Understanding Compliance Audits
A compliance audit is a formal examination by a third-party auditor who verifies that your organization meets framework requirements.
Audit Types:
SOC 2 Type I: Point-in-time assessment of control design
SOC 2 Type II: 3+ months of continuous control operation
ISO 27001: Two-stage certification audit (documentation review, then implementation assessment)
HIPAA: Self-attestation with potential HHS review
Other Frameworks: Specific audit methodologies per standard
When to Schedule Your Audit
Engage an auditor when:
Completion: 90%+ framework completion in DSALTA
Test Results: 95%+ test pass rate for 30+ days
Evidence Organization: All artifacts accessible and well-documented
Team Readiness: Control owners can explain implementations
Business Need: Customer requirements or sales opportunities demand certification
Pre-Audit Checklist
Before scheduling your audit:
Framework Completion: All controls implemented and documented
Test Pass Rate: Consistently high pass rates
Evidence Collection: Complete evidence for all controls
Policy Approval: All policies formally approved and current
Team Training: Control owners understand their responsibilities
Integration Health: All connections stable and collecting data
Document Organization: Evidence properly mapped and accessible
Organizing Evidence in DSALTA
DSALTA maintains organized evidence throughout your compliance journey:
By Control: All evidence supporting each requirement
By Framework: Complete evidence packages per certification
By Time Period: Historical records proving continuous compliance
By Type: Policies, documents, test results, automated evidence
[Screenshot needed: Evidence organization view]
Creating Audit Packages
Generate comprehensive evidence packages:
Navigate to your framework
Click Prepare for Audit or Create Audit Package
Select audit scope (all controls or specific domains)
Choose evidence types to include
Review package completeness
Generate and download
Audit packages include:
Control documentation
Policy library
Test results and history
Automated evidence
Manual documentation
Control mappings
Evidence Review Process
Review all evidence before auditor access:
Completeness: Every control has sufficient evidence
Currency: Evidence is recent and relevant
Clarity: Documentation is clear and well-organized
Consistency: Evidence aligns with policies and procedures
Quality: Screenshots are readable, documents are professional
Common Evidence Gaps
Address these typical gaps before audits:
Access Reviews: Quarterly reviews completed and documented
Vendor Assessments: All vendors assessed with current documentation
Training Records: Security training completion for all employees
Incident Documentation: Any security incidents properly documented and resolved
Change Management: Change records for significant system modifications
Physical Security: Evidence of facility access controls (if applicable)
Control Owner Preparation
Prepare control owners for auditor interviews:
Understand Their Controls: Know what they own and why
Explain Implementation: Describe how controls work in practice
Show Evidence: Demonstrate where proof is located
Discuss Challenges: Be honest about difficulties or exceptions
Describe Improvements: Show how controls have matured
Auditor Access Setup
Grant auditors appropriate access to DSALTA:
Navigate to team management
Create auditor account with Auditor role
Set access duration (typically 2-4 weeks)
Configure which frameworks they can access
Send credentials and access instructions
Auditor role provides read-only access to relevant evidence without editing capabilities.
Communication with Auditors
Establish clear communication channels:
Primary Contact: Designate one main point of contact
Response Time: Commit to response SLAs (typically 24-48 hours)
Question Tracking: Use DSALTA or external system to track auditor questions
Evidence Requests: Provide requested evidence promptly through DSALTA
Status Updates: Regular check-ins on audit progress
Audit Timeline
Typical audit schedule:
Planning (1-2 weeks before): Finalize scope, schedule interviews, grant access
Fieldwork (1-2 weeks): Auditor reviews evidence, conducts interviews, requests additional information
Remediation (if needed): Address any findings or gaps
Report Drafting (1-2 weeks): Auditor prepares report
Report Review: Review draft report for factual accuracy
Final Report: Receive final audit report and certification
During the Audit
While the audit is active:
Be Responsive: Answer questions quickly and completely
Provide Context: Explain organizational decisions and approaches
Stay Available: Control owners should be accessible for interviews
Monitor Requests: Track all evidence requests and responses
Document Everything: Keep records of all auditor communications
Handling Audit Findings
If auditors identify issues:
Understand the Finding: Clarify exactly what the concern is
Assess Severity: Determine if it blocks certification
Develop Remediation Plan: Create specific steps to address
Implement Fixes: Execute remediation
Document Resolution: Provide evidence of fixes
Prevent Recurrence: Update processes to avoid future issues
Post-Audit Activities
After receiving your audit report:
Share Results: Communicate certification success to stakeholders
Update Trust Center: Publish certification badges and reports
Address Observations: Resolve any non-blocking findings
Plan Surveillance: Schedule next year's surveillance audit
Continuous Compliance: Maintain monitoring and evidence collection
[Screenshot needed: Audit preparation dashboard or checklist]