, offering another opportunity to carefully verify findings before moving further. Take advantage of this review period to ensure accuracy and fully understand any follow-up steps required.
About SecureLeap
Your Trusted Partner in Security Compliance
SecureLeap is a specialized security and compliance consultancy providing virtual CISO (vCISO) services tailored for growing startups and SMBs. Our team of experts helps organizations navigate the complex landscape of security certifications, including SOC 2, ISO 27001, and GDPR compliance, without the overhead of a full-time security executive.
Whether you're preparing for your first security audit or looking to enhance your existing compliance program, SecureLeap provides the expertise and guidance you need to succeed.
📍 Visit secureleap.tech to learn how we can support your security compliance journey.