You want a cybersecurity certification like ISO 27001 or SOC 2? To get it, you’ll first need to pass an audit. These are deep dives into your company’s security processes that test whether you meet a framework’s certification standards.
You’ll have to provide documentation, walk an auditor through your controls, and meet a list of additional requirements. If that all sounds daunting, we don’t blame you. But hang in there, because earning a certification like SOC 2 could be just what your SaaS firm needs to grow.
Keep reading to learn what cybersecurity auditors look for and the steps your business can take to prepare.
The Certification Process in Plain English
Every cybersecurity framework has its own set of standards, which will determine how your company prepares. But here’s what you can expect from the process generally:
- Select the right framework for your goals: SOC 2 focuses on U.S. enterprises, while ISO 27001 will help you earn global contracts.
- Define your scope: Will you certify your entire company? Or only specific departments, like your European office? Starting small can make the process more manageable.
- Perform a readiness assessment: This will identify any gaps between your current security processes and framework standards.
- Fix any issues identified in the assessment: You may need to outsource this if you lack deep internal cybersecurity expertise
- Hire a certified auditor: They’ll test your organization to see if it meets all relevant security criteria
- Fix any gaps the auditor finds: If they’re minor enough, they shouldn’t delay your certification for long. If they’re more significant, outsourcing can be a smart way to fix the problems quickly and stay on track with your certification.
Trava offers comprehensive audit readiness packages that can be personalized to suit your needs. Whether you’re looking for a long-term partner or one-off help with audit prep, we’ll meet your business where it’s at to help it take the next step.
SaaS Audit Frameworks
It’s important to think carefully about the audit framework your SaaS company will pursue. The option you select will impact how B2B buyers think about your security and the kind of preparation you need to pass an audit. Here’s an overview of some of the most common frameworks SaaS companies pursue:
|
Framework |
Summary |
Key Focus |
Audience You’ll Appeal To |
|
SOC 2 |
Widely used in B2B SaaS, but favors U.S.-centric enterprises |
Internal controls for security, availability, and confidentiality |
Enterprise clients in the U.S. |
|
ISO 27001 |
An international standard for information security |
Information management, internal security controls |
Global B2B buyers |
|
PCI DSS |
A security standard for card payments |
Cardholder data security |
Payment processors and fintech companies |
There are also compliance frameworks that matter, but don’t have an audit-based certification process. For example, you’ll need to follow GDPR rules around personal data if you operate in the EU. There’s also HIPAA to consider if you deal with healthcare data in the U.S.
What Cybersecurity Auditors Look For
Cybersecurity auditors look at controls and processes across your entire technical landscape. They want to see evidence that you have security controls, use them actively, and teach your team how to do the same.
This audit readiness checklist explores some of the main items auditors search for during this process:
- Security policies and ISMS documentation: First, auditors need to see formal proof of your security rules. These documents cover things like who can access different systems and how data should be encrypted.
- Risk assessment and treatment plan: You’ll also need to show that you have a process for identifying and addressing risks. That typically includes making regular updates to a documented plan.
- Access controls: Next, an auditor will want to see how you limit access to sensitive digital spaces. They’ll ask to review IAM configurations, multi-factor authentication enforcement, and offboarding logs.
- Cloud and infrastructure security: Auditors will also look at how secure your cloud services and internal systems are. They’ll verify that your data is encrypted when stored and in transit.
- Change management: Change management is your process for reviewing and approving technical updates. Auditors look for approval workflows, code audit trails, and infrastructure change logs.
- Logging and monitoring: Next, you’ll need to show that you have processes for detecting possible breaches. Auditors will look for SIEM usage, alert systems, and incident detection tools.
- Incident response plans: You’ll also need to show detailed incident response plans. These must be tested, documented, and known by your team
- Third-party and vendor risk management: If you use outside vendors, your auditor will want to verify that you’ve reviewed and cleared their security practices. They may look for vendor reviews, DPAs, and SOC reports for subprocessors.
- Business continuity and training records: Make sure to also track how you train employees on security. Auditors will want to see logs showing employees’ training records for things like phishing simulations.
- Internal audits and management review: Finally, you may need to conduct internal audits and reviews for certifications like ISO 27001.
Must-Have Documents for Compliance Certification
SOC 2 and ISO 27001 are two of the most sought-after certifications for SaaS companies.
To pass, you’ll need documents and working evidence. Your auditor will ask for formal documents that outline your strategies and evidence to prove you’re following them. This evidence can come from access logs, screenshots of system settings, incident reports, and other records.
Here’s a closer look at the most important for each certification.
ISO 27001
- ISMS Scope
- Information Security Policy
- Risk Assessment & Risk Treatment Plan
- Statement of Applicability (SoA)
- Internal Audit Report
- Management Review Notes
- Evidence of Training, Awareness, and Competence
SOC 2
- Control Matrix (mapped to Trust Services Criteria)
- Written policies and procedures
- Evidence of control operation (log exports, screenshots, tickets)
- IPE (Information Provided by the Entity) inventory
How To Get Audit-Ready
Now you’re ready to take what you’ve learned about audit requirements and apply them to your preparation. We cover some of the most critical steps below.
Revamp Your Policy Set
The pre-audit phase is a good time to either create or update your set of security policies. These documents detail the exact steps your organization is taking to protect customer data and meet framework requirements. You’ll need policies for:
- Security and access, including:
- Information security
- Access controls
- Encryption policies
- Remote access policies
- Operations and risk, covering:
- Change management policies
- Incident response action plans
- Business continuity and disaster recovery
- Vendor management
- People and privacy, including:
- Security awareness and training policies
- Rules for employees
- Password and multi-factor authentication policies
Automate Evidence Collection
An auditor won’t just ask to see your policies. They’ll want to evaluate whether you’re following them in practice. You can increase your odds of passing on the first try by collecting evidence. But getting everything you need would be very hard manually, so we recommend automating evidence collection.
You’ll want to use tools to collect things like access logs, timestamped screenshots, proof of security training, and audit trails of code deployments. Some popular platforms for this include:
- Vanta
- Drata
- Secureframe
Assign Owners for Each Control Area
We recommend assigning employee “owners” to each control area. This encourages follow-through, turning team members into audit preparation champions.
Run a Mock Audit
Consider running a mock audit with an advisor. It’s like a test run, helping you find and fix issues so they don’t show up when it matters.
What Happens During the Audit
With a strong preparation process, you should have no problem passing an audit. But it’s still nice to know what to expect. So, here’s a closer look at how your audit will progress from one stage to the next.
1. Document Review
Cybersecurity auditors typically begin with a document review. They’ll review the paperwork you provide to verify that you have all the required materials. Then, they’ll dive deeper into each document to ensure the policies you outline meet SOC 2 or ISO 27001 requirements.
An audit preparation specialist at Trava can verify that you meet this check before your audit. You can also Google SOC 2 or ISO 27001 mandatory documents if you’d like to review a detailed list now.
2. System Walkthroughs
Next, the auditor will ask to see how your SaaS security policies function in action. They’ll want a live walkthrough of each major area, including:
- Access controls
- Code change management
- Incident response
- Backups
- Multi-factor authentication enforcement
- Training completion
- Endpoint security
Your auditor will start by verifying that the controls you say you have on paper actually exist in practice. They’ll check to make sure these controls operate as described in your policies. The auditor will verify that each control is used consistently and may want to see logs or reports to confirm.
3. Interview With Staff
Your auditor will likely want to speak with technical and non-technical employees. They’ll ask technical workers detailed questions about your policies, how they work, and how the team tracks compliance. They’ll ask non-technical employees questions to verify that policies are understood and followed, and that workers know what’s expected of them.
4. Control Testing
Depending on the framework you’re pursuing, the auditor may also need to perform longer-term control tests. For example, in SOC 2 Type II, there’s a testing period of six to twelve months. This leaves enough time for the auditor to verify that your processes are common practice, not just functioning as intended at the moment of the initial test.
5. Daily Requests and Follow-Up Questions
Throughout this process, your auditor may come to you with requests and follow-up questions for additional information. For example, if they’re not seeing enough in the SOC 2 audit evidence you provide, they may ask to see reports covering a longer time frame. Just make sure you’re prepared to answer these requests quickly to avoid certification delays.
After the Audit: Next Steps
The full audit process can take as long as a year to complete if you’re pursuing a high-level cybersecurity certification for SaaS. When you’re done, you’ll receive either an SOC 2 letter or an ISO certification that details the auditor’s findings. At this point, you may be done.
Or you may receive a management letter alongside your audit report. These are items that you should upgrade, but are minor enough that they won’t block certification. Try to fix anything listed here before your annual ISO or SOC review for renewal. Once you’ve passed, share the letter with clients and prospects to prove your cybersecurity compliance. You can publish it to a trust center or make reports available under non-disclosure agreements.
Common Mistakes SaaS Teams Make
Here are some of the most common mistakes teams make while pursuing SaaS certification. Try to keep these in mind throughout your process to avoid delays:
- Writing policies no one follows: If you can’t prove you’re following controls in practice, they’ll have no value in your documentation.
- Waiting until the audit period starts to collect evidence: By this point, it may be too late to find and fix problems without starting over.
- Forgetting vendor risks: Your strategy should address the risks posed by external partnerships with vendors like AWS, Okta, and Stripe.
- Not including staging and development: This should be part of your audit scope, since it directly impacts production.
- Over-relying on screenshots: Live stream evidence and direct demos for auditors tend to be more persuasive.
Cybersecurity Audits and Compliance: Key Takeaways
Cybersecurity auditors will ask to see both policies and evidence that they’re followed in practice. You can increase your odds of a successful audit by starting early, automating smartly, and documenting consistently. It may sound like a lot of work, but it’s worth doing. Certifications aren’t just a box to check — they build trust with partners and help businesses achieve lasting growth.
If you’d like some help with your audit process, contact a cybersecurity expert with Trava. You can also take advantage of our free online resources, like this guide to cybersecurity audits and compliance.