STEP 8: Partner With an Auditor
Get Ready to Make it Official
Turn audit prep into a certified success
What makes a great auditor relationship?
A successful audit isn’t just about passing—it’s about streamlining collaboration, reducing back-and-forth, and uncovering long-term improvements.
Strong auditor relationships are built on:
- Transparency. Are your processes clear and evidence defensible?
- Responsiveness. Are requests answered promptly, accurately?
- Efficiency. Are documents centralized, versioned, and verified?
- Trust. Is your team aligned on controls and narratives?
Six Steps to Expect When You Engage With an Auditor
Your auditor relationship is a collaboration—not a confrontation. Whether you're pursuing frameworks, like SOC 2 or HIPAA, here’s what what to expect from an audit engagement:
Scope & Supporting Documentation
Confirm and finalize the agreed-upon scope of the audit—systems, controls, locations, and timeframe.
Double-check that all supporting documents are complete, current, and mapped to controls. Identify stakeholders for each scoped area.
Evidence Submission
& Review
Auditors need traceable evidence to validate controls. Your team should know what to submit, when, and how
Review auditor requirements using a GRC platform on which documentation, control owners, and evidence are centralized.
Audit Findings
Report
This report outlines auditor findings, what passed and potential missing elements.
Review the report with your internal team and flag any disputed items for follow-up with the auditor. Archive for future audits or customer requests.
Non-Conformities
& Observations
After auditor identifies non-conformities, use the time to remediate or add evidence.
Assign owners to each non-conformity, and document remediation steps & timelines.
Certification
or Final Report
Once finalized, you’ll receive the certification, attestation report, or letter of assessment.
Review your final report or certification for accuracy. Notify stakeholders and update customer-facing materials as needed.
Future Expectations
& Considerations
Understand next steps: surveillance audits, re-certifications, or continuous monitoring.
Review any recommendations for improvement and set reminders to reassess key controls before re-engagement.
Centralize Evidence Access
Give your auditor secure access to the documentation tied to each requirement. Eliminate the need to repackage or resend.
Agree on Scope and Timeline
Set clear expectations for controls in scope, what evidence will be accepted, and when/how each review phase will occur.
Link Controls to Live Data
Show real-time control activity. Auditors want proof that your controls are operational, not just written down.Track & Manage Auditor Requests
Use a GRC platform to manage request workflows, comment threads, and submissions.
Review Your Audit Findings Report
Address any non-conformities and align your team on the next steps. Maintain weekly or biweekly check-ins with your auditor to stay aligned.
Reassess and Remediate
Passing your audit isn’t the finish line.
Next, turn lessons learned into long-term improvements. Because staying compliant is much easier than starting over from scratch each year.
